[Federal Register Volume 63, Number 203 (Wednesday, October 21, 1998)]
[Proposed Rules]
[Pages 56292-56391]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-26292]



[[Page 56291]]

_______________________________________________________________________

Part II





Environmental Protection Agency





_______________________________________________________________________



40 CFR Parts 52 and 97



Findings of Significant Contribution and Rulemaking on Section 126 
Petitions for Purposes of Reducing Interstate Ozone Transport; Proposed 
Rule

  Federal Register / Vol. 63, No. 203 / Wednesday, October 21, 1998 / 
Proposed Rules  

[[Page 56292]]



ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 52 and 97

[FRL-6170-6]
RIN 2060-AH88


Findings of Significant Contribution and Rulemaking on Section 
126 Petitions for Purposes of Reducing Interstate Ozone Transport

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of proposed rulemaking (NPR).

-----------------------------------------------------------------------

SUMMARY: In accordance with section 126 of the Clean Air Act (CAA), EPA 
is proposing action on petitions filed by eight Northeastern States 
seeking to mitigate what they describe as significant transport of one 
of the main precursors of ground-level ozone, nitrogen oxides 
(NOX), across State boundaries. Each petition specifically 
requests that EPA make a finding that NOX emissions from 
certain stationary sources emit in violation of the CAA's prohibition 
on emissions that significantly contribute to ozone nonattainment 
problems in the petitioning State. If EPA makes such a finding of 
significant contribution, EPA is authorized to establish Federal 
emissions limits for the sources. The eight Northeastern States that 
filed petitions are Connecticut, Maine, Massachusetts, New Hampshire, 
New York, Pennsylvania, Rhode Island, and Vermont.
    This notice proposes to find that portions of certain petitions are 
technically meritorious under the test applicable under section 126. 
The EPA is proposing that the technically meritorious portions of the 
petitions be deemed granted or denied at certain later dates pending 
certain actions by the States and EPA regarding State submittals in 
response to the final NOX State implementation plan call 
(NOX SIP call). This notice describes the schedule and 
conditions under which applicable final findings on the petitions would 
be automatically triggered. Further, this notice proposes the control 
requirements that would apply to sources in the source categories for 
which a final finding is ultimately granted. This notice also proposes 
to deny certain petitions, in whole or in part. The EPA published a 
shorter proposal on the section 126 petitions on September 30, 1998 
that announced the availability of this longer proposal in the docket 
and on EPA's Website, announced the public hearing, and requested 
comment on the proposal.
    The transport of ozone and its precursors is important because 
ozone, which is a primary harmful component of urban smog, has long 
been recognized, in both clinical and epidemiological research, to 
affect public health. There is a wide range of ozone-induced health 
effects, including decreased lung function (primarily in children 
active outdoors), increased respiratory symptoms (particularly in 
highly sensitive individuals), increased hospital admissions and 
emergency room visits for respiratory causes (among children and adults 
with pre-existing respiratory disease such as asthma), increased 
inflammation of the lung, and possible long-term damage to the lungs.

DATES: Comments may be submitted until November 30, 1998, as previously 
announced in a shorter notice of proposed rulemaking published in the 
Federal Register on September 30, 1998.
    Comments must be postmarked by the last day of the comment period 
and sent directly to the Docket Office listed in ADDRESSES (in 
duplicate form if possible). The public hearings for the section 126 
and FIP proposals will be held on October 28 and 29, 1998, as 
previously announced in a shorter notice of proposed rulemaking 
published in the Federal Register on September 30, 1998.

ADDRESSES: Comments may be submitted to the Air and Radiation Docket 
and Information Center (6102), Attention: Docket No. A-97-43, U.S. 
Environmental Protection Agency, 401 M Street SW, room M-1500, 
Washington, DC 20460, telephone (202) 260-7548. Comments and data may 
also be submitted electronically by following the instructions under 
SUPPLEMENTARY INFORMATION of this document. No confidential business 
information (CBI) should be submitted through e-mail. For comments that 
include color graphics, a courtesy copy of comments to Carla Oldham 
would be appreciated at Office of Air Quality Planning and Standards, 
Air Quality Strategies and Standards Division, MD-15, Research Triangle 
Park, NC 27711, telephone (919) 541-3347, fax (919) 541-0824, e-mail 
address [email protected]. The address for sending overnight 
packages is U.S. EPA, Air Quality Strategies and Standards Division, 
411 W Chapel Hill St., Durham, NC 27701.
    The public hearing will be held at the EPA Auditorium, 401 St., 
SW., Washington, DC.
    Documents relevant to this action are available for inspection at 
the Docket Office, at the above address, between 8 a.m. and 4 p.m., 
Monday though Friday, excluding legal holidays. A reasonable copying 
fee may be charged for copying.

FOR FURTHER INFORMATION CONTACT: General questions concerning today's 
action should be addressed to Carla Oldham, Office of Air Quality 
Planning and Standards, Air Quality Strategies and Standards Division, 
MD-15, Research Triangle Park, NC, 27711, telephone (919) 541-3347. 
Please refer to SUPPLEMENTARY INFORMATION below for a list of contacts 
for specific subjects described in today's action.

SUPPLEMENTARY INFORMATION:

Availability of Related Information

    The official record for this rulemaking, as well as the public 
version, has been established under docket number A-97-43 (including 
comments and data submitted electronically as described below). A 
public version of this record, including printed, paper versions of 
electronic comments, which does not include any information claimed as 
CBI, is available for inspection from 8 a.m. to 4 p.m., Monday through 
Friday, excluding legal holidays. The official rulemaking record is 
located at the address in ADDRESSES at the beginning of this document. 
Electronic comments can be sent directly to EPA at: A-and-R-
D[email protected]. Electronic comments must be submitted as an 
ASCII file avoiding the use of special characters and any form of 
encryption. Comments and data will also be accepted on disks in 
WordPerfect in 5.1 file format or ASCII file format. All comments and 
data in electronic form must be identified by the docket number A-97-
43. Electronic comments on this NPR rule may be filed online at many 
Federal Depository Libraries.
    The EPA has issued a separate rule on NOX transport 
entitled, ``Finding of Significant Contribution and Rulemaking for 
Certain States in the Ozone Transport Assessment Group Region for 
Purposes of Reducing Regional Transport of Ozone'' (see notices 
included in the docket for this rulemaking). The rulemaking docket for 
that rule, hereafter referred to as the NOX State 
implementation plan (SIP) call (NOX SIP call), contains 
information and analyses that are relied upon in today's proposal on 
the section 126 petitions. Therefore, EPA is incorporating by reference 
the entire NOX SIP call record for purposes of the section 
126 rulemaking. Documents related to the NOX SIP call 
rulemaking are available for inspection in Docket No. A-96-56 at the 
address and times

[[Page 56293]]

given above. In addition, the proposed NOX SIP call and 
associated documents are located at http://www.epa.gov/ttn/oarpg/
otagsip.html. The EPA is finalizing action on the NOX SIP 
call concurrently with today's proposal on the section 126 petitions.
    Additional information relevant to this NPR concerning the Ozone 
Transport Assessment Group (OTAG) is available on the Agency's Office 
of Air Quality Planning and Standards' (OAQPS) Technology Transfer 
Network (TTN) via the web at http://www.epa.gov/ttn/. If assistance is 
needed in accessing the system, call the help desk at (919) 541-5384 in 
Research Triangle Park, NC. Documents related to OTAG can be downloaded 
directly from OTAG's webpage at http://www.epa.gov/ttn/otag. The OTAG's 
technical data are located at http://www.iceis.mcnc.org/OTAGDC.

For Additional Information

    For additional information related to air quality analysis, please 
contact Carey Jang, Office of Air Quality Planning and Standards; 
Emissions, Monitoring, and Analysis Division, MD-14, Research Triangle 
Park, NC 27711, telephone (919) 541-5638. For legal questions, please 
contact Howard Hoffman, Office of General Counsel, 401 M Street SW, Mc-
2344, Washington, DC, 20460, telephone (202) 260-5892. For questions 
regarding the NOX cap-and-trade program, please contact 
Melanie Dean, Office of Atmospheric Programs, Acid Rain Division, MC-
6204J, 401 M Street SW, Washington, DC 20460, telephone (202) 564-9189. 
For questions regarding regulatory cost analyses for electricity 
generating sources, please contact Ravi Srivastava, Office of 
Atmospheric Programs, Acid Rain Division, MC-6204J, 401 M Street SW, 
Washington, DC 20460, telephone (202) 564-9093. For questions regarding 
regulatory cost analyses for other stationary sources, please contact 
Scott Mathias, Office of Air Quality Planning and Standards, Air 
Quality Strategies and Standards Division, MD-15, Research Triangle 
Park, NC 27711, telephone (919) 541-5310.

Outline

I. Background
    A. Summary of Rulemaking
    B. Ozone Transport, Ozone Transport Commission NOX 
Memorandum of Understanding (OTC NOX MOU), OTAG, the 
NOX SIP Call, the Revised Ozone National Ambient Air 
Quality Standard, and Ozone Effects
    C. Section 126
    D. Summary of Section 126 Petitions
    1. Control Remedies Recommended By Petitions
    2. Sources Covered By Petitions
    E. Litigation on Rulemaking Schedule
    F. Advance Notice of Proposed Rulemaking on Petitions
II. EPA's Analytical Approach and Proposed Action on Petitions
    A. EPA's Proposed Interpretation of Section 126 and Analytical 
Approach for Determining Whether to Grant or Deny the Petitions
    1. The Appropriate Test under Section 126
    2. EPA's Analytical Approach for Determining Whether to Grant or 
Deny the Petitions
    a. EPA's Interpretation of Significant Contribution under 
Section 110
    b. Applying EPA's Section 110 Interpretation of ``Significant 
Contribution'' and ``Interference'' under Section 126
    c. Emitting ``In Violation of the Prohibition'' in Section 110--
the Decision Whether to Grant or Deny Each Petition
    B. Weight of Evidence Determination of Named Upwind States
    C. Cost-Effectiveness of Emissions Reductions
    1. What NOX Controls Are Highly Cost Effective
    2. Determining the Cost Effectiveness of NOX Controls
    i. Large EGUs
    ii. Large Non-EGUs
    iii. Legal Process Heaters
    iv. Small Sources
    v. Summary of Control Measures
    3. Other Cost-Related Considerations
    D. Identifying Sources
    E. Air Quality Assessment
    F. Conclusions on Granting or Denying Petitions
    1. Technical Determinations
    2. Action on Whether to Grant or Deny Each Petition
    a. Portions of Petitions For Which EPA is Proposing an 
Affirmative Technical Determination
    b. Portions of Petitions For Which EPA is Proposing An Negative 
Technical Determination
    3. Requirements for Sources for Which EPA Makes a Section 126(b) 
Finding
III. Federal NOX Budget Trading Program
    A. Program Summary
    1. Purpose of the Federal NOX Budget Trading Program
    2. Relationship of Section 126 Remedy to the NOX SIP 
Call and the FIP
    B. Federal NOX Budget Trading Program
    1. Program Overview
    2. Elements of the Federal NOX Budget Trading Program 
That Are the Same as the State NOX Budget Trading Program
    a. General Provisions
    b. Authorized Account Representative
    c. Permits
    d. Compliance Certification
    e. NOX Allowance Tracking System
    f. Banking
    g. NOX Allowance Transfers
    h. Audits
    3. Elements of the Federal NOX Budget Trading Program 
That Differ from the State NOX Budget Trading Program
    a. General Provisions
    i. Purpose
    ii. Definitions
    iii. Applicability
    iv. Standard Requirements
    b. Compliance Certification
    c. Aggregate NOX Emissions Levels and Allowance 
Allocations
    i. Data Sources
    (1) EGUs
    (2) Non-EGUs
    ii. Methodology Used to Determine Controlled Emission Levels
    (1) Large EGUs
    (2) Large Non-EGUs
    iii. Development of Section 126 Trading Program Budget
    iv. Timing Provisions
    v. NOX Allowance Allocation Methodology
    (1) EGUs
    (2) Non-EGUs
    (3) Treatment of New Sources
    d. Compliance Supplement Pool
    i. Size of Compliance Supplement Pool
    ii. Distribution of Compliance Supplement Pool to Sources
    e. Emissions Monitoring and Reporting
    f. Opt-ins
    g. Program Administration
    C. New Source Review
IV. Non-ozone Benefits to NOX Reductions
V. Administrative Requirements
    A. Executive Order 12866: Regulatory Impact Analysis
    B. Impact on Small Entities
    1. Regulatory Flexibility
    2. Outreach to Small Entity Representatives
    3. Potentially Affected Small Entities
    4. Panel Findings and EPA Actions
    a. Exemptions
    b. Continuous Emissions Monitoring Systems (CEMS)
    c. Electricity Generating Units
    d. Industrial Boilers
    e. EPA Guidance to States on Small Entities
    C. Unfunded Mandates Reform Act
    D. Paperwork Reduction Act
    E. Executive Order 13045: Protection of Children from 
Environmental Health Risks and Safety Risks
    1. Applicability of Executive Order 13045
    2. Childrens' Health Protection
    F. Executive Order 12898: Environmental Justice
    G. Executive Order 12875: Enhancing the Intergovernmental 
Partnership
    H. Executive Order 13084: Consultation and Coordination with 
Indian Tribal Governments
    I. National Technology Transfer and Advancement Act

I. Background

A. Summary of Rulemaking

    In today's action, EPA is proposing to make a technical 
determination that certain major stationary sources and source 
categories identified in the section 126 petitions are significantly 
contributing to nonattainment in, or interfering with maintenance by, 
one or more petitioning State with respect to one or more of the 
national ambient air quality standards for ozone (hereafter

[[Page 56294]]

referred to as a positive or affirmative technical determination). On 
the basis of that proposed affirmative technical determination, EPA is 
proposing that the petitions naming these sources and source categories 
be granted or denied at certain later dates pending certain actions by 
the States and EPA regarding State submittals in response to the final 
NOX SIP call. The schedule and conditions under which the 
applicable final findings on the petitions would be triggered are 
discussed below in Section II.F. The EPA's analysis of significant 
contribution is discussed in Section II below.
    Under the 1-hour ozone standard, EPA is proposing to make 
affirmative technical determinations as to a subset of sources and 
source categories named in the petitions from Connecticut, Maine, 
Massachusetts, New Hampshire, New York, Pennsylvania, and Rhode Island. 
The source categories for which EPA is proposing this affirmative 
technical determination of significant contribution are discussed in 
Section II. The existing sources that are affected by this technical 
determination are listed in appendix A to proposed part 97.
    The EPA is also proposing to partially deny the petitions from 
Connecticut, Maine, Massachusetts, New Hampshire, New York, 
Pennsylvania, and Rhode Island because EPA believes some of the sources 
or source categories named in the petitions are not significantly 
contributing to nonattainment in the relevant petitioning State with 
respect to the 1-hour ozone standard. The EPA is proposing to deny the 
Vermont petition in full with respect to the 1-hour ozone standard 
because the 1-hour standard no longer applies in that State (See 63 FR 
31014).
    Three of the petitioners, Massachusetts, Pennsylvania, and Vermont, 
also directed their petitions at the new 8-hour ozone standard. Under 
the 8-hour ozone standard, EPA is proposing to make a positive 
technical determination as to a subset of sources named in the 
petitions from Massachusetts and Pennsylvania. The source categories 
for which EPA is proposing this affirmative technical determination of 
significant contribution are discussed in Section II. The existing 
sources that are affected by this technical determination are listed in 
appendix A to proposed part 97. The EPA is proposing to deny the 
Vermont petition in full with respect to the 8-hour ozone standard 
because Vermont has no current 8-hour ozone nonattainment problems and 
no future projected nonattainment problems based on available analyses.
    In aggregate for all petitions and both ozone standards, the 
sources and source categories that EPA is proposing to find 
significantly contribute to nonattainment in, or interfere with 
maintenance by, (hereafter simply contribute significantly to) one or 
more of the petitioning States are located in the following States: 
Alabama, Connecticut, Delaware, District of Columbia, Illinois, 
Indiana, Kentucky, Maryland, Massachusetts, Michigan, Missouri, New 
Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, 
Tennessee, Virginia, and West Virginia. The combined list of existing 
sources affected by a positive technical determination with respect to 
at least one petition, along with proposed emissions limitations in the 
form of tradable allowance allocations, is located in Appendix A to 
proposed part 97. The EPA intends to update the list of affected 
sources on a periodic basis to include new sources in the source 
categories that are significantly contributing.
    Some of the sources that EPA is proposing do not significantly 
contribute to the petitioning States may be located in States that are 
affected by a separate rulemaking on NOX transport, the 
NOX SIP call. While emissions from sources in certain States 
may not be significantly contributing to nonattainment or maintenance 
problems in any of the eight petitioning States, the sources may be 
significantly contributing to nonattainment problems in other downwind 
States. In acting on these section 126 petitions, EPA can only consider 
the impacts on downwind nonattainment problems in the petitioning 
States, which are all located in the Northeast. In the NOX 
SIP call, EPA considered impacts on nonattainment problems throughout 
the eastern half of the United States. Therefore, a determination that 
sources in certain States are not significantly contributing for 
purposes of this action on the section 126 petitions should not be 
assumed to reflect EPA's conclusions on significant contribution with 
regard to the NOX SIP call or other transport-related 
rulemakings.
    The section 126 petitions varied with regard to the control 
requirements they recommend for mitigating the interstate transport. 
While EPA considered the recommendations, section 126 does not limit 
EPA to the recommended controls in determining an appropriate remedy. 
In Section III, EPA proposes the emissions limitations that would be 
necessary to ensure that the affected sources do not or would not emit 
in violation of the applicable statutory prohibition on significant 
contribution by upwind States to downwind air quality problems. The 
control remedy is based on the uniform application of highly cost-
effective controls (as determined based on cost per ton of 
NOX reduced for each type of source). In selecting the 
control measures, EPA considered the recommendations made by OTAG on 
July 8, 1997 and the analyses for the NOX SIP call. The EPA 
considered controls that would effectively minimize emissions while not 
exceeding a source-categorywide $2000 per ton for reductions of ozone 
season NOX (in 1990 dollars), on average, for each source 
category. For electricity generating units larger than 25 MWe, EPA is 
proposing a control level corresponding to 0.15 lb/mmBtu. For 
industrial boilers and turbines greater that 250 mmBtu/hr, EPA is 
proposing a control level corresponding to a 60 percent reduction from 
an uncontrolled baseline. For small sources and process heaters, EPA is 
proposing no additional controls. For purposes of this rulemaking, EPA 
is defining small sources as: (1) Electricity generating boilers and 
turbines serving a generator 25 MWe or less, and (2) other indirect 
heat exchangers with a heat input of 250 mmBtu/hr or less. The control 
requirements are consistent with the assumptions used in developing the 
final budgets for the NOX SIP call. Further discussion 
concerning small point sources can be found in Section II of this 
preamble.
    The EPA intends to implement the control requirements through a 
Federal NOX cap-and-trade program, which is described in 
Section III. The EPA believes a trading program is the most cost-
effective approach for achieving emissions reductions from large 
stationary sources. The proposed trading program is consistent with the 
model trading rule that EPA is finalizing for purposes of the 
NOX SIP call, except for changes necessary to account for 
Federal implementation instead of State implementation. The EPA 
envisions that there would be a common trading program among section 
126 sources and NOX SIP call sources in States that choose 
to participate in the State trading program, and sources subject to a 
Federal implementation plan under the NOX SIP call.
    In accordance with section 126, sources must comply with the 
control requirements no later than 3 years from a final positive 
finding on the petitions, on a schedule to be determined by the EPA 
Administrator. The EPA is proposing that the full 3 years is necessary 
for compliance. As discussed below, EPA is proposing that the 
technically meritorious portions of the

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petitions be deemed granted or denied at certain later dates, pending 
certain actions by States and EPA regarding implementation plans 
required in response to the NOX SIP call. The EPA intends to 
take final action by April 30, 1999 on the technical determination 
described above, the decision as to when each portion of the petitions 
would be deemed granted or denied, and the emissions limitations that 
would apply to any sources for which a petition is ultimately deemed 
granted.

B. Ozone Transport, Ozone Transport Commission NOX 
Memorandum of Understanding (OTC NOX MOU), OTAG, the 
NOX SIP Call, the Revised Ozone National Ambient Air Quality 
Standard (NAAQS), and Ozone Effects

    Today's action occurs against a background of a major national 
effort, spanning at least the last 10 years, to analyze and take steps 
to mitigate the problem of the transport of ozone and its precursors 
across State boundaries. This effort has grown more intensive in the 
past several years with the approval of the OTC NOX MOU by 
11 of the Northeastern States and the District of Columbia included in 
the Northeast Ozone Transport Region (OTR), the completion of the OTAG 
process (described below), and the publication of EPA's proposed 
NOX SIP call. In addition, on July 18, 1997, EPA issued a 
revised NAAQS for ozone, for which is determined over an 8-hour period 
(the 8-hour standard) (62 FR 38856). In establishing the 8-hour 
standard, EPA is setting the standard at 0.08 parts per million and 
defines the new standard as a ``concentration-based'' form, 
specifically the 3-year average of the annual 4th-highest daily maximum 
8-hour ozone concentrations. This has resulted in more areas and larger 
areas with monitoring data indicating nonattainment. Thus, it is even 
more important to implement regional control strategies to mitigate 
interstate pollution in order to assist downwind areas in achieving 
attainment. This new 8-hour standard must now be taken into account, 
along with the pre-existing 1-hour standard, in resolving transport 
issues. These issues and events are detailed in the proposed 
NOX SIP call (62 FR 60318) and familiarity with that notice 
is assumed for purposes of today's notice. In addition, in many areas 
of the country, the 1-hour standard has been revoked because the areas 
are attaining that standard (63 FR 31013; June 5, 1998 and 63 FR 39432, 
July 22, 1998). A State may petition under section 126 for the both the 
1-hour standard, to the extent that it still applies in the petitioning 
State, and the 8-hour standard.
    The 1990 CAA set forth many requirements to address nonattainment 
of the 1-hour ozone NAAQS. Many States have found it difficult to 
demonstrate attainment of the NAAQS due to the widespread transport of 
ozone and its precursors. The Environmental Council of the States 
(ECOS) recommended formation of a national work group to allow for a 
thoughtful assessment and development of consensus solutions to the 
problem. This work group, OTAG, was established 3 years ago to 
undertake an assessment of the regional transport problem in the 
eastern half of the United States. The OTAG was a collaborative process 
conducted by representatives from the affected States, EPA, and 
interested members of the public, including environmental groups and 
industry, to evaluate the ozone transport problem and develop 
solutions. The OTAG region included the 37 eastern-most States and the 
District of Columbia. Through the OTAG process, the States concluded 
that widespread NOX reductions are needed in order to enable 
areas to attain and maintain the ozone NAAQS. Based on information 
generated by OTAG and other available data, EPA determined that certain 
States in the OTAG region were significantly contributing to 
nonattainment problems in downwind States. Therefore, EPA issued a 
proposed NOX SIP call requiring the States to revise their 
SIPs to include NOX control measures to mitigate the ozone 
transport. The EPA is finalizing the NOX SIP call in the 
same timeframe as this proposal on the section 126 petitions.
    The EPA's response to the section 126 petitions differs from EPA's 
action in the NOX SIP call rulemaking in several ways. In 
the NOX SIP call, where EPA concludes that NOX 
emissions from a State are significantly contributing to nonattainment 
problems in downwind States, EPA will require the State to submit SIP 
provisions to prohibit an amount of NOX emissions which 
represents the significant contribution. The State will have the 
discretion to select the mix of controls measures for their sources to 
meet the required statewide NOX reduction reductions. If the 
State does not make the required SIP submission, EPA is required to 
promulgate a Federal implementation plan (FIP) within 2 years of the 
State failure. In the November 7, 1997 NOX SIP call 
proposal, EPA announced that it intended to expedite the FIP 
promulgation in order to assure that the downwind States receive the 
air quality benefits of regional NOX reductions as soon as 
practicable. Therefore, the EPA is proposing FIPs for all the States 
affected by the NOX SIP call in conjunction with EPA's 
issuance of the final NOX SIP call.
    By comparison, section 126 petitions are limited to addressing 
emissions from upwind stationary sources and not other sectors of the 
inventory. If EPA grants the petitions, it is EPA, not the States, that 
promulgates control requirements for the sources. The control remedy 
for sources in the section 126 petitions that EPA is proposing in this 
action is consistent with the control assumptions EPA used for these 
sources in determining reductions projected to meet the final statewide 
NOX budgets for States subject to the NOX SIP 
call.
    Because the NOX SIP call process overlaps considerably 
with the section 126 petition process, in that they both address 
NOX transport in the eastern United States, EPA believes it 
is important to coordinate the two actions as much as possible. As 
discussed below, EPA and the petitioning States developed a proposed 
consent decree on the rulemaking schedule for the petitions that takes 
into consideration the NOX SIP call rulemaking.
    All of the States that submitted section 126 petitions are included 
in the OTR and participated in the OTAG process. In addition, all of 
the upwind sources identified in the petitions are located in the OTAG 
region. All eight petitions rely, in part, on the OTAG analyses for 
technical justification. The OTAG process concluded in June 1997 prior 
to the promulgation of the new 8-hour ozone standard and, therefore, 
the OTAG analyses focused on the 1-hour standard. All the petitions 
request relief under the 1-hour standard. Three of the petitions also 
request relief under the new 8-hour standard. In acting on the section 
126 petitions, EPA believes that it can only consider 8-hour 
nonattainment problems for the petitioning States that expressly 
requested relief under that standard. Under the NOX SIP 
call, EPA considered both 1-hour and 8-hour nonattainment problems 
throughout the OTAG region.
    Ground-level ozone, the main harmful ingredient in smog, is 
produced in complex chemical reactions when its precursors, volatile 
organic compounds (VOCs) and NOX, react in the presence of 
sunlight. The chemical reactions that create ozone take place while the 
pollutants are being blown through the air by the wind, which means 
that ozone can be more severe many miles away from the source of 
emissions than it is at the source.

[[Page 56296]]

    At ground level, ozone can cause a variety of ill effects to human 
health, crops and trees. Specifically, ground-level ozone induces the 
following health effects:
     Decreased lung function, primarily in children active 
outdoors,
     Increased respiratory symptoms, particularly in highly 
sensitive individuals,
     Hospital admissions and emergency room visits for 
respiratory causes, among children and adults with pre-existing 
respiratory disease such as asthma,
     Inflammation of the lung,
     Possible long-term damage to the lungs.
    The new 8-hour primary ambient air quality standard will provide 
increased protection to the public from these health effects.
    Each year, ground-level ozone above background is also responsible 
for several hundred million dollars worth of agricultural crop yield 
loss. It is estimated that full compliance of the newly promulgated 
ozone NAAQS will result in about $500 million of prevented crop yield 
loss. Ozone also causes noticeable foliar damage in many crops, trees, 
and ornamental plants (i.e., grass, flowers, shrubs, and trees) and 
causes reduced growth in plants. Studies indicate that current ambient 
levels of ozone are responsible for damage to forests and ecosystems 
(including habitat for native animal species).

C. Section 126

    Subsection (a) of section 126 requires, among other things, that 
SIPs require major proposed new (or modified) stationary sources to 
notify nearby States for which the air pollution levels may be affected 
by the fact that such sources have been permitted to commence 
construction. Subsection (b) provides:

    Any State or political subdivision may petition the 
Administrator for a finding that any major source or group of 
stationary sources emits or would emit any air pollutant in 
violation of the prohibition of section 110(a)(2)(D)(ii) * * * or 
this section.

    Subsection (c) of section 126 states that--

    [I]t shall be a violation of this section and the applicable 
implementation plan in such State [in which the source is located or 
intends to locate]--
    (1) For any major proposed new (or modified) source with respect 
to which a finding has been made under subsection (b) of this 
section to be constructed or to operate in violation of the 
prohibition of section 110(a)(2)(D)(ii) * * * or this section, or
    (2) For any major existing source to operate more than three 
months after such finding has been made with respect to it.

However, subsection (c) further provides that EPA may permit the 
continued operation of such major existing sources beyond the 3-month 
period, if such sources comply with EPA-promulgated emissions limits 
within 3 years of the date of the finding.
    Section 110(a)(2)(D) provides the requirement that a SIP contain 
adequate provisions--

    (i) Prohibiting, consistent with the provisions of this title, 
any source or other type of emissions activity within the State from 
emitting any air pollutant in amounts which will--
    (I) Contribute significantly to nonattainment in, or interfere 
with maintenance by, any other State with respect to [any] national 
* * * ambient air quality standard, or
    (II) interfere with measures required to be included in the 
applicable implementation plan for any other State under part C to 
prevent significant deterioration of air quality or to protect 
visibility.
    (ii) Insuring compliance with the applicable requirements of 
sections 126 and 115 (relating to interstate and international 
pollution abatement) * * *

As explained in detail in Section II.A., below, it is EPA's view that, 
with respect to existing stationary sources, sections 126(b)-(c) and 
110(a)(2)(D), read together, authorize a downwind State to petition EPA 
for a finding that major stationary sources or groups of sources upwind 
of the State emit in violation of the prohibition of section 
110(a)(2)(D)(i) because, among other reasons, their emissions 
contribute significantly to nonattainment, or interfere with 
maintenance, of a NAAQS in the State. If EPA grants the requested 
finding, the existing sources must shut down in 3 months unless EPA 
directly regulates the sources by establishing emissions limitations 
and a compliance period extending beyond 3 months but no later than 3 
years from the finding. In accordance with section 302(j) of the CAA, 
the term major stationary source means ``any stationary facility or 
source which directly emits, or has the potential to emit, one hundred 
tons per year or more of any air pollutant. * * *'' For the purpose of 
this rulemaking the relevant pollutant is NOX emissions.
    The EPA acknowledges that others have urged different readings of 
sections 126(b)-(c) and 110(a)(2)(D) and EPA solicits comments thereon 
in this rulemaking, as described in Section II.A.1., below.

D. Summary of Section 126 Petitions

    The petitions vary as to the type and geographic location of the 
source categories identified as significant contributors. All the 
petitions identified source categories; some petitions also provided 
lists of sources within the specified categories. The source categories 
include electric generating plants, fossil fuel-fired boilers and other 
indirect heat exchangers, and certain other related stationary sources 
that emit NOX. All the petitions target sources in the 
Midwest; some also target sources in the South and Northeast. The 
geographic area covered by each petition is shown in Figure 2. The EPA 
requests comment from the petitioning States as to whether EPA has 
correctly interpreted the geographic scope of their petitions.
    The petitions also vary as to the level of controls they recommend 
be applied to the sources to mitigate the transport problem. Several 
recommend EPA establish a 0.15 lb/mmBtu NOX emission 
limitation and several recommend that controls be implemented through a 
cap-and-trade program. The petitions are described in greater detail 
below.
    All of the petitions rely, in part, on OTAG analyses for technical 
support. In addition, the States submitted a variety of other technical 
analyses which include computerized urban airshed modeling, wind 
trajectory analyses, results of a transport study by the Northeast 
States for Coordinated Air Use Management, and culpability analyses.
    Table I-1 shows, by petitioner, the named source categories, the 
named geographic areas, and the requested remedy sought by the 
petitioning States. The named source categories are worded as they 
appear in the petitions. A map of the OTAG Subregions is provided in 
part 52, appendix F,
Figure 1.

[[Page 56297]]



                               Table I-1.--EPA's Summary of Section 126 Petitions
----------------------------------------------------------------------------------------------------------------
        State             Named source categories             Named States                Requested remedy
----------------------------------------------------------------------------------------------------------------
CT...................  Fossil fuel-fired boilers or   Sources in OTAG Subregions    Establish, at a minimum,
                        other indirect heat            2, 6, and 7 and portion of    emission limitations and a
                        exchangers with a maximum      OTR extending west and        schedule of compliance
                        gross heat input rate of 250   south of CT. Includes all     consistent with the OTC NOX
                        mmBtu/hr or greater and        or parts of IN, KY, MI, NC,   MOU, and a cap-and-trade
                        electric utility generating    OH, TN, VA, WV. And OTR       program. Does not request
                        facilities with a rated        States DC, DE, MD, NJ, NY,    remedy for OTR States
                        output of 15 MW or greater.    PA.                           because of OTC NOX MOU.
ME...................  Electric utilities and steam-  Sources within 600 miles of   Establish compliance
                        generating units with a heat   Maine's ozone nonattainmen    schedule and emissions
                        input capacity of 250 mmBtu/   t areas. Includes all or      limitation of 0.15 lb/mmBtu
                        hr or greater.                 parts of NC, OH, VA, WV,      for electric utilities and
                                                       and OTR States CT, DE, DC,    the OTC NOX MOU level of
                                                       MD, MA, NJ, NY, NH, PA, RI,   control for steam
                                                       VT.                           generating units, in a
                                                                                     multi-state cap-and-trade
                                                                                     NOX market system.
MA...................  Electricity generating         Sources in region within 3    Establish emissions
                        plants..                       counties on either side of    limitation of 0.15 lb/mmBtu
                                                       the Ohio River in IN, KY,     or 1.5 lb/MWh and a
                                                       OH, WV.                       compliance schedule.
NH...................  Fossil fuel-fired indirect     Sources in OTR States and     Establish compliance
                        heat exchange combustion       OTAG Subregions 1 through     schedule and emission
                        units and fossil fuel-fired    7. Includes all or parts of   limitations no less
                        electric generating            IL, IN, IA, KY, MI, MO, NC,   stringent than: (a) Phase
                        facilities which emit ten      OH, TN, VA, WV, WI. Also      III OTC NOX MOU reductions;
                        tons of NOX or more per day.   OTR States CT, DE, DC, MD,    and/or (b) 85% reductions
                                                       MA, ME, NJ, NY, PA, RI, VT.   from projected 2007
                                                                                     baseline; and/or (c) An
                                                                                     emission rate of 0.15 lb/
                                                                                     mmBtu.
NY...................  Fossil fuel-fired boilers or   Sources in OTAG Subregions 2  Establish, at a minimum,
                        indirect heat exchangers       6, and 7 and portion of OTR   emission limitations and a
                        with a maximum heat input      extending west and south of   schedule of compliance
                        rate of 250 mmBtu/hr or        NY. Includes all or parts     consistent with the OTC NOX
                        greater and electric utility   of IN, KY, MI, NC, OH, TN,    MOU, and a cap-and-trade
                        generating facilities with a   VA, WV. And OTR States DC,    program. Does not request
                        rated output of 15 MW or       DE, MD, NJ, PA.               remedy for OTR States
                        greater.                                                     because of OTC NOX MOU.
PA...................  Fossil fuel-fired indirect     AL, AR, GA, IL, IN, IA, KY,   Establish emission
                        heat exchange combustion       LA, MI, MN, MS, MO, NC, OH,   limitations and a
                        units with a maximum rated     SC, TN, VA, WV, WI.           compliance schedule for a
                        heat input capacity of 250                                   cap-and-trade program
                        mmBtu/hr or greater, and                                     requiring: (a) seasonal
                        fossil fuel-fired electric                                   reductions of the less
                        generating facilities rated                                  stringent of 55% from 1990
                        at 15 MW or greater.                                         baseline levels, or 0.20 lb/
                                                                                     mmBtu, beginning by May
                                                                                     1999; (b) if necessary,
                                                                                     seasonal reductions of the
                                                                                     less stringent of 75% from
                                                                                     1990 baseline levels, or
                                                                                     0.15 lb/mmBtu, beginning by
                                                                                     May 2003; (c) such
                                                                                     additional reductions as
                                                                                     necessary beginning in
                                                                                     2005.
RI...................  Electricity generating plants  Sources in region within 3    Establish emissions
                                                       counties on either side of    limitation of 0.15 lb/mmBtu
                                                       Ohio River in IN, KY, OH,     or 1.5 lb/MWh and a
                                                       WV.                           compliance schedule.
VT...................  Fossil fuel-fired electric     Sources located within a      Establish emissions
                        utility generating             geographic area extending     limitation of 0.15 lb/mmBtu
                        facilities with a maximum      1000 miles southwest from     or 1.5 lb/MWh and a
                        gross heat input rate of 250   Bennington, VT. Includes      compliance schedule. Does
                        mmBtu/hr or greater and        all or parts of IL, IN, KY,   not request remedy for OTR
                        potentially other              MI, NC, OH, TN, VA, WV.       States because of OTC NOX
                        unidentified major sources.    Also AL GA, IA, MO, SC, WI.   MOU.
                                                       Also OTR States CT, DE, DC,
                                                       MD, MA, NJ, NY, PA.
----------------------------------------------------------------------------------------------------------------

1. Control Remedies Recommended by Petitions
    The petitions vary regarding the remedy requested. Several of these 
petitions reference the OTC NOX MOU, with regard to control 
levels, affected sources, or compliance deadlines. All of the 
petitioning States were signatories on the OTC NOX MOU. The 
OTC NOX MOU commits these States (and the 4 other signatory 
parties--New Jersey, Maryland, Delaware, and the District of Columbia) 
to reductions in ozone season NOX emissions from large 
utility and industrial combustion sources through implementation of a 
phased-in regionwide cap-and-trade program. Specifically, affected 
sources in the OTR are fossil fuel-fired boilers and other indirect 
heat exchangers with a maximum rated heat input capacity of 250 mmBtu/
hr or greater, and electric generating facilities with a rated output 
of 15 megawatts (MW) or greater.
    The OTC NOX MOU established emissions reduction 
requirements for these sources in the OTR, creating emissions budgets 
for 1999 (Phase II) and 2003 (Phase III). (Phase I required the 
installation of reasonably available control technology (RACT) by May 
1995.) The requirements vary across three control zones in the region: 
an inner zone ranging from the District of Columbia metropolitan area 
northeast to southeastern New Hampshire (covering all contiguous 
moderate and above nonattainment areas), an outer zone ranging out from 
the inner zone to western Pennsylvania, and a northern zone which 
includes much of northern New York and northern New England (including 
most of New Hampshire).
    For Phase II of the OTC NOX MOU, which begins in 1999, 
sources in the inner zone are subject to emissions reduction 
requirements based on the less stringent of an emission rate of 0.20 
pounds NOX per million British thermal units of heat input 
(lb/mmBtu), or a 65 percent reduction from 1990 NOX levels; 
sources in the outer zone are subject to emissions reduction 
requirements based on the less stringent of a 0.20 lb/mmBtu rate, or a 
55 percent reduction from 1990 NOX levels; and

[[Page 56298]]

sources in the northern zone must adopt RACT. The Phase III 
requirements, which may be altered by a ``mid-course correction'' based 
on new information such as refined air quality modeling, establish 
emissions reduction requirements based on the lesser of a 0.15 lb/mmBtu 
rate, or a 75 percent reduction from 1990 levels for sources in both 
the inner and outer zones. Northern zone sources would face emissions 
reduction requirements based on the lesser of a 0.20 lb/mmBtu rate, or 
a 55 percent reduction from 1990 levels. In both Phase II and III in 
all three zones, electric generating facilities less than 250 mmBtu/hr 
but above 15 MW are subject only to a capping of emissions at 1990 
levels for purposes of budget calculation. However, individual States 
determine specific allocations for each source from their overall 
budget based on independent allocation formulas, and thus the 
allocation for these sources will not necessarily reflect this level.
    Though all of the petitions request that EPA impose controls in 
terms of various emissions limitations, four of the eight petitions--
New York, Connecticut, Pennsylvania, and Maine--also request that a 
trading program with a cap, or emissions budget, be established to 
implement these controls. Massachusetts, Rhode Island, and Vermont 
request that limitations be established for all named sources at 0.15 
lb/mmBtu, which is the level of control for electric generating 
facilities used to calculate the budget in the proposed NOX 
SIP call. Maine requests an emission limitation of 0.15 lb/mmBtu for 
named electric utilities, but the OTC NOX MOU level of 
control for named steam generating units. New Hampshire requests 
emission limitations no less stringent than the Phase III OTC 
NOX MOU reductions, and/or 85 percent reductions from the 
projected 2007 baseline, and/or an emission rate of 0.15 lb/mmBtu. New 
York, Connecticut and Pennsylvania all request that emissions 
limitations consistent with the OTC NOX MOU be imposed on 
named sources, but Pennsylvania and Connecticut specify the outer zone 
requirements; New York does not specify a zone. The level of reduction 
requested for 2003 in these three petitions specifying basic OTC 
NOX MOU requirements appears to be less stringent than that 
in the petitions requesting 0.15 lb/mmBtu, since the remedy requested 
would allow sources the option to implement the less stringent of a 
percentage reduction or an emission rate. In terms of smaller sources 
named by these three States, Pennsylvania's petition appears to seek 
somewhat more reductions than the OTC NOX MOU by requiring 
the same emission level for electric generating facilities less than 
250 mmBtu/hr and greater than 15MW as for larger units. Both 
Connecticut and New York appear to be aligned with the OTC 
NOX MOU in seeking only a capping of emissions at 1990 
levels for these smaller sources.
    New York, Connecticut and Pennsylvania recommend a date for the 
implementation by sources of control requirements: the OTC 
NOX MOU schedule of compliance, including its phased-in 
controls and implementation dates of 1999 and 2003. The remaining 
States request that EPA establish a schedule of compliance requiring 
sources to comply with emission limitations as expeditiously as 
practicable.
2. Sources Covered by Petitions
    The petitions vary somewhat regarding the universe of sources they 
name as significant contributors to their ozone problem. Three of the 
petitioning States--New York, Connecticut, and Pennsylvania--name the 
same universe of sources covered by the OTC NOX MOU. New 
Hampshire names fossil fuel-fired indirect heat exchangers and electric 
generating facilities as well, but uses a tonnage applicability cut-off 
to include only sources that emit ten tons or more of NOX 
per day. Massachusetts and Rhode Island name ``electricity generating 
plants'' as the universe requiring controls, without naming a specific 
size cutoff. Finally, Vermont names fossil fuel-fired electric 
generating facilities of 250 mmBtu or greater.
    All of the section 126 petitions, except Pennsylvania's, 
Massachusetts' and Rhode Island's, named some States in the OTR as 
significant contributors. However, only New Hampshire and Maine 
requested relief beyond OTC NOX MOU requirements from 
sources in the OTR. The geographic scope of each petition is discussed 
in Section II.
    Section 126 allows States to petition EPA for a finding against 
sources and groups of sources that ``emit'' or ``would emit'' pollution 
that significantly contributes to nonattainment problems in the 
petitioning State. Thus, a finding could potentially apply not only to 
existing sources within a particular source category, but also to 
sources that would be built in the future. The EPA believes the current 
section 126 petitions are ambiguous as to whether the requested 
findings are intended to encompass new sources.
    All of the petitions describe the requested finding as against 
source categories that ``are emitting'' significantly contributing 
levels of NOX. This suggests that perhaps the petitions are 
only intended to address existing sources. In addition, four petitions 
(Massachusetts, New Hampshire, New York, and Rhode Island) provide 
lists of sources in the targeted source categories and do not indicate 
that future sources should be added. However, it is notable that, in 
defining the universe of covered sources, all of the petitions 
identified specific source categories rather than just identifying 
specific sources. If emissions from the existing sources in the named 
source categories are of concern to the petitioning States, then it 
follows that emissions from new sources of the same type would also be 
of concern because they would increase the amount of emissions emitted 
by the category as a whole.
    The recommended control remedies in the petitions may provide the 
best insight into whether the petitions are to cover new sources. As 
discussed above, all of the petitioning States are signatories on the 
OTC NOX MOU. The OTC NOX MOU outlines a cap-and-
trade control program designed to reduce NOX transport from 
certain groups of stationary sources in the OTR that are generally the 
same types of sources as covered by the petitions. The OTC 
NOX MOU program does include controls on both existing and 
new sources. The Connecticut, New Hampshire, New York, and Pennsylvania 
petitions all request the section 126 control remedy to be consistent 
with the OTC NOX MOU. Maine also requests that a control 
remedy be implemented through a cap-and-trade program. Further, five of 
the eight petitions request that EPA make a section 126 finding against 
sources in other OTR States, in addition to sources outside the OTR. It 
does not seem reasonable that any of the petitioning States would 
determine that both existing and new sources should be controlled for 
transport purposes within the OTR through the OTC NOX MOU, 
while recommending that outside the OTR only existing sources of the 
same type would need to be controlled for transport.
    Based on the above information, EPA is proposing to interpret all 
eight section 126 petitions to cover both existing and new sources. 
Therefore, if any final findings are triggered for source categories in 
a particular geographic area, new sources in those source categories 
locating in that area would also be subject to the section 126 control 
remedy. If any of the petitioning States disagrees with this 
interpretation as to its petition, EPA requests that the State

[[Page 56299]]

submit clarifying comments on this issue.

E. Litigation on Rulemaking Schedule

    Section 126(b) requires EPA to make the requested finding, or deny 
the petition, within 60 days of receipt. It also requires EPA to 
provide a public hearing for the petition. In addition, EPA's action 
under section 126 is subject to the procedural requirements of section 
307(d) of the CAA. One of these requirements is notice-and-comment 
rulemaking. Section 307(d) provides for a time extension, under certain 
circumstances, for rulemakings subject to that provision. Specifically, 
it allows statutory deadlines that require promulgation in less than 6 
months from proposal to be extended to not more than 6 months from 
proposal to afford the public and the Agency adequate opportunity to 
carry out the purposes of section 307(d). In three notices dated 
October 22, 1997 (62 FR 55769), November 20, 1997 (62 FR 6194), and 
January 2, 1998 (63 FR 26), EPA ultimately extended the deadline for 
its requirement to take action on the eight petitions to December 18, 
1997.
    On February 25, 1998, the eight petitioning States filed a 
complaint in the U.S. District Court for the Southern District of New 
York to compel EPA to take action on the States' section 126 petitions. 
State of Connecticut v. Browner, No. 98-1376. The EPA and the eight 
States filed a proposed consent decree that would establish a schedule 
for EPA to act on the petitions. Pursuant to CAA section 113(g), the 
EPA solicited comments on the proposed consent decree, by notice dated 
March 5, 1998 (63 FR 10874). The comment period closed April 6, 1998. 
On August 21, 1998, after considering the comments received in the 
section 113(g) process, EPA requested the Court to enter a slightly 
modified version of the consent decree. Pending the Court's action on 
that request, EPA is continuing to follow the schedule in the proposed 
consent decree.
    The schedule recommended in the proposed consent decree would 
require EPA to take final action on at least the technical merits of 
the petitions by April 30, 1999. The recommendation would further 
permit EPA to structure the final action it would take by April 30, 
1999 so as to defer the granting or denial of the petitions to certain 
later dates extending to as late as May 1, 2000. The section 126 
rulemaking schedule is described in more detail in Section II.A.2. of 
this notice.

F. Advance Notice of Proposed Rulemaking on Petitions

    In accordance with the schedule in the proposed consent decree, on 
April 30, 1998, EPA published in the Federal Register (63 FR 24058) an 
advance notice of proposed rulemaking (ANPR) on the section 126 
petitions. The ANPR provided EPA's preliminary identification of source 
categories named in the petitions that significantly contribute to 
nonattainment problems in the petitioning States, provided EPA's 
preliminary assessment of the types of recommended emissions 
limitations and compliance schedules, provided EPA's preliminary 
assessment of the remedy the Agency would propose for approvable 
petitions, discussed legal and policy issues raised under section 126, 
and outlined the rulemaking schedule for the petitions. The ANPR 
solicited comment on all of the issues and preliminary assessments. The 
EPA received approximately 50 comments on the ANPR from industry, 
States, and environmental groups. These comments covered the full 
spectrum of issues discussed in the ANPR and were carefully considered 
in the development of today's proposal. The EPA appreciates the efforts 
by the commenters to provide early, thoughtful input on this 
rulemaking. The EPA will respond to the ANPR comments, if any response 
is appropriate, when EPA responds to comments on this proposal. After 
reading this proposal, if any commenters on the ANPR believe their 
comments are still relevant, there is no need to resubmit the comments 
in full. Instead, commenters may simply submit a letter requesting that 
EPA consider their ANPR comments for purposes of today's proposal 
action. This proposal supersedes any preliminary positions taken in the 
ANPR.

II. EPA's Analytical Approach and Proposed Action on Petitions

A. EPA's Proposed Interpretation of Section 126 and Analytical Approach 
for Determining Whether to Grant or Deny the Petitions

1. The Appropriate Test Under Section 126
    Section 126(b) provides that a State may petition EPA for a finding 
that specified sources or groups of sources in other States emit or 
would emit air pollutants ``in violation of the prohibition of section 
110(a)(2)(D)(ii) of this title or this section.'' \1\ Section 110 
(a)(2)(D) provides the requirement that a SIP:

    \1\ The cross-reference to section 110(a)(2)(D)(ii) is repeated 
3 times in section 126(b). The EPA will refer to these cross-
references in the singular.
---------------------------------------------------------------------------

    Contain adequate provisions:
    (i) prohibiting, consistent with the provisions of this title, 
any source or other type of emissions activity within the State from 
emitting any air pollutant in amounts which will--
    (I) contribute significantly to nonattainment in, or interfere 
with maintenance by, any other State with respect to (any) national 
ambient air quality standard, or
    (II) interfere with measures required to be included in the 
applicable implementation plan for any other State under part C to 
prevent significant deterioration of air quality or to protect 
visibility,
    (ii) insuring compliance with the applicable requirements of 
sections 126 and 115 (relating to interstate and international 
pollution abatement).
* * * * *
    One issue is whether the cross-reference in section 126(b) to 
section 110(a)(2)(D)(ii) is valid, or instead should be considered to 
be a scrivener's error and be read to refer to section 110(a)(2)(D)(i). 
The EPA has offered the latter view in general and preliminary 
guidance. See, e.g., 62 FR 55769 (Oct. 22, 1997) and 63 FR 24058 (Apr. 
30, 1998).
    Some have argued that section 126(b) should be read literally and 
that this reading would require EPA to deny the 8 petitions on grounds 
that section 126 allows a State to file a petition with EPA only to 
force other States to meet the requirements of section 126 itself 
(i.e., the requirement in section 126(a) that SIPs include provisions 
to require new and modified major stationary sources to give 
preconstruction notification to nearby States under certain 
circumstances). \2\
---------------------------------------------------------------------------

    \2\ See Letter from Henry V. Nickel, et al., Counsel for the 
Utility Air Regulatory Group, to Carol M. Browner, Administrator, 
U.S. EPA, November 21, 1997 (UARG Letter); Letter from Betty D. 
Montgomery, Attorney General of Ohio et. al., to Richard Wilson, 
Acting Assistant Administrator for Air & Radiation, U.S. EPA, 
November 5, 1997 (letters included in the docket to this 
rulemaking).
---------------------------------------------------------------------------

    In the alternative, some have argued that, if in fact there is a 
scrivener's error, the proper cross-reference should be to section 
110(a)(2)(D)(i)(II), and not section 110(a)(2)(d)(i)(I). UARG letter. 
The effect of this reading would be to limit section 126 petitions to 
cases in which the upwind sources are adversely affecting clean areas 
under the prevention of significant deterioration requirements of part 
C of title I of the CAA, or visibility.
    The EPA believes that there is a scrivener's error in section 126. 
Furthermore, EPA disagrees that the scrivener's error is a misreference 
to section 110(a)(2)(D)(i)(II). In this

[[Page 56300]]

proposed action, EPA takes the position that the reference in section 
126(b) to section 110(a)(2)(D)(ii) is a drafting error and that 
Congress intended to reference section 110(a)(2)(D)(i). The merit of 
this statutory interpretation is apparent on several levels. First, the 
reference to ``the prohibition of section 110(a)(2)(D)(ii)'' is 
ambiguous at best, and arguably nonsensical, since section 
110(a)(2)(D)(ii) contains no prohibition, yet 110(a)(2)(D)(i) does. 
Second, the statutory cross reference contained in section 126(b), if 
taken on its face, would render section 126(b) largely meaningless. 
Finally, the legislative history of the CAA Amendments supports this 
interpretation. The EPA's interpretation is consistent with the reading 
of the CAA prior to the 1990 Amendments and Congress expressed no 
indication that it meant to substantively revise this provision of the 
statute at the time it administratively renumbered the provision.
    The EPA also does not believe that the reference to section 
110(a)(2)(D)(ii) is a mistaken cross-reference to section 
110(a)(2)(D)(i)(II). Such a cross-reference would limit the 
availability of section 126 to the prevention of significant 
deterioration and visibility provisions of section 110(a)(2)(D)(i), a 
severe limitation for which there is no indication in the legislative 
history.
    Section 126(b) authorizes the EPA to find that any major source or 
group of stationary sources emits or would emit any air pollutant ``in 
violation of the prohibition of section (a)(2)(D)(ii) of this title or 
this section'' (emphasis added). However, section 110(a)(2)(D)(ii) 
contains no prohibition. Rather, it provides that SIPs must ``contain 
adequate provisions insuring compliance with'' statutory sections 
relating to interstate and international pollution abatement.
    By contrast, section 110(a)(2)(D)(i)--the provision that EPA 
believes Congress intended to cross-reference in section 126(b)--does 
contain a prohibition. It requires that SIPs contain adequate 
provisions ``prohibiting'' any source or other type of emissions 
activity within the State from emitting any air pollutant in amounts 
that, among other things, will contribute significantly to 
nonattainment in, or interfere with maintenance by, another State with 
respect to the NAAQS. Thus, the textual interplay between sections 
126(b) and 110(a)(2)(D) provides strong evidence that the CAA contains 
``a simple scrivener's error, a mistake made by someone unfamiliar with 
the law's object and design.'' In re Chateaugay Corp., 89 F.3d 942, 954 
(2d Cir. 1996) (holding that courts are empowered to correct an 
erroneous statutory cross-reference that inadvertently results from 
legislative changes (quoting United States Nat'l Bank v. Independent 
Ins. Agents, 508 U.S. 439, 462 (1993)); see also, United States v. 
Gibson, 770 F.2d 306, 308 (2d Cir. 1985) (per curiam) (correcting 
ambiguity in criminal fraud statute that resulted from the error of a 
scrivener in using the word `and' rather than `or' when codifying the 
statute).
    As further support, reading section 126(b) as cross-referencing 
section 110(a)(2)(D)(ii) essentially renders that provision redundant 
and meaningless. Section 126 allows a party to petition EPA with 
respect to a ``violation of the prohibition in section 110(a)(2)(D)(ii) 
or this section.'' Section 110(a)(2)(D)(ii) cross-references back to 
section 126, as well as to section 115. To the extent section 
110(a)(2)(D)(ii) cross-references back to section 126, the statute is 
redundant. Reading the two provisions together, section 126 would 
provide an opportunity for parties to file a petition claiming that a 
SIP violates the prohibition of section 110(a)(2)(D)(ii) (i.e., section 
126) or this section (i.e., section 126).
    Moreover, to the extent section 110(a)(2)(D)(ii) references section 
115, the provision is meaningless. There is no relief that can be 
provided under section 126. Sections 126 and 115 create separate 
processes for different parties to petition the Agency for a finding 
that SIP is inadequate. Under section 115, the Administrator may issue 
a SIP Call to a State based on a request by an international agency or 
the Secretary of State that an air pollutant or pollutants emitted in 
the United States ``cause or contribute to air pollution which may 
reasonably be anticipated to endanger public health or welfare in a 
foreign country.'' In contrast, only ``States'' or ``political 
subdivisions''--entities under the jurisdiction of the United States--
may request relief under section 126. If Congress intended States or 
political subdivisions in the United States with the opportunity to 
seek relief for pollution transported to foreign countries, Congress 
could have provided so in a much clearer fashion in section 115. It is 
highly doubtful that Congress would have used such a cryptic reference 
to grant political entities within the United States the power to 
address pollution being transported out of the country from other 
States.
    Finally, EPA's interpretation that there is a scrivener's error and 
that the reference should be to section 110(a)(2)(D)(i), fits with the 
legislative history on this provision. Courts ``recognize that during 
the drafting process an error may creep in,'' and that ``statutes are 
not drafted with mathematical precision, and should be construed with 
some insight into Congress' purpose at the time of the enactment.'' In 
re Chateaugay Corp., 89 F.3d at 953. Here, the legislative history, as 
set forth in the Senate Report and the House Conference Report 
regarding the 1990 CAA Amendments, provides additional, persuasive 
evidence that section 126(b)'s cross-reference to section 
110(a)(2)(D)(ii) is erroneous. See Pierpont v. Barnes, 94 F.3d 813, 817 
(2d Cir. 1996) (committee reports are ``particularly good indicator(s) 
of congressional intent,'') cert. denied, 117 S. Ct. 1691 (1997).
    To start, the Senate Report observes that the CAA, prior to the 
1990 amendments, allowed section 126 to be used only for violations of 
section 110(a)(2)(E)(i), which ``relate(d) to the preparation of 
SIP(s).'' S. Rep. No. 101-228, 101st Cong., 2d Sess. 75 (1989), 
reprinted in 1990 U.S.C.C.A.N. 3385, 3461. Thus, under section 126(b)'s 
pre-1990 version, ``a State being injured by another State's pollution 
(could) file a complaint about the offending State's SIP, but not the 
pollution itself.'' Id. at 76, 1990 U.S.C.C.A.N. 3385, 3462. Notably, 
the Senate Report makes no mention of changing section 126(b)'s cross-
reference to section 110(a)(2)(E)(i)-- nor would it, since section 
110(a)(2)(E)(i) had defined the SIP violation historically redressable 
under section 126(b). Because the amendments simply revised the text of 
former section 110(a)(2)(E)(i) and then renumbered it as section 
110(a)(2)(D)(i), compare 42 U.S.C.A. 7410(a)(2)(E)(i) (1990) with 42 
U.S.C.A. 7410(a)(2)(D)(i) (1995), \3\ there is substantial reason to 
believe that section 126(b)'s current cross-reference to section 
110(a)(2)(D)(ii) is mistaken.
---------------------------------------------------------------------------

    \3\ The 1990 CAA Amendments revised section 110(a)(2)(D) by 
dropping certain provisions not relevant here, and incorporating 
other provisions previously contained in section 110(a)(2)(E). See 
CAA Amendments of 1990, Pub. L. 101-549, 101(b), 104 Stat. 
2404(1990); S. Rep. No. 101-228, 101st Cong., 2d Sess. 20 (1989), 
reprinted in 1990 U.S.C.C.A.N. 3385, 3406.
---------------------------------------------------------------------------

    Indeed, ``[w]hen Congress revises and renumbers existing laws, a 
court should not infer any legislative aim to change the law's effect 
unless such intention is clearly expressed.'' In re Chateaugay Corp., 
89 F.3d at 953 (citing Finley v. United States, 490 U.S. 545, 554 
(1989)). Far from expressing a clear intent to effectuate the 
fundamental change in law that would result from section 126(b)'s new 
cross-reference to section 110(a)(2)(D)(ii), the legislative history 
for the 1990 CAA Amendments actually

[[Page 56301]]

demonstrates a contrary purpose. According to the House Conference 
Report, these amendments sought to ``enhance the enforcement authority 
of the Federal government under the CAA, ``including ``EPA enforcement 
authority regarding violations of State Implementation Plans.'' H. Rep. 
No. 101-952, 101st Cong. 2d Sess. 347 (1990), reprinted in, 1990 
U.S.C.C.A.N. 3385, 3879. As noted above, however, the ambiguous change 
in section 126(b)'s cross-reference would apparently divest the EPA of 
its former jurisdiction to redress--via the section 126 petition 
process--SIP violations regarding interstate pollution. See 42 U.S.C.A. 
7426(b) (1990) (authorizing EPA to adjudicate petitions alleging 
violations of SIP requirements that are now substantially incorporated 
into section 110(a)(2)(D)(i)). Given the lack of any legislative 
history that would support such a significant shift in policy, and 
considering Congress' stated desire to enhance the EPA's SIP 
enforcement authority, this contradictory result is highly suspect. See 
In re Chateaugay Corp., 89 F.3d at 953 (``where it appears plain that 
an error in drafting has occurred, so that a literal construction would 
make a dramatic change in long-standing law, it is both sensible and 
permissible for judges to consider, in conjunction with other factors, 
Congress' complete silence on the literal effect of the change.'') \4\
---------------------------------------------------------------------------

    \4\ The Senate Report also expresses a congressional desire to 
promote the EPA's enforcement activity, not to constrain it. As the 
Senate committee observed, prior to 1990, the CAA ``allow(ed) a 
State to file a petition with the Administrator complaining of 
interstate air pollution (in violation of section 110(a)(2)(E)(i)), 
but not to file a lawsuit for violation of section 126. The 
amendment to section 304, (however,) allow(ed) a State, and 
citizens, to sue in Federal district court for violation of section 
126.'' S. Rep. No. 101-228, 101st Cong., 2d Sess. 76 (1989), 
reprinted in 1990 U.S.C.C.A.N. 3385,3462. That Congress created a 
judicial mechanism by which to compel the EPA to respond to section 
126 petitions is instructive. Because this legislative action is 
clearly inconsistent with any construction of the CAA that divests 
the EPA of its authority to enforce the very SIP requirements 
formerly contained in section 110(a)(2)(E)(i), it casts serious 
doubt upon the validity of section 126(b)'s amended cross-reference 
to section 110(a)(2)(D)(ii).
---------------------------------------------------------------------------

    The EPA believes that its proposed interpretation is permissible 
because it resolves the ambiguity in the interplay between sections 126 
and 110(a)(2)(D) in a manner that harmonizes and gives meaning to all 
of their provisions and reasonably accommodates the purposes of the 
provisions. See Chevron, U.S.A., Inc. v. Natural Resources Defense 
Council, 467 U.S. 837, 844 (1984).
2. EPA's Analytical Approach for Determining Whether To Grant or Deny 
the Petitions
    a. EPA's Interpretation of Significant Contribution under Section 
110. The EPA's final NOX SIP call rule sets forth EPA's 
interpretations of section 110(a)(2)(D)(i)(I) in the context of 
regional transport of ozone. The EPA proposes and is seeking comment on 
retaining and employing those interpretations for purposes of 
determining, under section 126(b), whether any of the sources and 
source categories named in the petitions ``emits or would emit any air 
pollutant in violation of the prohibition'' of section 
110(a)(2)(D)(i)(I). For purposes of this proposal, EPA incorporates 
into the proposal, by reference, the explanation of those 
interpretations, as well as all of the supporting rationale and 
technical support for them. See, especially, Section II of the preamble 
to the final NOX SIP call rule. Each of these steps is 
discussed in the remainder of Section II of this notice.
    b. Applying EPA's Section 110 Interpretation of ``Significant 
Contribution'' and ``Interference'' under Section 126. The EPA proposes 
to apply its interpretation of section 110(a)(2)(D)(i)(I) to determine 
which if any NOX sources or source categories named in the 
section 126 petitions ``emits or would emit any air pollutant in 
violation of the prohibition'' in section 110(a)(2)(D)(i)(I). The EPA 
believes that its interpretations in the context of section 110 apply 
with relative ease to its decision under section 126, with one 
additional step noted below.
    First, in acting on the section 126 petitions, EPA proposes to use 
the linkages it drew in the NOX SIP call rulemaking between 
specific upwind States and nonattainment and maintenance problems in 
specific downwind States. The EPA is seeking comment on and will 
carefully evaluate these linkages, and in particular, the linkages EPA 
has made between some of the more distant States, such as the linkages 
made between Alabama and Pennsylvania and Missouri and Pennsylvania.
    In the next step, EPA determines which of that ``covered'' upwind 
State's major stationary NOX sources that are named in the 
downwind State's petition may emit in violation of the prohibition in 
section 110(a)(2)(D)(i) because they emit in amounts that contribute 
significantly to nonattainment in, or interfere with maintenance by, 
the petitioning State. For this, EPA proposes to use its analysis of 
highly cost-effective measures in the NOX SIP call rule to 
determine which of the covered upwind States' major stationary 
NOX sources named in the petitions emit NOX in 
amounts that contribute significantly. Thus, if EPA identified highly 
cost-effective measures for a particular source category in the 
NOX SIP call, then EPA proposes in this notice to make an 
affirmative ``technical determination''--i.e., a finding that any 
source in that category located in a covered upwind State emits in 
amounts that will contribute significantly to nonattainment in, or 
interfere with maintenance by, the petitioning State(s) linked to that 
upwind State.
    This methodology applies both to a petition that names sources in 
the entire contributing upwind State and to a petition that names 
sources in only a small portion of an upwind contributing State. As 
described more fully in the NOX SIP call rulemaking, the 
only viable solution to ozone nonattainment is to apply pollution-
reduction measures to a large collection of sources in many States, 
each one of which by itself may produce a small or perhaps immeasurable 
impact on the nonattainment problem for a particular area. Under this 
collective contribution approach, if EPA determines that the full set 
of NOX sources in an upwind State significantly contributes 
to nonattainment in, or interferes with maintenance by, a particular 
downwind State, then any NOX sources in the upwind State 
that can apply highly cost-effective control measures must be 
considered part of the solution to those downwind problems and 
therefore contributes to downwind nonattainment.
    c. Emitting ``In Violation of the Prohibition'' in Section 110--the 
Decision Whether to Grant or Deny Each Petition. As noted above, the 
test under EPA's interpretation of section 126 is whether the sources 
named in the petitions emit in violation of the section 110(a)(2)(D)(i) 
prohibition. That prohibition, however, by the terms of section 
110(a)(2)(D)(i), should be included in SIP provisions. The EPA has now 
issued its NOX SIP call rule under that section, and has set 
forth a track that upwind States must follow to satisfy its terms. 
Under the NOX SIP call, EPA has given the covered States 
until September 1999 to submit SIPs satisfying the rule, and has 
specified that those SIPs must prohibit the NOX emissions 
that contribute significantly by a date no later than May 1, 2003. By 
that rule, EPA has established emissions budgets for each State, which 
reflect elimination of the significant contribution of NOX 
emissions within

[[Page 56302]]

the State. The EPA has further established by rule May 1, 2003 as the 
final date by which all measures to meet that budget must be 
implemented. In addition, EPA has proposed a FIP that could be 
promulgated if a State fails to respond adequately to the 
NOX SIP call.
    Section 126 calls for relief where EPA finds that sources are 
emitting ``in violation of the prohibition'' of section 
110(a)(2)(D)(i). The EPA believes that it is sensible to interpret this 
language in light of the ongoing action of both States and EPA. Thus, 
so long as EPA and States (and ultimately the sources the State 
determines to regulate) are on track to meet the goals of the 
NOX SIP call, EPA believes it is appropriate to determine 
that sources are not emitting in violation of the prohibition in 
section 110(a)(2)(D)(i) for purposes of section 126(b). States and EPA 
will be on track if States timely submit a complete and approvable SIP 
and EPA acts promptly to approve the plan. In the alternative, if a 
State fails to submit in a timely manner a complete or approvable plan, 
efforts will be on track so long as EPA promulgates a FIP. The EPA 
further believes this approach is sensible because an alternative 
interpretation, which would result in a section 126 remedy going into 
effect despite timely action by States and EPA in response to the 
NOX SIP call, would lead to unnecessary and duplicative 
efforts. Such an approach would not only waste Agency resources, but 
could ultimately undermine efforts to reduce interstate transport by 
adding confusion to the process.
    Based on this interpretation of the language in section 126, EPA 
has considered an alternative form of final action on the section 126 
petitions that takes into account whether the State and/or EPA is on 
track to institute a satisfactory plan in response to the 
NOX SIP call rule.
    As described in Section I above, the proposed consent decree would 
require EPA to take a final action on the section 126 petitions by 
April 30, 1999. In formulating the proposed consent decree, EPA 
developed an alternative approach that it believes would harmonize the 
section 126 and 110 actions. Specifically, paragraph 5.b. and c. state 
that:

    b. Unless EPA takes the final action described in paragraph 6, 
as to each individual petition, EPA's final action will be to--
    (i) Grant the requested finding, in whole or part; and/or
    (ii) Deny the petition, in whole or part.
    c. Unless EPA denies a petition in whole, its final action will 
include promulgation of a remedy under CAA section 126(c) for 
sources to the extent that a requested finding is granted with 
respect to those sources.

