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PART 97 - FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM
Authority:

42 U.S.C. 7401, 7403, 7410, 7426, 7491, 7601, and 7651, et seq.

Source:

65 FR 2727, Jan. 18, 2000, unless otherwise noted. 71 FR 25396, 25422, and 25443, Apr. 28, 2006

Subpart A - NOX Budget Trading Program General Provisions
§ 97.1 Purpose.

This part establishes general provisions and the applicability, permitting, allowance, excess emissions, monitoring, and opt-in provisions for the federal NOX Budget Trading Program, under section 126 of the CAA and § 52.34 of this chapter, as a means of mitigating the interstate transport of ozone and nitrogen oxides, an ozone precursor.

§ 97.2 Definitions.

The terms used in this part shall have the meanings set forth in this section as follows:

Account number means the identification number given by the Administrator to each NOX Allowance Tracking System account.

Acid Rain emissions limitation means, as defined in § 72.2 of this chapter, a limitation on emissions of sulfur dioxide or nitrogen oxides under the Acid Rain Program under title IV of the Clean Air Act.

Administrator means the Administrator of the United States Environmental Protection Agency or the Administrator's duly authorized representative.

Allocate or allocation means, with regard to NOX allowances, the determination by the Administrator of the number of NOX allowances to be initially credited to a NOX Budget unit or an allocation set-aside.

Automated data acquisition and handling system or DAHS means that component of the CEMS, or other emissions monitoring system approved for use under subpart H of this part, designed to interpret and convert individual output signals from pollutant concentration monitors, flow monitors, diluent gas monitors, and other component parts of the monitoring system to produce a continuous record of the measured parameters in the measurement units required by subpart H of this part.

Boiler means an enclosed fossil or other fuel-fired combustion device used to produce heat and to transfer heat to recirculating water, steam, or other medium.

Clean Air Act means the Clean Air Act, 42 U.S.C. 7401 et seq.

Combined cycle system means a system comprised of one or more combustion turbines, heat recovery steam generators, and steam turbines configured to improve overall efficiency of electricity generation or steam production.

Combustion turbine means an enclosed fossil or other fuel-fired device that is comprised of a compressor, a combustor, and a turbine, and in which the flue gas resulting from the combustion of fuel in the combustor passes through the turbine, rotating the turbine.

Commence commercial operation means, with regard to a unit that serves a generator, to have begun to produce steam, gas, or other heated medium used to generate electricity for sale or use, including test generation. Except as provided in § 97.4(b), § 97.5, or subpart I of this part, for a unit that is a NOX Budget unit under § 97.4(a) on the date the unit commences commercial operation, such date shall remain the unit's date of commencement of commercial operation even if the unit is subsequently modified, reconstructed, or repowered. Except as provided in § 97.4(b), § 97.5, or subpart I of this part, for a unit that is not a NOX Budget unit under § 97.4(a) on the date the unit commences commercial operation, the date the unit becomes a NOX Budget unit under § 97.4(a) shall be the unit's date of commencement of commercial operation.

Commence operation means to have begun any mechanical, chemical, or electronic process, including, with regard to a unit, start-up of a unit's combustion chamber. Except as provided in § 97.4(b), § 97.5, or subpart I of this part for a unit that is a NOX Budget unit under § 97.4(a) on the date of commencement of operation, such date shall remain the unit's date of commencement of operation even if the unit is subsequently modified, reconstructed, or repowered. Except as provided in § 97.4(b), § 97.5, or subpart I of this part, for a unit that is not a NOX Budget unit under § 97.4(a) on the date of commencement of operation, the date the unit becomes a NOX Budget unit under § 97.4(a) shall be the unit's date of commencement of operation.

Common stack means a single flue through which emissions from two or more units are exhausted.

Compliance account means a NOX Allowance Tracking System account, established by the Administrator for a NOX Budget unit under subpart F of this part, in which the NOX allowance allocations for the unit are initially recorded and in which are held NOX allowances available for use by the unit for a control period for the purpose of meeting the unit's NOX Budget emissions limitation.

Continuous emission monitoring system or CEMS means the equipment required under subpart H of this part to sample, analyze, measure, and provide, by means of readings taken at least once every 15 minutes (using an automated data acquisition and handling system (DAHS)), a permanent record of nitrogen oxides (NOX) emissions, stack gas volumetric flow rate or stack gas moisture content (as applicable), in a manner consistent with part 75 of this chapter. The following are the principal types of continuous emission monitoring systems required under subpart H of this part:

(1) A flow monitoring system, consisting of a stack flow rate monitor and an automated DAHS. A flow monitoring system provides a permanent, continuous record of stack gas volumetric flow rate, in units of standard cubic feet per hour (scfh);

(2) A nitrogen oxides concentration monitoring system, consisting of a NOX pollutant concentration monitor and an automated DAHS. A NOX concentration monitoring system provides a permanent, continuous record of NOX emissions in units of parts per million (ppm);

(3) A nitrogen oxides emission rate (or NOX-diluent) monitoring system, consisting of a NOX pollutant concentration monitor, a diluent gas (CO2 or O2) monitor, and an automated DAHS. A NOX concentration monitoring system provides a permanent, continuous record of: NOX concentration in units of parts per million (ppm), diluent gas concentration in units of percent O2 or CO2 (percent O2 or CO2), and NOX emission rate in units of pounds per million British thermal units (lb/mmBtu); and

(4) A moisture monitoring system, as defined in § 75.11(b)(2) of this chapter. A moisture monitoring system provides a permanent, continuous record of the stack gas moisture content, in units of percent H2O (percent H2O).

Control period means the period beginning May 1 of a year and ending on September 30 of the same year, inclusive.

Electricity for sale under firm contract to the grid means electricity for sale where the capacity involved is intended to be available at all times during the period covered by a guaranteed commitment to deliver, even under adverse conditions.

Emissions means air pollutants exhausted from a unit or source into the atmosphere, as measured, recorded, and reported to the Administrator by the NOX authorized account representative and as determined by the Administrator in accordance with subpart H of this part.

Energy Information Administration means the Energy Information Administration of the United States Department of Energy.

Excess emissions means any tonnage of nitrogen oxides emitted by a NOX Budget unit during a control period that exceeds the NOX Budget emissions limitation for the unit.

Fossil fuel means natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material.

Fossil fuel fired means, with regard to a unit:

(1) For units that commenced operation before January 1, 1996, the combustion of fossil fuel, alone or in combination with any other fuel, where fossil fuel actually combusted comprises more than 50 percent of the annual heat input on a Btu basis during 1995, or, if a unit had no heat input in 1995, during the last year of operation of the unit prior to 1995;

(2) For units that commenced operation on or after January 1, 1996 and before January 1, 1997, the combustion of fossil fuel, alone or in combination with any other fuel, where fossil fuel actually combusted comprises more than 50 percent of the annual heat input on a Btu basis during 1996; or

(3) For units that commence operation on or after January 1, 1997:

(i) The combination of fossil fuel, alone or in combustion with any other fuel, where fossil fuel actually combusted comprises more than 50 percent of the annual heat input on a Btu basis during any year; or

(ii) The combination of fossil fuel, alone or in combination with any other fuel, where fossil fuel is projected to comprise more than 50 percent of the annual heat input on a Btu basis during any year, provided that the unit shall be “fossil fuel-fired” as of the date, during such year, on which the unit begins combusting fossil fuel.

General account means a NOX Allowance Tracking System account, established under subpart F of this part, that is not a compliance account or an overdraft account.

Generator means a device that produces electricity.

Heat input means, with regard to a specified period to time, the product (in mmBtu/time) of the gross calorific value of the fuel (in Btu/lb) divided by 1,000,000 Btu/mmBtu and multiplied by the fuel feed rate into a combustion device (in lb of fuel/time), as measured, recorded, and reported to the Administrator by the NOX authorized account representative and as determined by the Administrator in accordance with subpart H of this part. Heat input does not include the heat derived from preheated combustion air, recirculated flue gases, or exhaust from other sources.

Heat input rate means the amount of heat input (in mmBtu) divided by unit operating time (in hr) or, with regard to a specific fuel, the amount of heat input attributed to the fuel (in mmBtu) divided by the unit operating time (in hr) during which the unit combusts the fuel.

Life-of-the-unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is entitled to receive, a specified amount or percentage of nameplate capacity and associated energy from any specified unit and pays its proportional amount of such unit's total costs, pursuant to a contract:

(1) For the life of the unit;

(2) For a cumulative term of no less than 30 years, including contracts that permit an election for early termination; or

(3) For a period equal to or greater than 25 years or 70 percent of the economic useful life of the unit determined as of the time the unit is built, with option rights to purchase or release some portion of the nameplate capacity and associated energy generated by the unit at the end of the period.

Maximum design heat input means the ability of a unit to combust a stated maximum amount of fuel per hour (in mmBtu/hr) on a steady state basis, as determined by the physical design and physical characteristics of the unit.

Maximum potential hourly heat input means an hourly heat input (in mmBtu/hr) used for reporting purposes when a unit lacks certified monitors to report heat input. If the unit intends to use appendix D of part 75 of this chapter to report heat input, this value should be calculated, in accordance with part 75 of this chapter, using the maximum fuel flow rate and the maximum gross calorific value. If the unit intends to use a flow monitor and a diluent gas monitor, this value should be reported, in accordance with part 75 of this chapter, using the maximum potential flowrate and either the maximum carbon dioxide concentration (in percent CO2) or the minimum oxygen concentration (in percent O2).

Maximum potential NOXemission rate means the emission rate of nitrogen oxides (in lb/mmBtu) calculated in accordance with section 3 of appendix F of part 75 of this chapter, using the maximum potential concentration of NOX under section 2 of appendix A of part 75 of this chapter, and either the maximum oxygen concentration (in percent O2) or the minimum carbon dioxide concentration (in percent CO2), under all operating conditions of the unit except for unit start up, shutdown, and upsets.

Maximum rated hourly heat input means a unit specific maximum hourly heat input (in mmBtu/hr) which is the higher of the manufacturer's maximum rated hourly heat input or the highest observed hourly heat input.

Monitoring system means any monitoring system that meets the requirements of subpart H of this part, including a continuous emissions monitoring system, an excepted monitoring system, or an alternative monitoring system.

Most stringent State or Federal NOXemissions limitation means the lowest NOX emissions limitation (in lb/mmBtu) that is applicable to the unit under State or Federal law, regardless of the averaging period to which the emissions limitation applies.

Nameplate capacity means the maximum electrical generating output (in MWe) that a generator can sustain over a specified period of time when not restricted by seasonal or other deratings as measured in accordance with the United States Department of Energy standards.

Non-title V permit means a federally enforceable permit administered by the permitting authority pursuant to the Clean Air Act and regulatory authority under the Clean Air Act, other than title V of the Clean Air Act and part 70 or 71 of this chapter.

NOXallowance means a limited authorization by the Administrator under the NOX Budget Trading Program to emit up to one ton of nitrogen oxides during the control period of the specified year or of any year thereafter, except as provided under § 97.54(f). No provision of the NOX Budget Trading Program, the NOX Budget permit application, the NOX Budget permit, or an exemption under § 97.4(b) or § 97.5 and no provision of law shall be construed to limit the authority of the United States to terminate or limit such authorization, which does not constitute a property right. For purposes of all sections of this part except § 97.40, § 97.41, § 97.42, § 97.43, or § 97.88, “NOX allowance” also includes an authorization to emit up to one ton of nitrogen oxides during the control period of the specified year or of any year thereafter by the permitting authority or the Administrator in accordance with a State NOX Budget Trading Program established, and approved and administered by the Administrator, pursuant to § 51.121 of this chapter.

NOXallowance deduction or deduct NOX allowances means the permanent withdrawal of NOX allowances by the Administrator from a NOX Allowance Tracking System compliance account or overdraft account to account for the number of tons of NOX emissions from a NOX Budget unit for a control period, determined in accordance with subparts H and F of this part, or for any other NOX allowance withdrawal requirement under this part.

NOXAllowance Tracking System means the system by which the Administrator records allocations, deductions, and transfers of NOX allowances under the NOX Budget Trading Program.

NOXAllowance 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.

NOXallowance transfer deadline means midnight of November 30 or, if November 30 is not a business day, midnight of the first business day thereafter and is the deadline by which NOX allowances must be submitted for recordation in a NOX Budget unit's compliance account, or the overdraft account of the source where the unit is located, in order to meet the unit's NOX Budget emissions limitation for the control period immediately preceding such deadline.

NOXallowances 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.

NOXauthorized 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.

NOXBudget emissions limitation means, for a NOX Budget unit, the tonnage equivalent of the NOX allowances available for compliance deduction for the unit under § 97.54(a), (b), (e), and (f) in a control period adjusted by deductions of such NOX allowances to account for actual heat input under § 97.42(e) for the control period or to account for excess emissions for a prior control period under § 97.54(d) or to account for withdrawal from the NOX Budget Trading Program, or for a change in regulatory status, of a NOX Budget opt-in unit under § 97.86 or § 97.87.

NOXBudget opt-in permit means a NOX Budget permit covering a NOX Budget opt-in unit.

NOXBudget opt-in unit means a unit that has been elected to become a NOX Budget unit under the NOX Budget Trading Program and whose NOX Budget opt-in permit has been issued and is in effect under subpart I of this part.

NOXBudget 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.

NOXBudget source means a source that includes one or more NOX Budget units.

NOXBudget Trading Program means a multistate nitrogen oxides air pollution control and emission reduction program established by the Administrator in accordance with this part and pursuant to § 52.34 of this chapter, as a means of mitigating the interstate transport of ozone and nitrogen oxides, an ozone precursor.

NOXBudget unit means a unit that is subject to the NOX Budget emissions limitation under § 97.4(a) or § 97.80.

Operating means, with regard to a unit under §§ 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 § 97.83(a). The unit's documented heat input will be determined in accordance with part 75 of this chapter if the unit was otherwise subject to the requirements of part 75 of this chapter during that 6-month period or will be based on the best available data reported to the Administrator for the unit if the unit was not otherwise subject to the requirements of part 75 of this chapter during that 6-month period.

Operator means any person who operates, controls, or supervises a NOX Budget unit, a NOX Budget source, or a unit for which an application for a NOX Budget opt-in permit under § 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 § 97.83 is submitted and not denied or withdrawn; or

(2) Any holder of a leasehold interest in a NOX Budget unit or in a unit for which an application for a NOX Budget opt-in permit under § 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 § 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 § 97.83 is submitted and not denied or withdrawn; or

(4) With respect to any general account, any person who has an ownership interest with respect to the NOX allowances held in the general account and who is subject to the binding agreement for the NOX authorized account representative to represent that person's ownership interest with respect to the NOX allowances.

Percent monitor data availability means, for purposes of § 97.43 (a)(1) and § 97.84(b), total unit operating hours for which quality-assured data were recorded under subpart H of this part in a control period, divided by the total number of unit operating hours in the control period, and multiplied by 100 percent.

Permitting authority means the State air pollution control agency, local agency, other State agency, or other agency authorized by the Administrator to issue or revise permits to meet the requirements of the NOX Budget Trading Program in accordance with subpart C of this part.

Potential electrical output capacity means 33 percent of a unit's maximum design heat input.

Receive or receipt of means, when referring to the permitting authority or the Administrator, to come into possession of a document, information, or correspondence (whether sent in writing or by authorized electronic transmission), as indicated in an official correspondence log, or by a notation made on the document, information, or correspondence, by the permitting authority or the Administrator in the regular course of business.

Recordation, record, or recorded means, with regard to NOX allowances, the movement of NOX allowances by the Administrator from one NOX Allowance Tracking System account to another, for purposes of allocation, transfer, or deduction.

Reference method means any direct test method of sampling and analyzing for an air pollutant as specified in appendix A of part 60 of this chapter.

Serial number means, when referring to NOX allowances, the unique identification number assigned to each NOX allowance by the Administrator, under § 97.53(c).

Source means any governmental, institutional, commercial, or industrial structure, installation, plant, building, or facility that emits or has the potential to emit any regulated air pollutant under the Clean Air Act. For purposes of section 502(c) of the Clean Air Act, a “source,” including a “source” with multiple units, shall be considered a single “facility.”

State means one of the 48 contiguous States or a portion thereof or the District of Columbia that is specified in § 52.34 of this chapter and in which are located units for which the Administrator makes an effective finding under § 52.34 of this chapter.

Submit or serve means to send or transmit a document, information, or correspondence to the person specified in accordance with the applicable regulation:

(1) In person;

(2) By United States Postal Service; or

(3) By other means of dispatch or transmission and delivery. Compliance with any “submission,” “service,” or “mailing” deadline shall be determined by the date of dispatch, transmission, or mailing and not the date of receipt.

Title V operating permit means a permit issued under title V of the Clean Air Act and part 70 or part 71 of this chapter.

Title V operating permit regulations means the regulations that the Administrator has approved or issued as meeting the requirements of title V of the Clean Air Act and part 70 or 71 of this chapter.

Ton or tonnage means any “short ton” (i.e., 2,000 pounds). For the purpose of determining compliance with the NOX Budget emissions limitation, total tons for a control period shall be calculated as the sum of all recorded hourly emissions (or the tonnage equivalent of the recorded hourly emissions rates) in accordance with subpart H of this part, with any remaining fraction of a ton equal to or greater than 0.50 ton deemed to equal one ton and any fraction of a ton less than 0.50 ton deemed to equal zero tons.

Unit means a fossil fuel-fired stationary boiler, combustion turbine, or combined cycle system.

Unit operating day means a calendar day in which a unit combusts any fuel.

Unit operating hour or hour of unit operation means any hour (or fraction of an hour) during which a unit combusts any fuel.

[65 FR 2727, Jan. 18, 2000, as amended at 69 FR 21645, Apr. 21, 2004]

§ 97.3 Measurements, abbreviations, and acronyms.

Measurements, abbreviations, and acronyms used in this part are defined as follows:

Btu-British thermal unit.

CO2-carbon dioxide.

hr-hour.

kW-kilowatt electrical.

kWh-kilowatt hour.

lb-pounds.

mmBtu-million Btu.

MWe-megawatt electrical.

NOX-nitrogen oxides.

O2-oxygen.

ton-2000 pounds.

§ 97.4 Applicability.

(a) The following units in a State shall be a NOX Budget unit, and any source that includes one or more such units shall be a NOX Budget source, subject to the requirements of this part:

(1)

(i) For units other than cogeneration units -

(A) For units commencing operation before January 1, 1997, a unit serving during 1995 or 1996 a generator -

(1) With a nameplate capacity greater than 25 MWe and

(2) Producing electricity for sale under a firm contract to the electric grid.

(B) For units commencing operation in 1997 or 1998, a unit serving during 1997 or 1998 a generator -

(1) With a nameplate capacity greater than 25 MWe and

(2) Producing electricity for sale under a firm contract to the electric grid.

(C) For units commencing operation on or after January 1, 1999, a unit serving at any time a generator -

(1) With a nameplate capacity greater than 25 MWe and

(2) Producing electricity for sale.

(ii) For cogeneration units -

(A) For units commencing operation before January 1, 1997, a unit serving during 1995 or 1996 a generator with a nameplate capacity greater than 25 MWe and failing to qualify as an unaffected unit under § 72.6(b)(4) of this chapter for 1995 or 1996 under the Acid Rain Program.

(B) For units commencing operation in 1997 or 1998, a unit serving during 1997 or 1998 a generator with a nameplate capacity grater than 25 MWe and failing to qualify as an unaffected unit under § 72.6(b)(4) of this chapter for 1997 or 1998 under the Acid Rain Program.

(C) For units commencing operation on or after January 1, 1999, a unit serving at any time a generator with a nameplate capacity greater than 25 MWe and failing to qualify as an unaffected unit under § 72.6(b)(4) of this chapter under the Acid Rain Program for any year.

(2)

(i) For units other than cogeneration units -

(A) For units commencing operation before January 1, 1997, a unit -

(1) With a maximum design heat input greater than 250 mmBtu/hr and

(2) Not serving during 1995 or 1996 a generator producing electricity for sale under a firm contract to the electric grid.

(B) For units commencing operation in 1997 or 1998, a unit -

(1) With a maximum design heat input greater than 250 mmBtu/hr and

(2) Not serving during 1997 or 1998 a generator producing electricity for sale under a firm contract to the electric grid.

(C) For units commencing on or after January 1, 1999, a unit with a maximum design heat input greater than 250 mmBtu/hr:

(1) At no time serving a generator producing electricity for sale; or

(2) At any time serving a generator with a nameplate capacity of 25 MWe or less producing electricity for sale and with the potential to use no more than 50 percent of the potential electrical output capacity of the unit.

(ii) For cogeneration units -

(A) For units commencing operation before January 1, 1997, a unit with a maximum design heat input greater than 250 mmBtu/hr and qualifying as an unaffected unit under § 72.6(b)(4) of this chapter under the Acid Rain Program for 1995 and 1996.

(B) For units commencing operation in 1997 or 1998, a unit with a maximum design heat input greater than 250 mmBtu/hr and qualifying as an unaffected unit under § 72.6(b)(4) under the Acid Rain Program for 1997 and 1998.

