For the reasons set forth in the preamble, parts 51, 52, 72, 78, and 97 of chapter I of title 40 of the Code of Federal Regulations are amended as follows:
PART 51 -- [AMENDED]
1. The authority citation for Part 51 continues to read as follows:
      Authority: 23 U.S.C. 101; 42 U.S.C. 7401-7671q.
§ 51.121 [Amended]
2. Section 51.121 is amended by revising paragraph (r)(2) by removing the words "§51.123(bb)" and adding, in their place, the words "§51.123(bb) with regard to an ozone season that occurs before January 1, 2012". 
3. Section 51.123 is amended by adding a new paragraph (ff) to read as follows: 
§ 51.123  Findings and requirements for submission of State implementation plan revisions relating to emissions of oxides of nitrogen pursuant to the Clean Air Interstate Rule.
*  *  *  *  *
(ff) Notwithstanding any provisions of paragraphs (a) through (ee) of this section, subparts AA through II and AAAA through IIII of part 96 of this chapter, subparts AA through II and AAAA through IIII of part 97 of this chapter, and any State's SIP to the contrary:
(1) With regard to any control period that begins after December 31, 2011, the Administrator:
(i) Rescinds the determination in paragraph (a) of this section that the States identified in paragraph (c) of this section must submit a SIP revision with respect to the fine particles (PM2.5) NAAQS and the 8-hour ozone NAAQS meeting the requirements of paragraphs (b) through (ee) of this section; and 
(ii) Will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 96 of this chapter, subparts AA through II and AAAA through IIII of part 97 of this chapter, or in any emissions trading program provisions in a State's SIP approved under this section; 
(2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter; 
(3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and 
(4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods.
4. Section 51.124 is amended by adding a new paragraph (s) to read as follows: 
§ 51.124  Findings and requirements for submission of State implementation plan revisions relating to emissions of sulfur dioxide pursuant to the Clean Air Interstate Rule. 
*  *  *  *  *
(s) Notwithstanding any provisions of paragraphs (a) through (r) of this section, subparts AAA through III of part 96 of this chapter, subparts AAA through III of part 97 of this chapter, and any State's SIP to the contrary: 
(1) With regard to any control period that begins after December 31, 2011, the Administrator:
(i) Rescinds the determination in paragraph (a) of this section that the States identified in paragraph (c) of this section must submit a SIP revision with respect to the fine particles (PM2.5) NAAQS meeting the requirements of paragraphs (b) through (r) of this section; and 
(ii) Will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 96 of this chapter, subparts AAA through III of part 97 of this chapter, or in any emissions trading program in a State's SIP approved under this section; and
(2) The Administrator will not deduct for excess emissions any CAIR SO2 allowances allocated for 2012 or any year thereafter.
§ 51.125  [Reserved] 
5. Section 51.125 is removed and reserved. 
PART 52 -- [AMENDED]
6. The authority citation for Part 52 continues to read as follows:
      Authority: 42 U.S.C. 7401, et seq.
Subpart A -- General Provisions
7. Section 52.35 is amended by adding a new paragraph (f) to read as follows: 

§ 52.35  What are the requirements of the Federal Implementation Plans (FIPs) for the Clean Air Interstate Rule (CAIR) relating to emissions of nitrogen oxides?
*  *  *  *  *  
(f) Notwithstanding any provisions of paragraphs (a) through (d) of this section, subparts AA through II and AAAA through IIII of part 97 of this chapter, and any State's SIP to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions in paragraphs (a) through (d) of this section relating to NOX annual or ozone season emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; 
(2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter;
(3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and 
(4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods.
8. Section 52.36 is amended by adding a new paragraph (e) to read as follows: 

§ 52.36  What are the requirements of the Federal Implementation Plans (FIPs) for the Clean Air Interstate Rule (CAIR) relating to emissions of sulfur dioxide?  
*  *  *  *  *
(e) Notwithstanding any provisions of paragraphs (a) through (c) of this section, subparts AAA through III of part 97 of this chapter and any State's SIP to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions of paragraphs (a) through (e) of this section relating to SO2 emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and
(2) The Administrator will not deduct for excess emissions any CAIR SO2 allowances allocated for 2012 or any year thereafter.
9. Subpart A is amended by adding §§52.38 and 52.39 to read as follows:  

§ 52.38  What are the requirements of the Federal Implementation Plans (FIPs) under the Transport Rule (TR) relating to emissions of nitrogen oxides?  

(a)(1) The TR NOX Annual Trading Program provisions set forth in subpart AAAAA of part 97 of this chapter constitute the TR Federal Implementation Plan provisions that relate to annual emissions of nitrogen oxides (NOX). 

(2) The provisions of subpart AAAAA of part 97 of this chapter apply to the sources in the following States and Indian country located within the borders of such States: Alabama, Georgia, Illinois, Indiana, Iowa, Kansas, Kentucky, Maryland, Michigan, Minnesota, Missouri, Nebraska, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas,  Virginia, West Virginia, and Wisconsin.

(3) Notwithstanding the provisions of paragraph (a)(1) of this section, a State listed in paragraph (a)(2) of this section may adopt and include in a SIP revision, and the Administrator will approve, as TR NOX Annual allowance allocation provisions replacing the provisions in §97.411(a) of this chapter with regard to the State and the control period in 2013, a list of TR NOX Annual units and the amount of TR NOX Annual allowances allocated to each unit on such list, provided that the list of units and allocations meets the following requirements: 

(i) All of the units on the list must be units that are in the State and commenced commercial operation before January 1, 2010;

(ii) The total amount of TR NOX Annual allowance allocations on the list must not exceed the amount, under §97.410(a) of this chapter for the State and the control period in 2013, of TR NOX Annual trading budget minus the sum of the new unit set-aside and Indian country new unit set-aside; 

(iii) The list must be submitted electronically in a format specified by the Administrator; and

(iv) The SIP revision must not provide for any change in the units and allocations on the list after approval of the SIP revision by the Administrator and must not provide for any change in any allocation determined and recorded by the Administrator under subpart AAAAA of part 97 of this chapter; 

(v) Provided that:

(A) By [INSERT DATE 70 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the State must notify the Administrator electronically in a format specified by the Administrator of the State's intent to submit to the Administrator a complete SIP revision meeting the requirements of paragraph (a)(3)(i) through (iv) of this section by April 1, 2012; and

(B) The State must submit to the Administrator a complete SIP revision described in paragraph (a)(3)(v)(A) of this section by April 1, 2012.

(4) Notwithstanding the provisions of paragraph (a)(1) of this section, a State listed in paragraph (a)(2) of this section may adopt and include in a SIP revision, and the Administrator will approve, regulations revising subpart AAAAA of part 97 of this chapter as follows and not making any other substantive revisions of that subpart:

(i) The State may adopt, as TR NOX Annual allowance allocation or auction provisions replacing the provisions in §§97.411(a) and (b)(1) and 97.412(a) of this chapter with regard to the State and the control period in 2014 or any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR NOX Annual allowances, and may adopt, in addition to the definitions in §97.402 of this chapter, one or more definitions that shall apply only to terms as used in the adopted TR NOX Annual allowance allocation or auction provisions, if such methodology--

(A) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR NOX Annual allowances for any such control period not exceeding the amount, under §§97.410(a) and 97.421 of this chapter for the State and such control period, of the TR NOX Annual trading budget minus the sum of the Indian country new unit set-aside and the amount of any TR NOX Annual allowances already allocated and recorded by the Administrator.  

(B) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Annual allowances for any such control period to any TR NOX Annual units covered by §97.411(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR NOX Annual allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator no later than the following dates:

Year of the control period for which TR NOX Annual allowances are allocated or
auctioned
Deadline for
submission of allocations or auction results to Administrator
2014
June 1, 2013
2015
June 1, 2013
2016
June 1, 2014
2017
June 1, 2014
2018
June 1, 2015
2019
June 1, 2015
2020 and any year thereafter
June 1 of the fourth year before the year of the control period


(C) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Annual allowances for any such control period to any TR NOX Annual units covered by §§97.411(b)(1) and 97.412(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR NOX Annual allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator by July 1 of the year of such control period.

(D) Does not provide for any change, after the submission deadlines in paragraphs (a)(4)(i)(B) and (C) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart AAAAA of part 97 of this chapter; 

(ii) Provided that the State must submit a complete SIP revision meeting the requirements of paragraph (a)(4)(i) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (a)(4)(i)(B) and (C) of this section for the first control period for which the State wants to make allocations or hold an auction under paragraph (a)(4)(i) of this section.

(5) Notwithstanding the provisions of paragraph (a)(1) of this section, a State listed in paragraph (a)(2) of this section may adopt and include in a SIP revision, and the Administrator will approve, as correcting in whole or in part, as appropriate, the deficiency in the SIP that is the basis for the TR Federal Implementation Plan set forth in paragraphs (a)(1) through (4) of this section, regulations that are substantively identical to the provisions of the TR NOX Annual Trading Program set forth in §§97.402 through 97.435 of this chapter, except that the SIP revision:

(i) May adopt, as TR NOX Annual allowance allocation or auction provisions replacing the provisions in §§97.411(a) and (b)(1) and 97.412(a) of this chapter with regard to the State and the control period in 2014 or any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR NOX Annual allowances and that--

(A) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR NOX Annual allowances for any such control period not exceeding the amount, under §§97.410(a) and 97.421 of this chapter for the State and such control period, of the TR NOX Annual trading budget minus the sum of the Indian country new unit set-aside and the amount of any TR NOX Annual allowances already allocated and recorded by the Administrator.  

(B) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Annual allowances for any such control period to any TR NOX Annual units covered by §97.411(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR NOX Annual allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator no later than the following dates:

Year of the control period for which TR NOX Annual allowances are allocated or
auctioned
Deadline for 
submission of allocations or auction results to Administrator
2014
June 1, 2013
2015
June 1, 2013
2016
June 1, 2014
2017
June 1, 2014
2018
June 1, 2015
2019
June 1, 2015
2020 and any year thereafter
June 1 of the fourth year before the year of the control period

(C) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Annual allowances for any such control period to any TR NOX Annual units covered by §§97.411(b)(1) and 97.412(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR NOX Annual allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator by July 1 of the year of such control period.

(D) Does not provide for any change, after the submission deadlines in paragraphs (a)(5)(i)(B) and (C) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart AAAAA of part 97 of this chapter; 

(ii) May adopt, in addition to the definitions in §97.402 of this chapter, one or more definitions that shall apply only to terms as used in the TR NOX Annual allowance allocation or auction provisions adopted under paragraph (a)(5)(i) of this section; 

(iii) May substitute the name of the State for the term "State" as used in subpart AAAAA of part 97 of this chapter, to the extent the Administrator determines that such substitutions do not make substantive changes in the provisions in §§97.402 through 97.435 of this chapter; and

(iv) Must not include any of the references to, or requirements imposed on, any unit in Indian country within the borders of the State in the provisions in §§97.402 through 97.435 of this chapter and must not include the provisions in §§97.411(b)(2) and 97.412(b), all of which provisions will continue to apply under the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision;
 
(v) Provided that, if and when any covered unit is located in Indian country within the borders of the State, the Administrator may modify his or her approval of the SIP revision to exclude the provisions in §§97.402 (definitions of "common designated representative", "common designated representative's assurance level", and "common designated representative's share"), 97.406(c)(2), 97.425, and the portions of other provisions referencing these sections and may modify the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision to include these provisions; 

(vi) Provided that the State must submit a complete SIP revision meeting the requirements of paragraphs (a)(5)(i) through (iv) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (a)(5)(i)(B) and (C) of this section applicable to the first control period for which the State wants to make allocations or hold an auction under paragraphs (a)(5)(i) and (ii) of this section.     

(6) Following promulgation of an approval by the Administrator of a State's SIP revision as correcting in whole or in part, as appropriate, the SIP's deficiency that is the basis for the TR Federal Implementation Plan described in paragraphs (a)(1) through (5) of this section, the provisions of paragraph (a)(2) of this section will no longer apply to the sources in the State, unless the Administrator's approval of the SIP revision is partial or conditional, and will continue to apply to sources in any Indian country within the borders of the State. 

(7) Notwithstanding the provisions of paragraph (a)(6) of this section, if, at the time of such approval of the State's SIP revision, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in a State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.

(b)(1) The TR NOX Ozone Season Trading Program provisions set forth in part 97 of this chapter constitute the TR Federal Implementation Plan provisions that relate to emissions of NOX during the ozone season, defined as May 1 through September 30 of a calendar year. 

(2) The provisions of subpart BBBBB of part 97 of this chapter apply to sources in each of the following States and Indian country located within the borders of such States: Alabama, Arkansas, Florida, Georgia, Illinois, Indiana, Kentucky, Louisiana, Maryland, Mississippi, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and West Virginia.  

(3) Notwithstanding the provisions of paragraph (b)(1) of this section, a State listed in paragraph (b)(2) of this section may adopt and include in a SIP revision, and the Administrator will approve, as TR NOX Ozone Season allowance allocation provisions replacing the provisions in §97.511(a) of this chapter with regard to the State and the control period in 2013, a list of TR NOX Ozone Season units and the amount of TR NOX Ozone Season allowances allocated to each unit on such list, provided that the list of units and allocations meets the following requirements: 

(i) All of the units on the list must be units that are in the State and commenced commercial operation before January 1, 2010;

(ii) The total amount of TR NOX Ozone Season allowance allocations on the list must not exceed the amount, under §97.510(a) of this chapter for the State and the control period in 2013, of TR NOX Ozone Season trading budget minus the sum of the new unit set-aside and Indian country new unit set-aside; 

(iii) The list must be submitted electronically in a format specified by the Administrator; and

(iv) The SIP revision must not provide for any change in the units and allocations on the list after approval of the SIP revision by the Administrator and must not provide for any change in any allocation determined and recorded by the Administrator under subpart BBBBB of part 97 of this chapter; 

(v) Provided that:

(A) By [INSERT DATE 70 DAYS AFTER PUBLICATION IN THE FEDRAL REGISTER], the State must notify the Administrator electronically in a format specified by the Administrator of the State's intent to submit to the Administrator a complete SIP revision meeting the requirements of paragraph (b)(3)(i) through (iv) of this section by April 1, 2012; and

(B) The State must submit to the Administrator a complete SIP revision described in paragraph (b)(3)(v)(A) of this section by April 1, 2012. 

(4) Notwithstanding the provisions of paragraph (b)(1) of this section, a State listed in paragraph (b)(2) of this section may adopt and include in a SIP revision, and the Administrator will approve, regulations revising subpart BBBBB of part 97 of this chapter as follows and not making any other substantive revisions of that subpart:

(i) The State may adopt, as applicability provisions replacing the provisions in §§97.504(a)(1) and (2) of this chapter, provisions substantively identical to those provisions, except that the words "more than 25 MWe" are replaced, whenever such words appear, by words specifying a uniform lower limit on the amount of megawatts that is not greater than the amount specified by the words "more than 25 MWe" and is not less than the amount specified by the words "15 MWe or more"; or 

(ii) The State may adopt, as TR NOX Ozone Season allowance allocation or auction provisions replacing the provisions in §§97.511(a) and (b)(1) and 97.512(a) of this chapter with regard to the control period in 2014 or any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR NOX Ozone Season allowances, and may adopt, in addition to the definitions in §97.502 of this chapter, one or more definitions that shall apply only to terms as used in the adopted TR NOX Ozone Season allowance allocation or auction provisions, if such methodology--

(A) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR NOX Ozone Season allowances for any such control period not exceeding the amount, under §§97.510(a) and 97.521 of this chapter for the State and such control period, of the TR NOX Ozone Season trading budget minus the sum of the Indian country new unit set-aside and the amount of any TR NOX Ozone Season allowances already allocated and recorded by the Administrator.  

(B) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Ozone Season allowances for any such control period to any TR NOX Ozone Season units covered by §97.511(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR NOX Ozone Season allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator no later than the following dates:

Year of the control period for which TR NOX Ozone Season allowances are allocated or
auctioned
Deadline for 
submission of allocations or auction results to Administrator
2014
June 1, 2013
2015
June 1, 2013
2016
June 1, 2014
2017
June 1, 2014
2018
June 1, 2015
2019
June 1, 2015
2020 and any year thereafter
June 1 of the fourth year before the year of the control period

(C) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Ozone Season allowances for any such control period to any TR NOX Ozone Season units covered by §§97.511(b)(1) and 97.512(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR NOX Ozone Season allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator by July 1 of the year of such control period. 

(D) Does not provide for any change, after the submission deadlines in paragraphs (b)(4)(ii)(B) and (C) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart BBBBB of part 97 of this chapter; 

(iii) Provided that the State must submit a complete SIP revision meeting the requirements of paragraph (b)(4)(i) or (ii) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (b)(4)(ii)(B) and (C) of this section applicable to the first control period for which the State wants to replace the applicability provisions, make allocations, or hold an auction under paragraph (b)(4)(i) or (ii) of this section.

(5) Notwithstanding the provisions of paragraph (b)(1) of this section, a State listed in paragraph (b)(2) of this section may adopt and include in a SIP revision, and the Administrator will approve, as correcting in whole or in part, as appropriate, the deficiency in the SIP that is the basis for the TR Federal Implementation Plan set forth in paragraphs (b)(1) through (4) of this section, regulations that are substantively identical to the provisions of the TR NOX Ozone Season Trading Program set forth in §§97.502 through 97.535 of this chapter, except that the SIP revision:

(i) May adopt, as applicability provisions replacing the provisions in §§97.504(a)(1) and (2) of this chapter, provisions substantively identical to those provisions, except that the words "more than 25 MWe" are replaced, whenever such words appear, by words specifying a uniform lower limit on the amount of megawatts that is not greater than the amount specified by the words "more than 25 MWe" and is not less than the amount specified by the words "15 MWe or more"; or

(ii) May adopt, as TR NOX Ozone Season allowance allocation provisions replacing the provisions in §§97.511(a) and (b)(1) and 97.512(a) of this chapter with regard to the control period in 2014 and any subsequent year, any methodology under which the State or the permitting authority allocates auctions TR NOX Ozone Season allowances and that--

(A) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR NOX Ozone Season allowances for any such control period not exceeding the amount, under §§97.510(a) and 97.521 of this chapter for the State and such control period, of the TR NOX Ozone Season trading budget minus the sum of the Indian country new unit set-aside and the amount of any TR NOX Ozone Season allowances already allocated and recorded by the Administrator.  