    Then paragraph 6 states:

    6. EPA shall be deemed to have complied with the requirements of 
Paragraph 5(a) if it instead takes a final action by April 30, 1999, 
that--
    a. makes an affirmative determination concerning the technical 
components of the ``contribute significantly to nonattainment'' or 
``interfere with maintenance'' tests under CAA section 
110(a)(2)(D)(i), 42 U.S.C. section 7410(a)(2)(D)(i);
    b. further provides that:
    (i) If EPA does not issue a proposed approval of the relevant 
Upwind State's SIP revision (submitted in response to the 
NOX SIP call) by November 30, 1999, then the finding will 
be deemed to be granted as of November 30, 1999, without any further 
action by EPA;
    (ii) If EPA issues a proposed approval of said SIP revision by 
November 30, 1999, but does not issue a final approval of said SIP 
revision by May 1, 2000, then the finding will be deemed to be 
granted as of May 1, 2000, without any further action by EPA;
    (iii) If EPA issues a final approval of said SIP revision by May 
1, 2000, EPA must take any and all further actions, if necessary to 
complete its action under section 126, no later than May 1, 2000; 
and
    c. Promulgates a remedy under CAA section 126(c) for sources to 
the extent that an affirmative determination is made with respect to 
those sources.

    The EPA believes that the alternative form of final action set 
forth in Paragraph 6 of the proposed decree best harmonizes sections 
110(a)(2)(D)(i)(I) and 126. The EPA believes that sources in an upwind 
State should not be considered to be emitting an air pollutant in 
violation of the section 110 prohibition, and hence EPA should not 
grant a petition naming such sources, if the State is adhering to the 
NOX SIP call rule's schedule for submission of an approvable 
SIP revision, and EPA is acting speedily to approve the SIP--or, 
failing that, if EPA has promulgated a FIP for the State. After all, if 
EPA's rule provides a particular path for the development of a plan 
calling on sources to reduce interstate pollution by May 1, 2003, and 
under that rule either the upwind State or EPA is moving forward to 
develop, take action on or promulgate a satisfactory plan meeting that 
rule and achieving attainment as expeditiously as practicable, it would 
be difficult to conclude that an affected source in the upwind State 
``emits or would emit in violation'' of the prohibition that the plan 
is not yet required to contain.5
---------------------------------------------------------------------------

    \5\ Moreover there does appear to be tension between section 
110(a)(2)(D), which does not establish the timing as to when the SIP 
prohibition needs to be effective against sources (i.e., when 
sources need to implement controls to reduce emissions) and the 
timing in section 126, which requires implementation no later than 3 
years following a section 126(b) determination. The EPA does not 
believe that Congress intended section 126 to be used to shorten 
timeframes for action that EPA has previously determined are 
approvable for purposes of eliminating significant contribution to 
nonattainment areas in other States.
---------------------------------------------------------------------------

    For these reasons, EPA proposes to follow the alternative described 
in Paragraph 6 of the proposed decree. Thus, EPA proposes to structure 
its final action to contain: (1) A series of ``technical 
determinations'' as to which sources in which States named in the 
petitions would emit in violation of the section 110 prohibition if the 
State or EPA were to fall off track in putting a timely and 
satisfactory plan in place;
(2) determinations that the petitions will automatically be deemed 
granted or denied on the basis of the events set forth in Paragraph 6; 
and (3) the remedial requirements that will apply to the sources 
receiving affirmative technical determinations if a petition naming 
those sources is ultimately deemed granted.
    The EPA believes that the timeframes and triggers in Paragraph 6 
are reasonable and feasible, and the Agency intends to execute them 
timely. For States that make a timely SIP submission, EPA believes it 
is feasible for the Agency to issue a proposed rule within 60 days of 
the submission deadline. Under the CAA, EPA is provided 60 days--but no 
more than 6 months--in which to affirmatively determine whether a 
submission is complete.
    If EPA does not make an affirmative completeness determination, the 
submission is deemed complete. Once a submission is affirmatively found 
to be or is deemed complete, the CAA then provides EPA with 12 months 
to approve or disapprove the submission. Thus, at maximum, the CAA 
provides EPA with 18 months to approve or disapprove a SIP submission. 
The EPA is proposing a 7-month period to act on submissions in response 
to the NOX SIP call. While this period is shorter than the 
maximum period contemplated under the CAA, EPA believes that it is 
feasible and appropriate in the present circumstances. The EPA 
anticipates that the EPA Regional Offices will be working with States 
as States draft rules in response to the NOX SIP call and 
will be well prepared to issue a proposed determination within 60 days 
of the required submission date. Further, in light of EPA's work with 
the States in development of their plans, the 5-month period between 
proposal and final action should allow the Agency ample time to review 
any comments and to

[[Page 56303]]

prepare a final action. An additional benefit of this schedule for EPA 
action is that it will provide sources with certainty about the 
applicable requirements well before the latest implementation date that 
is permitted by the NOX SIP call. Moreover, if the State 
fails to submit an approvable plan, EPA will be well positioned to 
promulgate a FIP for the State, based on the FIP proposal that the 
Agency is issuing separately. It is important to achieve the 
NOX reductions necessary to protect public health and to 
attain the NAAQS as expeditiously as practicable. Therefore, where a 
State or EPA has failed to meet a deadline it will be critical to have 
the section 126 remedy go into effect as soon as possible thereafter in 
order to ensure that the NOX emission reductions are 
achieved as soon as practicable, which in the NOX SIP call 
EPA has determined to be May 1, 2003. The schedule EPA has proposed to 
enter into is intended to ensure that either the FIP or the 126 remedy 
goes into effect in order to achieve the NOX emission 
reductions by May 1, 2003.

B. Weight of Evidence Determination of Named Upwind States

    As discussed above, in acting on the section 126 petitions EPA 
proposes to rely on the conclusions it drew in the final NOX 
SIP call rulemaking to determine whether the emissions in named upwind 
States contribute significantly to the 1-hour and 8-hour nonattainment 
and maintenance problems in the petitioning States. To evaluate the air 
quality impacts in the final NOX SIP call rulemaking, EPA 
used a weight-of-evidence approach involving three sets of modeling 
information: The State-by-State UAM-V zero-out modeling, the CAMx 
source apportionment modeling, and the OTAG subregional modeling and 
other information such as emission density and transport 
distance.6 A number of ``metrics'' (i.e., measures of ozone 
contributions) were used to assess the air quality effects from several 
perspectives of contribution from sources in various upwind States. The 
technical details of the modeling information and metrics are described 
in the final NOX SIP call rulemaking.
    The named upwind States which are linked as containing sources that 
are significant contributors to each petitioning State in the final 
NOX SIP call rulemaking are listed in Tables II-1 for the 1-
hour NAAQS and Table II-2 for the 8-hour NAAQS. The information that 
EPA relied on in making these significance linkages is provided in the 
final NOX SIP call rulemaking. All of the information that 
is contained in the docket of the NOX SIP call rulemaking is 
incorporated by reference into this proposal. The EPA concluded from 
all of this information that the following 20 jurisdictions contain 
sources that make a significant contribution to nonattainment in, or 
interfere with maintenance by, one or more petitioning States under the 
1-hour and/or the 8-hour NAAQS:

Alabama
Connecticut
Delaware
District of Columbia
Illinois
Indiana
Kentucky
Maryland
Massachusetts
Michigan
Missouri
New Jersey
New York
North Carolina
Ohio
Pennsylvania
Rhode Island
Tennessee
Virginia
West Virginia

 Table II-1.--Named Upwind States which Contain Sources that Contribute
        Significantly to 1-Hr Nonattainment in Petitioning States
------------------------------------------------------------------------
      Petitioning State
     (nonattainment area)                 Named upwind States
------------------------------------------------------------------------
New York.....................  DE, DC, IN, KY, MD, MI, NC, NJ, OH, PA,
                                VA, WV.
Connecticut..................  DE, DC, IN,* KY,* MD, MI,, NC,, NJ, NY,
                                OH, PA, VA, WV.
Pennsylvania.................  NC, OH, VA, WV.
Massachusetts................  OH, WV.
Rhode Island.................  OH, WV.
Maine........................  CT, DE, DC, MD, MA, NJ, NY, PA, RI.
New Hampshire................  CT, DE,* DC,* MA, MD,* NJ, NY, PA, RI,
                                VA.*
Vermont......................  None.
                              ------------------------------------------
    Total....................  CT, DE, DC, IN, KY, MA, MD, MI, NC, NJ,
                                NY, OH, PA, RI, VA, WV.
------------------------------------------------------------------------
*Upwind States marked with an asterisk are included in the table because
  they contribute to an interstate nonattainment area that includes part
  of the petitioning State. Part of New Hampshire is included in the
  Boston/Portsmouth nonattainment area; part of Connecticut is included
  in the New York City nonattainment area.


  Table II-2. Named Upwind States which Contain Sources that Contribute
        Significantly to 8-Hr Nonattainment in Petitioning States
------------------------------------------------------------------------
      Petitioning State                   Named upwind States
------------------------------------------------------------------------
Pennsylvania.................  AL, IL, IN, KY, MI, MO, NC, OH, TN, VA,
                                WV.
Massachusetts................  OH, WV.
Vermont......................  None.
                              ------------------------------------------
    Total....................  AL, IL, IN, KY, MI, MO, NC, OH, TN, VA,
                                WV.
------------------------------------------------------------------------

    The EPA also concluded that sources in the following 11 States do 
not make a significant contribution to nonattainment in, or interfere 
with maintenance by, any of the petitioning States under the 1-hour 
and/or the 8-hour NAAQS:
---------------------------------------------------------------------------

    \6\ The UAM-V is the Variable-grid Urban Airshed Model. The CAMx 
is the Comprehensive Air Quality Model With Extensions.

---------------------------------------------------------------------------

[[Page 56304]]

Arkansas
Georgia
Iowa
Louisiana
Maine
Minnesota
Mississippi
New Hampshire
South Carolina
Wisconsin
Vermont

    As discussed below, in Section II.F., EPA does not have the same 
level of information available regarding the named States of Maine, New 
Hampshire, and Vermont as it has for the other States named in 
petitions. Therefore, EPA intends to conduct further analyses on these 
three States. If the additional analyses show that sources in any of 
these States significantly contribute to a relevant petitioning State, 
EPA will issue a supplemental notice of proposed rulemaking based on 
the new information.

C. Cost Effectiveness of Emissions Reductions

    As described in Section II.A, above, the second prong of the 
significant-contribution interpretation that EPA applied in the 
NOX SIP call rule, and that EPA proposes to apply for 
purposes of this proposal, is the extent to which ``highly cost-
effective'' NOX control measures are available for the types 
of stationary sources named in the petitions.7.
---------------------------------------------------------------------------

    \7\ As discussed in this section, the highly cost-effective 
NOX controls happen to apply only to major stationary 
sources. Under section 126, EPA can make a finding for ``any major 
source or group of stationary sources.'' In other words, even if not 
all sources subject to this action were major, they would be part of 
a group of stationary sources that contribute significantly to 
nonattainment and hence could potentially be subject to finding.
---------------------------------------------------------------------------

    As in the NOX SIP call rule, the EPA proposes to select 
these highly cost-effective measures by examining the technological 
feasibility, administrative feasibility and cost-per-ton-reduced of 
various multistate ozone season NOX control measures and 
determining what measures feasibly achieve the greatest NOX 
reductions and are among the most reasonable in light of other actions 
taken by EPA and States to control NOX.\7\
---------------------------------------------------------------------------

    \7\ As discussed in this section, the highly cost-effective 
NOX controls happen to apply only to major stationary 
sources. Under section 126, EPA can make a finding for ``any major 
source or group of stationary sources.'' In other words, even if not 
all sources subject to this action were major, they would be part of 
a group of stationary sources that contribute significantly to 
nonattainment and hence could potentially be subject to a finding.
---------------------------------------------------------------------------

1. What NOX Controls Are Highly Cost Effective
    The first step in the cost-effectiveness process was to identify 
the types of sources named in the various petitions. The petitioning 
States have identified the source categories that they believe 
significantly impact their ability to achieve attainment of the ozone 
standard. These categories are listed in Table I-1 earlier in this 
notice. The EPA has determined that the named source categories can be 
combined into one general category--fossil fuel-fired indirect heat 
exchangers. This term applies to boilers and turbines used for the 
production of steam, electricity, and in some cases mechanical work, 
and to process heaters. To assure equity among the various 
subcategories of such sources and the industries they represent, EPA 
considered the cost effectiveness of controls for each subcategory 
separately throughout the affected 20-jurisdiction region described in 
Section II.B above. Sources are combined into a common subcategory if 
they serve the same general industry (e.g., boilers and turbines that 
are used by the electricity generation industry are combined in the 
same subcategory). The EPA believes that this categorization better 
reflects the industrial sectors served. Thereby, the EPA split the 
population of indirect heat exchanges into four subcategories, 
consistent with the approach EPA took in the final NOX SIP 
call: (1) A subcategory of boilers and turbines serving generators 
greater than 25 MWe that produce electricity for sale to the grid 
(``large EGUs''); (2) a subcategory of boilers and turbines with a heat 
input greater than 250 mmBtu/hr that exclusively generate steam and/or 
mechanical work (e.g., provide energy to an industrial pump), or 
produce electricity for internal use only and not for sale (``large 
non-EGUs''); (3) a subcategory of process heaters with a heat input 
greater than 250 mmBtu/hr (``large process heaters''); and (4) a 
subcategory of smaller indirect heat exchangers, i.e., all such sources 
not included in the first three subcategories (``small sources'').
    As mentioned above, in evaluating the cost effectiveness of 
NOX controls for indirect heat exchangers, the EPA has taken 
the same approach as that taken in the final NOX SIP call. 
See generally, Section II.D of the preamble to the final NOX 
SIP call rule. In short, for each subcategory, the amounts of emissions 
that cause subcategories in the covered upwind States to contribute 
significantly to a petitioning State's nonattainment were determined 
based on the application of NOX controls that achieve the 
greatest feasible emissions reduction while still falling within a 
cost-per-ton-reduced range that EPA considers to be highly cost 
effective. The NOX controls for this rulemaking were 
considered highly cost effective for the purposes of reducing ozone 
transport to the extent they achieve the greatest feasible emissions 
reduction but still cost no more than $2,000 per ton of ozone season 
NOX emissions removed (in 1990 dollars), on average, for 
each subcategory. The discussion below further describes the basis for 
this cost amount and the techniques used for each subcategory. The EPA 
believes that certain controls that cost more than $2,000 per ton of 
NOX reduced are reasonably cost effective in reducing ozone 
transport or in achieving attainment with the ozone NAAQS in specific 
nonattainment areas; however, EPA proposes to base the significant-
contribution determination on only highly cost-effective reductions. In 
addition, as discussed further below, in determining whether to assume 
reductions from the small source subcategory, EPA considered 
administrative efficiency in evaluating this subcategory.
    More specifically, to determine what level of control can be 
considered highly cost effective, EPA considered other recently 
undertaken or planned NOX control measures. Table II-3 
provides a reference list of measures that EPA and States have 
undertaken to reduce NOX and their average annual costs per 
ton of NOX reduced. These measures cost up to $2,000 per 
ton. With few exceptions, the average cost effectiveness of these 
measures is representative of the average cost effectiveness of the 
types of controls EPA and States have needed to adopt most recently, 
since their previous planning efforts have already taken advantage of 
opportunities for even cheaper controls. The measures listed in Table 
II-3 generally represent the average costs (i.e., middle of the range 
of costs) that the nation has been willing to bear recently to reduce 
NOX. The EPA believes that the cost effectiveness of 
measures that it or States have adopted, or proposed to adopt, forms a 
good reference point for determining which of the available additional 
NOX control measures are among the most cost-effective 
measures that can be implemented by the sources considered in today's 
action.

[[Page 56305]]



Table II-3.--Average Cost Effectiveness of NOX Control Measures Recently
                    Undertaken For Stationary Sources
                                [1990 $]
------------------------------------------------------------------------
              Control measure               Cost per  ton of NOX removed
------------------------------------------------------------------------
NOX RACT..................................  150-1,300.
Final NOX SIP call........................  Up to 2,000.
State Implementation of the Ozone           950-1,600.
 Transport Commission Memorandum of
 Understanding.
New Source Performance Standards for        1,290.
 Fossil Steam Electric Generation Units.
New Source Performance Standards for        1,790.
 Industrial Boilers.
------------------------------------------------------------------------

    The EPA notes that there are also a number of less expensive 
measures recently undertaken by the Agency to reduce NOX 
emission levels that do not appear in Table II-3. These actions include 
the title IV NOX reduction program. Though these actions are 
very cost effective, the Agency is focusing on what other measures 
exist, at a potentially higher (though still not the highest 
reasonable) cost-effectiveness value, that can further reduce 
NOX emissions. Table II-3 is thereby useful as a reference 
of the next higher level of NOX reduction cost effectiveness 
that the Agency considers among the most reasonable to undertake. As a 
result, the Agency proposes that NOX controls that can 
feasibly be achieved and have an average subcategory-specific cost 
effectiveness less than $2,000 per ton of NOX removed be 
considered highly cost effective. The subcategories that EPA proposes 
to control are those major stationary sources in the named categories 
for which EPA finds that these highly cost-effective controls are 
available.
2. Determining the Cost Effectiveness of NOX Controls
    In an effort to determine what, if any, highly cost-effective mix 
of controls is available for each subcategory (i.e., large EGUs, large 
non-EGUs, large process heaters, and small sources) the Agency 
considered the average cost effectiveness of alternative levels of 
controls for each subcategory as described in the final NOX 
SIP call. That analysis is summarized here. The average cost 
effectiveness of the controls was calculated from a baseline level that 
included all currently applicable Federal or State NOX 
control measures for each subcategory. The baseline did not include 
Phase II and Phase III of the OTC NOX MOU since those 
measures are not federally required and they have not yet been adopted 
by all the involved States; 8 if the MOU were included in 
the baseline, the overall costs would be lower. In determining the cost 
of NOX reductions from large EGUs, EPA assumed an emissions 
trading system. As discussed in the final NOX SIP call, EPA 
evaluated and compared the likely air quality impacts both with and 
without a multistate NOX emissions trading system for 
electricity generating sources. This analysis shows that a multistate 
trading program causes no significant adverse air quality impacts. 
Because such a program would result in significant cost savings, EPA's 
cost-effectiveness determination for large electricity generating 
boilers and turbines (i.e., the majority of the core group of sources 
in the trading program) assumes sources will participate in a 
multistate trading program.9 For non-EGU sources, EPA used a 
least cost method which is equivalent to an assumption of an intrastate 
trading program. Inclusion of these sources in a multistate trading 
program would provide further cost savings.
---------------------------------------------------------------------------

    \8\ However, in the Regulatory Analysis of the final 
NOX SIP call, EPA evaluates the economic impact of 
including the MOU in the baseline for the electric power industry.
    \9\ The EPA envisions sources in States that are covered by (1) 
the section 110 NOX SIP call, (2) the section 110 FIP, or 
(3) section 126, to be able to trade among each other.
---------------------------------------------------------------------------

    Table II-4 summarizes the control options investigated for each 
subcategory covered by the petitions and the resulting average, 
multistate cost effectiveness as presented in EPA's final 
NOX SIP call. Note that these cost figures are obtained by 
performing the analysis over the 23-jurisdiction NOX SIP 
call area. The values will be only slightly different for the States 
covered by this action; those differences are insignificant for 
purposes of identifying highly cost-effective controls. Additionally, 
the cost effectiveness analysis included a consideration of each 
subcategory's growth, including new sources. Thus, the control levels 
arrived at are cost-effective for new sources also.

                        Table II-4.--Average Cost Effectiveness of Options Analyzed \10\
                                             [1990 dollars in 2007]
----------------------------------------------------------------------------------------------------------------
                                  Average cost-      Average cost-
                                effectiveness ($/  effectiveness ($/
          Subcategory           ozone season ton)  ozone season ton)  Average cost-effectiveness ($/ozone season
                                 for each control   for each control         ton) for each control option
                                      option             option
----------------------------------------------------------------------------------------------------------------
Large EGUs....................  0.20 lb/mmBtu....  0.15 lb/mmBtu....  0.12 lb/mmBtu.
                                $1,263...........  $1,468...........  $1,760.
Large Non-EGUs................  50% reduction....  60% reduction....  70% reduction.
                                $1,235...........  $1,477...........  $2,155.
Process Heaters...............  $3,000/ton         $4,000/ton         $5,000/ton maximum per source.
                                 maximum per        maximum per       $2,891.
                                 source.            source.
                                $2,859...........  $2,891...........
----------------------------------------------------------------------------------------------------------------
\10\ The cost-effectiveness values in Table II-4 are multistate averages. In the case of large EGUs the cost-
  effectiveness values represent reductions beyond those required by title IV or title I RACT, where applicable.
  For large non-EGUs and process heaters, the cost-effectiveness values represent reductions from uncontrolled
  levels.


[[Page 56306]]

    The following discussion explains the controls determined by EPA to 
be highly cost-effective for each subcategory.
    i. Large EGUs. For large EGUs, the control level was determined by 
applying a uniform NOX emissions rate across the 20 
jurisdictions potentially subject to section 126 findings. The cost-
effectiveness for each control level was determined using the 
Integrated Planning Model (IPM). Details regarding the methodologies 
used can be found in the Regulatory Impact Analysis of the 
NOX SIP call rulemaking. Table II-4 summarizes the control 
levels and resulting cost effectiveness of three levels analyzed.
    A regionwide level of 0.20 lb/mmBtu was rejected because though it 
resulted in an average cost effectiveness of less than $2,000 per ton, 
the air quality benefits were less than those for the 0.15 lb/mmBtu 
level which was also less than $2,000 per ton. The results suggest that 
a multistate level of 0.15 lb/mmBtu should be assumed when determining 
the emission levels for this subcategory. This control level has an 
average cost-effectiveness of $1,468 per ozone season ton 
removed.11 This amount is consistent with the range for 
cost-effectiveness that EPA has derived from recently adopted (or 
proposed to be adopted) control measures.
---------------------------------------------------------------------------

    \11\ It should be noted that in the final NOX SIP 
call EPA also investigated the regionwide cost-effectiveness of 
NOX reductions if each State individually met the budget 
component for large electricity generating boilers and turbines 
(i.e., through intra-state trading). In the case of the 0.15 lb/
mmBtu strategy intra-State trading resulted in a regionwide cost-
effectiveness of $1,499/ton compared to $1,468/ton for regionwide 
trading.
---------------------------------------------------------------------------

    The EPA acknowledges that a control level of 0.12 lb/mmBtu, which 
carries a cost effectiveness of $1,760 per ozone season ton removed, 
appears to be within the upper range of cost effectiveness. However, 
for reasons explained in Section II.D. of the final NOX SIP 
call, the EPA is proposing in the section 126 action not to base the 
EGU control level on 0.12 lb/mmBtu. Therefore, EPA proposes to retain 
and apply here its determination from the NOX SIP call 
rulemaking that it is highly cost effective to control emissions from 
large EGUs to a control level corresponding to 0.15 lb/mmBtu.
    ii. Large Non-EGUs. The EPA determined a highly cost-effective 
control level for large non-EGUs by applying a uniform percent 
reduction multistate in increments of 10 percent. Details regarding the 
methodologies used are in the Regulatory Impact Analysis. Table II-4 
summarizes the control levels and resulting cost effectiveness for non-
EGUs.
    For large non-EGUs, the cost-effectiveness determination includes 
estimates of the additional emissions monitoring costs that sources 
would incur in order to participate in a trading program. Some non-EGUs 
already monitor their emissions. In the proposed NOX SIP 
call, EPA had not included monitoring costs in the cost-effectiveness 
determination because such costs could not be estimated at that time. 
Since then, EPA has evaluated monitoring system costs. These costs are 
defined in terms of dollars per ton of NOX removed so that 
they can be combined with the cost-effectiveness figures related to 
control costs. Monitoring costs varied from about $150 to $400 per ton 
of NOX removed, depending on the type of subcategory.
    The EPA, therefore, proposes to retain and apply here its 
determination from the NOX SIP call rulemaking that for 
large non-EGUs a control level corresponding to 60 percent reduction 
from baseline levels is highly cost effective (this percent reduction 
corresponds to a multistate control level of about 0.17 lb/mmBtu).
    iii. Large Process Heaters. For large process heaters, the control 
level was determined by applying various cost-effectiveness thresholds, 
because trading was not assumed to be readily available for this 
subcategory. Details regarding the methodologies used are in the 
Regulatory Impact Analysis. Table II-4 summarizes the control levels 
and resulting cost effectiveness for each option under this 
subcategory.
    The EPA determined that controlling process heaters, though 
reasonably cost effective, is not highly cost effective. Thus EPA 
proposes that these sources do not emit in amounts that significantly 
contribute to petitioning States' nonattainment or maintenance 
problems.
    iv. Small Sources. For the subcategory of small sources, EPA is 
proposing to determine that no additional control measures or levels of 
control are highly cost effective and feasible to mandate. For the 
purposes of this rulemaking, EPA considers the following sizes of point 
sources to be small: (1) Electricity generating boilers and turbines 
serving a generator 25 MWe or less, and (2) other indirect heat 
exchangers with a heat input of 250 mmBtu/hr or less. In the 
NOX SIP call, EPA found that the collective emissions from 
small sources were relatively small (in the context of that rulemaking) 
and the administrative burden, to the permitting authority and to 
regulated entities, of controlling such sources was likely to be 
considerable.
    In today's action, for the same reasons as described in the final 
NOX SIP call, EPA proposes that these sources do not emit in 
amounts that significantly contribute to petitioning States' 
nonattainment or maintenance problems. Further discussion concerning 
small point sources may be found in the final NOX SIP call 
preamble.
    v. Summary of Control Measures. Table II-5 summarizes the controls 
that are assumed for each subcategory. More detailed discussions of the 
controls assumed are contained in the sections that describe each 
sector.

   Table II-5.--Summary of Feasible, Highly Cost-Effective NOX Control
                                Measures
------------------------------------------------------------------------
            Subcategory                       Control measures
------------------------------------------------------------------------
Large EGUs........................  State-by-State ozone season
                                     emissions level (in tons) based on
                                     applying a NOX emission rate of
                                     0.15 lb/mmBtu on all applicable
                                     sources.
Large Non-EGUs....................  State-by-State ozone season
                                     emissions level (in tons) based on
                                     applying a 60 percent reduction
                                     from uncontrolled emissions on all
                                     applicable sources.
Large Process Heaters.............  No additional controls highly cost
                                     effective.
Small Sources.....................  No additional controls highly cost
                                     effective.
------------------------------------------------------------------------

3. Other Cost-Related Considerations
    The EPA has addressed other cost-related considerations as 
described in Section II.D of the final NOX SIP call notice. 
The EPA proposes to rely on that analysis in this rulemaking.

D. Identifying Sources

    As discussed previously, all of the petitions named specific upwind 
source categories as significantly contributing

[[Page 56307]]

to nonattainment in, or interfering with maintenance by, the 
petitioning State. Four petitioning States (Massachusetts, New 
Hampshire, New York, and Rhode Island) also attempted to identify the 
existing sources in the targeted source categories. However, the 
petitioners cautioned EPA that the lists might not be complete and that 
any omissions were unintentional. In addition, the EPA has received 
several comments from sources on the State lists saying that they do 
not meet the source category definitions provided in the petitions. In 
order to identify and verify the sources in the named source categories 
for the geographic areas covered by each petition, EPA used the most 
up-to-date emission inventory available. These data sources are 
described in Section III of this notice. The existing sources in the 
source categories for which EPA is making an affirmative technical 
determination are listed in Appendix A to proposed part 97. The EPA 
seeks comment on whether it has identified correctly the sources 
covered by the petitions.

E. Air Quality Assessment

    In the final NOX SIP Call rulemaking, EPA evaluated the 
ozone benefits in the petitioning States of NOX controls 
proposed in today's action. The EPA believes that the results of that 
modeling analysis are valid for the purpose of this proposed 
rulemaking, as well. The EPA performed the modeling for the 23 
jurisdictions covered in the NOX SIP Call to confirm that 
those States collectively contribute significantly to downwind 
nonattainment. The collective contribution of all the upwind States is 
one factor that went into EPA's decision that each individual upwind 
State contributes significantly to downwind nonattainment.
    The ozone benefits determined in the final NOX SIP Call 
were based on air quality modeling of the emissions scenarios described 
below. Each emissions scenario was modeled by EPA using UAM-V run for 
all four of the OTAG episodes (i.e., July 1-11, 1988; July 13-21, 1991; 
July 20-30, 1993; and July 7-18, 1995). In brief, the emissions 
scenarios include a 2007 Base Case and a control scenario designed to 
evaluate the effects of NOX controls on nonattainment in 
downwind States, including each of the petitioning States. The Base 
Case scenario accounts for growth in emissions and reductions 
associated with Clean Air Act mandated controls and additional Federal 
measures. In the control strategy scenario, NOX emissions 
from utility and non-utility sources were reduced by applying controls, 
very similar to those in today's proposal, to all such sources in the 
23 jurisdictions which EPA has found, in the NOX SIP Call, 
contain emissions which make a significant contribution to 
nonattainment in downwind areas. The details on the development of 
these two emissions scenarios are described in the final NOX 
SIP Call rulemaking.
    The EPA recognizes that the amount of emissions reduction in the 
modeled strategy is not identical to the amount of emissions reduction 
in today's proposal. This is because of differences in (a) the 
underlying emissions inventories and (b) the level of emissions 
controls applied to individual sources. However, the overall effect of 
these differences on the percent emissions reductions is small. 
Specifically, the difference in the total NOX emission 
reductions for the 20 jurisdictions covered by today's proposal between 
what was assumed in the modeling compared to what is being proposed 
today is only 3 percent. The EPA also recognizes that there are three 
additional upwind States (i.e., Georgia, South Carolina, and Wisconsin) 
which are controlled in the modeled strategy that are not covered by 
today's proposal. These three States were covered in the NOX 
SIP Call because of their contributions to States other than the 
petitioning States. Since EPA believes that emissions from sources in 
these States do not contribute significantly to nonattainment in any of 
the petitioning States, it is reasonable to assume that emissions 
reductions in these States will not have any appreciable impact on 
nonattainment in any of the petitioning States. The EPA believes that 
the differences between today's proposal and what was modeled, as 
described above, are relatively small, and thus, the overall 
conclusions on air quality benefits from the modeled strategy are 
applicable to the controls in today's proposal.
    The EPA used a number of ``metrics'' (i.e., measures of ozone 
contribution or impact) to evaluate the air quality benefits in the 
petitioning States of the proposed NOX controls. The 
technical details of the air quality modeling information and metrics 
are described in the final NOX SIP call rulemaking. The 
results of this modeling indicate that the proposed NOX 
controls applied to the sources in the upwind States proposed as making 
a significant contribution to nonattainment in one or more of the 
petitioning States will provide substantial ozone benefits in each of 
the petitioning States.

F. Conclusions on Granting or Denying the Petitions

    The EPA is proposing action on the petitions based on the outcome 
of the multi-step process described in the preceding sections. The 
EPA's proposed action consists of three components: (1) Technical 
determinations of which upwind sources or source categories named in 
each petition significantly contribute to nonattainment or interfere 
with maintenance of the relevant ozone standard in each petitioning 
State; (2) action specifying when a finding that such sources emit or 
would emit in violation of the section 110(a)(2)(D)(i)(I) prohibition 
will be deemed made or not made (or made but subsequently withdrawn) 
and, thus, when a petition for such a finding will be deemed granted or 
denied (or granted but subsequently denied) for purposes of section 
126(b); and (3) the specific emissions-reduction requirements that will 
apply when such a finding is deemed made. Each of these proposed 
actions is described in more detail below. Under EPA's proposed action, 
certain types of new and existing sources in 20 upwind States are 
potentially subject to a section 126(b) finding and therefore to the 
requirements set forth in this proposal.
1. Technical Determinations
    First, EPA proposes to make affirmative and negative technical 
determinations as to which of the new (or modified 12) or 
existing major sources or groups of stationary sources named in each 
petition emit or would emit NOX in amounts that will 
contribute significantly to nonattainment of the 1-hour or 8-hour 
standard in (or interfere with maintenance of the 8-hour standard by) 
each respective petitioning State. The regulatory text accompanying 
today's proposal sets forth each of those proposed technical 
determinations for sources named in each petition.
---------------------------------------------------------------------------

    \12\ Whenever the word ``new'' is used in relation to sources 
affected by this proposed rule, it includes both new and modified 
sources.
---------------------------------------------------------------------------

    In short, for each petition, with respect to each ozone standard, 
EPA proposes to make affirmative technical determinations of 
significant contribution (or interference) for those large EGU and non-
EGU sources for which highly cost-effective controls are available (as 
described in Section II.C.), to the extent those sources are located in 
one of the ``Named Upwind States'' corresponding to that petition in 
Tables II-1 and II-2. Thus, to illustrate, for the petition from New 
York, EPA proposes to find that large EGUs and non-EGUs

[[Page 56308]]

of the types described in Section II.C. that are located in the named 
portions of Delaware, the District of Columbia, Indiana, Kentucky, 
Maryland, Michigan, New Jersey, North Carolina, Ohio, Pennsylvania, 
Virginia, and West Virginia emit NOX in amounts that 
contribute significantly to nonattainment of the 1-hour standard in New 
York. By contrast, EPA proposes to find that such sources located in 
Tennessee, which New York also named in its petition, do not emit 
NOX in amounts that have that effect on New York. The result 
is that EPA proposes to find that the large EGUs and non-EGUs in at 
least some upwind States named in every petition except Vermont's 
contribute significantly to nonattainment of at least one of the 
standards (or interfere with maintenance of the 8-hour standard) in the 
petitioning State. The EPA refers the reader to the regulatory text for 
a full description of each of the proposed technical determinations for 
each petition.
    The EPA notes that the Agency is not proposing to make affirmative 
technical determinations as to any sources located in Vermont, New 
Hampshire, or Maine. That is because, based on the more limited 
modeling and other assessments that EPA has done thus far with respect 
to those States, EPA is not yet prepared to conclude that sources in 
any of those States do contribute significantly to nonattainment (or 
interfere with maintenance) of an ozone standard in any downwind State 
named in one of those three States in its petition.13 
However, EPA is continuing to study the impacts of sources in those 
States on downwind States, so that it can make final decisions based on 
the fuller set of information available today for other States. If EPA 
believes, after completing its assessments, that large EGU or non-EGU 
sources in any of those three States do contribute significantly to 
downwind air quality problems in any of the States that name them in 
their petitions, EPA will issue a supplemental notice of proposed 
rulemaking based on those results.
---------------------------------------------------------------------------

    \13\ Maine's petition named sources in Vermont and New Hampshire 
and New Hampshire's petition named sources in Maine and Vermont.
---------------------------------------------------------------------------

    Appendix A to proposed part 97 lists all existing sources for which 
EPA proposes to make an affirmative technical determination linking 
those sources to at least one petitioning State. These are the existing 
sources that could receive a positive section 126(b) finding, depending 
on the circumstances described in the next section.
2. Action on Whether To Grant or Deny Each Petition
    a. Portions of Petitions for Which EPA Is Proposing an Affirmative 
Technical Determination. For the reasons described in Section 
II.A.2.c., EPA proposes to issue the type of final action on the 
petitions described in that section. Under that approach, EPA's final 
action for sources that EPA is proposing an affirmative technical 
determination would provide that a finding that certain sources emit or 
would emit in violation of the prohibition in section 
110(a)(2)(D)(i)(I) would be deemed made as of certain specified dates 
if certain events do not occur by those dates. More specifically, a 
finding that new or existing sources, for which EPA has made an 
affirmative technical determination, do emit in violation of section 
110(a)(2)(D)(i)(I) would be deemed made:
     As of November 30, 1999, if by such date EPA does not 
issue either a proposed approval, under section 110(k) of the CAA, of a 
State implementation plan revision submitted by such State to comply 
with the requirements of section 110(a)(2)(D)(i)(I) of the CAA; or 
final Federal implementation plan meeting such requirements for such 
State in which the affected sources are or will be located,
     As of May 1, 2000, if by November 30, 1999, EPA takes the 
action described above for such State, but, by May 1, 2000, EPA does 
not approve or promulgate implementation plan provisions meeting such 
requirements for such State.
    The EPA also proposes to find, as described earlier, that any such 
finding as to any such major source or group of stationary sources 
would be considered a finding under section 126(b) and, therefore, 
would trigger the remedial requirements of the final rule. At such time 
as a finding is deemed made, EPA intends to publish a notice in the 
Federal Register announcing the source categories and locations 
affected by the finding.
    Furthermore, EPA proposes that as to any portion of a petition for 
which EPA has made an affirmative technical determination (as described 
above) that portion of the petition shall be deemed denied as of May 1, 
2000, if a section 126(b) finding has not been deemed to have been made 
by that date. In other words, if EPA has taken final action putting 
into place an implementation plan meeting the requirements of section 
110(a)(2)(D)(i)(I) by May 1, 2000, any outstanding portions of 
petitions will be deemed denied by that date. In addition, after a 
section 126(b) finding has been deemed made as to sources or groups of 
stationary sources in an upwind State, that finding will be deemed 
withdrawn, and the corresponding part of the relevant petition(s) 
denied, if the Administrator either approves a SIP or promulgates a FIP 
which complies with the requirements of section 110(a)(2)(D)(i)(I) for 
such upwind State. This would minimize any overlap between an effective 
section 126(b) finding, on one hand, and the application of 
satisfactory SIP or FIP provisions, on the other.
    b. Portions of Petitions for Which EPA Is Proposing a Negative 
Technical Determination. Consistent with this overall approach, EPA 
proposes that the sources for which EPA would make a negative technical 
determination (as described above) do not or would not emit in 
violation of the section 110(a)(2)(D)(i)(I) prohibition. As a result, 
EPA proposes to deny each aspect of each petition relating to such 
sources. For example, EPA proposes to deny New York's petition as to 
sources in any State (or portion of a State) named in New York's 
petition that is outside the large EGU and non-EGU categories described 
in Section II.C., as well as any named sources of any type in 
Tennessee. Another example is that EPA proposes today to deny Vermont's 
section 126 petition in its entirety, because EPA proposes to find that 
no sources named in Vermont's petition, in any of the upwind States 
that the petition names, contribute significantly to nonattainment of 
either the 1-hour or the 8-hour standard, nor interfere with 
maintenance of the 8-hour standard, in Vermont.
3. Requirements for Sources for Which EPA Makes a Section 126(b) 
Finding
    The EPA proposes in Section III, below, the requirements that would 
apply to any new or existing major source or group of stationary 
sources for which a section 126(b) finding is ultimately made under the 
approach just described. Section 126(c) states, in relevant part, that:

it shall be a violation of this section and the applicable 
implementation plan in such State
    (1) for any major proposed new (or modified) source with respect 
to which a finding has been made under subsection (b) to be 
constructed or to operate in violation of this section and the 
prohibition of section 110(a)(2)(D)([i]) or this section or
    (2) for any major existing source to operate more than three 
months after such finding has been made with respect to it.

The Administrator may permit the continued operation of a source 
referred to in paragraph (2) beyond the expiration of such three-month 
period if

[[Page 56309]]

such source complies with such emission limitations and compliance 
schedules (containing increments of progress) as may be provided by the 
Administrator to bring about compliance with the requirements contained 
in section 110(a)(2)(D)([i]) as expeditiously as practicable, but in no 
case later than three years after the date of such finding.
    The remedial requirements that EPA proposes to apply to sources for 
which a section 126(b) finding is ultimately made would satisfy the 
requirements just quoted. First, EPA proposes to find that new sources 
for which a section 126(b) finding is ultimately made must comply with 
the requirements described in Section III to ensure that they do not 
emit in violation of the section 110(a)(2)(D)(i) prohibition. Second, 
the program EPA is proposing serves as the alternative set of 
requirements that the Administrator may apply for the purpose of 
allowing existing sources subject to a section 126(b) finding to 
operate for more than three months after the finding is made. 
Consistent with section 126(c), the compliance period in EPA's proposed 
program extends no further than three years from the making of the 
finding. To the extent a finding is deemed made as of November 30, 
1999, compliance will be required by November 30, 2002. But since the 
program EPA is proposing would require actual emissions reductions only 
in the ozone season, actual reductions will not need to occur until May 
1, 2003, the start of the first ozone season after the November 30, 
2002, compliance date. Thus, compliance by November 30, 2002 would not 
require actual reductions until May 1, 2003. As described in Section 
V.A.1 of the final NOX SIP call, EPA believes that 
compliance by the ozone season beginning May 1, 2003 is feasible. 
Section III of this notice describes the proposed section 126 control 
requirements in greater detail.

III. Federal NOX Budget Trading Program

A. Program Summary

1. Purpose of the Federal NOX Budget Trading Program
    Under section 126(c), EPA proposes to implement the Federal 
NOX Budget Trading Program, a capped market-based system for 
certain combustion sources in covered upwind States to bring sources 
covered by any final section 126 finding into compliance. This type of 
program is a proven method for achieving the highly cost-effective 
emissions reductions described above while providing sources compliance 
flexibility. (See SNPR for NOX SIP call at 63 FR 25918-19, 
discussing OTAG's conclusions concerning advantages of market-based 
systems).
    The Federal NOX Budget Trading Program would be 
triggered automatically if EPA makes a final finding as to any sources 
under section 126, as described in Section II.F. Participation in the 
Federal program would be mandatory for all sources affected by a 
triggering of this section 126 remedy. It would also be mandatory for 
all sources required to reduce emissions by the promulgated FIP, with 
the exception of cement kilns and internal combustion engines.
    The EPA would like to clarify that the use of the term ``budget'' 
in the context of the Federal NOX Budget Trading Program 
does not mean that there is an aggregate emissions level that is 
enforceable for the purposes of the section 126 remedy. Rather, the 
term refers to the aggregate emission levels in each State for units 
required to participate in the Federal NOX Budget Trading 
Program as a section 126 remedy or as part of a FIP. The aggregation of 
sources allocations is initially only for purposes of determining the 
total amount available for allocation and and should not be construed 
to represent a separate requirement for sources in the program for 
purposes of any section 126 remedy.
    The Federal NOX Budget Trading Rule is proposed in a new 
Part 97 in Title 40 of the Code of Federal Regulations. Because EPA is 
proposing to implement the Federal NOX Budget Trading 
Program both in response to the section 126 petitions and as part of a 
FIP if necessary; EPA intends to finalize part 97 in whichever of these 
actions is finalized first. (The EPA expects part 97 will be finalized 
in the section 126 rulemaking because final action on the remedy 
portion of section 126 is required by April 30, 1999 under the proposed 
consent decree discussed above.) In finalizing part 97, EPA intends to 
respond to the comments it receives regarding part 97 through both the 
proposed section 126 remedy and the proposed FIP. Therefore, commenters 
who have identical comments in both rulemakings may submit their 
comments to one docket and merely reference such comments in their 
submission to the other docket. However, to the extent comments on part 
97 are solely related to how it would be applied through a triggering 
of the section 126 remedy, commenters should submit such comments to 
the docket for this proposed section 126 remedy.
2. Relationship of the Section 126 Remedy to the NOX SIP 
Call and the FIP.
    The sources or groups of sources identified in the section 126 
petitions are also sources for which EPA recommends States adopt 
emission limitations and control strategies in response to the 
NOX SIP call. The NOX SIP call establishes an 
emissions budget for all sources of NOX emissions in all 
States determined by EPA to significantly contribute to nonattainment 
or interfere with maintenance of the ozone NAAQS in any other 
jurisdiction. The FIP sets specific stationary source rules to decrease 
NOX emissions and meet the NOX SIP call budget. 
The section 126 proposed action, on the other hand, is limited to major 
stationary sources or groups of stationary sources that are named in 
the section 126 petitions and that EPA finds emit or would emit in 
violation of the prohibition in section 110(a)(2)(D)(i) relative to a 
petitioning State. Despite this difference in the scope of the proposed 
section 126 action and the proposed FIP or final NOX SIP 
call, all three actions are aimed at reducing the transport of ozone by 
controlling emissions from sources in a given State that are found to 
be contributing significantly to nonattainment or maintenance problems 
in another State.
    The EPA has promulgated the State NOX Budget Trading 
Program, a cap-and-trade program for large combustion sources, to 
assist States in meeting their obligations under the final 
NOX SIP call. The EPA believes that this State 
NOX Budget Trading Program--if selected by States to meet 
their SIP call obligations--could be coordinated and integrated with 
the Federal NOX Budget Trading Program promulgated in a 
section 126 rule or a FIP, in order to address the transport problem on 
a regional scale.
    Integration is possible because, as noted above, both the 
NOX SIP call, the corresponding FIP, and the section 126 
petitions seek to mitigate the ozone transport problem by reducing 
emissions from upwind sources that hinder attainment or maintenance of 
the ozone NAAQS downwind. Further, the sources covered in the State 
NOX Budget Trading Program under the NOX SIP call 
include a majority of the sources named by petitioning States, and are 
identical in size and categorization to sources for which EPA proposes 
issue rules in the section 126 and FIP proposed actions.
    In order to be eligible to participate in a cap-and-trade program, 
the EPA

[[Page 56310]]

believes that there are two principal criteria that sources must meet, 
as stated in the supplemental notice for the proposed NOX 
SIP call (62 FR 25923). The first criterion requires that sources be 
able to account accurately and consistently for all of their emissions 
in order to maintain emissions within a cap. The second criterion is 
the ability to identify a responsible party for each regulated source 
who would be accountable for demonstrating and ensuring compliance with 
the program's provisions. Assuming that these criteria are met, and 
consistent control levels are used in setting emission requirements for 
the covered sources, EPA supports the establishment of a common trading 
program among sources subject to a trading program under the 
NOX SIP call, a section 126 remedy, or a FIP among sources 
subject to a trading program under the NOX SIP call, a 
section 126 remedy or a FIP.
    The resulting multi-state trading program could include all sources 
in States found to be significantly contributing to nonattainment or 
interfering with maintenance of the ozone standard in another State. 
Under this common trading program, sources subject to the Federal 
NOX Budget Trading Program under the section 126 rulemaking 
or the FIP, and sources in States choosing to participate in the State 
NOX Budget Trading Program in response to the NOX 
SIP call, could trade with one another under a NOX cap 
across participating States. The EPA's analyses in conjunction with the 
NOX SIP call exhibit that implementation of a single trading 
program with a uniform control level results in no significant changes 
in location of emissions reductions as compared to a non-trading 
scenario. Therefore, the common trading program will achieve the 
intended emissions reductions while providing flexibility and cost 
savings to the covered sources.
    Integration of the trading programs reduces the possibility of 
inconsistent or conflicting deadlines or requirements, increases the 
potential cost savings for sources, and streamlines program 
administration. Inconsistency could hamper the sources' ability to plan 
and achieve the needed reductions as cost-effectively as possible. In 
addition, if a State subsequently elects to submit a SIP including a 
trading program after EPA has already established a Federal 
NOX Budget Trading Program under a FIP or section 126 
remedy, disruptions to sources that would shift from regulation under a 
FIP or section 126 remedy to regulation under a SIP would be minimized.
    Because sources may be included in the common trading program 
through one of three possible mechanisms, the sources included in the 
trading program for purposes of the NOX SIP call may vary 
from sources included for purposes of the section 126 remedy. The EPA 
does not foresee this to be problematic since sources would face 
consistent control requirements regardless of which rulemaking includes 
the sources in the common trading program. That the requirements would 
be consistent follows from the similar nature of the rulemakings and 
the comparable level of control which EPA has determined to be cost-
effective for each source category across all three actions.
    The EPA proposes in part 97 to establish the geographic boundaries 
of the common trading program as those States submitting SIPs in 
response to the final NOX SIP call or subject to FIPs and/or 
the sources in States for which EPA makes a finding for the section 126 
petitions. The EPA would administer this common trading program in 
collaboration with affected States.
    The EPA is proposing a Federal NOX Budget Trading 
Program as part of the FIP or section 126 remedy which mirrors, to the 
extent feasible, the State NOX Budget Trading Program (set 
forth in part 96) which is the model trading program that is available 
for States to adopt in response to the NOX SIP call. While 
EPA is proposing to keep the programs as similar as possible, there are 
several differences which are more fully described below. These 
differences arise primarily from the need for Federal implementation of 
the program rather than State implementation. For example, EPA must 
determine the NOX allowance allocations for each unit in the 
Federal NOX Budget Trading Program, rather than simply 
provide an example that States may use to determine allocations, as is 
the case in the State NOX Budget Trading Program.

B. Federal NOX Budget Trading Program

1. Program Overview
    In part 97, the EPA proposes a cap-and-trade program as an 
aggregate remedy for the section 126 petitions which it today proposes 
to determine are technically valid. Four of the eight petitioning 
States (New York, Connecticut, Pennsylvania, and Maine) requested that 
EPA establish such a trading program to implement the required 
reductions.
    The EPA has authority under section 126 to require sources or 
groups of sources for which a finding of significant contribution is 
made to comply with a cap-and-trade program. Section 126(c) provides 
that such sources or groups of sources may continue to operate if they 
comply ``with such emission limitations and compliance schedules 
(containing increments of progress) as may be provided by the 
Administrator to bring about compliance'' with section 110(a)(2)(D). 
Under section 302, an ``emission limitation'' is ``a requirement * * * 
which limits the quantity, rate, or concentration of emission of air 
pollutants on a continuous basis.'' In fact, title IV of the CAA refers 
to the allowance requirements of the Acid Rain SO2 cap-and-
trade program as ``emission limitations.'' 42 U.S.C. 7651c(a).
    Under a cap-and-trade program, the Administrator sets an emission 
limitation and compliance schedule for each unit subject to the 
program. The emission limitation for each unit is the requirement that 
the quantity of the unit's emissions during a specified period (here, 
the tonnage of NOX emissions during the ozone season) cannot 
exceed the amount authorized by the allowances (here, NOX 
allowances, each authorizing one ton of emissions) that the unit holds. 
Allowances are allocated to units subject to the program, and the total 
number of allowances allocated to all such units for each control 
period is fixed or capped at a specified level. The compliance schedule 
is set by establishing a deadline by which units must begin to comply 
with the requirement to hold allowances sufficient to cover emissions. 
In essence, for purposes of complying with section 126, EPA would be 
translating emission limits into allowance requirements. Since under 
section 126 EPA has the authority to establish emission limits, and 
allowance requirements are equivalent to emission limits, EPA has the 
authority to promulgate allowance requirements and allocate allowances 
for purposes of section 126. Since a cap-and-trade program is a 
compliance mechanism which enables sources to make cost-effective 
decisions to meet their allowance requirements, which are equivalent to 
emission limits, EPA believes it has the authority under section 126(c) 
to adopt a cap-and-trade program as a cost effective means of 
implementing the requirements of sections 126 and 110(a)(2)(D).
    Sources potentially subject to the emission limitations and 
compliance schedule in the Federal NOX Budget Trading 
Program for the purposes of the section 126 petitions are those sources 
named by petitioning States and found by EPA to be emitting in 
violation of the prohibition in a petitioning State. The

[[Page 56311]]

section 126 remedy will apply to these sources in States for which a 
finding is triggered by the terms of today's proposed rule. For the 
reasons discussed in Section II, these sources include any fossil fuel-
fired unit (boiler, turbine, or combined cycle) that serves a generator 
with a nameplate capacity greater than 25 MWe, and any fossil fuel-
fired unit (boiler, turbine, or combined cycle) that has a maximum 
design heat input of greater than 250 mmBtu/hr, located in any of the 
following twenty States: Alabama, Connecticut, Delaware, District of 
Columbia, Illinois, Indiana, Kentucky, Maryland, Massachusetts, 
Michigan, Missouri, New Jersey, New York, North Carolina, Ohio, 
Pennsylvania, Rhode Island, Tennessee, Virginia, and West Virginia.
    The EPA requests comment as to whether additional stationary 
sources that emit to a stack, can monitor NOX mass 
emissions, and are located in a State where a finding is made under 
section 126, but are not named in a petition, should be able to 
voluntarily participate in the trading program. In today's notice, EPA 
proposes providing these individual stationary sources the opportunity 
to opt in to enable further cost savings from the Federal 
NOX Budget Trading Program. These opt-in provisions would be 
very similar to the opt-in provisions allowed under the State 
NOX Budget Trading Program in part 96 (see Section III.B.3.e 
for explanation).
    The NOX allowances--each allowance representing a 
limited authorization to emit one ton of NOX--would be the 
currency used in the trading program. A fixed number of NOX 
allowances would be allocated to sources for each ozone season equal to 
the total amount of the aggregate emissions permitted among the sources 
in each State included in the Federal NOX Budget Trading 
Program for purposes of the section 126 remedy. The EPA has included in 
today's proposal several alternative methodologies that EPA could use 
to allocate NOX allowances to units. Appendix A proposed 
part 97 sets forth the allocation for each unit based on the proposed 
methodologies.
    The control period for the trading program (i.e., the period during 
which a source must hold sufficient NOX allowances to cover 
emissions) would extend from May 1 through September 30, which is the 
same as the control period under the NOX SIP call and the 
FIP proposal. The EPA's proposed trading program remedy is based on the 
application of a uniform control level to the covered universe of 
sources. Based on analyses done in connection with the proposed 
NOX SIP call (63 FR 25921) and the final NOX SIP 
call, EPA maintains that trading could occur across States included in 
a NOX Budget Trading Program without restrictions, other 
than the requirement to comply with existing emission limits under 
title I and title IV of the CAA, as well as any other State 
limitations.
    Under today's proposed rule, sources in the Federal NOX 
Budget Trading Program would be required to monitor and report their 
emissions in accordance with relevant portions of 40 CFR part 75. The 
EPA has promulgated revisions to part 75 that establish NOX 
mass monitoring requirements and provide greater flexibility to 
regulated sources. Consistent and accurate monitoring of emissions is 
necessary for accountability regarding compliance with the requirement 
to hold NOX allowances and to ensure that a ton of emissions 
attributed to one source in one State is equivalent to a ton attributed 
to another source in the same or another State.
    Under today's proposed rule, EPA would be responsible for all 
aspects of program implementation, with the exception of permitting. 
Permitting would be handled by States in accordance with the 
requirements of the proposed rule. As further explained in Section 
III.B.2.c., the Federal NOX Budget Trading Program does not 
require a new or separate permit. If a source already has in place a 
federally enforceable permit, either title V or non-title V, the 
source's trading program obligations must be incorporated into this 
permit; if a source does not have a federally enforceable permit, the 
federally-enforceable NOX Budget Trading Rule applies to the 
source on its own accord.
    As discussed herein, EPA proposes to make the Federal and State 
NOX Budget Trading Programs as similar as possible and has 
modeled proposed part 97 after part 96 just finalized. The EPA notes 
that discussion of the evolution of the NOX Budget Trading 
Program is set forth in the supplemental notice of the proposed 
NOX SIP call rule at 63 FR 25921-23 and in the final 
NOX SIP call rule.
2. Elements of the Federal NOX Budget Trading Program That 
Are the Same as the State NOX Budget Trading Program
    Under part 97, as proposed, the following sections would be 
virtually identical to the corresponding sections in part 96, which 
sets forth the State NOX Budget Trading Program. The EPA 
proposes to retain and rely on the analyses and considerations 
undertaken in the NOX SIP call process to determine these 
program elements. Moreover, the provisions in part 97 would be numbered 
in the same sequence as the corresponding provisions in part 96, so 
that, for example, Sec. 97.2 and Sec. 96.2 or Sec. 97.81 and Sec. 96.81 
would address the same subject matter. The major differences between 
the part 97 sections listed below and their corresponding part 96 
sections would be the renumbering of cross references to other 
regulatory provisions so that a section in part 97 would reference the 
appropriate section in that part, as opposed to the section in part 96. 
More detailed information on the rationale for the part 96 provisions 
themselves can be found in the preamble accompanying the proposed part 
96 (63 FR 25917-43) and the final part 96.