(C) For units commencing on or after January 1, 1999, a unit with a maximum design heat input greater than 250 mmBtu/hr and qualifying as an unaffected unit under § 72.6(b)(4) of this chapter under the Acid Rain Program for each year.

(b)

(1) Notwithstanding paragraph (a) of this section, a unit under paragraph (a)(1) or (a)(2) of this section that has a federally enforceable permit that restricts the unit to combusting only natural gas or fuel oil (as defined in § 75.2 of this chapter) during a control period includes a NOX emission limitation restricting NOX emissions during a control period to 25 tons or less, and includes the special provisions in paragraph (b)(4) of this section shall be exempt from the requirements of the NOX Budget Trading Program, except for the provisions of this paragraph (b), § 97.2, § 97.3, § 97.4(a), § 97.7, and subparts E, F, and G of this part. The NOX emission limitation under this paragraph (b)(1) shall restrict NOX emissions during the control period by limiting unit operating hours. The restriction on unit operating hours shall be calculated by dividing 25 tons by the unit's maximum potential hourly NOX mass emissions, which shall equal the unit's maximum rated hourly heat input multiplied by the highest default NOX emission rate otherwise applicable to the unit under § 75.19 of this chapter.

(2) The exemption under paragraph (b)(1) of this section shall become effective as follows:

(i) The exemption shall become effective on the date on which the NOX emission limitation and the special provisions in the permit under paragraph (b)(1) of this section become final; or

(ii) If the NOX emission limitation and the special provisions in the permit under paragraph (b)(1) of this section become final during a control period and after the first date on which the unit operates during such control period, then the exemption shall become effective on May 1 of such control period, provided that such NOX emission limitation and the special provisions apply to the unit as of such first date of operation. If such NOX emission limitation and special provisions do not apply to the unit as of such first date of operation, then the exemption under paragraph (b)(1) of this section shall become effective on October 1 of the year during which such NOX emission limitation and the special provisions become final.

(3) The permitting authority that issues a federally enforceable permit under paragraph (b)(1) of this section for a unit under paragraph (a)(1) or (a)(2) of this section will provide the Administrator written notice of the issuance of such permit and, upon request, a copy of the permit.

(4) Special provisions.

(i) A unit exempt under paragraph (b)(1) of this section shall comply with the restriction on fuel use and unit operating hours described in paragraph (b)(1) of this section during the control period in each year.

(ii) The Administrator will allocate NOX allowances to the unit under §§ 97.41(a) through (c) and 97.42(a) through (c). For each control period for which the unit is allocated NOX allowances under §§ 97.41(a) through (c) and 97.42(a) through (c):

(A) The owners and operators of the unit must specify a general account, in which the Administrator will record the NOX allowances; and

(B) After the Administrator records a NOX allowance allocations under §§ 97.41(a) through (c) and 97.42(a) through (c), the Administrator will deduct, from the general account under paragraph (b)(4)(ii)(A) of this section, NOX allowances that are allocated for the same or a prior control period as the NOX allowances allocated to the unit under §§ 97.41(a) through (c) and 97.42(a) through (c) and that equal the NOX emission limitation (in tons of NOX) on which the unit's exemption under paragraph (b)(1) of this section is based. The NOX authorized account representative shall ensure that such general account contains the NOX allowances necessary for completion of such deduction.

(iii) A unit exempt under this paragraph (b) shall report hours of unit operation during the control period in each year to the permitting authority by November 1 of that year.

(iv) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under paragraph (b)(1) of this section shall retain, at the source that includes the unit, records demonstrating that the conditions of the federally enforceable permit under paragraph (b)(1) of this section were met, including the restriction on fuel use or unit operating hours. The 5-year period for keeping records may be extended for cause, at any time prior to the end of the period, in writing by the permitting authority or the Administrator. The owners and operators bear the burden of proof that the unit met the restriction on fuel use or unit operating hours.

(v) The owners and operators and, to the extent applicable, the NOX authorized account representative of a unit exempt under paragraph (b)(1) of this section shall comply with the requirements of the NOX Budget Trading Program concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption takes effect.

(vi) On the earlier of the following dates, a unit exempt under paragraph (b)(1) of this section shall lose its exemption:

(A) The date on which the restriction on fuel use or unit operating hours described in paragraph (b)(1) of this section is removed from the unit's federally enforceable permit or otherwise becomes no longer applicable to any control period starting in 2004; or

(B) The first date on which the unit fails to comply, or with regard to which the owners and operators fail to meet their burden of proving that the unit is complying, with the restriction on fuel use or unit operating hours described in paragraph (b)(1) of this section during any control period starting in 2004.

(vii) A unit that loses its exemption in accordance with paragraph (b)(4)(vi) of this section shall be subject to the requirements of this part. For the purpose of applying permitting requirements under subpart C of this part, allocating allowances under subpart E of this part, and applying monitoring requirements under subpart H of this part, the unit shall be treated as commencing operation and, if the unit is covered by paragraph (a)(1) of this section, commencing commercial operation on the date the unit loses its exemption.

(viii) A unit that is exempt under paragraph (b)(1) of this section is not eligible to be a NOX Budget opt-in unit under subpart I of this part.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002; 69 FR 21645, Apr. 21, 2004]

§ 97.5 Retired unit exemption.

(a) This section applies to any NOX Budget unit, other than a NOX Budget opt-in unit, that is permanently retired.

(b)

(1) Any NOX Budget unit, other than a NOX Budget opt-in unit, that is permanently retired shall be exempt from the NOX Budget Trading Program, except for the provisions of this section, § 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. The NOX authorized account representative shall submit a copy of the statement to the Administrator. The statement shall state, in a format prescribed by the permitting authority, that the unit is permanently retired and will comply with the requirements of paragraph (c) of this section.

(3) After receipt of the notice under paragraph (b)(2) of this section, the permitting authority will amend any permit covering the source at which the unit is located to add the provisions and requirements of the exemption under paragraphs (b)(1) and (c) of this section.

(c) Special provisions.

(1) A unit exempt under this section shall not emit any nitrogen oxides, starting on the date that the exemption takes effect.

(2) The Administrator will allocate NOX allowances under subpart E of this part to a unit exempt under this section. For each control period for which the unit is allocated one or more NOX allowances, the owners and operators of the unit shall specify a general account, in which the Administrator will record such NOX allowances.

(3) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under this section shall retain at the source that includes the unit, records demonstrating that the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at any time prior to the end of the period, in writing by the permitting authority or the Administrator. The owners and operators bear the burden of proof that the unit is permanently retired.

(4) The owners and operators and, to the extent applicable, the NOX authorized account representative of a unit exempt under this section shall comply with the requirements of the NOX Budget Trading Program concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption takes effect.

(5)

(i) A unit exempt under this section and located at a source that is required, or but for this exemption would be required, to have a title V operating permit shall not resume operation unless the NOX authorized account representative of the source submits a complete NOX Budget permit application under § 97.22 for the unit not less than 18 months (or such lesser time provided by the permitting authority) before the later of May 31, 2004 or the date on which the unit resumes operation.

(ii) A unit exempt under this section and located at a source that is required, or but for this exemption would be required, to have a non-title V permit shall not resume operation unless the NOX authorized account representative of the source submits a complete NOX Budget permit application under § 97.22 for the unit not less than 18 months (or such lesser time provided by the permitting authority) before the later of May 31, 2004 or the date on which the unit is to first resume operation.

(6) On the earlier of the following dates, a unit exempt under paragraph (b) of this section shall lose its exemption:

(i) The date on which the NOX authorized account representative submits a NOX Budget permit application under paragraph (c)(5) of this section;

(ii) The date on which the NOX authorized account representative is required under paragraph (c)(5) of this section to submit a NOX Budget permit application; or

(iii) The date on which the unit resumes operation, if the unit is not required to submit a NOX permit application.

(7) For the purpose of applying monitoring requirements under subpart H of this part, a unit that loses its exemption under this section shall be treated as a unit that commences operation or commercial operation on the first date on which the unit resumes operation.

(8) A unit that is exempt under this section is not eligible to be a NOX Budget opt-in unit under subpart I of this part.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002; 69 FR 21646, Apr. 21, 2004]

§ 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 § 97.22 in accordance with the deadlines specified in § 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 § 97.54(a), (b), (e), or (f) as of the NOX allowance transfer deadline, in the unit's compliance account and the source's overdraft account in an amount not less than the total NOX emissions for the control period from the unit, as determined in accordance with subpart H of this part, plus any amount necessary to account for actual heat input under § 97.42(e) for the control period or to account for excess emissions for a prior control period under § 97.54(d) or to account for withdrawal from the NOX Budget Trading Program, or a change in regulatory status, of a NOX Budget opt-in unit under § 97.86 or § 97.87.

(2) Each ton of nitrogen oxides emitted in excess of the NOX Budget emissions limitation shall constitute a separate violation of this part, the Clean Air Act, and applicable State law.

(3) A NOX Budget unit shall be subject to the requirements under paragraph (c)(1) of this section starting on the later of May 31, 2004 or the date on which the unit commences operation.

(4) NOX allowances shall be held in, deducted from, or transferred among NOX Allowance Tracking System accounts in accordance with subparts E, F, G, and I of this part.

(5) A NOX allowance shall not be deducted, in order to comply with the requirements under paragraph (c)(1) of this section, for a control period in a year prior to the year for which the NOX allowance was allocated.

(6) A NOX allowance allocated by the Administrator under the NOX Budget Trading Program is a limited authorization to emit one ton of nitrogen oxides in accordance with the NOX Budget Trading Program. No provision of the NOX Budget Trading Program, the NOX Budget permit application, the NOX Budget permit, or an exemption under § 97.4(b) or § 97.5 and no provision of law shall be construed to limit the authority of the United States to terminate or limit such authorization.

(7) A NOX allowance allocated by the Administrator under the NOX Budget Trading Program does not constitute a property right.

(8) Upon recordation by the Administrator under subpart F or G of this part, every allocation, transfer, or deduction of a NOX allowance to or from a NOX Budget unit's compliance account or the overdraft account of the source where the unit is located is incorporated automatically in any NOX Budget permit of the NOX Budget unit.

(d) Excess emissions requirements.

(1) The owners and operators of a NOX Budget unit that has excess emissions in any control period shall:

(i) Surrender the NOX allowances required for deduction under § 97.54(d)(1); and

(ii) Pay any fine, penalty, or assessment or comply with any other remedy imposed under § 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 under § 97.13 for the NOX authorized account representative for the source and each NOX Budget unit at the source and all documents that demonstrate the truth of the statements in the account certificate of representation; provided that the certificate and documents shall be retained on site at the source beyond such 5-year period until such documents are superseded because of the submission of a new account certificate of representation under § 97.13 changing the NOX authorized account representative.

(ii) All emissions monitoring information, in accordance with subpart H of this part; provided that to the extent that subpart H of this part provides for a 3-year period for recordkeeping, the 3-year period shall apply.

(iii) Copies of all reports, compliance certifications, and other submissions and all records made or required under the NOX Budget Trading Program.

(iv) Copies of all documents used to complete a NOX Budget permit application and any other submission under the NOX Budget Trading Program or to demonstrate compliance with the requirements of the NOX Budget Trading Program.

(2) The NOX authorized account representative of a NOX Budget source and each NOX Budget unit at the source shall submit the reports and compliance certifications required under the NOX Budget Trading Program, including those under subpart D, H, or I of this part.

(f) Liability.

(1) Any person who knowingly violates any requirement or prohibition of the NOX Budget Trading Program, a NOX Budget permit, or an exemption under § 97.4(b) or § 97.5 shall be subject to enforcement pursuant to applicable State or Federal law.

(2) Any person who knowingly makes a false material statement in any record, submission, or report under the NOX Budget Trading Program shall be subject to criminal enforcement pursuant to the applicable State or Federal law.

(3) No permit revision shall excuse any violation of the requirements of the NOX Budget Trading Program that occurs prior to the date that the revision takes effect.

(4) Each NOX Budget source and each NOX Budget unit shall meet the requirements of the NOX Budget Trading Program.

(5) Any provision of the NOX Budget Trading Program that applies to a NOX Budget source or the NOX authorized account representative of a NOX Budget source shall also apply to the owners and operators of such source and of the NOX Budget units at the source.

(6) Any provision of the NOX Budget Trading Program that applies to a NOX Budget unit or the NOX authorized account representative of a NOX budget unit shall also apply to the owners and operators of such unit. Except with regard to the requirements applicable to units with a common stack under subpart H of this part, the owners and operators and the NOX authorized account representative of one NOX Budget unit shall not be liable for any violation by any other NOX Budget unit of which they are not owners or operators or the NOX authorized account representative and that is located at a source of which they are not owners or operators or the NOX authorized account representative.

(g) Effect on other authorities. No provision of the NOX Budget Trading Program, a NOX Budget permit application, a NOX Budget permit, or an exemption under § 97.4(b) or § 97.5 shall be construed as exempting or excluding the owners and operators and, to the extent applicable, the NOX authorized account representative of a NOX Budget source or NOX Budget unit from compliance with any other provision of the applicable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002]

§ 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
§ 97.10 Authorization and responsibilities of NOX authorized account representative.

(a) Except as provided under § 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 § 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 § 97.13 for a NOX authorized account representative of the source and the NOX Budget units at the source.

(e)

(1) Each submission under the NOX Budget Trading Program shall be submitted, signed, and certified by the NOX authorized account representative for each NOX Budget source on behalf of which the submission is made. Each such submission shall include the following certification statement by the NOX authorized account representative: “I am authorized to make this submission on behalf of the owners and operators of the NOX Budget sources or NOX Budget units for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment.”

(2) The permitting authority and the Administrator will accept or act on a submission made on behalf of owner or operators of a NOX Budget source or a NOX Budget unit only if the submission has been made, signed, and certified in accordance with paragraph (e)(1) of this section.

§ 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 § 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 §§ 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.

§ 97.12 Changing NOX authorized account representative and alternate NOX authorized account representative; changes in owners and operators.

(a) Changing NOX authorized account representative. The NOX authorized account representative may be changed at any time upon receipt by the Administrator of a superseding complete account certificate of representation under § 97.13. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous NOX authorized account representative prior to the time and date when the Administrator receives the superseding account certificate of representation shall be binding on the new NOX authorized account representative and the owners and operators of the NOX Budget source and the NOX Budget units at the source.

(b) Changing alternate NOX authorized account representative. The alternate NOX authorized account representative may be changed at any time upon receipt by the Administrator of a superseding complete account certificate of representation under § 97.13. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate NOX authorized account representative prior to the time and date when the Administrator receives the superseding account certificate of representation shall be binding on the new alternate NOX authorized account representative and the owners and operators of the NOX Budget source and the NOX Budget units at the source.

(c) Changes in owners and operators.

(1) In the event a new owner or operator of a NOX Budget source or a NOX Budget unit is not included in the list of owners and operators submitted in the account certificate of representation under § 97.13, such new owner or operator shall be deemed to be subject to and bound by the account certificate of representation, the representations, actions, inactions, and submissions of the NOX authorized account representative and any alternate NOX authorized account representative of the source or unit, and the decisions, orders, actions, and inactions of the permitting authority or the Administrator, as if the new owner or operator were included in such list.

(2) Within 30 days following any change in the owners and operators of a NOX Budget source or a NOX Budget unit, including the addition of a new owner or operator, the NOX authorized account representative or alternate NOX authorized account representative shall submit a revision to the account certificate of representation under § 97.13 amending the list of owners and operators to include the change.

§ 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.

§ 97.14 Objections concerning NOX authorized account representative.

(a) Once a complete account certificate of representation under § 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 § 97.13 is received by the Administrator.

(b) Except as provided in § 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 concerning the proceeds of NOX allowance transfers.

Subpart C - Permits
§ 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 for the federally enforceable permit.

(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.

(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.

(b) Each NOX Budget permit 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.

§ 97.21 Submission of NOX Budget permit applications.

(a) Duty to apply. The NOX authorized account representative of any NOX Budget source required to have a federally enforceable permit shall submit to the permitting authority a complete NOX Budget permit application under § 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 § 97.4(a) that commence operation before January 1, 2001, the NOX authorized account representative shall submit a complete NOX Budget permit application under § 97.22 covering such NOX Budget units to the permitting authority at least 18 months (or such lesser time provided by the permitting authority) before May 31, 2004.

(ii) For any source, with any NOX Budget unit under § 97.4(a) that commences operation on or after January 1, 2001, the NOX authorized account representative shall submit a complete NOX Budget permit application under § 97.22 covering such NOX Budget unit to the permitting authority at least 18 months (or such lesser time provided by the permitting authority) before the later of May 31, 2004 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 § 97.4(a) that commence operation before January 1, 2001, the NOX authorized account representative shall submit a complete NOX Budget permit application under § 97.22 covering such NOX Budget units to the permitting authority at least 18 months (or such lesser time provided by the permitting authority) before May 31, 2004.

(ii) For any source, with any NOX Budget unit under § 97.4(a) that commences operation on or after January 1, 2001, the NOX authorized account representative shall submit a complete NOX Budget permit application under § 97.22 covering such NOX Budget unit to the permitting authority at least 18 months (or such lesser time provided by the permitting authority) before the later of May 31, 2004 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 § 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 § 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.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002]

§ 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 § 97.4(a) or under subpart I of this part;

(c) The standard requirements under § 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(a) and is not covered by an exemption under 40 CFR 97.4(b) or 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 of 40 CFR part 97 is operating, as that term is defined under 40 CFR 97.2.”

§ 97.23 NOX Budget permit contents.

(a) Each NOX Budget permit will contain, in a format prescribed by the permitting authority, all elements required for a complete NOX Budget permit application under § 97.22.

(b) Each NOX Budget permit is deemed to incorporate automatically the definitions of terms under § 97.2 and, upon recordation by the Administrator under subpart F or G of this part, every allocation, transfer, or deduction of a NOX allowance to or from the compliance accounts of the NOX Budget units covered by the permit or the overdraft account of the NOX Budget source covered by the permit.

§ 97.24 NOX Budget permit revisions.

(a) For a NOX Budget source with a title V operating permit, except as provided in § 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 § 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
§ 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 § 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 § 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 have 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, have 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.

§ 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
§ 97.40 Trading program budget.

In accordance with §§ 97.41 and 97.42, the Administrator will allocate to the NOX Budget units under § 97.4(a) in a State, for each control period specified in § 97.41, a total number of NOX allowances equal to the trading budget for the State, as set forth in appendix C to this subpart, less the sum of the NOX emission limitations (in tons) for each unit exempt under § 97.4(b) that is not allocated any NOX allowances under § 97.42 (b) or (c) for the control period and whose NOX emission limitation (in tons of NOX) is not included in the amount calculated under § 97.42(d)(5)(ii)(B) for the control period.

[65 FR 2727, Jan. 18, 2000, as amended at 69 FR 21646, Apr. 21, 2004; 81 FR 74604, Oct., 2016]

§ 97.41 Timing requirements for NOX allowance allocations.

(a) The NOX allowance allocations, determined in accordance with §§ 97.42(a) through (c), for the control periods in 2004 through 2007 are set forth in appendices A and B to this subpart.

(b) By April 1, 2005, the Administrator will determine by order the NOX allowance allocations, in accordance with §§ 97.42 (a) through (c), for the control periods in 2008 through 2012.

(c) By April 1, 2010, by April 1 of 2015, and thereafter by April 1 of the year that is 5 years after the last year for which NOX allowances allocations are determined, the Administrator will determine by order the NOX allowance allocations, in accordance with §§ 97.42(a) through (c), for the control periods in the years that are 3, 4, 5, 6, and 7 years after the applicable deadline under this paragraph (c).

(d) By April 1, 2004 and April 1 of each year thereafter, the Administrator will determine by order the NOX allowance allocations, in accordance with § 97.42(d), for the control period in the year of the applicable deadline under this paragraph (d).

(e) The Administrator will make available to the public each determination of NOX allowance allocations under paragraph (b), (c), or (d) of this section and will provide an opportunity for submission of objections to the determination. Objections shall be limited to addressing whether the determination is in accordance with § 97.42. Based on any such objections, the Administrator will adjust each determination to the extent necessary to ensure that it is in accordance with § 97.42.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002; 81 FR 74604, Oct. 26, 2016]

§ 97.42 NOX allowance allocations.

(a)

(1) The heat input (in mmBtu) used for calculating NOX allowance allocations for each NOX Budget unit under § 97.4(a) will be:

(i) For a NOX allowance allocation under § 97.41(a):

(A) For a unit under § 97.4(a)(1), the average of the two highest amounts of the unit's heat input for the control periods in 1995 through 1998; or

(B) For a unit under § 97.4(a)(2), the control period in 1995 or, if the Administrator determines that reasonably reliable data are available for control periods in 1996 through 1998, the average of the two highest amounts of the unit's heat input for the control periods in 1995 through 1998.

(ii) For a NOX allowance allocation under § 97.41(b), the unit's average heat input for the control periods in 2002 through 2004.

(iii) For a NOX allowance allocation under § 97.41(c), the unit's average heat input for the control period in the years that are 4, 5, 6, 7, and 8 years before the first year for which the allocation is being calculated.