(B) Requires, to the extent the State adopts provisions for allocations or auction of TR NOX Ozone Season allowances for any such control period to any TR NOX Ozone Season units covered by §97.511(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR NOX Ozone Season allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator no later than the following dates:

Year of the control period for which TR NOX Ozone Season allowances are allocated or
auctioned
Deadline for
submission of allocations or auction results to Administrator
2014
June 1, 2013
2015
June 1, 2013
2016
June 1, 2014
2017
June 1, 2014
2018
June 1, 2015
2019
June 1, 2015
2020 and any year thereafter
June 1 of the fourth year before the year of the control period

(C) Requires, to the extent the State adopts provisions for allocations or auctions of TR NOX Ozone Season allowances for any control period to any TR NOX Ozone Season units covered by §§97.511(b)(1) and 97.512(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR NOX Ozone Season allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator by July 1 of the year of such control period. 

(D) Does not provide for any change, after the submission deadlines in paragraphs (b)(5)(ii)(B) and (C) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart BBBBB of part 97 of this chapter;

(iii) May adopt in addition to the definitions in §97.502 of this chapter, one or more definitions that shall apply only to terms as used in the TR NOX Ozone Season allowance allocation or auction provisions adopted under paragraph (b)(5)(ii) of this section; 

(iv) May substitute the name of the State for the term "State" as used in subpart BBBBB of part 97 of this chapter, to the extent the Administrator determines that such substitutions do not make substantive changes in the provisions in §§97.502 through 97.535 of this chapter; and

(v) Must not include any of the references to, or requirements imposed on, any unit in Indian country within the borders of the State in the provisions in §§97.502 through 97.535 of this chapter and must not include the provisions in §§97.511(b)(2) and 97.512(b), all of which provisions will continue to apply under the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision;
 
(vi) Provided that, if and when any covered unit is located in Indian country within the borders of the State, the Administrator may modify his or her approval of the SIP revision to exclude the provisions in §§97.502 (definitions of "common designated representative", "common designated representative's assurance level", and "common designated representative's share"), 97.506(c)(2), 97.525, and the portions of other provisions referencing these sections and may modify the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision to include these provisions; 

(vii) Provided that the State must submit a complete SIP revision meeting the requirements of paragraph (b)(5)(i) through (v) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (5)(ii)(B) and (C) of this section applicable to the first control period for which the State wants to replace the applicability provisions, make allocations, or hold an auction under paragraphs (b)(5)(ii) and (iii) of this section.  

(6) Following promulgation of an approval by the Administrator of a State's SIP revision as correcting in whole or in part, as appropriate, the SIP's deficiency that is the basis for the TR Federal Implementation Plan set forth in paragraphs (b)(1) through (5) of this section, the provisions of paragraph (b)(2) of this section will no longer apply to sources in the State, unless the Administrator's approval of the SIP revision is partial or conditional, and will continue to apply to sources in any Indian country within the borders of the State.  

(7) Notwithstanding the provisions of paragraph (b)(6) of this section, if, at the time of such approval of the State's SIP revision, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in a State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

§ 52.39  What are the requirements of the Federal Implementation Plans (FIPs) for the Transport Rule (TR) relating to emissions of sulfur dioxide?  

(a) The TR SO2 Group 1 Trading Program provisions and the TR SO2 Group 2 Trading Program provisions set forth respectively in subparts CCCCC and DDDDD of part 97 of this chapter constitute the TR Federal Implementation Plan provisions that relate to emissions of sulfur dioxide (SO2). 

(b) The provisions of subpart CCCCC of part 97 of this chapter apply to sources in each of the following States and Indian country located within the borders of such States: Illinois, Indiana, Iowa, Kentucky, Maryland, Michigan, Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Tennessee, Virginia, West Virginia, and Wisconsin.  

(c) The provisions of subpart DDDDD of part 97 of this chapter apply to sources in each of the following States and Indian country located within the borders of such States: Alabama, Georgia, Kansas, Minnesota, Nebraska, South Carolina, and Texas.  

(d) Notwithstanding the provisions of paragraph (a) of this section, a State listed in paragraph (b) of this section may adopt and include in a SIP revision, and the Administrator will approve, as TR SO2 Group 1 allowance allocation provisions replacing the provisions in §97.611(a) of this chapter with regard to the State and the control period in 2013, a list of TR SO2 Group 1 units and the amount of TR SO2 Group 1 allowances allocated to each unit on such list, provided that the list of units and allocations meets the following requirements: 

(1) All of the units on the list must be units that are in the State and commenced commercial operation before January 1, 2010;

(2) The total amount of TR SO2 Group 1 allowance allocations on the list must not exceed the amount, under §97.610(a) of this chapter for the State and the control period in 2013, of TR SO2 Group 1 trading budget minus the sum of the new unit set-aside and Indian country new unit set-aside; 

(3) The list must be submitted electronically in a format specified by the Administrator; and

(4) The SIP revision must not provide for any change in the units and allocations on the list after approval of the SIP revision by the Administrator and must not provide for any change in any allocation determined and recorded by the Administrator under subpart CCCCC of part 97 of this chapter; 

(5) Provided that:

(i) By [INSERT DATE 70 DAYS AFTER PUBLICATION IN THE FEDRAL REGISTER], the State must notify the Administrator electronically in a format specified by the Administrator of the State's intent to submit to the Administrator a complete SIP revision meeting the requirements of paragraph (d)(1) through (4) of this section by April 1, 2012; and

(ii) The State must submit to the Administrator a complete SIP revision described in paragraph (d)(5)(i) of this section by April 1, 2012.

(e) Notwithstanding the provisions of paragraph (a) of this section, a State listed in paragraph (b) of this section may adopt and include in a SIP revision, and the Administrator will approve, regulations revising subpart CCCCC of part 97 of this chapter as follows and not making any other substantive revisions of that subpart:
	
(1) The State may adopt, as TR SO2 Group 1 allowance allocation or auction provisions replacing the provisions in §§97.611(a) and (b)(1) and 97.612(a) of this chapter with regard to the control period in 2014 or any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR SO2 Group 1 allowances and may adopt, in addition to the definitions in §97.602 of this chapter, one or more definitions that shall apply only to terms as used in the adopted TR SO2 Group 1 allowance allocation or auction provisions, if such methodology--

(i) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR SO2 Group 1 allowances for any such control period not exceeding the amount, under §§97.610(a) and 97.621 of this chapter for the State and such control period, of the TR SO2 Group 1 trading budget minus the sum of the Indian country new unit set-aside and the amount of any TR SO2 Group 1 allowances already allocated and recorded by the Administrator.  

(ii) Requires, to the extent the State adopts provisions for allocations or auction of TR SO2 Group 1 allowances for any such control period to any TR SO2 Group 1 units covered by §97.611(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR SO2 Group 1 allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator no later than the following dates:

Year of the control period for which TR SO2 Group 1 allowances are allocated or
auctioned
Deadline for 
submission of allocations or auction results to Administrator
2014
June 1, 2013
2015
June 1, 2013
2016
June 1, 2014
2017
June 1, 2014
2018
June 1, 2015
2019
June 1, 2015
2020 and any year thereafter
June 1 of the fourth year before the year of the control period

(iii) Requires, to the extent the State adopts provisions for allocations or auctions of TR SO2 Group 1 allowances for any such control period to any TR SO2 Group 1 units covered by §§97.611(b)(1) and 97.612(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR SO2 Group 1 allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator by July 1 of the year of such control period. 

(iv) Does not provide for any change, after the submission deadlines in paragraphs (e)(1)(ii) and (iii) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart CCCCC of part 97 of this chapter;  

(2) Provided that the State must submit a complete SIP revision meeting the requirements of paragraph (e)(1) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (e)(1)(ii) and (iii) of this section applicable to the first control period for which the State wants to make allocations or hold an auction under paragraph (e)(1) of this section.

(f) Notwithstanding the provisions of paragraph (a) of this section, a State listed in paragraph (b) of this section may adopt and include in a SIP revision, and the Administrator will approve, as correcting in whole or in part, as appropriate, the deficiency in the SIP that is the basis for the TR Federal Implementation Plan set forth in paragraphs (a), (b), (d), and (e) of this section, regulations that are substantively identical to the provisions of the TR SO2 Group 1 Trading Program set forth in §§97.602 through 97.635 of this chapter, except that the SIP revision:

(1) May adopt, as TR SO2 Group 1 allowance allocation or auction provisions replacing the provisions in §§97.611(a) and (b)(1) and 97.612(a) of this chapter with regard to the control period in 2014 and any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR SO2 Group 1 allowances and that--

(i) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR SO2 Group 1 allowances for such control period not exceeding the amount, under §§97.610(a) and 97.621 of this chapter for the State and such control period, of the TR SO2 Group 1 trading budget minus the sum of the Indian country new unit set-aside and the amount of any TR SO2 Group 1 allowances already allocated and recorded by the Administrator.  

(ii) Requires, to the extent the State adopts provisions for allocations or auction of TR SO2 Group 1 allowances for any such control period to any TR SO2 Group 1 units covered by §97.611(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR SO2 Group 1 allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator no later than the following dates:

Year of the control period for which TR SO2 Group 1 allowances are allocated or
auctioned
Deadline for
submission of allocations or auction results to Administrator
2014
June 1, 2013
2015
June 1, 2013
2016
June 1, 2014
2017
June 1, 2014
2018
June 1, 2015
2019
June 1, 2015
2020 and any year thereafter
June 1 of the fourth year before the year of the control period

(iii) Requires, to the extent the State adopts provisions for allocations or auctions of TR SO2 Group 1 allowances for any such control period to any TR SO2 Group 1 units covered by §§97.611(b)(1) and 97.612(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR SO2 Group 1 allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator by July 1 of the year of such control period.

(iv) Does not provide for any change, after the submission deadlines in paragraphs (f)(2)(ii) and (iii) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart CCCCC of part 97 of this chapter;

(2) May adopt, in addition to the definitions in §97.602 of this chapter, one or more definitions that shall apply only to terms as used in the TR SO2 Group 1 allowance allocation or auction provisions adopted under paragraph (f)(1) of this section; 

(3) May substitute the name of the State for the term "State" as used in subpart CCCCC of part 97 of this chapter, to the extent the Administrator determines that such substitutions do not make substantive changes in the provisions in §§97.602 through 97.635 of this chapter; and

(4) Must not include any of the references to, or requirements imposed on, any unit in Indian country within the borders of the State in the provisions in §§97.602 through 97.635 of this chapter and must not include the provisions in §§97.611(b)(2) and 97.612(b), all of which provisions will continue to apply under the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision;
 
(5) Provided that, if and when any covered unit is located in Indian country within the borders of the State, the Administrator may modify his or her approval of the SIP revision to exclude the provisions in §§97.602 (definitions of "common designated representative", "common designated representative's assurance level", and "common designated representative's share"), 97.606(c)(2), 97.625, and the portions of other provisions referencing these sections and may modify the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision to include these provisions; 

(6) Provided that the State must submit a complete SIP revision meeting the requirements of paragraphs (f)(1) through (4) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (f)(1)(ii) and (iii) of this section applicable to the first control period for which the State wants to make allocations or hold an auction under paragraph (f)(1)(ii) and (iii) of this section.  

(g) Notwithstanding the provisions of paragraph (a) of this section, a State listed in paragraph (c) of this section may adopt and include in a SIP revision, and the Administrator will approve, as TR SO2 Group 2 allowance allocation provisions replacing the provisions in §97.711(a) of this chapter with regard to the control period in 2013, a list of TR SO2 Group 2 units and the amount of TR SO2 Group 2 allowances allocated to each unit on such list, provided that the list of units and allocations meets the following requirements: 

(1) All of the units on the list must be units that are in the State and commenced commercial operation before January 1, 2010;

(2) The total amount of TR SO2 Group 2 allowance allocations on the list must not exceed the amount, under §97.710(a) of this chapter for the State and the control period in 2013, of TR SO2 Group 2 trading budget minus the sum of the new unit set-aside and Indian country new unit set-aside; 

(3) The list must be submitted electronically in a format specified by the Administrator; and

(4) The SIP revision must not provide for any change in the units and allocations on the list after approval of the SIP revision by the Administrator and must not provide for any change in any allocation determined and recorded by the Administrator under subpart DDDDD of part 97 of this chapter; 

(5) Provided that:

(i) By [INSERT DATE 70 DAYS AFTER PUBLICATION IN THE FEDRAL REGISTER], the State must notify the Administrator electronically in a format specified by the Administrator of the State's intent to submit to the Administrator a complete SIP revision meeting the requirements of paragraph (g)(1) through (4) of this section by April 1, 2012; and 

(ii) The State must submit to the Administrator a complete SIP revision described in paragraph (g)(5)(i) of this section by April 1, 2012.  

(h) Notwithstanding the provisions of paragraph (a) of this section, a State listed in paragraph (c) of this section may adopt and include in a SIP revision, and the Administrator will approve, regulations revising subpart DDDDD of part 97 of this chapter as follows and not making any other substantive revisions of that subpart:

(1) The State may adopt, as TR SO2 Group 2 allowance allocation or auction provisions replacing the provisions in §§97.711(a) and (b)(1) and 97.712(a) of this chapter with regard to the control period in 2014 and any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR SO2 Group 2 allowances and may adopt, in addition to the definitions in §97.702 of this chapter, one or more definitions that shall apply only to terms as used in the adopted TR SO2 Group 2 allowance allocation or auction provisions, if such methodology -- 

(i) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR SO2 Group 2 allowances for any such control period not exceeding the amount, under §§97.710(a) and 97.721 of this chapter for the State and such control period, of the TR SO2 Group 2 trading budget minus the sum of the Indian country new unit set-aside and the amount of any TR SO2 Group 2 allowances already allocated and recorded by the Administrator.  

(ii) Requires, to the extent the State adopts provisions for allocations or auction of TR SO2 Group 2 allowances for any such control period to any TR SO2 Group 2 units covered by §97.711(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR SO2 Group 2 allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator no later than the following dates:

Year of the control period for which TR SO2 Group 2 allowances are allocated or
auctioned
Deadline for
submission of allocations or auction results to Administrator
2014
June 1, 2013
2015
June 1, 2013
2016
June 1, 2014
2017
June 1, 2014
2018
June 1, 2015
2019
June 1, 2015
2020 and any year thereafter
June 1 of the fourth year before the year of the control period

(iii) Requires, to the extent the State adopts provisions for allocations or auctions of TR SO2 Group 2 allowances for any such control period to any TR SO2 Group 2 units covered by §§97.711(b)(1) and 97.712(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR SO2 Group 2 allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator by July 1 of the year of such control period.

(iv) Does not provide for any change, after the submission deadlines in paragraphs (h)(1)(ii) and (iii) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart DDDDD of part 97 of this chapter;

(2) Provided that the State must submit a complete SIP revision meeting the requirements of paragraph (h)(1) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (h)(1)(ii) and (iii) of this section applicable to the first control period for which the State wants to make allocations or hold an auction under paragraph (h)(1)(ii) and (iii) of this section.  

(i) Notwithstanding the provisions of paragraph (a) of this section, a State listed in paragraph (c) of this section may adopt and include in a SIP revision, and the Administrator will approve, as correcting in whole or in part, as appropriate, the deficiency in the SIP that is the basis for the TR Federal Implementation Plan set forth in paragraphs (a), (c), (g), and (h) of this section, regulations that are substantively identical to the provisions of the TR SO2 Group 2 Trading Program set forth in §§97.702 through 97.735 of this chapter, except that the SIP revision:

(1) May adopt, as TR SO2 Group 2 allowance allocation or auction provisions replacing the provisions in §§97.711(a) and (b)(1) and 97.712(a) of this chapter with regard to the control period in 2014 and any subsequent year, any methodology under which the State or the permitting authority allocates or auctions TR SO2 Group 2 allowances and that--

(i) Requires the State or the permitting authority to allocate and, if applicable, auction a total amount of TR SO2 Group 2 allowances for any such control period not exceeding the amount, under §§97.710(a) and 97.721 of this chapter for the State and such control period, of the TR SO2 Group 2 trading budget minus the sum of the Indian country new unit set-aside and the amount of any TR SO2 Group 2 allowances already allocated and recorded by the Administrator.  

(ii) Requires, to the extent the State adopts provisions for allocations or auction of TR SO2 Group 2 allowances for any such control period to any TR SO2 Group 2 units covered by §97.711(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions for such control period (except allocations or results of auctions to such units of TR SO2 Group 1 allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator no later than the following dates:

Year of the control period for which TR SO2 Group 2 allowances are allocated or
auctioned
Deadline for 
submission of allocations or auction results to Administrator
2014
June 1, 2013
2015
June 1, 2013
2016
June 1, 2014
2017
June 1, 2014
2018
June 1, 2015
2019
June 1, 2015
2020 and any year thereafter
June 1 of the fourth year before the year of the control period

(iii) Requires, to the extent the State adopts provisions for allocations or auctions of TR SO2 Group 2 allowances for any such control period to any TR SO2 Group 2 units covered by §§97.711(b)(1) and 97.712(a) of this chapter, that the State or the permitting authority submit such allocations or the results of such auctions (except allocations or results of auctions to such units of TR SO2 Group 2 allowances remaining in a set-aside after completion of the allocations or auctions for which the set-aside was created) to the Administrator by July 1 of the year of such control period. 