Subpart A--Federal NOX Budget Trading Program General 
Provisions

Sec.
97.3  Measurements, abbreviations, and acronyms.
97.5  Retired unit exemption.
97.7  Computation of time.

Subpart B--Authorized Account Representative for NOX Budget 
Sources

97.10  Authorization and responsibilities of the NOX 
authorized account representative.
97.11  Alternate NOX authorized account representative.
97.12  Changing the NOX authorized account representative 
and alternate NOX authorized account representative; 
changes in the owners and operators.
97.13  Account certificate of representation.
97.14  Objections concerning the NOX authorized account 
representative.

Subpart C--Permits

97.20  General NOX Budget permit requirements.
97.21  Submission of NOX Budget permit applications.
97.22  Information requirements for NOX Budget permit 
applications.
97.23  NOX Budget permit contents.
97.24  Effective date of initial NOX Budget permit.
97.25  NOX Budget permit revisions.

Subpart D--Compliance Certification

97.30  Compliance certification report.

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.

[[Page 56312]]

Subpart G--NOX Allowance Transfers

97.60  Scope and submission of NOX allowance transfers.
97.61  EPA recordation.
97.62  Notification.

    The EPA requests comment on whether any of the part 97 provisions 
listed above should differ substantively from the corresponding 
provisions in part 96. If a commenter believes substantive differences 
in the rules are appropriate, the commenter should describe the favored 
changes and explain why these changes are appropriate.
    a. General Provisions. For part 97, EPA is proposing to use the 
same measurements, abbreviations, and acronyms, the same retired unit 
exemption, and the same provisions for computation of time as those 
that apply in part 96, with cross references to the appropriate 
sections in part 97, rather than to sections in part 96. The EPA is 
proposing these part 97 provisions for the reasons set forth both in 
the proposed NOX SIP call (63 FR 25923-27) and final 
NOX SIP call, and in order to minimize differences between 
the Federal and State NOX Budget Trading Programs.
    b. Authorized Account Representative. The NOX Authorized 
Account Representative (NOX AAR) is the individual who is 
authorized to represent the owners and operators of each NOX 
Budget unit at a NOX Budget source in matters pertaining to 
the NOX Budget Trading Program. Subpart B of part 97 
addresses, among other things, the process for designating and changing 
the NOX AAR and the responsibilities of the NOX 
AAR and alternate NOX AAR. These provisions are the same as 
those in part 96, with cross references to the appropriate sections of 
part 97. The EPA is proposing these part 97 provisions for the reasons 
set forth both in the proposed NOX SIP call (63 FR 25927) 
and the final NOX SIP call, and in order to minimize 
differences between the Federal and State NOX Budget Trading 
Programs.
    c. Permits. The regulations governing State permitting under title 
V define an ``applicable requirement,'' which must be reflected in a 
title V operating permit, as including ``[a]ny standard or other 
requirement provided for in the applicable implementation plan approved 
or promulgated by EPA through rulemaking under title I of the CAA that 
implements the relevant requirements of the CAA, including any 
revisions to that plan promulgated in part 52 of this chapter.'' 40 CFR 
70.2. Since today's proposed rule is being promulgated under title I 
(i.e., under section 126), the requirements of this rule are applicable 
requirements under Sec. 70.2 and must be reflected in the title V 
operating permit of NOX Budget sources required to have such 
a permit. The EPA believes that the majority of NOX Budget 
sources will be required to have a title V permit. Further, all State 
and local air permitting authorities currently have EPA-approved title 
V operating permits programs. These State and local agencies would be 
the permitting authorities for the majority of NOX Budget 
sources with title V permits, for which the trading program 
requirements would be applicable requirements. For any sources that do 
not have a title V permit, such a permit is not required. If a source 
has a federally enforceable non-title V permit, the trading program 
requirements must also be incorporated into this permit. If a source 
does not have a federally enforceable permit, the requirements of the 
Federal NOX Budget Trading Rule would be federally 
enforceable without the federally enforceable permit.
    Subpart C of part 97 addresses, among other things, the 
administration of a permit, permit applications, permit contents, 
effective date, and permit revisions. These provisions are the same as 
those in part 96, with cross references to the appropriate sections in 
part 97. The EPA is proposing these part 97 provisions for the reasons 
set forth both in the proposed NOX SIP call (63 FR 25927-29) 
and the final NOX SIP call, and in order to minimize 
differences between the Federal and State NOX Budget Trading 
Programs.
    d. Compliance Certification. The NOX AAR must certify at 
the end of each control period that the unit was in compliance with the 
emissions limitation and other requirements of the Federal 
NOX Budget Trading Program. Proposed Sec. 97.30 sets forth 
the same provisions for compliance certification reports as those in 
part 96, with cross references to the appropriate sections in part 97. 
The EPA is proposing these part 97 provisions for the reasons set forth 
both in the proposed NOX SIP call (63 FR 25929) and the 
final NOX SIP call, and in order to minimize differences 
between the Federal and State NOX Budget Trading Programs.
    e. NOX Allowance Tracking System. The NOX 
Allowance Tracking System is an automated system used to track 
NOX allowances held by NOX Budget units under the 
NOX Budget Trading Program, as well as those allowances held 
by other organizations and individuals. Subpart F of part 97 addresses, 
among other things, NOX allowance tracking system accounts, 
the account responsibilities of the NOX AAR, the recordation 
of NOX allowance allocations, the compliance process, 
account error, and account closing. These provisions are the same as 
those in part 96, with cross references to the appropriate sections in 
part 97. The EPA is proposing these part 97 provisions for the reasons 
set forth both in the proposed NOX SIP call (63 FR 25933-37) 
and the final NOX SIP call, and in order to minimize 
differences between the Federal and State NOX Budget Trading 
Programs.
    f. Banking. The EPA proposes to include banking as a feature in the 
Federal NOX Budget Trading Program for the reasons set forth 
in the final NOX SIP call. Proposed Sec. 97.55 sets forth 
the same provisions for banking and the management of banked allowances 
as specified in part 96. In accordance with these provisions, 
NOX allowances held by units subject to the Federal 
NOX Budget Trading Program may be banked for future use 
starting in 2003 (except as noted in Section III.B.3.e.ii. of this 
preamble). However, as in the State NOX Budget Trading 
Program, the Federal NOX Budget Trading Program contains a 
flow control mechanism to limit the variability associated with 
banking. This mechanism allows unlimited banking by units subject to 
the Federal NOX Budget Trading Program, but discourages the 
``excessive'' use of banked allowances by establishing a discount rate 
on the use of banked allowances over a certain level. Proposed part 
Sec. 97.55 establishes a flow control mechanism which applies a 2-for-1 
discount ratio to the use of banked allowances above a certain level 
when the total number of banked allowances in the program exceeds 10 
percent of the allowable NOX emissions for all sources 
covered by the Federal trading program. This flow control mechanism, 
along with the overall banking provisions, is proposed for the reasons 
set forth in both the proposed NOX SIP call (63 FR 25934-37) 
and the final NOX SIP call, and in order to minimize 
differences between the Federal and State NOX Budget Trading 
Programs.
    g. NOX Allowance Transfers. Subpart G of part 97 
addresses, among other things, submission, recordation, and 
notification of transfers of NOX allowances under the 
NOX Budget Trading Program. These provisions are the same as 
those in part 96, with cross references to the appropriate sections in 
part 97. The EPA is proposing these part 97 provisions for the reasons 
set forth both in the proposed NOX SIP call (63 FR 25937-38) 
and the final NOX SIP call, and in order to minimize

[[Page 56313]]

differences between the Federal and State NOX Budget Trading 
Programs.
    h. Audits. While program audits are not explicitly required by 
today's rule, EPA intends to perform the same types of audits discussed 
concerning the proposed NOX SIP call (63 FR 25942) and the 
final NOX SIP call.
3. Elements of the Federal NOX Budget Trading Program That 
Differ From the State NOX Budget Trading Program
    The EPA proposes that the following sections in part 97 incorporate 
certain differences from the corresponding sections in part 96 to 
provide for Federal implementation of the NOX Budget Trading 
Program.

Subpart A--Federal NOX Budget Trading Program General 
Provisions

Sec. 97.1  Purpose.
Sec. 97.2  Definitions.
Sec. 97.4  Applicability.
Sec. 97.6  Standard Requirements.

Subpart D--Compliance Certification

Sec. 97.31  Administrator's action on compliance certifications.

Subpart E--NOX Allowance Allocations

Sec. 97.40  Trading program budget.
Sec. 97.41  Timing requirements for NOX allowance 
allocations.
Sec. 97.42  NOX allowance allocations.

Subpart H--Monitoring and Reporting

Sec. 97.70  General requirements.
Sec. 97.71  Initial certification and recertification procedures.
Sec. 97.72  Out of control periods.
Sec. 97.73  Notifications.
Sec. 97.74  Recordkeeping and reporting.
Sec. 97.75  Petitions.
Sec. 97.76  Additional requirements to provide data for allocations 
purposes.

Subpart I--Individual Unit Opt-Ins

Sec. 97.80  Applicability.
Sec. 97.81  General.
Sec. 97.82  NOX authorized account representative.
Sec. 97.83  Applying for NOX Budget opt-in permit.
Sec. 97.84  Opt-in process.
Sec. 97.85  NOX Budget opt-in permit contents.
Sec. 97.86  Withdrawal from NOX Budget Trading Program.
Sec. 97.87  Change in regulatory status.
Sec. 97.88  NOX allowance allocations to opt-in units.
    a. General Provisions. i. Purpose. Proposed Sec. 97.1 explains that 
proposed part 97 sets forth the provisions for the Federal 
NOX Budget Trading Program addressing interstate transport 
of ozone and NOX. As discussed above, this program would be 
activated either under section 126 or under a FIP.
    ii. Definitions. For part 97, EPA is proposing to use the same 
definitions as those that apply in part 96, with cross references to 
the appropriate sections in part 97, with three exceptions. First, the 
definition of the term ``NOX Budget Trading Program'' would 
be altered to reflect the fact that the Federal trading program is 
established pursuant to part 52, as opposed to part 51.121, as is the 
case with the State NOX Budget Trading Program under part 
96. Secondly, the definition for the term ``State'' would be altered to 
reference only those States that would be covered by any final section 
126 or FIP action, and to reflect the fact that the Federal trading 
program would be promulgated for a State, as opposed to adopted by the 
State as is the case with the State NOX Budget Trading 
Program. Last, the term ``State trading program budget'' would be 
replaced with the term ``trading program budget''. For purposes of the 
FIP, the trading program budget would be the aggregated budget for all 
sources affected by the requirements to participate in the trading 
program in a given State under the FIP. For purposes of the section 126 
action, the trading program budget would be referred to as the 
``section 126 trading program budget for the State''. The term 
``section 126 trading program budget for the State'' is used to clarify 
the fact that the budget for the Federal NOX Budget Trading 
Program is not aggregated to a State level for the purposes of the 
section 126 action except for the allocation calculation, since the 
focus in the remedy is sources rather than States.
    The following example illustrates the approach taken concerning the 
unchanged definitions: the term ``NOX Budget Unit'' is 
defined under part 97 as ``a unit that is subject to the NOX 
Budget Trading Program emissions limitation under Sec. 97.4 and Sec. 
97.80'', while that term has the same definition under part 96 except 
that appropriate sections in part 96 are referenced (63 FR 25923).
    iii. Applicability. For the reasons discussed above, EPA proposes 
in part 97 that the Federal NOX Budget Trading Program for 
purposes of the section 126 remedy would apply to any fossil fuel-fired 
unit (boiler, combustion turbine, or combined cycle) that serves a 
generator with a nameplate capacity greater than 25 MWe, and any fossil 
fuel-fired unit (boiler, combustion turbine, or combined cycle) that 
has a maximum design heat input of greater than 250 mmBtu/hr, located 
in any of the following twenty States: Alabama, Connecticut, Delaware, 
District of Columbia, Illinois, Indiana, Kentucky, Maryland, 
Massachusetts, Michigan, Missouri, New Jersey, New York, North 
Carolina, Ohio, Pennsylvania, Rhode Island, Tennessee, Virginia, and 
West Virginia. The remedy will apply to these sources in those States 
for which EPA makes a final finding granting a section 126 petition 
under the triggers included in the proposed rule. These are the same 
source categories included in the core group applicability for the 
voluntary State NOX Budget Trading Program, only in a more 
narrow range of States.
    In the NOX SIP call, EPA offered States the option of 
allowing units with a very low federally enforceable permit limitation 
(i.e., 25 tons per season) to be exempt from the trading program, even 
though they were above the applicability threshold (63 FR 25926). The 
EPA proposes to include this provision in the Federal NOX 
Budget Trading Program and solicits comment on the appropriateness of 
such inclusion.
    iv. Standard Requirements. Under the Federal NOX Budget 
Trading Program, the NOX Budget units and their owners, 
operators, and NOX AARs must meet certain standard 
requirements that incorporate the full range of program requirements by 
referencing other sections of the NOX Budget Trading Rule. 
These provisions are the same as the related provisions in part 96, 
with cross references to the appropriate sections of part 97, except 
that the Administrator, rather than the permitting authority, would 
allocate NOX allowances under the Federal NOX 
Budget Trading Program. This reflects the fact that the NOX 
Budget Trading Program would be Federally run, rather than run by the 
State as under the NOX SIP call.
    b. Compliance Certification. Proposed Sec. 97.31 is the same as 
Sec. 96.31 except that the Administrator has the sole responsibility 
for reviewing and auditing compliance certifications and other 
submissions under the Federal NOX Budget Trading Program. 
This reflects the fact that the part 97 NOX Budget Trading 
Program would be federally run rather than run by the State as under 
the NOX SIP call. The EPA is proposing these part 97 
provisions for the reasons set forth both in the proposed 
NOX SIP call (63 FR 25929) and the final NOX SIP 
call, and in order to minimize differences between the Federal and 
State NOX Budget Trading Programs.
    c. Aggregate NOX Emissions Levels and Allowance 
Allocations. This section discusses the calculation of State specific 
aggregate emission levels and the methodology and timing for issuance 
of NOX Budget unit allocations. The EPA calculated the State 
specific aggregate emission levels that would remain after the 
application of reasonable and highly cost-effective

[[Page 56314]]

NOX controls to upwind sources which contribute 
significantly to nonattainment or maintenance problems in downwind 
States. These aggregate emission levels for each State for which a 
finding under section 126 may be triggered are listed in appendix C of 
today's notice for both EGUs and non-EGUs. Section II.C of this 
preamble describes the controls that were assumed for each subcategory 
of sources. In determining what controls to assume in calculation of 
the proposed emissions level for each subcategory, EPA used the cost-
effectiveness rationale also described in Section II.C.
    The EPA also calculated individual unit allocations based on the 
State specific aggregate emission levels described in this section. 
Subpart E of today's proposed Federal NOX Budget Trading 
Rule addresses the allocation of NOX allowances to 
NOX budget units for purposes of the section 126 remedy. As 
in the allocation-related provisions in part 96, part 97 includes 
provisions for the timing of allocation issuance, the methodology for 
issuing allocations, and the allocations for new sources. However, in 
part 97, the Administrator, rather than the State, will determine the 
allocations.
    i. Data Sources. (1) EGUs. The EGU data base developed for this 
analysis consists of both utility EGUs and non-utility EGUs. The non-
utility EGUs include independent power producers (IPPs) and non-utility 
generators (NUGs). Eight data sources were used to develop the base 
year EGU data: (1) EPA's Acid Rain Data Base (ARDB) (Pechan, 1997c); 
(2) EPA's 2007 Integrated Planning Model (IPM) Year 2007; (3) EPA's 
Emission Tracking System/Continuous Emissions Monitoring System (ETS/
CEM) (EPA, 1997b); (4) DOE's Form EIA-860 (DOE, 1995a); (5) DOE's Form 
EIA-767 (DOE, 1995b); (6) EPA's National Emissions Trends Data Base 
(NET) (EPA, 1997c); (7) DOE's Form EIA-867 (DOE, 1995c); (8) the OTAG 
Emission Inventory (Pechan, 1997a); and (9) incorporation of comments 
to the proposed NOX SIP call NPR dated November 7, 1997. 
More details regarding these data sources can be found in the technical 
support document (TSD) of EPA's NOX SIP call.
    (2) Non-EGUs. The starting point for the non-EGU data base was the 
1990 OTAG Inventory. This inventory was prepared with 1990 State ozone 
SIP emission inventories supplemented with either State inventory data, 
if available, or EPA's National Emission Trends (NET) data if State 
data were not available. This inventory was further refined by the 
incorporation of comments to the proposed NOX SIP call NPR 
dated November 7, 1997. All records with utility SCCs (first 3 digits 
101 or 201) were removed from the 1990 OTAG Inventory because it was 
assumed that emissions from these sources would be accounted for in the 
EGU component of the inventory. More details regarding these data 
sources can be found in the TSD of EPA's NOX SIP call.
    ii. Methodology Used To Determine Controlled Emission Levels. 
Section II of this preamble identifies the two subcategories that EPA 
proposes to control (i.e., large EGUs and large non-EGUs) and the 
emission levels that are highly cost-effective to achieve (i.e., 0.15 
lb/mmBtu for EGUs and 60 percent reduction from uncontrolled levels for 
non-EGUs) in response to the section 126 petitions. This section 
describes the methodology used in determining each of these 
subcategory's emissions level on a State-by-State basis.
    (1) Large EGUs. For reasons explained in the final NOX 
SIP call, EPA is proposing to calculate each State's summer season 
large EGU emissions level using a specific NOX emission rate 
and the projected summer season utilization of the year 2007. 
Specifically, EPA proposes calculating each State's large EGU 
NOX emissions level by multiplying: (1) Each State's summer 
activity level in mmBtu (EPA selected the higher of each State's 
overall 1995 or 1996 summer utilization), by (2) each State's projected 
growth between 1996 and 2007 (using the IPM model), by (3) a 
NOX rate of 0.15 lb/mmBtu. The resulting figure, in lbs, was 
divided by 2000 (lbs per ton) to determine tons.
    In general, new units built to meet economic growth are lower 
emitting than the older units they augment or replace. Thus, though the 
industry's fuel utilization may increase over time, the industry's 
average NOX rate may decrease as newer, cleaner units are 
built and operated, and total emissions may or may not increase.
    The EPA proposes to incorporate growth in industrial activity when 
determining the large EGU emissions level, and thus accommodate new 
sources into the section 126 remedy. Specifically, EPA projects each 
State's projected change in utilization from current levels to the year 
2007 and sets an emissions level based on that future year's 
utilization. This approach directly accommodates industrial growth. 
Additionally, this was the type of approach taken in the final 
NOX SIP call in determining various State emissions levels. 
Thus, EPA is proposing to use this type of approach for addressing 
activity growth and, as described below, using the IPM growth 
projections. Appendix C of proposed part 97 of this notice presents the 
resulting proposed large EGU emissions level per State along with each 
State's projected growth from 1996 to 2007.
    (2) Large Non-EGUs. For reasons explained in the final 
NOX SIP call, EPA is proposing to calculate each State's 
summer season large non-EGU emissions level by reducing each State's 
uncontrolled non-EGU NOX emissions levels (in tons) by 60 
percent and assuming growth through the year 2007. Appendix C of 
proposed part 97 presents the resulting large non-EGU emissions level 
and projected growth rate for each State.
    iii. Development of Section 126 Trading Program Budget. Proposed 
Sec. 97.40 provides that the section 126 trading program budget for 
each State would equal the sum of the aggregate emission levels for 
large electric generating units and large non-electric generating units 
in each State calculated as discussed in Section III.B.3.c.ii of this 
preamble. Under section 126, the Administrator determines the 
``emission limitations and compliance schedules'' with which 
NOX Budget units under Sec. 97.4 must comply. In the Federal 
NOX Budget Trading Program being proposed for the section 
126 remedy, these NOX ``emission limitations'' take the form 
of NOX ``allowance allocations'' and are assigned based on 
the aggregate emission levels for the subcategories in the trading 
program. The approach to issuing allocations under a section 126 action 
is similar to that under the NOX SIP call, with the 
exception that under Sec. 96.40, the State permitting authority, rather 
than the Administrator, determines, through the SIP, the total amount 
of allowable NOX emissions apportioned to NOX 
Budget units.
    iv. Timing Provisions. Proposed Sec. 97.41 sets forth the 
provisions for when the Administrator will issue allocations of 
NOX allowances to NOX Budget units. Under the 
Federal NOX Budget Trading Program, the Administrator 
(rather than the State permitting authority) determines the 
NOX allowance allocations, as well as records them in the 
NOX Allowance Tracking System. Thus, proposed Sec. 97.41 
does not provide, or set deadlines, for the permitting authority's 
submission of allocations to EPA. However, as discussed in the final 
NOX SIP call, EPA believes it is important to issue the 
allocations at least a couple years into the future to provide some 
predictability for sources in their control planning and build 
confidence in the market. Therefore, under part 97, the Administrator 
will issue NOX allowances in EPA's NOX Allowance

[[Page 56315]]

Tracking System (NATS) by April 1 of every year for the control period 
that is three years later. For example, EPA would issue the allocations 
for the 2003 control period by April 1, 2000, for those sources for 
which a finding has been triggered under section 126 at this time. For 
those sources for which a finding is not triggered by April 1, 2000, 
but for which a final finding is automatically triggered on May 1, 
2000, EPA would issue the allocations for the 2003 control period to 
NATS as soon as practicable in the year 2000, consistent with the 
allocations finalized with this rulemaking. In both cases, EPA would 
issue the allocations for the 2004 control period by April 1, 2001, 
etc. so that the allocations are always known three years in advance. 
These provisions are consistent with the minimum timing requirements 
specified in the final NOX SIP call rulemaking.
    As stated in the previous paragraph, EPA will issue allocations in 
the NATS on an annual basis three years prior to the relevant control 
period. However, EPA proposes to use the same allocations for the first 
three years of the program (based upon one of the proposed 
methodologies described below), unless a State replaces the section 126 
action with its own allocations in an approved SIP. The EPA proposes 
constant allocations for the first three control periods to provide 
more consistency and certainty and to build market confidence during 
the start-up phase of the program. Therefore, while the Agency will not 
record the allocations in unit accounts until April 1 of the year three 
years preceding each relevant control period, the allocations for 2004 
and 2005 will be the same as the allocations for the 2003 control 
period. However, if a State, as part of an approved SIP, submits 
allocations for the 2004 control period to EPA prior to April 1, 2001, 
or for the 2005 control period prior to April 1, 2002, the State's 
allocations will replace the allocations EPA planned to issue for the 
relevant control season. By issuing allocations into accounts one year 
at a time, EPA is providing States the ability to replace a section 126 
action with an approved SIP while still ensuring that sources receive 
allocations at least three years prior to the relevant control season.
    After the initial three year period, EPA may update its allocations 
on an annual basis three years prior to the relevant control season. As 
discussed in the final NOX SIP call, updating allocations on 
an annual basis (three years ahead) is intended to allow the allocation 
system to accommodate changes in market conditions.
    The EPA is proposing these part 97 provisions for the reasons set 
forth in the final NOX SIP call concerning part 96 and in 
order to minimize differences between the Federal and State 
NOX Budget Trading Programs.
    v. NOX Allowance Allocation Methodology. The EPA 
proposes that part 97 include the methodology that the Administrator 
will use for allocating NOX allowances to NOX 
Budget units. While in part 96 the Agency lays out an optional 
allocation methodology that may be used by a State permitting authority 
for issuing allocations, part 97 will prescribe the methodology that 
the Administrator would use.
    (1) EGUs. The EPA requests comment on three separate methodologies 
that the Administrator could use for the initial allocation period (the 
control periods in 2003 through 2005) for electricity generating units. 
In whichever of these methodologies the Agency finalizes, the total 
number of allowances issued would equal the portion of the section 126 
trading program budget in each State attributed to large electricity 
generating units (calculated as described in Section III.B.3.c.ii of 
this preamble by multiplying a specified emission rate by a State's 
summer activity level projected to 2007). The first option is to 
allocate allowances based on the product of an emission rate in pounds 
of NOX/mmBtu and the mmBtus of energy utilized for all units 
in the Federal NOX Budget Trading Program; the proposed part 
97 describes this approach. The second option is to allocate allowances 
to fossil-fuel-fired electric generating units in the Federal 
NOX Budget Trading Program based on the product of an 
emission rate in pounds of NOX/kWh and the kWh of 
electricity generated. A third option considered by EPA would allocate 
allowances to all large electric generating units, regardless of fuel 
type, in the States affected by the section 126 rulemaking based on 
their electricity generated. For the second and third options, EPA 
would use a surrogate for electricity generation data where electricity 
generation data is not available. The EPA solicits comment on these 
three methodologies.
    With regard to the allocation methodology to be used by the 
Administrator for the control periods starting in 2006, EPA requests 
comment on the same three general methodologies mentioned in the 
previous paragraph. To facilitate the use of the second and third 
approaches for the control periods in 2006 and thereafter, EPA proposes 
to work with stakeholders to design a system based on electricity 
generation that could be used after the initial allocation period. The 
EPA plans to propose an allocation system based on electricity 
generation in 1999 and finalize the approach in 2000. Appropriate data 
could then be measured and collected at NOX Budget units 
during the control periods in the years 2001 and 2002. When it becomes 
available, this approach could be incorporated into part 97 if the 
Agency decides to allocate allowances based on electricity generation.
    For whichever of these three allocation methods the Agency selects, 
EPA proposes to use the average of the data for the two highest control 
periods for the years 1995, 1996, and 1997 in determining an electric 
generating unit's allocation for the control periods in 2003, 2004, and 
2005. This approach using data from 1995, 1996, and 1997 differs 
slightly from the way the aggregate emission level was calculated for 
the EGU subcategory. As explained in Section III.B.3.c.ii of this 
preamble, EPA calculated the aggregate emission level based upon the 
greater of the State heat input data from 1995 or 1996. However, the 
Agency believes it is useful to base the first three years of 
allocations to individual units on operating data reflecting the 
average of the highest of two out of the three most recent years. In 
this way, the initial allocations better represent the operation of 
particular units.
    Once several years of allocations have been built into the system, 
the Agency believes it is possible to move to an annually updating 
allocation system that calculates allocations based on operating data 
from a single year. Using data from a single year as a basis for 
allocations enables the Agency to develop an updating allocation system 
that can reflect changes in utilization or electricity generation. By 
this time, the trading market should be more established and companies 
will have several years of experience with the program. Therefore, 
companies will better be able to accommodate variations in single year 
allocations through the trading market and company-wide compliance 
strategies. Therefore, after the initial period of allocations, EPA 
would use data measured during the control period of the year that is 
four years before the year for which allocations are being calculated.
    Furthermore, for reasons discussed in the final NOX SIP 
call, EPA proposes the establishment of an allocation set-aside account 
for new units (units that commence operation during or after the period 
on which general NOX allowance allocations are based) to be 
used in whichever allocation methodology EPA adopts equaling 5 percent 
of the section

[[Page 56316]]

126 trading program budget in each State in 2003, 2004, and 2005 and 2 
percent of the section 126 trading program budget in each State in the 
subsequent years. The Agency believes that if a new source set-aside is 
employed, it should be large enough to provide allocations to all new 
units entering the Federal trading program. Based on analyses EPA 
conducted using the Integrated Planning Model (IPM) and on the Agency's 
proposal to reallocate by April 1, 2003 for the control period in 2006, 
5 percent appears to be a reasonable portion of NOX 
allowances to set-aside for new units in the initial three years of the 
program and 2 percent for the subsequent years.
    However, while 5 percent (and 2 percent) may be an appropriate 
region-wide average, an individual State may experience either more or 
less growth in new sources during the relevant time period. The EPA 
calculated the State-specific aggregate emission levels for each 
subcategory using State-specific growth rates (see the rulemaking 
docket). Therefore, EPA solicits comment on using State-specific growth 
rates to determine the appropriate size of a State new source set-
aside. Additionally, the 5 percent (and 2 percent) numbers were 
calculated based upon estimated growth in utilization by new sources 
and therefore may be more appropriate when the first proposed 
allocation methodology is employed. The EPA solicits comment on the use 
of a different percentage for the set-aside if the Agency adopts an 
electricity generation-based allocation system.
    Using each of the three allocation methodologies on which EPA 
solicits comment, the Agency has calculated unit specific allocations. 
Two of the three sets of unit-specific allocations are in appendix A of 
proposed part 97, the third set is included in the rulemaking docket. 
The EPA is providing these unit specific allocations to solicit comment 
on the underlying data used in these allocations and the methodologies 
employed in determining the allocations. The Agency will select and 
describe a set of allocations for all sources potentially subject to 
the section 126 rulemaking in the final notice. The EPA would issue the 
finalized set of the 2003 control period allocations in the NATS by 
April 1, 2000 for those sources for which a finding has been triggered 
under section 126 at this time. For those sources for which a finding 
is not triggered by April 1, 2000, but for which a final finding is 
automatically triggered on May 1, 2000, EPA would issue the allocations 
for the 2003 control period to NATS as soon as practicable in the year 
2000, consistent with the allocations finalized with this rulemaking.
    For the first allocation approach in part 97, EPA determined 
initial unadjusted allocations to existing electric generating 
NOX Budget units by multiplying a NOX emission 
rate of 0.15 lb/mmBtu by the units' historical heat input calculated by 
taking the average of the heat input for the two highest control 
periods for the years 1995, 1996, and 1997. The Agency used the heat 
input data reported to EPA in quarterly reports during ozone season for 
utilities affected under the Acid Rain Program. For non-utility 
electricity generators, EPA used heat input information reported to EIA 
on EIA Form 867.
    After determining the initial unadjusted unit allocations, EPA 
adjusted the allocation for each unit upward or downward to match the 
portion of the section 126 trading program budget in the State 
attributed to large electricity generating units. Then, the Agency 
adjusted the allocation for each unit in the State proportionately so 
that the total allocations equaled 95 percent of the portion of the 
section 126 trading program budget in the State attributed to large 
electricity generating units. This created a new source set-aside of 5 
percent.
    For the second allocation approach, EPA multiplied the unit heat 
input in mmBtu and the generator heat rate 14 associated 
with the generation for that unit, in Btu/kWh, to determine each unit's 
associated historical electrical generation in kWh.15 For 
non-utility electricity generators, EPA used heat input from OTAG's 
database (1995 data) and the average heat rate values found below in 
Table III-1. The Agency used this indirect approach to calculate 
electrical output because EPA did not have access to unit-specific 
generation data for non-utility electricity generators. The EPA used 
average heat rate values for generators for which heat rates were not 
publicly available, as shown in the table below.
---------------------------------------------------------------------------

    \14\ Utilities report their generator-specific heat rates to EIA 
on EIA Form 860.
    \15\ The EPA used the average generation for the ozone season 
during the highest two of the years from 1995 through 1997, similar 
to the approach with heat input.

           Table III-1.--Average Utility Generator Heat Rates
------------------------------------------------------------------------
                                                               Average
          Unit and fuel type            Generator size (MW)   heat rate
                                                              (Btu/kWh)
------------------------------------------------------------------------
Combustion Turbine (gas or No. 2 fuel   50              14250
 oil/diesel).                           >50                        13200
Combined Cycle Turbine (gas or No. 2    100             11100
 fuel oil/diesel).                      >100                        8500
Oil-or Gas-fired Steam Boiler.........  400             10600
                                        >400                       10000
Coal-fired Boiler.....................  500             10400
                                        >500                        9800
------------------------------------------------------------------------

    Some units are cogenerators, which are electrical generators that 
divert part of their steam to provide steam output, rather than to 
generate electricity. The Agency calculated output from cogenerating 
units as described in the previous paragraph. That approach assumes 
that heat input is converted into electricity at a particular 
efficiency. The EPA's proposed approach does not account for the fact 
that steam generation is generally more efficient than electricity 
generation. The EPA encourages commenters to provide the Agency 
electrical output data and steam output data to determine the 
efficiency of cogenerating units.
    To determine the individual unit allocations, EPA determined the 
total electricity generation from all affected electricity generating 
units within each State as estimated in the previous paragraphs and 
calculated each unit's share of the total State electricity generation. 
Each unit was then assigned an allocation based upon its share of 
electricity generation. For example, if the Agency calculated that a 
unit contributed 0.4 percent of a State's total electricity generation, 
then it would receive 0.4 percent of the section 126 trading program 
budget in the State attributed to large fossil-fuel-fired electricity 
generating units. After determining the initial unadjusted allocation, 
the Agency adjusted the allocation for each unit proportionately so 
that the total allocation equaled 95% of the portion of the section 126 
trading program budget for the State attributed to large fossil-fuel-
fired electricity generating units (to create the new source set-
aside).
    The EPA is also proposing a third allocation approach which would 
provide allowances to all electricity generators in the applicable 
region regardless of the energy source. For fossil fuel-fired power 
plants, EPA used the approach described above in determining the 
electrical generation

[[Page 56317]]

from individual combustion units. For nuclear power plants and 
hydroelectric plants, EPA used electrical generation reported by 
utilities to EIA on EIA Form 759. The Agency was unable to find data 
for all plants. The Agency solicits comment on these methods for 
determining electricity generation data. The EPA also requests comment 
on the data itself and solicits any additional information for the 
plants for which EPA has not found data.
    The Agency determined the initial unadjusted allocations in the 
same manner as described for the electricity generation-based 
allocations to fossil-fuel-fired units only. That is, the Agency 
determined the total electricity generation within each State, 
calculated each unit's share of the total electricity generation, and 
calculated an allocation based upon that share of the section 126 
trading program budget for the State attributed to large electricity 
generating units. The Agency then adjusted the allocation for each unit 
proportionately so that the total allocation equaled 95 percent of the 
portion of the section 126 trading program budget for the State 
attributed to large electricity generating units.
    For each of these three allocation methodologies, the Agency 
solicits comment on the data used to determine the allocations. 
Electricity generators, and utilities in particular, already report 
many of these data to Federal or State government agencies. The 
necessary data and their sources include:
    1. For each plant:
    a. Plant name--as reported to U.S. EPA and EIA; if not currently 
reporting to Federal government, then as reported to the state 
environmental agency
    b. ORISPL number, if available (or other unique identification 
number for the plant, if no ORISPL number exists)--as reported to U.S. 
EPA and EIA; if not currently reporting to Federal government, then as 
reported to the state environmental agency
    iii. State postal abbreviation and county FIPS code as reported to 
U.S. EPA and EIA; if not currently reporting to Federal government, 
then as reported to the state environmental agency
    iv. Monitoring locations at the plant (e.g., stacks or fuel pipes 
where monitoring equipment would be located) for existing monitoring 
equipment, as reported to U.S. EPA, or to the state environmental 
agency
    2. For each unit (boiler or combustion turbine) at the plant:
    a. An identification designation (e.g., 1, CT2) as reported to U.S. 
EPA and EIA; if not currently reporting to Federal government, then as 
reported to the state environmental agency
    b. A description of each unit (e.g. combustion turbine, coal-fired 
wet-bottom boiler) as reported to U.S. EPA and EIA; if not currently 
reporting to Federal government, then as reported to the State 
environmental agency or state utility commission
    c. Fuel or energy source used--as reported to the U.S. Energy 
Information Administration (EIA) or to the state utility commission
    d. Heat input (mmBtu) in May 1 through September 30 of 1995, 1996 
and 1997 as reported to U.S. EPA and EIA;
    e. Estimated historical NOX mass emissions in May 1 
through September 30 of 1995, 1996 and 1997 (as reported to the U.S. 
EPA or the state environmental agency).
    3. For each electrical generator at the plant:
    a. Generation identification designation--as reported to U.S. EPA 
and EIA; if not currently reporting to Federal government, then as 
reported to the state utility commission
    b. Nameplate capacity in MWe-as reported to U.S. EPA and EIA; if 
not currently reporting to Federal government, then as reported to the 
state utility commission.
    c. Electrical generation (MWh)in May 1 through September 30 of 
1995, 1996 and 1997--as reported to EIA;
    4. For each steam turbines at the plant that is used to generate 
steam output instead or in addition to electricity:
    a. An identification designation
    b. Capacity, in mmBtu/hr output rate
    c. Steam output (mmBtu) (not used for electrical generation) in May 
1 through September 30 of 1995, 1996 and 1997
    The Agency believes these data are needed both to determine the 
output of each source and to establish a unique identity for each 
source and its units. The EPA requests comment on the specific data as 
well as the type of data supporting the proposed allocations under part 
97.
    (2) Non-EGUs. For any allocation methodology adopted, the total 
number of allocations issued to non-electric generating units would 
equal the portion (less the 5 percent set-aside discussed below) of the 
section 126 trading program budget for each State attributed to large 
non-electricity generating units (calculated as described in Section 
III.B.3.c.ii of this preamble by reducing each State's uncontrolled 
non-EGU NOX emissions level by 60 percent and assuming 
activity growth through 2007). At this time, the Agency proposes to use 
heat input as the basis for determining allocations for large non-
electricity generating units in the Federal NOX Budget 
Trading Program. The EPA proposes this basis for both the initial 
allocation period of 2003 through 2005 and for subsequent years of the 
program. This differs from the method used to determine the aggregate 
emission level for non-electric generating units (a percentage 
reduction from historical emissions) because at the time the aggregate 
level was determined (during the SIP call proposal process), heat input 
data for individual units was not available. Distributing allocations 
on a heat-input basis provides a fuel-neutral method of allocating to 
the units in the trading program similar to the allocation approaches 
proposed for the electric generating units. Heat-input-based 
allocations also allow for reallocating in the future (to accommodate 
new units) whereas allocations based upon a specific percentage 
reduction do not. Heat input data is now available for use in 
developing allocations, and the Agency solicits comment on the data as 
well as the use of heat input in developing allocations.
    At this time, the Agency is not aware of any databases on steam 
output information for industrial boilers. Therefore, for combustion 
sources other than electrical generators, EPA finds that it is most 
appropriate to base allocations upon heat input. However, EPA requests 
comment on any methods for distributing allowances on an output basis 
to non-electricity generating units. Comments should address the 
availability, quality, and appropriateness of the data for regulatory 
purposes and/or methods to obtain such data.
    For the non-electricity generating units subject to the Federal 
trading program, EPA proposes to use 1995 heat input data in the 
allocation calculation for the control periods in 2003, 2004, and 2005. 
The 1995 data are the most recent data the Agency knows are currently 
available for non-electricity generating units. After this initial 
period of allocations, as with the electric generating units, the 
Agency will use data measured during the control period of the year 
that is four years before the year for which allocations are being 
calculated.
    As was done for electricity generating units, the Agency has 
calculated unit specific allocations for large non-electricity 
generating units. These unit specific allocations are provided in 
Appendix A of proposed part 97. The EPA solicits comment on the 
underlying data used in these allocations and the methodology employed 
in determining the allocations. The Agency plans to describe a set of 
allocations in the final notice. The EPA would issue the final 
allocations for the control period in

[[Page 56318]]

2003 by placing them in the NATS by April 1, 2000 for those sources for 
which a finding has been triggered under section 126 at this time. For 
those sources for which a finding is not triggered by April 1, 2000, 
but for which a final finding is automatically trigger on May 1, 2000, 
EPA would issue the allocations for the 2000 control period to NATS as 
soon as practicable in the year 2000, consistent with the allocations 
finalized with this rulemaking.
    For the non-electricity generating unit allocations proposed in 
today's notice, EPA determined initial unadjusted allocations to 
existing non-electric generating NOX Budget units by 
multiplying a NOX emission rate of 0.17 lb/mmBtu (the 
average emission rate for existing non-electricity generating budget 
units after controls are in place) by the units' historical heat input 
(described above as 1995 control season data).
    After determining the initial unadjusted unit allocations, EPA 
adjusted the allocation for each unit upward or downward to match the 
portion of the section 126 trading program budget for the State 
attributed to large non-electricity generating units. Then, the Agency 
adjusted the allocation for each unit in the State proportionately so 
that the total allocations equaled 95 percent of the portion of the 
section 126 trading program budget for the State attributed to large 
non-electricity generating units.
    The Agency proposes to set-aside 5 percent of the non-electricity 
generating unit allocations to be consistent with the allocation for 
electricity generating units. The EPA solicits comment on this approach 
and the proposed size of the set-aside.
    (3) Treatment of New Sources. As discussed in previous sections, 
the Agency has proposed in part 97 a set-aside for new sources 
consistent with the provisions of part 96. New electricity generating 
units and non-electricity generating units required to participate in 
the Federal NOX Budget Trading Program will have access to 
this set-aside. In 2003, 2004, and 2005, each State set-aside would 
initially hold NOX allowances equal to 5 percent of the 
NOX allowances in the section 126 trading program budget in 
the State. Starting in 2006, each State set-aside would originally hold 
2 percent of the NOX allowances in the section 126 trading 
program budget in the State. At the end of each relevant control 
period, EPA will return any allowances remaining in the account on a 
pro-rata basis to the units that had received an original allocation 
that had been adjusted to create the new source set-aside in the State.
    The NOX allowances in the allocation set-aside would be 
available to any unit that would otherwise be eligible for an 
allocation in a control period but did not receive one because the unit 
commenced operation during or after the period on which the 
NOX allowance allocations for existing units were based. To 
receive NOX allowances from the allocation set-aside, the 
NOX Authorized Account Representative for a unit would 
submit a NOX allowance request to the Administrator. The 
request could be for no more than 5 consecutive control periods, 
starting with the control period during which the unit is projected to 
commence operation and ending with the control period preceding the 
control period for which it has sufficient data to receive an 
allocation with existing budget units. For the sixth year or later (and 
possibly earlier), there would be sufficient operating data for the 
unit to be incorporated into the NOX allowance allocations 
with existing NOX Budget units. The NOX allowance 
request would need to be submitted prior to May 1 of the first control 
period for which NOX allowances are requested and after the 
date on which the State issues a permit to construct the new unit.
    Consistent with part 96, the allowances would be issued to new 
units on a first-come first-served basis. For the first allocation 
approach proposed for electric generating units, allowances to new 
electric generation units would be issued at a rate of 0.15 lb/mmBtu 
multiplied by the unit's maximum design heat input. Following each 
control period, the unit would be subject to a reduced utilization 
calculation. EPA would deduct NOX allowances following each 
control period based on the unit's actual utilization. Because the 
allocation for a new unit from the set-aside is based on maximum design 
heat input, this procedure adjusts the allocation by actual heat input 
for the control period of the allocation. This adjustment is a 
surrogate for the use of actual utilization in a prior baseline period 
which is the approach used for allocating NOX allowances to 
existing units.
    For new non-electric generating units, allowances would be issued 
at the average emission rate (e.g., .17 lbs/mmBtu) for existing budget 
units (after controls are in place) multiplied by the budget unit's 
maximum design heat input. Following each control period, the source 
would be subject to a reduced utilization calculation similar to that 
described above for electric generating units.
    For the second and third allocation approaches proposed for 
electric generating units, allowances to new electric generating units 
would be issued at the average emission rate (in lbs/kWh) for existing 
budget units (after controls are put in place) multiplied by the 
maximum design electrical generation derived from operation of the new 
budget unit. Following each control period, the budget unit would be 
subject to a reduced utilization calculation similar to that described 
above under the first approach.
    d. Compliance Supplement Pool. This notice proposes to establish 
Federal emissions limits for sources found to significantly contribute 
to ozone nonattainment problems in a petitioning State. These sources 
would be required to comply with the emissions limits by May 1, 2003. 
As discussed in the final NOX SIP call and the technical 
support document ``Feasibility of Installing NOX Control 
Technologies By May 2003,'' EPA believes that this compliance date is a 
feasible and reasonable deadline. However, EPA received comments for 
the NOX SIP call expressing concern that some sources may 
encounter unexpected problems installing controls by this deadline 
that, in turn, could cause unacceptable risk for a source and its 
associated industry. Commenters explicitly expressed concern related to 
the electricity industry, stating that the deadline could adversely 
impact the reliability of the electricity supply.
    In the NOX SIP call, EPA addressed these compliance 
concerns by providing additional flexibility for sources to comply with 
the requirements. The EPA is proposing that similar flexibility 
mechanisms be provided in part 97. First, EPA is proposing that part 97 
include banking provisions as discussed in Section III.B.2.h. Second, 
EPA is proposing that part 97 include a compliance supplement pool that 
may be used by sources to cover excess emissions during the 2003 and 
2004 ozone seasons that are unable to meet the compliance deadline. The 
proposed part 97 includes a separate compliance supplement pool that 
would be available to the sources in each State identified in this 
proposal.
    i. Size of the Compliance Supplement Pool. The EPA proposes to use 
the same compliance supplement pools on a State-by-State basis as were 
included in the final NOX SIP call. The justification for 
the size of the State pools is included in the final NOX SIP 
call. Table III-2 shows the compliance supplement pool that would be

[[Page 56319]]

available to sources in each State identified in this proposal.

         Table III-2. Compliance Supplement Pools (Tons of NOX)
------------------------------------------------------------------------
                                                              Compliance
                           State                              supplement
                                                                 pool
------------------------------------------------------------------------
Alabama....................................................       10,361
Connecticut................................................          559
Delaware...................................................          417
District of Columbia.......................................            0
Illinois...................................................       17,455
Indiana....................................................       19,738
Kentucky...................................................       13,018
Maryland...................................................        3,662
Massachusetts..............................................          285
Michigan...................................................       15,359
Missouri...................................................       10,469
New Jersey.................................................        1,722
New York...................................................        1,831
North Carolina.............................................       10,624
Ohio.......................................................       22,947
Pennsylvania...............................................       13,716
Rhode Island...............................................            0
Tennessee..................................................       12,093
Virginia...................................................        6,108
West Virginia..............................................       16,937
------------------------------------------------------------------------

    ii. Distribution of the Compliance Supplement Pool to Sources. In 
the final NOX SIP call, EPA provides States with two options 
for distributing the pool to sources. One option is for a State to 
distribute some or all of the pool to sources that generate early 
reductions during ozone seasons prior to May 1, 2003. The second option 
is for a State to run a public process to provide tons to sources that 
demonstrate a need for a compliance extension. Tons that are not 
distributed by a State prior to May 1, 2003 will be retired by EPA. A 
State wishing to use the compliance supplement pool under the 
NOX SIP call may divide the pool and make some of it 
available to sources through both options, or may use only one of the 
options for distributing the pool to sources prior to May 1, 2003. 
Based on these options, EPA is soliciting comment on a number of 
approaches for distributing the pool to sources under part 97.
    First, EPA solicits comment as to whether the compliance supplement 
pool should be distributed by EPA to sources or distributed by EPA to 
the States that have sources included in this proposal. If the pools 
were distributed to States, the States would then be able to distribute 
the pool to sources. Part 97 is primarily designed to be implemented 
and administered directly by EPA. For this reason, it may be most 
efficient for EPA to retain the responsibility of distributing the pool 
to sources. However, it may be possible to provide more flexibility in 
the use of the pool for different sources if States were provided the 
distribution responsibility.
    Second, provided that EPA decides to retain the responsibility of 
distributing the pool to sources, EPA solicits comment on two options 
for distribution. First, EPA solicits comment on distributing the 
compliance supplement pool only for early reductions. Under this 
option, the Agency would distribute allowances from the compliance 
supplement pool based upon the optional methodology the Agency laid out 
in the final NOX SIP call. Using that methodology, the 
Agency could issue early reduction credits for the 2001 and 2002 ozone 
season to units that have installed part 75 monitoring by the 2000 
control season, have reduced their emission rate in 2001 or 2002 
relative to their rate in 2000 by at least 20 percent, and are 
operating in the year(s) in which they are applying for early reduction 
credits at an emission rate below 0.25 lb/mmBtu. Provided it meets all 
of these criteria, a unit could request early reduction credits equal 
to the difference between 0.25 lb/mmBtu and the unit's actual emissions 
rate multiplied by the unit's actual heat input for the applicable 
control period. The Agency laid out the reasons for adopting each of 
these criteria for early reduction credits in the final NOX 
SIP call. Part 97 currently describes this option.
    Under this option, if the tons of NOX in the State's 
compliance supplement pool exceeds the number of valid early reduction 
credit requests in that State, the Agency would issue one allowance for 
each ton of early reduction credit requested. Any allowances remaining 
in the compliance supplement pool after all valid requests have been 
granted would be retired by the Agency. If, however, the amount of 
valid requests are more than the size of the State's pool, the Agency 
would reduce the amount in the credit requests on a pro-rata basis so 
that the requests equal the size of the State's pool. After the 
requests have been reduced, the Agency would then issue allowances 
based on the remaining size of each credit request.
    With this option, sources in States in the Ozone Transport 
Commission (OTC) that are subject to this section 126 action would be 
allowed to bring their banked allowances into the Federal 
NOX Budget Trading Program as early reduction credits 
provided the sum of the banked allowances in any State does not exceed 
the size of the State's compliance supplement pool. As is the case 
under this option for States outside of the OTC, any remaining credits 
in the compliance supplement pool would be retired. If the 
NOX Budget units in an OTC State hold banked allowances from 
the OTC program in excess of the amount of credits in the State's pool, 
the Agency would reduce the amount of allowances eligible for early 
reduction credit on a pro rata basis.
    The Agency solicits comment on the methodology for issuing early 
reduction credits in this option as well as the approach that limits 
the use of the compliance supplement pool to early reduction credits. 
Specifically, the Agency solicits comment on alternative methods for 
calculating early reduction credits. In addition, EPA solicits comment 
on the approach specified for integration with the OTC Program.
    The Agency also solicits comment on a second option for 
distribution of the compliance supplement pool. Under this second 
option, the Agency proposes that a portion of the compliance supplement 
pool be given out as early reduction credits and the remaining portion 
be reserved for sources that demonstrate a need for the compliance 
supplement. As described in the preamble to the final NOX 
SIP call, sources would be responsible for demonstrating to the Agency 
and the public achieving compliance by May 1, 2003 would create undue 
risk either to its own operation or associated industry. The 
administrator of the compliance supplement pool would provide the 
public an opportunity to comment on the validity of the need for this 
``direct distribution'' of the compliance supplement.
    Under this option, the Agency would grant early reduction credits 
using the method described in the first option (or some variation of 
that approach) before allowing sources access to the direct 
distribution credits from the compliance supplement pool. The Agency 
proposes to address OTC banked allowances held by sources subject to a 
section 126 action as suggested in the first option. To ensure that the 
compliance supplement is only provided to sources that truly need a 
compliance extension, the remaining credits in the compliance 
supplement pool would be given out to an owner or operator of a source 
that demonstrates the following:
     The process of achieving compliance by May 1, 2003 would 
create undue risk for the source or its associated industry. For 
electric generating units, the demonstration should show that 
installing controls would create unacceptable risks for the reliability 
of the electricity supply during the time of installation. This 
demonstration would include a showing that it was not feasible to 
import electricity from other systems during the

[[Page 56320]]

time of installation. Non-electricity generating sources may also be 
eligible for the compliance supplement based on a demonstration of risk 
comparable to that described for the electricity industry.
     It was not possible to compensate for delayed compliance 
by generating early reduction credits at the source or by acquiring 
credits generated by other sources.
     It was not possible to acquire allowances or credits for 
the 2003 ozone season from sources that will make reductions beyond 
required levels during the 2003 ozone season.
    The Agency solicits comment on this option that distributes the 
compliance supplement pool both through early reduction credits as well 
as direct distribution. Specifically, the Agency requests comment on 
the number of credits to reserve for direct distribution, the 
methodology used for direct distribution, and options for public review 
of the direct distribution. The Agency also solicits comment on the 
appropriate administrator of the direct distribution.
    Under any of the options described above, the Agency proposes that 
NOX allowances issued from the compliance supplement pool 
would only be available for sources to use for compliance in the 2003 
or 2004 control periods. Any NOX allowance issued from the 
compliance supplement pool that is not used for compliance in 2003, 
would be considered to be ``banked'' for the 2004 control period. The 
Agency proposes to retire any NOX allowance issued from the 
compliance supplement pool that is not used in either the 2003 or 2004 
control period at the end of the 2004 true-up period for the reasons 
cited in the preamble to the final NOX SIP call.
    e. Emissions Monitoring and Reporting. Subpart H of today's 
proposed rule addresses monitoring and reporting requirements 
including, among other things, general requirements, initial 
certification and recertification procedures, out of control periods, 
notifications, recordkeeping and reporting, and petitions. These 
provisions are essentially the same as the monitoring-related 
provisions of part 96, with cross references to the appropriate 
sections of part 97. The differences between the provisions reflect the 
fact that administration of the monitoring requirements is overseen by 
EPA, rather than by EPA and the permitting authority as is the case in 
the State NOX Budget Trading Program. As a result, for 
example, monitoring certification applications are submitted to the 
Administrator and the appropriate EPA Regional Office in addition to 
the permitting authority, and the Administrator, not the permitting 
authority, will act on the applications. Further, the Administrator 
handles all audit decertifications and all petitions for alternatives 
to the monitoring requirements. Another difference is that in the State 
NOX Budget Trading Program, EPA included heat input 
monitoring requirements that States might choose to adopt if they were 
basing their allocation methodologies on heat input. The proposed 
Federal NOX Budget Trading Program bases its allocation 
approach on heat input. Therefore, EPA has included the heat input 
monitoring and reporting requirements in proposed part 97. Note that as 
explained in Section III.3.c.5 of the preamble, EPA is taking comment 
on three different allocation methodologies. Depending on the 
methodology chosen, monitoring and reporting requirements would vary.
    The EPA is proposing these part 97 provisions for the reasons set 
forth both in the proposed NOX SIP call (63 FR 25938-40) and 
the final NOX SIP call, and in order to minimize differences 
between the Federal and State NOX Budget Trading Programs.
    In particular, for the reasons set forth in the NOX SIP 
call, EPA proposes that NOX Budget units be required to meet 
the monitoring and reporting requirements in a new subpart H of 40 CFR 
part 75, the Acid Rain Program regulations (63 FR 25938-40). The EPA 
has promulgated these revisions part 75 to establish NOX 
mass monitoring requirements and provide greater flexibility to 
regulated sources in conjunction with the final NOX SIP call 
rule.
    f. Opt-ins. Subpart I of today's proposed rule addresses the opt-in 
process and procedures applicable to operating units that are not 
NOX Budget units under Sec. 97.4, but are located in a State 
that is included in the Federal NOX Budget Trading Program 
and wish to voluntarily enter (i.e., opt into) the trading program. The 
opt-in provisions can further reduce the cost of achieving 
NOX reductions by allowing these units to join the 
NOX Budget Trading Program and make incremental, lower cost 
reductions, freeing NOX allowances for use by other 
NOX Budget units. There are potentially individual sources 
not included in the trading program that may emit significant amounts 
of NOX and are able to achieve cost-effective reductions; 
allowing these sources to join the program would reduce the overall 
cost of compliance for the program. The EPA proposes in subpart I to 
allow individual combustion sources that are located in a State for 
which a section 126 remedy in promulgated, vent to a stack, and can 
monitor NOX mass emissions, the opportunity to opt-in to the 
Federal program for purposes of the section 126 remedy. The EPA 
solicits comment on the appropriateness of these opt-in provisions.
    Subpart I addresses, among other things, the applicability 
requirements, allocations, procedures for applying for a NOX 
Budget opt-in permit, the process of reviewing and approving or denying 
the permit, contents of the permit, procedures for withdrawing as a 
NOX Budget opt-in source, and changes in regulatory status. 
The provisions of this subpart are similar to the opt-in provisions in 
part 96, with cross references to the appropriate sections in part 97, 
though the Administrator plays a greater role than in part 96 with 
regard to actions on opt-in permits, allocations, and other related 
opt-in submissions. For example, under the Federal trading program, 
NOX budget opt-in permit applications are submitted to both 
the Administrator and the permitting authority, but only the 
Administrator may determine whether the unit qualifies as a 
NOX Budget opt-in source. Furthermore the Administrator, 
rather than the permitting authority, allocates allowances to sources 
in the Federal NOX Budget Trading Program. The EPA is 
proposing these part 97 provisions for the reasons set forth both in 
the proposed NOX SIP call (63 FR 25940-42) and the final 
NOX SIP call, and in order to minimize differences between 
the Federal and State NOX Budget Trading Programs.
    g. Program administration. As discussed above, the Federal 
NOX Budget Trading Program would be run by EPA. The EPA 
would identify the units covered by the program, determine and record 
the NOX allowance allocations, receive and review monitoring 
plans and monitoring certification applications, and take the lead in 
enforcement. As discussed above, States would still be responsible for 
permitting.

C. New Source Review

    As discussed in the proposed and final NOX SIP call, the 
EPA believes that nonattainment New Source Review (NSR) offset 
requirements of the CAA can be met using the mechanism of the State 
NOX Budget Trading Program under part 96. However, because 
the Agency is continuing to evaluate a number of complex issues 
involved with integrating NSR and the trading program, it will not be 
providing guidance at this time. The EPA intends

[[Page 56321]]

to provide such guidance as soon as possible. At that time, the EPA 
will also address integrating NSR with the trading program under part 
97.