(2) The unit's 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. Notwithstanding the first sentence of this paragraph (a)(2):

(i) For a NOX allowance allocation under § 97.41(a), such heat input will be determined using 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 control period.

(ii) For a NOX allowance allocation under § 97.41(b) or (c) for a unit exempt under § 97.4(b), such heat input shall be treated as zero if the unit is exempt under § 97.4(b) during the control period.

(b) For each group of control periods specified in § 97.41(a) through (c), the Administrator will allocate to all NOX Budget units in a given State under § 97.4(a)(1) that commenced operation before May 1, 1997 for allocations under § 97.41(a), May 1, 2003 for allocations under § 97.41(b), and May 1 of the year 5 years before the first year for which the allocation under § 97.41(c) is being calculated, a total number of NOX allowances equal to 95 percent of the portion of the State's trading program budget under § 97.40 covering such units. The Administrator will allocate in accordance with the following procedures:

(1) The Administrator will allocate NOX allowances to each NOX Budget unit under § 97.4(a)(1) for each control period in an amount equaling 0.15 lb/mmBtu multiplied by the heat input determined under paragraph (a) of this section, divided by 2,000 lb/ton, and rounded to the nearest whole number of NOX allowances as appropriate.

(2) If the initial total number of NOX allowances allocated to all NOX Budget units under § 97.4(a)(1) in the State for a control period under paragraph (b)(1) of this section does not equal 95 percent of the portion of the State's trading program budget under § 97.40 covering such units, 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 of such portion of the State's trading program budget. This adjustment will be made by: multiplying each unit's allocation by 95 percent of such portion of the State's trading program budget; dividing by the total number of NOX allowances allocated under paragraph (b)(1) of this section for the control period; and rounding to the nearest whole number of NOX allowances as appropriate.

(c) For each group of control periods specified in § 97.41(a) through (c), the Administrator will allocate to all NOX Budget units in a given State under § 97.4(a)(2) that commenced operation before May 1, 1997 for allocations under § 97.41(a), May 1, 2003 for allocations under § 97.41(b), and May 1 of the year 5 years before the first year for which the allocation under § 97.41(c) is being calculated, a total number of NOX allowances equal to 95 percent of the portion of the State's trading program budget under § 97.40 covering such units. The Administrator will allocate in accordance with the following procedures:

(1) The Administrator will allocate NOX allowances to each NOX Budget unit under § 97.4(a)(2) for each control period in an amount equaling 0.17 lb/mmBtu multiplied by the heat input determined under paragraph (a) of this section, divided by 2,000 lb/ton, and rounded to the nearest whole number of NOX allowances as appropriate.

(2) If the initial total number of NOX allowances allocated to all NOX Budget units under § 97.4(a)(2) in the State for a control period under paragraph (c)(1) of this section does not equal 95 percent of the portion of the State's trading program budget under § 97.40 covering such units, 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 of the portion of the State's trading program budget under § 97.40 covering such units. This adjustment will be made by: multiplying each unit's allocation by 95 percent of the portion of the State's trading program budget under § 97.40 covering such units; dividing by the total number of NOX allowances allocated under paragraph (c)(1) of this section for the control period; and rounding to the nearest whole number of NOX allowances as appropriate.

(d) For each control period specified in § 97.41(d), the Administrator will allocate NOX allowances to NOX Budget units in a given State under § 97.4(a) (except for units exempt under § 97.4(b)) that commence operation, or are projected to commence operation, on or after: May 1, 1997 (for control periods under § 97.41(a)); May 1, 2003, (for control periods under § 97.41(b)); and May 1 of the year 5 years before the beginning of the group of 5 years that includes the control period (for control periods under § 97.41(c)). The Administrator will make the allocations under this paragraph (d) 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 of the tons of NOX emission in the State's trading program budget under § 97.40, rounded to the nearest whole number of NOX allowances as appropriate.

(2) The NOX authorized account representative of a NOX Budget unit specified in this paragraph (d) may submit to the Administrator a request, in a format specified by the Administrator, to be allocated NOX allowances for the control period. The NOX allowance allocation request must be received by the Administrator on or after the date on which the State permitting authority issues a permit to construct the unit and by January 1 before the control period for which NOX allowances are requested.

(3) In a NOX allowance allocation request under paragraph (d)(2) of this section, the NOX authorized account representative for a NOX Budget unit under § 97.4(a)(1) may request for the control period NOX allowances in an amount that does not exceed the lesser of:

(i) 0.15 lb/mmBtu multiplied by the unit's maximum design heat input, multiplied by the lesser of 3,672 hours or the number of hours remaining in the control period starting with the day in the control period on which the unit commences operation or is projected to commence operation, divided by 2,000 lb/ton, and rounded to the nearest whole number of NOX allowances as appropriate; or

(ii) The unit's most stringent State or Federal NOX emission limitation multiplied by the unit's maximum design heat input, multiplied by the lesser of 3,672 hours or the number of hours remaining in the control period starting with the day in the control period on which the unit commences operation or is projected to commence operation, divided by 2,000 lb/ton, and rounded to the nearest whole number of NOX allowances as appropriate.

(4) In a NOX allowance allocation request under paragraph (d)(2) of this section, the NOX authorized account representative for a NOX Budget unit under § 97.4(a)(2) may request for the control period NOX allowances in an amount that does not exceed the lesser of:

(i) 0.17 lb/mmBtu multiplied by the unit's maximum design heat input, multiplied by the lesser of 3,672 hours or the number of hours remaining in the control period starting with the day in the control period on which the unit commences operation or is projected to commence operation, divided by 2,000 lb/ton, and rounded to the nearest whole number of NOX allowances as appropriate; or

(ii) The unit's most stringent State or Federal NOX emission limitation multiplied by the unit's maximum design heat input, multiplied by the lesser of 3,672 hours or the number of hours remaining in the control period starting with the day in the control period on which the unit commences operation or is projected to commence operation, divided by 2,000 lb/ton, and rounded to the nearest whole number of NOX allowances as appropriate.

(5) The Administrator will review each NOX allowance allocation request submitted in accordance with paragraph (d)(2) of this section and will allocate NOX allowances pursuant to such request as follows:

(i) Upon receipt of the NOX allowance allocation request, the Administrator will make any necessary adjustments to the request to ensure that the requirements of paragraphs (d) introductory text, (d)(2), (d)(3), and (d)(4) are met.

(ii) The Administrator will determine the following amounts:

(A) The sum of the NOX allowances requested (as adjusted under paragraph (d)(5)(i) of this section) in all NOX allowance allocation requests under paragraph (d)(2) of this section for the control period; and

(B) For units exempt under § 97.4(b) in the State that commenced operation, or are projected to commence operation, on or after May 1, 1997 (for control periods under § 97.41(a)); May 1, 2003, (for control periods under § 97.41(b)); and May 1 of the year 5 years before beginning of the group of 5 years that includes the control period (for control periods under § 97.41(c)), the sum of the NOX emission limitations (in tons of NOX) on which each unit's exemption under § 97.4(b) is based.

(iii) If the number of NOX allowances in the allocation set-aside for the control period less the amount under paragraph (d)(5)(ii)(B) of this section is not less than the amount determined under paragraph (d)(5)(ii)(A) of this section, 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 for which the allocation request was submitted.

(iv) If the number of NOX allowances in the allocation set-aside for the control period less the amount under paragraph (d)(5)(ii)(B) of this section is less than the amount determined under paragraph (d)(5)(ii)(A) of this section, the Administrator will allocate, to the NOX Budget unit for which the allocation request was submitted, the amount of NOX allowances requested (as adjusted under paragraph (d)(5)(i) of this section) multiplied by the number of NOX allowances in the allocation set-aside for the control period less the amount determined under paragraph (d)(5)(ii)(B) of this section, divided by the amount determined under paragraph (d)(5)(ii)(A) of this section, and rounded to the nearest whole number of NOX allowances as appropriate.

(e)

(1) 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 § 97.54(b), (e), or (f) to account for the actual heat input 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 heat input using the following formulas and rounding to the nearest whole number of 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 heat input for a unit under § 97.4(a)(1) = Unit's NOX allowances allocated for control period−(Unit's actual control period heat input × the lesser of 0.15 lb/mmBtu the unit's most stringent State or Federal emission limitation × 2,000 lb/ton); and NOX allowances deducted for actual heat input for a unit under § 97.4(a)(2) = Unit's NOX allowances allocated for control period−(Unit's actual control period heat input × the lesser of 0.17 lb/mmBtu the unit's most stringent State or Federal emission limitation × 2,000 lb/ton)

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 heat input” is the heat input (in mmBtu) of the unit during the control period.

(2) The Administrator will transfer any NOX allowances deducted under paragraph (e)(1) of this section to the allocation set-aside for the control period for which they were allocated.

(f) After making the deductions for compliance under § 97.54(b), (e), or (f) 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 number of NOX allowances as appropriate:

Unit's share of NOX allowances remaining in allocation set-aside = Total NOX allowances remaining in allocation set-aside × (Unit's NOX allowance allocation ÷ State's 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;

“Unit's NOX allowance allocation” is the number of NOX allowances allocated under paragraph (b) or (c) of this section to the unit for the control period to which the allocation set-aside applies; and

“State's trading program budget excluding allocation set-aside” is the State's trading program budget under § 97.40 for the control period to which the allocation set-aside applies multiplied by 95 percent, rounded to the nearest whole number of NOX allowances as appropriate.

(g) If the Administrator determines that NOX allowances were allocated under paragraph (b), (c), or (d) of this section for a control period and the recipient of the allocation is not actually a NOX Budget unit under § 97.4(a), the Administrator will notify the NOX authorized account representative and then will act in accordance with the following procedures:

(1)

(i) The Administrator will not record such NOX allowances for the control period in an account under § 97.53;

(ii) If the Administrator already recorded such NOX allowances for the control period in an account under § 97.53 and if the Administrator makes such determination before making all deductions pursuant to § 97.54 (except deductions pursuant to § 97.54(d)(2)) for the control period, then the Administrator will deduct from the account NOX allowances equal in number to and allocated for the same or a prior control period as the NOX allowances allocated to such recipient for the control period. The NOX authorized account representative shall ensure that the account contains the NOX allowances necessary for completion of such deduction. If account does not contain the necessary 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 the account; or

(iii) If the Administrator already recorded such NOX allowances for the control period in an account under § 97.53 and if the Administrator makes such determination after making all deductions pursuant to § 97.54 (except deductions pursuant to § 97.54(d)(2)) for the control period, then the Administrator will apply paragraph (g)(1)(ii) of this section to any subsequent control period for which NOX allowances were allocated to such recipient.

(2) The Administrator will transfer the NOX allowances that are not recorded, or that are deducted, pursuant to paragraph (g)(1) of this section to an allocation set-aside for the State in which such source is located.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002; 69 FR 21646, Apr. 21, 2004]

§ 97.43 Compliance Supplement Pool.

(a) For any NOX Budget unit that reduces its NOX emission rate in the 2001 through 2003 control period, the owners and operators may request early reduction credits in accordance with the following requirements:

(1) Each NOX Budget unit for which the owners and operators intend to request, or request, any early reduction credits in accordance with paragraph (a)(4) of this section shall monitor and report 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 percent monitor data availability shall not be less than 90 percent during the 2000 control period, and the unit must be in full compliance with any applicable State or Federal NOX emission control requirements during 2000 through 2002.

(2) NOX emission rate and heat input under paragraphs (a)(3) and (4) of this section shall be determined in accordance with subpart H of this part.

(3) Each NOX Budget unit for which the owners and operators intend to request, or request, any early reduction credits under paragraph (a)(4) of this section shall reduce its NOX emission rate, for each control period for which early reduction credits are requested, to less than both 0.25 lb/mmBtu and 80 percent of the unit's NOX emission rate in the 2000 control period.

(4) The NOX authorized account representative of a NOX Budget unit that meets the requirements of paragraphs (a) (1) and (3) of this section may submit to the Administrator 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 through 2003.

(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 whole number of tons.

(ii) The early reduction credit request must be submitted, in a format specified by the Administrator, by February 1, 2004.

(b) For any NOX Budget unit that is subject to the Ozone Transport Commission NOX Budget Program under title I of the Clean Air Act, the owners and operators may request early reduction credits in accordance with the following requirements:

(1) The NOX authorized account representative of the unit may submit to the Administrator a request for early reduction credits in an amount equal to the amount of banked allowances under the Ozone Transport Commission NOX Budget Program that were allocated for the control period in 2001 through 2003 and are held by the unit, in accordance with the Ozone Transport Commission NOX Budget Program, as of the date of submission of the request. During the entire control period in 2001 through 2003 for which the allowances were allocated, the unit must have monitored and reported NOX emissions in accordance with part 75 (except for subpart H) of this chapter and the Guidance for Implementation of Emission Monitoring Requirements for the NOX Budget Program (January 28, 1997).

(2) The early reduction credit request under paragraph (b)(1) must be submitted, in a format specified by the Administrator, by February 1, 2004.

(3) The NOX authorized account representative of the unit shall not submit a request for early reduction credits under paragraph (b)(1) of this section for banked allowances under the Ozone Transport Commission NOX Budget Program that were allocated for any control period during which the unit made NOX emission reductions for which he or she submits a request for early reduction credits under paragraph (a) of this section for the unit.

(c) The Administrator will review each early reduction credit request submitted in accordance with paragraph (a) or (b) of this section and will allocate NOX allowances to NOX Budget units in a given State and covered by such request as follows:

(1) Upon receipt of each early reduction credit request, the Administrator will make any necessary adjustments to the request to ensure that the amount of the early reduction credits requested meets the requirements of paragraph (a) or (b) of this section.

(2) After February 1, 2004, the Administrator will make available to the public a statement of the total number of early reduction credits requested by NOX Budget units in the State.

(3) If the State's compliance supplement pool set forth in appendix D to this subpart has a number of NOX allowances not less than the amount of early reduction credits in all early reduction credit requests under paragraph (a) or (b) of this section for 2001 through 2003 (as adjusted under paragraph (c)(1) of this section) submitted by February 1, 2004, the Administrator will allocate to each NOX Budget unit covered by such requests one allowance for each early reduction credit requested (as adjusted under paragraph (c)(1) of this section).

(4) If the State's compliance supplement pool set forth in appendix D to this subpart has a smaller number of NOX allowances than the amount of early reduction credits in all early reduction credit requests under paragraph (a) or (b) of this section for 2001 through 2003 (as adjusted under paragraph (c)(1) of this section) submitted by February 1, 2004, the Administrator will allocate NOX allowances to each NOX Budget unit covered by such requests according to the following formula and rounding to the nearest whole number of NOX allowances as appropriate:

Unit's allocation for early reduction credits = Unit's adjusted early reduction credits × (State's compliance supplement pool ÷ Total adjusted early reduction credits for all units)

Where:

“Unit's allocation for early reduction credits” is the number of NOX allowances allocated to the unit for early reduction credits.

“Unit's adjusted early reduction credits” is the amount of early reduction credits requested for the unit for 2001 and 2002 in early reduction credit requests under paragraph (a) or (b) of this section, as adjusted under paragraph (c)(1) of this section.

“State's compliance supplement pool” is the number of NOX allowances in the State's compliance supplement pool set forth in appendix D to this subpart.

“Total adjusted early reduction credits for all units” is the amount of early reduction credits requested for all units for 2001 and 2002 in early reduction credit requests under paragraph (a) or (b) of this section, as adjusted under paragraph (c)(1) of this section.

(5) By April 1, 2004, the Administrator will determine by order the allocations under paragraph (c)(3) or (4) of this section. The Administrator will make available to the public each determination of NOX allowance allocations and will provide an opportunity for submission of objections to the determination. Objections shall be limited to addressing whether the determination is in accordance with paragraph (c)(1), (3), or (4) of this section. Based on any such objections, the Administrator will adjust each determination to the extent necessary to ensure that it is in accordance with paragraph (c)(1), (3), or (4) of this section.

(6) By May 1, 2004, the Administrator will record the allocations under paragraph (c)(3) or (4) of this section.

(7) NOX allowances recorded under paragraph (c)(6) of this section may be deducted for compliance under § 97.54 for the control period in 2004 or 2005. Notwithstanding § 97.55(a), the Administrator will deduct as retired any NOX allowance that is recorded under paragraph (c)(6) of this section and that is not deducted for compliance under § 97.54 for the control period in 2003 or 2004.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002; 69 FR 21646, Apr. 21, 2004; 81 FR 74604, Oct. 26, 2016]