(iv) Does not provide for any change, after the submission deadlines in paragraphs (i)(1)(ii) and (iii) of this section, in the allocations submitted to the Administrator by such deadlines and does not provide for any change in any allocation determined and recorded by the Administrator under subpart DDDDD of part 97 of this chapter;

(2) May adopt, in addition to the definitions in §97.702 of this chapter, one or more definitions that shall apply only to terms as used in the TR SO2 Group 2 allowance allocation or auction provisions adopted under paragraph (i)(1) of this section; 

(3) May substitute the name of the State for the term "State" as used in subpart DDDDD of part 97 of this chapter, to the extent the Administrator determines that such substitutions do not make substantive changes in the provisions in §§97.702 through 97.735 of this chapter; and
 
(4) Must not include any of the references to, or requirements imposed on, any unit in Indian country within the borders of the State in the provisions in §§97.702 through 97.735 of this chapter and must not include the provisions in §§97.711(b)(2) and 97.712(b), all of which provisions will continue to apply under the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision; 

(5) Provided that, if and when any covered unit is located in Indian country within the borders of the State, the Administrator may modify his or her approval of the SIP revision to exclude the provisions in §§97.702 (definitions of "common designated representative", "common designated representative's assurance level", and "common designated representative's share"), 97.706(c)(2), 97.725, and the portions of other provisions referencing these sections and may modify the portion of the TR Federal Implementation Plan that is not replaced by the SIP revision to include these provisions; 
 
(6) Provided that the State must submit a complete SIP revision meeting the requirements of paragraphs (i)(1) through (4) of this section by December 1 of the year before the year of the deadlines for submission of allocations or auction results under paragraphs (i)(1)(ii) and (iii) of this section applicable to the first control period for which the State wants to make allocations or hold an auction under paragraphs (i)(1)(ii) and (iii) of this section.  

(j) Following promulgation of an approval by the Administrator of a State's SIP revision as correcting in whole or in part, as appropriate, the SIP's deficiency that is the basis for the TR Federal Implementation Plan, the provisions of paragraph (b) and (c) of this section, as applicable, will no longer apply to sources in the State, unless the Administrator's approval of the SIP revision is partial or conditional, and will continue to apply to sources in any Indian country within the borders of the State.

(k) Notwithstanding the provisions of paragraph (j) of this section, if, at the time of such approval of the State's SIP revision, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter, or allocations of TR SO2 Group 2 allowances under subpart DDDDD of part 97 of this chapter, to units in a State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances, or of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 2 allowances, as applicable, to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.

Subpart B -- Alabama 

10. Section 52.54 is added to read as follows:

§ 52.54   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of Alabama and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Alabama's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of Alabama's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.

 
(b)(1) The owner and operator of each source and each unit located in the State of Alabama and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Alabama's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of the Alabama's  SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

11. Section 52.55 is added to read as follows:

§ 52.55   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Alabama and for which requirements are set forth under the TR SO2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Alabama's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Alabama's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 2 allowances under subpart DDDDD of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 2 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart E -- Arkansas


12. Section 52.184 is added to read as follows:


§ 52.184   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a) The owner and operator of each source and each unit located in the State of Arkansas and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Arkansas' State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Arkansas' SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

Subpart I -- Delaware 
13. Section 52.440 is amended by adding a new paragraph (c) to read as follows:

§ 52.440   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
*  *  *  *  *
(c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; and
(2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter;
(3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and 
(4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods.
14. Section 52.441 is amended by designating the introductory text as paragraph (a) and adding a new paragraph (b) to read as follows:

§ 52.441   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?
*  *  *  *  *  
(b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State's SIP to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions of paragraph (a) of this section relating to SO2 emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and
(2) The Administrator will not deduct for excess emissions any CAIR SO2 allowances allocated for 2012 or any year thereafter.

Subpart J -- District of Columbia
15. Section 52.484 is amended by adding a new paragraph (c) to read as follows:

§ 52.484   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
*  *  *  *  *
(c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; and
(2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter; 
(3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and 
(4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods.

16. Section 52.485 is amended by designating the introductory text as paragraph (a) and adding a new paragraph (b) to read as follows:

§ 52.485   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?
*  *  *  *  *  
(b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State's SIP to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions of paragraph (a) of this section relating to SO2 emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and
(2) The Administrator will not deduct for excess emissions any CAIR SO2 allowances allocated for 2012 or any year thereafter.

Subpart K -- Florida


17. Section 52.540 is added to read as follows:


§ 52.540   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a) The owner and operator of each source and each unit located in the State of Florida and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units located in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Florida's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Florida's SIP.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Florida's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

Subpart L--Georgia

18. Section 52.584 is added to read as follows:


§ 52.584   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of Georgia and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Georgia's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of Georgia's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

(b)(1) The owner and operator of each source and each unit located in the State of Georgia and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Georgia's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of Georgia's SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

19. Section 52.585 is added to read as follows:


§ 52.585   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Georgia and for which requirements are set forth under the TR SO2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Georgia's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Georgia's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 2 allowances under subpart DDDDD of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 2 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart O--Illinois

20. Section 52.745 is added to read as follows:


§ 52.745   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of Illinois and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Illinois' State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of Illinois' SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b)(1) The owner and operator of each source and each unit located in the State of Illinois and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Illinois' State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of Illinois' SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

21. Section 52.746 is added to read as follows:


§ 52.746   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Illinois and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Illinois' State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Illinois' SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart P -- Indiana 
22. Section 52.789 is added to read as follows:

§ 52.789   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of Indiana and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Indiana's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of Indiana's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b)(1) The owner and operator of each source and each unit located in the State of Indiana and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Indiana's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of Indiana's SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

23. Section 52.790 is added to read as follows:

§ 52.790   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Indiana and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Indiana's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39 except to the extent the Administrator's approval is partial or conditional.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Indiana's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart Q -- Iowa


24. Section 52.840 is added to read as follows:


§ 52.840   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of Iowa and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Iowa's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Iowa's SIP. 

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of Iowa's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b) [Reserved] 

25. Section 52.841 is added to read as follows:


§ 52.841   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Iowa and Indian country within the borders of the State and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Iowa's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Iowa's SIP.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Iowa's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart R -- Kansas


26. Section 52.882 is added to read as follows:


§ 52.882   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of Kansas and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Kansas' State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Kansas' SIP.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of Kansas' SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b)[Reserved]  

27. Section 52.883 is added to read as follows:


§ 52.883   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Kansas and Indian country within the borders of the State and for which requirements are set forth under the TR SO2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated with regard to sources and units in the State by the promulgation of an approval by the Administrator of a revision to Kansas' State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Kansas' SIP.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Kansas' SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 2 allowances under subpart DDDDD of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 2 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart S--Kentucky

28. Section 52.940 is added to read as follows:


§ 52.940   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of Kentucky and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Kentucky's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of Kentucky's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b)(1) The owner and operator of each source and each unit located in the State of Kentucky and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Kentucky's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of Kentucky's SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

29. Section 52.941 is added to read as follows:


§ 52.941   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Kentucky and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Kentucky's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Kentucky's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart T -- Louisiana 
30. Section 52.984 is amended by adding new paragraphs (c) and (d) to read as follows:

§ 52.984   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
*  *  *  *  *
(c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; 
(2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter;
(3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and 
(4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods.

(d)(1) The owner and operator of each source and each unit located in the State of Louisiana and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Louisiana's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Louisiana's SIP.

(2) Notwithstanding the provisions of paragraph (d)(1) of this section, if, at the time of the approval of Louisiana's SIP revision described in paragraph (d)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

Subpart V -- Maryland

31. Section 52.1084 is added to read as follows:


§ 52.1084   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of Maryland and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Maryland's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of Maryland's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b)(1) The owner and operator of each source and each unit located in the State of Maryland and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Maryland's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of Maryland's SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

32. Section 52.1085 is added to read as follows:


§ 52.1085   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Maryland and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Maryland's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Maryland's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart X -- Michigan 
33. Section 52.1186 is amended by adding new paragraphs (c) and (d) to read as follows:

§ 52.1186   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
*  *  *  *  *
(c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; 
(2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter;
(3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and 
(4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods.

(d)(1) The owner and operator of each source and each unit located in the State of Michigan and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Michigan's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Michigan's SIP.

(2) Notwithstanding the provisions of paragraph (d)(1) of this section, if, at the time of the approval of Michigan's SIP revision described in paragraph (d)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(e) [Reserved]

34. Section 52.1187 is amended by designating the existing text as paragraph (a) and adding new paragraphs (b) and (c) to read as follows:

§ 52.1187   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?
*  *  *  *  *  
(b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State's SIP to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions of paragraph (a) of this section relating to SO2 emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and
(2) The Administrator will not deduct for excess emissions any CAIR SO2 allowances allocated for 2012 or any year thereafter.

(c)(1) The owner and operator of each source and each unit located in the State of Michigan and Indian country within the borders of the State and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Michigan's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Michigan's SIP.

(2) Notwithstanding the provisions of paragraph (c)(1) of this section, if, at the time of the approval of Maryland's SIP revision described in paragraph (c)(1) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart Y -- Minnesota

35. Section 52.1240 is amended by adding paragraph (c) to read 

as follows:


§ 52.1240   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
*  *  *  *  *
(c)(1) The owner and operator of each source and each unit located in the State of Minnesota and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Minnesota's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Minnesota's SIP.

(2) Notwithstanding the provisions of paragraph (c)(1) of this section, if, at the time of the approval of Minnesota's SIP revision described in paragraph (c)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


36. Section 52.1241 is amended by adding paragraph (c) to read 

as follows:


§ 52.1241   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?
*  *  *  *  *  
(c)(1) The owner and operator of each source and each unit located in the State of Minnesota and Indian country within the borders of the State and for which requirements are set forth under the TR SO2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Minnesota's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Minnesota's SIP.

(2) Notwithstanding the provisions of paragraph (c)(1) of this section, if, at the time of the approval of Minnesota's SIP revision described in paragraph (c)(1) of this section, the Administrator has already started recording any allocations of TR SO2 Group 2 allowances under subpart DDDDD of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 2 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart Z -- Mississippi

37. Section 52.1284 is added to read as follows:


§ 52.1284   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a) The owner and operator of each source and each unit located in the State of Mississippi and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Mississippi's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Mississippi's SIP.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Mississippi's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

Subpart AA -- Missouri

38. Section 52.1341 is added to read as follows:


§ 52.1341   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of Missouri and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Missouri's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of Missouri's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b) [Reserved]

39. Section 52.1342 is added to read as follows:


§ 52.1342   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Missouri and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Missouri's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Missouri's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart CC -- Nebraska

40. Section 52.1428 is added to read as follows:


§ 52.1428   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a) The owner and operator of each source and each unit located in the State of Nebraska and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Nebraska's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Nebraska's SIP.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Nebraska's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


41. Section 52.1429 is added to read as follows:


§ 52.1429   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Nebraska and Indian country within the borders of the State and for which requirements are set forth under the TR SO2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Nebraska's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Nebraska's SIP.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Nebraska's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 2 allowances under subpart DDDDD of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 2 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 
 
Subpart FF -- New Jersey 
42. Section 52.1584 is amended by adding new paragraphs (c), (d), and (e) to read as follows:

§ 52.1584   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
*  *  *  *  *
(c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; 
(2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter;
(3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and 
(4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods.

(d)(1) The owner and operator of each source and each unit located in the State of New Jersey and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to New Jersey's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (d)(1) of this section, if, at the time of the approval of New Jersey's SIP revision described in paragraph (d)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(e)(1) The owner and operator of each source and each unit located in the State of New Jersey and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to New Jersey's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (e)(1) of this section, if, at the time of the approval of New Jersey's SIP revision described in paragraph (e)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 


43. Section 52.1585 is amended by designating the existing text as paragraph (a) and adding new paragraphs (b) and (c) to read as follows:

§ 52.1585   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?
*  *  *  *  *  
(b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State's SIP to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions of paragraph (a) of this section relating to SO2 emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and
(2) The Administrator will not deduct for excess emissions any CAIR SO2 allowances allocated for 2012 or any year thereafter.

(c)(1) The owner and operator of each source and each unit located in the State of New Jersey and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to New Jersey's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (c)(1) of this section, if, at the time of the approval of New Jersey's SIP revision described in paragraph (c)(1) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart HH -- New York

44. Section 52.1684 is revised to read as follows:


§ 52.1684   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of New York and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to New York's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to New York's SIP.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of New York's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b)(1) The owner and operator of each source and each unit located in the State of New York and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to New York's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to New York's SIP.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of New York's  SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

45. Section 52.1685 is added to read as follows:


§ 52.1685   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of New York and Indian country within the borders of the State and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to New York's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to New York's SIP.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of New York's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart II -- North Carolina

46. Section 52.1784 is revised to read as follows:


§ 52.1784   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of North Carolina and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to North Carolina's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to North Carolina's SIP.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of North Carolina's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b)(1) The owner and operator of each source and each unit located in the State of North Carolina and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to North Carolina's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to North Carolina's SIP.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of North Carolina's SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

47. Section 52.1785 is revised to read as follows:


§ 52.1785   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of North Carolina and Indian country within the borders of the State and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to North Carolina's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to North Carolina's SIP.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of North Carolina's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart KK -- Ohio

48. Section 52.1891 is added to read as follows:


§ 52.1891   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of Ohio and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Ohio's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of Ohio's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b)(1) The owner and operator of each source and each unit located in the State of Ohio and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Ohio's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of Ohio's SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

49. Section 52.1892 is added to read as follows:


§ 52.1892   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Ohio and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Ohio's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Ohio's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart NN -- Pennsylvania

50. Section 52.2040 is added to read as follows:


§ 52.2040   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of Pennsylvania and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Pennsylvania's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of Pennsylvania's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b)(1) The owner and operator of each source and each unit located in the State of Pennsylvania and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Pennsylvania's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of Pennsylvania's SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

51. Section 52.2041 is added to read as follows:


§ 52.2041   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Pennsylvania and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Pennsylvania's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Pennsylvania's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  
 
Subpart PP -- South Carolina

52. Section 52.2140 is revised to read as follows:


§ 52.2140   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of South Carolina and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to South Carolina's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to South Carolina's SIP.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of South Carolina's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b)(1) The owner and operator of each source and each unit located in the State of South Carolina and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to South Carolina's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to South Carolina's SIP.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of South Carolina's SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

53. Section 52.2141 is revised to read as follows:


§ 52.2141   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of South Carolina and Indian country within the borders of the State and for which requirements are set forth under the TR SO2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to South Carolina's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to South Carolina's SIP.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of South Carolina's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart RR -- Tennessee 
54. Section 52.2240 is amended by adding new paragraphs (c), (d), and (e) to read as follows:

§ 52.2240   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
*  *  *  *  *
(c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; and
(2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter;
(3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and 
(4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods.

(d)(1) The owner and operator of each source and each unit located in the State of Tennessee and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Tennessee's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Tennessee's SIP.

(2) Notwithstanding the provisions of paragraph (d)(1) of this section, if, at the time of the approval of Tennessee's SIP revision described in paragraph (d)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(e)(1) The owner and operator of each source and each unit located in the State of Tennessee and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Tennessee's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Tennessee's SIP.

(2) Notwithstanding the provisions of paragraph (e)(1) of this section, if, at the time of the approval of Tennessee's SIP revision described in paragraph (e)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

55. Section 52.2241 is amended by designating the existing text as paragraph (a) and adding new paragraphs (b) and (c) to read as follows:

§ 52.2241   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?
*  *  *  *  *  
(b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State's SIP to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions of paragraph (a) of this section relating to SO2 emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and
(2) The Administrator will not deduct for excess emissions any CAIR SO2 allowances allocated for 2012 or any year thereafter.

(c)(1) The owner and operator of each source and each unit located in the State of Tennessee and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Tennessee's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Tennessee's SIP.

(2) Notwithstanding the provisions of paragraph (c)(1) of this section, if, at the time of the approval of Tennessee's SIP revision described in paragraph (c)(1) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart SS -- Texas 
56. Section 52.2283 is amended by revising paragraph (b) and adding new paragraphs (c) and (d) to read as follows:

§ 52.2283   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
*  *  *  *  *
(b) Notwithstanding any provisions of paragraph (a) of this section and subparts AA through II of part 97 of this chapter to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions in paragraph (a) of this section relating to NOX annual emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II of part 97 of this chapter; 
(2) The Administrator will not deduct for excess emissions any CAIR NOX allowances allocated for 2012 or any year thereafter;
(3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods. 

(c)(1) The owner and operator of each source and each unit located in the State of Texas and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Texas' State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Texas' SIP.

(2) Notwithstanding the provisions of paragraph (c)(1) of this section, if, at the time of the approval of Texas' SIP revision described in paragraph (c)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(d)(1) The owner and operator of each source and each unit located in the State of Texas and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Texas' State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Texas' SIP.

(2) Notwithstanding the provisions of paragraph (d)(1) of this section, if, at the time of the approval of Texas' SIP revision described in paragraph (d)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 
57. Section 52.2284 is amended by designating the existing text as paragraph (a) and adding new paragraphs (b) and (c) to read as follows:

§ 52.2284   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?
*  *  *  *  *  
(b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State's SIP to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions of paragraph (a) of this section relating to SO2 emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and
(2) The Administrator will not deduct for excess emissions any CAIR SO2 allowances allocated for 2012 or any year thereafter.

(c)(1) The owner and operator of each source and each unit located in the State of Texas and Indian country within the borders of the State and for which requirements are set forth under the TR SO2 Group 2 Trading Program in subpart DDDDD of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Texas' State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Texas' SIP.