IV. Non-Ozone Benefits to NOX Reductions

    In addition to contributing to attainment of the ozone NAAQS, 
decreases of NOX emissions will also likely help improve the 
environment in several important ways. On a national scale, decreases 
in NOX emissions will also decrease acid deposition, 
nitrates in drinking water, excessive nitrogen loadings to aquatic and 
terrestrial ecosystems, and ambient concentrations of nitrogen dioxide, 
particulate matter, and toxics. On a global scale, decreases in 
NOX emissions will, to some degree, reduce greenhouse gases 
and stratospheric ozone depletion. Thus, management of NOX 
emissions is important to both air quality and watershed protection on 
national and global scales. In its July 8, 1997 final recommendations, 
OTAG stated that it ``recognizes that NOX controls for ozone 
reductions purposes have collateral public health and environmental 
benefits, including reductions in acid deposition, eutrophication, 
nitrification, fine particle pollution, and regional haze.'' These and 
other public health and environmental benefits associated with 
decreases in NOX emissions are summarized 
below.16
---------------------------------------------------------------------------

    \16\ U.S. Environmental Protection Agency, ``Nitrogen Oxides: 
Impacts on Public Health and the Environment,'' EPA-452/R-97-002, 
August 1997.
---------------------------------------------------------------------------

    Acid Deposition: Sulfur dioxide and NOX are the two key 
air pollutants that cause acid deposition (wet and dry particles and 
gases) and result in the adverse effects on aquatic and terrestrial 
ecosystems, materials, visibility, and public health. Nitric acid 
deposition plays a dominant role in the acid pulses associated with the 
fish kills observed during the springtime melt of the snowpack in 
sensitive watersheds and recently has also been identified as a major 
contributor to chronic acidification of certain sensitive surface 
waters.
    Drinking Water Nitrate: High levels of nitrate in drinking water is 
a health hazard, especially for infants. Atmospheric nitrogen 
deposition in sensitive watersheds can increase stream water nitrate 
concentrations; the added nitrate can remain in the water and be 
transported long distances downstream.
    Eutrophication: NOX emissions contribute directly to the 
widespread accelerated eutrophication of United States coastal waters 
and estuaries. Atmospheric nitrogen deposition onto surface waters and 
deposition to watershed and subsequent transport into the tidal waters 
has been documented to contribute from 12 to 44 percent of the total 
nitrogen loadings to United States coastal water bodies. Nitrogen is 
the nutrient limiting growth of algae in most coastal waters and 
estuaries. Thus, addition of nitrogen results in accelerated algae and 
aquatic plant growth causing adverse ecological effects and economic 
impacts that range from nuisance algal blooms to oxygen depletion and 
fish kills.
    Global Warming: Nitrous oxide (N2O) is a greenhouse gas. 
Anthropogenic N2O emissions in the United States contribute 
about 2 percent of the greenhouse effect, relative to total United 
States anthropogenic emissions of greenhouse gases. In addition, 
emissions of NOX lead to the formation of tropospheric 
ozone, which is another greenhouse gas.
    Nitrogen Dioxide (NO2): Exposure to NO2 is 
associated with a variety of acute and chronic health effects. The 
health effects of most concern at ambient or near-ambient 
concentrations of NO2 include mild changes in airway 
responsiveness and pulmonary function in individuals with pre-existing 
respiratory illnesses and increases in respiratory illnesses in 
children. Currently, all areas of the United States monitoring 
NO2 are below EPA's threshold for health effects.
    Nitrogen Saturation of Terrestrial Ecosystems: Nitrogen accumulates 
in watersheds with high atmospheric nitrogen deposition. Because most 
North American terrestrial ecosystems are nitrogen limited, nitrogen 
deposition often has a fertilizing effect, accelerating plant growth. 
Although this effect is often considered beneficial, nitrogen 
deposition is causing important adverse changes in some terrestrial 
ecosystems, including shifts in plant species composition and decreases 
in species diversity or undesirable nitrate leaching to surface and 
ground water and decreased plant growth.
    Particulate Matter (PM): NOX compounds react with other 
compounds in the atmosphere to form nitrate particles and acid 
aerosols. Because of their small size nitrate particles have a 
relatively long atmospheric lifetime; these small particles can also 
penetrate deeply into the lungs. The PM has a wide range of adverse 
health effects.
    Stratospheric Ozone Depletion: A layer of ozone located in the 
upper atmosphere (stratosphere) protects people, plants, and animals on 
the surface of the earth (troposphere) from excessive ultraviolet 
radiation. The N2O, which is very stable in the troposphere, 
slowly migrates to the stratosphere. In the stratosphere, solar 
radiation breaks it into nitric oxide (NO) and nitrogen (N). The NO 
reacts with ozone to form NO2 and molecular oxygen. Thus, 
decreasing N2O emissions would result in some decrease in 
the depletion of stratospheric ozone.
    Toxic Products: Airborne particles derived from NOX 
emissions react in the atmosphere to form various nitrogen containing 
compounds, some of which may be mutagenic. Examples of transformation 
products thought to contribute to increased mutagenicity include the 
nitrate radical, peroxyacetyl nitrates, nitroarenes, and nitrosamines.
    Visibility and Regional Haze: The NOX emissions lead to 
the formation of compounds that can interfere with the transmission of 
light, limiting visual range and color discrimination. Most visibility 
and regional haze problems can be traced to airborne particles in the 
atmosphere that include carbon compounds, nitrate and sulfate aerosols, 
and soil dust. The major cause of visibility impairment in the eastern 
United States is sulfates, while in the West the other particle types 
play a greater role.
    Justification for Rulemaking: While EPA believes the information is 
important for the public to understand and, thus, needs to be described 
as part of the rulemaking and RIA, there should be no misunderstanding 
as to the legal basis for the rulemaking, which is described in Section 
I, Background, of this notice and does not depend on the non-ozone 
benefits. The non-ozone benefits did not affect the method in which EPA 
determined significant contribution nor the proposed control 
requirements.

V. Administrative Requirements

A. Executive Order 12866: Regulatory Impact Analysis

    Under Executive Order 12866 (58 FR 51735, October 4, 1993), the 
Agency must determine whether a regulatory action is ``significant'' 
and therefore subject to Office of Management and Budget (OMB) review 
and the requirements of the Executive Order. The Order defines 
``significant regulatory action'' as one that is likely to result in a 
rule that may:
    (1) Have an annual effect on the economy of $100 million or more or 
adversely affect in a material way the economy, a sector of the 
economy, productivity, competition, jobs, the environment, public 
health or safety, or State, local, or tribal governments or 
communities;

[[Page 56322]]

    (2) Create a serious inconsistency or otherwise interfere with an 
action taken or planned by another agency;
    (3) Materially alter the budgetary impact of entitlements, grants, 
user fees, or loan programs or the rights and obligations of recipients 
thereof; or
    (4) Raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles set forth in 
the Executive Order.
    The EPA believes that this action is a ``significant regulatory 
action'' because it raises novel legal and policy issues arising from 
the Agency's obligation to respond to the section 126 petitions, and 
because the action could have an annual effect on the economy of more 
than $100 million. As a result, the proposed rulemaking was submitted 
to OMB for review, and EPA has prepared a RIA titled ``Regulatory 
Impact Analysis of Proposed CAA Section 126 Petitions for 
NOX, September 1998.'' This RIA assesses the costs, 
benefits, and economic impacts associated with Federally-imposed 
requirements to mitigate NOX emissions from sources 
contributing to downwind nonattainment of the ozone NAAQS. Any written 
comments from OMB to EPA and any written EPA response to those comments 
are included in the docket. The docket is available for public 
inspection at the EPA's Air Docket Section, which is listed in the 
ADDRESSES section of this preamble. The RIA is available in hard copy 
by contacting the EPA Library at the address under ``Availability of 
Related Information'' and in electronic form as discussed above in that 
same section.
    The RIA for the section 126 petitions addresses the costs and 
benefits associated with reducing emissions at sources affected under 
the petitions in the broader context of those sources potentially 
affected by the final NOX SIP call and its associated FIP. 
There is a high likelihood that sources named in the section 126 
petitions will also be controlled under SIPs that will be revised to 
meet final NOX budgets. In the event that States fail to 
submit approvable SIPs, FIPs will be enacted. Therefore, from the 
perspective of a regulatory analysis that is focused on the year 2007, 
the sources named in section 126 petitions will be complying with 
either State or Federal regulations of generally equivalent stringency.
    The RIA for the NOX SIP call concludes that the national 
annual cost of possible State actions to comply with the NOX 
SIP call are approximately $1.7 billion (1990 dollars). The sources 
named in the section 126 petitions will bear some portion of that total 
cost. The associated benefits, in terms of improvements in health, 
visibility, and ecosystem protection, that EPA has quantified and 
monetized range from $1.1 billion to $4.2 billion, with EPA's best 
estimate being $3.4 billion. Due to practical analytical limitations, 
the EPA is not able to quantify and/or monetize all potential benefits 
of the NOX SIP call action.

B. Impact on Small Entities

1. Regulatory Flexibility
    The Regulatory Flexibility Act (RFA), as amended by the Small 
Business Regulatory Enforcement Fairness Act (SBREFA), provides that 
whenever an agency is required to publish a general notice of proposed 
rulemaking, it must prepare and make available an initial regulatory 
flexibility analysis, unless it certifies that the proposed rule, if 
promulgated, will not have ``a significant economic impact on a 
substantial number of small entities.''
    In the process of developing this rulemaking, EPA worked with SBA 
and OMB and obtained input from small businesses, small governmental 
jurisdictions, and small organizations. On June 23, 1998, EPA's Small 
Business Advocacy Chairperson convened a Small Business Advocacy Review 
Panel under section 609(b) of the RFA as amended by SBREFA. In addition 
to its chairperson, the Panel consists of EPA's Director of the Office 
of Air Quality Planning and Standards within the Office of Air and 
Radiation, the Administrator of the Office of Information and 
Regulatory Affairs within the OMB, and the Chief Counsel for Advocacy 
of the SBA.
    As described below, this Panel conducted an outreach effort and 
completed a report on the section 126 proposal. The report provides 
background information on the proposed rule being developed and the 
types of small entities that would be subject to the proposed rule, 
describes efforts to obtain the advice and recommendations of 
representatives of those small entities, summarizes the comments that 
have been received to date from those representatives, and presents the 
findings and recommendations of the Panel; the completed report, 
comments of the small entity representatives, and other information are 
contained in the docket for this rulemaking.
    It is important to note that the Panel's findings and discussion 
are based on the information available at the time this report was 
drafted. The EPA is continuing to conduct analyses relevant to the 
proposed rule, and additional information may be developed or obtained 
during the remainder of the rule development process. The Panel makes 
its report at a preliminary stage of rule development and its report 
should be considered in that light. At the same time, the report 
provides the Panel and the Agency with an opportunity to identify and 
explore potential ways of shaping the proposed rule to minimize the 
burden of the rule on small entities while achieving the rule's 
statutory purposes. Any options the Panel identifies for reducing the 
rule's regulatory impact on small entities may require further analysis 
and/or data collection to ensure that the options are practicable, 
enforceable, environmentally sound and consistent with the statute 
authorizing the proposed rule.
2. Outreach to Small Entity Representatives
    In consultation with the SBA, EPA invited small entity 
representatives to participate in its outreach efforts on this 
proposal. The EPA, OMB, and SBA held an initial outreach meeting with a 
group of small-entity representatives in Washington, DC, on April 14, 
1998. The purpose of this meeting was to familiarize the small-entity 
representatives with the substance of the rulemaking and the kinds of 
sources being considered for regulation, and to solicit comment on 
these topics. Subsequent to the meeting, the representatives submitted 
follow-up comments in writing. The primary outreach was accomplished by 
a meeting with the small-entity representatives in Washington, D.C. on 
August 4, 1998. The purpose of this meeting was to present the results 
of EPA's analysis on small-entity impacts, and to solicit comment on 
this analysis and on suggestions for impact mitigation. Subsequent to 
the meeting, the representatives submitted follow-up comments in 
writing.
    To define small entities, EPA used the SBA industry-specific 
criteria published in 13 CFR part 121. The SBA size standards have been 
established for each type of economic activity under the Standard 
Industrial Classification (SIC) System. Due to their NOX-
emitting properties, the following industries have the potential to be 
affected by the section 126 rulemaking:

SIC Codes in Division D: Manufacturing

2611--Pulp mills
2819--Industrial Inorganic Materials
2821--Plastics Materials, Synthetic Resins, and Nonvulcanizable 
Elastomers
2869--Industrial Organic Chemicals
3312--Steel Works, Blast Furnaces, and Rolling Mills
3511--Steam, Gas, and Hydraulic Turbines

[[Page 56323]]

3519--Stationary Internal Combustion Engines
3585--Air-Conditioning and Warm-Air Heating Equipment and Commercial 
and Industrial Refrigeration Equipment

SIC Codes in Division E: Transportation, Communications, Electric, Gas, 
and Sanitary Services

    SIC Major Group 49: Electric, Gas, and Sanitary Services, 
including:

4911--Electric Utilities
4922--Natural Gas Transmission
4931--Electric and other Gas Services
4961--Steam and Air Conditioning Supply
3. Potentially Affected Small Entities
    The primary topic of Panel discussion was the applicability of the 
section 126 rule to the various categories of NOX-emitting 
sources, the costs the rule would impose, and the possibility of 
further reducing rule applicability. Secondary topics included 
emissions monitoring and other potentially duplicative Federal rules. 
These discussions are summarized below.
    The section 126 rulemaking is potentially applicable to all 
NOX-emitting entities named in one or more of the section 
126 petitions. Since this is a subset of the entities covered by the 
FIP proposal, any impacts from the section 126 rule will be a subset of 
the FIP impacts, and the FIP proposal represents the worst case that 
could result if all eight section 126 petitions were granted. 
Therefore, EPA has applied its limited time and resources to developing 
estimates of impact based on the FIP proposal, with the knowledge that 
it represents the worst case in terms of impact on small entities.
    The EPA estimates that the total number of such entities named in 
the section 126 petitions is approximately 5200, of which about 1200 
are small entities. The EPA is considering reducing this applicability 
based on several factors including input from this Panel, 
considerations of overall cost effectiveness, and administrative 
efficiency. Specifically, EPA is proposing to exempt a number of 
sources from being subject to this regulation based on factors such as 
low relative emissions and lack of specific source information. These 
factors are discussed in detail elsewhere in this notice. Additional 
sources are being considered for exemption because they may not be 
highly cost effective to control, with EPA considering an average cost 
effectiveness of $2000 per ton of NOX removed as the upper 
limit for highly cost-effective reductions.
    If EPA takes final action as proposed today with this reduced-
applicability approach, the section 126 rulemaking will apply only to 
the following types of sources: Large electric generating units (EGUs), 
industrial boilers, and combustion turbines. The stringency levels of 
control EPA currently intends to propose for these types of sources is 
as follows: For EGUs, an emission rate of 0.15 pounds of NOX 
per million BTU and for industrial boilers and combustion turbines, an 
emission reduction of 60 percent. At these stringency levels, the 
estimated number of small entities that would be affected is as 
follows:

Electric Generating Units--114 small entities
Industrial Boilers and/or Combustion Turbines--31 small entities

    The EPA has further estimated that, of these affected small 
entities, the following would experience compliance costs equal or 
greater to 1 percent of their estimated revenues:

Electric Generating Units--32 small entities
Industrial Boilers and Combustion Turbines--7 small entities

Of these, EPA estimates that about 18 small entities with electric 
generating units and 4 small entities with industrial boilers or 
turbines would experience costs greater than 3 percent of their 
estimated revenues.
    Focusing the rule on this limited group of sources would constitute 
a reduction of over 85 percent in the number of small entities 
potentially affected by the rule: out of 1200 potentially-affected 
small entities, over 1000 would be exempted, with only 145 small 
entities remaining. The Panel received written comments from three 
small-entity representatives strongly endorsing these exemptions.
4. Panel Findings and EPA Actions
    a. Exemptions. The Panel agreed with the general approach EPA is 
proposing to define the scope of the rule. The Panel recommended that 
the exemptions noted above be included in the proposal, and further 
recommended that the applicability of EPA's proposed rule be limited to 
the sources shown in that section. As discussed earlier in this notice, 
EPA is proposing to limit applicability as recommended by the Panel. 
Furthermore, as described below, the Panel considered it appropriate to 
explore additional options for reducing the impact of the rule.
    Several of the small entity representatives suggested that EPA 
exempt all small entities from this rulemaking. Although EPA does not 
feel that a blanket, across-the-board exemption could be supported, EPA 
is receptive to proposals for further exemptions, up to and including 
exempting all small entities if that could be shown to be appropriate. 
As recommended by the Panel, EPA solicits comment on additional types 
of small-entity exemptions and the rational bases on which such 
exemptions could be made, such as disproportionate ability to bear 
costs and administrative burden.
    b. Continuous Emissions Monitoring Systems (CEMS). The Panel 
received both written and oral comments to the effect that CEMS would 
be prohibitively costly for many industrial boilers, representing a 
significant part of the cost of the rule. The OMB and SBA share the 
commenters' concern for the potentially high cost of CEMS requirements. 
The EPA believes that it is necessary for all sources in the trading 
program to be subject to accurate and consistent monitoring 
requirements designed to demonstrate compliance with a mass emission 
limitation, and therefore intends to require all large units to monitor 
NOX mass emissions using CEMS (including units opting-in to 
the trading program). In the proposed section 126 rule, all affected 
sources are included in the trading program. However, EPA does believe 
that it is appropriate to provide lower cost monitoring options for 
units with low NOX mass emissions, and therefore intends to 
allow non-CEMS alternatives for units that have emissions of less than 
50 tons per year of NOX. This cutoff will provide relief for 
boilers large enough to be covered by the rule, but that run for a 
smaller number of hours each year, including any such boilers owned by 
small entities.
    c. Electric Generating Units. The next area considered by the Panel 
was electric generating units (EGUs). The EPA's analysis shows that 
slightly more than 30 EGUs may experience costs above 1 percent of 
revenues, and that 18 of these might exceed 3 percent. From comments 
made by small utilities, the Panel suspects that many of these high-
cost-to-revenue situations may involve peaking units, which run only a 
small percentage of the time and thus may be inefficient to control. To 
address this problem, the Panel recommended that EPA solicit comment on 
whether to allow electric generating units to obtain a Federally-
enforceable NOX emission tonnage limit (e.g., 25 tons during 
the ozone season) and thereby obtain an exemption. The EPA solicits 
comment on the necessity for and appropriateness of such an option.
    d. Industrial Boilers. Individual Panel members conceived of other 
potential ways to mitigate impact on small entities, such as raising 
the size cutoff for small entities and/or lessening the required 
percentage reduction in NOX emissions required from small 
entities. The SBA encouraged the Agency to

[[Page 56324]]

conduct analyses to determine the impact of 40 percent reduction being 
applied solely to small entities and 60 percent solely to large 
entities, and the resulting effect on control levels for sources 
regulated in the proposal. The EPA solicits comment on whether 
requirements should be reduced on small-entity-owned industrial boilers 
by some combination of raising the size cutoff and/or lessening the 
required reduction; which, if any, of these options is preferable; the 
necessity and appropriateness of any such option; the appropriate level 
(e.g., 40 percent reduction instead of 60 percent); and information to 
support any comments submitted.
    e. EPA Guidance to States on Small Entities. Finally, the Panel 
noted that several small entity representatives expressed concern that 
regardless of the sensitivity to small-entity concerns EPA shows in the 
(FIP or) section 126 rulemaking, the States may nevertheless see fit to 
target small entities in their SIPs. To help address this problem, the 
Panel recommended that, subsequent to the FIP and section 126 
proposals, EPA issue guidance that conveys to the States the kinds of 
options and alternatives EPA has considered in addressing small-entity 
concerns, explain the rationale behind these kinds of options, and 
recommended that the States consider adopting similar alternatives in 
their SIPs. The EPA intends to address this issue as it develops 
implementation guidance for the States to use in developing SIPs.

C. Unfunded Mandates Reform Act

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), Pub.L. 
104-4, establishes requirements for Federal agencies to assess the 
effects of their regulatory actions on State, local, and tribal 
governments and the private sector. Under section 202 of the UMRA, 2 
U.S.C. 1532, EPA generally must prepare a written statement, including 
a cost-benefit analysis, for any proposed or final rule that ``includes 
any Federal mandate that may result in the expenditure by State, local, 
and tribal governments, in the aggregate, or by the private sector, of 
$100,000,000 or more ... in any one year.'' A ``Federal mandate'' is 
defined under section 421(6), 2 U.S.C. 658(6), to include a ``Federal 
intergovernmental mandate'' and a ``Federal private sector mandate.'' A 
``Federal intergovernmental mandate,'' in turn, is defined to include a 
regulation that ``would impose an enforceable duty upon State, local, 
or tribal governments,'' section 421(5)(A)(i), 2 U.S.C. 658(5)(A)(i), 
except for, among other things, a duty that is ``a condition of Federal 
assistance,'' section 421(5)(A)(i)(I). A ``Federal private sector 
mandate'' includes a regulation that ``would impose an enforceable duty 
upon the private sector,'' with certain exceptions, section 421(7)(A), 
2 U.S.C. 658(7)(A).
    The EPA is taking the position that the requirements of UMRA apply 
because this action could result in the establishment of enforceable 
mandates directly applicable to sources (including sources owned by 
State and local governments) that would result in costs greater than 
$100 million in any one year. The UMRA generally requires EPA to 
identify and consider a reasonable number of regulatory alternatives 
and adopt the least-costly, most cost-effective or least-burdensome 
alternative that achieves the objectives of the rule. The EPA's UMRA 
analysis, ``Unfunded Mandates Reform Act Analysis For the Proposed 
Section 126 Petitions Under the Clean Air Act Amendments Title I,'' is 
contained in the docket for this action and is summarized below.
    This UMRA analysis examines the impacts of the proposed section 126 
rulemaking on both EGUs and non-EGUs that are owned by State, local, 
and tribal governments, as well as sources owned by private entities. 
This proposal potentially affects 65 EGUs that are owned by one State 
and 24 municipalities (Massachusetts owns 6 units, and the 
municipalities own the remaining 59 units). In addition, 7 non-EGUs 
owned by 2 States and 5 municipalities are potentially affected. The 
EPA has not identified any units on Tribal lands that would be subject 
to the proposed requirements. The overall costs are dominated by the 65 
EGUs and are about $30 million per year. Their cost impacts are only 
slightly higher than their production share, in comparison to all units 
in the region.
    Under section 203 of UMRA, 2 U.S.C. 1533, before EPA establishes 
any regulatory requirements ``that might significantly or uniquely 
affect small governments,'' EPA must have developed a small government 
agency plan. The plan must provide for notifying potentially affected 
small governments; enabling officials of affected small governments to 
have meaningful and timely input in the development of EPA regulatory 
proposals with significant Federal intergovernmental mandates; and 
informing, educating, and advising small governments on compliance with 
the regulatory requirements. The proposed requirements do not 
distinguish EGUs based on ownership, either for those units that are 
included within the scope of the proposed rule or for those units that 
are exempted by the generating capacity cut-off. Consequently, the 
proposed rule has no requirements that uniquely affect small 
governments that own or operate EGUs within the affected region. With 
respect to the significance of the rule's provisions, EPA's UMRA 
analysis (cited above) demonstrates that the economic impact of the 
rule will not significantly affect State or municipal EGUs or non-EGUs, 
either in terms of total cost incurred and the impact of the costs on 
revenue, or increased cost of electricity to consumers. Therefore, 
development of a small government plan under section 203 of the Act is 
not required.
    Under section 204 of UMRA, 2 U.S.C. 1534, if an agency proposes a 
rule that contains a ``significant Federal intergovernmental mandate'', 
the agency must develop a process to permit elected officials of State, 
local, and tribal governments to provide input into the development of 
the proposal.'' In order to fulfill UMRA requirements that publicly-
elected officials be given meaningful and timely input in the process 
of regulatory development, EPA has sent letters to five national 
associations whose members include elected officials. The letters 
provide background information, request the associations to notify 
their membership of the proposed rulemaking, and encourage interested 
parties to comment on the proposed actions by sending comments during 
the public comment period and presenting testimony at the public 
hearing on the proposal. Any comments will be taken into consideration 
as the action moves toward final rulemaking.
    In addition, during the NOX SIP call, EPA provided 
direct notification to potentially affected State and municipally-owned 
utilities as part of the public comment and hearing process attendant 
to proposal of the NOX SIP call and supplemental notice of 
proposed rulemaking. These procedures helped ensure that small 
governments had an opportunity to give timely input and obtain 
information on compliance. The EPA provided the 26 State and 
municipality-owned utilities and appropriate elected officials with a 
brief summary of the proposal and the estimated impacts. The public 
rulemaking also elicited numerous comments from State and municipal 
utilities and groups representing utility interests.
    Furthermore, for the section 126 rulemaking, EPA published an ANPR 
that served to provide notice of the Agency's intention to propose 
emissions limits and to solicit early input on the proposal. This 
process helped to ensure

[[Page 56325]]

that small governments had an opportunity to give timely input and 
obtain information on compliance.

D. Paperwork Reduction Act

    The information collection requirements in this proposed rule have 
been submitted for approval to the OMB under the Paperwork Reduction 
Act, 44 U.S.C. 3501 et seq. An Information Collection Request (ICR) 
document has been prepared by EPA (ICR No. 1889.01) and a copy may be 
obtained from Sandy Farmer, OPPE Regulatory Information Division, US 
Environmental Protection Agency (2137), 401 M St., SW, Washington, DC 
20460 or by calling (202) 260-2740.
    The EPA believes that it is essential that sources for whom 
findings are made under section 126 of the CAA demonstrate that they 
are achieving their required reductions. This is achieved through the 
monitoring and reporting of emissions. Accurate and consistent 
monitoring of emissions also facilitates the trading program which 
helps ensure that emission reductions are achieved in the most cost 
affective way possible.
    Respondents/Affected Entities: Large fossil fuel boilers, turbines 
and combined cycle units which are included in the section 126 
proposal.
    Number of Respondents: 2011.
    Frequency of Response:

--Emissions reports quarterly for some units, twice during ozone season 
for others
--Test notifications and allowance transfers on an infrequent basis
--Compliance certifications on an annual basis

    Estimated Annual Hour Burden per Respondent: 107.
    Estitmated Annual Cost per Respondent: $7,943.
    Estimated Total Annual Hour Burden: 216,671.
    Estimated Total Annualized Cost: $13,859,599.

Note that these are an average estimate for the first three years of 
the program. The EPA estimates lower costs in the first two years of 
the program because less units will be participating at that time. The 
units that will be participating at that time are units that are 
applying for early reduction credits. The EPA also estimates that the 
highest compliance costs will occur in 2002, when the majority of the 
units that have to install and certify new monitors to comply with the 
program will do so. The EPA believes that the year 2003 will be more 
representative of the actual ongoing costs of the program. At that time 
EPA estimates a burden of 179 hours per source and a cost of $27,670 
per source.
    Burden means the total time, effort, or financial resources 
expended by persons to generate, maintain, retain, or disclose or 
provide information to or for a federal agency. This includes the time 
needed to review instructions; develop, acquire, install, and utilize 
technology and systems for the purposes of collecting, validating, and 
verifying information, processing and maintaining information, and 
disclosing and providing information; adjust the existing ways to 
comply with any previously applicable instructions and requirements; 
train personnel to be able to respond to a collection of information; 
search data sources; complete and review the collection of information; 
and transmit or otherwise disclose the information.
    An agency may not conduct or sponsor, and a person is not required 
to respond to a collection of information unless it displays a 
currently valid OMB control number. The OMB control numbers for EPA's 
regulations are listed in 40 CFR part 9 and 48 CFR ch. 15.
    Comments are requested on the Agency's need for this information, 
the accuracy of the provided burden estimates, and any suggested 
methods for minimizing respondent burden, including through the use of 
automated collection techniques to the Director, Office of Policy, 
Regulatory Information Division, US Environmental Protection Agency 
(2137), 401 M St., SW, Washington, DC 20460; and to the Office of 
Information and Regulatory Affairs, Office of Management and Budget, 
725 17th St., NW, Washington, DC 20503, marked ``Attention: Desk 
Officer for EPA.'' Comments are requested by December 7, 1998. Please 
include the ICR number in any correspondence.

E. Executive Order 13045: Protection of Children From Environmental 
Health Risks and Safety Risks

1. Applicability of Executive Order 13045
    The Executive Order 13045 applies to any rule that EPA determines 
(1) ``economically significant'' as defined under Executive Order 
12866, and (2) the environmental health or safety risk addressed by the 
rule has a disproportionate effect on children. If the regulatory 
action meets both criteria, the Agency must evaluate the environmental 
health or safety effects of the planned rule on children; and explain 
why the planned regulation is preferable to other potentially effective 
and reasonably feasible alternatives considered by the Agency. This 
proposed rule is not subject to Executive Order 13045, entitled 
``Protection of Children from Environmental Health Risks and Safety 
Risks'' (62 FR 19885, April 23, 1997), because it does not involve 
decisions on environmental health risks or safety risks that may 
disproportionately affect children.
2. Children's Health Protection
    In accordance with section 5(501), the Agency has evaluated the 
environmental health or safety effects of the rule on children, and 
found that the rule does not separately address any age groups. 
However, in conjunction with the final NOX SIP call 
rulemaking, the Agency has conducted a general analysis of the 
potential changes in ozone and PM levels experienced by children as a 
result of the NOX SIP call; these findings are presented in 
the RIA. The findings include population-weighted exposure 
characterizations for projected 2007 ozone and PM concentrations. The 
population data includes a census-derived subdivision for the under 18 
group.

F. Executive Order 12898: Environmental Justice

    Executive Order 12848 requires that each Federal agency make 
achieving environmental justice part of its mission by identifying and 
addressing, as appropriate, disproportionately high and adverse human 
health or environmental effects of its programs, policies, and 
activities on minorities and low-income populations. In conjunction 
with the final NOX SIP call rulemaking, the Agency has 
conducted a general analysis of the potential changes in ozone and PM 
levels that may be experienced by minority and low-income populations 
as a result of the NOX SIP call; these findings are 
presented in the RIA. The findings include population-weighted exposure 
characterizations for projected ozone concentrations and PM 
concentrations. The population data includes census-derived 
subdivisions for whites and non-whites, and for low-income groups.

G. Executive Order 12875: Enhancing the Intergovernmental Partnership

    Under Executive Order 12875, EPA may not issue a regulation that is 
not required by statute and that creates a mandate upon a State, local 
or tribal government, unless the Federal government provides the funds 
necessary to pay the direct compliance costs incurred by those 
governments or EPA consults with those governments. If the mandate is 
unfunded, EPA must provide to the Office of Management and Budget a 
description of the extent of EPA's prior consultation with

[[Page 56326]]

representatives of affected State, local and tribal governments, the 
nature of their concerns, copies of any written communications from the 
governments, and a statement supporting the need to issue the 
regulation. In addition, Executive Order 12875 requires EPA to develop 
an effective process permitting elected officials and other 
representatives of State, local and tribal governments ``to provide 
meaningful and timely input in the development of regulatory proposals 
containing significant unfunded mandates.''
    The EPA has concluded that this rule may create a mandate on State 
and local governments and that the Federal government will not provide 
the funds necessary to pay the direct costs incurred by the State and 
local governments in complying with the mandate. In order to provide 
meaningful and timely input in the development of this regulatory 
action, EPA has sent letters to five national associations whose 
members include elected officials. The letters provide background 
information, request the associations to notify their membership of the 
proposed rulemaking, and encourage interested parties to comment on the 
proposed actions by sending comments during the public comment period 
and presenting testimony at the public hearing on the proposal. Any 
comments will be taken into consideration as the action moves toward 
final rulemaking.
    Furthermore, for the section 126 rulemaking, EPA published an ANPR 
that served to provide notice of the Agency's intention to propose 
emissions limits and to solicit early input on the proposal. This 
process helped to ensure that small governments had an opportunity to 
give timely input and obtain information on compliance.

H. Executive Order 13084: Consultation and Coordination With Indian 
Tribal Governments

    Under Executive Order 13084, EPA may not issue a regulation that is 
not required by statute, that significantly or uniquely affects the 
communities of Indian tribal governments, and that imposes substantial 
direct compliance costs on those communities, unless the government 
provides the funds necessary to pay the direct compliance costs 
incurred by the tribal governments. If the mandate is unfunded, EPA 
must provide to the Office of Management and Budget, in a separately 
identified section of the preamble to the rule, a description of the 
extent of EPA's prior consultation with representatives of affected 
tribal governments, a summary of the nature of their concerns, and a 
statement supporting the need to issue the regulation. In addition, 
Executive Order 13084 requires EPA to develop an effective process 
permitting elected and other representatives of Indian tribal 
governments ``to provide meaningful and timely input in the development 
of regulatory policies on matters that significantly or uniquely affect 
their communities.''
    Today's rule does not significantly or uniquely affect the 
communities of Indian tribal governments and, in any event, will not 
impose substantial direct compliance costs on such communities. The EPA 
is not aware of sources located on tribal lands that could be subject 
to the requirements EPA is proposing in this notice. Accordingly, the 
requirements of section 3(b) of Executive Order 13084 do not apply.

I. National Technology Transfer and Advancement Act

    Section 12(d) of the National Technology Transfer and Advancement 
Act of 1995 (NTTAA), Pub L. 104-113, Sec. 12(d) (15 U.S.C. 272 note) 
directs EPA to use voluntary consensus standards in its regulatory 
activities unless to do so would be inconsistent with applicable law or 
otherwise impractical. Voluntary consensus standards are technical 
standards (e.g., materials specifications, test methods, sampling 
procedures, and business practices) that are developed or adopted by 
voluntary consensus standards bodies. The NTTAA directs EPA to provide 
Congress, through OMB, explanations when the Agency decides not to use 
available and applicable voluntary consensus standards.
    This proposed rulemaking would require all sources that participate 
in the trading program under proposed part 97 to meet the applicable 
monitoring requirements of part 75. Part 75 already incorporates a 
number of voluntary consensus standards. In addition, EPA's proposed 
revisions to part 75 proposed to add two more voluntary consensus 
standards to the rule (see 63 FR at 28116-17, discussing ASTM D5373-93 
``Standard Methods for Instrumental Determination of Carbon, Hydrogen 
and Nitrogen in laboratory samples of Coal and Coke,'' and API Section 
2 ``Conventional Pipe Provers'' from Chapter 4 of the Manual of 
Petroleum Measurement Standards, October 1988 edition). The EPA's 
proposed part 75 revisions also requested comments on the inclusion of 
additional voluntary consensus standards. The EPA has recently 
finalized revisions to part 75 addressing some of the topics raised in 
EPA's proposed revisions to part 75. As part of this rule finalization, 
EPA incorporated two new voluntary consensus standards:
    (1) American Petroleum Institute (API) Petroleum Measurement 
Standards, Chapter 3, Tank Gauging: Section 1A, Standard Practice for 
the Manual Gauging of Petroleum and Petroleum Products, December 1994; 
Section 1B, Standard Practice for Level Measurement of Liquid 
Hydrocarbons in Stationary Tanks by Automatic Tank Gauging, April 1992 
(reaffirmed January 1997); Section 2, Standard Practice for Gauging 
Petroleum and Petroleum Products in Tank Cars, September 1995; Section 
3, Standard Practice for Level Measurement of Liquid Hydrocarbons in 
Stationary Pressurized Storage Tanks by Automatic Tank Gauging, June 
1996; Section 4, Standard Practice for Level Measurement of Liquid 
Hydrocarbons on Marine Vessels by Automatic Tank Gauging, April 1995; 
and Section 5, Standard Practice for Level Measurement of Light 
Hydrocarbon Liquids Onboard Marine Vessels by Automatic Tank Gauging, 
March 1997; and
    (2) Shop Testing of Automatic Liquid Level Gages, Bulletin 2509 B, 
December 1961 (Reaffirmed October 1992), for Sec. 75.19.
    The EPA intends to finalize other revisions to part 75 and address 
comments related to additional voluntary consensus standards at that 
time.
    This proposed rulemaking involves environmental monitoring or 
measurement. Sources that participate in the trading program would be 
required to meet the monitoring requirements under part 75. Consistent 
with the Agency's Performance Based Measurement System (PBMS), part 75 
sets forth performance criteria that allow the use of alternative 
methods to the ones set forth in part 75. The PBMS approach is intended 
to be more flexible and cost effective for the regulated community; it 
is also intended to encourage innovation in analytical technology and 
improved data quality. The EPA is not precluding the use of any method, 
whether it constitutes a voluntary consensus standard or not, as long 
as it meets the performance criteria specified, however, any 
alternative methods must be approved in advance before they may be used 
under part 75.
    The EPA welcomes comments on this aspect of the proposed rulemaking 
and, specifically, invites the public to identify potentially 
applicable voluntary consensus standards and to explain why such 
standards should be used in this regulation.

[[Page 56327]]

List of Subjects

40 CFR Part 52

    Environmental protection, Air pollution control, Emissions trading, 
Nitrogen oxides, Ozone transport, Reporting and recordkeeping 
requirements.

40 CFR Part 97

    Environmental protection, Air pollution control, Emissions trading, 
Nitrogen oxides, Ozone transport, Reporting and recordkeeping 
requirements.

    Dated: September 24, 1998.
Carol M. Browner,
Administrator.

    For the reasons set forth in the preamble, parts 52 and 97 of 
chapter I of title 40 of the Code of Federal Regulations are proposed 
to be amended as follows:

PART 52--APPROVAL AND PROMULGATION OF IMPLEMENTATION PLANS

    1. The authority citation for part 52 continues to read as follows:

    Authority: 42 U.S.C. 7401-7671q.

Subpart A--General Provisions

    2. Subpart A is amended to add Sec. 52.34 to read as follows:


Sec. 52.34  Action on petitions submitted under section 126 relating to 
emissions of nitrogen oxides.

    (a) Purpose and applicability. Paragraphs (b) through (i) of this 
section set forth EPA's affirmative and negative technical 
determinations regarding whether, with respect to the national ambient 
air quality standards (NAAQS) for ozone, certain new and existing 
sources of emissions of nitrogen oxides (``NOX'') in certain 
States emit NOX in amounts that will contribute 
significantly to nonattainment in, or interfere with maintenance by, 
one or more States that submitted petitions in 1997 addressing such 
NOX emissions under section 126 of the Clean Air Act. (As 
used in this section, the term new source includes modified sources, as 
well.) The States that submitted such petitions are Connecticut, Maine, 
Massachusetts, New Hampshire, New York, Pennsylvania, Rhode Island, and 
Vermont (each of which, hereinafter in this section, may be referred to 
also as a ``petitioning State''). Paragraph (j) of this section sets 
forth EPA's decisions about whether to grant or deny each of those 
petitions, and paragraph (k) of this section sets forth the emissions-
reduction requirements that will apply to the affected NOX 
sources to the extent any of the petitions is granted. Appendix A of 
part 97 of this chapter contains a list of the existing NOX 
sources that as of date of signature are covered by the affirmative 
technical determinations described herein, and that would be required 
to meet such pollution-control requirements to the extent a petition 
covering such sources is granted.
    (b) Technical determinations relating to impacts on ozone levels in 
Connecticut.--(1) Affirmative technical determinations with respect to 
the 1-hour ozone standard in Connecticut. The Administrator of EPA 
finds that any existing or new major source or group of stationary 
sources emits or would emit NOX in amounts that contribute 
significantly to nonattainment in the State of Connecticut with respect 
to the 1-hour NAAQS for ozone if it is or will be:
    (i) In a category of sources described in 40 CFR 97.4;
    (ii) Located in one of the States (or portions thereof) listed in 
paragraph (b)(2) of this section; and
    (iii) Within one of the ``Named Source Categories'' listed in the 
portion of Table F-1 in appendix F of this part describing the sources 
covered by the petition of the State of Connecticut.
    (2) States or portions of states that contain sources for which EPA 
is making an affirmative technical determination with respect to the 1-
hour ozone standard in Connecticut. The States, or portions of States, 
that contain sources for which EPA is making an affirmative technical 
determination are:
    (i) Delaware.
    (ii) District of Columbia.
    (iii) Portion of Indiana located in OTAG Subregions 2 and 6, as 
shown in appendix F, Figure F-2 of this part.
    (iv) Portion of Kentucky located in OTAG Subregion 6, as shown in 
appendix F, Figure F-2 of this part.
    (v) Maryland.
    (vi) Portion of Michigan located in OTAG Subregion 2, as shown in 
appendix F, Figure F-2 of this part.
    (vii) Portion of North Carolina located in OTAG Subregion 7, as 
shown in appendix F, Figure F-2 of this part.
    (viii) New Jersey.
    (ix) Portion of New York extending west and south of Connecticut, 
as shown in appendix F, Figure F-2 of this part.
    (x) Ohio.
    (xi) Pennsylvania.
    (xii) Virginia.
    (xiii) West Virginia.
    (3) Negative technical determinations with respect to the 1-hour 
ozone standard in Connecticut. The Administrator of EPA finds that any 
existing or new major source or group of stationary sources that is or 
will be located in one of the States (or portions thereof) listed in 
paragraph (b)(4) of this section does not or would not emit 
NOX in amounts that contribute significantly to 
nonattainment in the State of Connecticut, with respect to the 1-hour 
NAAQS for ozone. The Administrator also finds that any existing or new 
major source or group of stationary sources does not or would not emit 
NOX in such amounts if it:
    (i) Is or will be located in one of the States (or portions 
thereof) listed in paragraph (b)(2) of this section; and
    (ii) Is or will be within one of the ``Named Source Categories'' 
listed in the portion of Table F-1 in appendix F of this part 
describing the sources covered by the petition of the State of 
Connecticut; but
    (iii) Is not in a category of sources described in 40 CFR 97.4.
    (4) States or portions of States that contain no sources for which 
EPA is making an affirmative technical determination with respect to 
the 1-hour ozone standard in Connecticut.  The States or portions 
thereof described in paragraph (b)(3) of this section are:
    (i) Portion of Tennessee located in OTAG Subregion 6, as shown in 
appendix F, Figure F-2.
    (c) Technical determinations relating to impacts on ozone levels in 
Maine.--(1) Affirmative technical determinations with respect to the 1-
hour ozone standard in Maine. The Administrator of EPA finds that any 
existing or new major source or group of stationary sources emits or 
would emit NOX in amounts that contribute significantly to 
nonattainment in the State of Maine, with respect to the 1-hour NAAQS 
for ozone if it is or will be:
    (I) In a category of sources described in 40 CFR 97.4;
    (ii) Located in one of the States (or portions thereof) listed in 
paragraph (c)(2) of this section; and
    (iii) Within one of the ``Named Source Categories'' listed in the 
portion of Table F-1 in appendix F of this part describing the sources 
covered by the petition of the State of Maine.
    (2) States or portions of States that contain sources for which EPA 
is making an affirmative technical determination with respect to the 1-
hour ozone standard in Maine. The States, or portions of States, that 
contain sources for which EPA is making an affirmative technical 
determination are:
    (i) Connecticut.
    (ii) Delaware.
    (iii) District of Columbia.
    (iv) Maryland.

[[Page 56328]]

    (v) Massachusetts.
    (vi) New Jersey.
    (vii) New York.
    (viii) Pennsylvania.
    (ix) Rhode Island.
    (3) Negative technical determinations with respect to the 1-hour 
ozone standard in Maine. The Administrator of EPA finds that any 
existing or new major source or group of stationary sources that is or 
will be located in one of the States (or portions thereof) listed in 
paragraph (c)(4) of this section does not or would not emit 
NOX in amounts that contribute significantly to 
nonattainment in the State of Maine, with respect to the 1-hour NAAQS 
for ozone. The Administrator also finds that any existing or new major 
source or group of stationary sources that does not or would not emit 
NOX in such amounts if it:
    (i) Is or will be located in one of the States (or portions 
thereof) listed in paragraph (c)(2) of this section; and
    (ii) Is or will be within one of the ``Named Source Categories'' 
listed in the portion of Table F-1 in appendix F of this part 
describing the sources covered by the petition of the State of Maine; 
but
    (iii) Is not in a category of sources described in 40 CFR 97.4.
    (4) States or portions of States that contain no sources for which 
EPA is making an affirmative technical determination with respect to 
the 1-hour ozone standard in Maine. The States or portions thereof 
described in paragraph (c)(3) of this section are:
    (i) Portion of North Carolina within a 600 mile radius of Maine's 
ozone nonattainment areas, as shown in appendix F, Figure F-3 of this 
part.
    (ii) New Hampshire.
    (iii) Portion of Ohio within a 600 mile radius of Maine's ozone 
nonattainment areas, as shown in appendix F, Figure F-3 of this part.
    (iv) Vermont.
    (v) Portion of Virginia within a 600 mile radius of Maine's ozone 
nonattainment areas, as shown in appendix F, Figure F-3 of this part.
    (vi) Portion of West Virginia within a 600 mile radius of Maine's 
ozone nonattainment areas, as shown in appendix F, Figure F-3 of this 
part.
    (d) Technical determinations relating to impacts on ozone levels in 
Massachusetts.--(1) Affirmative technical determinations with respect 
to the 1-hour ozone standard in Massachusetts. The Administrator of EPA 
finds that any existing or new major source or group of stationary 
sources emits or would emit NOx in amounts that contribute 
significantly to nonattainment in the State of Massachusetts, with 
respect to the 1-hour NAAQS for ozone if it is or will be:
    (i) In a category of sources described in 40 CFR 97.4;
    (ii) Located in one of the States (or portions thereof) listed in 
paragraph (d)(2) of this section; and
    (iii) Within one of the ``Named Source Categories'' listed in the 
portion of Table F-1 in appendix F of this part describing the sources 
covered by the petition of the State of Massachusetts.
    (2) States or portions of states that contain sources for which EPA 
is making an affirmative technical determination with respect to the 1-
hour ozone standard in Massachusetts. The States or portions of States 
that contain sources for which EPA is making an affirmative technical 
determination are:
    (i) All counties in Ohio located within a 3-county-wide band of the 
Ohio River, as shown in appendix F, Figure F-4 of this part.
    (ii) All counties in West Virginia located within a 3-county-wide 
band of the Ohio River, as shown in appendix F, Figure F-4 of this 
part.
    (3) Negative technical determinations with respect to the 1-hour 
ozone standard in Massachusetts. The Administrator of EPA finds that 
any existing or new major source or group of stationary sources that is 
or will be located in one of the States (or portions thereof) listed in 
paragraph (d)(4) of this section does not or would not emit NOx in 
amounts that contribute significantly to nonattainment in the State of 
Massachusetts, with respect to the 1-hour NAAQS for ozone. The 
Administrator also finds that any existing or new major source or group 
of stationary sources does not or would not emit NOx in such amounts if 
it:
    (i) Is or will be located in one of the States (or portions 
thereof) listed in paragraph (d)(2) of this section; and
    (ii) Is or will be within one of the ``Named Source Categories'' 
listed in the portion of Table F-1 in appendix F of this part 
describing the sources covered by the petition of the State of 
Massachusetts; but
    (iii) is not in a category of sources described in 40 CFR 97.4.
    (4) States or portions of States that contain no sources for which 
EPA is making an affirmative technical determination with respect to 
the 1-hour ozone standard in Massachusetts. The States or portions 
thereof described in paragraph (d)(3) of this section are:
    (i) All counties in Kentucky located within a 3-county-wide band of 
the Ohio River, as shown in appendix F, Figure F-4 of this part.
    (ii) All counties in Indiana located within a 3-county-wide band of 
the Ohio River, as shown in appendix F, Figure F-4 of this part.
    (5) Affirmative technical determinations with respect to the 8-hour 
ozone standard in Massachusetts. The Administrator of EPA finds that 
any existing or new major source or group of stationary sources emits 
or would emit NOx in amounts that contribute significantly to 
nonattainment in, or interfere with maintenance by, the State of 
Massachusetts, with respect to the 8-hour NAAQS for ozone if it is or 
will be:
    (i) In a category of sources described in 40 CFR 97.4;
    (ii) Located in one of the States (or portions thereof) listed in 
paragraph (d)(6) of this section; and
    (iii) Within one of the ``Named Source Categories'' listed in the 
portion of Table F-1 in appendix F of this part describing the sources 
covered by the petition of the State of Massachusetts.
    (6) States or portions of states that contain sources for which EPA 
is making an affirmative technical determination with respect to the 8-
hour ozone standard in Massachusetts. The States, or portions of 
States, that contain sources for which EPA is making an affirmative 
technical determination are:
    (i) All counties in Ohio located within a 3-county-wide band of the 
Ohio River, as shown in appendix F, Figure F-4 of this part.
    (ii) All counties in West Virginia located within a 3-county-wide 
band of the Ohio River, as shown in appendix F, Figure F-4 of this 
part.
    (7) Negative technical determinations with respect to the 8-hour 
ozone standard in Massachusetts. The Administrator of EPA finds that 
any existing or new major source or group of stationary sources that is 
or will be located in one of the States (or portions thereof) listed in 
paragraph (d)(8) of this section does not or would not emit 
NOX in amounts that contribute significantly to 
nonattainment in, or interfere with maintenance by, the State of 
Massachusetts, with respect to the 8-hour NAAQS for ozone. The 
Administrator also finds that any existing or new major source or group 
of stationary sources does not or would not emit NOX in such 
amounts if it is or will be:
    (i) Is or will be located in one of the States (or portions 
thereof) listed in paragraph (d)(6) of this section; and
    (ii) Is or will be within one of the ``Named Source Categories'' 
listed in the portion of Table F-1 in appendix F of this part 
describing the sources covered by the petition of the State of 
Massachusetts; but

[[Page 56329]]

    (iii) is not in a category of sources described in 40 CFR 97.4.
    (8) States or portions of States that contain no sources for which 
EPA is making an affirmative technical determination with respect to 
the 8-hour ozone standard in Massachusetts. The States or portions 
thereof described in paragraph (d)(7) of this section are:
    (i) All counties in Indiana located within a 3-county-wide band of 
the Ohio River, as shown in appendix F, Figure F-4 of this part.
    (ii) All counties in Kentucky located within a 3-county-wide band 
of the Ohio River, as shown in appendix F, Figure F-4 of this part.
    (e) Technical determinations relating to impacts on ozone levels in 
New Hampshire.--(1) Affirmative technical determinations with respect 
to the 1-hour ozone standard in New Hampshire. The Administrator of EPA 
finds that any existing or new major source or group of stationary 
sources emits or would emit NOX in amounts that contribute 
significantly to nonattainment in the State of New Hampshire, with 
respect to the 1-hour NAAQS for ozone if it is or will be:
    (i) In a category of sources described in 40 CFR 97.4;
    (ii) Located in one of the States (or portions thereof) listed in 
paragraph (e)(2) of this section; and
    (iii) Within one of the ``Named Source Categories'' listed in the 
portion of Table F-1 in appendix F of this part describing the sources 
covered by the petition of the State of New Hampshire.
    (2) States or portions of States that contain sources for which EPA 
is making an affirmative technical determination with respect to the 1-
hour ozone standard in New Hampshire. The States, or portions of 
States, that contain sources for which EPA is making an affirmative 
technical determination are:
    (i) Connecticut.
    (ii) Delaware.
    (iii) District of Columbia.
    (iv) Maryland.
    (v) Massachusetts.
    (vi) New Jersey.
    (vii) New York.
    (viii) Pennsylvania.
    (ix) Rhode Island.
    (x) Virginia.
    (3) Negative technical determinations with respect to the 1-hour 
ozone standard in New Hampshire. The Administrator of EPA finds that 
any existing or new major source or group of stationary sources that is 
or will be located in one of the States (or portions thereof) listed in 
paragraph (e)(4) of this section does not or would not emit 
NOX in amounts that contribute significantly to 
nonattainment in the State of New Hampshire, with respect to the 1-hour 
NAAQS for ozone. The Administrator also finds that any existing or new 
major source or group of stationary sources does not or would not emit 
NOX in such amounts if it:
    (i) Is or will be located in one of the States (or portions 
thereof) listed in paragraph (e)(2) of this section; and
    (ii) Is or will be within one of the ``Named Source Categories'' 
listed in the portion of Table F-1 in appendix F of this part 
describing the sources covered by the petition of the State of New 
Hampshire; but
    (iii) is not in a category of sources described in 40 CFR 97.4.
    (4) States or portions of States that contain no sources for which 
EPA is making an affirmative technical determination with respect to 
the 1-hour ozone standard in New Hampshire. The States or portions 
thereof described in paragraph (e)(3) of this section are:
    (i) Illinois.
    (ii) Indiana.
    (iii) Portion of Iowa within OTAG Subregion 1, as shown in appendix 
F, Figure F-5 of this part.
    (iv) Kentucky.
    (v) Maine.
    (vi) Portion of Michigan within OTAG Subregions 1 and 2, as shown 
in appendix F, Figure F-5 of this part.
    (vii) Portion of Missouri within OTAG Subregion 5, as shown in 
appendix F, Figure F-5 of this part.
    (viii) North Carolina.
    (ix) Ohio.
    (x) Tennessee.
    (xi) West Virginia.
    (xii) Portion of Wisconsin within OTAG Subregion 1, as shown in 
appendix F, Figure F-5 of this part.
    (xiii) Vermont.
    (f) Technical determinations relating to impacts on ozone levels in 
the State of New York.--(1) Affirmative technical determinations with 
respect to the 1-hour ozone standard in the State of New York. The 
Administrator of EPA finds that any existing or new major source or 
group of stationary sources emits or would emit NOX in 
amounts that contribute significantly to nonattainment in the State of 
New York, with respect to the 1-hour NAAQS for ozone:
    (i) In a category of sources described in 40 CFR 97.4;
    (ii) Located in one of the States (or portions thereof) listed in 
paragraph (f)(2) of this section; and
    (iii) Within one of the ``Named Source Categories'' listed in the 
portion of Table F-1 in appendix F of this part describing the sources 
covered by the petition of the State of New York.
    (2) States or portions of States that contain sources for which EPA 
is making an affirmative technical determination with respect to the 1-
hour ozone standard in the State of New York. The States, or portions 
of States, that contain sources for which EPA is making an affirmative 
technical determination are:
    (i) Delaware.
    (ii) District of Columbia.
    (iii) Portion of Indiana located in OTAG Subregions 2 and 6, as 
shown in appendix F, Figure F-6 of this part.
    (iv) Portion of Kentucky located in OTAG Subregion 6, as shown in 
appendix F, Figure F-6 of this part.
    (v) Maryland.
    (vi) Portion of Michigan located in OTAG Subregion 2, as shown in 
appendix F, Figure F-6 of this part.
    (vii) Portion of North Carolina located in OTAG Subregions 6 and 7, 
as shown in appendix F, Figure F-6 of this part.
    (viii) New Jersey.
    (ix) Ohio.
    (x) Pennsylvania.
    (xi) Virginia.
    (xii) West Virginia.
    (3) Negative technical determinations with respect to the 1-hour 
ozone standard in the State of New York. The Administrator of EPA finds 
that any existing or new major source or group of stationary sources 
that is or will be located in one of the States (or portions thereof) 
listed in paragraph (f)(4) of this section does not or would not emit 
NOX in amounts that contribute significantly to 
nonattainment in the State of New York, with respect to the 1-hour 
NAAQS for ozone. The Administrator also finds that any existing or new 
major source or group of stationary sources does not or would not emit 
NOX in such amounts if it:
    (i) Is or will be located in one of the States (or portions 
thereof) listed in paragraph (f)(2) of this section; and
    (ii) Is or will be within one of the ``Named Source Categories'' 
listed in the portion of Table F-1 in appendix F of this part 
describing the sources covered by the petition of the State of New 
York; but
    (iii) Is not in a category of sources described in 40 CFR 97.4.
    (4) States or portions of States that contain no sources for which 
EPA is making an affirmative technical determination with respect to 
the 1-hour ozone standard in the State of New York. The States or 
portions thereof described in paragraph (f)(3) of this section are:
    (i) Portion of Tennessee located in OTAG Subregion 6, as shown in 
appendix F, Figure F-6 of this part.
    (g) Technical determinations relating to impacts on ozone levels in 
Pennsylvania.--(1) Affirmative

[[Page 56330]]

technical determinations with respect to the 1-hour ozone standard in 
Pennsylvania. The Administrator of EPA finds that any existing or new 
major source or group of stationary sources emits or would emit 
NOX in amounts that contribute significantly to 
nonattainment in the State of Pennsylvania, with respect to the 1-hour 
NAAQS for ozone if it is or will be:
    (i) In a category of sources described in 40 CFR 97.4;
    (ii) Located in one of the States (or portions thereof) listed in 
paragraph (g)(2) of this section; and
    (iii) Within one of the ``Named Source Categories'' listed in the 
portion of Table F-1 in appendix F of this part describing the sources 
covered by the petition of the State of Pennsylvania.
    (2) States or portions of States that contain sources for which EPA 
is making an affirmative technical determination with respect to the 1-
hour ozone standard in Pennsylvania. The States, or portions of States, 
that contain sources for which EPA is making an affirmative technical 
determination are:
    (i) North Carolina.
    (ii) Ohio.
    (iii) Virginia.
    (iv) West Virginia.
    (3) Negative technical determinations with respect to the 1-hour 
ozone standard in Pennsylvania. The Administrator of EPA finds that any 
existing or new major source or group of stationary sources that is or 
will be located in one of the States (or portions thereof) listed in 
paragraph (g)(4) of this section does not or would not emit 
NOX in amounts that contribute significantly to 
nonattainment in the State of Pennsylvania, with respect to the 1-hour 
NAAQS for ozone. The Administrator also finds that any existing or new 
major source or group of stationary sources does not or would not emit 
NOX in such amounts if it:
    (i) Is or will be located in one of the States (or portions 
thereof) listed in paragraph (g)(2) of this section; and
    (ii) Is or will be within one of the ``Named Source Categories'' 
listed in the portion of Table F-1 in appendix F of this part 
describing the sources covered by the petition of the State of 
Pennsylvania; but
    (iii) Is not in a category of sources described in 40 CFR 97.4.
    (4) States or portions of States that contain no sources for which 
EPA is making an affirmative technical determination with respect to 
the 1-hour ozone standard in Pennsylvania. The States or portions 
thereof described in paragraph (g)(3) of this section are:
    (i) Alabama.
    (ii) Arkansas.
    (iii) Georgia.
    (iv) Illinois.
    (v) Indiana
    (vi) Iowa.
    (vii) Kentucky.
    (viii) Louisiana.
    (ix) Michigan.
    (x) Minnesota.
    (xi) Mississippi.
    (xii) Missouri.
    (xiii) South Carolina.
    (xiv) Tennessee.
    (xv) Wisconsin.
    (5) Affirmative technical determinations with respect to the 8-hour 
ozone standard in Pennsylvania. The Administrator of EPA finds that any 
existing or new major source or group of stationary sources emits or 
would emit NOX in amounts that contribute significantly to 
nonattainment in, or interfere with maintenance by, the State of 
Pennsylvania, with respect to the 8-hour NAAQS for ozone:
    (i) In a category of sources described in 40 CFR 97.4;
    (ii) Located in one of the States (or portions thereof) listed in 
paragraph (g)(6) of this section; and
    (iii) Within one of the ``Named Source Categories'' listed in the 
portion of Table F-1 in appendix F of this part describing the sources 
covered by the petition of the State of Pennsylvania.
    (6) States or portions of States that contain sources for which EPA 
is making an affirmative technical determination with respect to the 8-
hour ozone standard in Pennsylvania. The States, or portions of States, 
that contain sources for which EPA is making an affirmative technical 
determination are:
    (i) Alabama.
    (ii) Illinois.
    (iii) Indiana.
    (iv) Kentucky.
    (v) Michigan.
    (vi) Missouri.
    (vii) North Carolina.
    (viii) Ohio.
    (ix) Tennessee.
    (x) Virginia.
    (xi) West Virginia.
    (7) Negative technical determinations with respect to the 8-hour 
ozone standard in Pennsylvania. The Administrator of EPA finds that any 
existing or new major source or group of stationary sources that is or 
will be located in one of the States (or portions thereof) listed in 
paragraph (g)(8) of this section does not or would not emit 
NOX in amounts that contribute significantly to 
nonattainment in, or interfere with maintenance by, the State of 
Pennsylvania, with respect to the 8-hour NAAQS for ozone. The 
Administrator also finds that any existing or new major source or group 
of stationary sources does not or would not emit NOX in such 
amounts if it:
    (i) Is or will be located in one of the States (or portions 
thereof) listed in paragraph (g)(6) of this section; and
    (ii) Is or will be within one of the ``Named Source Categories'' 
listed in the portion of Table F-1 in appendix F of this part 
describing the sources covered by the petition of the State of 
Pennsylvania; but
    (iii) Is not in a category of sources described in 40 CFR 97.4.
    (8) States or portions of States that contain no sources for which 
EPA is making an affirmative technical determination with respect to 
the 8-hour ozone standard in Pennsylvania. The States or portions 
thereof described in paragraph (g)(7) of this section are:
    (i) Arkansas.
    (ii) Georgia.
    (iii) Iowa.
    (iv) Louisiana.
    (v) Minnesota.
    (vi) Mississippi.
    (vii) South Carolina.
    (viii) Wisconsin.
    (h) Technical determinations relating to impacts on ozone levels in 
Rhode Island.--(1) Affirmative technical determinations with respect to 
the 1-hour ozone standard in Rhode Island. The Administrator of EPA 
finds that any existing or new major source or group of stationary 
sources emits or would emit NOX in amounts that contribute 
significantly to nonattainment in the State of Rhode Island, with 
respect to the 1-hour NAAQS for ozone if it is or will be:
    (i) In a category of sources described in 40 CFR 97.4;
    (ii) Located in one of the States (or portions thereof) listed in 
paragraph (h)(2) of this section; and
    (iii) Within one of the ``Named Source Categories'' listed in the 
portion of Table F-1 in appendix F of this part describing the sources 
covered by the petition of the State of Rhode Island.
    (2) States or portions of States that contain sources for which EPA 
is making an affirmative technical determination with respect to the 1-
hour ozone standard in Rhode Island. The States, or portions of States, 
that contain sources for which EPA is making an affirmative technical 
determination are:
    (i) All counties in Ohio located within a 3-county-wide band of the 
Ohio River, as shown in appendix F, Figure F-8 of this part.
    (ii) All counties in West Virginia located within a 3-county-wide 
band of the Ohio River, as shown in appendix F, Figure F-8 of this 
part.
    (3) Negative technical determinations with respect to the 1-hour 
ozone