Appendix A to Subpart E of Part 97 - Final Section 126 Rule: EGU Allocations, 2004-2007
ST Plant Plant_id Point_id NOX allocation for EGUs
DC BENNING 603 15 80
DC BENNING 603 16 117
DE CHRISTIANA SUB 591 11 5
DE CHRISTIANA SUB 591 14 5
DE DELAWARE CITY 52193 B4 141
DE DELAWARE CITY 52193 ST_1 155
DE DELAWARE CITY 52193 ST_2 159
DE DELAWARE CITY 52193 ST_3 158
DE EDGE MOOR 593 3 234
DE EDGE MOOR 593 4 401
DE EDGE MOOR 593 5 602
DE HAY ROAD 7153 **3 184
DE HAY ROAD 7153 - 1 235
DE HAY ROAD 7153 - 2 207
DE INDIAN RIVER 594 1 187
DE INDIAN RIVER 594 2 194
DE INDIAN RIVER 594 3 369
DE INDIAN RIVER 594 4 729
DE MCKEE RUN 599 3 119
DE VAN SANT STATION 7318 **11 7
IN ANDERSON 7336 - ACT1 5
IN ANDERSON 7336 - ACT2 5
IN CLIFTY CREEK 983 1 558
IN CLIFTY CREEK 983 2 543
IN CLIFTY CREEK 983 3 564
IN CLIFTY CREEK 983 4 525
IN CLIFTY CREEK 983 5 561
IN CLIFTY CREEK 983 6 509
IN CONNERSVILLE 1002 1 1
IN CONNERSVILLE 1002 2 1
IN GALLAGHER 1008 1 290
IN GALLAGHER 1008 2 276
IN GALLAGHER 1008 3 347
IN GALLAGHER 1008 4 329
IN NOBLESVILLE 1007 1 48
IN NOBLESVILLE 1007 2 45
IN NOBLESVILLE 1007 3 45
IN RICHMOND 7335 - RCT1 5
IN RICHMOND 7335 - RCT2 5
IN TANNERS CREEK 988 U1 297
IN TANNERS CREEK 988 U2 235
IN TANNERS CREEK 988 U3 387
IN TANNERS CREEK 988 U4 906
IN WHITEWATER VALLEY 1040 1 74
IN WHITEWATER VALLEY 1040 2 173
KY BIG SANDY 1353 BSU1 565
KY BIG SANDY 1353 BSU2 1,741
KY CANE RUN 1363 4 397
KY CANE RUN 1363 5 332
KY CANE RUN 1363 6 430
KY COOPER 1384 1 183
KY COOPER 1384 2 367
KY DALE 1385 3 161
KY DALE 1385 4 158
KY E W BROWN 1355 1 193
KY E W BROWN 1355 10 37
KY E W BROWN 1355 2 317
KY E W BROWN 1355 3 863
KY E W BROWN 1355 8 34
KY E W BROWN 1355 9 34
KY E.W. BROWN 1355 11 21
KY EAST BEND 6018 2 1,413
KY GHENT 1356 1 1,232
KY GHENT 1356 2 1,081
KY GHENT 1356 3 1,104
KY GHENT 1356 4 1,132
KY H L SPURLOCK 6041 1 697
KY H L SPURLOCK 6041 2 1,589
KY MILL CREEK 1364 1 528
KY MILL CREEK 1364 2 600
KY MILL CREEK 1364 3 941
KY MILL CREEK 1364 4 1,096
KY PADDY'S RUN 1366 12 8
KY PINEVILLE 1360 3 67
KY TRIMBLE COUNTY 6071 1 1,221
KY TYRONE 1361 1 3
KY TYRONE 1361 2 3
KY TYRONE 1361 3 3
KY TYRONE 1361 4 3
KY TYRONE 1361 5 117
MD BRANDON SHORES 602 1 1,827
MD BRANDON SHORES 602 2 1,713
MD C P CRANE 1552 1 434
MD C P CRANE 1552 2 463
MD CHALK POINT 1571 - GT2 1
MD CHALK POINT 1571 - GT3 36
MD CHALK POINT 1571 - GT4 39
MD CHALK POINT 1571 - GT5 55
MD CHALK POINT 1571 - GT6 60
MD CHALK POINT 1571 - SGT1 24
MD CHALK POINT 1571 1 833
MD CHALK POINT 1571 2 861
MD CHALK POINT 1571 3 585
MD CHALK POINT 1571 4 522
MD DICKERSON 1572 - GT2 36
MD DICKERSON 1572 - GT3 66
MD DICKERSON 1572 1 447
MD DICKERSON 1572 2 441
MD DICKERSON 1572 3 481
MD GOULD STREET 1553 3 81
MD HERBERT A WAGNER 1554 1 134
MD HERBERT A WAGNER 1554 2 399
MD HERBERT A WAGNER 1554 3 723
MD HERBERT A WAGNER 1554 4 301
MD MORGANTOWN 1573 - GT3 9
MD MORGANTOWN 1573 - GT4 9
MD MORGANTOWN 1573 - GT5 9
MD MORGANTOWN 1573 - GT6 8
MD MORGANTOWN 1573 1 1,151
MD MORGANTOWN 1573 2 1,375
MD PANDA BRANDYWINE 54832 1 95
MD PANDA BRANDYWINE 54832 2 84
MD PERRYMAN 1556 **51 56
MD PERRYMAN 1556 - GT1 8
MD PERRYMAN 1556 - GT2 9
MD PERRYMAN 1556 - GT3 6
MD PERRYMAN 1556 - GT4 10
MD R P SMITH 1570 11 143
MD R P SMITH 1570 9 11
MD RIVERSIDE 1559 - GT6 11
MD RIVERSIDE 1559 4 40
MD VIENNA 1564 8 169
MD WESTPORT 1560 - GT5 28
MI ADA COGEN LTD 10819 CA_Ltd 23
MI BELLE RIVER 6034 1 1,589
MI BELLE RIVER 6034 2 1,672
MI DAN E KARN 1702 1 552
MI DAN E KARN 1702 2 530
MI DAN E KARN 1702 3 288
MI DAN E KARN 1702 4 310
MI ECKERT STATION 1831 1 52
MI ECKERT STATION 1831 2 47
MI ECKERT STATION 1831 3 65
MI ECKERT STATION 1831 4 116
MI ECKERT STATION 1831 5 154
MI ECKERT STATION 1831 6 131
MI ENDICOTT GENERATING STATION 4259 1 98
MI ERICKSON 1832 1 381
MI GREENWOOD 6035 1 373
MI HANCOCK 1730 5 3
MI HANCOCK 1730 6 3
MI HARBOR BEACH 1731 1 97
MI J C WEADOCK 1720 7 346
MI J C WEADOCK 1720 8 342
MI J R WHITING 1723 1 225
MI J R WHITING 1723 2 204
MI J R WHITING 1723 3 249
MI JAMES DE YOUNG 1830 5 69
MI MARYSVILLE 1732 10 22
MI MARYSVILLE 1732 11 16
MI MARYSVILLE 1732 12 17
MI MARYSVILLE 1732 9 17
MI MIDLAND COGENERATION VENTURE 10745 003 269
MI MIDLAND COGENERATION VENTURE 10745 004 276
MI MIDLAND COGENERATION VENTURE 10745 005 271
MI MIDLAND COGENERATION VENTURE 10745 006 273
MI MIDLAND COGENERATION VENTURE 10745 007 280
MI MIDLAND COGENERATION VENTURE 10745 008 277
MI MIDLAND COGENERATION VENTURE 10745 009 273
MI MIDLAND COGENERATION VENTURE 10745 010 271
MI MIDLAND COGENERATION VENTURE 10745 011 274
MI MIDLAND COGENERATION VENTURE 10745 012 269
MI MIDLAND COGENERATION VENTURE 10745 013 275
MI MIDLAND COGENERATION VENTURE 10745 014 269
MI MISTERSKY 1822 5 33
MI MISTERSKY 1822 6 155
MI MISTERSKY 1822 7 98
MI MONROE 1733 1 1,902
MI MONROE 1733 2 1,555
MI MONROE 1733 3 1,574
MI MONROE 1733 4 1,822
MI RIVER ROUGE 1740 1 0
MI RIVER ROUGE 1740 2 627
MI RIVER ROUGE 1740 3 652
MI ROUGE POWERHOUSE #1 10272 1 232
MI ST CLAIR 1743 1 339
MI ST CLAIR 1743 2 304
MI ST CLAIR 1743 3 351
MI ST CLAIR 1743 4 349
MI ST CLAIR 1743 5 0
MI ST CLAIR 1743 6 646
MI ST CLAIR 1743 7 733
MI TRENTON CHANNEL 1745 16 132
MI TRENTON CHANNEL 1745 17 124
MI TRENTON CHANNEL 1745 18 130
MI TRENTON CHANNEL 1745 19 126
MI TRENTON CHANNEL 1745 9A 968
MI WYANDOTTE 1866 5 8
MI WYANDOTTE 1866 7 81
MI WYANDOTTE 1866 8 36
NC ASHEVILLE 2706 1 491
NC ASHEVILLE 2706 2 479
NC BELEWS CREEK 8042 1 2,306
NC BELEWS CREEK 8042 2 2,688
NC BUCK 2720 5 59
NC BUCK 2720 6 65
NC BUCK 2720 7 69
NC BUCK 2720 8 284
NC BUCK 2720 9 300
NC BUTLER WARNER GEN PL 1016 - 1 40
NC BUTLER WARNER GEN PL 1016 - 2 40
NC BUTLER WARNER GEN PL 1016 - 3 40
NC BUTLER WARNER GEN PL 1016 - 6 42
NC BUTLER WARNER GEN PL 1016 - 7 40
NC BUTLER WARNER GEN PL 1016 - 8 40
NC BUTLER WARNER GEN PL 1016 - 9 103
NC CAPE FEAR 2708 5 255
NC CAPE FEAR 2708 6 361
NC CLIFFSIDE 2721 1 67
NC CLIFFSIDE 2721 2 73
NC CLIFFSIDE 2721 3 95
NC CLIFFSIDE 2721 4 107
NC CLIFFSIDE 2721 5 1,180
NC COGENTRIX-ROCKY MOUNT 50468 ST_unt 303
NC COGENTRIX ELIZABETHTOWN 10380 ST_OWN 111
NC COGENTRIX KENANSVILLE 10381 ST_LLE 102
NC COGENTRIX LUMBERTON 10382 ST_TON 111
NC COGENTRIX ROXBORO 10379 ST_ORO 166
NC COGENTRIX SOUTHPORT 10378 ST_ORT 335
NC DAN RIVER 2723 1 117
NC DAN RIVER 2723 2 128
NC DAN RIVER 2723 3 271
NC G G ALLEN 2718 1 311
NC G G ALLEN 2718 2 316
NC G G ALLEN 2718 3 525
NC G G ALLEN 2718 4 470
NC G G ALLEN 2718 5 514
NC L V SUTTON 2713 1 162
NC L V SUTTON 2713 2 176
NC L V SUTTON 2713 3 717
NC L V SUTTON 2713 CT2B 2
NC LEE 2709 1 129
NC LEE 2709 2 142
NC LEE 2709 3 414
NC LEE 2709 CT4 1
NC LINCOLN 7277 1 33
NC LINCOLN 7277 10 31
NC LINCOLN 7277 11 33
NC LINCOLN 7277 12 31
NC LINCOLN 7277 13 26
NC LINCOLN 7277 14 26
NC LINCOLN 7277 15 25
NC LINCOLN 7277 16 25
NC LINCOLN 7277 2 33
NC LINCOLN 7277 3 31
NC LINCOLN 7277 4 31
NC LINCOLN 7277 5 29
NC LINCOLN 7277 6 30
NC LINCOLN 7277 7 24
NC LINCOLN 7277 8 25
NC LINCOLN 7277 9 32
NC MARSHALL 2727 1 899
NC MARSHALL 2727 2 940
NC MARSHALL 2727 3 1,588
NC MARSHALL 2727 4 1,570
NC MAYO 6250 1A 893
NC MAYO 6250 1B 875
NC PANDA-ROSEMARY 50555 CT_ary 62
NC PANDA-ROSEMARY 50555 CW_ary 47
NC RIVERBEND 2732 10 266
NC RIVERBEND 2732 7 193
NC RIVERBEND 2732 8 200
NC RIVERBEND 2732 9 253
NC ROANOKE VALLEY 50254 1 440
NC ROANOKE VALLEY 50254 2 140
NC ROXBORO 2712 1 766
NC ROXBORO 2712 2 1,426
NC ROXBORO 2712 3A 792
NC ROXBORO 2712 3B 785
NC ROXBORO 2712 4A 778
NC ROXBORO 2712 4B 733
NC TOBACCOVILLE 50221 1 53
NC TOBACCOVILLE 50221 2 53
NC TOBACCOVILLE 50221 3 53
NC TOBACCOVILLE 50221 4 53
NC UNC - CHAPEL HILL 54276 ST_ill 14
NC W H WEATHERSPOON 2716 1 76
NC W H WEATHERSPOON 2716 2 86
NC W H WEATHERSPOON 2716 3 161
NC W H WEATHERSPOON 2716 CT-1 4
NC W H WEATHERSPOON 2716 CT-2 3
NC W H WEATHERSPOON 2716 CT-3 2
NC W H WEATHERSPOON 2716 CT-4 4
NJ B L ENGLAND 2378 1 353
NJ B L ENGLAND 2378 2 417
NJ B L ENGLAND 2378 3 114
NJ BAYONNE 50497 1 139
NJ BAYONNE 50497 2 143
NJ BAYONNE 50497 3 140
NJ BERGEN 2398 1101 152
NJ BERGEN 2398 1201 157
NJ BERGEN 2398 1301 155
NJ BERGEN 2398 1401 152
NJ BURLINGTON 2399 101 30
NJ BURLINGTON 2399 102 34
NJ BURLINGTON 2399 103 39
NJ BURLINGTON 2399 104 47
NJ BURLINGTON 2399 11-1 2
NJ BURLINGTON 2399 11-2 2
NJ BURLINGTON 2399 11-3 2
NJ BURLINGTON 2399 11-4 2
NJ BURLINGTON 2399 7 17
NJ BURLINGTON 2399 9-1 4
NJ BURLINGTON 2399 9-2 4
NJ BURLINGTON 2399 9-3 4
NJ BURLINGTON 2399 9-4 4
NJ CAMDEN 10751 1 378
NJ CARLL'S CORNER STATION 2379 1 2
NJ CARLL'S CORNER STATION 2379 2 16
NJ CARNEYS POINT (CCLP) NUG 10566 ST_NUG 527
NJ CEDAR STATION 2380 1E&W 5
NJ CUMBERLAND 5083 - GT1 40
NJ DEEPWATER 2384 1 49
NJ DEEPWATER 2384 4 5
NJ DEEPWATER 2384 6 42
NJ DEEPWATER 2384 8 195
NJ EDISON 2400 1-1A&B 3
NJ EDISON 2400 1-2A&B 3
NJ EDISON 2400 1-3A&B 3
NJ EDISON 2400 1-4A&B 3
NJ EDISON 2400 2-1A&B 7
NJ EDISON 2400 2-2A&B 7
NJ EDISON 2400 2-3A&B 7
NJ EDISON 2400 2-4A&B 7
NJ EDISON 2400 3-1A&B 7
NJ EDISON 2400 3-2A&B 7
NJ EDISON 2400 3-3A&B 7
NJ EDISON 2400 3-4A&B 7
NJ ESSEX 2401 10-1A&B 10
NJ ESSEX 2401 10-2A&B 10
NJ ESSEX 2401 10-3A&B 10
NJ ESSEX 2401 10-4A&B 10
NJ ESSEX 2401 11-1A&B 11
NJ ESSEX 2401 11-2A&B 11
NJ ESSEX 2401 11-3A&B 11
NJ ESSEX 2401 11-4A&B 11
NJ ESSEX 2401 12-1A&B 13
NJ ESSEX 2401 12-2A&B 13
NJ ESSEX 2401 12-3A&B 13
NJ ESSEX 2401 12-4A&B 13
NJ ESSEX 2401 9 66
NJ FORKED RIVER 7138 - 1 17
NJ FORKED RIVER 7138 - 2 17
NJ GILBERT 2393 03 47
NJ GILBERT 2393 04 64
NJ GILBERT 2393 05 63
NJ GILBERT 2393 06 61
NJ GILBERT 2393 07 63
NJ GILBERT 2393 1 4
NJ GILBERT 2393 2 4
NJ GILBERT 2393 CT-9 61
NJ HUDSON 2403 1 175
NJ HUDSON 2403 2 884
NJ HUDSON 2403 3 3
NJ KEARNY 2404 10 26
NJ KEARNY 2404 11 34
NJ KEARNY 2404 12-1 8
NJ KEARNY 2404 12-2 8
NJ KEARNY 2404 12-3 8
NJ KEARNY 2404 12-4 8
NJ KEARNY 2404 7 35
NJ KEARNY 2404 8 16
NJ LINDEN 2406 11 16
NJ LINDEN 2406 12 11
NJ LINDEN 2406 13 20
NJ LINDEN 2406 2 52
NJ LINDEN 2406 6 2
NJ LINDEN 2406 7 60
NJ LINDEN 2406 8 70
NJ LINDEN COGEN 50006 100 276
NJ LINDEN COGEN 50006 200 280
NJ LINDEN COGEN 50006 300 274
NJ LINDEN COGEN 50006 400 272
NJ LINDEN COGEN 50006 500 278
NJ LOGAN GENERATING PLANT 10043 1 424
NJ MERCER 2408 1 489
NJ MERCER 2408 2 558
NJ MICKELTON 8008 1 28
NJ MIDDLE ST 2382 3 4
NJ MILFORD POWER LP 10616 1 44
NJ MOBIL NUG n114 CT_NUG 40
NJ NEWARK BAY COGEN 50385 1 9
NJ NEWARK BAY COGEN 50385 2 9
NJ NORTH JERSEY ENERGY ASSOCIATES 10308 1 19
NJ NORTH JERSEY ENERGY ASSOCIATES 10308 2 19
NJ O'BRIEN (NEWARK) COGENERATION, INC. 50797 1 8
NJ O'BRIEN (PARLIN) COGENERATION, INC. 50799 1 8
NJ O'BRIEN (PARLIN) COGENERATION, INC. 50799 2 8
NJ PEDRICKTOWN COGEN 10099 1 13
NJ PRIME ENERGY LP 50852 1 178
NJ SALEM 2410 3A&B 3
NJ SAYREVILLE 2390 07 40
NJ SAYREVILLE 2390 08 51
NJ SAYREVILLE 2390 C-1 16
NJ SAYREVILLE 2390 C-2 13
NJ SAYREVILLE 2390 C-3 11
NJ SAYREVILLE 2390 C-4 13
NJ SEWAREN 2411 1 42
NJ SEWAREN 2411 2 45
NJ SEWAREN 2411 3 58
NJ SEWAREN 2411 4 91
NJ SEWAREN 2411 6 2
NJ SHERMAN 7288 CT-1 37
NJ VINELAND VCLP NUG 54807 GT_NUG 40
NJ WERNER 2385 04 14
NJ WERNER 2385 C-1 7
NJ WERNER 2385 C-2 6
NJ WERNER 2385 C-3 7
NJ WERNER 2385 C-4 7
NJ WEST STAT 6776 1 10
NY 59TH STREET 2503 114 41
NY 59TH STREET 2503 115 32
NY 74TH STREET 2504 120 70
NY 74TH STREET 2504 121 80
NY 74TH STREET 2504 122 65
NY ARTHUR KILL 2490 20 524
NY ARTHUR KILL 2490 30 380
NY ASTORIA 8906 30 557
NY ASTORIA 8906 40 505