(2) Notwithstanding the provisions of paragraph (c)(1) of this section, if, at the time of the approval of Texas' SIP revision described in paragraph (c)(1) of this section, the Administrator has already started recording any allocations of TR SO2 Group 2 allowances under subpart DDDDD of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart DDDDD of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 2 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart VV -- Virginia

58. Section 52.2440 is added to read as follows:


§ 52.2440   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of Virginia and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Virginia's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of Virginia's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b)(1) The owner and operator of each source and each unit located in the State of Virginia and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Virginia's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of Virginia's SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

59. Section 52.2241 is added to read as follows:


§ 52.2241   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of Virginia and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to Virginia's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of Virginia's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  

Subpart XX -- West Virginia

60. Section 52.2540 is added to read as follows:


§ 52.2540   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?

(a)(1) The owner and operator of each source and each unit located in the State of West Virginia and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to West Virginia's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (a)(1) of this section, if, at the time of the approval of West Virginia's SIP revision described in paragraph (a)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(b)(1) The owner and operator of each source and each unit located in the State of West Virginia and for which requirements are set forth under the TR NOX Ozone Season Trading Program in subpart BBBBB of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to West Virginia's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(b), except to the extent the Administrator's approval is partial or conditional.

(2) Notwithstanding the provisions of paragraph (b)(1) of this section, if, at the time of the approval of West Virginia's SIP revision described in paragraph (b)(1) of this section, the Administrator has already started recording any allocations of TR NOX Ozone Season allowances under subpart BBBBB of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart BBBBB of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Ozone Season allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision. 

61. Section 52.2541 is added to read as follows:


§ 52.2541   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?

(a) The owner and operator of each source and each unit located in the State of West Virginia and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements will be eliminated by the promulgation of an approval by the Administrator of a revision to West Virginia's State Implementation Plan (SIP) as correcting the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.

(b) Notwithstanding the provisions of paragraph (a) of this section, if, at the time of the approval of West Virginia's SIP revision described in paragraph (a) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.    

Subpart YY -- Wisconsin 
62. Section 52.2587 is amended by adding new paragraphs (c) and (d) to read as follows:

§ 52.2587   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of nitrogen oxides?
*  *  *  *  *
(c) Notwithstanding any provisions of paragraphs (a) and (b) of this section and subparts AA through II and AAAA through IIII of part 97 of this chapter to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions in paragraphs (a) and (b) of this section relating to NOX annual or ozone season emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AA through II and AAAA through IIII of part 97 of this chapter; and
(2) The Administrator will not deduct for excess emissions any CAIR NOX allowances or CAIR NOX Ozone Season allowances allocated for 2012 or any year thereafter;
(3) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Allowance Tracking System accounts all CAIR NOX allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX allowances will be required with regard to emissions or excess emissions for such control periods; and 
(4) By [INSERT DATE 90 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER], the Administrator will remove from the CAIR NOX Ozone Season Allowance Tracking System accounts all CAIR NOX Ozone Season allowances allocated for a control period in 2012 and any subsequent year, and, thereafter, no holding or surrender of CAIR NOX Ozone Season allowances will be required with regard to emissions or excess emissions for such control periods.

(d)(1) The owner and operator of each source and each unit located in the State of Wisconsin and Indian country within the borders of the State and for which requirements are set forth under the TR NOX Annual Trading Program in subpart AAAAA of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Wisconsin's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.38(a), except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Wisconsin's SIP.

(2) Notwithstanding the provisions of paragraph (d)(1) of this section, if, at the time of the approval of Wisconsin's SIP revision described in paragraph (d)(1) of this section, the Administrator has already started recording any allocations of TR NOX Annual allowances under subpart AAAAA of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart AAAAA of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR NOX Annual allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.


(e) [Reserved]  

63. Section 52.2588 is amended by designating the existing text as paragraph (a) and adding new paragraphs (b) and (c) to read as follows:

§ 52.2588   Interstate pollutant transport provisions; What are the FIP requirements for decreases in emissions of sulfur dioxide?
*  *  *  *  *  
(b) Notwithstanding any provisions of paragraph (a) of this section and subparts AAA through III of part 97 of this chapter and any State's SIP to the contrary: 
(1) With regard to any control period that begins after December 31, 2011,
(i) The provisions of paragraph (a) of this section relating to SO2 emissions shall not be applicable; and
(ii) The Administrator will not carry out any of the functions set forth for the Administrator in subparts AAA through III of part 97 of this chapter; and
(2) The Administrator will not deduct for excess emissions any CAIR SO2 allowances allocated for 2012 or any year thereafter.

(c)(1) The owner and operator of each source and each unit located in the State of Wisconsin and Indian country within the borders of the State and for which requirements are set forth under the TR SO2 Group 1 Trading Program in subpart CCCCC of part 97 of this chapter must comply with such requirements.  The obligation to comply with such requirements with regard to sources and units in the State will be eliminated by the promulgation of an approval by the Administrator of a revision to Wisconsin's State Implementation Plan (SIP) as correcting in part the SIP's deficiency that is the basis for the TR Federal Implementation Plan under §52.39, except to the extent the Administrator's approval is partial or conditional.  The obligation to comply with such requirements with regard to sources and units located in Indian country within the borders of the State will not be eliminated by the promulgation of an approval by the Administrator of a revision to Wisconsin's SIP.

(2) Notwithstanding the provisions of paragraph (c)(1) of this section, if, at the time of the approval of Wisconsin's SIP revision described in paragraph (c)(1) of this section, the Administrator has already started recording any allocations of TR SO2 Group 1 allowances under subpart CCCCC of part 97 of this chapter to units in the State for a control period in any year, the provisions of subpart CCCCC of part 97 of this chapter authorizing the Administrator to complete the allocation and recordation of TR SO2 Group 1 allowances to units in the State for each such control period shall continue to apply, unless provided otherwise by such approval of the State's SIP revision.  
PART 72 -- [AMENDED]
64. The authority citation for Part 72 is revised to read as follows:
      Authority: 42 U.S.C. 7401, 7403, 7410, 7411, 7426, 7601, et seq.
§ 72.2 [Amended]
65. Section 72.2 is amended by removing the definition of "Interested person".  
PART 78 -- [AMENDED]
66. The authority citation for Part 78 continues to read as follows:
      Authority: 42 U.S.C. 7401, 7403, 7410, 7411, 7426, 7601, et seq.
67. Section 78.1 is amended by adding paragraphs (b)(13) through (b)(16) to read as follows: 
§ 78.1  Purpose and scope.
*  *  *  *  *  
(b) *  *  *
(13) Under subpart AAAAA of part 97 of this chapter,
(i)  The decision on allocation of TR NOX Annual allowances under §97.411(a)(2) and (b) of this chapter.
(ii) The decision on the transfer of TR NOX Annual allowances under §97.423 of this chapter.
(iii) The decision on the deduction of TR NOX Annual allowances under §§97.424 and 97.425 of this chapter.       
(iv) The correction of an error in an Allowance Management System account under §97.427 of this chapter.     
(iv)  The adjustment of information in a submission and the decision on the deduction and transfer of TR NOX Annual allowances based on the information as adjusted under §97.428 of this chapter.      
(vi) The finalization of control period emissions data, including retroactive adjustment based on audit.
(vii)  The approval or disapproval of a petition under §97.435 of this chapter.   
(14) Under subpart BBBBB of part 97 of this chapter,
(i)  The decision on allocation of TR NOX Ozone Season allowances under §97.511(a)(2) and (b) of this chapter.
(ii) The decision on the transfer of TR NOX Ozone Season allowances under §97.523 of this chapter.
(iii) The decision on the deduction of TR NOX Ozone Season allowances under §§97.524 and 97.525 of this chapter.       
(iv) The correction of an error in an Allowance Management System account under §97.527 of this chapter.     
(iv) The adjustment of information in a submission and the decision on the deduction and transfer of TR NOX Ozone Season allowances based on the information as adjusted under §97.528 of this chapter.      
(vi) The finalization of control period emissions data, including retroactive adjustment based on audit.
(vii)  The approval or disapproval of a petition under §97.535 of this chapter.  
(15) Under subpart CCCCC of part 97 of this chapter,
(i)  The decision on allocation of TR SO2 Group 1 allowances under §97.611(a)(2) and (b) of this chapter.
(ii) The decision on the transfer of TR SO2 Group 1 allowances under §97.623 of this chapter.
(iii) The decision on the deduction of TR SO2 Group 1 allowances under §§97.624 and 97.625 of this chapter.       
(iv) The correction of an error in an Allowance Management System account under §97.627 of this chapter.     
(iv)  The adjustment of information in a submission and the decision on the deduction and transfer of TR SO2 Group 1 allowances based on the information as adjusted under §97.628 of this chapter.      
(vi) The finalization of control period emissions data, including retroactive adjustment based on audit.
(vii)  The approval or disapproval of a petition under §97.635 of this chapter.  
(16) Under subpart DDDDD of part 97 of this chapter,
(i)  The decision on allocation of TR SO2 Group 2 allowances under §97.711(a)(2) and (b) of this chapter.
(ii) The decision on the transfer of TR SO2 Group 1 allowances under §97.723 of this chapter.
(iii) The decision on the deduction of TR SO2 Group 1 allowances under §§97.724 and 97.725 of this chapter.       
(iv) The correction of an error in an Allowance Management System account under §97.727 of this chapter.     
(iv)  The adjustment of information in a submission and the decision on the deduction and transfer of TR SO2 Group 1 allowances based on the information as adjusted under §97.728 of this chapter.      
(vi) The finalization of control period emissions data, including retroactive adjustment based on audit.
(vii)  The approval or disapproval of a petition under §97.735 of this chapter.  
*  *  *  *  *  
68. Section 78.2 is revised to read as follows: 
§ 78.2  General.
(a) Definitions.  (1) The terms used in this subpart with regard to a decision of the Administrator that is appealed under this section shall have the meaning as set forth in the regulations under which the Administrator made such decision and as set forth in paragraph (a)(2) of this section.
(2) Interested person means, with regard to a decision of the Administrator:
(i) Any person who submitted comments, or testified at a public hearing, pursuant to an opportunity for comment provided by the Administrator as part of the process of making such decision;
(ii) Who submitted objections pursuant to an opportunity for objections provided by the Administrator as part of the process of making such decision; or
(iii) Who submitted, to the Administrator and in a format prescribed by the Administrator, his or her name, service address, telephone number, and facsimile number and identified such decision in order to be placed on a list of persons interested in such decision;
(iv) Provided that the Administrator may update the list of interested persons from time to time by requesting additional written indication of continued interest from the persons listed and may delete from the list the name of any person failing to respond as requested. 
(b) Availability of information.  The availability to the public of information provided to, or otherwise obtained by, the Administrator under this subpart shall be governed by part 2 of this chapter. 
(c) Computation of time.  (1) In computing any period of time prescribed or allowed under this part, except as otherwise provided, the day of the event from which the period begins to run shall not be included, and Saturdays, Sundays, and federal holidays shall be included.  When the period ends on a Saturday, Sunday, or federal holiday, the stated period shall be extended to include the next business day. 
(2) Where a document is served by first class mail or commercial delivery service, but not by overnight or same-day delivery, 5 days shall be added to the time prescribed or allowed under this part for the filing of a responsive document or for otherwise responding.
69.  Section 78.3 is amended by:
a. In paragraphs (a)(1)(iii), (a)(3)(ii), (a)(4)(ii), (a)(5)(ii), (a)(6)(ii), (a)(7)(ii), (a)(8)(ii), and (a)(9)(ii), adding, after the word "person", the words "with regard to the decision".
b. Adding paragraph (a)(10); 
c. In paragraph (b)(3)(i), removing the words "paragraph (a)(1) and (2)" and adding, in their place, the words  "paragraph (a)(1), (2), and (10)"; and
d. Adding paragraph (d)(11) to read as follows:
§ 78.3  Petition for administrative review and request or evidentiary hearing.
(a) *  *  *  
(10) The following persons may petition for administrative review of a decision of the Administrator that is made under subparts AAAAA, BBBBB, CCCCC, and DDDDD of part 97 of this chapter: 
(i) The designated representative for a unit or source, or the authorized account representative for any Allowance Management System account, covered by the decision; or
(ii) Any interested person with regard to the decision.
*  *  *  *  *
(d) *  *  *
(11) Any provision or requirement of subparts AAAAA, BBBBB, CCCCC, or DDDDD of part 97 of this chapter, including the standard requirements under §97.406, §97.506, §97.606, or §97.706 of this chapter and any emission monitoring or reporting requirements.
*     *     *     *     *   
70. Section 78.4 is amended by:
a. Revising paragraph (a) by:
i. Removing the first, second, third, fourth, fifth, and last sentences; 
ii. In the sixth and seventh sentences, removing the words "interest in" and adding, in their place, the words "ownership interest with respect to"; 
iii. Redesignating the paragraph as paragraph (a)(1)(iii); and
b. Adding paragraphs (a)(1) introductory text, (a)(1)(i), and (a)(1)(ii); and 
c. Revising paragraph (a)(2) to read as follows: 
§ 78.4  Filings.
(a)(1) All original filings made under this part shall be signed by the person making the filing or by an attorney or authorized representative, in accordance with the following requirements:
(i) Any filings on behalf of owners and operators of a affected unit or affected source, TR NOX Annual unit or TR NOX Annual source, TR NOX Ozone Season unit or TR NOX Ozone Season source, TR SO2 Group 1 unit or TR SO2 Group 1 source, TR SO2 Group 2 unit or TR SO2 Group 2 source, or a unit for which a TR opt-in application is submitted and not withdrawn shall be signed by the designated representative.  Any filing on behalf of persons with an ownership interest with respect to allowances, TR NOX Annual allowances, TR NOX Ozone Season allowances, TR SO2 Group 1 allowances, or TR SO2 Group 2 allowances in a general account shall be signed by the authorized account representative. 
(ii) Any filings on behalf of owners and operators of a NOX Budget unit or NOX Budget source shall be signed by the NOX authorized account representative.  Any filing on behalf of persons with an ownership interest with respect to NOX allowances in a general account shall be signed by the NOX authorized account representative. 
*  *  *   *   *
(2) The name, address, e-mail address (if any), telephone number, and facsimile number (if any) of the person making the filing shall be provided with the filing.  
*  *  *  *  * 

§ 78.5 [Amended]
71. Section 78.5 is amended by, in paragraph (a):
a. Removing the words "public comment prior to" and adding, in their place, the words "submission of public comments or objections prior to";
b. Removing the words "public comment period" whenever they appear and adding, in their place, the words "period for submission of public comments or objections".  
§ 78.12 [Amended]
72. Section 78.12 is amended by, in paragraph (a), removing the words "public comment" and adding, in their place, the words "submission of public comments or objections".  

PART 97-[Amended]