[[Page 56331]]

standard in Rhode Island. The Administrator of EPA finds that any 
existing or new major source or group of stationary sources that is or 
will be located in one of the States (or portions thereof) listed in 
paragraph (h)(4) of this section does not or would not emit 
NOX in amounts that contribute significantly to 
nonattainment in the State of Rhode Island, with respect to the 1-hour 
NAAQS for ozone. The Administrator also finds that any existing or new 
major source or group of stationary sources does not or would not emit 
NOX in such amounts if it:
    (i) Is or will be located in one of the States (or portions 
thereof) listed in paragraph (h)(2) of this section; and
    (ii) Is or will be within one of the ``Named Source Categories'' 
listed in the portion of Table F-1 in Appendix F of this part 
describing the sources covered by the petition of the State of Rhode 
Island; but
    (iii) Is not in a category of sources described in 40 CFR 97.4.
    (4) States or portions of States that contain no sources for which 
EPA is making an affirmative technical determination with respect to 
the 1-hour ozone standard in Rhode Island. The States or portions 
thereof described in paragraph (h)(3) of this section are:
    (i) All counties in Kentucky located within a 3-county-wide band of 
the Ohio River, as shown in appendix F, Figure F-8 of this part.
    (ii) All counties in Indiana located within a 3-county wide-band of 
the Ohio River, as shown in appendix F, Figure F-8 of this part.
    (i) Technical determinations relating to impacts on ozone levels in 
Vermont.--(1) Negative technical determinations with respect to the 1-
hour ozone standard in Vermont. The Administrator of EPA finds that any 
existing or new major source or group of stationary sources that is or 
will be located in one of the States (or portions thereof) listed in 
paragraph (i)(2) of this section does not or would not emit 
NOX in amounts that contribute significantly to 
nonattainment in the State of Vermont, with respect to the 1-hour NAAQS 
for ozone.
    (2) States or portions of States that contain no sources for which 
EPA is making an affirmative technical determination with respect to 
the 1-hour ozone standard in Vermont.  The States or portions thereof 
described in paragraph (i)(1) of this section are:
    (i) Portion of Alabama within 1000 miles southwest from Bennington, 
VT, as shown in appendix F, Figure F-9 of this part.
    (ii) Portion of Connecticut within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (iii) Delaware.
    (iv) District of Columbia.
    (v) Portion of Georgia within 1000 miles southwest from Bennington, 
VT, as shown in appendix F, Figure F-9 of this part.
    (vi) Illinois.
    (vii) Indiana.
    (viii) Portion of Iowa within 1000 miles southwest from Bennington, 
VT, as shown in appendix F, Figure F-9 of this part.
    (ix) Kentucky.
    (x) Maryland.
    (xi) Portion of Massachusetts within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (xii) Portion of Michigan within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (xiii) Portion of Missouri within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (xiv) New Jersey.
    (xv) Portion of New York within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (xvi) North Carolina.
    (xvii) Ohio.
    (xviii) Pennsylvania.
    (xix) South Carolina.
    (xx) Portion of Tennessee within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (xxi) Virginia.
    (xxii) West Virginia.
    (xxiii) Portion of Wisconsin within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (3) Negative technical determinations with respect to the 8-hour 
ozone standard in Vermont. The Administrator of EPA finds that any 
existing or new major source or group of stationary sources that is or 
will be located in one of the States (or portions thereof) listed in 
paragraph (i)(4) of this section does not or would not emit 
NOX in amounts that contribute significantly to 
nonattainment in, or interfere with maintenance by, the State of 
Vermont, with respect to the 8-hour NAAQS for ozone.
    (4) States or portions of States that contain no sources for which 
EPA is making an affirmative technical determination with respect to 
the 8-hour ozone standard in Vermont. The States or portions thereof 
described in paragraph (i)(3) of this section are:
    (i) Portion of Alabama within 1000 miles southwest from Bennington, 
VT, as shown in appendix F, Figure F-9 of this part.
    (ii) Portion of Connecticut within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (iii) Delaware.
    (iv) District of Columbia.
    (v) Portion of Georgia within 1000 miles southwest from Bennington, 
VT, as shown in appendix F, Figure F-9 of this part.
    (vi) Illinois.
    (vii) Indiana.
    (viii) Portion of Iowa within 1000 miles southwest from Bennington, 
VT, as shown in appendix F, Figure F-9 of this part.
    (ix) Kentucky.
    (x) Maryland.
    (xi) Portion of Massachusetts within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (xii) Portion of Michigan within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (xiii) Portion of Missouri within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (xiv) New Jersey.
    (xv) Portion of New York within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (xvi) North Carolina.
    (xvii) Ohio.
    (xviii) Pennsylvania.
    (xix) South Carolina.
    (xx) Portion of Tennessee within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (xxi) Virginia.
    (xxii) West Virginia.
    (xxiii) Portion of Wisconsin within 1000 miles southwest from 
Bennington, VT, as shown in appendix F, Figure F-9 of this part.
    (j) Action on petitions for section 126(b) findings. (1) For each 
existing or new major source or group of stationary sources for which 
the Administrator has made an affirmative technical determination as 
described in paragraphs (b) through (i) of this section as to impacts 
on nonattainment or maintenance of a particular NAAQS for ozone in a 
particular petitioning State, a finding of the Administrator that each 
such major source or group of stationary sources emits or would emit 
NOX in violation of the prohibition of Clean Air Act section 
110(a)(2)(D)(i)(I) with the respect to nonattainment or maintenance of 
such standard in such petitioning State will be deemed to be made:

[[Page 56332]]

    (i) As of November 30, 1999, if by such date EPA does not issue 
either:
    (A) A proposed approval, under section 110(k) of the Clean Air Act, 
of a State implementation plan revision submitted by such State to 
comply with the requirements of section 110(a)(2)(D)(i)(I) of the Clean 
Air Act; or
    (B) A final Federal implementation plan meeting such requirements 
for such State.
    (ii) As of May 1, 2000, if by November 30, 1999, EPA takes the 
action described in paragraph (j)(1)(i) of this section for such State, 
but, by May 1, 2000, EPA does not approve or promulgate implementation 
plan provisions meeting such requirements for such State.
    (2) The making of any such finding as to any such major source or 
group of stationary sources shall be considered to be the making of a 
finding under subsection (b) of section 126 of the Clean Air Act as to 
such major source or group of stationary sources. Each aspect of a 
petition as to which the Administrator has made an affirmative 
technical determination (as described in paragraphs (b) through (i) of 
this section) shall be deemed denied as of May 1, 2000, if a section 
126(b) finding has not been deemed to have been made by that date. 
Notwithstanding any other provision of this paragraph or section, after 
such a finding has been deemed to be made under this paragraph as to a 
particular major source or group of stationary sources in a particular 
State, such finding will be deemed to be withdrawn, and the 
corresponding part of the relevant petition(s) denied, if the 
Administrator issues a final action putting in place implementation 
plan provisions that comply with the requirements of section 
110(a)(2)(D)(i)(I) of the Clean Air Act for such State.
    (3) For each new or existing major source or group of stationary 
sources for which the Administrator has made a negative technical 
determination in any of paragraphs (b) through (i) of this section as 
to impacts on a particular petitioning State with respect to a 
particular NAAQS for ozone, the Administrator hereby denies the 
petition of such petitioning State and determines that such new or 
existing major source or group of stationary sources does not emit or 
would not emit in violation of the prohibition in Clean Air Act section 
110(a)(2)(D)(i)(I) with respect to impacts on nonattainment or 
maintenance of such standard in such petitioning State.
    (k) The provisions of part 97 of this chapter apply to the owner or 
operator of any new or existing major source, or other source within 
any group of stationary sources, as to which the Administrator makes a 
finding under section 126(b) of the Clean Air Act pursuant to the 
provisions of paragraph (j) of this section.
    3. Appendix F is added to part 52 to read as follows:

Appendix F to This Part--Clean Air Act Section 126 Petitions From 
Eight Northeastern States: Named Source Categories and Geographic 
Coverage

    The table and figures in this appendix are cross-referenced in 
Sec. 52.34.

      Table F-1.--Named Source Categories in Section 126 Petitions
------------------------------------------------------------------------
      Petitioning State                 Named source categories
------------------------------------------------------------------------
Connecticut..................  Fossil fuel-fired boilers or other
                                indirect heat exchangers with a maximum
                                gross heat input rate of 250 mmBtu/hr or
                                greater and electric utility generating
                                facilities with a rated output of 15 MW
                                or greater.
Maine........................  Electric utilities and steam-generating
                                units with a heat input capacity of 250
                                mmBtu/hr or greater.
Massachusetts................  Electricity generating plants.
New Hampshire................  Fossil fuel-fired indirect heat exchange
                                combustion units and fossil fuel-fired
                                electric generating facilities which
                                emit ten tons of NOX or more per day.
New York.....................  Fossil fuel-fired boilers or indirect
                                heat exchangers with a maximum heat
                                input rate of 250 mmBtu/hr or greater
                                and electric utility generating
                                facilities with a rated output of 15 MW
                                or greater.
Pennsylvania.................  Fossil fuel-fired indirect heat exchange
                                combustion units with a maximum rated
                                heat input capacity of 250 mmBtu/hr or
                                greater, and fossil fuel-fired electric
                                generating facilities rated at 15 MW or
                                greater.
Rhode Island.................  Electricity generating plants.
Vermont......................  Fossil fuel-fired electric utility
                                generating facilities with a maximum
                                gross heat input rate of 250 mmBtu/hr or
                                greater and potentially other
                                unidentified major sources.
------------------------------------------------------------------------


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BILLING CODE 6560-50-C

PART 97--FEDERAL NOX BUDGET TRADING PROGRAM

    4. Part 97 is added to read as follows:

Subpart A--Federal 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 the NOX 
authorized account representative.
97.11  Alternate NOX authorized account representative.
97.12  Changing the NOX authorized account 
representative, and the alternate NOX authorized account 
representative; changes in the owners and operators.
97.13  Account certificate of representation.
97.14  Objections concerning the NOX authorized account 
representative.

Subpart C--Permits

97.20  General NOX budget trading program permit 
requirements.
97.21  NOX Budget permit applications.
97.22  Information requirements for NOX Budget permit 
applications.
97.23  NOX Budget permit contents.
97.24  Effective date of initial NOX Budget permit.
97.25  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.

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 data imput.

Subpart I--Individual Unit Opt-ins

97.80  Applicability.
97.81  General.
97.82  Applying for 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.
Appendix A to Part 97--NOX Allowance Allocation Tables 
for Affected Sources Under Section 126 of the Act
Appendix B to Part 97--NOX Allowance Allocation Tables 
for Affected Sources Under Section 110 of the Act in Georgia, South 
Carolina, and Wisconsin
Appendix C to Part 97--State-By-State Maximum Summer NOX 
Emission Levels and Allocation Aggregates

    Authority: 42 U.S.C. 7401, 7403, 7410, and 7601.

Subpart A--Federal 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 110(c) or section 126 of the Act, 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

[[Page 56338]]

requirements of this part as a matter of federal law only if such 
compliance is required by Sec. 52.34 or Sec. 52.35 of this chapter.


Sec. 97.2  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 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 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 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., 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. 97.5, for a unit that is a 
NOX Budget unit under Sec. 97.4 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. 97.5 or subpart I of this part, for a unit that is not a 
NOX Budget unit under Sec. 97.4 on the date the unit 
commences commercial operation, the date the unit becomes a 
NOX Budget unit under Sec. 97.4 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. 97.5, for a unit 
that is a NOX Budget unit under Sec. 97.4 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. 97.5 or subpart 
I of this part, for a unit that is not a NOX Budget unit 
under Sec. 97.4 on the date of commencement of operation, the date the 
unit becomes a NOX Budget unit under Sec. 97.4 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 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.
    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 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 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,

[[Page 56339]]

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, 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 manufacturers 
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 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 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 subparts H and F 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 under Sec. 97.54 (a) and (b) in a control period adjusted by 
deductions of such NOX allowances to account for actual 
utilization 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

[[Page 56340]]

in regulatory states, of a NOX budget opt-in source under 
Sec. 97.86 or Sec. 97.88.
    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. 52.34 or Sec. 52.35 
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. 97.4 or Sec. 97.80.
    Operating means, with regard to a unit under Secs. 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).
    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. 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 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 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 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 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. 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 and the District of 
Columbia specified in Sec. 52.34 or Sec. 52.35 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, for which the NOX Budget Trading Program is 
promulgated pursuant to Sec. 52.34 or Sec. 52.35 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, 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.
    Trading program budget means the total number of NOX 
tons apportioned to all NOX Budget units in a State in

[[Page 56341]]

accordance with the NOX Budget Trading Program, under 
section 110(c) or section 126 of the Act, for use in a given control 
period. For purposes of the NOX Budget Trading Program under 
section 110(c), the trading program budget is the sum of the aggregate 
emission levels for large EGUs and large non-EGUs in a State set forth 
for each State in appendix C of this part. For purposes of the 
NOX Budget Trading Program under section 126, the trading 
program budget is the ``126 trading program budget for the State'', and 
is determined in the same manner and is also set forth in appendix C of 
this part.
    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 in pounds of steam per hour 
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.
    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. 97.3  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. 97.4  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)(1) or (a)(2) of this section that has a federally 
enforceable permit that includes a NOX emission limitation 
restricting NOX emissions during a control period to 25 tons 
or less shall not be subject to the requirements of this part for any 
year in which the control period is covered by such emission limitation 
in the unit's federally enforceable permit. However, if such emission 
limitation is removed from the unit's federally enforceable permit or 
otherwise becomes no longer applicable to any control period starting 
in 2003 or if the unit does not comply with such emission limitation 
during any control period starting in 2003, the unit shall be subject 
to the requirements of this part and shall be treated as commencing 
operation and, if the unit is covered by paragraph (a)(1) of this 
section, commencing commercial operation on September 30 of the control 
period for which the emission limitation is no longer applicable or 
during which the unit does not comply with the emission limitation. The 
permitting authority that issues the federally enforceable permit with 
such emission limitation will provide the Administrator written 
notification of each unit under paragraph (a)(1) or (a)(2) of this 
section for which the permitting authority issued such a permit. A unit 
subject to a federally enforceable permit with such emission limitation 
shall be subject to the following requirements:
    (1) The unit shall keep on site records demonstrating that 
conditions of the permit were met, including restrictions on operating 
time.
    (2) The unit shall report hours of operation during the control 
period to the permitting authority by November 1 of each year in which 
the unit is subject to a federally enforceable permit with such 
emission limitation.
    (3) The unit shall determine the appropriate restrictions on its 
operating time by dividing 25 tons by the unit's maximum potential 
hourly NOX mass emissions where the unit's maximum potential 
hourly NOX mass emissions would be determined by multiplying 
the highest default emission rates otherwise applicable under 
Sec. 75.19 of this chapter by the maximum rated hourly heat input of 
the unit.


Sec. 97.5  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, Secs. 97.2, 97.3, 97.4, 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. 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. 97.22 
for the unit not less than 18 months (or such lesser time provided 
under the permitting authority 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.

[[Page 56342]]

    (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 under the 
permitting authority 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. 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 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, 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. 97.42(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 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 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. 97.5 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 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. 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).
    (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

[[Page 56343]]

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. 97.13; 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.
    (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. 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 (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. 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.


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 the 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

[[Page 56344]]

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 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 Secs. 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 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 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 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. 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 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. 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.
    (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 the 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 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

[[Page 56345]]

concerning the proceeds of NOX allowance transfers.

Subpart C--Permits


Sec. 97.20  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. 97.21  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. 97.22 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. 97.4 that commence operation before January 1, 2000, the 
NOX authorized account representative shall submit a 
complete NOX Budget permit application under Sec. 97.22 
covering such NOX Budget units 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 May 1, 2003.
    (ii) For any source, with any NOX Budget unit under 
Sec. 97.4 that commences operation on or after January 1, 2000, the 
NOX authorized account representative shall submit a 
complete NOX Budget permit application under Sec. 97.22 
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. 97.4 that commence operation before January 1, 2000, the 
NOX authorized account representative shall submit a 
complete NOX Budget permit application under Sec. 97.22 
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. 97.4 that commences operation on or after January 1, 2000, the 
NOX authorized account representative shall submit a 
complete NOX Budget permit application under Sec. 97.22 
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. 97.22 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. 97.22 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. 97.22  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. 97.4 or under subpart I of this part;
    (c) The standard requirements under Sec. 97.6; 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 97.4 and is not covered by a retired unit exemption 
under 40 CFR 97.5 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 97.2.''


Sec. 97.23  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 complete NOX Budget permit application under 
Sec. 97.22 as approved or adjusted by the permitting authority.
    (b) Each NOX Budget permit is deemed to incorporate 
automatically the definitions of terms under Sec. 97.2 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

[[Page 56346]]

units covered by the permit or the overdraft account of the 
NOX Budget source covered by the permit.


Sec. 97.24  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. 97.21(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. 97.25  NOX Budget permit revisions.

    (a) For a NOX Budget source with a title V operating 
permit, except as provided in Sec. 97.23(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. 97.23(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. 97.30  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. 97.54 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. 97.54(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 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. 97.31  Administrator's action on compliance certifications.

    (a) 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. 97.40  Trading program budget.

    The trading program budget allocated by the Administrator for a 
State under Sec. 97.42 for a control period will equal the sum of the 
aggregate emission levels for large electric generating units in the 
State and large non-electric generating units in the State as defined 
under Appendix C of this part.


Sec. 97.41  Timing requirements for NOX allowance 
allocations.

    (a) By the following dates, the Administrator will determine the 
NOX allowance allocations in accordance with Sec. 97.42 for 
the control period in the year that is three years after the year of 
the applicable deadline under this paragraph (a):
    (i) For the purposes of the NOX Budget Trading Program 
under section 110(c) of the Act, by April 1, 2000 and April 1 of the 
following two years
    (ii) For the purposes of the NOX Budget Trading Program 
under 126 of the Act, by April 1, 2000 and April 1 of the following two 
years for those sources for which a finding, under Sec. 52.34(j) of 
this chapter, of NOX emissions in violation of section 
110(a)(2)(D)(I)(I) of the Act is made by April 1, 2000; or as soon as 
practicable in the year 2000 and April 1 of the following two years for 
those sources for which such a finding is not made by April 1, 2000, 
but is made at a later date.
    (b) By April 1, 2003 and April 1 of each year thereafter, the 
Administrator

[[Page 56347]]

will determine the NOX allowance allocations, in accordance 
with Sec. 97.42, for the control period in the year that is three years 
after the year of the applicable deadline under this paragraph (b).
    (c) By April 1, 2004 and April 1 of each year thereafter, the 
Administrator will determine the NOX allowance allocations, 
in accordance with Sec. 97.42, for any NOX allowances 
remaining in the allocation set-aside for the prior control period.


Sec. 97.42  NOX allowance allocations.

    (a)(1) The heat input (in mmBtu) used for calculating 
NOX allowance allocations for each NOX Budget 
unit under Sec. 97.4 will be:
    (i) For a NOX allowance allocation under Sec. 97.41(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. 97.4(a)(1) or the control period in 1995 if the unit is under 
Sec. 97.4(a)(2); and
    (ii) For a NOX allowance allocation under Sec. 97.41(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 Administrator 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. 97.41, the Administrator 
will allocate to all NOX Budget units under Sec. 97.4(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 aggregate emission levels 
for large electric generating units in the State as defined under 
appendix C of this part in accordance with the following procedures:
    (1) The Administrator will allocate NOX allowances to 
each NOX Budget unit under Sec. 97.4(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. 97.4(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 aggregate emission level for large electric 
generating units in the State as defined under Appendix C of this part, 
the Administrator 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 such aggregate 
emission level. 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 aggregate emission level for large electric 
generating units in the State as defined under Appendix C of this part 
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. 97.41, the Administrator 
will allocate to all NOX Budget units under Sec. 97.4(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 aggregate emission level for 
large non-electric generating units in the State as defined under 
Appendix C of this part in accordance with the following procedures:
    (1) The Administrator will allocate NOX allowances to 
each NOX Budget unit under Sec. 97.4(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. 97.4(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 aggregate emission levels for large non-electric 
generating units in the State as defined under appendix C of this part, 
the Administrator will adjust the total number of NOX 
allowances allocated to all such NOX Budget units for the 
control period under paragraph (a)(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 such aggregate 
emission level for large non-electric generating units in the State. 
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 
aggregate emission levels for large non-electric generating units in 
the State as defined under Appendix C of this part 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. 97.41, the Administrator 
will allocate NOX allowances to NOX Budget units 
under Sec. 97.4 in the State that commenced operation, or are projected 
to commerce 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 Administrator 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 
trading program budget in the State under Sec. 97.40, 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 Administrator a request, in writing or in a format 
specified by the Administrator, to be allocated NOX 
allowances for no more than five consecutive control periods under 
Sec. 97.41, starting with the control period during which the 
NOX Budget unit commenced, or is projected to commence, 
operation and ending with the control season 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 State 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. 97.4(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.

[[Page 56348]]

    (4) In a NOX allowance allocation request under 
paragraph (d)(2) of this section, the NOX authorized account 
representative for units under Sec. 97.4(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 Administrator 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 Administrator.
    (i) Upon receipt of the NOX allowance allocation 
request, the Administrator will determine whether, and will make any 
necessary adjustments to the request to ensure that, for units under 
Sec. 97.4(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. 97.4(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 or the 
Administrator will allocate the 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)(4)(i) of this section), the Administrator 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 Administrator 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 Administrator will take appropriate action 
under paragraph (d)(5) of this section and notify the NOX 
authorized account representative that submitted the request 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. 97.54(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. 97.4(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. 97.4(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. 97.2, of the unit during the control 
period.

    (f) After making the deductions for compliance under Sec. 97.54(b) 
or (e) for a control period, the Administrator will determine whether 
any NOX allowances remain in the allocation set-aside for 
the control period. The Administrator 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 (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
``Trading program budget excluding allocation set-aside'' is the 
trading program budget under Sec. 97.40 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 allowance as appropriate.

Subpart F--NOX Allowance Tracking System


Sec. 97.50  NOX Allowance Tracking System accounts.

    (a) Nature and function of compliance accounts and overdraft 
accounts. Consistent with Sec. 97.51(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. 97.88, and deductions or 
transfers of NOX allowances pursuant to Sec. 97.31, 
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. 97.51(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. 97.51  Establishment of accounts.

    (a) Compliance accounts and overdraft accounts. Upon receipt of a 
complete account certificate of representation under Sec. 97.13, 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;

[[Page 56349]]

    (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 and 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 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 authorizing account representative: ``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.
    (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)

[[Page 56350]]

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 alternative NOX authorized account representative for 
a general account shall affect any representation, action, inaction, or 
submission of the NOX authorized account representative or 
any alternative 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 alternative 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. 97.52  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. 97.53  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. 97.88(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. 97.54, the Administrator will record 
NOX allowances, as allocated to the unit under subpart E of 
this part or under Sec. 97.88(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 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. 97.54  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. 97.60 by the NOX allowance transfer deadline for 
that control period.
    (b) Deductions for compliance.
    (1) Following the recordation, in accordance with Sec. 97.61, 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. 97.42 (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. 97.42(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. 97.30.
    (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 the unit under subpart E or I of this part; and
    (iv) Those NOX allowances that were allocated for a 
prior control period to

[[Page 56351]]

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 Clean Air Act 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. 97.30.
    (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 units 
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, use the number of 
allowances required to account for actual utilization under 
Sec. 97.42(e) for the control period or, if no percentage is 
identified, an equal percentage for each such unit.
    (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. 97.55  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. 97.31, Sec. 97.54, or Sec. 97.56, 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. 97.54.
    (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 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. 97.54.
    (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. 97.54, 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. 97.54. Any banked NOX allowances in 
excess of the resulting product may be deducted for compliance in 
accordance with Sec. 97.54, 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. 97.54.
    (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 full 
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/

[[Page 56352]]

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 (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 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), (3), and (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. 97.54 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. 97.54 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. 97.56  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. 97.57  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. 97.60 an allowance transfer of all 
NOX allowances in the 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. 97.60 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. 97.60  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 transferror 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 transferror account and the date signed.


Sec. 97.61  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 transferror account to the 
transferee account as specified by the request, provided that:
    (1) The transfer is correctly submitted under Sec. 97.60;
    (2) The transferror 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

[[Page 56353]]

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. 97.53(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. 97.62  Notification.

    (a) Notification of recordation. Within 5 business days of 
recordation of a NOX allowance transfer under Sec. 97.61, 
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. 97.61(a) 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. 97.70  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 H of part 75 of 
this chapter. For purposes of complying with such requirements, the 
definitions in Sec. 97.2 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. 97.2.
    (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 Secs. 75.72 and 75.76.
    (2) Install all monitoring systems for monitoring heat input, if 
required under Sec. 97.76 for developing NOX allowance 
allocations.
    (3) Successfully complete all certification tests required under 
Sec. 97.71 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. 97.55(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. 97.4 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. 97.4 that commence 
operation on or after January 1, 2002 and that report on an annual 
basis under Sec. 97.74(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. 97.4(a)(1), 90 days after the date on 
which the unit commences commercial operation.
    (4) NOX Budget units under Sec. 97.4 that commence 
operation on or after January 1, 2002 and that report on a control 
season basis under Sec. 97.74(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. 97.4(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) 
of this 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. 97.74(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 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. 97.75.
    (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

[[Page 56354]]

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. 97.5 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. 97.71(b)(2).


Sec. 97.71  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. 97.75(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 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. 97.70(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 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 
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 Administrator, the 
appropriate EPA Regional Office and the permitting authority a written 
notice of the dates of certification in accordance with Sec. 97.73.
    (ii) Certification application. The NOX authorized 
account representative shall submit to the Administrator, the 
appropriate EPA Regional Office and 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 Administrator 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 Administrator does not 
invalidate the provisional certification by issuing a notice of 
disapproval within 120 days of receipt of the complete certification 
application by the Administrator.
    (iv) Certification application formal approval process. The 
Administrator will issue a written notice of approval or disapproval of 
the certification application to the owner or operator within 120 days 
of receipt of the complete certification application under paragraph 
(b)(3)(ii) of this section. In the event the Administrator does not 
issue

[[Page 56355]]

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 Administrator 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 Administrator. If the certification application is not 
complete, then the Administrator will issue a written notice of 
incompleteness that sets a reasonable date by which the 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 
Administrator 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 Administrator 
will issue a written notice of disapproval of the certification 
application. Upon issuance of such notice of disapproval, the 
provisional certification is invalidated by the Administrator and the 
data measured and recorded by each uncertified monitoring system 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 Administrator may issue a notice of 
disapproval of the certification status of a monitor in accordance with 
Sec. 97.72(b).
    (v) Procedures for loss of certification. If the Administrator 
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 (C) The owner or operator shall repeat all 
certification tests or other requirements that were failed by the 
monitoring system, as indicated in the Administrator's notice of 
disapproval, no later than 30 unit operating days after the date of 
issuance of the notice of disapproval.
    (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. 97.71 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:
    (i) For units that are reporting on an annual basis under 
Sec. 97.74(d)
    (A) For a unit that has commences operation before its compliance 
deadline under Sec. 97.71(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 Administrator's review; or
    (B) For a unit that commences operation after its compliance 
deadline under Sec. 97.71(b), the date of submission of the 
certificaation 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 Administrator's review, or
    (ii) For units that are reporting on a control period basis under 
Sec. 97.74(b)(3)(ii) of this part:
    (A) For a unit that commenced operation before its compliance 
deadline under Sec. 97.71(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 Administrator's review; or
    (B) For a unit that commenced operation before its compliance 
deadline under Sec. 97.71(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 Administrator's review; or
    (C) For a unit that commences operation after its compliance 
deadline under Sec. 97.71(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 Administrator's review.
    (D) For a unit that has not operated after its compliance deadline 
under Sec. 97.71(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 Administrator'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 under subpart E of part 75 of this chapter shall apply 
for certification to the administrator 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

[[Page 56356]]

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. 97.72  Out of control periods.

    (a) Whenever any monitoring system fails to meet the quality 
assurance requirements of appendix B of part 75 of 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. 97.71 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 Administrator 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 Administrator 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. 97.71 for each disapproved system.


Sec. 97.73  Notifications.

    (a) The NOX authorized account representative for a 
NOX Budget unit shall submit written notice to the 
permitting authority, the appropriate EPA Regional Office and the 
Administrator in accordance with Sec. 75.61 of this chapter.
    (b) For any unit that does not have an acid rain emissions 
limitation, the permitting authority may waive the requirements to 
notify the permitting authority in paragraph (a) of this section and 
the notification requirements in Sec. 97.71(b)(2)(i).


Sec. 97.74  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. 97.10(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, the appropriate EPA Regional Office and the Administrator 
within 45 days after completing all initial certification or 
recertification tests required under Sec. 97.71 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. 97.55, the calender quarter that includes the 
date of initial provisional certification under Sec. 97.71(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. 97.70(b)(1), 
the earlier of the calender quarter that includes the date of initial 
provisional certification under Sec. 97.71(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 of this chapter 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. 97.55, the calender quarter that includes the 
date of initial provisional certification under Sec. 97.71(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. 97.70(b)(1), 
the earlier of the calender quarter that includes the date of initial 
provisional certification under Sec. 97.71(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

[[Page 56357]]

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. 97.71(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. 97.71(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 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. 97.74(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. 97.75  Petitions

    (a) The NOX authorized account representative of a 
NOX Budget unit 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.
    (b) 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.


Sec. 97.76  Additional requirements to provide heat input data.

    (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.
    (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. 97.55.

Subpart I--Individual Opt-Ins


Sec. 97.80  Applicability.

    A unit that is in the State, is not a NOX Budget unit 
under Sec. 97.4, 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. 97.5 that is in effect, 
or is not operating is not eligible to become a NOX Budget 
opt-in source.


Sec. 97.81  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. 97.82  NOX authorized account representative.

    A unit for which an application for a NOX Budget opt-in 
permit is submitted, 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. 97.83  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. 97.80 may submit to the Administrator and the permitting 
authority at any time, except as provided under Sec. 97.86(g):
    (1) A complete NOX Budget permit application under 
Sec. 97.22;
    (2) A monitoring plan submitted in accordance with subpart H of 
this part; and
    (3) A complete account certificate of representation under 
Sec. 97.13, 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 to 
the Administrator and permitting authority a complete NOX 
Budget permit application under Sec. 97.22 to renew the NOX 
Budget opt-in permit in accordance with Sec. 97.21(c) and, if 
applicable, an updated monitoring plan in accordance with subpart H of 
this part.


Sec. 97.84  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. 97.83 is submitted, in 
accordance with Sec. 97.20 and the following:
    (a) Interim review of monitoring plan. The Administrator 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. 97.83. A monitoring plan is sufficient, for purposes 
of interim review, if the plan appears to contain information 
demonstrating that

[[Page 56358]]

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 Administrator 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.
    (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 mass 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 Administrator will provide this information to the 
permitting authority so the permitting authority can 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 Administrator and 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. 97.83. 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. 97.20.
    (g) Not withstanding 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 Administrator or the permitting authority 
determines that the unit does not qualify as a NOX Budget 
opt-in source under Sec. 97.80, the permitting authority will issue a 
draft denial of a NOX Budget opt-in permit for the unit in 
accordance with Sec. 97.20.
    (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. 97.83 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. 97.83.
    (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. 97.85  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. 97.22 as approved or adjusted by the 
Administrator or the permitting authority.
    (b) Each NOX Budget opt-in permit is deemed to 
incorporate automatically the definitions of terms under Sec. 97.2 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. 97.86  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 Administrator and 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 have submitted to the Administrator and the permitting 
authority an annual compliance certification report in accordance with 
Sec. 97.30.
    (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. 97.54(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. 97.88 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 Administrator will issue a 
notification to the

[[Page 56359]]

permitting authority and 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 Administrator will issue a 
notification to the permitting authority and 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 Administrator 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 Administrator 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. 97.83 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. 97.87  Change in regulatory status.

    (a) Notification. When a NOX Budget opt-in source 
becomes a NOX Budget unit under Sec. 97.4, the 
NOX authorized account representative shall notify in 
writing the permitting authority and the Administrator of such change 
in 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. 97.4, 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. 97.23 as of an effective date that is the date 
on which such NOX Budget opt-in source becomes a 
NOX Budget unit under Sec. 97.4.
    (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. 97.88 
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. 97.88 
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. 97.42, 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. 97.42.
    (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. 97.42 for the control period: the number of NOX 
allowances otherwise allocated to the NOX Budget unit under 
Sec. 97.42 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. 97.83(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. 97.88 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 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. 97.54, 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.

[[Page 56360]]

Sec. 97.88  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 Administrator 
will allocate NOX allowances to the NOX Budget 
opt-in source 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 Administrator will allocate 
NOX allowances to the NOX Budget opt-in source 
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. 97.84(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 Administrator 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. 97.84(c); or
    (ii) The most stringent State or Federal NOX emissions 
limitation applicable to the NOX Budget opt-in source during 
the control period.

Appendix A to Part 97--NOX Allowance Allocation Tables 
for Affected Sources Under Section 126 of the Act

                                            Table A.1--Allocations to Fossil Fuel-Fired EGUs by mmBtu and MWh
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                          Unit         Unit
                                                                                                       average of   average of
                                                                                                      two highest  two highest      Unit         Unit
           State              Plant ID              Point ID                        Plant               of 1995,     of 1995,   allocations  allocations
                                                                                                        1996, or     1996, or      by HI        by MWh
                                                                                                         1997,        1997,
                                                                                                       summer HI    summer MWh
--------------------------------------------------------------------------------------------------------------------------------------------------------
AL........................            3  1                              BARRY.......................    4,444,705      452,203          336          333
AL........................            3  2                              BARRY.......................    4,457,926      453,456          337          334
AL........................            3  3                              BARRY.......................    7,758,632      798,049          587          587
AL........................            3  4                              BARRY.......................   12,886,737    1,375,025          975        1,012
AL........................            3  5                              BARRY.......................   25,069,820    2,649,527        1,897        1,950
AL........................           56  **4                            CHARLES R LOWMAN............      903,512       68,448           68           50
AL........................           56  1                              CHARLES R LOWMAN............    2,337,265      205,745          177          151
AL........................           56  2                              CHARLES R LOWMAN............    8,251,949      786,199          625          578
AL........................           56  3                              CHARLES R LOWMAN............    7,476,176      712,220          566          524
AL........................            5  110                            CHICKASAW...................      293,278       27,668           22           20
AL........................           47  1                              COLBERT.....................    5,401,036      528,115          409          389
AL........................           47  2                              COLBERT.....................    5,586,222      546,223          423          402
AL........................           47  3                              COLBERT.....................    5,294,661      517,714          401          381
AL........................           47  4                              COLBERT.....................    5,512,314      538,996          417          397
AL........................           47  5                              COLBERT.....................   13,750,384    1,387,106        1,041        1,021
AL........................           26  1                              E C GASTON..................    7,187,848      760,699          544          560
AL........................           26  2                              E C GASTON..................    7,037,596      752,765          533          554
AL........................           26  3                              E C GASTON..................    7,568,867      809,591          573          596
AL........................           26  4                              E C GASTON..................    7,279,128      767,031          551          564
AL........................           26  5                              E C GASTON..................   24,100,992    2,589,277        1,824        1,905
AL........................            7  1                              GADSDEN.....................    1,915,860      162,803          145          120
AL........................            7  2                              GADSDEN.....................    1,777,783      151,069          135          111
AL........................            8  10                             GORGAS......................   24,048,187    2,517,344        1,820        1,852
AL........................            8  6                              GORGAS......................    3,271,407      292,953          248          216
AL........................            8  7                              GORGAS......................    3,320,557      302,034          251          222
AL........................            8  8                              GORGAS......................    6,100,623      624,488          462          460
AL........................            8  9                              GORGAS......................    6,382,810      673,576          483          496
AL........................           10  1                              GREENE COUNTY...............    8,730,961      907,867          661          668
AL........................           10  2                              GREENE COUNTY...............    7,752,706      806,146          587          593
AL........................         6002  1                              JAMES H MILLER JR...........   20,389,071    2,160,317        1,543        1,590
AL........................         6002  2                              JAMES H MILLER JR...........   20,467,280    2,168,604        1,549        1,596
AL........................         6002  3                              JAMES H MILLER JR...........   22,363,879    2,369,557        1,693        1,744
AL........................         6002  4                              JAMES H MILLER JR...........   24,810,536    2,628,792        1,878        1,934
AL........................         7063  **1                            MCINTOSH-CAES...............      113,793       24,911            9           18
AL........................          533  **4                            MCWILLIAMS..................    1,130,929      133,050           86           98
AL........................        52140  1                              UNION CAMP CORPORATION--....       43,647        3,307            3            2
AL........................           50  1                              WIDOWS CREEK................    3,220,389      295,992          244          218
AL........................           50  2                              WIDOWS CREEK................    3,004,746      276,171          227          203
AL........................           50  3                              WIDOWS CREEK................    2,954,318      271,537          224          200
AL........................           50  4                              WIDOWS CREEK................    3,135,926      288,228          237          212
AL........................           50  5                              WIDOWS CREEK................    2,946,352      278,352          223          205
AL........................           50  6                              WIDOWS CREEK................    3,048,563      288,008          231          212
AL........................           50  7                              WIDOWS CREEK................   14,708,106    1,494,422        1,113        1,100
AL........................           50  8                              WIDOWS CREEK................   14,313,089    1,445,913        1,083        1,064
CT........................        10675  AB__mes                        AES THAMES..................    4,630,651      436,854          172          160
CT........................          568  BHB1                           BRIDGEPORT HARBOR...........      614,787       60,445           23           22
CT........................          568  BHB2                           BRIDGEPORT HARBOR...........    1,964,426      198,187           73           73
CT........................          568  BHB3                           BRIDGEPORT HARBOR...........   11,910,460    1,235,525          442          454
CT........................        50498  CW__na)                        CAPITOL DISTRICT (AETNA)....      626,274       56,421           23           21
CT........................          544  7                              DEVON.......................    3,341,227      340,420          124          125

[[Page 56361]]

CT........................          544  8                              DEVON.......................    3,257,953      331,059          121          122
CT........................        10567  CW__CH                         DEXTER CORP. CH.............      474,019       42,704           18           16
CT........................          569  EB 13                          ENGLISH.....................       56,957        3,997            2            1
CT........................          569  EB 14                          ENGLISH.....................       86,982        6,104            3            2
CT........................        50736  ST__rd)                        EXETER ENERGY (OXFORD)......      412,978       38,960           15           14
CT........................          562  1                              MIDDLETOWN..................      452,331       43,059           17           16
CT........................          562  2                              MIDDLETOWN..................    2,247,666      231,766           83           85
CT........................          562  3                              MIDDLETOWN..................    4,056,337      450,955          150          166
CT........................          562  4                              MIDDLETOWN..................    5,882,211      543,090          218          199
CT........................          546  5                              MONTVILLE...................    1,584,160      158,131           59           58
CT........................          546  6                              MONTVILLE...................    5,312,085      485,344          197          178
CT........................         6156  NHB1                           NEW HAVEN HARBOR............   10,881,332    1,160,923          404          426
CT........................          548  1                              NORWALK HARBOR..............    3,099,297      322,005          115          118
CT........................          548  2                              NORWALK HARBOR..............    3,631,682      379,407          135          139
CT........................          n46  CW__rd)                        O'BRIEN (HARTFORD)..........      673,659       60,690           25           22
DC........................          603  15                             BENNING.....................      605,207       53,487           89           90
DC........................          603  16                             BENNING.....................      730,757       63,296          107          106
DE........................          592  B4                             DELAWARE CITY...............      546,523       51,559           50           46
DE........................        52193  ST__1                          DELAWARE CITY...............      293,747       27,712           27           25
DE........................        52193  ST__2                          DELAWARE CITY...............      293,747       27,712           27           25
DE........................        52193  ST__3                          DELAWARE CITY...............      494,793       46,679           45           42
DE........................          593  3                              EDGE MOOR...................    2,775,531      268,375          252          241
DE........................          593  4                              EDGE MOOR...................    4,421,018      453,252          401          407
DE........................          593  5                              EDGE MOOR...................    6,515,159      712,351          591          640
DE........................         7153  **3                            HAY ROAD....................    2,014,002      171,609          183          154
DE........................         7153  --1                            HAY ROAD....................      156,053       11,822           14           11
DE........................         7153  --2                            HAY ROAD....................      156,053       11,822           14           11
DE........................         7153  --4                            HAY ROAD....................    1,056,415      124,284           96          112
DE........................          594  1                              INDIAN RIVER................    2,118,931      214,271          192          193
DE........................          594  2                              INDIAN RIVER................    2,201,388      218,804          200          197
DE........................          594  3                              INDIAN RIVER................    4,022,311      435,315          365          391
DE........................          594  4                              INDIAN RIVER................    8,277,718      804,521          751          723
DE........................          599  3                              MCKEE RUN...................    1,156,067      103,627          105           93
DE........................         7318  --1                            VAN SANT STATION............       53,745        3,772            5            3
IL........................        54780  ST__TS)                        ABBOTT (7 UNITS)............      109,017       10,285            8            7
IL........................  ...........  .............................  BABCOCK & WILCOX CO                45,900        3,221            3            2
                                                                         COGENERATION FA.
IL........................          889  1                              BALDWIN.....................   15,218,756    1,493,792        1,074        1,056
IL........................          889  2                              BALDWIN.....................   15,201,447    1,513,184        1,072        1,070
IL........................          889  3                              BALDWIN.....................   16,459,376    1,782,282        1,161        1,260
IL........................  ...........  .............................  BALDWIN POWER PLANT.........        3,366          236            0            0
IL........................  ...........  .............................  BREESE MUNICIPAL POWER PLANT        6,579          462            0            0
IL........................  ...........  .............................  BUSHNELL MUNICIPAL ELECTRIC           306           21            0            0
                                                                         LIGHT &.
IL........................  ...........  .............................  BUSHNELL MUNICIPAL ELECTRIC           306           21            0            0
                                                                         LIGHT &.
IL........................  ...........  .............................  CALUMET PEAKING UNITS.......          306           21            0            0
IL........................  ...........  .............................  CARLYLE MUNICIPAL ELECTRIC            306           21            0            0
                                                                         PLANT.
IL........................  ...........  .............................  CARLYLE MUNICIPAL ELECTRIC            918           64            0            0
                                                                         PLANT.
IL........................  ...........  .............................  CENTRAL ILLINOIS LIGHT CO--         3,366          236            0            0
                                                                         STERLIN.
IL........................  ...........  .............................  CITY OF CARMI...............          765           54            0            0
IL........................  ...........  .............................  CITY OF CARMI...............        1,224           86            0            0
IL........................  ...........  .............................  CITY OF CARMI...............        1,530          107            0            0
IL........................  ...........  .............................  CITY OF CARMI...............        1,836          129            0            0
IL........................  ...........  .............................  CITY OF CARMI...............        1,989          140            0            0
IL........................  ...........  .............................  CITY OF PERU GENERATING             1,836          129            0            0
                                                                         STATION.
IL........................  ...........  .............................  CITY OF PERU GENERATING             2,907          204            0            0
                                                                         STATION.
IL........................  ...........  .............................  CITY OF RED BUD.............          612           43            0            0
IL........................  ...........  .............................  CITY OF RED BUD.............        1,989          140            0            0
IL........................  ...........  .............................  CITY OF RED BUD.............        8,109          569            1            0
IL........................  ...........  .............................  CITY WATER LIGHT & POWER           63,189        4,434            4            3
                                                                         DEPT.
IL........................  ...........  .............................  CLINTON POWER STATION.......        1,377           97            0            0
IL........................  ...........  .............................  CLINTON POWER STATION.......        2,601          183            0            0
IL........................          861  01                             COFFEEN.....................    6,072,017      604,783          428          427
IL........................          861  02                             COFFEEN.....................   11,934,607    1,220,682          842          863
IL........................         6025  1                              COLLINS.....................    4,795,651      482,023          338          341
IL........................         6025  2                              COLLINS.....................    5,305,418      542,809          374          384
IL........................         6025  3                              COLLINS.....................    5,854,107      581,688          413          411
IL........................         6025  4                              COLLINS.....................    3,746,709      362,491          264          256
IL........................         6025  5                              COLLINS.....................    2,488,656      235,356          176          166
IL........................  ...........  .............................  COM ED--ELECTRIC JUNCTION             765           54            0            0
                                                                         PEAKING.
IL........................  ...........  .............................  COMMONWEALTH EDISON-WESTERN           306           21            0            0
                                                                         DIV HQ.
IL........................          867  7                              CRAWFORD....................    4,358,553      445,979          307          315
IL........................          867  8                              CRAWFORD....................    5,792,952      607,037          409          429
IL........................  ...........  .............................  CRAWFORD....................       16,983        1,192            1            1
IL........................          963  31                             DALLMAN.....................    2,002,848      179,146          141          127
IL........................          963  32                             DALLMAN.....................    2,398,394      214,910          169          152
IL........................          963  33                             DALLMAN.....................    6,864,473      650,291          484          460
IL........................         6016  1                              DUCK CREEK..................   12,712,162    1,268,932          897          897

[[Page 56362]]

IL........................          856  1                              E D EDWARDS.................    2,856,940      277,831          202          196
IL........................          856  2                              E D EDWARDS.................    6,511,474      652,845          459          461
IL........................          856  3                              E D EDWARDS.................    8,431,346      874,077          595          618
IL........................  ...........  .............................  FAIRFIELD MUNICIPAL LIGHT...          459           32            0            0
IL........................  ...........  .............................  FAIRFIELD MUNICIPAL LIGHT...          918           64            0            0
IL........................          886  19                             FISK........................    6,895,507      739,068          486          522
IL........................  ...........  .............................  FISK........................          306           21            0            0
IL........................  ...........  .............................  GENESEO MUNICIPAL UTILITIES.       23,103        1,621            2            1
IL........................  ...........  .............................  GENESEO MUNICIPAL UTILITIES.       25,704        1,804            2            1
IL........................  ...........  .............................  GENESEO MUNICIPAL UTILITIES.       51,408        3,608            4            3
IL........................  ...........  .............................  GENESEO MUNICIPAL UTILITIES.       74,511        5,229            5            4
IL........................  ...........  .............................  GENESEO MUNICIPAL UTILITIES.       87,363        6,131            6            4
IL........................  ...........  .............................  GENESEO MUNICIPAL UTILITIES.       87,363        6,131            6            4
IL........................  ...........  .............................  GENESEO MUNICIPAL UTILITIES.      141,372        9,921           10            7
IL........................          862  07                             GRAND TOWER.................      651,170       62,612           46           44
IL........................          862  08                             GRAND TOWER.................      654,114       62,896           46           44
IL........................          862  09                             GRAND TOWER.................    2,630,056      270,276          186          191
IL........................          891  9                              HAVANA......................    8,683,730      823,571          613          582
IL........................          892  1                              HENNEPIN....................    2,009,046      189,586          142          134
IL........................          892  2                              HENNEPIN....................    6,675,377      751,901          471          531
IL........................          863  05                             HUTSONVILLE.................    2,052,071      201,638          145          143
IL........................          863  06                             HUTSONVILLE.................    1,495,464      148,227          105          105
IL........................          384  71                             JOLIET 29...................    5,594,695      565,406          395          400
IL........................          384  72                             JOLIET 29...................    7,988,169      807,293          564          571
IL........................          384  81                             JOLIET 29...................    5,979,042      606,271          422          429
IL........................          384  82                             JOLIET 29...................    8,727,941      885,007          616          626
IL........................          874  5                              JOLIET 9....................    7,279,634      745,482          514          527
IL........................          887  1                              JOPPA STEAM.................    6,415,901      612,380          453          433
IL........................          887  2                              JOPPA STEAM.................    6,371,397      627,662          449          444
IL........................          887  3                              JOPPA STEAM.................    6,162,171      610,721          435          432
IL........................          887  4                              JOPPA STEAM.................    6,409,101      622,666          452          440
IL........................          887  5                              JOPPA STEAM.................    6,707,659      630,241          473          445
IL........................          887  6                              JOPPA STEAM.................    6,766,124      648,034          477          458
IL........................          876  1                              KINCAID.....................    9,749,992      914,719          688          647
IL........................          876  2                              KINCAID.....................   11,246,140    1,098,470          793          776
IL........................          964  7                              LAKESIDE....................      700,482       56,039           49           40
IL........................          964  8                              LAKESIDE....................      696,352       55,708           49           39
IL........................  ...........  .............................  LASALLE COUNTY STATION......        1,530          107            0            0
IL........................          976  1                              MARION......................       95,573        7,079            7            5
IL........................          976  2                              MARION......................      175,085       12,969           12            9
IL........................          976  3                              MARION......................      584,871       43,324           41           31
IL........................          976  4                              MARION......................    5,264,312      501,363          371          354
IL........................  ...........  .............................  MARISON CO..................          306           21            0            0
IL........................  ...........  .............................  MASCOUTAH POWER PLANT.......          459           32            0            0
IL........................  ...........  .............................  MASCOUTAH POWER PLANT.......          765           54            0            0
IL........................          864  01                             MEREDOSIA...................      470,181       45,210           33           32
IL........................          864  02                             MEREDOSIA...................      431,943       41,533           30           29
IL........................          864  03                             MEREDOSIA...................      320,639       30,831           23           22
IL........................          864  04                             MEREDOSIA...................      382,526       36,781           27           26
IL........................          864  05                             MEREDOSIA...................    5,620,207      577,557          396          408
IL........................          864  06                             MEREDOSIA...................      425,393       42,887           30           30
IL........................         6017  1                              NEWTON......................   15,508,748    1,619,543        1,094        1,145
IL........................         6017  2                              NEWTON......................   14,958,053    1,596,036        1,055        1,128
IL........................  ...........  .............................  OGLESBY GAS TURBINE.........       15,759        1,106            1            1
IL........................  ...........  .............................  PHOENIX CHEMICAL COMPANY....       17,901        1,256            1            1
IL........................  ...........  .............................  PHOENIX CHEMICAL COMPANY....       17,901        1,256            1            1
IL........................  ...........  .............................  PHOENIX CHEMICAL COMPANY....       17,901        1,256            1            1
IL........................          879  51                             POWERTON....................    9,827,191      899,926          693          636
IL........................          879  52                             POWERTON....................   10,189,834      933,135          719          660
IL........................          879  61                             POWERTON....................    9,120,197      876,100          643          619
IL........................          879  62                             POWERTON....................    9,670,327      928,946          682          657
IL........................  ...........  .............................  PRINCETON MUNCIPAL ELECTRIC           153           11            0            0
                                                                         UTILITY.
IL........................  ...........  .............................  PRINCETON MUNCIPAL ELECTRIC           153           11            0            0
                                                                         UTILITY.
IL........................  ...........  .............................  PRINCETON MUNCIPAL ELECTRIC           153           11            0            0
                                                                         UTILITY.
IL........................  ...........  .............................  PRINCETON MUNCIPAL ELECTRIC           153           11            0            0
                                                                         UTILITY.
IL........................  ...........  .............................  QUAD CITIES STATION--CORDOVA        8,415          591            1            0
IL........................  ...........  .............................  RANTOUL ELECT GENERATING           38,250        2,684            3            2
                                                                         PLANT.
IL........................  ...........  .............................  RANTOUL ELECT GENERATING           41,310        2,899            3            2
                                                                         PLANT.
IL........................  ...........  .............................  RANTOUL ELECT GENERATING           90,270        6,335            6            4
                                                                         PLANT.
IL........................  ...........  .............................  RANTOUL ELECT GENERATING          160,344       11,252           11            8
                                                                         PLANT.
IL........................  ...........  .............................  ROCHELLE MUNICIPAL DIESEL             306           21            0            0
                                                                         PLANT.
IL........................  ...........  .............................  ROCHELLE MUNICIPAL DIESEL             459           32            0            0
                                                                         PLANT.
IL........................  ...........  .............................  ROCHELLE MUNICIPAL DIESEL           7,038          494            0            0
                                                                         PLANT.
IL........................  ...........  .............................  ROCHELLE MUNICIPAL DIESEL          11,169          784            1            1
                                                                         PLANT.
IL........................  ...........  .............................  ROCHELLE/SOUTH MAIN STREET..          459           32            0            0
IL........................  ...........  .............................  ROCHELLE/SOUTH MAIN STREET..          765           54            0            0

[[Page 56363]]

IL........................  ...........  .............................  ROCK RIVER DIV HEADQUARTERS.        6,732          472            0            0
IL........................  ...........  .............................  ST LOUIS AUTO SHREDDING INC.       11,934          837            1            1
IL........................  ...........  .............................  STALLIINGS..................          153           11            0            0
IL........................  ...........  .............................  STALLIINGS..................          153           11            0            0
IL........................  ...........  .............................  STALLIINGS..................          153           11            0            0
IL........................  ...........  .............................  STALLIINGS..................          153           11            0            0
IL........................  ...........  .............................  SULLIVAN ELECTRIC UTILITY...          612           43            0            0
IL........................  ...........  .............................  SULLIVAN ELECTRIC UTILITY...        1,071           75            0            0
IL........................  ...........  .............................  SULLIVAN ELECTRIC UTILITY...        1,377           97            0            0
IL........................  ...........  .............................  SULLIVAN ELECTRIC UTILITY...        2,142          150            0            0
IL........................  ...........  .............................  U.O.P. CO...................       16,218        1,138            1            1
IL........................          897  1                              VERMILION...................      623,436       56,779           44           40
IL........................          897  2                              VERMILION...................    1,112,049       98,568           78           70
IL........................  ...........  .............................  WASTE MANAGEMENT OF IL--            1,530          107            0            0
                                                                         MIDWAY LAN.
IL........................  ...........  .............................  WATERLOO CITY LIGHT PLANT...          153           11            0            0
IL........................          883  17                             WAUKEGAN....................    2,836,176      246,624          200          174
IL........................          883  7                              WAUKEGAN....................    7,481,751      769,490          528          544
IL........................          883  8                              WAUKEGAN....................    8,846,311      906,291          624          641
IL........................  ...........  .............................  WHITE COUNTY COAL CORP--MINE          306           21            0            0
                                                                         #1.
IL........................          884  1                              WILL COUNTY.................    4,419,934      448,588          312          317
IL........................          884  2                              WILL COUNTY.................    4,350,027      456,025          307          322
IL........................          884  3                              WILL COUNTY.................    5,839,114      615,875          412          435
IL........................          884  4                              WILL COUNTY.................    9,697,974    1,029,181          684          727
IL........................          898  4                              WOOD RIVER..................    2,014,967      187,998          142          133
IL........................          898  5                              WOOD RIVER..................    7,180,169      719,312          507          508
IN........................         6137  1                              A B BROWN...................    6,035,177      573,141          468          440
IN........................         6137  2                              A B BROWN...................    6,871,738      668,782          533          514
IN........................         6137  --4                            A B BROWN...................      151,668       11,831           12            9
IN........................         7336  --ACT1                         ANDERSON....................       67,856        4,762            5            4
IN........................         7336  --ACT2                         ANDERSON....................       67,856        4,762            5            4
IN........................          995  7                              BAILLY......................    5,354,149      546,509          415          420
IN........................          995  8                              BAILLY......................    9,260,589      976,032          719          749
IN........................         1011  --2                            BROADWAY....................      123,242        9,337           10            7
IN........................         1001  1                              CAYUGA......................   15,657,595    1,562,790        1,215        1,200
IN........................         1001  2                              CAYUGA......................   14,571,660    1,475,761        1,131        1,133
IN........................         1001  --4                            CAYUGA......................      345,558       28,110           27           22
IN........................         1001  5                              CAYUGA......................      149,834       11,351           12            9
IN........................          983  1                              CLIFTY CREEK................    7,379,559      784,475          573          602
IN........................          983  2                              CLIFTY CREEK................    7,176,300      784,209          557          602
IN........................          983  3                              CLIFTY CREEK................    7,063,406      756,334          548          581
IN........................          983  4                              CLIFTY CREEK................    6,798,235      732,253          527          562
IN........................          983  5                              CLIFTY CREEK................    7,400,261      783,096          574          601
IN........................          983  6                              CLIFTY CREEK................    6,727,925      706,863          522          543
IN........................  ...........  1                              CONNERSVILLE................       16,083        1,129            1            1
IN........................  ...........  2                              CONNERSVILLE................       16,083        1,129            1            1
IN........................          996  11                             DEAN H MITCHELL.............    2,287,384      227,941          177          175
IN........................          996  4                              DEAN H MITCHELL.............    1,842,510      182,734          143          140
IN........................          996  5                              DEAN H MITCHELL.............    3,177,761      322,092          247          247
IN........................          996  6                              DEAN H MITCHELL.............    2,600,547      268,430          202          206
IN........................          990  10                             ELMER W STOUT...............       13,560        1,279            1            1
IN........................          990  50                             ELMER W STOUT...............    2,415,760      232,374          187          178
IN........................          990  60                             ELMER W STOUT...............    2,335,827      224,685          181          173
IN........................          990  70                             ELMER W STOUT...............    9,783,680      941,100          759          723
IN........................          990  9                              ELMER W STOUT...............       15,792        1,490            1            1
IN........................          990  --GT4                          ELMER W STOUT...............       78,478        5,945            6            5
IN........................          990  --GT5                          ELMER W STOUT...............       88,946        6,738            7            5
IN........................         1012  1                              F B CULLEY..................      669,903       64,414           52           49
IN........................         1012  2                              F B CULLEY..................    2,593,129      221,257          201          170
IN........................         1012  3                              F B CULLEY..................    9,584,920      941,544          744          723
IN........................         1043  1SG1                           FRANK E RATTS...............    3,258,718      337,971          253          260
IN........................         1043  2SG1                           FRANK E RATTS...............    3,187,585      328,482          247          252
IN........................         1008  1                              GALLAGHER...................    3,831,362      370,968          297          285
IN........................         1008  2                              GALLAGHER...................    3,401,395      335,476          264          258
IN........................         1008  3                              GALLAGHER...................    4,528,750      444,605          351          341
IN........................         1008  4                              GALLAGHER...................    4,244,584      410,978          329          316
IN........................         6113  1                              GIBSON......................   19,606,094    2,037,632        1,521        1,565
IN........................         6113  2                              GIBSON......................   18,199,182    1,859,906        1,412        1,428
IN........................         6113  3                              GIBSON......................   16,865,898    1,708,977        1,309        1,312
IN........................         6113  4                              GIBSON......................   16,654,069    1,680,532        1,292        1,290
IN........................         6113  5                              GIBSON......................   20,380,811    2,015,308        1,581        1,547
IN........................          991  1                              H T PRITCHARD...............       17,262        1,628            1            1
IN........................          991  2                              H T PRITCHARD...............       20,009        1,888            2            1
IN........................          991  3                              H T PRITCHARD...............      658,621       63,329           51           49
IN........................          991  4                              H T PRITCHARD...............      896,604       77,817           70           60
IN........................          991  5                              H T PRITCHARD...............      870,970       75,592           68           58
IN........................          991  6                              H T PRITCHARD...............    2,568,694      222,938          199          171