NY ASTORIA 8906 50 561
NY ASTORIA 8906 GT2-1 9
NY ASTORIA 8906 GT2-2 9
NY ASTORIA 8906 GT2-3 9
NY ASTORIA 8906 GT2-4 9
NY ASTORIA 8906 GT3-1 9
NY ASTORIA 8906 GT3-2 9
NY ASTORIA 8906 GT3-3 9
NY ASTORIA 8906 GT3-4 9
NY ASTORIA 8906 GT4-1 9
NY ASTORIA 8906 GT4-2 9
NY ASTORIA 8906 GT4-3 9
NY ASTORIA 8906 GT4-4 9
NY BOWLINE POINT 2625 1 749
NY BOWLINE POINT 2625 2 566
NY BROOKLYN NAVY YARD 54914 1 239
NY BROOKLYN NAVY YARD 54914 2 220
NY CHARLES POLETTI 2491 001 883
NY DANSKAMMER 2480 1 34
NY DANSKAMMER 2480 2 45
NY DANSKAMMER 2480 3 229
NY DANSKAMMER 2480 4 449
NY EF BARRETT 2511 10 285
NY EF BARRETT 2511 20 287
NY EAST RIVER 2493 50 33
NY EAST RIVER 2493 60 319
NY EAST RIVER 2493 70 113
NY FAR ROCKAWAY 2513 40 138
NY GLENWOOD 2514 40 151
NY GLENWOOD 2514 50 124
NY GLENWOOD 2514 U00020 1
NY GLENWOOD 2514 U00021 1
NY HUDSON AVENUE 2496 100 162
NY LOVETT 2629 3 74
NY LOVETT 2629 4 304
NY LOVETT 2629 5 380
NY NISSEQUOGUE COGEN PARTNERS 4931 1 86
NY NORTHPORT 2516 1 343
NY NORTHPORT 2516 2 533
NY NORTHPORT 2516 3 375
NY NORTHPORT 2516 4 582
NY O&R HILLBURN GT 2628 1 2
NY O&R SHOEMAKER GT 2632 1 10
NY PORT JEFFERSON 2517 3 270
NY PORT JEFFERSON 2517 4 253
NY RAVENSWOOD 2500 10 299
NY RAVENSWOOD 2500 20 363
NY RAVENSWOOD 2500 30 1,360
NY RAVENSWOOD 2500 GT2-1 3
NY RAVENSWOOD 2500 GT2-2 3
NY RAVENSWOOD 2500 GT2-3 3
NY RAVENSWOOD 2500 GT2-4 3
NY RAVENSWOOD 2500 GT3-1 3
NY RAVENSWOOD 2500 GT3-2 3
NY RAVENSWOOD 2500 GT3-3 3
NY RAVENSWOOD 2500 GT3-4 3
NY RICHARD M FLYNN 7314 NA1 246
NY RICHARD M FLYNN 7314 NA2 25
NY ROSETON 8006 1 479
NY ROSETON 8006 2 595
NY TRIGEN-NDEC 52056 4 105
NY WADING RIVER 7146 1 8
NY WADING RIVER 7146 2 8
NY WADING RIVER 7146 3 8
NY WADING RIVER 7146 UGT013 1
NY WATERSIDE 2502 61 84
NY WATERSIDE 2502 62 91
NY WATERSIDE 2502 80 208
NY WATERSIDE 2502 90 208
NY WEST BABYLON 2521 1 2
OH ASHTABULA 2835 10 75
OH ASHTABULA 2835 11 80
OH ASHTABULA 2835 7 333
OH ASHTABULA 2835 8 70
OH ASHTABULA 2835 9 66
OH AVON LAKE 2836 10 139
OH AVON LAKE 2836 12 1,040
OH AVON LAKE 2836 9 41
OH AVON LAKE 2836 CT10 3
OH BAY SHORE 2878 1 208
OH BAY SHORE 2878 2 229
OH BAY SHORE 2878 3 213
OH BAY SHORE 2878 4 330
OH CARDINAL 2828 1 1,030
OH CARDINAL 2828 2 1,083
OH CARDINAL 2828 3 1,079
OH CONESVILLE 2840 1 214
OH CONESVILLE 2840 2 203
OH CONESVILLE 2840 3 212
OH CONESVILLE 2840 4 1,119
OH CONESVILLE 2840 5 731
OH CONESVILLE 2840 6 736
OH DICKS CREEK 2831 1 7
OH EASTLAKE 2837 1 214
OH EASTLAKE 2837 2 230
OH EASTLAKE 2837 3 251
OH EASTLAKE 2837 4 371
OH EASTLAKE 2837 5 974
OH EASTLAKE 2837 6 1
OH EDGEWATER 2857 13 65
OH EDGEWATER 2857 A 1
OH EDGEWATER 2857 B 1
OH FRANK M TAIT 2847 GT1 23
OH FRANK M TAIT 2847 GT2 25
OH GEN J M GAVIN 8102 1 2,744
OH GEN J M GAVIN 8102 2 2,981
OH HAMILTON 2917 9 110
OH J M STUART 2850 1 1,054
OH J M STUART 2850 2 1,228
OH J M STUART 2850 3 1,074
OH J M STUART 2850 4 1,106
OH KILLEN STATION 6031 2 1,706
OH KYGER CREEK 2876 1 471
OH KYGER CREEK 2876 2 471
OH KYGER CREEK 2876 3 478
OH KYGER CREEK 2876 4 465
OH KYGER CREEK 2876 5 455
OH LAKE SHORE 2838 18 195
OH MAD RIVER 2860 A 2
OH MAD RIVER 2860 B 2
OH MIAMI FORT 2832 5-1 35
OH MIAMI FORT 2832 5-2 35
OH MIAMI FORT 2832 6 398
OH MIAMI FORT 2832 7 1,044
OH MIAMI FORT 2832 8 1,015
OH MIAMI FORT 2832 CT2 1
OH MUSKINGUM RIVER 2872 1 309
OH MUSKINGUM RIVER 2872 2 316
OH MUSKINGUM RIVER 2872 3 347
OH MUSKINGUM RIVER 2872 4 349
OH MUSKINGUM RIVER 2872 5 1,105
OH NILES 2861 1 212
OH NILES 2861 2 160
OH NILES 2861 A 2
OH O H HUTCHINGS 2848 H-1 24
OH O H HUTCHING 2848 H-2 37
OH O H HUTCHINGS 2848 H-3 64
OH O H HUTCHINGS 2848 H-4 68
OH O H HUTCHINGS 2848 H-5 62
OH O H HUTCHINGS 2848 H-6 69
OH O H HUTCHINGS 2848 H-7 1
OH PICWAY 2843 9 141
OH R E BURGER 2864 1 0
OH R E BURGER 2864 2 0
OH R E BURGER 2864 3 0
OH R E BURGER 2864 4 0
OH R E BURGER 2864 5 14
OH R E BURGER 2864 6 13
OH R E BURGER 2864 7 337
OH R E BURGER 2864 8 274
OH RICHARD GORSUCH 7286 1 146
OH RICHARD GORSUCH 7286 2 138
OH RICHARD GORSUCH 7286 3 144
OH RICHARD GORSUCH 7286 4 146
OH W H SAMMIS 2866 1 402
OH W H SAMMIS 2866 2 418
OH W H SAMMIS 2866 3 400
OH W H SAMMIS 2866 4 415
OH W H SAMMIS 2866 5 631
OH W H SAMMIS 2866 6 1,221
OH W H SAMMIS 2866 7 1,259
OH W H ZIMMER 6019 1 2,918
OH WALTER C BECKJORD 2830 1 167
OH WALTER C BECKJORD 2830 2 198
OH WALTER C BECKJORD 2830 3 281
OH WALTER C BECKJORD 2830 4 347
OH WALTER C BECKJORD 2830 5 481
OH WALTER C BECKJORD 2830 6 850
OH WALTER C BECKJORD 2830 CT1 3
OH WALTER C BECKJORD 2830 CT2 3
OH WALTER C BECKJORD 2830 CT3 4
OH WALTER C BECKJORD 2830 CT4 2
OH WEST LORAIN 2869 1A 0
OH WEST LORAIN 2869 1B 0
OH WOODSDALE 7158 - GT1 30
OH WOODSDALE 7158 - GT2 30
OH WOODSDALE 7158 - GT3 39
OH WOODSDALE 7158 - GT4 37
OH WOODSDALE 7158 - GT5 40
OH WOODSDALE 7158 - GT6 39
PA AES BEAVER VALLEY 10676 032 144
PA AES BEAVER VALLEY 10676 033 131
PA AES BEAVER VALLEY 10676 034 133
PA AES BEAVER VALLEY 10676 035 67
PA ARMSTRONG 3178 1 363
PA ARMSTRONG 3178 2 383
PA BRUCE MANSFIELD 6094 1 1,657
PA BRUCE MANSFIELD 6094 2 1,672
PA BRUCE MANSFIELD 6094 3 1,636
PA BRUNNER ISLAND 3140 1 568
PA BRUNNER ISLAND 3140 2 718
PA BRUNNER ISLAND 3140 3 1,539
PA BRUNOT ISLAND 3096 2A 0
PA BRUNOT ISLAND 3096 2B 0
PA BRUNOT ISLAND 3096 3 0
PA CAMBRIA COGEN 10641 1 155
PA CAMBRIA COGEN 10641 2 161
PA CHESWICK 8226 1 1,119
PA COLVER POWER PROJECT 10143 1 291
PA CONEMAUGH 3118 1 2,167
PA CONEMAUGH 3118 2 1,995
PA CROMBY 3159 1 377
PA CROMBY 3159 2 201
PA DELAWARE 3160 71 61
PA DELAWARE 3160 81 56
PA EBENSBURG POWER 10603 1 191
PA EDDYSTONE 3161 1 565
PA EDDYSTONE 3161 2 636
PA EDDYSTONE 3161 3 207
PA EDDYSTONE 3161 4 237
PA ELRAMA 3098 1 214
PA ELRAMA 3098 2 209
PA ELRAMA 3098 3 208
PA ELRAMA 3098 4 428
PA FOSTER WHEELER MT. CARMEL 10343 AB_NUG 152
PA GILBERTON POWER NUG 010113 AB_NUG 273
PA GPU GENCO WAYNE 3134 1 8
PA HATFIELD'S FERRY 3179 1 1,155
PA HATFIELD'S FERRY 3179 2 1,029
PA HATFIELD'S FERRY 3179 3 1,087
PA HOLTWOOD 3145 17 246
PA HOMER CITY 3122 1 1,471
PA HOMER CITY 3122 2 1,553
PA HOMER CITY 3122 3 1,437
PA HUNLOCK PWR STATION 3176 6 131
PA KEYSTONE 3136 1 2,154
PA KEYSTONE 3136 2 2,133
PA KIMBERLY-CLARK 3157 10 211
PA MARTINS CREEK 3148 1 314
PA MARTINS CREEK 3148 2 293
PA MARTINS CREEK 3148 3 543
PA MARTINS CREEK 3148 4 500
PA MITCHELL 3181 1 10
PA MITCHELL 3181 2 6
PA MITCHELL 3181 3 9
PA MITCHELL 3181 33 556
PA MONTOUR 3149 1 1,560
PA MONTOUR 3149 2 1,673
PA MOUNTAIN 3111 1 5
PA MOUNTAIN 3111 2 5
PA NEW CASTLE 3138 3 190
PA NEW CASTLE 3138 4 195
PA NEW CASTLE 3138 5 245
PA NORCON POWER PARTNERS LP 54571 1 103
PA NORCON POWER PARTNERS LP 54571 2 109
PA NORTHAMPTION GENERATING 50888 1 291
PA NORTHEASTERN POWER 50039 188
PA PANTHER CREEK 50776 1 134
PA PANTHER CREEK 50776 2 130
PA PECO ENERGY CROYDEN 8012 11 11
PA PECO ENERGY CROYDEN 8012 12 9
PA PECO ENERGY CROYDEN 8012 21 5
PA PECO ENERGY CROYDEN 8012 22 11
PA PECO ENERGY CROYDEN 8012 31 13
PA PECO ENERGY CROYDEN 8012 32 6
PA PECO ENERGY CROYDEN 8012 41 11
PA PECO ENERGY CROYDEN 8012 42 9
PA PECO ENERGY RICHMOND 3168 91 10
PA PECO ENERGY RICHMOND 3168 92 9
PA PHILLIPS POWER STATION 3099 3 0
PA PHILLIPS POWER STATION 3099 4 0
PA PHILLIPS POWER STATION 3099 5 0
PA PHILLIPS POWER STATION 3099 6 0
PA PINEY CREEK 54144 1 102
PA PORTLAND 3113 - 5 48
PA PORTLAND 3113 1 266
PA PORTLAND 3113 2 412
PA SCHUYLKILL 3169 1 84
PA SCHUYLKILL ENERGY RESOURCES 880010 1 289
PA SCHUYLKILL STATION (TURBI 50607 AB_NUG 701
PA SCRUBGRASS GENERATING PLANT 50974 1 124
PA SCRUBGRASS GENERATING PLANT 50974 2 123
PA SEWARD 3130 12 64
PA SEWARD 3130 14 72
PA SEWARD 3130 15 355
PA SHAWVILLE 3131 1 295
PA SHAWVILLE 3131 2 294
PA SHAWVILLE 3131 3 380
PA SHAWVILLE 3131 4 392
PA SUNBURY 3152 1A 134
PA SUNBURY 3152 1B 122
PA SUNBURY 3152 2A 130
PA SUNBURY 3152 2B 134
PA SUNBURY 3152 3 263
PA SUNBURY 3152 4 302
PA TITUS 3115 1 161
PA TITUS 3115 2 152
PA TITUS 3115 3 151
PA TOLNA 3116 1 3
PA TOLNA 3116 2 4
PA TRIGEN ENERGY SANSOM 880006 1 12
PA TRIGEN ENERGY SANSOM 880006 2 10
PA TRIGEN ENERGY SANSOM 880006 3 5
PA TRIGEN ENERGY SANSOM 880006 4 6
PA WARREN 3132 1 47
PA WARREN 3132 2 32
PA WARREN 3132 3 40
PA WARREN 3132 4 42
PA WARREN 3132 CT1 14
PA WESTWOOD ENERGY PROPERTIE 50611 031 98
PA WHEELABRATOR FRACKVILLE E 50879 GEN1 161
PA WILLIAMS GEN - HAZELTON 10870 HRSG 16
PA WILLIAMS GEN - HAZELTON 10870 TURBN 141
VA BELLMEADE 7696 1 76
VA BELLMEADE 7696 2 88
VA BREMO BLUFF 3796 3 137
VA BREMO BLUFF 3796 4 386
VA CHESAPEAKE 3803 1 298
VA CHESAPEAKE 3803 2 308
VA CHESAPEAKE 3803 3 370
VA CHESAPEAKE 3803 4 571
VA CHESAPEAKE CORP. 10017 ST_rp. 59
VA CHESTERFIELD 3797 - 8 263
VA CHESTERFIELD 3797 3 232
VA CHESTERFIELD 3797 4 389
VA CHESTERFIELD 3797 5 769
VA CHESTERFIELD 3797 6 1,348
VA CHESTERFIELD 3797 7 316
VA CLINCH RIVER 3775 1 548
VA CLINCH RIVER 3775 2 520
VA CLINCH RIVER 3775 3 575
VA CLOVER 7213 1 1,033
VA CLOVER 7213 2 1,118
VA COGENTRIX - HOPEWELL 10377 ST_ell 327
VA COGENTRIX - PORTSMOUTH 10071 ST_uth 356
VA COGENTRIX RICHMOND 1 54081 ST_d 1 299
VA COGENTRIX RICHMOND 2 54081 ST_d 2 209
VA COMMONWEALTH ATLANTIC LP 52087 GT_LP 35
VA DARBYTOWN 7212 - 1 29
VA DARBYTOWN 7212 - 2 28
VA DARBYTOWN 7212 - 3 30
VA DARBYTOWN 7212 - 4 29
VA DOSWELL #1 52019 CA_#1 46
VA DOSWELL #1 52019 CT_#1 94
VA DOSWELL #2 52019 CA_#2 46
VA DOSWELL #2 52019 CT_#2 94
VA GLEN LYN 3776 51 101
VA GLEN LYN 3776 52 110
VA GLEN LYN 3776 6 487
VA GORDONSVILLE 1 54844 CA_e 1 16
VA GORDONSVILLE 1 54844 CT_e 1 33
VA GORDONSVILLE 2 54844 CA_Xe 2 17
VA GORDONSVILLE 2 54844 CT_e 2 34
VA GRAVEL NECK 7032 - 3 21
VA GRAVEL NECK 7032 - X4 24
VA GRAVEL NECK 7032 - 5 14
VA GRAVEL NECK 7032 - 6 18
VA HOPEWELL COGEN, INC. 10633 CT_nc. 102
VA HOPEWELL COGEN, INC. 10633 CW_nc. 53
VA LG&E-WESTMORELAND ALTAVISTA 10773 1 18
VA LG&E-WESTMORELAND ALTAVISTA 10773 2 18
VA LG&E-WESTMORELAND HOPEWELL 10771 1 17
VA LG&E-WESTMORELAND HOPEWELL 10771 2 16
VA LG&E-WESTMORELAND SOUTHAMPTON 10774 1 23
VA LG&E-WESTMORELAND SOUTHAMPTON 10774 2 29
VA MECKLENBURG 52007 ST_urg 234
VA POSSUM POINT 3804 3 221
VA POSSUM POINT 3804 4 528
VA POSSUM POINT 3804 5 322
VA POTOMAC RIVER 3788 1 203
VA POTOMAC RIVER 3788 2 139
VA POTOMAC RIVER 3788 3 232
VA POTOMAC RIVER 3788 4 223
VA POTOMAC RIVER 3788 5 222
VA SEI BIRCHWOOD 12 1 305
VA TASLEY 3785 10 6
VA YORKTOWN 3809 1 386
VA YORKTOWN 3809 2 419
VA YORKTOWN 3809 3 764
WV ALBRIGHT 3942 1 76
WV ALBRIGHT 3942 2 71
WV ALBRIGHT 3942 3 241
WV FORT MARTIN 3943 1 887
WV FORT MARTIN 3943 2 868
WV GRANT TOWN 10151 ST_own 156
WV HARRISON 3944 1 1,385
WV HARRISON 3944 2 1,444
WV HARRISON 3944 3 1,505
WV JOHN E AMOS 3935 1 1,254
WV JOHN E AMOS 3935 2 1,198
WV JOHN E AMOS 3935 3 1,859
WV KAMMER 3947 1 399
WV KAMMER 3947 2 418
WV KAMMER 3947 3 447
WV KANAWHA RIVER 3936 1 336
WV KANAWHA RIVER 3936 2 323
WV MITCHELL 3948 1 1,288
WV MITCHELL 3948 2 1,191
WV MORGANTOWN ENERGY ASSOCIATES 27 1 80
WV MORGANTOWN ENERGY ASSOCIATES 27 2 80
WV MOUNTAINEER (1301) 6264 1 1,952
WV MT STORM 3954 1 1,048
WV MT STORM 3954 2 1,127
WV MT STORM 3954 3 1,236
WV NORTH BRANCH 7537 1A 51
WV NORTH BRANCH 7537 1B 53
WV PHIL SPORN 3938 11 239
WV PHIL SPORN 3938 21 215
WV PHIL SPORN 3938 31 239
WV PHIL SPORN 3938 41 230
WV PHIL SPORN 3938 51 708
WV PLEASANTS 6004 1 1,296
WV PLEASANTS 6004 2 1,165
WV RIVESVILLE 3945 7 38
WV RIVESVILLE 3945 8 88
WV WILLOW ISLAND 3946 1 79
WV WILLOW ISLAND 3946 2 246