73.  The authority citation for Part 97 continues to read as follows:

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

74. Part 97 is amended by adding subpart AAAAA to read as follows:
Subpart AAAAA -- TR NOX Annual Trading Program                         
97.401  Purpose.
97.402  Definitions.
97.403  Measurements, abbreviations, and acronyms.
97.404  Applicability.
97.405  Retired unit exemption.
97.406  Standard requirements.
97.407  Computation of time.
97.408  Administrative appeal procedures.
97.409  [Reserved]
97.410  State NOX Annual trading budgets, new unit set-            asides, Indian country new unit set-asides and variability limits.
97.411  Timing requirements for TR NOX Annual allowance allocations.
97.412  TR NOX Annual allowance allocations to new units.
97.413  Authorization of designated representative and alternate designated representative.
97.414  Responsibilities of designated representative and alternate designated representative.
97.415  Changing designated representative and alternate designated representative; changes in owners and operators.
97.416  Certificate of representation.
97.417  Objections concerning designated representative and alternate designated representative.
97.418  Delegation by designated representative and alternate designated representative.
97.419  [Reserved] 
97.420  Establishment of compliance accounts and general accounts.
97.421  Recordation of TR NOX Annual allowance allocations.
97.422  Submission of TR NOX Annual allowance transfers.
97.423  Recordation of TR NOX Annual allowance transfers.
97.424  Compliance with TR NOX Annual emissions limitation.
97.425  Compliance with TR NOX Annual assurance provisions.
97.426  Banking.
97.427  Account error.
97.428  Administrator's action on submissions.
97.429  [RESERVED]
97.430  General monitoring, recordkeeping, and reporting requirements.
97.431  Initial monitoring system certification and recertification procedures.
97.432  Monitoring system out-of-control periods.
97.433  Notifications concerning monitoring.
97.434  Recordkeeping and reporting.
97.435  Petitions for alternatives to monitoring, recordkeeping, or reporting requirements.
Subpart AAAAA -- TR NOX Annual Trading Program                         
§ 97.401  Purpose.
This subpart sets forth the general, designated representative, allowance, and monitoring provisions for the Transport Rule (TR) NOX  Annual Trading Program, under section 110 of the Clean Air Act and §52.38 of this chapter, as a means of mitigating interstate transport of fine particulates and nitrogen oxides.
§ 97.402  Definitions.
The terms used in this subpart shall have the meanings set forth in this section as follows:
Acid Rain Program means a multi-state SO2 and NOX air pollution control and emission reduction program established by the Administrator under title IV of the Clean Air Act and parts 72 through 78 of this chapter.
Administrator means the Administrator of the United States Environmental Protection Agency or the Director of the Clean Air Markets Division (or its successor determined by the Administrator) of the United States Environmental Protection Agency, the Administrator's duly authorized representative under this subpart.
Allocate or allocation means, with regard to TR NOX Annual allowances, the determination by the Administrator, State, or permitting authority, in accordance with this subpart and any SIP revision submitted by the State and approved by the Administrator under §52.38(a)(3), (4), or (5) of this chapter, of the amount of such TR NOX Annual allowances to be initially credited, at no cost to the recipient, to:
(1) A TR NOX Annual unit;
(2) A new unit set-aside;
(3) An Indian country new unit set-aside; or
(4) An entity not listed in paragraphs (1) through (3) of this definition;
(5) Provided that, if the Administrator, State, or permitting authority initially credits, to a TR NOX Annual unit qualifying for an initial credit, a credit in the amount of zero TR NOX Annual allowances, the TR NOX Annual unit will be treated as being allocated an amount (i.e., zero) of TR NOX Annual allowances.   
Allowable NOX emission rate means, for a unit, the most stringent State or federal NOX emission rate limit (in lb/MWhr or, if in lb/mmBtu, converted to lb/MWhr by multiplying it by the unit's heat rate in mmBtu/MWhr) that is applicable to the unit and covers the longest averaging period not exceeding one year.  
Allowance Management System means the system by which the Administrator records allocations, deductions, and transfers of TR NOX Annual allowances under the TR NOX Annual Trading Program.  Such allowances are allocated, recorded, held, deducted, or transferred only as whole allowances.  
Allowance Management System account means an account in the Allowance Management System established by the Administrator for purposes of recording the allocation, holding, transfer, or deduction of TR NOX Annual allowances.
Allowance transfer deadline means, for a control period in a given year, 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 after such control period and is the deadline by which a TR NOX Annual allowance transfer must be submitted for recordation in a TR NOX Annual source's compliance account in order to be available for use in complying with the source's TR NOX  Annual emissions limitation for such control period in accordance with §§97.406 and 97.424.
Alternate designated representative means, for a TR NOX Annual source and each TR NOX Annual 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 this subpart, to act on behalf of the designated representative in matters pertaining to the TR NOX Annual Trading Program.  If the TR NOX Annual source is also subject to the Acid Rain Program, TR NOX Ozone Season Trading Program, TR SO2 Group 1 Trading Program, or TR SO2 Group 2 Trading Program, then this natural person shall be the same natural person as the alternate designated representative, as defined in the respective program. 
Assurance account means an Allowance Management System account, established by the Administrator under §97.425(b)(3) for certain owners and operators of a group of one or more TR NOX Annual sources and  units in a given State (and Indian country within the borders of such State), in which are held TR NOX Annual allowances available for use for a control period in a given year in complying with the TR NOX Annual assurance provisions in accordance with §§97.406 and 97.425. 
Authorized account representative means, for a general account, the natural person who is authorized, in accordance with this subpart, to transfer and otherwise dispose of TR NOX Annual allowances held in the general account and, for a TR NOX Annual source's compliance account, the designated representative of the source.
Automated data acquisition and handling system or DAHS means the component of the continuous emission monitoring system, or other emissions monitoring system approved for use under this subpart, 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 this subpart. 
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 material that is nonmerchantable for other purposes, 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 unit means a unit in which the energy input to the unit is first used to produce useful thermal energy, where at least some of the reject heat from the useful thermal energy application or process is then used for electricity production.
Business day means a day that does not fall on a weekend or a federal holiday.
Certifying official means a natural person who is:
(1) For a corporation, a president, secretary, treasurer, or vice-president of 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 means the Clean Air Act, 42 U.S.C. 7401, et seq. 
Coal means "coal" as defined in §72.2 of this chapter.
Coal-derived fuel means any fuel (whether in a solid, liquid, or gaseous state) produced by the mechanical, thermal, or chemical processing of coal.
Cogeneration system means an integrated group, at a source, of equipment (including a boiler, or combustion turbine, and a steam turbine generator) designed to produce useful thermal energy for industrial, commercial, heating, or cooling purposes and electricity through the sequential use of energy. 
Cogeneration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a topping-cycle unit or a bottoming-cycle unit:
(1) Operating as part of a cogeneration system; and
(2) Producing on an annual average basis -- 
(i) For a topping-cycle 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 than 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 unit, useful power not less than 45 percent of total energy input;
(3) Provided that the requirements in paragraph (2) of this definition shall not apply to a calendar year referenced in paragraph (2) of this definition during which the unit did not operate at all;
(4) 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; and
(5) Provided that, if, throughout its operation during the 12-month period or a calendar year referenced in paragraph (2) of this definition, a unit is operated as part of a cogeneration system and the cogeneration system meets on a system-wide basis the requirement in paragraph (2)(i)(B) or (2)(ii) of this definition, the unit shall be deemed to meet such requirement during that 12-month period or calendar year. 
Combustion turbine means an enclosed device comprising:
(1) If the device is simple cycle, 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 device is combined cycle, the equipment described in paragraph (1) of this definition and 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 §97.405.
(i) For a unit that is a TR NOX Annual unit under §97.404 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that subsequently undergoes a physical change or is moved to a new location or 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 TR NOX Annual unit under §97.404 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that is subsequently replaced by a unit at the same or a different source, 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 §97.405, for a unit that is not a TR NOX Annual unit under §97.404 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in introductory text of paragraph (1) of this definition, the unit's date for commencement of commercial operation shall be the date on which the unit becomes a TR NOX Annual unit under §97.404.
(i) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that subsequently undergoes a physical change or is moved to a different location or 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 the introductory text of paragraph (2) of this definition and that is subsequently replaced by a unit at the same or a different source, 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.
Common designated representative means, with regard to a control period in a given year, a designated representative where, as of April 1 immediately after the allowance transfer deadline for such control period, the same natural person is authorized under §§97.413(a) and 97.415(a) as the designated representative for a group of one or more TR NOX Annual sources and units located in a State (and Indian country within the borders of such State).
Common designated representative's assurance level means, with regard to a specific common designated representative and a State (and Indian country within the borders of such State) and control period in a given year for which the State assurance level is exceeded as described in §97.406(c)(2)(iii), the common designated representative's share of the State NOX Annual trading budget with the variability limit for the State for such control period.  
Common designated representative's share means, with regard to a specific common designated representative for a control period in a given year:
(1) With regard to a total amount of NOX emissions from all TR NOX Annual units in a State (and Indian country within the borders of such State) during such control period, the total tonnage of NOX emissions during such control period from a group of one or more TR NOX Annual units located in such State (and such Indian country) and having the common designated representative for such control period; 
(2) With regard to a State NOX Annual trading budget for such control period, the amount (rounded to the nearest allowance) equal to the sum of the total amount of TR NOX Annual allowances allocated for such control period to a group of one or more TR NOX Annual units located in the State (and Indian country within the borders of such State) and having the common designated representative for such control period and of the total amount of TR NOX Annual allowances purchased by an owner or operator of such TR NOX Annual units in an auction for such control period and submitted by the State or the permitting authority to the Administrator for recordation in the compliance accounts for such TR NOX Annual units in accordance with the TR NOX Annual allowance auction provisions in a SIP revision approved by the Administrator under §52.38(a)(4) or (5) of this chapter, multiplied by the sum of the State NOX Annual trading budget under §97.410(a) and the State's variability limit under §97.410(b) for such control period and divided by such State NOX Annual trading budget; 
(3) Provided that, in the case of a unit that operates during, but has no amount of TR NOX Annual allowances allocated under §§97.411 and 97.412 for, such control period, the unit shall be treated, solely for purposes of this definition, as being allocated an amount (rounded to the nearest allowance) of TR NOX Annual allowances for such control period equal to the  unit's allowable NOX emission rate applicable to such control period, multiplied by a capacity factor of 0.85 (if the unit is a boiler combusting any amount of coal or coal-derived fuel during such control period), 0.24 (if the unit is a simple combustion turbine during such control period), 0.67 (if the unit is a combined cycle turbine during such control period), 0.74 (if the unit is an integrated coal gasification combined cycle unit during such control period), or 0.36 (for any other unit), multiplied by the unit's maximum hourly load as reported in accordance with this subpart and by 8,760 hours/control period, and divided by 2,000 lb/ton. 
Common stack means a single flue through which emissions from 2 or more units are exhausted.
Compliance account means an Allowance Management System account, established by the Administrator for a TR NOX Annual source under this subpart, in which any TR NOX Annual allowance allocations to the TR NOX Annual units at the source are recorded and in which are held any TR NOX Annual allowances available for use for a control period in a given year in complying with the source's TR NOX Annual emissions limitation in accordance with §§97.406 and 97.424. 
Continuous emission monitoring system or CEMS means the equipment required under this subpart to sample, analyze, measure, and provide, by means of readings recorded at least once every 15 minutes and using an automated data acquisition and handling system (DAHS), a permanent record of NOX emissions, stack gas volumetric flow rate, stack gas moisture content, and O2 or CO2 concentration (as applicable), in a manner consistent with part 75 of this chapter and §§97.430 through 97.435. The following systems are the principal types of continuous emission monitoring systems:
(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 NOX concentration monitoring system, consisting of a NOX pollutant concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of NOX emissions, in parts per million (ppm);
(3) A NOX emission rate (or NOX-diluent) monitoring system, consisting of a NOX pollutant concentration monitor, a diluent gas (CO2 or O2) monitor, and an automated data acquisition and handling system and providing a permanent, continuous record of NOX concentration, in parts per million (ppm), diluent gas concentration, in percent CO2 or O2, and NOX emission rate, in pounds per million British thermal units (lb/mmBtu);
(4) A moisture monitoring system, as defined in §75.11(b)(2) of this chapter and providing a permanent, continuous record of the stack gas moisture content, in percent H2O;
(5) A CO2 monitoring system, consisting of a CO2 pollutant concentration monitor (or an O2 monitor plus suitable mathematical equations from which the CO2 concentration is derived) and an automated data acquisition and handling system and providing a permanent, continuous record of CO2 emissions, in percent CO2; and
(6) An O2 monitoring system, consisting of an O2 concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of O2, in percent O2.
Control period means the period starting January 1 of a calendar year, except as provided in §97.406(c)(3), and ending on December 31 of the same year, inclusive.
Designated representative means, for a TR NOX Annual source and each TR NOX Annual 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 this subpart, to represent and legally bind each owner and operator in matters pertaining to the TR NOX Annual Trading Program.  If the TR NOX Annual source is also subject to the Acid Rain Program, TR NOX Ozone Season Trading Program, TR SO2 Group 1 Trading Program, or TR SO2 Group 2 Trading Program, then this natural person shall be the same natural person as the designated representative, as defined in the respective program. 
Emissions means air pollutants exhausted from a unit or source into the atmosphere, as measured, recorded, and reported to the Administrator by the designated representative, and as modified by the Administrator:
(1) In accordance with this subpart; and
(2) With regard to a period before the unit or source is required to measure, record, and report such air pollutants in accordance with this subpart, in accordance with part 75 of this chapter.
Excess emissions means any ton of emissions from the TR NOX Annual units at a TR NOX Annual source during a control period in a given year that exceeds the TR NOX Annual emissions limitation for the source for such control period.
Fossil fuel means -- 
(1) Natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material; or
(2) For purposes of applying the limitation on "average annual fuel consumption of fossil fuel" in §§97.404(b)(2)(i)(B) and (ii), natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material for the purpose of creating useful heat.
Fossil-fuel-fired means, with regard to a unit, combusting any amount of fossil fuel in 2005 or any calendar year thereafter.
General account means an Allowance Management System account, established under this subpart, that is not a compliance account or an assurance account.
Generator means a device that produces electricity.
Gross electrical output means, for a unit, electricity made available for use, including any such electricity used in the power production process (which process includes, but is not limited to, any on-site processing or treatment of fuel combusted at the unit and any on-site emission controls).
Heat input means, for a unit for a specified period of time, the product (in mmBtu/time) of the gross calorific value of the fuel (in mmBtu/lb) fed into the unit multiplied by the fuel feed rate (in lb of fuel/time), as measured, recorded, and reported to the Administrator by the designated representative and as modified by the Administrator in accordance with this subpart and excluding the heat derived from preheated combustion air, recirculated flue gases, or exhaust.
Heat input rate means, for a unit, the amount of heat input (in mmBtu) divided by unit operating time (in hr) or, for a unit and  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.
Heat rate means, for a unit, the unit's maximum design heat input (in Btu/hr), divided by the product of 1,000,000 Btu/mmBtu and the unit's maximum hourly load.
Indian country means "Indian country" as defined in 18 U.S.C. 1151.
Life-of-the-unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is entitled to receive, a specified amount or percentage of nameplate capacity and associated energy generated by any specified unit and pays its proportional amount of such unit's total costs, pursuant to a contract:
(1) For the life of the unit;
(2) For a cumulative term of no less than 30 years, including contracts that permit an election for early termination; or
(3) For a period no less than 25 years or 70 percent of the economic useful life of the unit determined as of the time the unit is built, with option rights to purchase or release some portion of the nameplate capacity and associated energy generated by the unit at the end of the period.
Maximum design heat input means, for a unit, the maximum amount of fuel per hour (in Btu/hr) that the unit is capable of combusting on a steady state basis as of the initial installation of the unit as specified by the manufacturer of the unit.
Monitoring system means any monitoring system that meets the requirements of this subpart, including a continuous emission monitoring system, an alternative monitoring system, or an excepted monitoring system under part 75 of this chapter.
Nameplate capacity means, starting from the initial installation of a generator, the maximum electrical generating output (in MWe, rounded to the nearest tenth) that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings) as of such installation as specified by the manufacturer of the generator or, starting from the completion of any subsequent physical change in the generator resulting in an increase in the maximum electrical generating output that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings), such increased maximum amount (in MWe, rounded to the nearest tenth) as of such completion as specified by the person conducting the physical change.
Natural gas means "natural gas" as defined in §72.2 of this chapter.
Newly affected TR NOX Annual unit means a unit that was not a TR NOX Annual unit when it began operating but that thereafter becomes a TR NOX Annual unit. 
Operate or operation means, with regard to a unit, to combust fuel.
Operator means, for a TR NOX Annual source or a TR NOX Annual unit at a source respectively, any person who operates, controls, or supervises a TR NOX Annual unit at the source or the TR NOX Annual unit and shall include, but not be limited to, any holding company, utility system, or plant manager of such source or unit.
Owner means, for a TR NOX Annual source or a TR NOX Annual unit at a source respectively, any of the following persons:
(1) Any holder of any portion of the legal or equitable title in a TR NOX Annual unit at the source or the TR NOX Annual unit;
(2) Any holder of a leasehold interest in a TR NOX Annual unit at the source or the TR NOX Annual unit, provided that, unless expressly provided for in a leasehold agreement, "owner" shall not include a passive lessor, or a person who has an equitable interest through such lessor, whose rental payments are not based (either directly or indirectly) on the revenues or income from such TR NOX Annual unit; and(3) Any purchaser of power from a TR NOX Annual unit at the source or the TR NOX Annual unit under a life-of-the-unit, firm power contractual arrangement.  
Permanently retired means, with regard to a unit, a unit that is unavailable for service and that the unit's owners and operators do not expect to return to service in the future. 
Permitting authority means "permitting authority" as defined in §§70.2 and 71.2 of this chapter.
Potential electrical output capacity means, for a unit, 33 percent of the unit's maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000 kWh/MWh, and multiplied by 8,760 hr/yr.
Receive or receipt of means, when referring to the Administrator, to come into possession of a document, information, or correspondence (whether sent in hard copy or by authorized electronic transmission), as indicated in an official log, or by a notation made on the document, information, or correspondence, by the Administrator in the regular course of business.
Recordation, record, or recorded means, with regard to TR NOX Annual allowances, the moving of TR NOX Annual allowances by the Administrator into, out of, or between Allowance Management System accounts, for purposes of allocation, auction, transfer, or deduction.
Reference method means any direct test method of sampling and analyzing for an air pollutant as specified in §75.22 of this chapter.
Replacement, replace, or replaced means, with regard to a unit, the demolishing of a unit, or the permanent retirement and permanent disabling of a unit, and the construction of another unit (the replacement unit) to be used instead of the demolished or retired unit (the replaced unit).
Sequential use of energy means:
(1) The use of reject heat from electricity production in a useful thermal energy application or process; or
(2) The use of reject heat from useful thermal energy application or process in electricity production.
Serial number means, for a TR NOX Annual allowance, the unique identification number assigned to each TR NOX Annual allowance by the Administrator.
Solid waste incineration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a "solid waste incineration unit" as defined in section 129(g)(1) of the Clean Air Act.
Source means all buildings, structures, or installations located in one or more contiguous or adjacent properties under common control of the same person or persons.  This definition does not change or otherwise affect the definition of "major source", "stationary source", or "source" as set forth and implemented in a title V operating permit program or any other program under the Clean Air Act. 
State means one of the States that is subject to the TR NOX Annual Trading Program pursuant to §52.38(a) 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;
(4) Provided that compliance with any "submission" or "service" deadline shall be determined by the date of dispatch, transmission, or mailing and not the date of receipt.
Topping-cycle unit means a unit in which the energy input to the unit is first used to produce useful power, including electricity, where at least some of the reject heat from the electricity production is then used to provide useful thermal energy.
Total energy input means, for a unit, total energy of all forms supplied to the unit, excluding energy produced by the unit. Each form of energy supplied shall be measured by the lower heating value of that form of energy calculated as follows:
LHV = HHV − 10.55(W + 9H)
Where:
LHV = lower heating value of the form of energy in Btu/lb,
HHV = higher heating value of the form of energy in Btu/lb,
W = weight % of moisture in the form of energy, and
H = weight % of hydrogen in the form of energy.
Total energy output means, for a unit, the sum of useful power and useful thermal energy produced by the unit.
TR NOX Annual allowance means a limited authorization issued and allocated or auctioned by the Administrator under this subpart, or by a State or permitting authority under a SIP revision approved by the Administrator under §52.38(a)(3), (4), or (5) of this chapter, to emit one ton of NOX during a control period of the specified calendar year for which the authorization is allocated or auctioned or of any calendar year thereafter under the TR NOX Annual Trading Program. 
TR NOX Annual allowance deduction or deduct TR NOX Annual allowances means the permanent withdrawal of TR NOX Annual allowances by the Administrator from a compliance account (e.g., in order to account for compliance with the TR NOX Annual emissions limitation) or from an assurance account (e.g., in order to account for compliance with the assurance provisions under §§97.406 and 97.425).  
TR NOX Annual allowances held or hold TR NOX Annual allowances means the TR NOX Annual allowances treated as included in an Allowance Management System account as of a specified point in time because at that time they:
(1) Have been recorded by the Administrator in the account or transferred into the account by a correctly submitted, but not yet recorded, TR NOX Annual allowance transfer in accordance with this subpart; and
(2) Have not been transferred out of the account by a correctly submitted, but not yet recorded, TR NOX Annual allowance transfer in accordance with this subpart.
TR NOX Annual emissions limitation means, for a TR NOX Annual source, the tonnage of NOX emissions authorized in a control period in a given year by the TR NOX Annual allowances available for deduction for the source under §97.424(a) for such control period.
TR NOX Annual source means a source that includes one or more TR NOX Annual units.
TR NOX Annual Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with this subpart and §52.38(a) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(a)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(a)(5) of this chapter), as a means of mitigating interstate transport of fine particulates and NOX.
TR NOX Annual unit means a unit that is subject to the TR NOX Annual Trading Program.
TR NOX Ozone Season Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with subpart BBBBB of this part and §52.38(b) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(b)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(b)(5) of this chapter), as a means of mitigating interstate transport of ozone and NOX.
TR SO2 Group 1 Trading Program means a multi-state SO2 air pollution control and emission reduction program established in accordance with subpart CCCCC of this part and §52.39(a), (b),  (d) through (f), (j), and (k) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.39(d) or (e) of this chapter or that is established in a SIP revision approved by the Administrator under §52.39(f) of this chapter), as a means of mitigating interstate transport of fine particulates and SO2.
TR SO2 Group 2 Trading Program means a multi-state SO2 air pollution control and emission reduction program established in accordance with subpart DDDDD of this part and 52.39(a), (c), and (g) through (k) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.39(g) or (h) of this chapter or that is established in a SIP revision approved by the Administrator under §52.39(i) of this chapter), as a means of mitigating interstate transport of fine particulates and SO2.
Unit means a stationary, fossil-fuel-fired boiler, stationary, fossil-fuel-fired combustion turbine, or other stationary, fossil-fuel-fired combustion device.  A unit that undergoes a physical change or is moved to a different location or source shall continue to be treated as the same unit.  A unit (the replaced unit) that is replaced by another unit (the replacement unit) at the same or a different source shall continue to be treated as the same unit, and the replacement unit shall be treated as a separate unit.
Unit operating day means, with regard to a unit, a calendar day in which the unit combusts any fuel.
Unit operating hour or hour of unit operation means, with regard to a unit, an hour in which the unit combusts any fuel.
Useful power means, with regard to a unit, electricity or mechanical energy that the unit makes available for use, excluding any such energy used in the power production process (which process includes, but is not limited to, any on-site processing or treatment of fuel combusted at the unit and any on-site emission controls).
Useful thermal energy means thermal energy that is:
(1) Made available to an industrial or commercial process (not a power production process), excluding any heat contained in condensate return or makeup water;
(2) Used in a heating application (e.g., space heating or domestic hot water heating); or
(3) Used in a space cooling application (i.e., in an absorption chiller).
Utility power distribution system means the portion of an electricity grid owned or operated by a utility and dedicated to delivering electricity to customers.
§ 97.403  Measurements, abbreviations, and acronyms.
Measurements, abbreviations, and acronyms used in this subpart are defined as follows:
Btu -- British thermal unit
CO2 -- carbon dioxide
H2O -- water
hr -- hour
kW -- kilowatt electrical
kWh -- kilowatt hour
lb -- pound
mmBtu -- million Btu
MWe -- megawatt electrical
MWh -- megawatt hour
NOX -- nitrogen oxides
O2 -- oxygen
ppm -- parts per million
scfh -- standard cubic feet per hour
SO2 -- sulfur dioxide
yr -- year
§ 97.404  Applicability.
(a) Except as provided in paragraph (b) of this section:
(1) The following units in a State (and Indian country within the borders of such State) shall be TR NOX Annual units, and any source that includes one or more such units shall be a TR NOX Annual source, subject to the requirements of this subpart: any stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine serving at any time, on or after January 1, 2005, a generator with nameplate capacity of more than 25 MWe producing electricity for sale.
(2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a TR NOX Annual unit begins to combust fossil fuel or to serve a generator with nameplate capacity of more than 25 MWe producing electricity for sale, the unit shall become a TR NOX Annual unit as provided in paragraph (a)(1) of this section on the first date on which it both combusts fossil fuel and serves such generator.
(b) Any unit in a State (and Indian country within the borders of such State) that otherwise is a TR NOX Annual unit under paragraph (a) of this section and that meets the requirements set forth in paragraph (b)(1)(i) or (2)(i) of this section shall not be a TR NOX Annual unit:
(1)(i) Any unit:
(A) Qualifying as a cogeneration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
(B) Not supplying in 2005 or any calendar year thereafter more than one-third of the unit's potential electric output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale.
(ii) If, after qualifying under paragraph (b)(1)(i) of this section as not being a TR NOX Annual unit, a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section, the unit shall become a TR NOX Annual unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a cogeneration unit or January 1 after the first calendar year during which the unit no longer meets the requirements of paragraph (b)(1)(i)(B) of this section.  The unit shall thereafter continue to be a TR NOX Annual unit.
(2)(i) Any unit:
(A) Qualifying as a solid waste incineration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a solid waste incineration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
(B) With an average annual fuel consumption of fossil fuel for the first 3 consecutive calendar years of operation starting no earlier than 2005 of less than 20 percent (on a Btu basis) and an average annual fuel consumption of fossil fuel for any 3 consecutive calendar years thereafter of less than 20 percent (on a Btu basis).
(ii) If, after qualifying under paragraph (b)(2)(i) of this section as not being a TR NOX Annual unit, a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section, the unit shall become a TR NOX Annual unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a solid waste incineration unit or January 1 after the first 3 consecutive calendar years after 2005 for which the unit has an average annual fuel consumption of fossil fuel of 20 percent or more.  The unit shall thereafter continue to be a TR NOX Annual unit.
(c) A certifying official of an owner or operator of any unit or other equipment may submit a petition (including any supporting documents) to the Administrator at any time for a determination concerning the applicability, under paragraphs (a) and (b) of this section or a SIP revision approved under §52.38(a)(4) or (5) of this chapter, of the TR NOX Annual Trading Program to the unit or other equipment.
(1) Petition content. The petition shall be in writing and include the identification of the unit or other equipment and the relevant facts about the unit or other equipment. The petition and any other documents provided to the Administrator in connection with the petition shall include the following certification statement, signed by the certifying official: "I am authorized to make this submission on behalf of the owners and operators of the unit or other equipment 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) Response. The Administrator will issue a written response to the petition and may request supplemental information determined by the Administrator to be relevant to such petition. The Administrator's determination concerning the applicability, under paragraphs (a) and (b) of this section, of the TR NOX Annual Trading Program to the unit or other equipment shall be binding on any State or permitting authority unless the Administrator determines that the petition or other documents or information provided in connection with the petition contained significant, relevant errors or omissions.
§ 97.405  Retired unit exemption.
(a)(1) Any TR NOX Annual unit that is permanently retired shall be exempt from §97.406(b) and (c)(1), §97.424, and §§97.430 through 97.435. 
(2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the TR NOX Annual unit is permanently retired.  Within 30 days of the unit's permanent retirement, the designated representative shall submit a statement to the Administrator. The statement shall state, in a format prescribed by the Administrator, that the unit was permanently retired on a specified date and will comply with the requirements of paragraph (b) of this section.
(b) Special provisions. (1) A unit exempt under paragraph (a) of this section shall not emit any NOX, starting on the date that the exemption takes effect.
(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under paragraph (a) of this section shall retain, at the source that includes the unit, records demonstrating that the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period, in writing by the Administrator. The owners and operators bear the burden of proof that the unit is permanently retired.
(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under paragraph (a) of this section shall comply with the requirements of the TR NOX Annual Trading Program concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption takes effect.
(4) A unit exempt under paragraph (a) of this section shall lose its exemption on the first date on which the unit resumes operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and recordkeeping requirements under this subpart, as a unit that commences commercial operation on the first date on which the unit resumes operation.
§ 97.406  Standard requirements.
(a) Designated representative requirements.  The owners and operators shall comply with the requirement to have a designated representative, and may have an alternate designated representative, in accordance with §§97.413 through 97.418.
(b) Emissions monitoring, reporting, and recordkeeping requirements.  (1) The owners and operators, and the designated representative, of each TR NOX Annual source and each TR NOX Annual unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of §§97.430 through 97.435.
(2) The emissions data determined in accordance with §§97.430 through 97.435 shall be used to calculate allocations of TR NOX Annual allowances under §§97.411(a)(2) and (b) and 97.412 and to determine compliance with the TR NOX Annual emissions limitation and assurance provisions under paragraph (c) of this section, provided that, for each monitoring location from which mass emissions are reported, the mass emissions amount used in calculating such allocations and determining such compliance shall be the mass emissions amount for the monitoring location determined in accordance with §§97.430 through 97.435 and rounded to the nearest ton, with any fraction of a ton less than 0.50 being deemed to be zero.
(c) NOX emissions requirements.  (1) TR NOX Annual emissions limitation. (i) As of the allowance transfer deadline for a control period in a given year, the owners and operators of each TR NOX Annual source and each TR NOX Annual unit at the source shall hold, in the source's compliance account, TR NOX Annual allowances available for deduction for such control period under §97.424(a) in an amount not less than the tons of total NOX emissions for such control period from all TR NOX Annual units at the source.
(ii) If total NOX emissions during a control period in a given year from the TR NOX Annual units at a TR NOX Annual source are in excess of the TR NOX Annual emissions limitation set forth in paragraph (c)(1)(i) of this section, then:
(A) The owners and operators of the source and each TR NOX  Annual unit at the source shall hold the TR NOX Annual allowances required for deduction under §97.424(d); and
(B) The owners and operators of the source and each TR NOX Annual unit at the source shall pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act, and each ton of such excess emissions and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(2) TR NOX Annual assurance provisions.  (i) If total NOX emissions during a control period in a given year from all TR NOX Annual units at TR NOX Annual sources in a State (and Indian country within the borders of such State) exceed the State assurance level, then the owners and operators of such sources and units in each group of one or more sources and units having a common designated representative for such control period, where the common designated representative's share of such NOX emissions during such control period exceeds the common designated representative's assurance level for the State and such control period, shall hold (in the assurance account established for the owners and operators of such group) TR NOX Annual allowances available for deduction for such control period under §97.425(a) in an amount equal to two times the product (rounded to the nearest whole number), as determined by the Administrator in accordance with §97.425(b), of multiplying -- 
(A) The quotient of the amount by which the common designated representative's share of such NOX emissions exceeds the common designated representative's assurance level divided by the sum of the amounts, determined for all common designated representatives for such sources and units in the State (and Indian country within the borders of such State) for such control period, by which each common designated representative's share of such NOX emissions exceeds the respective common designated representative's assurance level; and
(B) The amount by which total NOX emissions from all TR NOX Annual units at TR NOX Annual sources in the State (and Indian country within the borders of such State) for such control period exceed the State assurance level. 
(ii) The owners and operators shall hold the TR NOX Annual allowances required under paragraph (c)(2)(i) of this section, as of midnight of November 1 (if it is a business day), or midnight of the first business day thereafter (if November 1 is not a business day), immediately after such control period.  
(iii) Total NOX emissions from all TR NOX Annual units at TR NOX Annual sources in a State (and Indian country within the borders of such State) during a control period in a given year exceed the State assurance level if such total NOX emissions exceed the sum, for such control period, of the State NOX Annual trading budget under §97.410(a) and the State's variability limit under §97.410(b).
(iv) It shall not be a violation of this subpart or of the Clean Air Act if total NOX emissions from all TR NOX Annual units at TR NOX Annual sources in a State (and Indian country within the borders of such State) during a control period exceed the State assurance level or if a common designated representative's share of total NOX emissions from the TR NOX Annual units at TR NOX Annual sources in a State (and Indian country within the borders of such State) during a control period exceeds the common designated representative's assurance level.  
(v) To the extent the owners and operators fail to hold TR NOX Annual allowances for a control period in a given year in accordance with paragraphs (c)(2)(i) through (iii) of this section, 
(A) The owners and operators shall pay any fine, penalty, or assessment or comply with any other remedy imposed under the Clean Air Act; and
(B) Each TR NOX Annual allowance that the owners and operators fail to hold for such control period in accordance with paragraphs (c)(2)(i) through (iii) of this section and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(3) Compliance periods.  A TR NOX Annual unit shall be subject to the requirements under paragraphs (c)(1) and (c)(2) of this section for the control period starting on the later of January 1, 2012 or the deadline for meeting the unit's monitor certification requirements under §97.430(b) and for each control period thereafter.
(4) Vintage of allowances held for compliance.  (i) A TR NOX Annual allowance held for compliance with the requirements under paragraph (c)(1)(i) of this section for a control period in a given year must be a TR NOX Annual allowance that was allocated for such control period or a control period in a prior year.
(ii) A TR NOX Annual allowance held for compliance with the requirements under paragraphs (c)(1)(ii)(A) and (2)(i) through (iii) of this section for a control period in a given year must be a TR NOX Annual allowance that was allocated for a control period in a prior year or the control period in the given year or in the immediately following year.
(5) Allowance Management System requirements. Each TR NOX Annual allowance shall be held in, deducted from, or transferred into, out of, or between Allowance Management System accounts in accordance with this subpart.
(6) Limited authorization. A TR NOX Annual allowance is a limited authorization to emit one ton of NOX during the control period in one year.  Such authorization is limited in its use and duration as follows:
(i) Such authorization shall only be used in accordance with the TR NOX Annual Trading Program; and 
(ii) Notwithstanding any other provision of this subpart, the Administrator has the authority to terminate or limit the use and duration of such authorization to the extent the Administrator determines is necessary or appropriate to implement any provision of the Clean Air Act.  
(7) Property right. A TR NOX Annual allowance does not constitute a property right.
(d) Title V permit requirements.  (1) No title V permit revision shall be required for any allocation, holding, deduction, or transfer of TR NOX Annual allowances in accordance with this subpart.
(2) A description of whether a unit is required to monitor and report NOX emissions using a continuous emission monitoring system (under subpart H of part 75 of this chapter), an excepted monitoring system (under appendices D and E to part 75 of this chapter), a low mass emissions excepted monitoring methodology (under §75.19 of this chapter), or an alternative monitoring system (under subpart E of part 75 of this chapter) in accordance with §§97.430 through 97.435 may be added to, or changed in, a title V permit using minor permit modification procedures in accordance with §§70.7(e)(2) and 71.7(e)(1) of this chapter, provided that the requirements applicable to the described monitoring and reporting (as added or changed, respectively) are already incorporated in such permit. This paragraph explicitly provides that the addition of, or change to, a unit's description as described in the prior sentence is eligible for minor permit modification procedures in accordance with §§70.7(e)(2)(i)(B) and 71.7(e)(1)(i)(B) of this chapter.  
(e) Additional recordkeeping and reporting requirements.  (1) Unless otherwise provided, the owners and operators of each TR NOX Annual source and each TR NOX Annual unit at the source shall keep on site at the source each of the following documents (in hardcopy or electronic format) for a period of 5 years from the date the document is created. This period may be extended for cause, at any time before the end of 5 years, in writing by the Administrator.
(i) The certificate of representation under §97.416 for the  designated representative for the source and each TR NOX Annual unit at the source and all documents that demonstrate the truth of the statements in the certificate of representation; provided that the certificate and documents shall be retained on site at the source beyond such 5-year period until such certificate of representation and documents are superseded because of the submission of a new certificate of representation under §97.416 changing the designated representative.
(ii) All emissions monitoring information, in accordance with this subpart.
(iii) Copies of all reports, compliance certifications, and other submissions and all records made or required under, or to demonstrate compliance with the requirements of, the TR NOX Annual Trading Program.
(2) The designated representative of a TR NOX Annual source and each TR NOX Annual unit at the source shall make all submissions required under the TR NOX Annual Trading Program, except as provided in §97.418.  This requirement does not change, create an exemption from, or or otherwise affect the responsible official submission requirements under a title V operating permit program in parts 70 and 71 of this chapter. 
(f) Liability.  (1) Any provision of the TR NOX Annual Trading Program that applies to a TR NOX Annual source or the designated representative of a TR NOX Annual source shall also apply to the owners and operators of such source and of the TR NOX Annual units at the source.
(2) Any provision of the TR NOX Annual Trading Program that applies to a TR NOX Annual unit or the designated representative of a TR NOX Annual unit shall also apply to the owners and operators of such unit.
(g) Effect on other authorities.  No provision of the TR NOX Annual Trading Program or exemption under §97.405 shall be construed as exempting or excluding the owners and operators, and the designated representative, of a TR NOX Annual source or TR NOX Annual unit from compliance with any other provision of the applicable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act.
§ 97.407  Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the TR NOX Annual Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs. 
(b) Unless otherwise stated, any time period scheduled, under the TR NOX Annual Trading Program, to begin before the occurrence of an act or event shall be computed so that the period ends the day before the act or event occurs.
(c) Unless otherwise stated, if the final day of any time period, under the TR NOX Annual Trading Program, is not a business day, the time period shall be extended to the next business day.
§ 97.408  Administrative appeal procedures.
The administrative appeal procedures for decisions of the Administrator under the TR NOX Annual Trading Program are set forth in part 78 of this chapter.
§ 97.409  [Reserved]
§ 97.410  State NOX Annual trading budgets, new unit set-asides, Indian country new unit set-aside, and variability limits.
(a)  The State NOX Annual trading budgets, new unit set-asides, and Indian country new unit set-asides for allocations of TR NOX Annual allowances for the control periods in 2012 and thereafter are as follows:
                                     State
              NOX Annual trading budget (tons)*
for 2012 and 2013
                  New unit set-aside (tons)
for 2012 and 2013
          Indian country new unit set-aside (tons)
for 2012 and 2013