[[Page 56364]]

IN........................         6213  1SG1                           MEROM.......................   16,068,534    1,640,316        1,247        1,260
IN........................         6213  2SG1                           MEROM.......................   19,329,452    1,986,175        1,500        1,525
IN........................          997  12                             MICHIGAN CITY...............   11,955,128    1,210,523          928          930
IN........................          997  4                              MICHIGAN CITY...............      202,787       19,131           16           15
IN........................          997  5                              MICHIGAN CITY...............      125,850       11,873           10            9
IN........................          997  6                              MICHIGAN CITY...............      193,869       18,289           15           14
IN........................         1007  1                              NOBLESVILLE.................      348,522       33,512           27           26
IN........................         1007  2                              NOBLESVILLE.................      363,142       34,917           28           27
IN........................         1007  3                              NOBLESVILLE.................      385,596       37,077           30           28
IN........................          994  1                              PETERSBURG..................    7,083,983      684,575          550          526
IN........................          994  2                              PETERSBURG..................   14,305,783    1,382,468        1,110        1,062
IN........................          994  3                              PETERSBURG..................   16,278,783    1,573,133        1,263        1,208
IN........................          994  4                              PETERSBURG..................   16,288,351    1,574,058        1,264        1,209
IN........................         7335  --RCT1                         RICHMOND....................       67,490        4,736            5            4
IN........................         7335  --RCT2                         RICHMOND....................       67,490        4,736            5            4
IN........................         6166  MB1                            ROCKPORT....................   43,122,887    4,412,903        3,346        3,389
IN........................         6166  MB2                            ROCKPORT....................   45,949,908    4,683,032        3,565        3,596
IN........................         6085  14                             SCHAHFER....................   12,148,297    1,235,336          943          949
IN........................         6085  15                             SCHAHFER....................   14,443,963    1,443,963        1,121        1,109
IN........................         6085  --16A                          SCHAHFER....................      147,909       11,205           11            9
IN........................         6085  --16B                          SCHAHFER....................      145,983       11,059           11            8
IN........................         6085  17                             SCHAHFER....................   10,147,542    1,031,150          787          792
IN........................         6085  18                             SCHAHFER....................    9,033,005      925,987          701          711
IN........................          981  3                              STATE LINE..................    4,973,309      527,225          386          405
IN........................          981  4                              STATE LINE..................    5,883,063      631,027          456          485
IN........................          988  U1                             TANNERS CREEK...............    3,131,631      325,770          243          250
IN........................          988  U2                             TANNERS CREEK...............    3,098,674      328,493          240          252
IN........................          988  U3                             TANNERS CREEK...............    4,041,085      434,899          314          334
IN........................          988  U4                             TANNERS CREEK...............   11,950,298    1,394,271          927        1,071
IN........................         1010  1                              WABASH RIVER................      851,343       94,804           66           73
IN........................         1010  2                              WABASH RIVER................    1,727,253      167,046          134          128
IN........................         1010  3                              WABASH RIVER................    1,705,031      163,067          132          125
IN........................         1010  4                              WABASH RIVER................    2,662,911      254,678          207          196
IN........................         1010  5                              WABASH RIVER................    1,897,229      176,536          147          136
IN........................         1010  6                              WABASH RIVER................    7,024,392      683,706          545          525
IN........................         6705  1                              WARRICK.....................    3,774,805      362,962          293          279
IN........................         6705  2                              WARRICK.....................    3,986,462      383,314          309          294
IN........................         6705  3                              WARRICK.....................    4,055,995      390,000          315          299
IN........................         6705  4                              WARRICK.....................   11,135,585    1,098,184          864          843
IN........................         1040  1                              WHITEWATER VALLEY...........      971,576       93,421           75           72
IN........................         1040  2                              WHITEWATER VALLEY...........    1,877,419      168,122          146          129
KY........................         1353  BSU1                           BIG SANDY...................    7,613,037      812,057          609          655
KY........................         1353  BSU2                           BIG SANDY...................   22,241,768    2,407,118        1,781        1,942
KY........................         1363  4                              CANE RUN....................    4,925,774      444,084          394          358
KY........................         1363  5                              CANE RUN....................    4,304,294      417,487          345          337
KY........................         1363  6                              CANE RUN....................    5,587,828      543,616          447          439
KY........................         1384  1                              COOPER......................    2,306,853      231,658          185          187
KY........................         1384  2                              COOPER......................    4,882,718      478,651          391          386
KY........................         6823  W1                             D B WILSON..................   14,381,701    1,449,768        1,151        1,170
KY........................         1385  3                              DALE........................    1,906,453      159,723          153          129
KY........................         1385  4                              DALE........................    1,935,939      164,202          155          132
KY........................         1355  1                              E W BROWN...................    2,464,832      222,357          197          179
KY........................         1355  2                              E W BROWN...................    4,028,960      405,859          323          327
KY........................         1355  3                              E W BROWN...................   10,080,565      954,870          807          770
KY........................         1355  5                              E W BROWN...................      188,516       14,282           15           12
KY........................         1355  6                              E W BROWN...................      188,516       14,282           15           12
KY........................         1355  7                              E W BROWN...................      188,516       14,282           15           12
KY........................         6018  2                              EAST BEND...................   19,048,549    1,915,390        1,525        1,545
KY........................         1374  1                              ELMER SMITH.................    5,140,226      513,099          412          414
KY........................         1374  2                              ELMER SMITH.................    9,068,247    1,021,659          726          824
KY........................         1356  2                              GHENT.......................   13,610,812    1,345,607        1,090        1,086
KY........................         1356  3                              GHENT.......................   13,909,380    1,328,372        1,114        1,072
KY........................         1356  4                              GHENT.......................   14,120,228    1,415,846        1,130        1,142
KY........................         1357  1                              GREEN RIVER.................      312,489       30,047           25           24
KY........................         1357  2                              GREEN RIVER.................      313,882       30,181           25           24
KY........................         1357  3                              GREEN RIVER.................      300,246       28,870           24           23
KY........................         1357  4                              GREEN RIVER.................    2,445,115      199,422          196          161
KY........................         1357  5                              GREEN RIVER.................    2,133,890      190,356          171          154
KY........................         6041  1                              H L SPURLOCK................    9,369,673      933,792          750          753
KY........................         6041  2                              H L SPURLOCK................   19,888,084    2,012,964        1,592        1,624
KY........................         1372  6                              HENDERSON I.................      424,577       40,825           34           33
KY........................         1382  H1                             HMP&L STATION 2.............    4,765,405      466,282          382          376
KY........................         1382  H2                             HMP&L STATION 2.............    5,002,527      490,925          400          396
KY........................         1381  C1                             K C COLEMAN.................    4,738,308      471,005          379          380
KY........................         1381  C2                             K C COLEMAN.................    5,366,408      527,411          430          426
KY........................         1381  C3                             K C COLEMAN.................    4,937,546      480,306          395          388

[[Page 56365]]

KY........................         1364  1                              MILL CREEK..................    7,116,202      701,035          570          566
KY........................         1364  2                              MILL CREEK..................    7,466,807      706,749          598          570
KY........................         1364  3                              MILL CREEK..................   12,691,840    1,234,015        1,016          996
KY........................         1364  4                              MILL CREEK..................   14,102,495    1,387,495        1,129        1,119
KY........................         1378  1                              PARADISE....................   21,860,472    2,197,916        1,750        1,773
KY........................         1378  2                              PARADISE....................   24,632,519    2,476,626        1,972        1,998
KY........................         1378  3                              PARADISE....................   27,629,156    2,743,437        2,212        2,213
KY........................         1360  3                              PINEVILLE...................      588,364       56,573           47           46
KY........................         1383  R1                             R A REID....................      462,060       41,072           37           33
KY........................         6639  G1                             R D GREEN...................    8,342,047      809,122          668          653
KY........................         6639  G2                             R D GREEN...................    7,435,113      714,228          595          576
KY........................         1379  1                              SHAWNEE.....................    4,299,562      426,671          344          344
KY........................         1379  10                             SHAWNEE.....................   10,578,503      993,473          847          802
KY........................         1379  2                              SHAWNEE.....................    4,324,438      429,139          346          346
KY........................         1379  3                              SHAWNEE.....................    4,428,585      439,475          355          355
KY........................         1379  4                              SHAWNEE.....................    4,240,262      420,786          339          339
KY........................         1379  5                              SHAWNEE.....................    4,409,569      437,587          353          353
KY........................         1379  6                              SHAWNEE.....................    7,296,781      724,102          584          584
KY........................         1379  7                              SHAWNEE.....................    8,781,086      871,399          703          703
KY........................         1379  8                              SHAWNEE.....................    5,000,057      496,185          400          400
KY........................         1379  9                              SHAWNEE.....................    5,884,725      583,976          471          471
KY........................         6071  1                              TRIMBLE COUNTY..............   16,103,567    1,599,321        1,289        1,290
KY........................         1361  1                              TYRONE......................       35,370        3,337            3            3
KY........................         1361  3                              TYRONE......................       35,800        3,377            3            3
KY........................         1361  4                              TYRONE......................       36,606        3,453            3            3
KY........................         1361  5                              TYRONE......................    1,019,264       82,685           82           67
MA........................        50002  CC__(*)                        ALTRESCO (PITTSFIELD) (*)...    1,121,457      131,936          114          130
MA........................        50002  CS__(*)                        ALTRESCO (PITTSFIELD) (*)...      587,755       69,148           60           68
MA........................         1619  1                              BRAYTON POINT...............    7,692,885      785,068          783          773
MA........................         1619  2                              BRAYTON POINT...............    7,497,386      790,530          763          778
MA........................         1619  3                              BRAYTON POINT...............   18,238,259    2,030,082        1,857        1,999
MA........................         1619  4                              BRAYTON POINT...............    5,455,025      511,969          555          504
MA........................         1599  1                              CANAL.......................   11,606,453    1,290,897        1,182        1,271
MA........................         1599  2                              CANAL.......................   10,108,445    1,024,989        1,029        1,009
MA........................         1682  8                              CLEARY FLOOD................       80,600        6,037            8            6
MA........................         1682  9                              CLEARY FLOOD................      902,365      102,170           92          101
MA........................        52026  CA__(*)                        DARTMOUTH POWER ASSOC (*)...      741,248       66,779           75           66
MA........................        10029  1                              GE COMPANY AIRCRAFT ENGIN...       61,457        4,656            6            5
MA........................        54586  CC__gia                        L'ENERGIA...................      876,770       78,988           89           78
MA........................        10802  1                              LOWELL COGENERATION PLANT...      155,520       10,914           16           11
MA........................        10726  CC__to)                        MASS POWER (MONSANTO).......    1,586,869      186,690          162          184
MA........................        10726  CW__to)                        MASS POWER (MONSANTO).......      549,347       64,629           56           64
MA........................          n89  CC__r 1                        MASS POWER 1................      304,660       27,447           31           27
MA........................          n90  CC__r 2                        MASS POWER 2................      304,660       27,447           31           27
MA........................         1606  1                              MOUNT TOM...................    4,711,387      490,616          480          483
MA........................         1588  4                              MYSTIC......................    1,376,669      139,452          140          137
MA........................         1588  5                              MYSTIC......................      648,038       60,132           66           59
MA........................         1588  6                              MYSTIC......................    2,194,462      222,539          223          219
MA........................         1588  7                              MYSTIC......................   11,802,193    1,229,779        1,202        1,211
MA........................         1589  1                              NEW BOSTON..................    8,789,339      902,674          895          889
MA........................         1589  2                              NEW BOSTON..................    9,365,437      952,643          954          938
MA........................          n91  CC__& 2                        NORTHEAST ENERGY ASSO 1 &...    3,296,081      387,774          336          382
MA........................        10522  CC__(*)                        PEPPERELL (*)...............      376,614       33,929           38           33
MA........................         1660  --CC2                          POTTER STATION 2............      548,078       49,376           56           49
MA........................         1626  1                              SALEM HARBOR................    2,754,313      264,711          280          261
MA........................         1626  2                              SALEM HARBOR................    3,089,594      291,471          315          287
MA........................         1626  3                              SALEM HARBOR................    5,059,490      490,641          515          483
MA........................         1626  4                              SALEM HARBOR................    6,294,731      594,123          641          585
MA........................         1613  8                              SOMERSET....................    3,209,854      294,293          327          290
MA........................         6081  --1                            STONY BROOK.................       90,418        6,850            9            7
MA........................         6081  --2                            STONY BROOK.................       90,418        6,850            9            7
MA........................         6081  --CT1                          STONY BROOK.................      614,254       55,338           63           54
MA........................         6081  --CT2                          STONY BROOK.................      614,254       55,338           63           54
MA........................         6081  --CT3                          STONY BROOK.................      614,254       55,338           63           54
MA........................         6081  --CW1                          STONY BROOK.................      944,989      111,175           96          109
MA........................         1678  --2                            WATERS RIVER................       42,566        3,733            4            4
MA........................         1642  3                              WEST SPRINGFIELD............    2,006,248      196,210          204          193
MD........................        10483  ST  NUG                        BETHLEHEM STEEL  NUG........    3,625,254      342,005          342          313
MD........................          602  1                              BRANDON SHORES..............   21,502,167    2,151,938        2,029        1,971
MD........................          602  2                              BRANDON SHORES..............   21,147,845    2,102,171        1,995        1,925
MD........................         1552  1                              C P CRANE...................    5,355,147      524,244          505          480
MD........................         1552  2                              C P CRANE...................    5,060,998      496,371          477          455
MD........................         1571  1                              CHALK POINT.................    9,223,252      993,029          870          909
MD........................         1571  2                              CHALK POINT.................    9,516,601    1,033,739          898          947
MD........................         1571  3                              CHALK POINT.................    3,368,279      316,836          318          290
MD........................         1571  4                              CHALK POINT.................    4,729,925      448,632          446          411

[[Page 56366]]

MD........................         1571  --GT2                          CHALK POINT.................       12,553          881            1            1
MD........................         1571  --GT3                          CHALK POINT.................       95,860        8,206            9            8
MD........................         1571  --GT4                          CHALK POINT.................       98,058        8,394            9            8
MD........................         1571  --GT5                          CHALK POINT.................      167,177       15,561           16           14
MD........................         1571  --SGT1                         CHALK POINT.................      293,306       22,220           28           20
MD........................         1572  1                              DICKERSON...................    5,087,240      538,048          480          493
MD........................         1572  2                              DICKERSON...................    5,102,377      540,392          481          495
MD........................         1572  3                              DICKERSON...................    5,232,608      564,772          494          517
MD........................         1572  --GT2                          DICKERSON...................      134,534       12,841           13           12
MD........................         1572  --GT3                          DICKERSON...................      338,557       32,314           32           30
MD........................         1580  1                              EASTON......................       66,212        7,790            6            7
MD........................         1553  3                              GOULD STREET................      584,029       51,766           55           47
MD........................         1554  1                              HERBERT A WAGNER............      782,492       68,382           74           63
MD........................         1554  2                              HERBERT A WAGNER............    4,261,160      425,350          402          390
MD........................         1554  3                              HERBERT A WAGNER............    7,769,439      849,583          733          778
MD........................         1554  4                              HERBERT A WAGNER............    1,818,482      165,512          172          152
MD........................         1573  1                              MORGANTOWN..................   14,211,706    1,571,049        1,341        1,439
MD........................         1573  2                              MORGANTOWN..................   15,148,826    1,673,164        1,429        1,532
MD........................         1573  --GT3                          MORGANTOWN..................      106,208        7,453           10            7
MD........................         1573  --GT4                          MORGANTOWN..................      107,406        7,537           10            7
MD........................         1573  --GT5                          MORGANTOWN..................      108,314        7,601           10            7
MD........................         1573  --GT6                          MORGANTOWN..................       96,013        6,738            9            6
MD........................         1556  --GT1                          PERRYMAN....................       51,532        3,616            5            3
MD........................         1556  --GT2                          PERRYMAN....................       58,312        4,092            6            4
MD........................         1556  --GT3                          PERRYMAN....................       36,459        2,558            3            2
MD........................         1556  --GT4                          PERRYMAN....................       56,510        3,966            5            4
MD........................         1570  11                             R P SMITH...................    1,374,337      138,836          130          127
MD........................         1570  9                              R P SMITH...................       87,168        8,381            8            8
MD........................         1559  4                              RIVERSIDE...................      302,110       26,943           29           25
MD........................         1559  --GT6                          RIVERSIDE...................       74,446        5,224            7            5
MD........................         1564  8                              VIENNA......................    1,495,451      137,601          141          126
MD........................         1560  --GT5                          WESTPORT....................      214,627       15,062           20           14
MI........................         7268  --7                            491 E. 48TH STREET..........        7,914          660            1            0
MI........................         7268  --8                            491 E. 48TH STREET..........       13,441        1,120            1            1
MI........................        10819  CA__Ltd                        ADA COGEN LTD...............      318,649       28,707           24           21
MI........................         1695  4                              B C COBB....................    4,719,074      480,313          349          344
MI........................         1695  5                              B C COBB....................    4,419,640      448,694          327          321
MI........................         6034  1                              BELLE RIVER.................   21,840,775    2,211,948        1,615        1,584
MI........................         6034  2                              BELLE RIVER.................   23,002,097    2,343,566        1,701        1,678
MI........................         1702  1                              DAN E KARN..................    6,515,728      696,944          482          499
MI........................         1702  2                              DAN E KARN..................    7,211,347      773,584          533          554
MI........................         1702  3                              DAN E KARN..................    2,601,938      239,193          192          171
MI........................         1702  4                              DAN E KARN..................    2,725,268      227,732          202          163
MI........................         1831  1                              ECKERT STATION..............      495,985       47,691           37           34
MI........................         1831  2                              ECKERT STATION..............      335,803       30,561           25           22
MI........................         1831  3                              ECKERT STATION..............      587,998       53,866           43           39
MI........................         1831  4                              ECKERT STATION..............      988,838       92,718           73           66
MI........................         1831  5                              ECKERT STATION..............    1,121,036      103,027           83           74
MI........................         1831  6                              ECKERT STATION..............    1,340,375      124,732           99           89
MI........................         1832  1                              ERICKSON....................    5,079,491      526,863          376          377
MI........................         6035  1                              GREENWOOD...................    1,565,824      164,685          116          118
MI........................         1731  1                              HARBOR BEACH................      768,833       74,818           57           54
MI........................         1825  3                              J B SIMS....................    1,749,713      158,863          129          114
MI........................         1720  7                              J C WEADOCK.................    4,214,462      426,565          312          305
MI........................         1720  8                              J C WEADOCK.................    4,265,849      432,028          315          309
MI........................         1710  1                              J H CAMPBELL................    6,547,409      700,108          484          501
MI........................         1710  2                              J H CAMPBELL................    8,517,252      903,879          630          647
MI........................         1710  3                              J H CAMPBELL................   21,544,630    2,314,387        1,593        1,657
MI........................         1723  1                              J R WHITING.................    2,881,534      285,413          213          204
MI........................         1723  2                              J R WHITING.................    2,627,628      262,947          194          188
MI........................         1723  3                              J R WHITING.................    3,273,683      325,869          242          233
MI........................         1830  5                              JAMES DE YOUNG..............      915,620       73,250           68           52
MI........................         n100  CA__act                        MCV CONTRACT................   10,055,262    1,182,972          744          847
MI........................        10745  1                              MIDLAND COGENERATION VENT...    5,869,080      444,627          434          318
MI........................         1822  5                              MISTERSKY...................      460,030       43,399           34           31
MI........................         1822  6                              MISTERSKY...................    1,473,716      127,429          109           91
MI........................         1822  7                              MISTERSKY...................    1,315,382      111,237           97           80
MI........................         1733  1                              MONROE......................   23,198,275    2,547,022        1,716        1,824
MI........................         1733  2                              MONROE......................   21,371,974    2,310,733        1,581        1,654
MI........................         1733  3                              MONROE......................   17,719,325    1,928,949        1,310        1,381
MI........................         1733  4                              MONROE......................   17,764,880    1,924,481        1,314        1,378
MI........................         1769  2                              PRESQUE ISLE................      282,822       27,194           21           19
MI........................         1769  3                              PRESQUE ISLE................    1,283,250      120,504           95           86
MI........................         1769  4                              PRESQUE ISLE................    1,217,723      114,351           90           82
MI........................         1769  5                              PRESQUE ISLE................    2,646,645      250,392          196          179
MI........................         1769  6                              PRESQUE ISLE................    2,753,661      260,517          204          187

[[Page 56367]]

MI........................         1769  7                              PRESQUE ISLE................    2,993,352      260,314          221          186
MI........................         1769  8                              PRESQUE ISLE................    3,044,818      264,790          225          190
MI........................         1769  9                              PRESQUE ISLE................    2,837,888      246,794          210          177
MI........................         1740  1                              RIVER ROUGE.................    1,200,116      130,235           89           93
MI........................         1740  2                              RIVER ROUGE.................    8,017,458      871,747          593          624
MI........................         1740  3                              RIVER ROUGE.................    8,515,077      937,268          630          671
MI........................        10272  1                              ROUGE POWERHOUSE #1.........    3,189,437      300,890          236          215
MI........................         1843  3                              SHIRAS......................    1,360,969      113,084          101           81
MI........................         1743  1                              ST CLAIR....................    4,264,532      437,119          315          313
MI........................         1743  2                              ST CLAIR....................    4,042,244      401,375          299          287
MI........................         1743  3                              ST CLAIR....................    4,704,277      470,287          348          337
MI........................         1743  4                              ST CLAIR....................    4,400,916      453,796          325          325
MI........................         1743  5                              ST CLAIR....................    1,519,120      154,523          112          111
MI........................         1743  6                              ST CLAIR....................    8,503,976      886,200          629          634
MI........................         1743  7                              ST CLAIR....................    9,260,458      964,029          685          690
MI........................        50835  ST__ity                        T.E.S. FILER CITY...........    1,306,965      123,299           97           88
MI........................         1745  16                             TRENTON CHANNEL.............    1,431,549      130,545          106           93
MI........................         1745  17                             TRENTON CHANNEL.............    1,420,802      136,616          105           98
MI........................         1745  18                             TRENTON CHANNEL.............    1,322,166      120,570           98           86
MI........................         1745  19                             TRENTON CHANNEL.............    1,365,139      131,263          101           94
MI........................         1745  9A                             TRENTON CHANNEL.............   12,981,225    1,372,948          960          983
MI........................         1866  7                              WYANDOTTE...................    1,115,053      100,176           82           72
MO........................         2076  1                              ASBURY......................    6,415,029      567,702          465          426
MO........................         2132  3                              BLUE VALLEY.................      430,039       41,350           31           31
MO........................         2169  2                              CHAMOIS.....................    1,523,956      139,263          110          104
MO........................         2122  --GT1                          CHILLICOTHE.................       71,595        5,024            5            4
MO........................         2122  --GT2                          CHILLICOTHE.................       71,595        5,024            5            4
MO........................         2123  7                              COLUMBIA....................      394,045       39,229           29           29
MO........................         6223  --1                            EMPIRE ENERGY CENTER........      179,036       13,563           13           10
MO........................         6223  --2                            EMPIRE ENERGY CENTER........      179,036       13,563           13           10
MO........................         6074  --4                            GREENWOOD ENERGY CTR........      111,179        8,423            8            6
MO........................         2079  5                              HAWTHORN....................   10,761,377    1,042,971          779          782
MO........................         6065  1                              IATAN.......................   22,356,034    2,298,585        1,619        1,723
MO........................         2161  **GT2                          JAMES RIVER.................      289,660       21,944           21           16
MO........................         2161  3                              JAMES RIVER.................    1,188,818      114,309           86           86
MO........................         2161  4                              JAMES RIVER.................    1,709,250      164,351          124          123
MO........................         2161  5                              JAMES RIVER.................    2,951,438      283,792          214          213
MO........................         2161  --GT1                          JAMES RIVER.................    1,393,758      125,564          101           94
MO........................         2103  1                              LABADIE.....................   14,988,473    1,455,474        1,085        1,091
MO........................         2103  2                              LABADIE.....................   15,775,674    1,531,916        1,142        1,148
MO........................         2103  3                              LABADIE.....................   18,159,252    1,763,377        1,315        1,322
MO........................         2103  4                              LABADIE.....................   16,185,316    1,571,695        1,172        1,178
MO........................         2098  5                              LAKE ROAD...................    1,557,840      141,409          113          106
MO........................         2098  --5                            LAKE ROAD...................    1,335,767      126,016           97           94
MO........................         2098  6                              LAKE ROAD...................    1,996,600      179,228          145          134
MO........................         2104  1                              MERAMEC.....................    1,667,729      131,909          121           99
MO........................         2104  2                              MERAMEC.....................    1,737,211      137,405          126          103
MO........................         2104  3                              MERAMEC.....................    2,079,846      164,506          151          123
MO........................         2104  4                              MERAMEC.....................    3,782,385      299,168          274          224
MO........................         6650  --1                            MEXICO......................      112,520        8,524            8            6
MO........................         6651  --1                            MOBERLY.....................      112,520        8,524            8            6
MO........................         2080  1                              MONTROSE....................    4,826,186      421,317          349          316
MO........................         2080  2                              MONTROSE....................    4,658,606      424,939          337          319
MO........................         2080  3                              MONTROSE....................    4,940,056      462,076          358          346
MO........................         6652  --1                            MOREAU......................      112,520        8,524            8            6
MO........................         2167  1                              NEW MADRID..................   17,470,625    1,738,371        1,265        1,303
MO........................         2167  2                              NEW MADRID..................   18,334,306    1,824,309        1,328        1,368
MO........................         2092  --GT1                          RALPH GREEN.................      129,485        9,809            9            7
MO........................         6155  1                              RUSH ISLAND.................   17,761,120    1,742,653        1,286        1,306
MO........................         6155  2                              RUSH ISLAND.................   17,280,487    1,695,495        1,251        1,271
MO........................         2094  1                              SIBLEY......................    1,456,245      125,538          105           94
MO........................         2094  2                              SIBLEY......................    1,473,607      139,020          107          104
MO........................         2094  3                              SIBLEY......................   10,522,347    1,084,778          762          813
MO........................         6768  1                              SIKESTON....................    9,450,790      895,810          684          672
MO........................         2107  1                              SIOUX.......................   10,860,579    1,004,493          786          753
MO........................         2107  2                              SIOUX.......................   10,688,852      988,610          774          741
MO........................         6195  1                              SOUTHWEST...................    6,345,132      610,109          459          457
MO........................         6195  --2                            SOUTHWEST...................       87,505        6,629            6            5
MO........................         6195  --GT1                          SOUTHWEST...................       87,505        6,629            6            5
MO........................         7296  --1                            STATELINE...................      200,888       15,219           15           11
MO........................         2168  MB1                            THOMAS HILL.................    6,124,730      603,422          443          452
MO........................         2168  MB2                            THOMAS HILL.................    8,842,764      879,877          640          660
MO........................         2168  MB3                            THOMAS HILL.................   22,827,071    2,271,350        1,653        1,703
MO........................        50969  1                              UNIVERSITY OF MISSOURI--CO..          411           39            0            0
NC........................         2706  1                              ASHEVILLE...................    6,457,822      681,420          524          528
NC........................         2706  2                              ASHEVILLE...................    6,300,506      661,818          511          513

[[Page 56368]]

NC........................         8042  1                              BELEWS CREEK................   27,520,035    3,056,084        2,233        2,367
NC........................         8042  2                              BELEWS CREEK................   34,358,912    3,802,447        2,788        2,945
NC........................         2720  5                              BUCK........................      673,727       64,781           55           50
NC........................         2720  6                              BUCK........................      579,519       55,723           47           43
NC........................         2720  7                              BUCK........................      703,911       67,684           57           52
NC........................         2720  8                              BUCK........................    3,428,909      328,786          278          255
NC........................         2720  9                              BUCK........................    3,583,849      343,544          291          266
NC........................         1016  --1                            BUTLER WARNER GEN PL........      524,574       47,259           43           37
NC........................         1016  --2                            BUTLER WARNER GEN PL........      526,516       47,434           43           37
NC........................         1016  --3                            BUTLER WARNER GEN PL........      522,524       47,074           42           36
NC........................         1016  --6                            BUTLER WARNER GEN PL........      556,187       50,107           45           39
NC........................         1016  --7                            BUTLER WARNER GEN PL........      528,459       47,609           43           37
NC........................         1016  --8                            BUTLER WARNER GEN PL........      528,459       47,609           43           37
NC........................         1016  --9                            BUTLER WARNER GEN PL........    1,351,896      121,792          110           94
NC........................         2708  5                              CAPE FEAR...................    3,248,898      338,568          264          262
NC........................         2708  6                              CAPE FEAR...................    4,656,544      503,791          378          390
NC........................         2721  1                              CLIFFSIDE...................      537,878       51,719           44           40
NC........................         2721  2                              CLIFFSIDE...................      688,755       66,226           56           51
NC........................         2721  3                              CLIFFSIDE...................      773,399       59,233           63           46
NC........................         2721  4                              CLIFFSIDE...................      929,143       70,071           75           54
NC........................         2721  5                              CLIFFSIDE...................   12,329,411    1,241,883        1,000          962
NC........................        10380  ST__OWN                        COGENTRIX ELIZABETHTOWN.....      901,695       85,066           73           66
NC........................        10381  ST__LLE                        COGENTRIX KENANSVILLE.......      901,695       85,066           73           66
NC........................        10382  ST__TON                        COGENTRIX LUMBERTON.........      901,695       85,066           73           66
NC........................        10379  ST__ORO                        COGENTRIX ROXBORO...........    1,388,705      131,010          113          101
NC........................        10378  ST__ORT                        COGENTRIX SOUTHPORT.........    2,748,984      259,338          223          201
NC........................        10525  ST__RGY                        CRAVEN COUNTY WOOD ENERGY...    3,035,837      286,400          246          222
NC........................         2723  1                              DAN RIVER...................    1,279,030       96,874          104           75
NC........................         2723  2                              DAN RIVER...................    1,276,869      106,441          104           82
NC........................         2723  3                              DAN RIVER...................    2,946,742      274,601          239          213
NC........................         2718  1                              G G ALLEN...................    3,428,222      329,099          278          255
NC........................         2718  2                              G G ALLEN...................    4,045,742      380,060          328          294
NC........................         2718  3                              G G ALLEN...................    6,731,538      674,909          546          523
NC........................         2718  4                              G G ALLEN...................    6,178,650      628,614          501          487
NC........................         2718  5                              G G ALLEN...................    5,611,834      579,555          455          449
NC........................         2713  1                              L V SUTTON..................    1,890,914      167,604          153          130
NC........................         2713  2                              L V SUTTON..................    2,204,273      212,953          179          165
NC........................         2713  3                              L V SUTTON..................    8,616,341      897,255          699          695
NC........................         2709  1                              LEE.........................    1,613,150      151,555          131          117
NC........................         2709  2                              LEE.........................    1,528,041      141,958          124          110
NC........................         2709  3                              LEE.........................    4,977,693      527,354          404          408
NC........................         7277  1                              LINCOLN.....................      194,033       15,796           16           12
NC........................         7277  10                             LINCOLN.....................      136,184       10,813           11            8
NC........................         7277  11                             LINCOLN.....................      152,253       12,525           12           10
NC........................         7277  12                             LINCOLN.....................      125,731       10,186           10            8
NC........................         7277  13                             LINCOLN.....................      109,354        8,284            9            6
NC........................         7277  14                             LINCOLN.....................      105,132        7,965            9            6
NC........................         7277  15                             LINCOLN.....................      104,102        7,887            8            6
NC........................         7277  16                             LINCOLN.....................       95,106        7,205            8            6
NC........................         7277  2                              LINCOLN.....................      171,449       13,856           14           11
NC........................         7277  3                              LINCOLN.....................      162,933       13,209           13           10
NC........................         7277  4                              LINCOLN.....................      158,799       12,859           13           10
NC........................         7277  5                              LINCOLN.....................      146,360       11,812           12            9
NC........................         7277  6                              LINCOLN.....................      152,529       12,241           12            9
NC........................         7277  7                              LINCOLN.....................      164,582       13,136           13           10
NC........................         7277  8                              LINCOLN.....................      148,870       11,828           12            9
NC........................         7277  9                              LINCOLN.....................      129,158       10,353           10            8
NC........................         2727  1                              MARSHALL....................   11,833,890    1,281,695          960          993
NC........................         2727  2                              MARSHALL....................   12,362,967    1,334,373        1,003        1,033
NC........................         2727  3                              MARSHALL....................   20,893,735    2,350,516        1,695        1,821
NC........................         2727  4                              MARSHALL....................   20,093,891    2,224,006        1,630        1,723
NC........................         6250  1A                             MAYO........................   16,130,087    1,687,954        1,309        1,307
NC........................         6250  1B                             MAYO........................    9,275,573      970,654          753          752
NC........................        50555  CT__ary                        PANDA--ROSEMARY.............    1,775,698      208,906          144          162
NC........................        50555  CW__ary                        PANDA--ROSEMARY.............      875,010      102,942           71           80
NC........................         2732  10                             RIVERBEND...................    2,853,031      279,134          232          216
NC........................         2732  7                              RIVERBEND...................    2,152,165      193,836          175          150
NC........................         2732  8                              RIVERBEND...................    2,040,229      182,228          166          141
NC........................         2732  9                              RIVERBEND...................    2,739,141      264,243          222          205
NC........................         2712  1                              ROXBORO.....................    9,164,977      989,311          744          766
NC........................         2712  2                              ROXBORO.....................   18,766,344    2,004,737        1,523        1,553
NC........................         2712  3A                             ROXBORO.....................   10,378,439    1,094,195          842          847
NC........................         2712  3B                             ROXBORO.....................   10,143,786    1,069,456          823          828
NC........................         2712  4A                             ROXBORO.....................    9,067,144      957,460          736          742
NC........................         2712  4B                             ROXBORO.....................    9,124,169      963,481          740          746
NC........................        50509  CW__INC                        TEXASGULF INC...............      674,329       60,750           55           47

[[Page 56369]]

NC........................        50221  ST__lle                        TOBACCOVILLE................    1,159,307      109,369           94           85
NC........................        54276  ST__ill                        UNC--CHAPEL HILL............      180,339       17,013           15           13
NC........................         2716  1                              W H WEATHERSPOON............      708,133       68,090           57           53
NC........................         2716  2                              W H WEATHERSPOON............      839,668       80,737           68           63
NC........................         2716  3                              W H WEATHERSPOON............    1,840,705      177,674          149          138
NJ........................         2378  1                              B L ENGLAND.................    4,173,971      421,613          391          382
NJ........................         2378  2                              B L ENGLAND.................    4,925,509      497,526          461          451
NJ........................         2378  3                              B L ENGLAND.................      897,904       87,175           84           79
NJ........................         2397  1                              BAYONNE.....................       70,640        4,957            7            4
NJ........................         2397  2                              BAYONNE.....................       70,640        4,957            7            4
NJ........................         2399  105                            BURLINGTON..................      828,394       74,630           78           68
NJ........................         2399  7                              BURLINGTON..................      205,362       20,243           19           18
NJ........................        10566  ST__NUG                        CCLP  NUG...................    5,949,938      561,315          557          509
NJ........................        50006  CT__DEN                        COGEN TECH--LINDEN..........    6,506,951      765,524          609          694
NJ........................        50006  CW__DEN                        COGEN TECH--LINDEN..........    4,254,517      500,531          398          454
NJ........................         5083  --GT1                          CUMBERLAND..................      160,902       12,190           15           11
NJ........................         2384  1                              DEEPWATER...................      494,926       46,691           46           42
NJ........................         2384  4                              DEEPWATER...................        4,528          427            0            0
NJ........................         2384  6                              DEEPWATER...................      487,149       45,957           46           42
NJ........................         2384  8                              DEEPWATER...................    2,233,052      216,801          209          196
NJ........................         2400  1-4A                           EDISON......................       70,640        4,957            7            4
NJ........................         2400  1-4B                           EDISON......................       70,640        5,352            7            5
NJ........................         2400  2-1A                           EDISON......................       70,640        5,352            7            5
NJ........................         2400  2-1B                           EDISON......................       70,640        5,352            7            5
NJ........................         2400  2-2A                           EDISON......................       70,640        5,352            7            5
NJ........................         2400  2-2B                           EDISON......................       70,640        5,352            7            5
NJ........................         2400  2-3A                           EDISON......................       70,640        5,352            7            5
NJ........................         2400  2-3B                           EDISON......................       70,640        5,352            7            5
NJ........................         2400  2-4A                           EDISON......................       70,640        5,352            7            5
NJ........................         2400  2-4B                           EDISON......................       70,640        5,352            7            5
NJ........................         2400  3-1A                           EDISON......................       70,640        5,352            7            5
NJ........................         7138  --1                            FORKED RIVER................       65,107        4,569            6            4
NJ........................         7138  --2                            FORKED RIVER................       65,107        4,569            6            4
NJ........................         2393  03                             GILBERT.....................      549,971       51,884           51           47
NJ........................         2393  04                             GILBERT.....................      725,741       71,827           68           65
NJ........................         2393  05                             GILBERT.....................      718,266       71,087           67           64
NJ........................         2393  06                             GILBERT.....................      712,321       70,499           67           64
NJ........................         2393  07                             GILBERT.....................      693,803       68,666           65           62
NJ........................         2393  --4                            GILBERT.....................      624,436       56,256           58           51
NJ........................         2393  --5                            GILBERT.....................      624,436       56,256           58           51
NJ........................         2393  --6                            GILBERT.....................      649,956       58,555           61           53
NJ........................         2393  --7                            GILBERT.....................      624,436       56,256           58           51
NJ........................         2393  CT                             GILBERT.....................      149,451       11,322           14           10
NJ........................         2393  CT                             GILBERT.....................      149,451       11,322           14           10
NJ........................         2403  1                              HUDSON......................    2,064,525      196,921          193          178
NJ........................         2403  2                              HUDSON......................   10,284,116    1,082,994          963          981
NJ........................         n111  ST__NUG                        KCS    NUG..................    5,251,399      495,415          492          449
NJ........................         2404  7                              KEARNY......................      254,120       25,185           24           23
NJ........................         2404  8                              KEARNY......................      137,711       13,734           13           12
NJ........................         2406  11                             LINDEN......................      191,246       18,326           18           17
NJ........................         2406  12                             LINDEN......................      129,348       12,394           12           11
NJ........................         2406  13                             LINDEN......................      241,488       23,140           23           21
NJ........................         2406  2                              LINDEN......................      413,906       40,977           39           37
NJ........................         2408  1                              MERCER......................    4,742,300      501,406          444          454
NJ........................         2408  2                              MERCER......................    5,329,094      588,850          499          534
NJ........................         n114  CT__NUG                        MOBIL    NUG................      472,302       42,550           44           39
NJ........................         7140  CC                             NA 2--7140..................    2,803,715      329,849          262          299
NJ........................         n115  GT__NUG                        PCLP    NUG.................      191,525       14,509           18           13
NJ........................         2390  07                             SAYREVILLE..................      475,112       40,990           44           37
NJ........................         2390  08                             SAYREVILLE..................      566,046       47,257           53           43
NJ........................         2411  1                              SEWAREN.....................      356,963       32,179           33           29
NJ........................         2411  2                              SEWAREN.....................      346,637       29,119           32           26
NJ........................         2411  3                              SEWAREN.....................      663,913       61,857           62           56
NJ........................         2411  4                              SEWAREN.....................      972,633       94,165           91           85
NJ........................         n116  GT__1                          SMECO.......................      138,720       10,509           13           10
NJ........................        54807  GT__NUG                        VINELAND VCLP    NUG........       76,754        5,815            7            5
NJ........................         2385  04                             WERNER......................      165,304       15,595           15           14
NJ........................  ...........  1                              ............................    5,479,965      644,702          513          584
NY........................         2503  114                            59TH STREET.................      753,380       60,415           57           45
NY........................         2503  115                            59TH STREET.................      611,825       49,064           46           37
NY........................         2503  GT1                            59TH STREET.................        9,250          649            1            0
NY........................         2504  120                            74TH STREET.................      649,914       63,344           49           48
NY........................         2504  121                            74TH STREET.................    1,092,255      106,458           82           80
NY........................         2504  122                            74TH STREET.................    1,094,077      106,635           82           80
NY........................         2504  GT1                            74TH STREET.................           50            4            0            0
NY........................         2504  GT2                            74TH STREET.................           50            4            0            0

[[Page 56370]]

NY........................         2539  1                              ALBANY......................      873,788       84,018           66           63
NY........................         2539  2                              ALBANY......................    1,226,877      117,969           92           89
NY........................         2539  3                              ALBANY......................    1,440,506      138,510          109          104
NY........................         2539  4                              ALBANY......................      733,021       70,483           55           53
NY........................         n120  1                              AMERICAN BRASS..............    1,400,238      126,148          105           95
NY........................         n121  1                              ANITEC......................      752,975       52,840           57           40
NY........................         2490  20                             ARTHUR KILL.................    7,458,261      803,952          562          604
NY........................         2490  30                             ARTHUR KILL.................    5,212,390      582,325          393          438
NY........................         2490  GT1                            ARTHUR KILL.................       12,450          874            1            1
NY........................         8906  40                             ASTORIA.....................    8,441,166      887,050          636          667
NY........................         8906  50                             ASTORIA.....................    8,377,051      830,809          631          624
NY........................         8906  GT1                            ASTORIA.....................       29,250        2,053            2            2
NY........................         8906  GT10                           ASTORIA.....................       20,800        1,460            2            1
NY........................         8906  GT11                           ASTORIA.....................       20,800        1,460            2            1
NY........................         8906  GT12                           ASTORIA.....................       20,750        1,456            2            1
NY........................         8906  GT13                           ASTORIA.....................       20,750        1,456            2            1
NY........................         8906  GT2-1                          ASTORIA.....................      138,200        9,698           10            7
NY........................         8906  GT2-2                          ASTORIA.....................      138,200        9,698           10            7
NY........................         8906  GT2-3                          ASTORIA.....................      138,200        9,698           10            7
NY........................         8906  GT2-4                          ASTORIA.....................      138,150        9,695           10            7
NY........................         8906  GT3-1                          ASTORIA.....................      138,150        9,695           10            7
NY........................         8906  GT3-2                          ASTORIA.....................      138,150        9,695           10            7
NY........................         8906  GT3-3                          ASTORIA.....................      138,150        9,695           10            7
NY........................         8906  GT3-4                          ASTORIA.....................      138,150        9,695           10            7
NY........................         8906  GT4-1                          ASTORIA.....................      138,150        9,695           10            7
NY........................         8906  GT4-2                          ASTORIA.....................      138,150        9,695           10            7
NY........................         8906  GT4-3                          ASTORIA.....................      138,150        9,695           10            7
NY........................         8906  GT4-4                          ASTORIA.....................      138,150        9,695           10            7
NY........................         8906  GT5                            ASTORIA.....................       20,850        1,463            2            1
NY........................         8906  GT7                            ASTORIA.....................       20,850        1,463            2            1
NY........................         8906  GT8                            ASTORIA.....................       20,850        1,463            2            1
NY........................         8906  GT9                            ASTORIA.....................       20,850        1,463            2            1
NY........................         2625  1                              BOWLINE POINT...............   11,471,865    1,188,179          864          893
NY........................         2625  2                              BOWLINE POINT...............    5,071,722      502,101          382          377
NY........................        25496  3                              C R HUNTLEY.................    1,720,724      165,454          130          124
NY........................        25496  4                              C R HUNTLEY.................    1,980,448      190,428          149          143
NY........................        25496  5                              C R HUNTLEY.................    2,127,327      204,551          160          154
NY........................        25496  6                              C R HUNTLEY.................    2,109,123      202,800          159          152
NY........................        25496  7                              C R HUNTLEY.................    6,327,954      608,457          477          457
NY........................        25496  8                              C R HUNTLEY.................    6,424,113      617,703          484          464
NY........................        10190  1                              CETI FORT ORANGE............    1,359,587      122,485          102           92
NY........................         2491  001                            CHARLES POLETTI.............   13,671,196    1,393,882        1,030        1,047
NY........................         2480  1                              DANSKAMMER..................      386,587       36,471           29           27
NY........................         2480  2                              DANSKAMMER..................      662,648       62,514           50           47
NY........................         2480  3                              DANSKAMMER..................    3,748,001      360,385          282          271
NY........................         2480  4                              DANSKAMMER..................    5,975,388      574,557          450          432
NY........................         2554  1                              DUNKIRK.....................    3,158,348      303,687          238          228
NY........................         2554  2                              DUNKIRK.....................    2,827,332      271,859          213          204
NY........................         2554  3                              DUNKIRK.....................    4,429,898      425,952          334          320
NY........................         2554  4                              DUNKIRK.....................    5,327,881      512,296          401          385
NY........................         2511  10                             E F BARRETT.................    4,766,731      458,340          359          344
NY........................         2511  20                             E F BARRETT.................    4,804,972      462,017          362          347
NY........................         2493  50                             EAST RIVER..................    2,946,262      277,949          222          209
NY........................         2493  60                             EAST RIVER..................    3,398,132      295,130          256          222
NY........................         2493  70                             EAST RIVER..................    1,571,481      157,970          118          119
NY........................         n130  1                              ENRGY INIT-ONDGA............    1,293,731      116,552           97           88
NY........................         2513  40                             FAR ROCKAWAY................    2,213,857      208,854          167          157
NY........................        10464  1                              FORT DRUM...................    1,333,783      125,829          100           95
NY........................         n132  1                              GAS ALTERNATIVES............    1,160,279      104,530           87           79
NY........................         2514  40                             GLENWOOD....................    2,406,229      227,003          181          171
NY........................         2514  50                             GLENWOOD....................    1,862,067      175,667          140          132
NY........................         2526  13                             GOUDEY......................    2,958,418      304,615          223          229
NY........................  ...........  GT1-1                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT1-2                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT1-3                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT1-4                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT1-5                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT1-6                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT1-7                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT1-8                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT2-1                          GOWANUS.....................       35,875        2,518            3            2
NY........................  ...........  GT2-2                          GOWANUS.....................       35,875        2,518            3            2
NY........................  ...........  GT2-3                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT2-4                          GOWANUS.....................       35,875        2,518            3            2
NY........................  ...........  GT2-5                          GOWANUS.....................       35,875        2,518            3            2
NY........................  ...........  GT2-6                          GOWANUS.....................       35,875        2,518            3            2

[[Page 56371]]

NY........................  ...........  GT2-7                          GOWANUS.....................       35,875        2,518            3            2
NY........................  ...........  GT2-8                          GOWANUS.....................       35,875        2,518            3            2
NY........................  ...........  GT3-1                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT3-2                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT3-3                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT3-4                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT3-5                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT3-6                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT3-7                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT3-8                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT4-1                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT4-2                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT4-3                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT4-4                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT4-5                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT4-6                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT4-7                          GOWANUS.....................       35,825        2,514            3            2
NY........................  ...........  GT4-8                          GOWANUS.....................       35,825        2,514            3            2
NY........................         2527  4                              GREENIDGE...................       97,546        9,379            7            7
NY........................         2527  5                              GREENIDGE...................       91,780        8,825            7            7
NY........................         2527  6                              GREENIDGE...................    2,929,270      305,450          221          230
NY........................         2529  3                              HICKLING....................       41,894       71,336           56           54
NY........................         2529  4                              HICKLING....................      706,180       67,902           53           51
NY........................         2496  100                            HUDSON AVENUE...............    2,443,411      230,511          184          173
NY........................         2496  71                             HUDSON AVENUE...............      375,025       26,318           28           20
NY........................         2496  72                             HUDSON AVENUE...............      375,025       26,318           28           20
NY........................         2496  81                             HUDSON AVENUE...............      375,025       26,318           28           20
NY........................         2496  82                             HUDSON AVENUE...............      375,025       26,318           28           20
NY........................         2496  GT1                            HUDSON AVENUE...............       12,700          891            1            1
NY........................         2496  GT2                            HUDSON AVENUE...............       12,800          898            1            1
NY........................         2496  GT3                            HUDSON AVENUE...............       12,700          891            1            1
NY........................        54076  1                              INDECK--OLEAN...............      885,587       79,783           67           60
NY........................        50450  1                              INDECK--OSWEGO..............    1,122,189      101,098           85           76
NY........................        50451  6                              INDECK/YERKES...............      749,551       67,527           56           51
NY........................        50459  1                              INDECK-ILION................      546,152       49,203           41           37
NY........................        50449  CT__SPR                        INDECK-SILVER SPR...........    1,096,720       98,804           83           74
NY........................        50449  CW__SPR                        INDECK-SILVER SPR...........      200,548       18,067           15           14
NY........................  ...........  GT1                            INDIAN POINT................       21,100        1,481            2            1
NY........................  ...........  GT2                            INDIAN POINT................       21,100        1,481            2            1
NY........................  ...........  GT3                            INDIAN POINT................       27,150        1,905            2            1
NY........................         2531  1                              JENNISON....................      243,674       23,430           18           18
NY........................         2531  2                              JENNISON....................      250,674       24,103           19           18
NY........................         2531  3                              JENNISON....................      346,396       33,307           26           25
NY........................         2531  4                              JENNISON....................      363,717       34,973           27           26
NY........................          n14  3CC__IRK                       JMC-SELKIRK.................    1,224,755      110,338           92           83
NY........................        10620  1                              KAMINE-CARTHAGE.............      928,270       83,628           70           63
NY........................         n145  1                              KAMINE-GOUVNR...............      307,042       27,661           23           21
NY........................        10618  1                              KAMINE-S GLENS FL...........      920,156       82,897           69           62
NY........................         6082  1                              KINTIGH.....................   19,171,661    2,086,598        1,444        1,568
NY........................         n147  1                              L.C.P. CHEMICAL.............      554,080       49,917           42           38
NY........................        54041  CT__PR                         LOCKPORT COGEN PR...........    1,595,458      187,701          120          141
NY........................        54041  CW__PR                         LOCKPORT COGEN PR...........    1,228,525      144,532           93          109
NY........................         2629  3                              LOVETT......................    1,042,213      108,169           79           81
NY........................         2629  4                              LOVETT......................    5,081,891      521,808          383          392
NY........................         2629  5                              LOVETT......................    5,821,325      536,725          439          403
NY........................        54592  1                              MASSENA ENRG FAC............    1,820,093      214,129          137          161
NY........................         2535  1                              MILLIKEN....................    4,379,423      458,290          330          344
NY........................         2535  2                              MILLIKEN....................    4,980,801      526,734          375          396
NY........................         n155  1                              MRA CANTON..................      965,559       86,987           73           65
NY........................  ...........  GT1-1                          NARROWS.....................      104,875        7,360            8            6
NY........................  ...........  GT1-2                          NARROWS.....................      104,875        7,360            8            6
NY........................  ...........  GT1-3                          NARROWS.....................      104,875        7,360            8            6
NY........................  ...........  GT1-4                          NARROWS.....................      104,925        7,363            8            6
NY........................  ...........  GT1-5                          NARROWS.....................      104,925        7,363            8            6
NY........................  ...........  GT1-6                          NARROWS.....................      104,925        7,363            8            6
NY........................  ...........  GT1-7                          NARROWS.....................      104,925        7,363            8            6
NY........................  ...........  GT1-8                          NARROWS.....................      104,925        7,363            8            6
NY........................  ...........  GT2-1                          NARROWS.....................      104,925        7,363            8            6
NY........................  ...........  GT2-2                          NARROWS.....................      104,925        7,363            8            6
NY........................  ...........  GT2-3                          NARROWS.....................      104,925        7,363            8            6
NY........................  ...........  GT2-4                          NARROWS.....................      104,925        7,363            8            6
NY........................  ...........  GT2-5                          NARROWS.....................      104,925        7,363            8            6
NY........................  ...........  GT2-6                          NARROWS.....................      104,925        7,363            8            6
NY........................  ...........  GT2-7                          NARROWS.....................      104,925        7,363            8            6
NY........................  ...........  GT2-8                          NARROWS.....................      104,925        7,363            8            6
NY........................         n156  1                              NESTLES.....................    1,061,226       95,606           80           72

[[Page 56372]]

NY........................         2516  1                              NORTHPORT...................    4,203,823      396,587          317          298
NY........................         2516  2                              NORTHPORT...................    8,438,205      796,057          636          598
NY........................         2516  3                              NORTHPORT...................    4,214,290      397,575          317          299
NY........................         2516  4                              NORTHPORT...................    9,740,685      918,933          734          691
NY........................         2594  3                              OSWEGO......................   14,034,179    1,403,418        1,057        1,055
NY........................         2594  6                              OSWEGO......................    2,119,991      211,999          160          159
NY........................        54131  1                              OXBOW/OCCIDENTAL............      975,327       87,867           73           66
NY........................         2517  3                              PORT JEFFERSON..............    3,801,379      365,517          286          275
NY........................         2517  4                              PORT JEFFERSON..............    3,522,971      338,747          265          255
NY........................         2500  10                             RAVENSWOOD..................    4,996,240      507,696          376          382
NY........................         2500  20                             RAVENSWOOD..................    6,076,960      642,521          458          483
NY........................         2500  30                             RAVENSWOOD..................   18,214,290    1,965,076        1,372        1,477
NY........................         2500  A1                             RAVENSWOOD..................      184,113       12,920           14           10
NY........................         2500  A2                             RAVENSWOOD..................      184,113       12,920           14           10
NY........................         2500  A3                             RAVENSWOOD..................      184,113       12,920           14           10
NY........................         2500  A4                             RAVENSWOOD..................      184,113       12,920           14           10
NY........................         2500  GT1                            RAVENSWOOD..................           50            4            0            0
NY........................         2500  GT10                           RAVENSWOOD..................       24,450        1,716            2            1
NY........................         2500  GT11                           RAVENSWOOD..................       24,450        1,716            2            1
NY........................         2500  GT2-1                          RAVENSWOOD..................       49,450        3,470            4            3
NY........................         2500  GT2-2                          RAVENSWOOD..................       49,450        3,470            4            3
NY........................         2500  GT2-3                          RAVENSWOOD..................       49,450        3,470            4            3
NY........................         2500  GT2-4                          RAVENSWOOD..................       49,450        3,470            4            3
NY........................         2500  GT3-1                          RAVENSWOOD..................       49,425        3,468            4            3
NY........................         2500  GT3-2                          RAVENSWOOD..................       49,425        3,468            4            3
NY........................         2500  GT3-3                          RAVENSWOOD..................       49,425        3,468            4            3
NY........................         2500  GT3-4                          RAVENSWOOD..................       49,425        3,468            4            3
NY........................         2500  GT4                            RAVENSWOOD..................       10,400          730            1            1
NY........................         2500  GT5                            RAVENSWOOD..................       10,400          730            1            1
NY........................         2500  GT6                            RAVENSWOOD..................       12,650          888            1            1
NY........................         2500  GT7                            RAVENSWOOD..................       12,650          888            1            1
NY........................         2500  GT8                            RAVENSWOOD..................       24,500        1,719            2            1
NY........................         2500  GT9                            RAVENSWOOD..................       24,450        1,716            2            1
NY........................         n163  CC__PRO                        RENNSLR COGEN PRO...........      768,893       69,270           58           52
NY........................         7314  NA1                            RICHARD M FLYNN.............    3,984,856      468,807          300          352
NY........................         7314  NA2                            RICHARD M FLYNN.............      416,190       37,495           31           28
NY........................         2640  12                             ROCHESTER 3.................    1,829,750      194,571          138          146
NY........................         2642  1                              ROCHESTER 7.................    1,068,791      102,768           81           77
NY........................         2642  2                              ROCHESTER 7.................    1,565,479      150,166          118          113
NY........................         2642  3                              ROCHESTER 7.................    1,706,369      165,186          129          124
NY........................         2642  4                              ROCHESTER 7.................    2,105,925      224,728          159          169
NY........................         8006  2                              ROSETON.....................    8,971,513      897,151          676          674
NY........................        50651  1                              SALT CITY ENERGY............    2,992,250      282,288          225          212
NY........................        54574  1                              SARANAC ENERGY CO...........    2,702,186      317,904          204          239
NY........................        54574  2                              SARANAC ENERGY CO...........    2,200,892      258,928          166          195
NY........................        10725  2                              SELKIRK.....................    2,527,299      297,329          190          223
NY........................        10725  3                              SELKIRK.....................    2,350,443      276,523          177          208
NY........................        54593  1                              SENECA PWR (OATKA)..........    1,238,728      111,597           93           84
NY........................         n170  1                              SITHE GT 1..................    4,163,470      489,820          314          368
NY........................         n171  2                              SITHE GT 2..................    4,163,470      489,820          314          368
NY........................         n172  1                              SITHE STM 1.................    4,351,465      511,937          328          385
NY........................         n173  2                              SITHE STM 2.................    4,351,465      511,937          328          385
NY........................        50744  1                              STERLING POWR LTD...........      876,658       66,413           66           50
NY........................        50292  1A                             TBG-GRUMMAN.................      638,783       57,548           48           43
NY........................        52056  4                              TRIGEN-NDEC.................    1,038,844       98,004           78           74
NY........................        50202  1                              UDG/NIAGARA.................    1,432,269      135,120          108          102
NY........................         n182  CT__V.)                        US GEN (OLD RIV.)...........    1,572,572      141,673          118          106
NY........................         7146  1                              WADING RIVER................      148,605       11,258           11            8
NY........................         7146  2                              WADING RIVER................      148,605       11,258           11            8
NY........................         7146  3                              WADING RIVER................      148,605       11,258           11            8
NY........................         2502  51                             WATERSIDE...................       47,565        4,487            4            3
NY........................         2502  52                             WATERSIDE...................       48,589        4,584            4            3
NY........................         2502  61                             WATERSIDE...................    1,173,263      110,685           88           83
NY........................         2502  62                             WATERSIDE...................    1,248,953      117,826           94           89
NY........................         2502  80                             WATERSIDE...................    3,482,508      328,538          262          247
NY........................         2502  90                             WATERSIDE...................    3,482,508      328,538          262          247
NY........................         2502  GT1                            WATERSIDE...................            0            0            0            0
NY........................        50405  CT__SSE                        YORK WARBASSE...............      213,063       19,195           16           14
NY........................        50405  CW__SSE                        YORK-WARBASSE...............       37,622        3,389            3            3
OH........................         2835  10                             ASHTABULA...................    1,098,131       85,718           79           59
OH........................         2835  11                             ASHTABULA...................    1,176,319       91,821           85           64
OH........................         2835  7                              ASHTABULA...................    4,550,476      470,236          329          325
OH........................         2835  8                              ASHTABULA...................    1,018,961       79,538           74           55
OH........................         2835  9                              ASHTABULA...................      960,698       74,990           70           52
OH........................         2836  10                             AVON LAKE...................    2,038,597      177,563          148          123
OH........................         2836  12                             AVON LAKE...................   15,236,399    1,676,540        1,103        1,160

[[Page 56373]]