[65 FR 2727, Jan. 18, 2000, as amended at 66 FR 48575, Sept. 21, 2001. Redesignated at 81 FR 74650, Oct. 26, 2016]

Appendix B to Subpart E of Part 97 - Final Section 126 Rule: Non-EGU Allocations, 2004-2007
State County Plant Plant ID Point ID NOX allocation for non-EGUs
DC Washington GSA CENTRAL HEATING PLANT 0025 003 0
DC Washington GSA CENTRAL HEATING PLANT 0025 004 0
DC Washington GSA CENTRAL HEATING PLANT 0025 005 0
DC Washington GSA CENTRAL HEATING PLANT 0025 006 0
DC Washington GSA WEST HEATING PLANT 0024 003 13
DC Washington GSA WEST HEATING PLANT 0024 005 12
DE Kent KRAFT FOODS INC 0007 001 0
DE New Castle MOTIVA ENTERPRISES (FORMERLY STAR ENTERPRISE, DELAWARE CITY PLANT) 0016 002 102
DE New Castle MOTIVA ENTERPRISES (FORMERLY STAR ENTERPRISE, DELAWARE CITY PLANT) 0016 012 118
KY Boyd ASHLAND OIL INC 0004 061 23
KY Lawrence KENTUCKY POWER CO 0003 004 0
MD Baltimore BETHLEHEM STEEL 0147 016 75
MD Baltimore BETHLEHEM STEEL 0147 017 75
MD Baltimore BETHLEHEM STEEL 0147 018 75
MD Baltimore BETHLEHEM STEEL 0147 019 75
MD Allegany WESTVACO 0011 001 289
MD Allegany WESTVACO 0011 002 373
MI Wayne DETROIT EDISON CO B2810 0003 31
MI Midland DOW CHEMICAL USA A4033 0401 6
MI Midland DOW CHEMICAL USA A4033 0402 0
MI Wayne DSC LTD B3680 0006 30
MI Genesee GENERAL MOTORS CORP A1178 0501 63
MI Genesee GENERAL MOTORS CORP A1178 0502 47
MI Oakland GENERAL MOTORS CORP B4031 0506 22
MI Genesee GENERAL MOTORS CORP A1178 0507 20
MI Oakland GENERAL MOTORS CORP B4032 0510 4
MI Kalamazoo GEORGIA PACIFIC CORP B4209 0005 6
MI Kalamazoo JAMES RIVER PAPER CO INC B1678 0003 90
MI Wayne MARATHON OIL COMPANY A9831 0001 109
MI Allegan MENASHA CORP A0023 0024 71
MI Allegan MENASHA CORP A0023 0025 69
MI Ingham MICHIGAN STATE UNIVERSITY K3249 0053 110
MI Ingham MICHIGAN STATE UNIVERSITY K3249 0054 118
MI Ingham MICHIGAN STATE UNIVERSITY K3249 0055 77
MI Ingham MICHIGAN STATE UNIVERSITY K3249 0056 73
MI Washtenaw THE REGENTS OF THE UNIVERSITY OF MICHIGAN M0675 0001 40
MI Washtenaw THE REGENTS OF THE UNIVERSITY OF MICHIGAN M0675 0002 37
MI Oakland WILLIAM BEAUMONT HOSPITAL G5067 0010 0
MI Oakland WILLIAM BEAUMONT HOSPITAL G5067 0011 0
NC Haywood BLUE RIDGE PAPER PRODUCTS INC 0159 005 129
NC Haywood CHAMPION INT CORP 0159 001 98
NC Haywood CHAMPION INT CORP 0159 002 88
NC Haywood CHAMPION INT CORP 0159 003 200
NC Haywood CHAMPION INT CORP 0159 004 176
NC Halifax CHAMPION INTERNATIONAL CORP. ROANOKE RAP 0007 001 340
NC Guilford CONE MILLS CORP - WHITE OAK PLANT 0863 004 50
NC Cabarrus FIELDCREST - CANNON PLT 1 KANNAPOLIS 0006 001 77
NC Columbus INTERNATIONAL PAPER: RIEGELWOOD 0036 003 90
NC Columbus INTERNATIONAL PAPER: RIEGELWOOD 0036 004 228
NC Martin WEYERHAEUSER PAPER CO. PLYMOUTH 0069 001 265
NC Craven WEYERHAUSER COMPANY NEW BERN MILL 0104 005 205
NC Craven WEYERHAEUSER COMPANY NEW BERN MILL 0104 006 72
NC Martin WEYERHAEUSER COMPANY PLYMOUTH 0069 009 25
NJ Middlesex BALL - INCON GLASS PACKAGING 15035 001 46
NJ Hudson BEST FOODS CPC INTERNATIONAL I 10003 003 27
NJ Middlesex CHEVRON U.S.A., INC 15023 001 17
NJ Middlesex CHEVRON U.S.A., INC 15023 043 55
NJ Gloucester COASTAL EAGLE POINT OIL COMPAN 55004 001 3
NJ Gloucester COASTAL EAGLE POINT OIL COMPAN 55004 038 11
NJ Gloucester COASTAL EAGLE POINT OIL COMPAN 55004 039 11
NJ Gloucester COASTAL EAGLE POINT OIL COMPAN 55004 040 11
NJ Gloucester COASTAL EAGLE POINT OIL COMPAN 55004 064 38
NJ Gloucester COASTAL EAGLE POINT OIL COMPAN 55004 123 37
NJ Middlesex DEGUSSA CORPORATION-METZ DIVIS 15305 009 15
NJ Union EXXON CORPORATION 40003 001 57
NJ Union EXXON CORPORATION 40003 007 22
NJ Union EXXON CORPORATION 40003 014 98
NJ Union EXXON CORPORATION 40003 015 14
NJ Middlesex HERCULES INCORPORATED 15017 001 38
NJ Middlesex HERCULES INCORPORATED 15017 002 37
NJ Warren HOFFMAN LAROCHE INC 85010 034 45
NJ Mercer HOMASCTE COMPANY 60018 001 290
NJ Mercer HOMASCTE COMPANY 60018 002 312
NJ Passaic INTERNATIONAL VEILING CORPORAT 30098 001 22
NJ Bergen MALT PRODUCTS CORPORATION 00322 001 27
NJ Atlantic MARINA ASSOCIATES 70009 001 330
NJ Atlantic MARINA ASSOCIATES 70009 002 329
NJ Atlantic MARINA ASSOCIATES 70009 003 990
NJ Union MERCK & CO., INC 40009 001 66
NJ Union MERCK & CO., INC 40009 002 61
NJ Union MERCK & CO., INC 40009 003 56
NJ Union MERCK & CO., INC 40009 004 75
NJ Union MERCK & CO., INC 40009 005 89
NJ Union MERCK & CO., INC 40009 006 103
NJ Gloucester MOBIL OIL CORPORATION 55006 001 54
NJ Gloucester MOBIL OIL CORPORATION 55006 002 54
NJ Gloucester MOBIL OIL CORPORATION 55006 003 54
NJ Gloucester MOBIL OIL CORPORATION 55006 004 49
NJ Gloucester MOBIL OIL CORPORATION 55006 005 16
NJ Gloucester MOBIL OIL CORPORATION 55006 006 105
NJ Gloucester MOBIL OIL CORPORATION 55006 027 0
NJ Gloucester MOBIL OIL CORPORATION 55006 270 14
NJ Monmouth NESTLE CO., INC., THE 20004 006 13
NJ Monmouth NESTLE CO., INC., THE 20004 007 13
NJ Middlesex NEW JERSEY STEEL CORPORATION 15076 001 18
NJ Gloucester PETROLEUM RECYCLING, INC 55180 020 169
NJ Atlantic SCOTT PAPER COMPANY 70011 002 89
NJ Atlantic SCOTT PAPER COMPANY 70011 003 75
NJ Atlantic SCOTT PAPER COMPANY 70011 004 99
NJ Mercer STONY BROOK REGIONAL SEWERAGE 60248 001 55
NJ Mercer STONY BROOK REGIONAL SEWERAGE 60248 002 55
NY Kings HUDSON AVENUE 2496 B71 19
NY Kings HUDSON AVENUE 2496 B72 19
NY Kings HUDSON AVENUE 2496 B81 19
NY Kings HUDSON AVENUE 2496 B82 19
NY Queens RAVENSWOOD-A-HOUSE CE03 B01 15
NY Queens RAVENSWOOD-A-HOUSE CE03 B02 15
NY Queens RAVENSWOOD-A-HOUSE CE03 B03 21
NY Queens RAVENSWOOD-A-HOUSE CE03 B04 21
OH Butler AK STEEL (FORMERLY ARMCO STEEL CO.) 1409010006 P009 66
OH Butler AK STEEL (FORMERLY ARMCO STEEL CO.) 1409010006 P010 66
OH Butler AK STEEL (FORMERLY ARMCO STEEL CO.) 1409010006 P011 66
OH Butler AK STEEL (FORMERLY ARMCO STEEL CO.) 1409010006 P012 66
OH Stark ASHLAND PETROLEUM COMPANY 1576000301 B015 18
OH Lucas BP OIL COMPANY, TOLEDO REFINERY 0448020007 B004 39
OH Lucas BP OIL COMPANY, TOLEDO REFINERY 0448020007 B020 102
OH Montgomery CARGILL INCORPORATED 0857041124 B004 133
OH Montgomery CARGILL INCORPORATED 0857041124 B006 1
OH Butler CHAMPION INTERNATIONAL CORP 1409040212 B010 267
OH Summit GOODYEAR TIRE & RUBBER COMPANY 1677010193 B001 101
OH Summit GOODYEAR TIRE & RUBBER COMPANY 1677010193 B002 108
OH Hamilton HENKEL CORP. - EMERY GROUP 1431070035 B027 209
OH Cuyahoga LTV STEEL COMPANY, INC 1318001613 B001 139
OH Cuyahoga LTV STEEL COMPANY, INC 1318001613 B002 150
OH Cuyahoga LTV STEEL COMPANY, INC 1318001613 B003 159
OH Cuyahoga LTV STEEL COMPANY, INC 1318001613 B004 158
OH Cuyahoga LTV STEEL COMPANY, INC 1318001613 B007 155
OH Cuyahoga LTV STEEL COMPANY, INC 1318001613 B905 14
OH Ross MEAD CORPORATION 0671010028 B001 185
OH Ross MEAD CORPORATION 0671010028 B002 208
OH Ross MEAD CORPORATION 0671010028 B003 251
OH Scioto NEW BOSTON COKE CORP 0773010004 B008 20
OH Scioto NEW BOSTON COKE CORP 0773010004 B009 15
OH Hamilton PROCTER & GAMBLE CO 1431390903 B021 72
OH Hamilton PROCTER & GAMBLE CO 1431390903 B022 296
OH Lorain REPUBLIC ENGINEERED STEELS, INC. (FORMERLY USS/KOBE STEEL - LORAIN WORKS) 0247080229 B013 159
OH Lawrence SOUTH POINT ETHANOL 0744000009 B003 107
OH Lawrence SOUTH POINT ETHANOL 0744000009 B004 107
OH Lawrence SOUTH POINT ETHANOL 0744000009 B007 107
OH Lucas SUN REFINING & MARKETING CO, TOLEDO REF 0448010246 B044 47
OH Lucas SUN REFINING & MARKETING CO, TOLEDO REF 0448010246 B046 34
OH Lucas SUN REFINING & MARKETING CO, TOLEDO REF 0448010246 B047 18
OH Trumbull W C I STEEL, INC 0278000463 B001 113
OH Trumbull W C I STEEL, INC 0278000463 B004 142
PA Northampton BETHLEHEM STEEL CORP 0048 041 100
PA Northampton BETHLEHEM STEEL CORP 0048 042 66
PA Northampton BETHLEHEM STEEL CORP 0048 067 165
PA Armstrong BMG ASPHALT CO 0004 101 0
PA Erie GENERAL ELECTRIC 0009 032 16
PA York GLATFELTER, P. H. CO 0016 031 0
PA York GLATFELTER, P. H. CO 0016 034 137
PA York GLATFELTER, P. H. CO 0016 035 112
PA York GLATFELTER, P. H. CO 0016 036 211
PA Clinton INTERNATIONAL PAPER: LOCKHAVEN 0008 033 101
PA Clinton INTERNATIONAL PAPER: LOCKHAVEN 0008 034 90
PA Delaware KIMBERLY CLARK (FORMERLY SCOTT PAPER CO.) 0016 034 1
PA Delaware KIMBERLY CLARK (FORMERLY SCOTT PAPER CO.) 0016 035 345
PA Allegheny LTV STEEL COMPANY - PITTSBURGH WORKS 0022 015 25
PA Allegheny LTV STEEL COMPANY - PITTSBURGH WORKS 0022 017 15
PA Allegheny LTV STEEL COMPANY - PITTSBURGH WORKS 0022 019 29
PA Allegheny LTV STEEL COMPANY - PITTSBURGH WORKS 0022 021 55
PA Montgomery MERCK SHARP & DOHME 0028 039 126
PA Westmoreland MONESSEN INC 0007 031 0
PA Bucks PECO 0055 043 15
PA Bucks PECO 0055 045 32
PA Bucks PECO 0055 044 77
PA Wyoming PROCTER & GAMBLE CO 0009 035 187
PA Allegheny SHENANGO IRON & COKE WORKS 0050 006 18
PA Allegheny SHENANGO IRON & COKE WORKS 0050 009 15
PA Delaware SUN REFINING & MARKETING CO 0025 089 102
PA Delaware SUN REFINING & MARKETING CO 0025 090 163
PA Philadelphia SUN REFINING AND MARKETING 1 O 1501 020 49
PA Philadelphia SUN REFINING AND MARKETING 1 O 1501 021 83
PA Philadelphia SUN REFINING AND MARKETING 1 O 1501 022 105
PA Philadelphia SUN REFINING AND MARKETING 1 O 1501 023 127
PA Philadelphia SUNOCO (FORMERLY ALLIED CHEMICAL CORP) 1551 052 86
PA Perry TEXAS EASTERN GAS PIPELINE COMPANY 0001 031 0
PA Berks TEXAS EASTERN GAS PIPELINE COMPANY 0087 031 98
PA Delaware TOSCO REFINING (FORMERLY BP OIL, INC.) 0030 032 71
PA Delaware TOSCO REFINING (FORMERLY BP OIL, INC.) 0030 033 80
PA Philadelphia U.S. NAVAL BASE 9702 016 0
PA Philadelphia U.S. NAVAL BASE 9702 017 1
PA Philadelphia U.S. NAVAL BASE 9702 098 0
PA Philadelphia U.S. NAVAL BASE 9702 099 0
PA Elk WILLAMETTE INDUSTRIES (FORMERLY PENNTECH PAPERS, INC 0005 040 90
PA Elk WILLAMETTE INDUSTRIES (FORMERLY PENNTECH PAPERS, INC 0005 041 89
PA Beaver ZINC CORPORATION OF AMERICA 0032 034 176
PA Beaver ZINC CORPORATION OF AMERICA 0032 035 180
VA Hopewell ALLIED-SIGNAL INC 0026 002 499
VA York AMOCO OIL CO 0004 001 25
VA Giles CELANESE ACETATE LLC (FORMERLY HOECHST CELANESE CORP) 0004 007 148
VA Giles CELANESE ACETATE LLC (FORMERLY HOECHST CELANESE CORP) 0004 014 56
VA Pittsylvania DAN RIVER INC. (SCHOOLFIELD DIV) 0002 003 49
VA Bedford GEORGIA-PACIFIC - BIG ISLAND MILL 0003 002 86
VA Isle Of Wight INTERNATIONAL PAPER - FRANKLIN (FORMERLY UNION CAMP CORP/FINE PAPER DIV) 0006 003 272
VA Hopewell JAMES RIVER COGENERATION (COGE 0055 001 511
VA Hopewell JAMES RIVER COGENERATION (COGE 0055 002 512
VA King William ST. LAURENT PAPER PRODUCTS CORP. 0001 003 253
VA Alleghany WESTVACO CORP 0003 001 253
VA Alleghany WESTVACO CORP 0003 002 130
VA Alleghany WESTVACO CORP 0003 003 195
VA Alleghany WESTVACO CORP 0003 004 373
VA Alleghany WESTVACO CORP 0003 005 170
VA Alleghany WESTVACO CORP 0003 011 105
WV Kanawha AVENTIS CROPSCIENCE 00007 010 113
WV Kanawha AVENTIS CROPSCIENCE 00007 011 102
WV Kanawha AVENTIS CROPSCIENCE 00007 012 105
WV Kanawha DUPONT - BELLE 00001 612 54
WV Fayette ELKEM METALS COMPANY L.P. - ALLOY P PLANT 00001 006 116
WV Marshall PPG INDUSTRIES, INC 00002 001 195
WV Marshall PPG INDUSTRIES, INC 00002 003 419
WV Kanawha RHONE-POLUENC 00007 070 8
WV Kanawha RHONE-POLUENC 00007 071 73
WV Kanawha RHONE-POLUENC 00007 080 7
WV Kanawha RHONE-POLUENC 00007 081 66
WV Kanawha RHONE-POLUENC 00007 090 8
WV Kanawha RHONE-POLUENC 00007 091 68
WV Kanawha UNION CARBIDE - SOUTH CHARLESTON PLANT 00003 0B6 66
WV Kanawha UNION CARBIDE - SOUTH CHARLESTON PLANT 0003 0B6 92
WV Kanawha UNION CARBIDE - SOUTH CHARLESTON PLANT 0003 0B7 45
WV Hancock WEIRTON STEEL CORPORATION 00001 030 31
WV Hancock WEIRTON STEEL CORPORATION 00001 088 30
WV Hancock WEIRTON STEEL CORPORATION 00001 089 2
WV Hancock WEIRTON STEEL CORPORATION 00001 090 110
WV Hancock WEIRTON STEEL CORPORATION 00001 091 253
WV Hancock WEIRTON STEEL CORPORATION 00001 092 208
WV Hancock WEIRTON STEEL CORPORATION 00001 093 200

[65 FR 2727, Jan. 18, 2000, as amended at 66 FR 48576, Sept. 21, 2001. Redesignated at 81 FR 74650, Oct. 26, 2016]

Appendix C to Subpart E of Part 97 - Final Section 126 Rule: Trading Budget
ST F126-EGU F126-NEGU Total
DC 207 26 233
DE 4,306 232 4,538
IN 7,088 82 7,170
KY 19,654 53 19,707
MD 14,519 1,013 15,532
MI 25,689 2,166 27,855
NC 31,212 2,329 33,541
NJ 9,716 4,838 14,554
NY 16,081 156 16,237
OH 45,432 4,103 49,535
PA 47,224 3,619 50,843
VA 17,091 4,104 21,195
WV 26,859 2,184 29,043
Total 265,078 24,905 289,983

[65 FR 2727, Jan. 18, 2000. Redesignated at 81 FR 74650, Oct. 26, 2016.]

Appendix D to Subpart E of Part 97 - Final Section 126 Rule: State Compliance supplement pools for the Section 126 Final Rule (Tons)
State Compliance supplement pool
Delaware 168
District of Columbia 0
Indiana 2,454
Kentucky 7,314
Maryland 3,882
Michigan 9,398
New Jersey 1,550
New York 1,379
North Carolina 10,737
Ohio 22,301
Pennsylvania 15,763
Virginia 5,504
West Virginia 16,709
Total 97,159

[65 FR 2727, Jan. 18, 2000. Redesignated at 81 FR 74650, Oct. 26, 2016.]

Subpart F - NOX Allowance Tracking System
§ 97.50 NOX Allowance Tracking System accounts.

(a) Nature and function of compliance accounts and overdraft accounts. Consistent with § 97.51(a), the Administrator will establish one compliance account for each NOX Budget unit and one overdraft account for each source with two or more NOX Budget units. Allocations of NOX allowances pursuant to subpart E of this part or § 97.88, and deductions or transfers of NOX allowances pursuant to § 97.31, § 96.54, § 96.56, subpart G of this part, or subpart I of this part will be recorded in compliance accounts or overdraft accounts in accordance with this subpart.

(b) Nature and function of general accounts. Consistent with § 97.51(b), the Administrator will establish, upon request, a general account for any person. Allocations of NOX allowances pursuant to § 97.4(b)(4)(ii) or § 97.5(c)(2) and transfers of allowances pursuant to subpart G of this part will be recorded in general accounts in accordance with this subpart.

§ 97.51 Establishment of accounts.

(a) Compliance accounts and overdraft accounts. Upon receipt of a complete account certificate of representation under § 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) Application for general account.

(i) Any person may apply to open a general account for the purpose of holding and transferring allowances. 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. A complete application for a general account shall be submitted to the Administrator and shall include the following elements in a format prescribed by the Administrator:

(A) Name, mailing address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the NOX authorized account representative and any alternate NOX authorized account representative;

(B) At the option of the NOX authorized account representative, organization name and type of organization;

(C) 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;

(D) 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 NOX allowances held in the general account. I certify that I have all the necessary authority to carry out my duties and responsibilities under the 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.;”

(E) The signature of the NOX authorized account representative and any alternate NOX authorized account representative and the dates signed.

(ii) Unless otherwise required by the permitting authority or the Administrator, documents of agreement referred to in the application for a general account shall not be submitted to the permitting authority or the Administrator. Neither the permitting authority nor the Administrator shall be under any obligation to review or evaluate the sufficiency of such documents, if submitted.

(2) Authorization of NOX authorized account representative. 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) 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.

(iv) 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.”

(v) 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)(iv) of this section.

(3) Changing NOX authorized account representative and alternate NOX authorized account representative; changes in persons with ownership interest.

(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 NOX 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 NOX 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.

(4) Objections concerning NOX authorized account representative.

(i) Once a complete application for a general account under paragraph (b)(1) of this section has been submitted and received, the Administrator will rely on the application unless and until a superseding complete application for a general account under paragraph (b)(1) of this section is received by the Administrator.

(ii) Except as provided in paragraph (b)(3)(i) or (ii) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission of the 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.

[65 FR 2727, Jan. 18, 2000, as amended at 69 FR 21646, Apr. 21, 2004]

§ 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.

§ 97.53 Recordation of NOX allowance allocations.

(a) The Administrator will record the NOX allowances for 2004 for a NOX Budget unit allocated under subpart E of this part in the unit's compliance account, except for NOX allowances under § 97.4(b)(4)(ii) or § 97.5(c)(2), which will be recorded in the general account specified by the owners and operators of the unit. The Administrator will record NOX allowances for 2004 for a NOX Budget opt-in unit in the unit's compliance account as allocated under § 97.88(a).

(b) By May 1, 2003, the Administrator will record the NOX allowances for 2005 for a NOX Budget unit allocated under subpart E of this part in the unit's compliance account, except for NOX allowances under § 97.4(b)(4)(ii) or § 97.5(c)(2), which will be recorded in the general account specified by the owners and operators of the unit. The Administrator will record NOX allowances for 2005 for a NOX Budget opt-in unit in the unit's compliance account as allocated under § 97.88(a).

(c) By May 1, 2003, the Administrator will record the NOX allowances for 2006 for a NOX Budget unit allocated under subpart E of this part in the unit's compliance account, except for NOX allowances under § 97.4(b)(4)(ii) or § 97.5(c)(2), which will be recorded in the general account specified by the owners and operators of the unit. The Administrator will record NOX allowances for 2006 for a NOX Budget opt-in unit in the unit's compliance account as allocated under § 97.88(a).

(d) By May 1, 2004, the Administrator will record the NOX allowances for 2007 for a NOX Budget unit allocated under subpart E of this part in the unit's compliance account, except for NOX allowances under § 97.4(b)(4)(ii) or § 97.5(c)(2), which will be recorded in the general account specified by the owners and operators of the unit. The Administrator will record NOX allowances for 2007 for a NOX Budget opt-in unit in the unit's compliance account as allocated under § 97.88(a).

(e) Each year starting with 2005, after the Administrator has made all deductions from a NOX Budget unit's compliance account and the overdraft account pursuant to § 97.54 (except deductions pursuant to § 97.54(d)(2)), the Administrator will record:

(1) NOX allowances, in the compliance account, as allocated to the unit under subpart E of this part for the third year after the year of the control period for which such deductions were or could have been made;

(2) NOX allowances, in the general account specified by the owners and operators of the unit, as allocated under § 97.4(b)(4)(ii) or § 97.5(c)(2) for the third year after the year of the control period for which such deductions are or could have been made; and

(3) NOX allowances, in the compliance account, as allocated to the unit under § 97.88(a).

(f) Serial numbers for allocated NOX allowances. When allocating NOX allowances to a NOX Budget unit 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.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21530, Apr. 30, 2002]

§ 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 § 97.60 by the NOX allowance transfer deadline for that control period.

(b) Deductions for compliance.

(1) Following the recordation, in accordance with § 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 heat input under § 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 account number and end with the unit having the compliance account with the highest 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 heat input under § 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), (e), or (f) of this section. Such identification shall be made in the compliance certification report submitted in accordance with § 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 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 § 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 unit's identified percentage under paragraph (e)(1) of this section or, if no percentage is identified, an equal percentage for each unit multiplied by 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. In addition to the deductions under the first sentence of this paragraph (e)(1), the Administrator will deduct NOX allowances for each such unit until the number of NOX allowances deducted equals the number of NOX allowances required to account for actual heat input under § 97.42(e) for the unit for the control period.

(f) Deduction of banked allowances. Each year starting in 2006, after the Administrator has completed the designation of banked NOX allowances under § 97.55(b) and before May 1 of the year, the Administrator will determine the extent to which banked NOX allowances otherwise available under paragraph (a) of this section are available for compliance in the control period for the current year, as follows. For each State NOX Budget Trading Program that is established, and approved and administered by the Administrator pursuant to § 51.121 of this chapter, the terms “compliance account” or “compliance accounts”, “overdraft account” or “overdraft accounts”, “general account” or “general accounts”, “States”, and “trading program budgets under § 97.40” in paragraphs (f)(1) through (f)(3) of this section shall be read to include respectively: A compliance account or compliance accounts established under such State NOX Budget Trading Program; an overdraft account or overdraft accounts established under such State NOX Budget Trading Program; a general account or general accounts established under such State NOX Budget Trading Program; the State or portion of a State covered by such State NOX Budget Trading Program; and the trading program budget of the State or portion of a State covered by such State NOX Budget Trading Program.

(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 (f)(1) of this section, to be held in compliance accounts, overdraft accounts, or general accounts is less than or equal to 10 percent of the sum of the trading program budgets under § 97.40 for all States for the control period, any banked NOX allowance may be deducted for compliance in accordance with paragraphs (a) through (e) of this section.

(3) If the total number of banked NOX allowances determined, under paragraph (f)(1) of this section, to be held in compliance accounts, overdraft accounts, or general accounts exceeds 10 percent of the sum of the trading program budgets under § 97.40 for all States for the control period, any banked allowance may be deducted for compliance in accordance with paragraphs (a) through (e) of this section, except as follows:

(i) The Administrator will determine the following ratio: 0.10 multiplied by the sum of the trading program budgets under § 97.40 for all States for the control period and divided by the total number of banked NOX allowances determined, under paragraph (f)(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 by the ratio determined under paragraph (f)(3)(i) of this section. The resulting product is the number of banked NOX allowances in the account that may be deducted for compliance in accordance with paragraphs (a) through (e) of this section. Any banked NOX allowances in excess of the resulting product may be deducted for compliance in accordance with paragraphs (a) through (e) of this section, except that, if such NOX allowances are used to make a deduction under paragraph (b) or (e) of this section, two (rather than one) such NOX allowances shall authorize up to one ton of NOX emissions during the control period and must be deducted for each deduction of one NOX allowance required under paragraph (b) or (e) of this section.

(g) Recordation of deductions. The Administrator will record in the appropriate compliance account or overdraft account all deductions from such an account pursuant to paragraph (b), (d), (e), or (f) of this section.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21530, Apr. 30, 2002; 69 FR 21646, Apr. 21, 2004]

§ 97.55 Banking.

NOX allowances may be banked for future use or transfer in a compliance account, an overdraft account, or a general account, as follows:

(a) 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 § 97.31, § 97.54, § 97.56, or subpart G or I of this part.

(b) 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 § 97.54 (except deductions pursuant to § 97.54(d)(2)) and that was allocated for that control period or a control period in a prior year.

§ 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.