Alabama
                                    72,691
                                     1,454
                                      ---
Georgia
                                    62,010
                                     1,240
                                      ---
Illinois
                                    47,872
                                     3,830
                                      ---
Indiana
                                    109,726
                                     3,292
                                      ---
Iowa
                                    38,335
                                      729
                                      38
Kansas
                                    30,714
                                      583
                                      31
Kentucky
                                    85,086
                                     3,403
                                      ---
Maryland
                                    16,633
                                      333
                                      ---
Michigan
                                    60,193
                                     1,144
                                      60
Minnesota
                                    29,572
                                      561
                                      30
Missouri
                                    52,374
                                     1,571
                                      ---
Nebraska
                                    26,440
                                     1,825
                                      26
New Jersey
                                     7,266
                                      145
                                      ---
New York
                                    17,543
                                      508
                                      18
North Carolina
                                    50,587
                                     2,984
                                      51
Ohio
                                    92,703
                                     1,854
                                      ---
Pennsylvania
                                    119,986
                                     2,400
                                      ---
South Carolina
                                    32,498
                                      617
                                      33
Tennessee
                                    35,703
                                      714
                                      ---
Texas
                                    133,595
                                     3,874
                                      134
Virginia
                                    33,242
                                     1,662
                                      ---
West Virginia
                                    59,472
                                     2,974
                                      ---
Wisconsin
                                    31,628
                                     1,866
                                      32