OH........................         2836  9                              AVON LAKE...................      594,325       50,508           43           35
OH........................         2878  1                              BAY SHORE...................    3,043,524      328,887          220          228
OH........................         2878  2                              BAY SHORE...................    3,293,657      348,240          238          241
OH........................         2878  3                              BAY SHORE...................    3,102,716      335,465          225          232
OH........................         2878  4                              BAY SHORE...................    4,399,348      483,339          318          334
OH........................         2828  1                              CARDINAL....................   14,226,732    1,607,540        1,030        1,112
OH........................         2828  2                              CARDINAL....................   15,856,794    1,785,072        1,147        1,235
OH........................         2828  3                              CARDINAL....................   15,180,469    1,564,191        1,099        1,082
OH........................         2840  1                              CONESVILLE..................    2,771,211      263,473          201          182
OH........................         2840  2                              CONESVILLE..................    2,969,788      290,671          215          201
OH........................         2840  3                              CONESVILLE..................    2,549,626      247,081          185          171
OH........................         2840  4                              CONESVILLE..................   14,758,742    1,565,250        1,068        1,083
OH........................         2840  5                              CONESVILLE..................    8,165,942      810,676          591          561
OH........................         2840  6                              CONESVILLE..................   10,207,769      987,307          739          683
OH........................               1                              DICKS CREEK.................      103,267        7,247            7            5
OH........................         2837  1                              EASTLAKE....................    2,765,418      276,791          200          191
OH........................         2837  2                              EASTLAKE....................    3,040,161      314,651          220          218
OH........................         2837  3                              EASTLAKE....................    3,168,531      333,109          229          230
OH........................         2837  4                              EASTLAKE....................    5,169,221      547,355          374          379
OH........................         2837  5                              EASTLAKE....................   12,045,077    1,346,119          872          931
OH........................         2857  13                             EDGEWATER...................      489,049       46,589           35           32
OH........................         2847  GT3                            FRANK M TAIT................      161,909       12,266           12            8
OH........................         8102  1                              GEN J M GAVIN...............   40,188,042    4,171,047        2,908        2,885
OH........................         8102  2                              GEN J M GAVIN...............   41,834,670    4,421,802        3,027        3,059
OH........................         2917  9                              HAMILTON....................    1,207,309       97,797           87           68
OH........................         2850  1                              J M STUART..................   14,907,495    1,589,116        1,079        1,099
OH........................         2850  2                              J M STUART..................   17,977,541    1,962,185        1,301        1,357
OH........................         2850  3                              J M STUART..................   15,142,093    1,616,018        1,096        1,118
OH........................         2850  4                              J M STUART..................   15,822,987    1,703,411        1,145        1,178
OH........................         6031  2                              KILLEN STATION..............   23,914,733    2,561,287        1,731        1,772
OH........................         2876  1                              KYGER CREEK.................    6,892,031      755,374          499          523
OH........................         2876  2                              KYGER CREEK.................    6,891,443      745,101          499          515
OH........................         2876  3                              KYGER CREEK.................    7,001,472      750,104          507          519
OH........................         2876  4                              KYGER CREEK.................    6,391,704      681,782          463          472
OH........................         2876  5                              KYGER CREEK.................    6,661,287      717,811          482          497
OH........................         2838  18                             LAKE SHORE..................    2,044,475      216,989          148          150
OH........................        10244  1                              MEAD-FINE PAPER DIVISION....    3,264,035      247,275          236          171
OH........................         2832  5-1                            MIAMI FORT..................      238,988       22,980           17           16
OH........................         2832  5-2                            MIAMI FORT..................      238,988       22,980           17           16
OH........................         2832  6                              MIAMI FORT..................    4,348,442      461,863          315          320
OH........................         2832  7                              MIAMI FORT..................   15,289,678    1,545,349        1,106        1,069
OH........................         2832  8                              MIAMI FORT..................   14,621,880    1,508,810        1,058        1,044
OH........................         2832  CT2                            MIAMI FORT..................       19,021        1,441            1            1
OH........................         2872  1                              MUSKINGUM RIVER.............    3,945,004      417,549          285          289
OH........................         2872  2                              MUSKINGUM RIVER.............    4,618,739      491,198          334          340
OH........................         2872  3                              MUSKINGUM RIVER.............    4,491,616      466,225          325          323
OH........................         2872  4                              MUSKINGUM RIVER.............    4,911,646      537,379          355          372
OH........................         2872  5                              MUSKINGUM RIVER.............   16,181,850    1,783,517        1,171        1,234
OH........................         2861  1                              NILES.......................    3,039,955      293,772          220          203
OH........................         2861  2                              NILES.......................    1,890,626      184,631          137          128
OH........................         2848  H-1                            O H HUTCHINGS...............      274,817       22,229           20           15
OH........................         2848  H-2                            O H HUTCHINGS...............      349,295       28,472           25           20
OH........................         2848  H-3                            O H HUTCHINGS...............      794,644       77,731           58           54
OH........................         2848  H-4                            O H HUTCHINGS...............      782,165       76,160           57           53
OH........................         2848  H-5                            O H HUTCHINGS...............      810,661       80,735           59           56
OH........................         2848  H-6                            O H HUTCHINGS...............      833,389       80,653           60           56
OH........................         2935  13                             ORRVILLE....................      864,346       62,103           63           43
OH........................         2843  9                              PICWAY......................    2,044,023      184,495          148          128
OH........................         2864  1                              R E BURGER..................      167,575       16,113           12           11
OH........................         2864  2                              R E BURGER..................      142,969       13,747           10           10
OH........................         2864  3                              R E BURGER..................      122,673       11,795            9            8
OH........................         2864  4                              R E BURGER..................       50,113        4,819            4            3
OH........................         2864  5                              R E BURGER..................      202,074       19,430           15           13
OH........................         2864  6                              R E BURGER..................      193,661       18,621           14           13
OH........................         2864  7                              R E BURGER..................    4,456,156      418,890          322          290
OH........................         2864  8                              R E BURGER..................    4,017,193      381,102          291          264
OH........................         7286  1                              RICHARD GORSUCH.............    2,135,351      192,652          155          133
OH........................         7286  2                              RICHARD GORSUCH.............    1,854,152      178,284          134          123
OH........................         7286  3                              RICHARD GORSUCH.............    2,050,742      185,235          148          128
OH........................         7286  4                              RICHARD GORSUCH.............    2,045,416      196,675          148          136
OH........................         2866  1                              W H SAMMIS..................    5,405,594      563,611          391          390
OH........................         2866  2                              W H SAMMIS..................    5,662,986      567,206          410          392
OH........................         2866  3                              W H SAMMIS..................    5,855,268      619,343          424          428
OH........................         2866  4                              W H SAMMIS..................    5,314,213      537,386          385          372
OH........................         2866  5                              W H SAMMIS..................    9,236,018      962,286          668          666
OH........................         2866  6                              W H SAMMIS..................   17,880,061    1,901,325        1,294        1,315

[[Page 56374]]

OH........................         2866  7                              W H SAMMIS..................   16,613,419    1,749,333        1,202        1,210
OH........................         6019  1                              W H ZIMMER..................   42,732,125    4,487,726        3,092        3,105
OH........................         2830  1                              WALTER C BECKJORD...........    1,981,394      193,118          143          134
OH........................         2830  2                              WALTER C BECKJORD...........    2,504,459      255,401          181          177
OH........................         2830  4                              WALTER C BECKJORD...........    4,487,860      483,085          325          334
OH........................         2830  5                              WALTER C BECKJORD...........    6,320,856      656,099          457          454
OH........................         2830  6                              WALTER C BECKJORD...........   12,195,684    1,259,885          883          872
OH........................         2830  CT1                            WALTER C BECKJORD...........       48,631        3,413            4            2
OH........................         2830  CT2                            WALTER C BECKJORD...........       48,892        3,431            4            2
OH........................         2830  CT3                            WALTER C BECKJORD...........       52,763        3,703            4            3
OH........................         2830  CT4                            WALTER C BECKJORD...........       34,330        2,409            2            2
OH........................         7158  --GT1                          WOODSDALE...................      356,991       28,457           26           20
OH........................         7158  --GT2                          WOODSDALE...................      350,509       27,940           25           19
OH........................         7158  --GT3                          WOODSDALE...................      388,436       30,963           28           21
OH........................         7158  --GT4                          WOODSDALE...................      367,016       29,256           27           20
OH........................         7158  --GT5                          WOODSDALE...................      404,361       32,233           29           22
OH........................         7158  --GT6                          WOODSDALE...................      395,892       31,558           29           22
PA........................        10676  ST__ley                        AES BEAVER VALLEY...........    3,421,790      322,810          274          253
PA........................        50279  1                              ARCHBALD POWER..............    1,408,480       98,841          113           78
PA........................         3178  1                              ARMSTRONG...................    4,811,406      473,937          386          372
PA........................         3178  2                              ARMSTRONG...................    5,037,239      536,276          404          421
PA........................         6094  1                              BRUCE MANSFIELD.............   21,390,698    2,166,585        1,716        1,700
PA........................         6094  2                              BRUCE MANSFIELD.............   21,064,812    2,148,813        1,690        1,686
PA........................         6094  3                              BRUCE MANSFIELD.............   21,549,874    2,305,292        1,728        1,808
PA........................         3140  1                              BRUNNER ISLAND..............    7,419,682      794,994          595          624
PA........................         3140  2                              BRUNNER ISLAND..............    9,670,357    1,068,784          776          838
PA........................         3140  3                              BRUNNER ISLAND..............   20,738,335    2,283,455        1,663        1,791
PA........................        10641  1                              CAMBRIA COGEN...............    1,841,698      173,745          148          136
PA........................        10641  2                              CAMBRIA COGEN...............    1,883,698      177,707          151          139
PA........................         8226  1                              CHESWICK....................   15,086,514    1,533,962        1,210        1,203
PA........................         3118  1                              CONEMAUGH...................   29,200,485    3,177,419        2,342        2,492
PA........................         3118  2                              CONEMAUGH...................   24,102,490    2,622,687        1,933        2,057
PA........................        10870  CW__NUG                        CONTINENTAL COGEN    NUG....      882,161      103,784           71           81
PA........................         3159  1                              CROMBY......................    4,546,839      439,223          365          345
PA........................         3159  2                              CROMBY......................    2,065,179      209,302          166          164
PA........................         3160  71                             DELAWARE....................      711,493       70,313           57           55
PA........................         3160  81                             DELAWARE....................      753,207       64,598           60           51
PA........................        10603  1                              EBENSBURG POWER.............    2,195,697      211,125          176          166
PA........................         3161  1                              EDDYSTONE...................    7,618,327      758,798          611          595
PA........................         3161  2                              EDDYSTONE...................    8,533,347      859,783          684          674
PA........................         3161  3                              EDDYSTONE...................    1,611,083      148,173          129          116
PA........................         3161  4                              EDDYSTONE...................    2,093,154      189,804          168          149
PA........................         3098  1                              ELRAMA......................    2,821,678      233,776          226          183
PA........................         3098  2                              ELRAMA......................    2,355,589      191,247          189          150
PA........................         3098  3                              ELRAMA......................    2,802,309      257,992          225          202
PA........................         3098  4                              ELRAMA......................    5,460,730      520,764          438          408
PA........................        10343  AB__NUG                        FOSTER WHEELER MT. CARMEL...      984,307       92,859           79           73
PA........................        01011  AB__NUG                        GILBERTON POWER    NUG......    2,938,728      277,238          236          217
PA........................         3110  1--3                           GPT GENCO HUNTERSTOWN.......            0            0            0            0
PA........................         3199  1--2                           GPU GENCO BENTON............            0            0            0            0
PA........................         3109  1                              GPU GENCO HAMILTON..........            0            0            0            0
PA........................         3111  1--2                           GPU GENCO MOUNTAIN..........            0            0            0            0
PA........................         3112  1                              GPU GENCO ORTANNA...........            0            0            0            0
PA........................         3114  1                              GPU GENCO SHAWNEE...........            0            0            0            0
PA........................         3120  1                              GPU GENCO TIOGA.............            0            0            0            0
PA........................         3116  1--2                           GPU GENCO TOLNA.............            0            0            0            0
PA........................         3134  1                              GPU GENCO WAYNE.............            0            0            0            0
PA........................        54785  1--3                           GRAYS FERRY PROJECT.........            0            0            0            0
PA........................         3179  1                              HATFIELD'S FERRY............   15,310,890    1,600,888        1,228        1,256
PA........................         3179  2                              HATFIELD'S FERRY............   19,368,646    2,104,144        1,553        1,651
PA........................         3179  3                              HATFIELD'S FERRY............   14,202,486    1,547,617        1,139        1,214
PA........................         3145  17                             HOLTWOOD....................    3,106,258      246,665          249          193
PA........................         3122  1                              HOMER CITY..................   19,827,390    2,093,927        1,590        1,643
PA........................         3122  2                              HOMER CITY..................   20,699,247    2,187,156        1,660        1,716
PA........................         3122  3                              HOMER CITY..................   18,602,194    1,901,482        1,492        1,492
PA........................         3176  6                              HUNLOCK PWR STATION.........    1,764,784      133,980          142          105
PA........................         3136  1                              KEYSTONE....................   28,703,322    3,021,402        2,302        2,370
PA........................         3136  2                              KEYSTONE....................   28,430,610    2,992,696        2,280        2,348
PA........................         3157  10                             KIMBERLY-CLARK..............            0            0            0            0
PA........................         3148  1                              MARTINS CREEK...............    4,229,014      384,211          339          301
PA........................         3148  2                              MARTINS CREEK...............    3,949,723      360,804          317          283
PA........................         3148  3                              MARTINS CREEK...............    3,869,537      408,740          310          321
PA........................         3148  4                              MARTINS CREEK...............    4,010,953      425,475          322          334
PA........................        52149  1                              MERCK SHARP & DOHME.........            0            0            0            0
PA........................         3181  1                              MITCHELL....................       75,203        7,095            6            6
PA........................         3181  3                              MITCHELL....................       45,707        4,312            4            3

[[Page 56375]]

PA........................         3181  33                             MITCHELL....................    5,833,720      592,436          468          465
PA........................         3149  1                              MONTOUR.....................   18,421,287    2,017,666        1,477        1,583
PA........................         3149  2                              MONTOUR.....................   21,572,636    2,426,345        1,730        1,903
PA........................         3138  3                              NEW CASTLE..................    2,045,707      197,177          164          155
PA........................         3138  4                              NEW CASTLE..................    2,265,637      211,485          182          166
PA........................         3138  5                              NEW CASTLE..................    3,307,970      318,105          265          250
PA........................        54571  CC__AB)                        NORCON(FALC SEAB)...........    1,087,345       97,959           87           77
PA........................        50888  1                              NORTHAMPTION GENERATING.....    2,906,127      274,163          233          215
PA........................        50039  .............................  NORTHEASTERN POWER..........    2,530,021      238,681          203          187
PA........................        50776  1                              PANTHER CREEK...............    1,158,239      109,268           93           86
PA........................        50776  2                              PANTHER CREEK...............    1,163,341      109,749           93           86
PA........................       880008  1--2                           PECO ENERGY.................            0            0            0            0
PA........................         8012  11                             PECO ENERGY CROYDEN.........            0            0            0            0
PA........................         8012  12                             PECO ENERGY CROYDEN.........            0            0            0            0
PA........................         8012  21                             PECO ENERGY CROYDEN.........            0            0            0            0
PA........................         8012  22                             PECO ENERGY CROYDEN.........            0            0            0            0
PA........................         8012  31                             PECO ENERGY CROYDEN.........            0            0            0            0
PA........................         8012  32                             PECO ENERGY CROYDEN.........            0            0            0            0
PA........................         8012  41                             PECO ENERGY CROYDEN.........            0            0            0            0
PA........................         8012  42                             PECO ENERGY CROYDEN.........            0            0            0            0
PA........................        50731  3                              PECO ENERGY FAIRLESS HILLS..            0            0            0            0
PA........................         3168  91                             PECO ENERGY RICHMOND........            0            0            0            0
PA........................         3168  92                             PECO ENERGY RICHMOND........            0            0            0            0
PA........................         3170  3--6                           PECO ENERGY SOUTHWARK.......            0            0            0            0
PA........................         n218  CC__PER                        PENNTECH PAPER..............      617,031       55,588           49           44
PA........................        54144  1                              PINEY CREEK.................            0            0            0            0
PA........................         3113  1                              PORTLAND....................    3,585,481      337,870          288          265
PA........................         3113  2                              PORTLAND....................    4,573,152      441,254          367          346
PA........................         3113  4                              PORTLAND....................    1,570,979      184,821          126          145
PA........................         3113  --5                            PORTLAND....................      150,505       11,402           12            9
PA........................         3139  1--4                           PP&L ALLENTOWN..............            0            0            0            0
PA........................         3142  1--2                           PP&L FISHBACK...............            0            0            0            0
PA........................         3143  1--4                           PP&L HARRISBURG.............            0            0            0            0
PA........................         3144  1--2                           PP&L HARWOOD................            0            0            0            0
PA........................         3146  1--2                           PP&L JENKINS................            0            0            0            0
PA........................         3154  1--2                           PP&L WEST SHORE.............            0            0            0            0
PA........................         3155  1--2                           PP&L WILLIAMSPORT...........            0            0            0            0
PA........................         3169  1                              SCHUYLKILL..................    1,025,090       97,721           82           77
PA........................       880010  1                              SCHUYLKILL ENERGY RESOURCES.    3,891,284      367,102          312          288
PA........................        50607  AB__NUG                        SCHUYLKILL STATION (TURBI...    9,441,744      890,731          757          699
PA........................        50974  1                              SCRUBGRASS GENERATING PLANT.    2,730,403      257,585          219          202
PA........................        50974  2                              SCRUBGRASS GENERATING PLANT.    1,630,792      156,807          131          123
PA........................         3130  12                             SEWARD......................      859,296       82,625           69           65
PA........................         3130  14                             SEWARD......................      976,355       93,880           78           74
PA........................         3130  15                             SEWARD......................    4,658,271      467,416          374          367
PA........................         3131  1                              SHAWVILLE...................    3,979,027      379,896          319          298
PA........................         3131  2                              SHAWVILLE...................    3,819,973      364,432          306          286
PA........................         3131  3                              SHAWVILLE...................    4,979,445      499,042          399          391
PA........................         3131  4                              SHAWVILLE...................    5,056,822      506,797          406          398
PA........................       880013  1--6                           SOLAR TURBINES..............            0            0            0            0
PA........................         3152  3                              SUNBURY.....................    3,548,941      303,692          285          238
PA........................         3152  4                              SUNBURY.....................    3,884,437      372,394          312          292
PA........................         3115  1                              TITUS.......................    1,942,834      189,176          156          148
PA........................         3115  2                              TITUS.......................    2,007,778      193,018          161          151
PA........................         3115  3                              TITUS.......................    1,918,450      182,866          154          143
PA........................      88000 6  1--4                           TRIGEN ENERGY SANSOM........            0            0            0            0
PA........................  ...........  1                              VIKING ENERGY NORTHUMBERLAND            0            0            0            0
PA........................         3132  1                              WARREN......................      576,001       55,385           46           43
PA........................         3132  2                              WARREN......................      385,366       37,054           31           29
PA........................         3132  3                              WARREN......................      543,134       44,208           44           35
PA........................         3132  4                              WARREN......................      564,080       54,238           45           43
PA........................        50867  1--2                           WASHINGTON POWER COMPANY....            0            0            0            0
PA........................        50611  AB__NUG                        WESTWOOD ENERGY PROPERTIE...   12,527,355      879,113        1,005          690
PA........................        50879  AB__NUG                        WHEELABRATOR FRACKVILLE E...    2,058,812      144,478          165          113
RI........................  ...........  1                              JEPSON......................        1,282           90            0            0
RI........................  ...........  2                              JEPSON......................        1,249           88            0            0
RI........................  ...........  3                              JEPSON......................        1,042           73            0            0
RI........................  ...........  4                              JEPSON......................        1,281           90            0            0
RI........................         3236  10                             MANCHESTER STREET...........    4,223,753      398,467          136          120
RI........................         3236  11                             MANCHESTER STREET...........    4,020,769      379,318          130          114
RI........................         3236  9                              MANCHESTER STREET...........    3,739,441      352,777          121          106
RI........................        51030  CC__(*)                        OCEAN STATE 1 (*)...........    9,189,307    1,081,095          297          326
RI........................        54324  CC__(*)                        OCEAN STATE 2 (*)...........    9,189,307    1,081,095          297          326
RI........................        54056  CC__(*)                        PAWTUCKET POWER (*).........    2,433,886      219,269           79           66
TN........................         3393  1                              ALLEN.......................    6,894,770      713,301          578          584
TN........................         3393  2                              ALLEN.......................    7,326,410      757,957          614          621

[[Page 56376]]

TN........................         3393  3                              ALLEN.......................    7,556,678      781,779          633          641
TN........................         3396  1                              BULL RUN....................   21,275,985    2,389,755        1,783        1,958
TN........................         3399  1                              CUMBERLAND..................   51,385,046    5,284,353        4,307        4,330
TN........................         3399  2                              CUMBERLAND..................   55,332,549    5,690,307        4,637        4,662
TN........................         3403  1                              GALLATIN....................    6,970,897      734,707          584          602
TN........................         3403  2                              GALLATIN....................    6,860,771      723,100          575          592
TN........................         3403  3                              GALLATIN....................    6,984,817      728,192          585          597
TN........................         3403  4                              GALLATIN....................    7,834,299      816,753          657          669
TN........................         3405  1                              JOHN SEVIER.................    5,853,636      615,266          491          504
TN........................         3405  2                              JOHN SEVIER.................    5,858,042      615,729          491          504
TN........................         3405  3                              JOHN SEVIER.................    6,184,144      650,005          518          533
TN........................         3405  4                              JOHN SEVIER.................    6,114,293      642,663          512          527
TN........................         3406  1                              JOHNSONVILLE................    3,724,159      323,840          312          265
TN........................         3406  10                             JOHNSONVILLE................    3,681,387      351,412          309          288
TN........................         3406  2                              JOHNSONVILLE................    3,749,100      326,009          314          267
TN........................         3406  3                              JOHNSONVILLE................    3,666,648      318,839          307          261
TN........................         3406  4                              JOHNSONVILLE................    3,679,462      319,953          308          262
TN........................         3406  5                              JOHNSONVILLE................    3,640,648      322,753          305          264
TN........................         3406  6                              JOHNSONVILLE................    3,719,286      329,724          312          270
TN........................         3406  7                              JOHNSONVILLE................    4,680,922      446,823          392          366
TN........................         3406  8                              JOHNSONVILLE................    4,133,749      394,592          346          323
TN........................         3406  9                              JOHNSONVILLE................    4,006,336      382,430          336          313
TN........................         3407  1                              KINGSTON....................    4,432,856      448,715          372          368
TN........................         3407  2                              KINGSTON....................    4,515,371      457,068          378          374
TN........................         3407  3                              KINGSTON....................    4,047,180      409,675          339          336
TN........................         3407  4                              KINGSTON....................    4,494,642      454,969          377          373
TN........................         3407  5                              KINGSTON....................    6,137,914      632,449          514          518
TN........................         3407  6                              KINGSTON....................    5,842,656      602,025          490          493
TN........................         3407  7                              KINGSTON....................    5,678,568      585,118          476          479
TN........................         3407  8                              KINGSTON....................    5,801,972      597,833          486          490
TN........................         3407  9                              KINGSTON....................    5,689,108      586,204          477          480
VA........................         3796  3                              BREMO BLUFF.................    1,756,163      158,241          163          143
VA........................         3796  4                              BREMO BLUFF.................    4,959,806      506,568          459          457
VA........................         3803  1                              CHESAPEAK...................    3,461,324      334,137          320          302
VA........................         3803  2                              CHESAPEAK...................    3,444,719      343,407          319          310
VA........................         3803  3                              CHESAPEAK...................    4,744,776      499,555          439          451
VA........................         3803  4                              CHESAPEAK...................    7,270,201      775,488          673          700
VA........................        10017  ST--rp.                        CHESAPEAK CORP..............      751,025       70,851           70           64
VA........................         3797  3                              CHESTERFIELD................    2,394,580      216,000          222          195
VA........................         3797  4                              CHESTERFIELD................    4,636,999      497,799          429          449
VA........................         3797  5                              CHESTERFIELD................    9,875,438    1,104,759          914          997
VA........................         3797  6                              CHESTERFIELD................   17,283,476    1,781,985        1,600        1,608
VA........................         3797  --8                            CHESTERFIELD................    1,701,065      153,249          157          138
VA........................         3775  1                              CLINCH RIVER................    6,480,271      723,406          600          653
VA........................         3775  2                              CLINCH RIVER................    6,272,239      678,300          581          612
VA........................         3775  3                              CLINCH RIVER................    7,143,953      798,564          661          721
VA........................         7213  1                              CLOVER......................    9,235,814      888,059          855          801
VA........................        10377  ST__ell                        COGENTRIX--HOPEWELL.........    2,275,948      214,712          211          194
VA........................        10071  ST__uth                        COGENTRIX--PORTSMOUTH.......    2,617,290      246,914          242          223
VA........................        54081  ST__d 1                        COGENTRIX RICHMOND 1........    2,628,680      247,989          243          224
VA........................        54081  ST__d 2                        COGENTRIX RICHMOND 2........    2,127,966      200,752          197          181
VA........................        52087  GT__LP                         COMMONWEALTH ATLANTIC LP....      450,631       34,139           42           31
VA........................         7212  --1                            DARBYTOWN...................      115,229        8,729           11            8
VA........................         7212  --2                            DARBYTOWN...................      115,229        8,729           11            8
VA........................         7212  --3                            DARBYTOWN...................      115,229        8,729           11            8
VA........................         7212  --4                            DARBYTOWN...................      115,229        8,729           11            8
VA........................        52019  CA__#1                         DOSEWELL #1.................      594,931       69,992           55           63
VA........................        52019  CT__#1                         DOSEWELL #1.................    1,207,760      142,089          112          128
VA........................        52019  CA__#2                         DOSEWELL #2.................      594,931       69,992           55           63
VA........................        52019  CT__#2                         DOSEWELL #2.................    1,207,760      142,089          112          128
VA........................         3776  51                             GLEN LYN....................    1,298,222      124,829          120          113
VA........................         3776  52                             GLEN LYN....................    1,188,728      114,301          110          103
VA........................         3776  6                              GLEN LYN....................    5,646,574      626,075          523          565
VA........................        54844  CA__e 1                        GORDONSVILLE 1..............      211,614       24,896           20           22
VA........................        54844  CT__e 1                        GORDONSVILLE 1..............      429,231       50,498           40           46
VA........................        54844  CA__e 2                        GORDONSVILLE 2..............      214,004       25,177           20           23
VA........................        54844  CT__e 2                        GORDONSVILLE 2..............      434,011       51,060           40           46
VA........................         7032  --3                            GRAVEL NECK.................      116,841        8,852           11            8
VA........................         7032  4                              GRAVEL NECK.................      116,841        8,852           11            8
VA........................         7032  5                              GRAVEL NECK.................      116,841        8,852           11            8
VA........................         7032  6                              GRAVEL NECK1................      116,841        8,852           11            8
VA........................        10633  CT__nc.                        HOPEWELL COGEN, INC.........    1,310,927      154,227          121          139
VA........................        10633  CW__nc.                        HOPEWELL COGEN, INC.........      675,419       79,461           63           72
VA........................        10773  ST__sta                        LG&E-WESTMLD ALTAVISTA......    1,427,003      134,623          132          121
VA........................        10771  ST__ell                        LG&E-WESTMLD HOPEWELL.......    1,427,003      134,623          132          121
VA........................        10774  ST__ton                        LG&E-WESTMLD SOUTHAMPTON....    1,427,003      134,623          132          121

[[Page 56377]]

VA........................        52007  STurg                          MECKLENBURG.................    3,004,193      283,414          278          256
VA........................         3804  3                              POSSUM POINT................    2,489,785      231,242          231          209
VA........................         3804  4                              POSSUM POINT................    6,778,888      735,716          628          664
VA........................         3788  1                              POTOMAC RIVER...............    1,780,998      149,450          165          135
VA........................         3788  2                              POTOMAC RIVER...............    1,608,529      136,247          149          123
VA........................         3788  3                              POTOMAC RIVER...............    2,711,245      278,619          251          251
VA........................         3788  4                              POTOMAC RIVER...............   10,902,795    1,135,590        1,009        1,025
VA........................         3788  5                              POTOMAC RIVER...............   10,567,982    1,095,468          978          989
VA........................        50813  ST__ner                        STONE CONTAINER.............      873,930       82,446           81           74
VA........................         3809  1                              YORKTOWN....................    7,206,933      734,577          667          663
VA........................         3809  2                              YORKTOWN....................    7,241,953      702,966          670          634
VA........................         3809  3                              YORKTOWN....................    3,676,409      370,905          340          335
VA........................  ...........  1                              ............................    4,214,872      397,629          390          359
WV........................         3942  1                              ALBRIGHT....................      705,441       58,973           46           36
WV........................         3942  2                              ALBRIGHT....................      703,469       59,090           46           36
WV........................         3942  3                              ALBRIGHT....................    3,366,883      325,240          221          200
WV........................         3943  1                              FORT MARTIN.................   13,735,054    1,559,384          901          960
WV........................         3943  2                              FORT MARTIN.................   13,544,284    1,466,466          889          903
WV........................        10151  ST__own                        GRANT TOWN..................    2,430,507      229,293          159          141
WV........................         3944  1                              HARRISON....................   21,606,702    2,294,436        1,418        1,413
WV........................         3944  2                              HARRISON....................   21,825,171    2,294,971        1,432        1,413
WV........................         3944  3                              HARRISON....................   22,529,228    2,377,002        1,478        1,463
WV........................         3935  1                              JOHN E AMOS.................   18,733,385    2,087,285        1,229        1,285
WV........................         3935  2                              JOHN E AMOS.................   18,693,941    2,089,409        1,227        1,286
WV........................         3935  3                              JOHN E AMOS.................   24,715,234    2,677,997        1,622        1,649
WV........................         3947  1                              KAMMER......................    5,775,301      632,702          379          390
WV........................         3947  2                              KAMMER......................    6,520,529      709,833          428          437
WV........................         3947  3                              KAMMER......................    6,977,907      759,376          458          468
WV........................         3936  1                              KANAWHA RIVER...............    4,385,010      479,131          288          295
WV........................         3936  2                              KANAWHA RIVER...............    3,915,227      419,414          257          258
WV........................         3948  1                              MITCHELL....................   20,089,496    2,155,757        1,318        1,327
WV........................         3948  2                              MITCHELL....................   17,971,393    1,950,233        1,179        1,201
WV........................         6264  1                              MOUNTAINEER (1301)..........   29,445,137    3,169,552        1,932        1,951
WV........................         3954  1                              MT STORM....................   19,946,826    2,157,580        1,309        1,328
WV........................         3954  2                              MT STORM....................   17,300,820    1,859,503        1,135        1,145
WV........................         3954  3                              MT STORM....................   17,911,570    1,827,152        1,175        1,125
WV........................         7537  1A                             NORTH BRANCH................    1,606,967      112,770          105           69
WV........................         7357  1B                             NORTH BRANCH................    1,653,848      116,060          109           71
WV........................         3938  11                             PHIL SPORN..................    3,332,224      356,045          219          219
WV........................         3938  21                             PHIL SPORN..................    3,312,719      350,849          217          216
WV........................         3938  31                             PHIL SPORN..................    3,501,732      367,597          230          226
WV........................         3938  41                             PHIL SPORN..................    3,491,270      370,741          229          228
WV........................         3938  51                             PHIL SPORN..................   10,028,012    1,123,713          658          692
WV........................         6004  1                              PLEASANTS...................   20,225,588    2,064,889        1,327        1,271
WV........................         6004  2                              PLEASANTS...................   17,354,353    1,780,299        1,139        1,096
WV........................         3945  7                              RIVESVILLE..................      288,741       27,764           19           17
WV........................         3945  8                              RIVESVILLE..................      741,331       63,743           49           39
WV........................         3946  1                              WILLOW ISLAND...............      905,250       82,161           59           51
WV........................         3946  2                              WILLOW ISLAND...............    3,490,911      340,245          229          209
--------------------------------------------------------------------------------------------------------------------------------------------------------


              Table A.2.--Allocations to Non-EGUs by mmBtu
------------------------------------------------------------------------
                                                                 Unit
     State             Plant         Point ID    Unit 1995,  allocations
                                                 Summer HI      by HI
------------------------------------------------------------------------
AL.............  MEAD COATED               004    1,118,921          138
                  BOARD INC.
AL.............  GULF STATES               003      154,732           19
                  PAPER
                  CORPORATION.
AL.............  TRANSCONTINENTAL          018       48,682            6
                  GAS PIPELINE
                  CORPORATION.
AL.............  INTERNATIONAL             011    1,143,170          141
                  PAPER SIEBERT
                  STATION.
AL.............  MOBILE ENERGY             001      326,785           40
                  SERVICES
                  COMPANY.
AL.............  COURTAULDS                011       60,045            7
                  FIBERS INC.
AL.............  COURTAULDS                013      382,789           47
                  FIBERS INC.
AL.............  AMOCO CHEMICALS.          024      396,068           49
AL.............  AMOCO CHEMICALS.          026      106,811           13
AL.............  SOLUTIA, INC.--           013      795,511           98
                  DECATUR PLANT.
AL.............  SOLUTIA, INC.--           014      786,934           97
                  DECATUR PLANT.
AL.............  SOLUTIA, INC.--           015      747,265           92
                  DECATUR PLANT.
AL.............  GENERAL ELECTRIC          005      186,487           23
                  CO.
AL.............  CERESTAR USA              020      683,593           84
                  DECATUR INC.
AL.............  GULF STATES               006      764,955           94
                  PAPER
                  CORPORATION.
AL.............  U. S. ALLIANCE            007      649,512           80
                  COOSA PINES
                  CORPORATION.
AL.............  U. S. ALLIANCE            008      649,512           80
                  COOSA PINES
                  CORPORATION.
AL.............  U. S. ALLIANCE            009      649,512           80
                  COOSA PINES
                  CORPORATION.
AL.............  U. S. ALLIANCE            010      649,512           80
                  COOSA PINES
                  CORPORATION.
AL.............  EMPIRE COKE CO..          001      108,543           13

[[Page 56378]]

AL.............  CIBA SPECIALTY            010      153,000           19
                  CHEMICALS
                  CORPORATION.
AL.............  CIBA SPECIALTY            011       36,951            5
                  CHEMICALS
                  CORPORATION.
AL.............  OLIN CHEMICAL             003      606,282           75
                  CORPORATION.
AL.............  MACMILLAN                 002    1,779,840          219
                  BLOEDEL
                  PACKAGING INC.
AL.............  MACMILLAN                 005      404,136           50
                  BLOEDEL
                  PACKAGING INC.
AL.............  CELANESE                  006      379,902           47
                  CORPORATION.
AL.............  SOLUTIA, INC.--           016      471,731           58
                  DECATUR PLANT.
AL.............  GULF STATES               047      184,755           23
                  STEEL INC.
AL.............  DEGUSSA                   004      410,502           51
                  CORPORATION.
AL.............  AMOCO CHEMICALS.          010      535,211           66
AL.............  AMOCO CHEMICALS.          015      389,140           48
AL.............  AMOCO CHEMICALS.          019      339,487           42
AL.............  AMOCO CHEMICALS.          022      312,351           38
AL.............  AMOCO CHEMICALS.          023      254,615           31
AL.............  TVA COLBERT.....          008      195,178           24
AL.............  TVA COLBERT.....          009      195,178           24
AL.............  LAROCHE                   002      220,551           27
                  INDUSTRIES INC.
AL.............  INTERNATIONAL             010      525,974           65
                  PAPER CO.
                  RIVERDALE MILL.
AL.............  INTERNATIONAL             010    1,143,170          141
                  PAPER SIEBERT
                  STATION.
AL.............  GULF STATES               046      184,755           23
                  STEEL INC.
AL.............  CHAMPION                  016      498,838           61
                  INTERNATIONAL
                  COURTLAND RD29.
AL.............  TVA COLBERT.....          007      195,178           24
AL.............  CHAMPION                  015    2,140,980          263
                  INTERNATIONAL
                  COURTLAND RD29.
AL.............  CHAMPION                  007      663,276           82
                  INTERNATIONAL
                  COURTLAND RD29.
AL.............  JEFFERSON                 008      424,359           52
                  SMURFIT.
AL.............  AMERICAN CAST             041       97,574           12
                  IRON PIPE
                  COMPANY.
AL.............  GULF STATES               049      368,932           45
                  STEEL INC.
AL.............  TVA COLBERT.....          006      195,178           24
AL.............  TVA COLBERT.....          005      195,178           24
AL.............  TVA COLBERT.....          003      195,178           24
AL.............  TVA COLBERT.....          002      195,178           24
AL.............  FORT JAMES-               029      316,970           39
                  PENNINGTON,
                  INC..
AL.............  FORT JAMES-               027      783,476           96
                  PENNINGTON,
                  INC..
AL.............  MEAD                      001      435,843           54
                  CONTAINERBOARD.
CT.............  PFIZER INC--              010      480,420           24
                  CHEMICALS.
CT.............  FEDERAL PAPER             003      721,140           36
                  BOARD CO.
CT.............  PFIZER INC--              012      604,860           30
                  CHEMICALS.
CT.............  PFIZER INC--              009      332,520           17
                  CHEMICALS.
CT.............  SIMKINS                   673      193,917           10
                  INDUSTRIES INC.
CT.............  DEXTER NONWOVENS          P29    1,788,060           89
                  DIV.
CT.............  PRATT & WHITNEY           168       18,360            1
                  AIRC.
CT.............  PRATT & WHITNEY           167       25,500            1
                  AIRC.
CT.............  PRATT & WHITNEY           166       47,940            2
                  AIRC.
CT.............  PFIZER INC--              P01      478,380           24
                  CHEMICALS.
CT.............  PRATT & WHITNEY           164       85,680            4
                  AIRC.
CT.............  CAPITOL DISTRICT          P64      264,111           13
                  ENERGY CENTER.
CT.............  PRATT & WHITNEY           163        5,100            0
                  AIRC.
CT.............  PRATT & WHITNEY.          039      353,274           18
DC.............  GSA WEST HEATING          001       18,360            1
                  PLANT.
DC.............  GSA--CENTRAL              003        4,348            0
                  HEATING.
DC.............  GSA--WEST                 005      182,517            9
                  HEATING.
DC.............  GSA--WEST                 003      162,886            8
                  HEATING.
DC.............  GSA WEST HEATING          002        3,060            0
                  PLANT.
DE.............  DUPONT SEAFORD..          002      931,055           61
DE.............  DUPONT SEAFORD..          001      826,012           54
DE.............  CHRYSLER MOTORS.          003      257,164           17
DE.............  STANDARD                  001      372,919           24
                  CHLORINE OF
                  DELAWARE.
DE.............  KRAFT GENERAL             001      695,930           45
                  FOODS.
DE.............  DUPONT SEAFORD..          003      393,082           26
IL.............  INDIAN REFINING    7211029701      587,751           69
                  LIMITED                    7
                  PARTNERSHIP.
IL.............  ZEXEL ILINOIS,     7512015500      382,086           45
                  INC.--DECATUR              2
                  FACTORY.
IL.............  GRANITE CITY       7303111904      381,057           45
                  STEEL COMPANY.             1
IL.............  AMOCO PETROLEUM    7302008303      122,977           14
                  ADDITIVES CO.              6
IL.............  JEFFERSON          7212042600      170,544           20
                  SMURFIT                    1
                  CORPORATION.
IL.............  A E STALEY         7302008412      918,510          107
                  MANUFACTURING              9
                  CO.
IL.............  GRANITE CITY       7303111904      163,392           19
                  STEEL COMPANY.             2
IL.............  ZEXEL ILINOIS,     7512015500      127,596           15
                  INC.--DECATUR              1
                  FACTORY.
IL.............  ARCHER DANIELS     8506003008    1,202,940          141
                  MIDLAND CO EAST            1
                  PLANT.
IL.............  CENTRAL ILLINOIS   7911000101      123,227           14
                  PUBLIC SERVICE.            4
IL.............  ARCHER DANIELS     7612004807      862,589          101
                  MIDLAND CO EAST            1
                  PLANT.

[[Page 56379]]

IL.............  CATERPILLAR--EAS   7305053101      452,649           53
                  T PEORIA PLANT.            9
IL.............  INDIAN REFINING    7211029701      587,751           69
                  LIMITED                    6
                  PARTNERSHIP.
IL.............  INDIAN REFINING    7211029701      587,751           69
                  LIMITED                    5
                  PARTNERSHIP.
IL.............  GREAT LAKES        7808007101      331,981           39
                  NAVAL STATION.             1
IL.............  GATES RUBBER       7211101100      119,513           14
                  CO.--GALESBURG             2
                  HOSE PLANT.
IL.............  ARCHER DANIELS     7612004807      862,589          101
                  MIDLAND CO EAST            2
                  PLANT.
IL.............  NORTHWESTERN       7302082102      172,053           20
                  STEEL & WIRE               1
                  CO..
IL.............  GATES RUBBER       7211101100      119,513           14
                  CO.--GALESBURG             1
                  HOSE PLANT.
IL.............  CLIFFORD--JACOBS   7302156500      228,634           27
                  FORGING CO..               1
IL.............  PEOPLES GAS        7505001900      346,415           41
                  LIGHT & COKE CO.           6
IL.............  MOBIL JOLIET       8601000904      269,836           32
                  REFINING CORP.             3
IL.............  MOBIL JOLIET       7211057702      207,849           24
                  REFINING CORP.             5
IL.............  MOBIL JOLIET       7211057602      141,453           17
                  REFINING CORP.             1
IL.............  IOWA--ILL. GAS &   7301026900    1,096,036          128
                  ELECTRIC CO.--             1
                  MOLINE GEN. STA.
IL.............  UNO-VEN COMPANY.   7211024000      430,709           50
                                             7
IL.............  KRAFT FOOD         7210092100       62,027            7
                  INGREDIENTS                3
                  CORP.
IL.............  NORTHWESTERN       7302081901      958,524          112
                  STEEL & WIRE CO.           4
IL.............  NORTHWESTERN       7302081901      215,027           25
                  STEEL & WIRE CO.           3
IL.............  LAUHOFF GRAIN      7212126209      165,702           19
                  COMPANY.                   1
IL.............  PEKIN ENERGY       7302008701      769,080           90
                  COMPANY.                   9
IL.............  IOWA--ILL. GAS &   7301026900    1,096,036          128
                  ELECTRIC CO.--             2
                  MOLINE GEN. STA.
IL.............  SHEREX CHEMICAL    7303213100      312,522           37
                  COMPANY.                   1
IL.............  ARCHER DANIELS     8601005602      125,864           15
                  MIDLAND CORN               4
                  SWEETENERS.
IL.............  UNO-VEN COMPANY.   7211025303      391,449           46
                                             7
IL.............  GENERAL ELECTRIC/  7303110000      417,430           49
                  HOT POINT--                3
                  RANGE DIVISIO.
IL.............  CHICAGO WATER      7511006600      193,415           23
                  DEPT--SPRINGFIE            2
                  LD STATION.
IL.............  MENTAL HEALTH      7508001800      117,781           14
                  DEPT--CHICAGO-R            1
                  EAD CENTER.
IL.............  COM ED--FISK       7303081801       72,327            8
                  STATION.                   3
IL.............  COM ED--FISK       7303081801       52,855            6
                  STATION.                   2
IL.............  U S STEEL--SOUTH   8201004401      849,872           99
                  WORKS.                     4
IL.............  U S STEEL--SOUTH   8201004401      872,389          102
                  WORKS.                     3
IL.............  GENERAL MILLS      7303098807      149,536           17
                  INC.                       0
IL.............  GENERAL ELECTRIC/  7303110000      128,751           15
                  HOT POINT--                6
                  RANGE DIVISIO.
IL.............  CPC                7302014604      760,959           89
                  INTERNATIONAL              3
                  INC.
IL.............  CPC                8805006611      139,143           16
                  INTERNATIONAL              8
                  INC.
IL.............  CPC                7302014704      760,959           89
                  INTERNATIONAL              6
                  INC.
IL.............  CPC                7302014704      819,060           96
                  INTERNATIONAL              5
                  INC.
IL.............  CATERPILLAR        7302118200      245,955           29
                  TRACTOR CO                 9
                  AURORA PLANT.
IL.............  CPC                7302014604      819,060           96
                  INTERNATIONAL              2
                  INC.
IL.............  CPC                7302014604      819,060           96
                  INTERNATIONAL              1
                  INC.

[[Page 56380]]

IL.............  CLIFFORD-JACOBS    7302156500      256,378           30
                  FORGING CO.                3
IL.............  METROPOLITAN       8501007300      375,283           44
                  W.R.D. OF                  7
                  GREATER CHICAGO.
IL.............  QUANTUM--USI       7210001601      169,166           20
                  DIVISION.                  7
IL.............  WM WRIGLEY JR      7211074600      119,513           14
                  CO--CHICAGO                4
                  PLANT.
IL.............  AUSTIN WESTERN     7405009800      363,736           43
                  DIVISION.                  2
IL.............  QUANTUM--USI       7210001601      149,536           17
                  DIVISION.                  6
IL.............  QUANTUM--USI       7210001601      199,189           23
                  DIVISION.                  4
IL.............  QUANTUM--USI       7210001601      397,223           46
                  DIVISION.                  3
IL.............  NALCO CHEMICAL     8501003300      171,777           20
                  COMPANY--CORP              4
                  RES CENTER.
IL.............  QUANTUM--USI       7212120711      654,458           77
                  DIVISION.                  2
IL.............  AMOCO CHEMICALS    7210022200      188,219           22
                  CORP--WILLOW               2
                  SPRINGS PL.
IL.............  QUANTUM--USI       7212120711      654,458           77
                  DIVISION.                  0
IL.............  QUANTUM--USI       7212120710      654,458           77
                  DIVISION.                  9
IL.............  QUANTUM--USI       7212120710      615,960           72
                  DIVISION.                  8
IL.............  MARATHON OIL CO    7211129105      271,265           32
                  ILLINOIS                   6
                  REFINING DIV.
IL.............  MARATHON OIL CO    7211129105      271,265           32
                  ILLINOIS                   5
                  REFINING DIV.
IL.............  K-FIVE SOUTH       8610004500       62,027            7
                  PLANT.                     2
IL.............  NATURAL GAS        7302022100      703,800           82
                  PIPELINE CO OF             4
                  AMERICA.
IL.............  QUANTUM--USI       7212120711      654,458           77
                  DIVISION.                  1
IN.............  LTV STEEL                 023      577,936          104
                  COMPANY.
IN.............  LTV STEEL                 024    1,178,381          213
                  COMPANY.
IN.............  LTV STEEL                 022      611,423          110
                  COMPANY.
IN.............  IPALCO--PERRY K.          001      949,685          171
IN.............  INLAND STEEL              320    2,437,729          440
                  COMPANY.
IN.............  IPALCO--PERRY K.          002      959,398          173
IN.............  GMC-DELPHI                002       16,166            3
                  INTERIOR AND
                  LIGHTING
                  SYSTEMS.
IN.............  LTV STEEL                 021      531,747           96
                  COMPANY.
IN.............  INLAND STEEL              330    2,245,925          405
                  COMPANY.
IN.............  INLAND STEEL              321    3,811,376          688
                  COMPANY.
IN.............  INLAND STEEL              285      311,774           56
                  COMPANY.
IN.............  IPALCO--PERRY K.          003      506,874           91
IN.............  A.E. STALEY MAN.          040    1,412,496          255
                  CO. SOUTH PLANT.
IN.............  INLAND STEEL              322    9,116,363        1,645
                  COMPANY.
IN.............  IPALCO--PERRY K.          004      629,974          114
IN.............  INDIANA GIRLS             003    2,031,840          367
                  SCHOOL.
 IN............  GENERAL ELECTRIC          001        7,506            1
                  CO.
 IN............  PANHANDLE                 016    6,282,041        1,133
                  EASTERN
                  PIPELINE CO.
 IN............  NATIONAL STEEL            001      719,591          130
                  CORP.
 IN............  NATIONAL STEEL            003      124,132           22
                  CORP.
 IN............  NATIONAL STEEL            004      370,664           67
                  CORP.
 IN............  INLAND STEEL              284      315,815           57
                  COMPANY.
 IN............  NEW ENERGY                003    8,648,738        1,560
                  COMPANY OF
                  INDIANA.
 IN............  PFIZER INC......          004      503,457           91
 IN............  WESTON PAPER &            002      325,584           59
                  MFG.
 IN............  APPLIED                   005       23,672            4
                  EXTRUSION
                  TECHNOLOGIES,
                  INC..
 IN............  JEFFERSON                 001      643,824          116
                  SMURFIT
                  CORPORATION.
 IN............  PRAXAIR, INC....          002       44,457            8
 IN............  E.W.I. INC......          001       18,475            3
 IN............  U S STEEL CO              108      360,272           65
                  GARY WORKS.
 IN............  ALLISON                   008        2,623            0
                  TRANSMISSION
                  DIV PLANT 3.
 IN............  FRITO-LAY, INC..          001       12,702            2
 IN............  JOSEPH SEAGRAM &          009      700,650          126
                  SONS.
 IN............  SUPERIOR                  002      163,392           29
                  LAMINATING,
                  INC..
 IN............  KIEFFER PAPER             001       38,683            7
                  MILLS INC..
 IN............  AMOCO OIL                 001    5,430,169          980
                  COMPANY,
                  WHITING
                  REFINERY.
 IN............  AMOCO OIL                 002      153,577           28
                  COMPANY,
                  WHITING
                  REFINERY.
 IN............  U S STEEL CO              014        6,928            1
                  GARY WORKS.
 IN............  U S STEEL CO              028      122,400           22
                  GARY WORKS.
 IN............  U S STEEL CO              105      133,947           24
                  GARY WORKS.

[[Page 56381]]

IN.............  U S STEEL CO              301      393,181           71
                  GARY WORKS.
IN.............  U S STEEL CO              405      103,925           19
                  GARY WORKS.
IN.............  U S STEEL CO              701      950,909          172
                  GARY WORKS.
IN.............  U S STEEL CO              714      405,306           73
                  GARY WORKS.
IN.............  INLAND STEEL              254      217,664           39
                  COMPANY.
IN.............  INLAND STEEL              282      297,917           54
                  COMPANY.
IN.............  INLAND STEEL              281      289,834           52
                  COMPANY.
IN.............  U S STEEL CO              104      138,566           25
                  GARY WORKS.
IN.............  INLAND STEEL              256      217,664           39
                  COMPANY.
IN.............  U S STEEL CO              718      101,038           18
                  GARY WORKS.
IN.............  INLAND STEEL              252      217,664           39
                  COMPANY.
IN.............  INLAND STEEL              217    1,013,264          183
                  COMPANY.
IN.............  U S STEEL CO              720      660,762          119
                  GARY WORKS.
IN.............  AMERICAN MAIZE            007      944,559          170
                  PRODUCTS
                  COMPANY.
IN.............  COLGATE-                  003      101,636           18
                  PALMOLIVE.
IN.............  U S STEEL CO              726      301,958           54
                  GARY WORKS.
IN.............  INLAND STEEL              283      297,917           54
                  COMPANY.
IN.............  INLAND STEEL              206      203,808           37
                  COMPANY.
IN.............  INLAND STEEL              280      289,834           52
                  COMPANY.
KY.............  GENERAL TIRE INC          001      395,491           35
KY.............  WILLAMETTE                009      320,706           28
                  INDUSTRIES INC.
KY.............  ROHM & HAAS               001    3,253,549          286
                  KENTUCKY INC.
KY.............  G E APPLIANCES            001    1,072,019           94
                  BOILER PLANT.
KY.............  B F GOODRICH CO.          007      898,370           79
KY.............  B F GOODRICH CO.          018      344,106           30
KY.............  AIR PRODUCTS &            0AB      976,162           86
                  CHEMICALS.
KY.............  E I DUPONT INC..          001    3,177,045          280
KY.............  AGE                       011      196,879           17
                  INTERNATIONAL,
                  INC.
KY.............  AIR PRODUCTS &            0AA      831,963           73
                  CHEMICALS.
KY.............  ARMCO STEEL CORP          0G5      329,901           29
KY.............  OWENSBORO GRAIN           032      797,119           70
                  COMPANY.
KY.............  PROTEIN                   001      559,368           49
                  TECHNOLOGIES
                  INT.
KY.............  ARMCO STEEL CORP          0G4      329,901           29
KY.............  ARMCO STEEL CORP          0G6      329,901           29
KY.............  ARMCO INC.......          020      200,390           18
KY.............  ARMCO INC.......          021      200,390           18
KY.............  ASHLAND OIL INC.          067      801,951           71
KY.............  ARMCO INC.......          022      200,390           18
KY.............  TEXAS GAS                 003      618,954           54
                  TRANSMISSION.
KY.............  DOW CORNING CORP          059    2,292,113          202
KY.............  ARMCO STEEL CORP          0G3      329,901           29
MA.............  BAY STATE                 002    1,542,240           64
                  STERLING.
MA.............  TRIGEN-BOSTON             001      678,388           28
                  ENERGY.
MA.............  NATICK                    002      279,072           12
                  PAPERBOARD.
MA.............  MEDICAL                   005      155,448            6
                  AREATOTALENG.
MA.............  MEDICAL                   004      168,912            7
                  AREATOTALENG.
MA.............  TRIGEN-BOSTON             002      558,873           23
                  ENERGY.
MA.............  WELLESLEY                 001       58,416            2
                  COLLEGE.
MA.............  BAKER                     004      117,749            5
                  COMMODITIES.
MA.............  G E AIRCRAFT              003      412,488           17
                  ENGINES.
MA.............  TRIGEN-BOSTON             004      678,388           28
                  ENERGY.
MA.............  G E AIRCRAFT              007      630,125           26
                  ENGINES.
MD.............  CHESAPEAKE                002      402,696           45
                  PAPERBOARD
                  COMPANY.
MD.............  NAVAL SURFACE             005      603,947           68
                  WARFARE CNTR-
                  INDIAN HD.
MD.............  NAVAL SURFACE             004      603,947           68
                  WARFARE CNTR-
                  INDIAN HD.
MD.............  BETHLEHEM STEEL.          009      904,230          102
MD.............  BETHLEHEM STEEL.          008      904,230          102
MD.............  WESTVACO........          002    1,701,768          192
MD.............  WESTVACO........          001    1,647,393          185
MI.............  STEELCASE INC...         0033      448,750           50
MI.............  WILLIAM BEAUMONT         0010            0            0
                  HOSPITAL.
MI.............  GENERAL MOTORS           0510       46,245            5
                  CORP.
MI.............  GENERAL MOTORS           0506      265,585           30
                  CORP.
MI.............  S D WARREN CO...         0011      403,240           45
MI.............  S D WARREN CO...         0003      142,030           16
MI.............  WILLIAM BEAUMONT         0011            0            0
                  HOSPITAL.
MI.............  DOW CHEMICAL USA         0084      192,838           21
MI.............  NATIONAL STEEL           0205      241,913           27
                  CORP.
MI.............  DOW CHEMICAL USA         0401       60,045            7
MI.............  STONE CONTAINER          0001    1,386,384          154
                  CORP.
MI.............  THE REGENTS OF           0001      402,996           45
                  THE UNIVERSITY
                  OF MICHIGA.
MI.............  THE REGENTS OF           0002      374,706           42
                  THE UNIVERSITY
                  OF MICHIGA.
MI.............  NATIONAL STEEL           0202      165,702           18
                  CORP.
MI.............  DSC LTD.........         0006      261,543           29
MI.............  ROUGE STEEL CO..         0219      536,366           60
MI.............  ROUGE STEEL CO..         0218      302,536           34
MI.............  DETROIT EDISON           0003      316,392           35
                  CO.
MI.............  GEORGIA PACIFIC          0005    1,164,554          130
                  CORP.
MI.............  NATIONAL STEEL           0201      213,623           24
                  CORP.
MI.............  CHAMPION                 0002       92,198           10
                  INTERNATIONAL
                  CORP.

[[Page 56382]]

MI.............  GEORGIA PACIFIC          0004       83,717            9
                  CORP.
MI.............  MARATHON OIL             0001      320,543           36
                  COMPANY.
MI.............  MENASHA CORP....         0024      754,568           84
MI.............  MENASHA CORP....         0025      729,532           81
MI.............  ROCK TENN                0001      275,413           31
                  COMPANY.
MI.............  ROCK TENN                0002      275,413           31
                  COMPANY.
MI.............  MEAD PAPER CO...         0310    1,927,800          214
MI.............  MEAD PAPER CO...         0340    1,680,893          187
MI.............  CHAMPION                 0015       54,272            6
                  INTERNATIONAL
                  CORP.
MI.............  GENERAL MOTORS           0501      747,102           83
                  CORP.
MI.............  MICHIGAN STATE           0054    1,203,801          134
                  UNIVERSITY.
MI.............  JAMES RIVER              0003      957,583          107
                  PAPER CO INC.
MI.............  GREAT LAKES GAS          0005      854,018           95
                  TRANSMISSION.
MI.............  MEAD PAPER CO...         0320      949,177          106
MI.............  MICHIGAN STATE           0055      803,812           89
                  UNIVERSITY.
MI.............  GENERAL MOTORS           0502      558,883           62
                  CORP.
MI.............  MICHIGAN STATE           0053    1,211,151          135
                  UNIVERSITY.
MI.............  GREAT LAKES GAS          0001    1,201,050          134
                  TRANSMISSION.
MI.............  GREAT LAKES GAS          0003      943,732          105
                  TRANSMISSION
                  LTD.
MI.............  GENERAL MOTORS           0507      231,521           26
                  CORP.
MI.............  MICHIGAN STATE           0056    1,508,240          168
                  UNIVERSITY.
MO.............  THE DOE RUN               002      454,182           58
                  COMPANY--SMELTI
                  NG.
MO.............  SCHUYLKILL                001       59,317            8
                  METALS
                  CORPORATION.
MO.............  ANHEUSER BUSCH,           003       46,189            6
                  INC., ST.LOUIS.
MO.............  CHRYSLER CORP.            015       88,944           11
                  NORTH PLANT.
MO.............  MONSANTO COMPANY          001          577            0
MO.............  FORD MOTOR CO...          018       82,562           11
MO.............  BLUE RIVER                003        1,732            0
                  TREATMENT PLANT.
MO.............  DOE RUN COMPANY.          017            0            0
MO.............  ASARCO..........          001       28,916            4
MO.............  CONTINENTAL               007        2,309            0
                  BAKING COMPANY.
MO.............  ASARCO..........          019      215,453           28
NC.............  INTERNATIONAL             004      304,251           40
                  PAPER:
                  REIGELWOOD.
NC.............  R.J. REYNOLDS             004    1,230,528          164
                  TOBACCO CO.--
                  0745.
NC.............  R.J. REYNOLDS             003    1,230,528          164
                  TOBACCO CO.--
                  0745.
NC.............  R.J. REYNOLDS             002    1,230,528          164
                  TOBACCO CO.--
                  0745.
NC.............  R.J. REYNOLDS             001    1,230,528          164
                  TOBACCO CO.--
                  0745.
NC.............  R.J. REYNOLDS             004      394,888           53
                  TOBACCO--0405.
NC.............  R.J. REYNOLDS             003      394,888           53
                  TOBACCO--0405.
NC.............  R.J. REYNOLDS             002      394,888           53
                  TOBACCO--0405.
NC.............  WEYERHAUSER               005    1,699,090          226
                  COMPANY, NEW
                  BERN MILL.
NC.............  INTERNATIONAL             003      334,736           45
                  PAPER:
                  REIGELWOOD.
NC.............  FIELDCREST-               001      745,416           99
                  CANNON PLT 1,
                  KANNAPOLIS.
NC.............  CHAMPION INT              003    1,952,688          260
                  CORP.
NC.............  FMC CORP-LITHIUM          030      631,584           84
                  DIV. HWY 161.
NC.............  R.J. REYNOLDS             001      395,544           53
                  TOBACCO--0405.
NC.............  CHAMPION                  001    1,260,555          168
                  INTERNATIONAL
                  CORP. ROANOKE
                  RAP.
NC.............  CHAMPION INT              002      860,880          115
                  CORP.
NC.............  CHAMPION INT              001      955,128          127
                  CORP.
NC.............  CHAMPION INT              004    1,713,192          228
                  CORP.
NC.............  WEYERHAEUSER              001    2,458,162          327
                  PAPER CO.
                  PLYMOUTH.
NC.............  WEYERHAEUSER              007    1,888,305          251
                  PAPER CO.
                  PLYMOUTH.
NC.............  P. H. GLATFELTER          006    1,753,584          233
                  CO.--ECUSTA.
NC.............  CONE MILLS CORP-          004      342,210           46
                  WHITE OAK PLANT.
NJ.............  CHEVRON U.S.A.,            43      496,897           28
                  INC..
NJ.............  DUPONT DE                  10      750,245           42
                  NEMOURS, E.I.,
                  & CO..
NJ.............  HOFFMAN LAROCHE             7      102,729            6
                  INC. C/O ENVIR.
NJ.............  INTERNATIONAL               1      199,993           11
                  VEILING
                  CORPORAT.
NJ.............  OWENS-BROCKWAY              1    1,116,375           62
                  GLASS CONTAINER.
NJ.............  NESTLE CO.,                 7      120,697            7
                  INC., THE.
NJ.............  NESTLE CO.,                 6      120,697            7
                  INC., THE.
NJ.............  DEGUSSA                     9      146,443            8
                  CORPORATION-
                  METZ DIVIS.
NJ.............  NEW JERSEY STEEL            1      169,934            9
                  CORPORATION.
NJ.............  DUPONT DE                   7      220,757           12
                  NEMOURS, E.I.,
                  & CO..
NJ.............  FORD MOTOR                 13    1,551,857           86
                  COMPANY.
NJ.............  MERCK & CO.,                2      532,593           30
                  INC..
NJ.............  CHEVRON U.S.A.,             1      149,721            8
                  INC..
NJ.............  HERCULES                    2      325,380           18
                  INCORPORATED.
NJ.............  HERCULES                    1      333,540           19
                  INCORPORATED.
NJ.............  STONY BROOK                 2      441,660           25
                  REGIONAL
                  SEWERAGE.
NJ.............  BALL-INCON GLASS            1      456,814           25
                  PACKAGING COR.
NJ.............  PSE & G CO. ATTN            6    3,963,652          220
                  ENVIRONMETAL.
NJ.............  STONY BROOK                 1      441,660           25
                  REGIONAL
                  SEWERAGE.
NJ.............  GARDEN STATE                2      304,980           17
                  PAPER CO., INC..
NJ.............  PSE & G CO. ATTN            1    5,505,816          306
                  ENVIRONMETAL.
NJ.............  PSE & G CO. ATTN            2    5,458,897          303
                  ENVIRONMETAL.
NJ.............  PSE & G CO. ATTN            3    4,606,176          256
                  ENVIRONMETAL.
NJ.............  PSE & G CO. ATTN            4    2,946,636          164
                  ENVIRONMETAL.
NJ.............  EXXON                       7      199,993           11
                  CORPORATION.
NJ.............  MERCK & CO.,                6      902,273           50
                  INC..