§ 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 § 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 § 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
§ 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 transferor and transferee accounts;

(b) A specification by serial number of each NOX allowance to be transferred; and

(c) The printed name and signature of the NOX authorized account representative of the transferor account and the date signed.

§ 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 transferor account to the transferee account as specified by the request, provided that:

(1) The transfer is correctly submitted under § 97.60; and

(2) The transferor account includes each NOX allowance identified by serial number in the transfer.

(b) A NOX allowance transfer that is submitted for recordation following the NOX allowance transfer deadline and that includes any NOX allowances allocated for a control period prior to or the same as the control period to which the NOX allowance transfer deadline applies will not be recorded until after the Administrator completes the recordation of NOX allowance allocations under § 97.53 for the control period in the fourth year after the control period to which the NOX allowance transfer deadline applies.

(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.

[65 FR 2727, Jan. 18, 2000, as amended at 69 FR 21647, Apr. 21, 2004]

§ 97.62 Notification.

(a) Notification of recordation. Within 5 business days of recordation of a NOX allowance transfer under § 97.61, the Administrator will notify the NOX authorized account representatives of both the transferor 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 § 97.61(a), the Administrator will notify the NOX authorized account representatives of both accounts subject to the transfer of:

(1) A decision not to record the transfer; and

(2) The reasons for such non-recordation.

(c) Nothing in this section shall preclude the submission of a NOX allowance transfer for recordation following notification of non-recordation.

Subpart H - Monitoring and Reporting
§ 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, recordkeeping, and reporting requirements as provided in this subpart and in subpart H of part 75 of this chapter. For purposes of complying with such requirements, the definitions in § 97.2 and in § 72.2 of this chapter shall apply, and the terms “affected unit,” “designated representative,” and “continuous emission monitoring system” (or “CEMS”) in part 75 of this chapter shall be deemed to refer to the terms “NOX Budget unit,” “NOX authorized account representative,” and “continuous emission monitoring system” (or “CEMS”) respectively, as defined in § 97.2. The owner or operator of a unit that is not a NOX Budget unit but that is monitored under § 75.72(b)(2)(ii) of this chapter shall comply with the monitoring, recordkeeping, and reporting requirements for a NOX Budget unit under this part.

(a) Requirements for installation, certification, and data accounting. The owner or operator of each NOX Budget unit shall meet the following requirements. These provisions shall 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 emissions. This includes all systems required to monitor NOX emission rate, NOX concentration, heat input rate, and stack flow rate, in accordance with §§ 75.71 and 75.72 of this chapter.

(2) Install all monitoring systems for monitoring heat input rate.

(3) Successfully complete all certification tests required under § 97.71 and meet all other requirements 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, report, and quality-assure the data from the monitoring systems under paragraphs (a)(1) and (2) of this section.

(b) Compliance deadlines. The owner or operator shall meet the certification and other requirements of paragraphs (a)(1) through (a)(3) of this section on or before the following dates. The owner or operator shall record, report and quality-assure the data from the monitoring systems under paragraphs (a)(1) and (a)(2) of this section on and after the following dates.

(1) For the owner or operator of a NOX Budget unit for which the owner or operator intends to apply for early reduction credits under § 97.43, by May 1, 2001. If the owner or operator of a NOX Budget unit fails to meet this deadline, he or she is not eligible to apply for early reduction credits and is subject to the deadline under paragraph (b)(2) of this section.

(2) For the owner or operator of a NOX Budget unit under § 97.4(a) that commences operation before January 1, 2003 and that is not subject to or does not meet the deadline under paragraph (b)(1) of this section, by May 1, 2003.

(3) For the owner or operator of a NOX Budget unit under § 97.4(a) that commences operation on or after January 1, 2003 and that reports on an annual basis under § 97.74(d) by the following dates:

(i) The earlier of 90 unit operating days after the date on which the unit commences commercial operation or 180 calendar days after the date on which the unit commences commercial operation; or

(ii) May 1, 2003, if the compliance date under paragraph (b)(3)(i) of this section is before May 1, 2003.

(4) For the owner or operator of a NOX Budget unit under § 97.4(a) that commences operation on or after January 1, 2003 and that reports on a control period basis under § 97.74(d)(2)(ii), by the following dates:

(i) The earlier of 90 unit operating days or 180 calendar days after the date on which the unit commences commercial operation, if this compliance date is during a control period; or

(ii) May 1 immediately following the compliance date under paragraph (b)(4)(i) of this section, if such compliance date is not during a control period.

(5) For the owner or operator of a NOX Budget unit that has a new stack or flue or add-on NOX emission controls for which construction is completed after the applicable deadline under paragraph (b)(1), (b)(2), (b)(3), or (b)(4) of this section or under subpart I of this part and that reports on an annual basis under § 97.74(d), by the earlier of 90 unit operating days or 180 calendar days after the date on which emissions first exit to the atmosphere through the new stack or flue or add-on NOX emission controls.

(6) For the owner or operator of a NOX Budget unit that has a new stack or flue or add-on NOX emission controls for which construction is completed after the applicable deadline under paragraph (b)(1), (b)(2), (b)(3), or (b)(4) of this section or under subpart I of this part and that reports on a control period basis under § 97.74(d)(2)(ii), by the following dates:

(i) The earlier of 90 unit operating days or 180 calendar days after the date on which emissions first exit to the atmosphere through the new stack or flue or add-on NOX emission controls, if this compliance date is during a control period; or

(ii) May 1 immediately following the compliance date under paragraph (b)(6)(i) of this section, if such compliance date is not during a control period.

(7) For the owner or operator of a unit for which an application for a NOX Budget opt-in permit is submitted and not denied or withdrawn, by the date specified under subpart I of this part.

(c) Commencement of data reporting.

(1) The owner or operator of NOX Budget units under paragraph (b)(1) or (b)(2) of this section shall determine, record and report NOX mass emissions, heat input rate, and any other values required to determine NOX mass emissions (e.g., NOX emission rate and heat input rate, or NOX concentration and stack flow rate) in accordance with § 75.70(g) of this chapter, beginning on the first hour of the applicable compliance deadline in paragraph (b)(1) or (b)(2) of this section.

(2) The owner or operator of a NOX Budget unit under paragraph (b)(3) or (b)(4) of this section shall determine, record and report NOX mass emissions, heat input rate, and any other values required to determine NOX mass emissions (e.g., NOX emission rate and heat input rate, or NOX concentration and stack flow rate) and electric and thermal output in accordance with § 75.70(g) of this chapter, beginning on:

(i) The date and hour on which the unit commences operation, if the date and hour on which the unit commences operation is during a control period; or

(ii) The first hour on May 1 of the first control period after the date and hour on which the unit commences operation, if the date and hour on which the unit commences operation is not during a control period.

(3) Notwithstanding paragraphs (c)(2)(i) and (c)(2)(ii) of this section, the owner or operator may begin reporting NOX mass emission data and heat input data before the date and hour under paragraph (c)(2)(i) or (c)(2)(ii) of this section if the unit reports on an annual basis and if the required monitoring systems are certified before the applicable date and hour under paragraph (c)(1) or (c)(2) of this section.

(d) Prohibitions.

(1) No owner or operator of a NOX Budget unit 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 § 97.75.

(2) No owner or operator of a NOX Budget unit shall operate the unit so as to discharge, or allow to be discharged, NOX emissions to the atmosphere without accounting for all such emissions in accordance with the applicable provisions of this subpart and part 75 of this chapter, except as provided in § 75.74 of this chapter.

(3) No owner or operator of a NOX Budget unit shall disrupt the continuous emission monitoring system, any portion thereof, or any other approved emission monitoring method, and thereby avoid monitoring and recording NOX mass emissions discharged into the atmosphere, 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 or except as provided in § 75.74 of this chapter.

(4) No owner or operator of a NOX Budget unit 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 an exemption under § 97.4(b) or § 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 for the retired or discontinued monitoring system in accordance with § 97.71(b)(2).

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21530, Apr. 30, 2002; 69 FR 21647, Apr. 21, 2004]

§ 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 for NOX-diluent CEMS, flow monitors, NOX concentration CEMS, or excepted monitoring systems under appendix E of part 75 of this chapter for NOX. under appendix D for heat input, or under § 75.19 for NOX and heat input, except that:

(1) If, prior to January 1, 1998, the Administrator approved a petition under § 75.17(a) or (b) of this chapter for apportioning the NOX emission rate measured in a common stack or a petition under § 75.66 of this chapter for an alternative to a requirement in § 75.17 of this chapter, the NOX authorized account representative shall resubmit the petition to the Administrator under § 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 § 75.72 of this chapter or for any NOX concentration CEMS used under the provisions of § 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. The owner or operator of such a unit that qualifies to use the low mass emissions excepted monitoring methodology under § 75.19 of this chapter or that qualifies to use an alternative monitoring system under subpart E of part 75 of this chapter shall comply with the following procedures, as modified by paragraph (c) or (d) of this section. The owner or operator of a NOX Budget unit that is subject to an Acid Rain emissions limitation and that requires additional CEMS under the common stack provisions in § 75.72 of this chapter or uses a NOX concentration CEMS under § 75.71(a)(2) of this chapter shall comply with the following procedures.

(1) Requirements for initial certification. The owner or operator shall ensure that each emission 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 § 75.20 of this chapter by the applicable deadline in § 97.70(b). In addition, whenever the owner or operator installs an emission monitoring system in order to meet the requirements of this part in a location where no such emission monitoring system was previously installed, initial certification in accordance with § 75.20 of this chapter is required.

(2) Requirements for recertification. Whenever the owner or operator makes a replacement, modification, or change in a certified emission monitoring system that may significantly affect the ability of the system to accurately measure or record NOX mass emissions or heat input rate or to meet the requirements of § 75.21 of this chapter or appendix B to part 75 of this chapter, the owner or operator shall recertify the emission monitoring system in accordance with § 75.20(b) of this chapter. Furthermore, whenever the owner or operator makes a replacement, modification, or change to the flue gas handling system or the unit's operation that may significantly change the stack flow or concentration profile, the owner or operator shall recertify the continuous emissions monitoring system in accordance with § 75.20(b) of this chapter. Examples of changes that require recertification include: replacement of the analyzer, complete replacement of an existing continuous emission monitoring system, or change in location or orientation of the sampling probe or site.

(3) Certification approval process for initial certification 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 written notice of the dates of certification in accordance with § 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 emission 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 § 75.19 of this chapter, the provisional certification date for a monitor shall be determined in accordance with § 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 under paragraph (b)(3)(ii) of this section. Data measured and recorded by the provisionally certified monitoring system, in accordance with the requirements of part 75 of this chapter, will be considered valid quality-assured data (retroactive to the date and time of provisional certification), provided that the Administrator does not invalidate the provisional certification by 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 such a notice within such 120-day period, each monitoring system that meets the applicable performance requirements of part 75 of this chapter and is included in the certification application will be deemed certified for use under the 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. The 120-day review period shall not begin prior to receipt of a complete certification application.

(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, then the Administrator will issue a written notice of disapproval of the certification application. Upon issuance of such notice of disapproval, the provisional certification is invalidated by the Administrator and the data measured and recorded by each uncertified monitoring system shall not be considered valid quality-assured data beginning with the date and hour of provisional certification (as defined under § 75.20(a)(3) of this chapter). The owner or operator shall follow the procedures for loss of certification in paragraph (b)(3)(v) of this section for each monitoring system that 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 § 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 specified under § 75.20(a)(4)(iii), § 75.20(b)(5), § 75.20(h)(4), or § 75.21(e) and continuing until the date and hour specified under § 75.20(a)(5)(i) of this chapter:

(1) For units that the owner or operator intends to monitor or monitors for NOX emission rate and heat input rate or intends to determine or determines NOX mass emissions using the low mass emission excepted methodology under § 75.19 of this chapter, the maximum potential NOX emission rate and the maximum potential hourly heat input of the unit; and

(2) For units that the owner or operator intends to monitor or monitors 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 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.

(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 § 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 § 75.19 of this chapter and not subject to an Acid Rain emissions limitation shall meet the applicable general operating requirements of § 75.10 of this chapter and the applicable requirements of § 75.19 of this chapter. The owner or operator of such a unit shall also meet the applicable certification and recertification procedures of paragraph (b) of this section, except that the excepted methodology shall be deemed provisionally certified for use under the NOX Budget Trading Program as of the date on which a complete certification application is received by the Administrator. The methodology shall be considered to be certified either upon receipt of a written notice of approval from the Administrator or, if such notice is not provided, at the end of the Administrator's 120 day review period. However, a provisionally certified or certified low mass emissions excepted methodology shall not be used to report data under the NOX Budget Trading Program prior to the applicable commencement date specified in § 75.19(a)(1)(ii) of this chapter.

(d) Certification/recertification procedures for alternative monitoring systems. The NOX authorized account representative of each unit not subject to an Acid Rain emissions limitation for which the owner or operator intends to use an alternative monitoring system approved by the Administrator under subpart E of part 75 of this chapter shall comply with the applicable certification procedures of paragraph (b) of this section before using the system under the NOX Budget Trading Program. The NOX authorized account representative shall also comply with the applicable recertification procedures of paragraph (b) of this section. Section 75.20(f) of this chapter shall apply to such alternative monitoring system.

[65 FR 2727, Jan. 18, 2000, as amended at 69 FR 21647, Apr. 21, 2004]

§ 97.72 Out of control periods.

(a) Whenever any emission monitoring system fails to meet the quality assurance or data validation requirements of part 75 of this chapter, data shall be substituted using the applicable procedures in subpart D, subpart H, appendix D, or appendix E of part 75 of this chapter.

(b) Audit decertification. Whenever both an audit of an emission monitoring system and a review of the initial certification or recertification application reveal that any system should not have been certified or recertified because it did not meet a particular performance specification or other requirement under § 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. 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. The data measured and recorded by the system shall not be considered valid quality-assured data from the date of issuance of the notification of the revoked certification status until the date and time that the owner or operator completes subsequently approved initial certification or recertification tests for the system. The owner or operator shall follow the initial certification or recertification procedures in § 97.71 for each disapproved system.

[65 FR 2727, Jan. 18, 2000, as amended at 69 FR 21648, Apr. 21, 2004]

§ 97.73 Notifications.

(a) The NOX authorized account representative for a NOX Budget unit shall submit written notice to the Administrator, the appropriate EPA Regional Office, and the permitting authority in accordance with § 75.61 of this chapter.

(b) For any unit that does not have an Acid Rain emissions limitation, the permitting authority may waive the requirement to notify the permitting authority in paragraph (a) of this section.

§ 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, with the recordkeeping and reporting requirements under § 75.73 of this chapter, and with the requirements of § 97.10(e)(1).

(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 that 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, then 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 § 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 § 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 Administrator, the appropriate EPA Regional Office, and the permitting authority within 45 days after completing all initial certification or recertification tests required under § 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 a unit for which the owner or operator intends to apply or applies for the early reduction credits under § 97.43, the calendar quarter that covers May 1, 2000 through June 30, 2000. The NOX mass emission data shall be recorded and reported from the first hour on May 1, 2000; or

(ii) For a unit that commences operation before January 1, 2003 and that is not subject to paragraph (d)(1)(i) of this section, the calendar quarter covering May 1, 2003 through June 30, 2003. The NOX mass emission data shall be recorded and reported from the first hour on May 1, 2003; or

(iii) For a unit that commences operation on or after January 1, 2003:

(A) The calendar quarter in which the unit commences operation, if unit operation commences during a control period. The NOX mass emission data shall be recorded and reported from the date and hour when the unit commences operation; or

(B) The calendar quarter which includes May 1 through June 30 of the first control period following the date on which the unit commences operation, if the unit does not commence operation during a control period. The NOX mass emission data shall be recorded and reported from the first hour on May 1 of that control period; or

(iv) A calendar quarter before the quarter specified in paragraph (d)(1)(i), (d)(1)(ii), or (d)(1)(iii)(B) of this section, if the owner or operator elects to begin reporting early under § 97.70(c)(3).

(2) If a NOX budget unit is not subject to an Acid Rain emission limitation, then the NOX authorized account representative shall either:

(i) Meet all of the requirements of part 75 related to monitoring and reporting NOX mass emissions during the entire year and meet the deadlines specified in paragraph (d)(1) of this section; or

(ii) Submit quarterly reports, documenting NOX mass emissions from the unit, only for the period from May 1 through September 30 of each year and including the data described in § 75.74(c)(6) of this chapter. The NOX authorized account representative shall submit such quarterly reports, beginning with:

(A) For a unit for which the owner or operator intends to apply or applies for the early reduction credits under § 97.43, the calendar quarter that covers May 1, 2000 through June 30, 2000. The NOX mass emission data shall be recorded and reported from the first hour on May 1, 2000; or

(B) For a unit that commences operation before January 1, 2003 and that is not subject to paragraph (d)(2)(ii)(A) of this section, the calendar quarter covering May 1, 2003 through June 30, 2003. The NOX mass emission data shall be recorded and reported from the first hour on May 1, 2003; or

(C) For a unit that commences operation on or after January 1, 2003 and during a control period, the calendar quarter in which the unit commences operation. The NOX mass emission data shall be recorded and reported from the date and hour when the unit commences operation; or

(D) For a unit that commences operation on or after January 1, 2003 and not during a control period, the calendar quarter which includes May 1 through June 30 of the first control period following the date on which the unit commences operation. The NOX mass emission data shall be recorded and reported from the first hour on May 1 of that control period.

(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 § 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) and the data and 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;

(ii) For a unit with add-on NOX emission controls and for all hours where data are substituted in accordance with § 75.34(a)(1) of this chapter, the add-on emission controls were operating within the range of parameters listed in the quality assurance/quality control program under appendix B of part 75 of this chapter and the substitute values do not systematically underestimate NOX emissions; and

(iii) For a unit that is reporting on a control period basis under paragraph (d)(2)(ii) of this section, the NOX emission rate and NOX concentration values substituted for missing data under subpart D of part 75 of this chapter are calculated using only values from a control period and do not systematically underestimate NOX emissions.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21530, Apr. 30, 2002; 69 FR 21648, Apr. 21, 2004]

§ 97.75 Petitions.

(a) The NOX authorized account representative of a NOX Budget unit may submit a petition under § 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 under § 75.66 of this chapter.

§ 97.76 Additional requirements to provide heat input data.

The owner or operator of a NOX Budget unit that monitors and reports NOX mass emissions using a NOX concentration system and a flow system shall also monitor and report heat input rate at the unit level using the procedures set forth in part 75 of this chapter.

Subpart I - Individual Unit Opt-ins
§ 97.80 Applicability.

A unit that is in a State (as defined in § 97.2), is not a NOX Budget unit under § 97.4(a), is not a unit exempt under § 97.4(b), vents all of its emissions to a stack, and is operating, may qualify to be a NOX Budget opt-in unit under this subpart. A unit that is a NOX Budget unit under § 97.4(a), is covered by an exemption under § 97.4(b) or § 97.5 that is in effect, or is not operating is not eligible to be a NOX Budget opt-in unit.

§ 97.81 General.

Except otherwise as provided in this part, a NOX Budget opt-in unit shall be treated as a NOX Budget unit for purposes of applying subparts A through H of this part.

§ 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 unit, 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.

§ 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 § 97.80 may submit to the Administrator and the permitting authority at any time, except as provided under § 97.86(g):

(1) A complete NOX Budget permit application under § 97.22;

(2) A monitoring plan submitted in accordance with subpart H of this part; and

(3) A complete account certificate of representation under § 97.13, if no NOX authorized account representative has been previously designated for the unit.

(b) Duty to reapply. Unless the NOX Budget opt-in permit is terminated or revised under § 97.86(e) or § 97.87(b)(1)(i), the NOX authorized account representative of a NOX Budget opt-in unit shall submit to the Administrator and permitting authority a complete NOX Budget permit application under § 97.22 to renew the NOX Budget opt-in permit in accordance with § 97.21(c) and, if applicable, an updated monitoring plan in accordance with subpart H of this part.

§ 97.84 Opt-in process.

The permitting authority will issue or deny an initial NOX Budget opt-in permit for a unit for which an application for a NOX Budget opt-in permit under § 97.83 is submitted, in accordance with § 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 § 97.83. A monitoring plan is sufficient, for purposes of interim review, if the plan appears to contain information demonstrating that the NOX emissions rate and heat input rate 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 percent monitor data 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 Administrator will calculate the unit's baseline heat input, which will equal the unit's total heat input (in mmBtu) for the control period, and the unit's baseline NOX emissions rate, which will equal the unit's total NOX mass emissions (in lb) for the control period divided by the unit's baseline heat input.

(d) Issuance of draft NOX Budget opt-in permit for public comment. The permitting authority will issue a draft NOX Budget opt-in permit for public comment in accordance with § 97.20.

(e) Not withstanding paragraphs (a) through (d) of this section, if at any time before issuance of a draft NOX Budget opt-in permit for public comment for the unit, the Administrator or the permitting authority determines that the unit does not qualify as a NOX Budget opt-in unit under § 97.80, the permitting authority will issue a draft denial of a NOX Budget opt-in permit for public comment for the unit in accordance with § 97.20.