                                     State
           NOX Annual trading budget (tons)*
for 2014 and thereafter
               New unit set-aside (tons)
for 2014 and thereafter
       Indian country new unit set-aside (tons)
for 2014 and thereafter




Alabama
                                    71,962
                                     1,439
                                      ---
Georgia
                                    40,540
                                      811
                                      ---
Illinois
                                    47,872
                                     3,830
                                      ---
Indiana
                                    108,424
                                     3,253
                                      ---
Iowa
                                    37,498
                                      712
                                      38
Kansas
                                    25,560
                                      485
                                      26
Kentucky
                                    77,238
                                     3,090
                                      ---
Maryland
                                    16,574
                                      331
                                      ---
Michigan
                                    57,812
                                     1,098
                                      58
Minnesota
                                    29,572
                                      561
                                      30
Missouri
                                    48,717
                                     1,462
                                      ---
Nebraska
                                    26,440
                                     1,825
                                      26
New Jersey
                                     7,266
                                      145
                                      ---
New York
                                    17,543
                                      508
                                      18
North Carolina
                                    41,553
                                     2,451
                                      42
Ohio
                                    87,493
                                     1,750
                                      ---
Pennsylvania
                                    119,194
                                     2,384
                                      ---
South Carolina
                                    32,498
                                      617
                                      33
Tennessee
                                    19,337
                                      387
                                      ---
Texas
                                    133,595
                                     3,874
                                      134
Virginia
                                    33,242
                                     1,662
                                      ---
West Virginia
                                    54,582
                                     2,729
                                      ---
Wisconsin
                                    30,398
                                     1,794
                                      30
* Each trading budget includes the new unit set-aside and, where applicable, the Indian country new unit set-aside and does not include the variability limit.
 (b) The States' variability limits for the State NOX Annual trading budgets for the control periods in 2012 and thereafter are as follows:
                                     State
                     Variability limits
for 2012 and 2013
                  
Variability limits
for 2014 and thereafter



Alabama
                                    13,084
                                    12,953
Georgia
                                    11,162
                                     7,297
Illinois
                                     8,617
                                     8,617
Indiana
                                    19,751
                                    19,516
Iowa
                                     6,900
                                     6,750
Kansas
                                     5,529
                                     4,601
Kentucky
                                    15,315
                                    13,903
Maryland
                                     2,994
                                     2,983
Michigan
                                    10,835
                                    10,406
Minnesota
                                     5,323
                                     5,323
Missouri
                                     9,427
                                     8,769
Nebraska
                                     4,759
                                     4,759
New Jersey
                                     1,308
                                     1,308
New York
                                     3,158
                                     3,158
North Carolina
                                     9,106
                                     7,480
Ohio
                                    16,687
                                    15,749
Pennsylvania
                                    21,597
                                    21,455
South Carolina
                                     5,850
                                     5,850
Tennessee
                                     6,427
                                     3,481
Texas
                                    24,047
                                    24,047
Virginia
                                     5,984
                                     5,984
West Virginia
                                    10,705
                                     9,825
Wisconsin
                                     5,693
                                     5,472