[[Page 56383]]

NJ.............  EXXON                      14      887,400           49
                  CORPORATION.
NJ.............  MERCK & CO.,                5      775,912           43
                  INC..
NJ.............  HOFFMAN LAROCHE            34      396,707           22
                  INC..
NJ.............  MERCK & CO.,                4      651,642           36
                  INC..
NJ.............  MERCK & CO.,                3      487,689           27
                  INC..
NJ.............  MERCK & CO.,                1      576,469           32
                  INC..
NJ.............  EXXON                      15      130,050            7
                  CORPORATION.
NJ.............  PSE & G CO. ATTN            5    2,946,636          164
                  ENVIRONMETAL.
NJ.............  GARDEN STATE                1      701,369           39
                  PAPER CO., INC..
NJ.............  HOMASCTE COMPANY            2    2,673,335          149
NJ.............  DUPONT DE                   9    2,569,307          143
                  NEMOURS, E.I.,
                  & CO..
NJ.............  GARDEN STATE                4      766,675           43
                  PAPER CO., INC..
NJ.............  ANHEUSER-BUSCH              2      324,360           18
                  INCORPORATED.
NJ.............  GEORGIA-PACIFIC             1      148,629            8
                  CORPORATION.
NJ.............  COASTAL EAGLE              38      102,729            6
                  POINT OIL
                  COMPAN.
NJ.............  GARDEN STATE                3      287,640           16
                  PAPER CO., INC..
NJ.............  COASTAL EAGLE             123      331,136           18
                  POINT OIL
                  COMPAN.
NJ.............  SCOTT PAPER                 4      846,536           47
                  COMPANY.
NJ.............  SCOTT PAPER                 3      644,590           36
                  COMPANY.
NJ.............  SCOTT PAPER                 2      759,028           42
                  COMPANY.
NJ.............  MARINA                      3    1,208,661           67
                  ASSOCIATES.
NJ.............  MARINA                      2    2,143,093          119
                  ASSOCIATES.
NJ.............  MARINA                      1    2,143,093          119
                  ASSOCIATES.
NJ.............  MALT PRODUCTS               1      242,614           13
                  CORPORATION.
NJ.............  PETROLEUM                  20    1,536,557           85
                  RECYCLING, INC..
NJ.............  HOMASCTE COMPANY            1    2,486,646          138
NJ.............  KAMINE MILFORD              1      775,710           43
                  LIMITED PARTNER.
NJ.............  COGEN                       2      365,670           20
                  TECHNOLOGIES--N
                  EW JERSE.
NJ.............  COGEN                       1      362,610           20
                  TECHNOLOGIES--N
                  EW JERSE.
NJ.............  DUPONT DE                  10    2,569,307          143
                  NEMOURS, E.I.,
                  & CO..
NJ.............  BEST FOODS CPC              3      251,555           14
                  INTERNATIONAL I.
NJ.............  COASTAL EAGLE              39      102,729            6
                  POINT OIL
                  COMPAN.
NJ.............  MOBIL OIL                   6      953,835           53
                  CORPORATION.
NJ.............  MOBIL OIL                   5      143,149            8
                  CORPORATION.
NJ.............  MOBIL OIL                   4      445,797           25
                  CORPORATION.
NJ.............  MOBIL OIL                   3      492,776           27
                  CORPORATION.
NJ.............  MOBIL OIL                 270      127,709            7
                  CORPORATION.
NJ.............  MOBIL OIL                   2      492,776           27
                  CORPORATION.
NJ.............  MOBIL OIL                   1      492,776           27
                  CORPORATION.
NJ.............  COASTAL EAGLE              64      343,157           19
                  POINT OIL
                  COMPAN.
NJ.............  COASTAL EAGLE              40      102,729            6
                  POINT OIL
                  COMPAN.
NY.............  GEORGIA PACIFIC           001      231,568           27
                  CORP PLATTS.
NY.............  GENERAL ELECTRIC          00C      405,181           47
NY.............  GENERAL ELECTRIC          02Z      393,942           46
NY.............  CAMPUS PWR PLANT          006      289,170           33
                  OGS.
NY.............  KODAK PARK DIV            001    1,280,644          148
                  ROCHES.
NY.............  HOLBROOK                  001       64,121            7
                  GENERATING STA.
NY.............  HOLBROOK                  008       64,121            7
                  GENERATING STA.
NY.............  HOLBROOK                  007       64,121            7
                  GENERATING STA.
NY.............  HOLBROOK                  006       64,121            7
                  GENERATING STA.
NY.............  HOLBROOK                  005       64,121            7
                  GENERATING STA.
NY.............  HOLBROOK                  004       64,121            7
                  GENERATING STA.
NY.............  LEDERLE                   04Y      265,593           31
                  LABORATORIES.
NY.............  HOLBROOK                  002       64,121            7
                  GENERATING STA.
NY.............  HOLBROOK                  00B       29,835            3
                  GENERATING STA.
NY.............  AKZO SALT--               00F      320,027           37
                  WATKINS GLEN
                  REFIN..
NY.............  HUDSON RIVER              007    2,361,664          273
                  MILL.
NY.............  SILICONE                  0ZZ      240,744           28
                  PRODUCTS
                  DIVISION.
NY.............  SILICONE                  02F      458,291           53
                  PRODUCTS
                  DIVISION.
NY.............  PAPYRUS NEWTON            001      297,730           34
                  FALLS, INC.
NY.............  ALCOA MASSENA             002      148,958           17
                  OPERATIONS.
NY.............  HOLBROOK                  003       64,121            7
                  GENERATING STA.
NY.............  HOLBROOK                  00J       29,835            3
                  GENERATING STA.
NY.............  INDECK-YERKES             004    1,622,421          188
                  ENERGY SERVICES
                  TONAWAND.
NY.............  IONDECK SILVER            004      305,561           35
                  SPRINGS ENERGY.
NY.............  IONDECK SILVER            001    1,092,372          126
                  SPRINGS ENERGY.
NY.............  MORTON SALT               00E      209,984           24
                  COMPANY.
NY.............  REFINED SUGARS,           00K      174,420           20
                  INC.
NY.............  SCOTT PAPER CO..          001       69,283            8
NY.............  HOLBROOK                  009       64,121            7
                  GENERATING STA.
NY.............  HOLBROOK                  00K       29,835            3
                  GENERATING STA.
NY.............  HOLBROOK                  00A       64,121            7
                  GENERATING STA.
NY.............  HOLBROOK                  00I       29,835            3
                  GENERATING STA.
NY.............  HOLBROOK                  00G       29,835            3
                  GENERATING STA.
NY.............  HOLBROOK                  00E       29,835            3
                  GENERATING STA.
NY.............  HOLBROOK                  00D       29,835            3
                  GENERATING STA.
NY.............  HOLBROOK                  00C       29,835            3
                  GENERATING STA.
NY.............  HOLBROOK                  00F       29,835            3
                  GENERATING STA.
NY.............  FINCH PRUYN & CO          006      462,437           53
NY.............  TICONDEROGA MILL          016    1,818,536          210
                  TICOND.

[[Page 56384]]

NY.............  KODAK PARK DIV            004    4,956,513          573
                  ROCHES.
NY.............  KODAK PARK DIV            003    3,716,404          430
                  ROCHES.
NY.............  KODAK PARK DIV            002    3,510,348          406
                  ROCHES.
NY.............  ................          002      104,229           12
NY.............  BURROWS PAPER             001      344,043           40
                  CORP LYONSD.
NY.............  EAST 60TH STREET          001      644,130           74
NY.............  CHAMPION                  008    1,000,960          116
                  INTERNATIONAL
                  CORP DEFERI.
NY.............  ................          0ZZ      305,235           35
NY.............  CHEVY MOTOR PLT           0ZZ      604,888           70
                  TONAWA.
NY.............  GENERAL MILLS             06V      700,740           81
                  INC BUFFAL.
NY.............  BSC BAR PRODUCTS          00E      153,000           18
                  DIV. LACKAW.
NY.............  BETHENERGY LACK           018      338,130           39
                  COKE LA.
NY.............  LEDERLE                   032      265,593           31
                  LABORATORIES.
NY.............  HOLBROOK                  00H       29,835            3
                  GENERATING STA.
NY.............  ................          0ZZ      800,101           93
NY.............  NESTLE FOODS              001       65,105            8
                  CORP..
NY.............  BASF-WYANDOTTE            0ZZ      150,691           17
                  CORP.
NY.............  R. P. I.........          003      276,021           32
NY.............  CHAMPION                  007    1,133,560          131
                  INTERNATIONAL
                  CORP DEFERI.
NY.............  OCCIDENTAL                006        2,448            0
                  CHEMICAL CORP
                  (HOOKER CHEM.
NY.............  RAVENSWOOD--A--H          002      417,384           48
                  OUSE.
NY.............  RAVENSWOOD--A--H          001      417,384           48
                  OUSE.
NY.............  MILLER EASTERN            00L      298,781           35
                  BREWERY.
NY.............  A-B INC                   002      175,196           20
                  BALDWINSVILLE
                  BREWERY LYSAND.
NY.............  HOOKER EFW PLANT          0D1      690,409           80
                  NIAGARA.
NY.............  BRISTOL-MYERS             022      114,079           13
                  COMPANY DEWITT.
NY.............  OCCIDENTAL                007       27,061            3
                  CHEMICAL CORP
                  (HOOKER CHEM.
NY.............  ROME MFG CO DIV           002      299,384           35
                  ROME.
NY.............  A-B INC                   001      175,196           20
                  BALDWINSVILLE
                  BREWERY LYSAND.
NY.............  HOOKER EFW PLANT          00C        4,896            1
                  NIAGARA.
NY.............  OSWEGO ENERGY             001      172,982           20
                  CENTER.
NY.............  HOOKER EFW PLANT          00D      965,861          112
                  NIAGARA.
OH.............  JEFFERSON                B004      788,542           89
                  SMURFIT (FRMLY
                  CONTAINER CORP).
OH.............  PORTSMOUTH               B001      591,272           67
                  GASEOUS
                  DIFFUSION PLANT.
OH.............  PORTSMOUTH               B002      591,272           67
                  GASEOUS
                  DIFFUSION PLANT.
OH.............  PORTSMOUTH               B003      591,272           67
                  GASEOUS
                  DIFFUSION PLANT.
OH.............  GREAT LAKES              B004      172,630           20
                  SUGAR COMPANY.
OH.............  MIAMI PAPER              B001      644,232           73
                  CORPORATION.
OH.............  GIBSONBURG               B001    4,265,918          484
                  CANNING CO.,
                  INC..
OH.............  USS/KOBE STEEL           B001      957,838          109
                  CO.--LORAIN
                  WORKS.
OH.............  MEAD CORPORATION         B002    1,778,323          202
OH.............  MEAD CORPORATION         B003    2,144,090          243
OH.............  MEAD CORPORATION         B001    1,579,838          179
OH.............  APPLETON PAPERS          B003      716,174           81
                  INC..
OH.............  APPLETON PAPERS          B002      541,955           61
                  INC..
OH.............  CARGILL,INC.....         B004      834,821           95
OH.............  USS/KOBE STEEL           B013      771,928           88
                  CO.--LORAIN
                  WORKS.
OH.............  USS/KOBE STEEL           B009      574,472           65
                  CO.--LORAIN
                  WORKS.
OH.............  USS/KOBE STEEL           B005      143,185           16
                  CO.--LORAIN
                  WORKS.
OH.............  ARISTECH                 B004      261,312           30
                  CHEMICAL
                  CORPORATION.
OH.............  GEORGIA PACIFIC          B004      553,860           63
                  ROOFING FELT
                  PLANT.
OH.............  SOUTH POINT              B007      862,912           98
                  ETHANOL.
OH.............  SOUTH POINT              B004      862,912           98
                  ETHANOL.
OH.............  USS/KOBE STEEL           B007      379,902           43
                  CO.--LORAIN
                  WORKS.
OH.............  TIMKEN COMPANY           B003      402,996           46
                  CANTON PLANT NO
                  5.
OH.............  ARMCO STEEL              B005      898,729          102
                  COMPANY, L.P..
OH.............  SOUTH POINT              B003      862,912           98
                  ETHANOL.
OH.............  LOF CO ROSSFORD          B003      273,700           31
                  PLANT 6.
OH.............  SHELL CHEMICAL           B007      313,620           36
                  CO.
OH.............  SHELL CHEMICAL           B005      313,620           36
                  CO.
OH.............  FRANKLIN                 B001    1,138,897          129
                  BOXBOARD
                  CORPORATION.
OH.............  W C I STEEL,             B001    1,323,261          150
                  INC..
OH.............  GOODYEAR TIRE &          B002      751,128           85
                  RUBBER CO THE
                  PLANT 11.
OH.............  W C I STEEL,             B004      260,389           30
                  INC..
OH.............  TIMKEN COMPANY           X001      640,291           73
                  CANTON PLANT NO
                  5.
OH.............  ARISTECH                 B005      384,754           44
                  CHEMICAL
                  CORPORATION.
OH.............  TIMKEN COMPANY,          P014      285,215           32
                  THE.
OH.............  TIMKEN COMPANY,          P013      285,215           32
                  THE.
OH.............  TIMKEN COMPANY           X002      169,166           19
                  GAMBRINUS PLANT.
OH.............  TIMKEN COMPANY           X001      802,528           91
                  GAMBRINUS PLANT.
OH.............  ASHLAND                  B029      167,434           19
                  PETROLEUM
                  COMPANY.
OH.............  CANTON DROP              X001      649,528           74
                  FORGING & MFG
                  CO.
OH.............  ARISTECH                 B010      530,775           60
                  CHEMICAL
                  CORPORATION.
OH.............  ARISTECH                 B009      503,485           57
                  CHEMICAL
                  CORPORATION.
OH.............  ARISTECH                 B006      385,401           44
                  CHEMICAL
                  CORPORATION.
OH.............  GOODYEAR TIRE &          B001      826,200           94
                  RUBBER CO THE
                  PLANT 11.
OH.............  ARMCO STEEL              P010    1,035,705          118
                  COMPANY L.P..
OH.............  ARMCO STEEL              B004      838,287           95
                  COMPANY, L.P..
OH.............  ARMCO STEEL              B003      838,287           95
                  COMPANY, L.P..
OH.............  ARMCO STEEL           860,643           98
                  COMPANY, L.P.01.

[[Page 56385]]

OH.............  ARMCO STEEL              P009    1,035,705          118
                  COMPANY L.P..
OH.............  ARMCO STEEL              B010      511,020           58
                  COMPANY L.P..
OH.............  ARMCO STEEL              B009      511,020           58
                  COMPANY L.P..
OH.............  ARMCO STEEL              B008      818,504           93
                  COMPANY L.P..
OH.............  ARMCO STEEL              B007      818,504           93
                  COMPANY L.P..
OH.............  BP CHEMICALS,            B003    3,729,736          423
                  INC..
OH.............  BP CHEMICALS,            B002      532,325           60
                  INC..
OH.............  BP CHEMICALS,            B001      599,876           68
                  INC..
OH.............  BP OIL COMPANY--         P010    1,224,000          139
                  LIMA REFINERY.
OH.............  GENERAL ELECTRIC         B004      166,309           19
                  CO.
OH.............  PROCTER & GAMBLE         B021      932,754          106
                  CO.
OH.............  WHEELING                 B004      125,864           14
                  PITTSBURGH
                  STEEL
                  STEUBENVILLE S.
OH.............  ARMCO STEEL              P012    1,035,705          118
                  COMPANY L.P..
OH.............  PROCTER & GAMBLE         B022    5,348,925          607
                  CO.
OH.............  HENKEL CORP.--           B027    3,846,420          436
                  EMERY GROUP.
OH.............  HENKEL CORP.--           B015      681,360           77
                  EMERY GROUP.
OH.............  HENKEL CORP.--           B014      317,220           36
                  EMERY GROUP.
OH.............  ANHEUSER-BUSCH           X001      302,149           34
                  COLUMBUS
                  BREWERY.
OH.............  FAIRFIELD                B003      192,697           22
                  RECYCLED PAPER,
                  INC..
OH.............  GENERAL ELECTRIC         B002    1,240,166          141
                  CO.
OH.............  LTV STEEL                B905       87,181           10
                  COMPANY, INC..
OH.............  LTV STEEL                B009      707,842           80
                  COMPANY, INC..
OH.............  LTV STEEL                B005      473,434           54
                  COMPANY, INC..
OH.............  LTV STEEL                B007      527,014           60
                  COMPANY, INC..
OH.............  LTV STEEL                B004      632,208           72
                  COMPANY, INC..
OH.............  LTV STEEL                B010      192,838           22
                  COMPANY, INC..
OH.............  LTV STEEL                B001      575,218           65
                  COMPANY, INC..
OH.............  LTV STEEL                B002      931,161          106
                  COMPANY, INC..
OH.............  LTV STEEL                B003      437,625           50
                  COMPANY, INC..
OH.............  LTV STEEL                B004    1,008,422          114
                  COMPANY, INC..
OH.............  LTV STEEL                B005      259,811           29
                  COMPANY, INC..
OH.............  LTV STEEL                B006      202,653           23
                  COMPANY, INC..
PA.............  INTERNATIONAL             040      662,852           68
                  PAPER CO..
PA.............  ALLIED CHEMICAL           052      844,191           87
                  CORP.
PA.............  TEXAS EASTERN             032      753,026           77
                  GAS PIPELINE CO.
PA.............  GENERAL ELECTRIC          035      627,589           65
                  CO..
PA.............  MERCK SHARP &             039      532,174           55
                  DOHME.
PA.............  BETHLEHEM STEEL           041      639,151           66
                  CORP..
PA.............  BETHLEHEM STEEL           042      835,995           86
                  CORP..
PA.............  BETHLEHEM STEEL           067    1,333,002          137
                  CORP..
PA.............  BETHLEHEM STEEL           147    3,110,558          320
                  CORP..
PA.............  GENERAL ELECTRIC          032    1,000,620          103
                  CO..
PA.............  SUN REFINING AND          006      450,087           46
                  MARKETING 1 O.
PA.............  SUN REFINING AND          007      740,245           76
                  MARKETING 1 O.
PA.............  SUN REFINING AND          038      549,423           57
                  MARKETING 1 O.
PA.............  SUN REFINING AND          039      549,423           57
                  MARKETING 1 O.
PA.............  PROCTER & GAMBLE          932    5,618,055          578
                  PAPER PRODUCTS
                  CO..
PA.............  ALLIED CHEMICAL           051      175,625           18
                  CORP.
PA.............  JEFFERSON                 001      724,340           75
                  SMURFIT (FRMLY
                  CONTAINER CORP).
PA.............  MONESSEN INC....          031      252,039           26
PA.............  PROCTER & GAMBLE          035    2,522,800          259
                  PAPER PRODUCTS
                  CO..
PA.............  INTERNATIONAL             037    1,029,159          106
                  PAPER CO..
PA.............  ALLIED CHEMICAL           050      100,620           10
                  CORP.
PA.............  LTV STEEL                  17      114,361           12
                  COMPANY--PITTSB
                  URGH WORKS.
PA.............  GLATFELTER, P.            031    1,030,727          106
                  H. CO..
PA.............  LTV STEEL                  15      114,361           12
                  COMPANY--PITTSB
                  URGH WORKS.
PA.............  LTV STEEL                  19      157,590           16
                  COMPANY--PITTSB
                  URGH WORKS.
PA.............  LTV STEEL                  21       95,486           10
                  COMPANY--PITTSB
                  URGH WORKS.
PA.............  SHENANGO IRON &            06      168,766           17
                  COKE WORKS.
PA.............  SHENANGO IRON &            09      137,678           14
                  COKE WORKS.
PA.............  BMG ASPHALT CO..          101       30,943            3
PA.............  ZINC CORPORATION          034    1,498,461          154
                  OF AMERICA.
PA.............  ZINC CORPORATION          035    1,759,488          181
                  OF AMERICA.
PA.............  UNITED STATES             043      999,098          103
                  STEEL CORP.,
                  THE.
PA.............  BP OIL, INC.....          033    1,234,200          127
PA.............  PENNTECH PAPERS,          041    1,063,116          109
                  INC..
PA.............  UNITED STATES             045    1,172,194          121
                  STEEL CORP.,
                  THE.
PA.............  PENNTECH PAPERS,          040      978,703          101
                  INC..
PA.............  SUN REFINING &            090    2,212,658          228
                  MARKETING CO..
PA.............  SCOTT PAPER CO..          035    2,173,948          224
PA.............  SCOTT PAPER CO..          034      858,330           88
PA.............  INTERNATIONAL             034    1,099,800          113
                  PAPER COMPANY.
PA.............  INTERNATIONAL             033    1,100,520          113
                  PAPER COMPANY.
PA.............  BETHLEHEM STEEL           132      981,509          101
                  CORP..
PA.............  UNITED STATES             046      982,367          101
                  STEEL CORP.,
                  THE.
TN.............  EASTMAN, TENN.            002      540,192           64
                  CO.
TN.............  EASTMAN, TENN.            001      540,192           64
                  CO.
TN.............  KRAFT FOOD                003      621,815           74
                  INGREDIENTS
                  CORP.
TN.............  HUMKO-DIV WITCO           010      453,804           54
                  CHEM.
TN.............  HUMKO-DIV WITCO           009      468,815           55
                  CHEM.

[[Page 56386]]

TN.............  ARCADIAN                  007    1,274,808          151
                  CORPORATION.
TN.............  E.I. DUPONT DE            011    3,364,846          398
                  NEMOURS &
                  INTERMEDIATES.
TN.............  E.I. DUPONT DE            016      612,000           72
                  NEMOURS &
                  INTERMEDIATES.
TN.............  E.I. DUPONT DE            013    1,453,211          172
                  NEMOURS &
                  INTERMEDIATES.
TN.............  EASTMAN, TENN.            003      618,528           73
                  CO.
TN.............  TEXAS EASTERN             001    1,373,523          162
                  GAS PIPELINE
                  GLADEVILLE.
TN.............  E.I. DUPONT DE            015    1,019,615          121
                  NEMOURS &
                  INTERMEDIATES.
TN.............  EASTMAN, TENN.            004      618,528           73
                  CO.
TN.............  EASTMAN, TENN.            005      673,200           80
                  CO.
TN.............  EASTMAN, TENN.            006      673,200           80
                  CO.
TN.............  EASTMAN, TENN.            013      881,816          104
                  CO.
TN.............  EASTMAN, TENN.            014      881,816          104
                  CO.
TN.............  EASTMAN, TENN.            015    2,913,528          345
                  CO.
TN.............  EASTMAN, TENN.            016    2,913,528          345
                  CO.
TN.............  EASTMAN, TENN.            017    2,913,528          345
                  CO.
TN.............  EASTMAN, TENN.            019    2,913,528          345
                  CO.
TN.............  TENN EASTMAN CO           037    3,607,944          427
                  PO BOX 511
                  KINGSPOR.
TN.............  E.I. DUPONT DE            010    3,849,249          455
                  NEMOURS &
                  INTERMEDIATES.
TN.............  MEAD CORP.......          009    1,916,449          227
TN.............  EASTMAN, TENN.            018    2,913,528          345
                  CO.
TN.............  E I DUPONT DE             0P3      328,104           39
                  NEMOURS & CO
                  INC.
TN.............  PROCTER & GAMBLE          003    2,345,808          277
                  CELLULOSE
                  COMPANY, THE.
TN.............  TN EASTMAN INC..          059      786,362           93
TN.............  ARNOLD                    006       10,751            1
                  ENGINEERING DEV
                  CTR.
TN.............  E I DUPONT DE             0P2    1,000,824          118
                  NEMOURS & CO
                  INC.
TN.............  BASF FIBERS HWY           008      869,725          103
                  160 LOWLAND.
TN.............  BASF FIBERS HWY           009      869,725          103
                  160 LOWLAND.
TN.............  CENTRAL SOYA....          042    1,051,978          124
TN.............  E I DUPONT......          001      325,022           38
TN.............  E I DUPONT......          003      463,154           55
TN.............  VELSICOL                  018      342,389           40
                  CHEMICAL.
TN.............  PACKAGING                 017      224,205           27
                  CORPORATION OF
                  AMERICA.
TN.............  PACKAGING                 018    3,522,121          416
                  CORPORATION OF
                  AMERICA.
TN.............  CARGILL                   003    1,487,976          176
                  CORNSTARCH.
TN.............  E I DUPONT DE             0P1      403,704           48
                  NEMOURS & CO
                  INC.
TN.............  TENNECO GAS/              001      481,255           57
                  ENVIRONMENTAL
                  DEPARTMENT.
TN.............  PROCTER & GAMBLE          002    2,462,434          291
                  CELLULOSE
                  COMPANY, THE.
TN.............  PROCTER & GAMBLE          001      617,774           73
                  CELLULOSE
                  COMPANY, THE.
TN.............  CARGILL                   002    1,280,108          151
                  CORNSTARCH.
TN.............  BRIDGESTONE               001      363,659           43
                  (U.S.A.), INC.
TN.............  US DEPARTMENT OF          003       58,562            7
                  ENERGY (ORNL).
TN.............  GOODYEAR TIRE &           004    1,095,940          130
                  RUBB.
TN.............  BOWATERS PAPER            012    1,087,729          129
                  CO.
TN.............  BOWATERS PAPER            011    1,086,881          129
                  CO.
TN.............  A.E. STALEY               035    1,189,514          141
                  MANUFACTURING
                  COMPANY.
TN.............  A.E. STALEY               034    1,189,514          141
                  MANUFACTURING
                  COMPANY.
VA.............  BEAR ISLAND               001    2,206,643          201
                  PAPER CO.
VA.............  JAMES RIVER               002    3,761,847          342
                  COGENERATION
                  (COGE.
VA.............  SMITHFIELD                001       96,591            9
                  PACKING.
VA.............  DUPONT DE                 004      285,120           26
                  NEMOURS E I &
                  CO.
VA.............  DUPONT DE                 005      406,080           37
                  NEMOURS E I &
                  CO.
VA.............  UNION CAMP CORP/          003    1,703,400          155
                  FINE PAPER DIV.
VA.............  UNION CAMP CORP/          005      384,182           35
                  FINE PAPER DIV.
VA.............  UNION CAMP CORP/          017      632,549           58
                  FINE PAPER DIV.
VA.............  DUPONT DE                 001      360,720           33
                  NEMOURS E I &
                  CO.
VA.............  CHESAPEAKE PAPER          003    1,950,681          178
                  PDTS CO.
VA.............  CHESAPEAKE PAPER          004      487,946           44
                  PDTS CO.
VA.............  STONE CONTAINER           004    5,141,951          468
                  CORP.
VA.............  ALLIED-SIGNAL             002    5,140,799          468
                  INC.
VA.............  ALLIED-SIGNAL             016    7,509,947          684
                  INC.
VA.............  JAMES RIVER               001    3,761,847          342
                  COGENERATION
                  (COGE.
VA.............  HOECHST CELANESE          007      911,520           83
                  CORP.
VA.............  UNION CAMP CORP/          004    2,379,652          217
                  FINE PAPER DIV.
VA.............  ALLIED-SIGNAL             017      595,170           54
                  INC.
VA.............  WESTVACO CORP...          002    1,076,877           98
VA.............  UNION CAMP CORP/          016      380,432           35
                  FINE PAPER DIV.
VA.............  HOECHST CELANESE          006      877,200           80
                  CORP.
VA.............  WESTVACO CORP...          001    1,413,167          129
VA.............  WESTVACO CORP...          003    1,545,951          141
VA.............  WESTVACO CORP...          004    2,616,233          238
VA.............  DUPONT, EI                001      401,760           37
                  DENEMOURS & CO.
VA.............  DUPONT, EI                002      532,691           48
                  DENEMOURS & CO.
VA.............  DUPONT, EI                003      373,553           34
                  DENEMOURS & CO.
VA.............  GEORGIA-PACIFIC.          002      673,368           61
VA.............  E I DUPONT DE             004    1,344,182          122
                  NEMOURS & CO.
VA.............  HOECHST CELANESE          003      885,360           81
                  CORP.
VA.............  E I DUPONT DE             006    1,281,074          117
                  NEMOURS & CO.
VA.............  E I DUPONT DE             007      978,350           89
                  NEMOURS & CO.
VA.............  HOECHST CELANESE          005      656,880           60
                  CORP.
VA.............  E I DUPONT DE             008    1,272,956          116
                  NEMOURS & CO.

[[Page 56387]]

VA.............  HOECHST CELANESE          002      612,000           56
                  CORP.
VA.............  E I DUPONT DE             005    1,202,326          109
                  NEMOURS & CO.
VA.............  HOECHST CELANESE          004      226,800           21
                  CORP.
WV.............  ELKEM METALS              016      435,240           58
                  COMPANY--ALLOY
                  P.
WV.............  DU PONT--BELLE..          0ZD      844,340          113
WV.............  BASF CORPORATION          003      312,814           42
                  HUNTINGTON WO.
WV.............  WEIRTON STEEL             030    1,209,426          161
                  CORPORATION.
WV.............  WEIRTON STEEL             088      500,915           67
                  CORPORATION.
WV.............  WEIRTON STEEL             089      305,643           41
                  CORPORATION.
WV.............  WEIRTON STEEL             090      585,781           78
                  CORPORATION.
WV.............  WEIRTON STEEL             091      580,467           77
                  CORPORATION.
WV.............  WEIRTON STEEL             092      721,698           96
                  CORPORATION.
WV.............  WEIRTON STEEL             093      702,068           94
                  CORPORATION.
WV.............  QUAKER STATE              001      693,049           92
                  REFINING CORP.
                  --.
WV.............  QUAKER STATE              002      709,589           95
                  REFINING CORP.
                  --.
WV.............  QUAKER STATE              004      743,213           99
                  REFINING CORP.
                  --.
WV.............  DU PONT--BELLE..          0ZA    1,046,722          140
WV.............  WEIRTON STEEL             087      413,954           55
                  CORPORATION.
WV.............  DU PONT--BELLE..          0ZC      380,180           51
WV.............  DU PONT                   0P6      803,015          107
                  WASHINGTON
                  WORKS.
WV.............  DU PONT--BELLE..          0ZE    1,079,138          144
WV.............  FMC CORPORATION--         003    4,423,563          590
                  STEAM PLANT.
WV.............  UNION CARBIDE--           0B1      737,843           98
                  SOUTH CHARLEST.
WV.............  PPG INDUSTRIES,           001    1,402,296          187
                  INC.
WV.............  PPG INDUSTRIES,           002      824,976          110
                  INC.
WV.............  PPG INDUSTRIES,           003    2,445,280          326
                  INC.
WV.............  BAYER                     022      206,694           28
                  CORPORATION.
WV.............  COLUMBIAN                 032      296,762           40
                  CHEMICALS CO.
WV.............  CYTEC INDUSTRIES          OWA      362,304           48
WV.............  CYTEC INDUSTRIES          OWB      362,304           48
WV.............  DU PONT                   OP4      351,654           47
                  WASHINGTON
                  WORKS.
WV.............  DU PONT                   OP5      608,426           81
                  WASHINGTON
                  WORKS.
WV.............  DU PONT--BELLE..          OZB      898,968          120
------------------------------------------------------------------------

Appendix B to Part 97--NOx Allowance Allocation Tables 
for Affected Sources Under Section 110 of the Act in Georgia, South 
Carolina, and Wisconsin

                       Table B.1.--Allocations to Fossil Fuel-Fired EGUs by mmBtu and MWh
----------------------------------------------------------------------------------------------------------------
                                                                  Unit         Unit
                                                               average of   average of
                                                              two highest  two Highest      Unit         Unit
     State        Plant ID      Point ID          Plant         of 1995,     of 1995,   allocations   allocation
                                                                1996, or     1996, or      by HI       s by MWh
                                                              1997 summer  1997 summer
                                                                   HI          MWh
----------------------------------------------------------------------------------------------------------------
GA............          699  1               ARKWRIGHT......      576,855       55,467           45           42
GA............          699  2               ARKWRIGHT......      586,172       56,363           46           43
GA............          699  3               ARKWRIGHT......      699,177       67,229           55           51
GA............          699  4               ARKWRIGHT......      629,120       60,492           49           46
GA............          700  A2              ATKINSON.......      906,420       85,511           71           65
GA............          700  A3              ATKINSON.......      817,568       62,880           64           48
GA............          700  A4              ATKINSON.......      754,261       58,199           59           44
GA............          703  1BLR            BOWEN..........   21,604,980    2,244,673        1,696        1,713
GA............          703  2BLR            BOWEN..........   22,900,012    2,406,980        1,798        1,837
GA............          703  3BLR            BOWEN..........   28,660,178    3,033,144        2,250        2,314
GA............          703  4BLR            BOWEN..........   26,354,043    2,794,110        2,069        2,132
GA............          708  1               HAMMOND........    2,110,931      210,861          166          161
GA............          708  2               HAMMOND........    2,040,405      191,336          160          146
GA............          708  3               HAMMOND........    2,025,655      192,480          159          147
GA............          708  4               HAMMOND........   10,921,707    1,088,470          858          831
GA............          709  1               HARLLEE BRANCH.    6,718,809      684,684          528          522
GA............          709  2               HARLLEE BRANCH.    8,055,215      830,949          632          634
GA............          709  3               HARLLEE BRANCH.   13,120,649    1,392,407        1,030        1,062
GA............          709  4               HARLLEE BRANCH.   13,892,588    1,492,864        1,091        1,139
GA............        54538  MAG1            HARTWELL ENERGY       22,233        2,616            2            2
                                              FACILITY.
GA............        54538  MAG2            HARTWELL ENERGY       26,322        3,097            2            2
                                              FACILITY.
GA............          710  MB1             JACK MCDONOUGH.    6,978,996      702,254          548          536
GA............          710  MB2             JACK MCDONOUGH.    7,807,471      791,913          613          604
GA............          733  1               KRAFT..........    1,099,803       97,856           86           75
GA............          733  2               KRAFT..........      981,804       89,917           77           69
GA............          733  3               KRAFT..........    1,950,273      184,023          153          140
GA............          733  4               KRAFT..........      664,593       65,769           52           50
GA............         6124  1               MCINTOSH.......    4,024,081      410,746          316          313
GA............         6124  --CT3           MCINTOSH.......      345,688       26,942           27           21
GA............         6124  --CT4           MCINTOSH.......      325,133       25,340           26           19
GA............         6124  --CT5           MCINTOSH.......      341,543       26,619           27           20
GA............         6124  --CT6           MCINTOSH.......      340,759       26,557           27           20
GA............         6124  --CT7           MCINTOSH.......      315,416       32,195           25           25

[[Page 56388]]

GA............         6124  --CT8           MCINTOSH.......      328,841       33,565           26           26
GA............          715  1               MCMANUS........      589,903       55,651           46           42
GA............          715  2               MCMANUS........      954,370       94,027           75           72
GA............          727  3               MITCHELL.......    3,043,908      306,784          239          234
GA............          734  12              RIVERSIDE......      193,852       17,000           15           13
GA............         7348  CT1             ROBINS.........      268,614       31,602           21           24
GA............         7348  CT2             ROBINS.........      292,814       34,449           23           26
GA............         6257  1               SCHERER........   23,234,939    2,383,804        1,824        1,819
GA............         6257  2               SCHERER........   24,621,510    2,553,039        1,933        1,948
GA............         6257  3               SCHERER........   25,671,808    2,581,378        2,016        1,970
GA............         6257  4               SCHERER........   29,025,526    2,918,605        2,279        2,227
GA............         6052  1               WANSLEY........   21,381,911    2,300,367        1,679        1,755
GA............         6052  2               WANSLEY........   21,242,550    2,283,163        1,668        1,742
GA............         6052  --5A            WANSLEY........      100,644        7,625            8            6
GA............          728  Y1BR            YATES..........    1,867,410      161,164          147          123
GA............          728  Y2BR            YATES..........    2,067,213      182,165          162          139
GA............          728  Y3BR            YATES..........    1,867,344      156,630          147          120
GA............          728  Y4BR            YATES..........    2,626,026      261,739          206          200
GA............          728  Y5BR            YATES..........    2,296,410      221,000          180          169
GA............          728  Y6BR            YATES..........    6,632,004      659,048          521          503
GA............          728  Y7BR            YATES..........    6,805,284      689,632          534          526
SC............         3280  CAN1            CANADYS STEAM..    2,869,700      284,129          282          276
SC............         3280  CAN2            CANADYS STEAM..    3,511,752      347,698          345          338
SC............         3280  CAN3            CANADYS STEAM..    4,088,313      400,815          401          389
SC............         7210  COP1            COPE...........   10,227,161      983,381        1,004          955
SC............          130  1               CROSS..........   15,587,385    1,640,777        1,530        1,594
SC............          130  2               CROSS..........   14,641,271    1,534,724        1,437        1,491
SC............         3317  1               DOLPHUS M          1,668,846      160,899          164          156
                                              GRAINGER.
SC............         3317  2               DOLPHUS M          1,453,280      140,549          143          137
                                              GRAINGER.
SC............         3251  1               H B ROBINSON...    4,576,700      469,984          449          457
SC............         3285  --4             HAGOOD.........      195,876       15,853           19           15
SC............         3318  --3             HILTON HEAD....       96,373        7,301            9            7
SC............         3319  1               JEFFERIES......       87,283        8,234            9            8
SC............         3319  2               JEFFERIES......       95,610        9,020            9            9
SC............         3319  3               JEFFERIES......    3,609,158      356,460          354          346
SC............         3319  4               JEFFERIES......    3,821,882      385,309          375          374
SC............         3287  MCM1            MCMEEKIN.......    4,125,180      438,849          405          426
SC............         3287  MCM2            MCMEEKIN.......    3,928,408      417,916          386          406
SC............        50806  ST__NER         STONE CONTAINER    1,347,859      127,157          132          124
SC............         3295  URQ1            URQUHART.......    2,118,629      207,709          208          202
SC............         3295  URQ2            URQUHART.......    2,190,221      214,728          215          209
SC............         3295  URQ3            URQUHART.......    3,017,055      307,863          296          299
SC............         3264  1               W S LEE........    1,529,058      130,232          150          127
SC............         3264  2               W S LEE........    1,653,216      148,138          162          144
SC............         3264  3               W S LEE........    2,934,022      293,402          288          285
SC............         3264  --4             W S LEE........       50,719        3,559            5            3
SC............         3297  WAT1            WATEREE........    8,329,168      849,915          818          826
SC............         3297  WAT2            WATEREE........   10,033,636    1,023,840          985          995
SC............         3298  WIL1            WILLIAMS.......   20,429,832    2,084,677        2,006        2,025
SC............         6249  1               WINYAH.........    7,076,385      728,773          695          708
SC............         6249  2               WINYAH.........    7,783,646      780,472          764          758
SC............         6249  3               WINYAH.........    6,588,503      620,913          647          603
SC............         6249  4               WINYAH.........    7,930,443      802,758          779          780
WI............         4140  B4              ALMA...........      906,033       82,667           68           64
WI............         4140  B5              ALMA...........    1,322,085      127,590           99           99
WI............  ...........  2               ARCADIA                  359           25            0            0
                                              MUNICIPAL
                                              ELECTRIC.
WI............  ...........  3               ARCADIA                  181           13            0            0
                                              MUNICIPAL
                                              ELECTRIC.
WI............  ...........  4               ARCADIA                   78            5            0            0
                                              MUNICIPAL
                                              ELECTRIC.
WI............  ...........  5               ARCADIA                4,411          310            0            0
                                              MUNICIPAL
                                              ELECTRIC.
WI............  ...........  CT1             BEACH..........        8,810          618            1            0
WI............         3992  8               BLOUNT STREET..      746,085       61,609           56           48
WI............         3992  9               BLOUNT STREET..      883,198       72,931           66           56
WI............         8023  1               COLUMBIA.......   17,697,465    1,721,376        1,328        1,333
WI............         8023  2               COLUMBIA.......   19,254,893    1,881,831        1,445        1,458
WI............         7159  --1             CONCORD........      234,673       19,126           18           15
WI............         7159  --2             CONCORD........      252,008       20,539           19           16
WI............         7159  --3             CONCORD........      222,583       16,862           17           13
WI............         7159  --4             CONCORD........      217,995       16,515           16           13
WI............  ...........  ..............  CUMBERLAND               193           14            0            0
                                              MUNICIPAL
                                              UTILITY.
WI............  ...........  ..............  CUMBERLAND               280           20            0            0
                                              MUNICIPAL
                                              UTILITY.
WI............  ...........  ..............  CUMBERLAND               374           26            0            0
                                              MUNICIPAL
                                              UTILITY.
WI............  ...........  ..............  CUMBERLAND               584           41            0            0
                                              MUNICIPAL
                                              UTILITY.
WI............  ...........  1               DANBURY........           65            5            0            0
WI............  ...........  2               DANBURY........           73            5            0            0
WI............  ...........  3               DANBURY........          158           11            0            0
WI............         4050  3               EDGEWATER......    1,632,111      139,963          122          108

[[Page 56389]]

WI............         4050  4               EDGEWATER......    8,821,558      917,097          662          710
WI............         4050  5               EDGEWATER......   12,812,254    1,206,427          961          935
WI............  ...........  1               FITCHBURG......       93,659        6,573            7            5
WI............  ...........  2               FITCHBURG......       90,110        6,323            7            5
WI............  ...........  CT1             FLAMBEAU.......       78,623        5,517            6            4
WI............  ...........  2               FREDERIC.......           20            1            0            0
WI............  ...........  3               FREDERIC.......           19            1            0            0
WI............  ...........  4               FREDERIC.......          144           10            0            0
WI............  ...........  5               FREDERIC.......          103            7            0            0
WI............  ...........  6               FREDERIC.......          705           49            0            0
WI............  ...........  7               FREDERIC.......          871           61            0            0
WI............  ...........  CT1             FRENCH ISLAND..       56,592        4,287            4            3
WI............  ...........  CT2             FRENCH ISLAND..       20,835        1,578            2            1
WI............         4143  1               GENOA..........    9,095,142    1,001,668          682          776
WI............         6253  --1             GERMANTOWN.....      107,413        8,137            8            6
WI............         6253  --2             GERMANTOWN.....      107,413        8,137            8            6
WI............         6253  --3             GERMANTOWN.....      107,413        8,137            8            6
WI............         6253  --4             GERMANTOWN.....      107,413        8,137            8            6
WI............         4271  B1              J P MADGETT....    9,339,971      841,818          701          652
WI............  ...........  CT1             MANITOWOC......       21,524        1,510            2            1
WI............  ...........  31              MARINETTE......       76,764        5,387            6            4
WI............  ...........  32              MARINETTE......       22,262        1,562            2            1
WI............  ...........  33              MARINETTE......      383,016       29,016           29           22
WI............        54851  GT__MSD         MMSD...........       22,263        1,562            2            1
WI............         4054  1               NELSON DEWEY...    2,969,241      276,363          223          214
WI............         4054  2               NELSON DEWEY...    3,141,352      301,995          236          234
WI............  ...........  1               NINE SPRINGS...       16,452        1,155            1            1
WI............  ...........  ..............  Northwestern              37            3            0            0
                                              Wisconsin
                                              Electric Com.
WI............  ...........  ..............  Northwestern              50            4            0            0
                                              Wisconsin
                                              Electric Com.
WI............  ...........  ..............  Northwestern             391           27            0            0
                                              Wisconsin
                                              Electric Com.
WI............  ...........  ..............  Northwestern           1,127           79            0            0
                                              Wisconsin
                                              Electric Com.
WI............         7270  **1             PARIS..........      382,238       28,957           29           22
WI............         7270  **2             PARIS..........      487,654       36,943           37           29
WI............         7270  **3             PARIS..........      524,161       39,709           39           31
WI............         7270  **4             PARIS..........      386,103       29,250           29           23
WI............         6170  1               PLEASANT          23,012,814    2,129,633        1,727        1,650
                                              PRAIRIE.
WI............         6170  2               PLEASANT          21,265,904    1,967,972        1,596        1,524
                                              PRAIRIE.
WI............  ...........  AUX1            PLEASANT              18,405        1,736            1            1
                                              PRAIRIE.
WI............  ...........  AUX2            PLEASANT              10,617        1,002            1            1
                                              PRAIRIE.
WI............         4040  1               PORT WASHINGTON    1,295,715      124,588           97           97
WI............         4040  2               PORT WASHINGTON    1,613,882      155,660          121          121
WI............         4040  3               PORT WASHINGTON    1,719,476      167,362          129          130
WI............         4040  4               PORT WASHINGTON    1,439,805      140,141          108          109
WI............         4072  4               PULLIAM........      395,870       38,064           30           29
WI............         4072  5               PULLIAM........    1,150,234       94,904           86           74
WI............         4072  6               PULLIAM........    1,994,261      167,726          150          130
WI............         4072  7               PULLIAM........    2,684,757      258,722          201          200
WI............         4072  8               PULLIAM........    4,610,833      453,020          346          351
WI............  ...........  3               RIVER FALLS               36            3            0            0
                                              MUNICIPAL
                                              UTILITY.
WI............  ...........  5               RIVER FALLS            2,527          177            0            0
                                              MUNICIPAL
                                              UTILITY.
WI............  ...........  7               RIVER FALLS           11,357          797            1            1
                                              MUNICIPAL
                                              UTILITY.
WI............         4057  1               ROCK RIVER.....    1,999,193      168,666          150          131
WI............         4057  2               ROCK RIVER.....    2,050,594      170,174          154          132
WI............  ...........  3               ROCK RIVER.....       29,868        2,096            2            2
WI............  ...........  4               ROCK RIVER.....       15,112        1,060            1            1
WI............  ...........  5               ROCK RIVER.....      166,306       12,599           12           10
WI............  ...........  6               ROCK RIVER.....       70,005        5,303            5            4
WI............  ...........  30              SHEEPSKIN......      124,716        8,752            9            7
WI............         7203  **CT1           SOUTH FOND DU        262,538       19,889           20           15
                                              LAC.
WI............         7203  **CT2           SOUTH FOND DU        275,481       18,992           21           15
                                              LAC.
WI............         7203  **CT3           SOUTH FOND DU        260,349       18,555           20           14
                                              LAC.
WI............         4041  5               SOUTH OAK CREEK    5,906,838      667,439          443          517
WI............         4041  6               SOUTH OAK CREEK    6,206,014      701,244          466          543
WI............         4041  7               SOUTH OAK CREEK    8,697,896      978,611          653          758
WI............         4041  8               SOUTH OAK CREEK    8,278,088      921,016          621          713
WI............  ...........  1               SYCAMORE.......       33,342        2,340            3            2
WI............  ...........  2               SYCAMORE.......       73,840        5,182            6            4
WI............         4042  1               VALLEY.........    1,387,542      119,133          104           92
WI............         4042  2               VALLEY.........    1,420,141      121,932          107           94
WI............         4042  3               VALLEY.........    1,856,188      158,014          139          122
WI............         4042  4               VALLEY.........    1,745,618      148,601          131          115
WI............  ...........  CT1             WASHINGTON                75            5            0            0
                                              ISLAND
                                              ELECTRIC
                                              COOPERAT.
WI............  ...........  CT2             WASHINGTON                46            3            0            0
                                              ISLAND
                                              ELECTRIC
                                              COOPERAT.
WI............  ...........  CT3             WASHINGTON                 3            0            0            0
                                              ISLAND
                                              ELECTRIC
                                              COOPERAT.
WI............  ...........  CT4             WASHINGTON                94            7            0            0
                                              ISLAND
                                              ELECTRIC
                                              COOPERAT.
WI............  ...........  CT5             WASHINGTON               153           11            0            0
                                              ISLAND
                                              ELECTRIC
                                              COOPERAT.

[[Page 56390]]

WI............  ...........  CT6             WASHINGTON               270           19            0            0
                                              ISLAND
                                              ELECTRIC
                                              COOPERAT.
WI............         4076  --33            WEST MARINETTE.      227,932       18,531           17           14
WI............         4078  1               WESTON.........    1,706,613      143,124          128          111
WI............         4078  2               WESTON.........    2,947,494      274,594          221          213
WI............         4078  3               WESTON.........   12,197,388    1,197,819          915          928
WI............  ...........  1               WHEATON........       52,813        4,001            4            3
WI............  ...........  2               WHEATON........       58,350        4,420            4            3
WI............  ...........  3               WHEATON........       48,564        3,679            4            3
WI............  ...........  4               WHEATON........       40,981        3,105            3            2
WI............  ...........  5               WHEATON........       23,635        1,791            2            1
WI............  ...........  6               WHEATON........       17,227        1,305            1            1
----------------------------------------------------------------------------------------------------------------


              Table B.2.--Allocations to Non-EGUs by mmBtu
------------------------------------------------------------------------
                                                                 Unit
     State             Plant         Point ID    Unit 1995   allocations
                                                 summer HI      by HI
------------------------------------------------------------------------
GA.............  MERCK & CO INC..          004    1,137,138          134
GA.............  FEDERAL PAPER             007    2,551,114          300
                  BOARD CO INC.
GA.............  DSM CHEMICALS             001    1,137,974          134
                  NORTH AMERICA
                  INC.
GA.............  PACKAGING CORP            015    1,239,138          146
                  OF AMERICA.
GA.............  INTERSTATE PAPER          006      771,395           91
                  CORP.
GA.............  CARGILL.........          001      461,546           54
GA.............  BLUE............          001       25,892            3
GA.............  INLAND-ROME.....          001      986,136          116
GA.............  GILMAN PAPER CO           003    1,715,895          202
                  ST MARYS KRAFT
                  BAG.
GA.............  AUSTELL.........          001    1,507,475          177
GA.............  FEDERAL PAPER             008    3,189,139          375
                  BOARD CO INC.
GA.............  GILMAN PAPER CO           016    2,130,015          250
                  ST MARYS KRAFT
                  BAG.
GA.............  UNION CAMP CORP.          018        1,404            0
GA.............  UNION CAMP CORP.          019    1,749,095          206
GA.............  UNION CAMP CORP.          020    3,300,620          388
GA.............  UNION CAMP CORP.          021    4,611,960          542
GA.............  SAVANNAH SUGAR            017      370,056           44
                  REFINERY.
SC.............  SPRINGS                   004       93,432           13
                  IND:GRACE.
SC.............  HOECHST/                  005    1,284,708          175
                  CEL:ROCKHILL.
SC.............  GOODYEAR:SPARTAN          001        5,196            1
                  BURG.
SC.............  CAROLINA EASTMAN          005      823,637          112
                  CO.
SC.............  CAROLINA EASTMAN          006      348,861           48
                  CO.
SC.............  GASTON COPPER             006      151,636           21
                  RECYCL.
SC.............  WILLAMETTE:BNVL           005      552,532           75
                  PULP.
SC.............  UNION                     001    2,637,388          360
                  CAMP:EASTOVER.
SC.............  CAROLINA EASTMAN          004    1,224,571          167
                  CO.
SC.............  TRANDCENTNTL              005       16,691            2
                  PIPELINE.
SC.............  BOWATER CAROLINA          001       66,597            9
                  CO.
SC.............  HOECHST/                  001      858,080          117
                  CEL:ROCKHILL.
SC.............  HOECHST/                  002      858,080          117
                  CEL:ROCKHILL.
SC.............  HOECHST/                  004    1,284,708          175
                  CEL:ROCKHILL.
SC.............  HOECHST/                  006    1,352,714          185
                  CEL:ROCKHILL.
SC.............  DUPONT,EI:MAY             015    1,058,715          145
                  PLANT.
SC.............  SPRINGS                   003      962,472          131
                  IND:GRACE.
SC.............  HOECHST/                  003      858,080          117
                  CEL:ROCKHILL.
SC.............  WESTVACO:KRAFT            007    1,534,180          210
                  DIV.
SC.............  CAROLINA EASTMAN          003    1,174,931          160
                  CO.
SC.............  DUPONT, EI:MAY            014    1,110,177          152
                  PLANT.
SC.............  SAVANNAH R                001      322,804           44
                  PL:AREA D.
SC.............  SAVANNAH R                002    1,160,658          159
                  PL:AREA D.
SC.............  SAVANNAH R                003      270,000           37
                  PL:AREA D.
SC.............  WESTVACO:KRAFT            003      604,557           83
                  DIV.
SC.............  SONOCO:HARTSVILL          003      992,068          135
                  E.
SC.............  SONOCO:HARTSVILL          004    1,245,367          170
                  E.
SC.............  STONE                     002      699,348           96
                  CONT:FLORENCE.
SC.............  US AIRFORCE:MRTL          007        1,246            0
                  BCH.
SC.............  STONE                     010    4,460,897          609
                  CONT:FLORENCE.
SC.............  US FINISHING....          004       12,125            2
SC.............  US FINISHING....          005        6,928            1
SC.............  US FINISHING....          006        1,155            0
SC.............  CAROTELL PAPER            004       17,136            2
                  BOARD.
SC.............  US AIRFORCE:MRTL          005        2,476            0
                  BCH.
SC.............  STONE                     004    1,736,541          237
                  CONT:FLORENCE.
SC.............  SAVANNAH R                004      501,768           69
                  PL:AREA D.
WI.............  LADISH MALTING            B28       79,675           12
                  CO.
WI.............  TENNECO                   B30        8,660            1
                  PACKAGING INC.
WI.............  A.A. LAUN                 B21            0            0
                  FURNITURE CO.
WI.............  MILLER BREWING            B20      465,928           71
                  COMPANY
                  MILWAUKEE PLANT.

[[Page 56391]]

WI.............  PROCTER & GAMBLE          B06      193,276           30
                  PAPER PRODUCTS
                  COMPANY.
WI.............  WIS DOA / UW-             B20       32,909            5
                  MILWAUKEE POWER
                  PLANT.
WI.............  ST. JOSEPH'S              T07          577            0
                  HOSPITAL.
WI.............  WAUSAU PAPER              B25       65,242           10
                  MILLS COMPANY.
WI.............  WIS DOA / UW              B25      256,925           39
                  MADISON--CHARTE
                  R ST.
WI.............  WIS DOA / UW              B21      608,077           93
                  MADISON--CHARTE
                  R ST.
WI.............  FORT HOWARD               B26    1,448,966          222
                  CORPORATION.
WI.............  PROCTER & GAMBLE          B05       80,349           12
                  PAPER PRODUCTS
                  COMPANY.
WI.............  PROCTER & GAMBLE          B07      116,626           18
                  PAPER PRODUCTS
                  COMPANY.
WI.............  JAMES RIVER               B01      419,007           64
                  CORPORATION--GR
                  EEN BAY MILL.
WI.............  ST. JOSEPH'S              T08          577            0
                  HOSPITAL.
WI.............  ANDIS COMPANY...          B10          577            0
WI.............  FORT HOWARD               B29    1,785,381          273
                  CORPORATION.
WI.............  FORT HOWARD               B27    2,670,322          409
                  CORPORATION.
WI.............  GREAT LAKES GAS           P01      716,318          110
                  TRANSMISSION-
                  COMP STATIO.
WI.............  ANDIS COMPANY...          B11            0            0
WI.............  BURNETT MEDICAL           B22        1,155            0
                  CENTER.
WI.............  CONSOLIDATED              B24       70,438           11
                  PAPERS INC-
                  KRAFT DIV.
WI.............  CONSOLIDATED              B21    1,286,371          197
                  PAPERS INC-
                  KRAFT DIV.
WI.............  NEKOOSA PAPERS            B24      848,238          130
                  INC NEKOOSA
                  MILL.
WI.............  CONSOLIDATED              B20    1,566,432          240
                  PAPERS INC-
                  KRAFT DIV.
WI.............  CONSOL PAPERS             B24    1,538,813          236
                  INC BIRON DIV.
WI.............  FLAMBEAU PAPER            I50        9,815            2
                  CORP.
WI.............  DELUXE CHECK              B20        1,732            0
                  PRINTERS.
WI.............  HYDRO-PLATERS,            B01            0            0
                  INC.
WI.............  BLOUNT INC.               B20        1,155            0
                  FORESTY &
                  INDUSTRIAL
                  EQUIP D.
WI.............  APPLETON PAPERS           B23    1,453,493          223
                  INC LOCKS MILL.
WI.............  APPLETON PAPERS           B05       35,796            5
                  INC LOCKS MILL.
WI.............  THILMANY PULP &           B11    1,460,691          224
                  PAPER COMPANY.
WI.............  RHINELANDER               B26    1,370,808          210
                  PAPER CO.
WI.............  QUAD/GRAPHICS,            B02          577            0
                  INC.
WI.............  QUAD/GRAPHICS,            B01          577            0
                  INC.
WI.............  PRINTWORKS INC..          P33          577            0
WI.............  CONSOL PAPERS             B23    1,274,336          195
                  INC BIRON DIV.
------------------------------------------------------------------------

Appendix C to Part 97-State-by-State Maximum Summer NOX 
Emission Levels and Allocation Aggregates

----------------------------------------------------------------------------------------------------------------
                                                                               EGU                     Non-EGU
                                                              EGU maximum  allocations    Non-EGU    allocations
                            State                              summer NOx    (95% of      maximum      (95% of
                                                                  Tons       maximum     summer NOx    maximum
                                                                             summer)        tons       summer)
----------------------------------------------------------------------------------------------------------------
AL..........................................................       28,884       27,440        3,347        3,179
CT..........................................................        2,545        2,418          283          269
DC..........................................................          207          196           18           17
DE..........................................................        3,489        3,315          238          226
GA..........................................................       30,061       28,558        3,328        3,161
IL..........................................................       30,165       28,657        3,600        3,420
IN..........................................................       46,627       44,296       11,325       10,758
KY..........................................................       36,315       34,499        1,709        1,624
MA..........................................................       14,619       13,888          232          220
MD..........................................................       14,788       14,048          802          762
MI..........................................................       26,344       25,027        2,844        2,702
MO..........................................................       23,171       22,012          132          126
NC..........................................................       29,967       28,468        3,277        3,113
NJ..........................................................        7,898        7,503        3,882        3,688
NY..........................................................       29,391       27,921        4,409        4,189
OH..........................................................       45,776       43,487        8,693        8,258
PA..........................................................       48,038       45,636        4,657        4,424
RI..........................................................        1,115        1,059            0            0
SC..........................................................       16,286       15,472        4,355        4,137
TN..........................................................       25,386       24,117        8,085        7,681
VA..........................................................       18,009       17,109        5,372        5,104
WI..........................................................       16,751       15,913        3,204        3,043
WV..........................................................       26,439       25,117        3,509        3,334
                                                             ---------------------------------------------------
      Total.................................................      522,271      496,157       77,300       73,436
----------------------------------------------------------------------------------------------------------------

[FR Doc. 98-26292 Filed 10-20-98; 8:45 am]
BILLING CODE 6560-50-P