(f) Withdrawal of application for NOX Budget opt-in permit. A NOX authorized account representative of a unit may withdraw its application for an initial NOX Budget opt-in permit under § 97.83 at any time prior to the issuance of the initial 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 an initial NOX Budget permit under § 97.83.

(g) The unit shall be a NOX Budget opt-in unit and a NOX Budget unit starting May 1 of the first control period starting after the issuance of the initial NOX Budget opt-in permit by the permitting authority.

§ 97.85 NOX Budget opt-in permit contents.

(a) Each NOX Budget opt-in permit will contain all elements required for a complete NOX Budget opt-in permit application under § 97.22.

(b) Each NOX Budget opt-in permit is deemed to incorporate automatically the definitions of terms under § 97.2 and, upon recordation by the Administrator under subpart F or G of this part, every allocation, transfer, or deduction of NOX allowances to or from the compliance accounts of each NOX Budget opt-in unit covered by the NOX Budget opt-in permit or the overdraft account of the NOX Budget source where the NOX Budget opt-in unit is located.

§ 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 unit 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 unit 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 § 97.30.

(2) If the NOX Budget opt-in unit 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 unit's compliance account, or the overdraft account of the NOX Budget source where the NOX Budget opt-in unit is located, the full amount required under § 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 unit's compliance account, or the overdraft account of the NOX Budget source where the NOX Budget opt-in unit 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 § 97.88 for any control period for which the withdrawal is to be effective. The Administrator will close the NOX Budget opt-in unit's compliance account and transfer any remaining allowances to a general account specified by the owners and operators of the NOX Budget opt-in unit.

(c) A NOX Budget opt-in unit 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 unit was a NOX Budget opt-in unit, 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 permitting authority and the NOX authorized account representative of the NOX Budget opt-in unit of the acceptance of the withdrawal of the NOX Budget opt-in unit 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 unit that the request to withdraw is denied. If the NOX Budget opt-in unit's request to withdraw is denied, the NOX Budget opt-in unit shall remain subject to the requirements for a NOX Budget opt-in unit.

(e) Permit revision. 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 unit 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 unit shall continue to be a NOX Budget opt-in unit until the effective date of the termination.

(f) Reapplication upon failure to meet conditions of withdrawal. If the Administrator denies the request to withdraw the NOX Budget opt-in unit, 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 unit withdraws from the NOX Budget Trading Program and its NOX Budget opt-in permit is terminated under paragraph (e) of this section, the NOX authorized account representative may not submit another application for a NOX Budget opt-in permit under § 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.

§ 97.87 Change in regulatory status.

(a) Notification. When a NOX Budget opt-in unit becomes a NOX Budget unit under § 97.4(a), the NOX authorized account representative shall notify in writing the permitting authority and the Administrator of such change in the NOX Budget opt-in unit'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 unit becomes a NOX Budget unit under § 97.4(a), the permitting authority will revise the NOX Budget opt-in unit's NOX Budget opt-in permit to meet the requirements of a NOX Budget permit under § 97.23 as of an effective date that is the date on which such NOX Budget opt-in unit becomes a NOX Budget unit under § 97.4(a).

(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 unit) under § 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 unit) under § 97.88 for the control period multiplied by 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, and rounded to the nearest whole number of NOX allowances as appropriate.

(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, contains 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 the necessary 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 in effect, the NOX Budget unit under paragraph (b)(1)(i) of this section will be treated, solely for purposes of NOX allowance allocations under § 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 § 97.42. The unit's deadline under § 97.84(b) for meeting monitoring requirements in accordance with subpart H of this part shall not be changed by the change in the unit's regulatory status or by the revision of the NOX Budget permit under paragraph (b)(1)(i) of this section.

(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 § 97.42 for the control period: the number of NOX allowances otherwise allocated to the NOX Budget unit under § 97.42 for the control period multiplied by 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, and rounded to the nearest whole number of NOX allowances as appropriate.

(2)

(i) When the NOX authorized account representative of a NOX Budget opt-in unit does not renew its NOX Budget opt-in permit under § 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 unit 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 unit under § 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 unit's compliance account or the overdraft account of the NOX Budget source where the NOX Budget opt-in unit is located contains the NOX allowances necessary for completion of such deduction. If the compliance account or overdraft account does not contain the necessary 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 unit's compliance account. If any NOX allowances remain in the compliance account after completion of such deduction and any deduction under § 97.54, the Administrator will close the NOX Budget opt-in unit's compliance account and transfer any remaining allowances to a general account specified by the owners and operators of the NOX Budget opt-in unit.

[65 FR 2727, Jan. 18, 2000, as amended at 69 FR 21648, Apr. 21, 2004]

§ 97.88 NOX allowance allocations to opt-in units.

(a) NOX allotment allocation.

(1) By April 1 immediately before the first control period for which the NOX Budget opt-in permit is effective, the Administrator will determine by order the NOX allowance allocations for the NOX Budget opt-in unit for the control period in accordance with paragraph (b) of this section.

(2) By no later than April 1, after the first control period for which the NOX Budget opt-in permit is in effect, and April 1 of each year thereafter, the Administrator will determine by order the NOX allowance allocations for the NOX Budget opt-in unit for the next control period, in accordance with paragraph (b) of this section.

(3) The Administrator will make available to the public each determination of NOX allowance allocations under paragraph (a)(1) or (2) of this section and will provide an opportunity for submission of objections to the determination. Objections shall be limited to addressing whether the determination is in accordance with paragraph (b) of this section. Based on any such objections, the Administrator will adjust each determination to the extent necessary to ensure that it is in accordance with paragraph (b) of this section.

(b) For each control period for which the NOX Budget opt-in unit has an approved NOX Budget opt-in permit, the NOX Budget opt-in unit 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 unit's baseline heat input determined pursuant to § 97.84(c); or

(ii) The unit'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 unit in an amount equaling the heat input determined under paragraph (b)(1) of this section multiplied by the lesser of the unit's baseline NOX emissions rate determined under § 97.84(c) or the most stringent State or federal NOX emissions limitation applicable to the unit during the control period, divided by 2,000 lb/ton, and rounded to the nearest whole number of NOX allowances as appropriate.

Subpart J - Appeal Procedures
§ 97.90 Appeal procedures.

The appeal procedures for the NOX Budget Trading Program are set forth in part 78 of this chapter.

[69 FR 21648, Apr. 21, 2004]

Subpart AA - CAIR NOX Annual Trading Program General Provisions
§ 97.101 Purpose.

This subpart and subparts BB through II set forth the general provisions and the designated representative, permitting, allowance, monitoring, and opt-in provisions for the Federal Clean Air Interstate Rule (CAIR) NOX Annual Trading Program, under section 110 of the Clean Air Act and § 52.35 of this chapter, as a means of mitigating interstate transport of fine particulates and nitrogen oxides.

§ 97.102 Definitions.

The terms used in this subpart and subparts BB through II shall have the meanings set forth in this section as follows:

Account number means the identification number given by the Administrator to each CAIR NOX Allowance Tracking System account.

Acid Rain emissions limitation means a limitation on emissions of sulfur dioxide or nitrogen oxides under the Acid Rain Program.

Acid Rain Program means a multi-state sulfur dioxide and nitrogen oxides air pollution control and emission reduction program established by the Administrator under title IV of the CAA and parts 72 through 78 of this chapter.

Actual weighted average NOXemission rate means, for a NOX averaging plan under § 76.11 of this chapter and for a year:

(1) The sum of the products of the actual annual average NOX emission rate and actual annual heat input (as determined in accordance with part 75 of this chapter) for all units in the NOX averaging plan for the year; divided by

(2) The sum of the actual annual heat input (as determined in accordance with part 75 of this chapter) for all units in the NOX averaging plan for the year.

Administrator means the Administrator of the United States Environmental Protection Agency or the Administrator's duly authorized representative.

Allocate or allocation means, with regard to CAIR NOX allowances, the determination by a permitting authority or the Administrator of the amount of such CAIR NOX allowances to be initially credited to a CAIR NOX unit, a new unit set-aside, or other entity.

Allowance transfer deadline means, for a control period, midnight of March 1 (if it is a business day), or midnight of the first business day thereafter (if March 1 is not a business day), immediately following the control period and is the deadline by which a CAIR NOX allowance transfer must be submitted for recordation in a CAIR NOX source's compliance account in order to be used to meet the source's CAIR NOX emissions limitation for such control period in accordance with § 97.154.

Alternate CAIR designated representative means, for a CAIR NOX source and each CAIR NOX unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with subparts BB and II of this part, to act on behalf of the CAIR designated representative in matters pertaining to the CAIR NOX Annual Trading Program. If the CAIR NOX source is also a CAIR SO2 source, then this natural person shall be the same person as the alternate CAIR designated representative under the CAIR SO2 Trading Program. If the CAIR NOX source is also a CAIR NOX Ozone Season source, then this natural person shall be the same person as the alternate CAIR designated representative under the CAIR NOX Ozone Season Trading Program. If the CAIR NOX source is also subject to the Acid Rain Program, then this natural person shall be the same person as the alternate designated representative under the Acid Rain Program. If the CAIR NOX source is also subject to the Hg Budget Trading Program, then this natural person shall be the same person as the alternate Hg designated representative under the Hg Budget Trading Program.

Automated data acquisition and handling system or DAHS means that component of the continuous emission monitoring system, or other emissions monitoring system approved for use under subpart HH of this part, designed to interpret and convert individual output signals from pollutant concentration monitors, flow monitors, diluent gas monitors, and other component parts of the monitoring system to produce a continuous record of the measured parameters in the measurement units required by subpart HH of this part.

Biomass means -

(1) Any organic material grown for the purpose of being converted to energy;

(2) Any organic byproduct of agriculture that can be converted into energy; or

(3) Any material that can be converted into energy and is nonmerchantable for other purposes, that is segregated from other nonmerchantable material, and that is;

(i) A forest-related organic resource, including mill residues, precommercial thinnings, slash, brush, or byproduct from conversion of trees to merchantable material; or

(ii) A wood material, including pallets, crates, dunnage, manufacturing and construction materials (other than pressure-treated, chemically-treated, or painted wood products), and landscape or right-of-way tree trimmings.

Boiler means an enclosed fossil- or other-fuel-fired combustion device used to produce heat and to transfer heat to recirculating water, steam, or other medium.

Bottoming-cycle cogeneration unit means a cogeneration unit in which the energy input to the unit is first used to produce useful thermal energy and at least some of the reject heat from the useful thermal energy application or process is then used for electricity production.

CAIR authorized account representative means, with regard to a general account, a responsible natural person who is authorized, in accordance with subparts BB, FF, and II of this part, to transfer and otherwise dispose of CAIR NOX allowances held in the general account and, with regard to a compliance account, the CAIR designated representative of the source.

CAIR designated representative means, for a CAIR NOX source and each CAIR NOX unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with subparts BB and II of this part, to represent and legally bind each owner and operator in matters pertaining to the CAIR NOX Annual Trading Program. If the CAIR NOX source is also a CAIR SO2 source, then this natural person shall be the same person as the CAIR designated representative under the CAIR SO2 Trading Program. If the CAIR NOX source is also a CAIR NOX Ozone Season source, then this natural person shall be the same person as the CAIR designated representative under the CAIR NOX Ozone Season Trading Program. If the CAIR NOX source is also subject to the Acid Rain Program, then this natural person shall be the same person as the designated representative under the Acid Rain Program. If the CAIR NOX source is also subject to the Hg Budget Trading Program, then this natural person shall be the same person as the Hg designated representative under the Hg Budget Trading Program.

CAIR NOXallowance means a limited authorization issued by a permitting authority or the Administrator under subpart EE of this part or § 97.188, or under provisions of a State implementation plan that are approved under § 51.123(o)(1) or (2) or (p) of this chapter, to emit one ton of nitrogen oxides during a control period of the specified calendar year for which the authorization is allocated or of any calendar year thereafter under the CAIR NOX Program. An authorization to emit nitrogen oxides that is not issued under subpart EE of this part, § 97.188, or provisions of a State implementation plan that are approved under § 51.123(o)(1) or (2) or (p) of this chapter shall not be a CAIR NOX allowance.

CAIR NOXallowance deduction or deduct CAIR NOXallowances means the permanent withdrawal of CAIR NOX allowances by the Administrator from a compliance account, e.g., in order to account for a specified number of tons of total nitrogen oxides emissions from all CAIR NOX units at a CAIR NOX source for a control period, determined in accordance with subpart HH of this part, or to account for excess emissions.

CAIR NOXAllowance Tracking System means the system by which the Administrator records allocations, deductions, and transfers of CAIR NOX allowances under the CAIR NOX Annual Trading Program. Such allowances will be allocated, held, deducted, or transferred only as whole allowances.

CAIR NOXAllowance Tracking System account means an account in the CAIR NOX Allowance Tracking System established by the Administrator for purposes of recording the allocation, holding, transferring, or deducting of CAIR NOX allowances.

CAIR NOXallowances held or hold CAIR NOX allowances means the CAIR NOX allowances recorded by the Administrator, or submitted to the Administrator for recordation, in accordance with subparts FF, GG, and II of this part, in a CAIR NOX Allowance Tracking System account.

CAIR NOXAnnual Trading Program means a multi-state nitrogen oxides air pollution control and emission reduction program established by the Administrator in accordance with subparts AA through II of this part and §§ 51.123(p) and 52.35 of this chapter or approved and administered by the Administrator in accordance with subparts AA through II of part 96 of this chapter and § 51.123(o)(1) or (2) of this chapter, as a means of mitigating interstate transport of fine particulates and nitrogen oxides.

CAIR NOXemissions limitation means, for a CAIR NOX source, the tonnage equivalent, in NOX emissions in a control period, of the CAIR NOX allowances available for deduction for the source under § 97.154 (a) and (b) for the control period.

CAIR NOXOzone Season source means a source that is subject to the CAIR NOX Ozone Season Trading Program.

CAIR NOXOzone Season Trading Program means a multi-state nitrogen oxides air pollution control and emission reduction program established by the Administrator in accordance with subparts AAAA through IIII of this part and §§ 51.123(ee) and 52.35 of this chapter or approved and administered by the Administrator in accordance with subparts AAAA through IIII of part 96 and § 51.123(aa)(1) or (2) (and (bb)(1)), (bb)(2), or (dd) of this chapter, as a means of mitigating interstate transport of ozone and nitrogen oxides.

CAIR NOXsource means a source that includes one or more CAIR NOX units.

CAIR NOXunit means a unit that is subject to the CAIR NOX Annual Trading Program under § 97.104 and, except for purposes of § 97.105 and subpart EE of this part, a CAIR NOX opt-in unit under subpart II of this part.

CAIR permit means the legally binding and federally enforceable written document, or portion of such document, issued by the permitting authority under subpart CC of this part, including any permit revisions, specifying the CAIR NOX Annual Trading Program requirements applicable to a CAIR NOX source, to each CAIR NOX unit at the source, and to the owners and operators and the CAIR designated representative of the source and each such unit.

CAIR SO2source means a source that is subject to the CAIR SO2 Trading Program.

CAIR SO2Trading Program means a multi-state sulfur dioxide air pollution control and emission reduction program established by the Administrator in accordance with subparts AAA through III of this part and §§ 51.124(r) and 52.36 of this chapter or approved and administered by the Administrator in accordance with subparts AAA through III of part 96 of this chapter and § 51.124(o)(1) or (2) of this chapter, as a means of mitigating interstate transport of fine particulates and sulfur dioxide.

Certifying official means:

(1) For a corporation, a president, secretary, treasurer, or vice-president or the corporation in charge of a principal business function or any other person who performs similar policy or decision-making functions for the corporation;

(2) For a partnership or sole proprietorship, a general partner or the proprietor respectively; or

(3) For a local government entity or State, Federal, or other public agency, a principal executive officer or ranking elected official.

Clean Air Act or CAA means the Clean Air Act, 42 U.S.C. 7401, et seq.

Coal means any solid fuel classified as anthracite, bituminous, subbituminous, or lignite.

Coal-derived fuel means any fuel (whether in a solid, liquid, or gaseous state) produced by the mechanical, thermal, or chemical processing of coal.

Coal-fired means:

(1) Except for purposes of subpart EE of this part, combusting any amount of coal or coal-derived fuel, alone or in combination with any amount of any other fuel, during any year; or

(2) For purposes of subpart EE of this part, combusting any amount of coal or coal-derived fuel, alone or in combination with any amount of any other fuel, during a specified year.

Cogeneration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine:

(1) Having equipment used to produce electricity and useful thermal energy for industrial, commercial, heating, or cooling purposes through the sequential use of energy; and

(2) Producing during the 12-month period starting on the date the unit first produces electricity and during any calendar year after the calendar year in which the unit first produces electricity -

(i) For a topping-cycle cogeneration unit,

(A) Useful thermal energy not less than 5 percent of total energy output; and

(B) Useful power that, when added to one-half of useful thermal energy produced, is not less then 42.5 percent of total energy input, if useful thermal energy produced is 15 percent or more of total energy output, or not less than 45 percent of total energy input, if useful thermal energy produced is less than 15 percent of total energy output.

(ii) For a bottoming-cycle cogeneration unit, useful power not less than 45 percent of total energy input;

(3) Provided that the total energy input under paragraphs (2)(i)(B) and (2)(ii) of this definition shall equal the unit's total energy input from all fuel except biomass if the unit is a boiler.

Combustion turbine means:

(1) An enclosed device comprising a compressor, a combustor, and a turbine and in which the flue gas resulting from the combustion of fuel in the combustor passes through the turbine, rotating the turbine; and

(2) If the enclosed device under paragraph (1) of this definition is combined cycle, any associated duct burner, heat recovery steam generator, and steam turbine.

Commence commercial operation means, with regard to a unit:

(1) To have begun to produce steam, gas, or other heated medium used to generate electricity for sale or use, including test generation, except as provided in § 97.105 and § 97.184(h).

(i) For a unit that is a CAIR NOX unit under § 97.104 on the later of November 15, 1990 or the date the unit commences commercial operation as defined in paragraph (1) of this definition and that subsequently undergoes a physical change (other than replacement of the unit by a unit at the same source), such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be treated as the same unit.

(ii) For a unit that is a CAIR NOX unit under § 97.104 on the later of November 15, 1990 or the date the unit commences commercial operation as defined in paragraph (1) of this definition and that is subsequently replaced by a unit at the same source (e.g., repowered), such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined in paragraph (1) or (2) of this definition as appropriate.

(2) Notwithstanding paragraph (1) of this definition and except as provided in § 97.105, for a unit that is not a CAIR NOX unit under § 97.104 on the later of November 15, 1990 or the date the unit commences commercial operation as defined in paragraph (1) of this definition, the unit's date for commencement of commercial operation shall be the date on which the unit becomes a CAIR NOX unit under § 97.104.

(i) For a unit with a date for commencement of commercial operation as defined in paragraph (2) of this definition and that subsequently undergoes a physical change (other than replacement of the unit by a unit at the same source), such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be treated as the same unit.

(ii) For a unit with a date for commencement of commercial operation as defined in paragraph (2) of this definition and that is subsequently replaced by a unit at the same source (e.g., repowered), such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined in paragraph (1) or (2) of this definition as appropriate.

Commence operation means:

(1) To have begun any mechanical, chemical, or electronic process, including, with regard to a unit, start-up of a unit's combustion chamber, except as provided in § 97.184(h).

(2) For a unit that undergoes a physical change (other than replacement of the unit by a unit at the same source) after the date the unit commences operation as defined in paragraph (1) of this definition, such date shall remain the date of commencement of operation of the unit, which shall continue to be treated as the same unit.

(3) For a unit that is replaced by a unit at the same source (e.g., repowered) after the date the unit commences operation as defined in paragraph (1) of this definition, such date shall remain the replaced unit's date of commencement of operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of operation as defined in paragraph (1), (2), or (3) of this definition as appropriate, except as provided in § 97.184(h).

Common stack means a single flue through which emissions from 2 or more units are exhausted.

Compliance account means a CAIR NOX Allowance Tracking System account, established by the Administrator for a CAIR NOX source under subpart FF or II of this part, in which any CAIR NOX allowance allocations for the CAIR NOX units at the source are initially recorded and in which are held any CAIR NOX allowances available for use for a control period in order to meet the source's CAIR NOX emissions limitation in accordance with § 97.154.

Continuous emission monitoring system or CEMS means the equipment required under subpart HH of this part to sample, analyze, measure, and provide, by means of readings recorded at least once every 15 minutes (using an automated data acquisition and handling system (DAHS)), a permanent record of nitrogen oxides emissions, stack gas volumetric flow rate, stack gas moisture content, and oxygen or carbon dioxide concentration (as applicable), in a manner consistent with part 75 of this chapter. The following systems are the principal types of continuous emission monitoring systems required under subpart HH of this part:

(1) A flow monitoring system, consisting of a stack flow rate monitor and an automated data acquisition and handling system and providing a permanent, continuous record of stack gas volumetric flow rate, in standard cubic feet per hour (scfh);

(2) A nitrogen oxides concentration monitoring system, consisting of a NOX pollutant concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of NOX emissions, in parts per million (ppm);