§ 97.411  Timing requirements for TR NOX Annual allowance allocations.
(a) Existing units.  (1) TR NOX Annual allowances are allocated, for the control periods in 2012 and each year thereafter, as provided in a notice of data availability issued by the Administrator. Providing an allocation to a unit in such notice does not constitute a determination that the unit is a TR NOX Annual unit, and not providing an allocation to a unit in such notice does not constitute a determination that the unit is not a TR NOX Annual unit. 
(2) Notwithstanding paragraph (a)(1) of this section, if a unit provided an allocation in the notice of data availability issued under paragraph (a)(1) of this section does not operate, starting after 2011, during the control period in two consecutive years, such unit will not be allocated the TR NOX Annual allowances provided in such notice for the unit for the control periods in the fifth year after the first such year and in each year after that fifth year.  All TR NOX Annual allowances that would otherwise have been allocated to such unit will be allocated to the new unit set-aside for the State where such unit is located and for the respective years involved.  If such unit resumes operation, the Administrator will allocate TR NOX Annual allowances to the unit in accordance with paragraph (b) of this section. 
(b) New units.  (1) New unit set-asides.  (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR NOX Annual allowance allocation to each TR NOX Annual unit in a State, in accordance with §97.412(a)(2) through (7) and (12), for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.  
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR NOX Annual units) are in accordance with §97.412(a)(2) through (7) and (12) and §§97.406(b)(2) and 97.430 through 97.435. 
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(1)(ii)(A) of this section.  By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.412(a)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(ii)(A) of this section.  
(iii) If the new unit set-aside for such control period contains any TR NOX Annual allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(1)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any TR NOX Annual units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period.
(iv) For each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR NOX annual units in such notice. 
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(iii) of this section and shall be limited to addressing whether the identification of TR NOX annual units in such notice is in accordance with paragraph (b)(1)(iii) of this section.  
(B) The Administrator will adjust the identification of TR NOX Annual units in the each notice of data availability required in paragraph (b)(1)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(1)(iii) of this section and will calculate the TR NOX Annual allowance allocation to each TR NOX Annual unit in accordance with §97.412(a)(9), (10), and (12) and §§97.406(b)(2) and 97.430 through 97.435.  By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR NOX Annual units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(iv)(A) of this section, and the results of such calculations.
(v) To the extent any TR NOX Annual allowances are added to the new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(1)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR NOX Annual allowances in accordance with §97.412(a)(10). 
(2) Indian country new unit set-asides.  (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR NOX Annual allowance allocation to each TR NOX Annual unit in Indian country within the borders of a State, in accordance with §97.412(b)(2) through (7) and (12), for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.  
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR NOX Annual units) are in accordance with §97.412(b)(2) through (7) and (12) and §§97.406(b)(2) and 97.430 through 97.435. 
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(ii)(A) of this section.  By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.412(b)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(ii)(A) of this section.  
(iii) If the Indian country new unit set-aside for such control period contains any TR NOX Annual allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(2)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any TR NOX Annual units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period.
(iv) For each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR NOX annual units in such notice. 
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(iii) of this section and shall be limited to addressing whether the identification of TR NOX annual units in such notice is in accordance with paragraph (b)(2)(iii) of this section.  
(B) The Administrator will adjust the identification of TR NOX Annual units in the each notice of data availability required in paragraph (b)(2)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(2)(iii) of this section and will calculate the TR NOX Annual allowance allocation to each TR NOX Annual unit in accordance with §97.412(b)(9), (10), and (12) and §§97.406(b)(2) and 97.430 through 97.435.  By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR NOX Annual units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iv)(A) of this section, and the results of such calculations. 
(v) To the extent any TR NOX Annual allowances are added to the Indian country new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(2)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR NOX Annual allowances in accordance with §97.412(b)(10).
(c) Units incorrectly allocated TR NOX Annual allowances.  (1) For each control period in 2012 and thereafter, if the Administrator determines that TR NOX Annual allowances were allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under §52.38(a)(3), (4), or (5) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(i) of this section or were allocated under §97.412(a)(2) through (7), (9), and (12) and (b)(2) through (7), (9), and (12), or under a provision of a SIP revision approved under §52.38(a)(4) or (5) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(ii) of this section, then the Administrator will notify the designated representative of the recipient and will act in accordance with the procedures set forth in paragraphs (c)(2) through (5) of this section:
(i)(A) The recipient is not actually a TR NOX Annual unit under §97.404 as of January 1, 2012 and is allocated TR NOX Annual allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under §52.38(a)(3), (4), or (5) of this chapter, the recipient is not actually a TR NOX Annual unit as of January 1, 2012 and is allocated TR NOX Annual allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR NOX Annual units as of January 1, 2012; or
(B) The recipient is not located as of January 1 of the control period in the State from whose NOX Annual trading budget the TR NOX Annual allowances allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under §52.38(a)(3), (4), or (5) of this chapter, were allocated for such control period. 
(ii) The recipient is not actually a TR NOX Annual unit under §97.404 as of January 1 of such control period and is allocated TR NOX Annual allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under §52.38(a)(3), (4), or (5) of this chapter, the recipient is not actually a TR NOX Annual unit as of January 1 of such control period and is allocated TR NOX Annual allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR NOX Annual units as of January 1 of such control period. 
(2) Except as provided in paragraph (c)(3) or (4) of this section, the Administrator will not record such TR NOX Annual allowances under §97.421.
(3) If the Administrator already recorded such TR NOX Annual allowances under §97.421 and if the Administrator makes the determination under paragraph (c)(1) of this section before making deductions for the source that includes such recipient under §97.424(b) for such control period, then the Administrator will deduct from the account in which such TR NOX Annual allowances were recorded an amount of TR NOX Annual allowances allocated for the same or a prior control period equal to the amount of such already recorded TR NOX Annual allowances. The authorized account representative shall ensure that there are sufficient TR NOX Annual allowances in such account for completion of the deduction.
(4) If the Administrator already recorded such TR NOX Annual allowances under §97.421 and if the Administrator makes the determination under paragraph (c)(1) of this section after making deductions for the source that includes such recipient under §97.424(b) for such control period, then the Administrator will not make any deduction to take account of such already recorded TR NOX Annual allowances.   
(5)(i) With regard to the TR NOX Annual allowances that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(i) of this section, the Administrator will:
(A) Transfer such TR NOX Annual allowances to the new unit set-aside for such control period for the State from whose NOX Annual trading budget the TR NOX Annual allowances were allocated; or
(B) If the State has a SIP revision approved under §52.38(a)(4) or (5) covering such control period, include such TR NOX Annual allowances in the portion of the State NOX Annual trading budget that may be allocated for such control period in accordance with such SIP revision.  
(ii) With regard to the TR NOX Annual allowances that were not allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will:
(A) Transfer such TR NOX Annual allowances to the new unit set-aside for such control period; or
(B) If the State has a SIP revision approved under §52.38(a)(4) or (5) covering such control period, include such TR NOX Annual allowances in the portion of the State NOX Annual trading budget that may be allocated for such control period in accordance with such SIP revision.  
(iii) With regard to the TR NOX Annual allowances that were allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will transfer such TR NOX Annual allowances to the Indian country new unit set-aside for such control period.
§ 97.412  TR NOX Annual allowance allocations to new units.
(a) For each control period in 2012 and thereafter and for  the TR NOX Annual units in each State, the Administrator will allocate TR NOX Annual allowances to the TR NOX Annual units as follows: 
(1) The TR NOX Annual allowances will be allocated to the following TR NOX Annual units, except as provided in paragraph (a)(10) of this section:
(i) TR NOX Annual units that are not allocated an amount of TR NOX Annual allowances in the notice of data availability issued under §97.411(a)(1); 
(ii) TR NOX Annual units whose allocation of an amount of TR NOX Annual allowances for such control period in the notice of data availability issued under §97.411(a)(1) is covered by §97.411(c)(2) or (3);
(iii) TR NOX Annual units that are allocated an amount of TR NOX Annual allowances for such control period in the notice of data availability issued under §97.411(a)(1), which allocation is terminated for such control period pursuant to §97.411(a)(2), and that operate during the control period immediately preceding such control period; or
(iv) For purposes of paragraph (a)(9) of this section, TR NOX Annual units under §97.411(c)(1)(ii) whose allocation of an amount of TR NOX Annual allowances for such control period in the notice of data availability issued under §97.411(b)(1)(ii)(B) is covered by §97.411(c)(2) or (3). 
(2) The Administrator will establish a separate new unit set-aside for the State for each such control period. Each such new unit set-aside will be allocated TR NOX Annual allowances in an amount equal to the applicable amount of tons of NOX emissions as set forth in §97.410(a) and will be allocated additional TR NOX Annual allowances (if any) in accordance with §§97.411(a)(2) and (c)(5) and paragraph (b)(10) of this section.
(3) The Administrator will determine, for each TR NOX Annual unit described in paragraph (a)(1) of this section, an allocation of TR NOX Annual allowances for  the later of the following control periods and for each subsequent control period:
(i) The control period in 2012;
(ii) The first control period after the control period in which the TR NOX Annual unit commences commercial operation; 
(iii) For a unit described in paragraph (a)(1)(ii) of this section, the first control period in which the TR NOX Annual unit operates in the State after operating in another jurisdiction and for which the unit is not already allocated one or more TR NOX Annual allowances; and
(iv) For a unit described in paragraph (a)(1)(iii) of this section, the first control period after the control period in which the unit resumes operation. 
(4)(i) The allocation to each TR NOX annual unit described in paragraph (a)(1)(i) through (iii) of this section and for each control period described in paragraph (a)(3) of this section will be an amount equal to the unit's total tons of NOX emissions during the immediately preceding control period.
(ii) The Administrator will adjust the allocation amount in paragraph (a)(4)(i) in accordance with paragraphs (a)(5) through (7) and (12) of this section.
(5) The Administrator will calculate the sum of the TR NOX Annual allowances determined for all such TR NOX Annual units under paragraph (a)(4)(i) of this section in the State for such control period.
(6) If the amount of TR NOX Annual allowances in the new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (a)(5) of this section, then the Administrator will allocate the amount of TR NOX Annual allowances determined for each such TR NOX Annual unit under paragraph (a)(4)(i) of this section.
(7) If the amount of TR NOX Annual allowances in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(5) of this section, then the Administrator will allocate to each such TR NOX Annual unit the amount of the TR NOX Annual allowances determined under paragraph (a)(4)(i) of this section for the unit, multiplied by the amount of TR NOX Annual allowances in the new unit set-aside for such control period, divided by the sum under paragraph (a)(5) of this section, and rounded to the nearest allowance.
(8) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.411(b)(1)(i) and (ii), of the amount of TR NOX Annual allowances allocated under paragraphs (a)(2) through (7) and (12) of this section for such control period to each TR NOX Annual unit eligible for such allocation.
(9) If, after completion of the procedures under paragraphs (a)(5) through (8) of this section for such control period, any unallocated TR NOX Annual allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate such TR NOX Annual allowances as follows--
(i) The Administrator will determine, for each unit described in paragraph (a)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of TR NOX Annual allowances referenced in the notice of data availability required under §97.411(b)(1)(ii) for the unit for such control period;
(ii) The Administrator will determine the sum of the positive differences determined under paragraph (a)(9)(i) of this section;
(iii) If the amount of unallocated TR NOX Annual allowances remaining in the new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (a)(9)(ii) of this section, then the Administrator will allocate the amount of TR NOX Annual allowances determined for each such TR NOX Annual unit under paragraph (a)(9)(i) of this section; and
(iv) If the amount of unallocated TR NOX Annual allowances remaining in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(9)(ii) of this section, then the Administrator will allocate to each such TR NOX Annual unit the amount of the TR NOX Annual allowances determined under paragraph (a)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR NOX Annual allowances remaining in the new unit set-aside for such control period, divided by the sum under paragraph (a)(9)(ii) of this section, and rounded to the nearest allowance.
(10) If, after completion of the procedures under paragraphs (a)(9) and (12) of this section for such control period, any unallocated TR NOX Annual allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate to each TR NOX Annual unit that is in the State, is allocated an amount of TR NOX Annual allowances in the notice of data availability issued under §97.411(a)(1), and continues to be allocated TR NOX Annual allowances for such control period in accordance with §97.411(a)(2), an amount of TR NOX Annual allowances equal to the following: the total amount of such remaining unallocated TR NOX Annual allowances in such new unit set-aside, multiplied by the unit's allocation under §97.411(a) for such control period, divided by the remainder of the amount of tons in the applicable State NOX Annual trading budget minus the sum of the amounts of tons in such new unit set-aside and the Indian country new unit set-aside for the State for such control period, and rounded to the nearest allowance.
(11) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.411(b)(1)(iii), (iv), and (v), of the amount of TR NOX Annual allowances allocated under paragraphs (a)(9), (10), and (12) of this section for such control period to each TR NOX Annual unit eligible for such allocation.
(12)(i) Notwithstanding the requirements of paragraphs (a)(2) through (11) of this section, if the calculations of allocations of a new unit set-aside for a control period in a given year under paragraph (a)(7) of this section, paragraphs (a)(6) and (9)(iv) of this section, or paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such new unit set-aside exceeding the total amount of such new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, as follows.  The Administrator will list the TR NOX Annual units in descending order based on the amount of such units' allocations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will reduce each unit's allocation under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, by one TR NOX Annual allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such new unit set-aside equal the total amount of such new unit set-aside.  
(ii) Notwithstanding the requirements of paragraphs (a)(10) and (11) of this section, if the calculations of allocations of a new unit set-aside for a control period in a given year under paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such new unit set-aside less than the total amount of such new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (a)(10) of this section, as follows.  The Administrator will list the TR NOX Annual units in descending order based on the amount of such units' allocations under paragraph (a)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will increase each unit's allocation under paragraph (a)(10) of this section by one TR NOX Annual allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such new unit set-aside equal the total amount of such new unit set-aside. 
(b) For each control period in 2012 and thereafter and for the TR NOX Annual units located in Indian country within the borders of each State, the Administrator will allocate TR NOX Annual allowances to the TR NOX Annual units as follows: 
(1) The TR NOX Annual allowances will be allocated to the following TR NOX Annual units, except as provided in paragraph (b)(10) of this section:
(i) TR NOX Annual units that are not allocated an amount of TR NOX Annual allowances in the notice of data availability issued under §97.411(a)(1); or
(ii) For purposes of paragraph (b)(9) of this section, TR NOX Annual units under §97.411(c)(1)(ii) whose allocation of an amount of TR NOX Annual allowances for such control period in the notice of data availability issued under §97.411(b)(2)(ii)(B) is covered by §97.411(c)(2) or (3). 
(2) The Administrator will establish a separate Indian country new unit set-aside for the State for each such control period. Each such Indian country new unit set-aside will be allocated TR NOX Annual allowances in an amount equal to the applicable amount of tons of NOX emissions as set forth in §97.410(a) and will be allocated additional TR NOX Annual allowances (if any) in accordance with §97.411(c)(5).
(3) The Administrator will determine, for each TR NOX Annual unit described in paragraph (b)(1) of this section, an allocation of TR NOX Annual allowances for the later of the following control periods and for each subsequent control period:
(i) The control period in 2012; and
(ii) The first control period after the control period in which the TR NOX Annual unit commences commercial operation. 
(4)(i) The allocation to each TR NOX annual unit described in paragraph (b)(1)(i) of this section and for each control period described in paragraph (b)(3) of this section will be an amount equal to the unit's total tons of NOX emissions during the immediately preceding control period.
(ii) The Administrator will adjust the allocation amount in paragraph (b)(4)(i) in accordance with paragraphs (b)(5) through (7) and (12) of this section. 
(5) The Administrator will calculate the sum of the TR NOX Annual allowances determined for all such TR NOX Annual units under paragraph (b)(4)(i) of this section in Indian country within the borders of the State for such control period.
(6) If the amount of TR NOX Annual allowances in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (b)(5) of this section, then the Administrator will allocate the amount of TR NOX Annual allowances determined for each such TR NOX Annual unit under paragraph (b)(4)(i) of this section.
(7) If the amount of TR NOX Annual allowances in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(5) of this section, then the Administrator will allocate to each such TR NOX Annual unit the amount of the TR NOX Annual allowances determined under paragraph (b)(4)(i) of this section for the unit, multiplied by the amount of TR NOX Annual allowances in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(5) of this section, and rounded to the nearest allowance.
(8) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.411(b)(2)(i) and (ii), of the amount of TR NOX Annual allowances allocated under paragraphs (b)(2) through (7) and (12) of this section for such control period to each TR NOX Annual unit eligible for such allocation.
(9) If, after completion of the procedures under paragraphs (b)(5) through (8) of this section for such control period, any unallocated TR NOX Annual allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will allocate such TR NOX Annual allowances as follows--
(i) The Administrator will determine, for each unit described in paragraph (b)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of TR NOX Annual allowances referenced in the notice of data availability required under §97.411(b)(2)(ii) for the unit for such control period;
(ii) The Administrator will determine the sum of the positive differences determined under paragraph (b)(9)(i) of this section;
(iii) If the amount of unallocated TR NOX Annual allowances remaining in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (b)(9)(ii) of this section, then the Administrator will allocate the amount of TR NOX Annual allowances determined for each such TR NOX Annual unit under paragraph (b)(9)(i) of this section; and
(iv) If the amount of unallocated TR NOX Annual allowances remaining in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(9)(ii) of this section, then the Administrator will allocate to each such TR NOX Annual unit the amount of the TR NOX Annual allowances determined under paragraph (b)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR NOX Annual allowances remaining in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(9)(ii) of this section, and rounded to the nearest allowance.
(10) If, after completion of the procedures under paragraphs (b)(9) and (12) of this section for such control period, any unallocated TR NOX Annual allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will:
(i) Transfer such unallocated TR NOX Annual allowances to the new unit set-aside for the State for such control period; or  
(ii) If the State has a SIP revision approved under §52.38(a)(4) or (5) covering such control period, include such unallocated TR NOX Annual allowances in the portion of the State NOX Annual trading budget that may be allocated for such control period in accordance with such SIP revision.  
(11) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.411(b)(2)(iii), (iv), and (v), of the amount of TR NOX Annual allowances allocated under paragraphs (b)(9), (10), and (12) of this section for such control period to each TR NOX Annual unit eligible for such allocation.
(12)(i) Notwithstanding the requirements of paragraphs (b)(2) through (11) of this section, if the calculations of allocations of an Indian country new unit set-aside for a control period in a given year under paragraph (b)(7) of this section, paragraphs (b)(6) and (9)(iv) of this section, or paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such Indian country new unit set-aside exceeding the total amount of such Indian country new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, as follows.  The Administrator will list the TR NOX Annual units in descending order based on the amount of such units' allocations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will reduce each unit's allocation under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, by one TR NOX Annual allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such Indian country new unit set-aside equal the total amount of such Indian country new unit set-aside.  
(ii) Notwithstanding the requirements of paragraphs (b)(10) and (11) of this section, if the calculations of allocations of an Indian country new unit set-aside for a control period in a given year under paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such Indian country new unit set-aside less than the total amount of such Indian country new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (b)(10) of this section, as follows.  The Administrator will list the TR NOX Annual units in descending order based on the amount of such units' allocations under paragraph (b)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will increase each unit's allocation under paragraph (b)(10) of this section by one TR NOX Annual allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such Indian country new unit set-aside equal the total amount of such Indian country new unit set-aside. 
§ 97.413  Authorization of designated representative and alternate designated representative.
(a) Except as provided under §97.415, each TR NOX Annual source, including all TR NOX Annual units at the source, shall have one and only one designated representative, with regard to all matters under the TR NOX Annual Trading Program.
(1) The designated representative shall be selected by an agreement binding on the owners and operators of the source and all TR NOX Annual units at the source and shall act in accordance with the certification statement in §97.416(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under §97.416:
(i) The designated representative shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each owner and operator of the source and each TR NOX Annual unit at the source in all matters pertaining to the TR NOX Annual Trading Program, notwithstanding any agreement between the designated representative and such owners and operators; and
(ii) The owners and operators of the source and each TR NOX Annual unit at the source shall be bound by any decision or order issued to the designated representative by the Administrator regarding the source or any such unit.
(b) Except as provided under §97.415, each TR NOX Annual source may have one and only one alternate designated representative, who may act on behalf of the designated representative. The agreement by which the alternate designated representative is selected shall include a procedure for authorizing the alternate designated representative to act in lieu of the designated representative.
(1) The alternate designated representative shall be selected by an agreement binding on the owners and operators of the source and all TR NOX Annual units at the source and shall act in accordance with the certification statement in §97.416(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under §97.416, 
(i) The alternate designated representative shall be authorized;  
(ii) Any representation, action, inaction, or submission by the alternate designated representative shall be deemed to be a representation, action, inaction, or submission by the designated representative; and
(iii) The owners and operators of the source and each TR NOX Annual unit at the source shall be bound by any decision or order issued to the alternate designated representative by the Administrator regarding the source or any such unit.
(c) Except in this section, §97.402, and §§97.414 through 97.418, whenever the term "designated representative" (as distinguished from the term "common designated representative") is used in this subpart, the term shall be construed to include the designated representative or any alternate designated representative.
§ 97.414  Responsibilities of designated representative and alternate designated representative.
(a) Except as provided under §97.418 concerning delegation of authority to make submissions, each submission under the TR NOX Annual Trading Program shall be made, signed, and certified by the designated representative or alternate designated representative for each TR NOX Annual source and TR NOX Annual unit for which the submission is made. Each such submission shall include the following certification statement by the designated representative or alternate designated representative: "I am authorized to make this submission on behalf of the owners and operators of the source or units for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
(b) The Administrator will accept or act on a submission made for a TR NOX Annual source or a TR NOX Annual unit only if the submission has been made, signed, and certified in accordance with paragraph (a) of this section and §97.418.
§ 97.415  Changing designated representative and alternate designated representative; changes in owners and operators; changes in units at the source.
(a) Changing designated representative.  The designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under §97.416.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new designated representative and the owners and operators of the TR NOX Annual source and the TR NOX Annual units at the source.
(b) Changing alternate designated representative.  The alternate designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under §97.416.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new alternate designated representative, the designated representative, and the owners and operators of the TR NOX Annual source and the TR NOX Annual units at the source.
(c) Changes in owners and operators.  (1) In the event an owner or operator of a TR NOX Annual source or a TR NOX Annual unit at the source is not included in the list of owners and operators in the certificate of representation under §97.416, such owner or operator shall be deemed to be subject to and bound by the certificate of representation, the representations, actions, inactions, and submissions of the designated representative and any alternate designated representative of the source or unit, and the decisions and orders of the Administrator, as if the owner or operator were included in such list.
(2) Within 30 days after any change in the owners and operators of a TR NOX Annual source or a TR NOX Annual unit at the source, including the addition or removal of an owner or operator, the designated representative or any alternate designated representative shall submit a revision to the certificate of representation under §97.416 amending the list of owners and operators to reflect the change.
(d) Changes in units at the source.  Within 30 days of any change in which units are located at a TR NOX Annual source (including the addition or removal of a unit), the designated representative or any alternate designated representative shall submit a certificate of representation under §97.416 amending the list of units to reflect the change.  
(1) If the change is the addition of a unit that operated (other than for purposes of testing by the manufacturer before initial installation) before being located at the source, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity from whom the unit was purchased or otherwise obtained (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was purchased or otherwise obtained, and the date on which the unit became located at the source.
(2) If the change is the removal of a unit, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity to which the unit was sold or that otherwise obtained the unit (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was sold or otherwise obtained, and the date on which the unit became no longer located at the source.  
§ 97.416  Certificate of representation.
(a) A complete certificate of representation for a designated representative or an alternate designated representative shall include the following elements in a format prescribed by the Administrator:
(1) Identification of the TR NOX Annual source, and each TR NOX Annual unit at the source, for which the certificate of representation is submitted, including source name, source  category and NAICS code (or, in the absence of a NAICS code, an equivalent code), State, plant code, county, latitude and longitude, unit identification number and type, identification number and nameplate capacity (in MWe, rounded to the nearest tenth) of each generator served by each such unit, actual or projected date of commencement of commercial operation, and a statement of whether such source is located in Indian Country.  If a projected date of commencement of commercial operation is provided, the actual date of commencement of commercial operation shall be provided when such information becomes available.
(2) The name, address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the designated representative and any alternate designated representative.
(3) A list of the owners and operators of the TR NOX Annual source and of each TR NOX Annual unit at the source.
(4) The following certification statements by the designated representative and any alternate designated representative -- 
(i) "I certify that I was selected as the designated representative or alternate designated representative, as applicable, by an agreement binding on the owners and operators of the source and each TR NOX Annual unit at the source."
(ii) "I certify that I have all the necessary authority to carry out my duties and responsibilities under the TR NOX Annual Trading Program on behalf of the owners and operators of the source and of each TR NOX Annual 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 Administrator regarding the source or unit."
(iii) "Where there are multiple holders of a legal or equitable title to, or a leasehold interest in, a TR NOX Annual unit, or where a utility or industrial customer purchases power from a TR NOX Annual unit under a life-of-the-unit, firm power contractual arrangement, I certify that: I have given a written notice of my selection as the `designated representative' or `alternate designated representative', as applicable, and of the agreement by which I was selected to each owner and operator of the source and of each TR NOX Annual unit at the source; and TR NOX Annual allowances and proceeds of transactions involving TR NOX Annual allowances will be deemed to be held or distributed in proportion to each holder's legal, equitable, leasehold, or contractual reservation or entitlement, except that, if such multiple holders have expressly provided for a different distribution of TR NOX Annual allowances by contract, TR NOX Annual allowances and proceeds of transactions involving TR NOX Annual allowances will be deemed to be held or distributed in accordance with the contract."
(5) The signature of the designated representative and any alternate designated representative and the dates signed.
(b) Unless otherwise required by the Administrator, documents of agreement referred to in the certificate of representation shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
§ 97.417  Objections concerning designated representative and alternate designated representative.
(a) Once a complete certificate of representation under §97.416 has been submitted and received, the Administrator will rely on the certificate of representation unless and until a superseding complete certificate of representation under §97.416 is received by the Administrator.
(b) Except as provided in paragraph (a) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission, of a designated representative or alternate designated representative shall affect any representation, action, inaction, or submission of the designated representative or alternate designated representative or the finality of any decision or order by the Administrator under the TR NOX Annual Trading Program.
(c) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of any designated representative or alternate designated representative, including private legal disputes concerning the proceeds of TR NOX Annual allowance transfers.
§ 97.418  Delegation by designated representative and alternate designated representative.
(a) A designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(b) An alternate designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(c) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (a) or (b) of this section, the designated representative or alternate designated representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements:
(1) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such designated representative or alternate designated representative;
(2) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to in this section as an "agent");
(3) For each such natural person, a list of the type or types of electronic submissions under paragraph (a) or (b) of this section for which authority is delegated to him or her; and
(4) The following certification statements by such designated representative or alternate designated representative:
(i) "I agree that any electronic submission to the Administrator that is made by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am a designated representative or alternate designated representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.418(d) shall be deemed to be an electronic submission by me."
(ii) "Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.418(d), I agree to maintain an e-mail account and to notify the Administrator immediately of any change in my e-mail address unless all delegation of authority by me under 40 CFR 97.418 is terminated.".
(d) A notice of delegation submitted under paragraph (c) of this section shall be effective, with regard to the designated representative or alternate designated representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of delegation submitted by such designated representative or alternate designated representative, as appropriate. The superseding notice of delegation may replace any previously identified agent, add a new agent, or eliminate entirely any delegation of authority.
(e) Any electronic submission covered by the certification in paragraph (c)(4)(i) of this section and made in accordance with a notice of delegation effective under paragraph (d) of this section shall be deemed to be an electronic submission by the designated representative or alternate designated representative submitting such notice of delegation.
§ 97.419  [Reserved] 
§ 97.420  Establishment of compliance accounts, assurance accounts, and general accounts.
(a) Compliance accounts.  Upon receipt of a complete certificate of representation under §97.416, the Administrator will establish a compliance account for the TR NOX Annual source for which the certificate of representation was submitted, unless the source already has a compliance account.  The designated representative and any alternate designated representative of the source shall be the authorized account representative and the alternate authorized account representative respectively of the compliance account.
(b) Assurance accounts.  The Administrator will establish assurance accounts for certain owners and operators and States in accordance with §97.425(b)(3).  
 (c) General accounts. (1) Application for general account.  (i) Any person may apply to open a general account, for the purpose of holding and transferring TR NOX Annual allowances, by submitting to the Administrator a complete application for a general account.  Such application shall designate one and only one authorized account representative and may designate one and only one alternate authorized account representative who may act on behalf of the authorized account representative. 
(A) The authorized account representative and alternate authorized account representative shall be selected by an agreement binding on the persons who have an ownership interest with respect to TR NOX Annual allowances held in the general account. 
(B) The agreement by which the alternate authorized account representative is selected shall include a procedure for authorizing the alternate authorized account representative to act in lieu of the authorized account representative.
(ii) A complete application for a general account 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 authorized account representative and any alternate authorized account representative;
(B) An identifying name for the general account;
(C) A list of all persons subject to a binding agreement for the authorized account representative and any alternate authorized account representative to represent their ownership interest with respect to the TR NOX Annual allowances held in the general account;
(D) The following certification statement by the authorized account representative and any alternate authorized account representative: "I certify that I was selected as the authorized account representative or the alternate authorized account representative, as applicable, by an agreement that is binding on all persons who have an ownership interest with respect to TR NOX Annual allowances held in the general account. I certify that I have all the necessary authority to carry out my duties and responsibilities under the TR NOX Annual Trading Program on behalf of such persons and that each such person shall be fully bound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the Administrator regarding the general account."
(E) The signature of the authorized account representative and any alternate authorized account representative and the dates signed.
(iii) Unless otherwise required by the Administrator, documents of agreement referred to in the application for a general account shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
(2) Authorization of authorized account representative and alternate authorized account representative.  (i) Upon receipt by the Administrator of a complete application for a general account under paragraph (b)(1) of this section,  the Administrator will establish a general account for the person or persons for whom the application is submitted, and upon and after such receipt by the Administrator: 
(A) The authorized account representative of the general account shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each person who has an ownership interest with respect to TR NOX Annual allowances held in the general account in all matters pertaining to the TR NOX Annual Trading Program, notwithstanding any agreement between the authorized account representative and such person. 
(B) Any alternate authorized account representative shall be authorized, and any representation, action, inaction, or submission by any alternate authorized account representative shall be deemed to be a representation, action, inaction, or submission by the authorized account representative.
(C) Each person who has an ownership interest with respect to TR NOX Annual allowances held in the general account shall be bound by any decision or order issued to the authorized account representative or alternate authorized account representative by the Administrator regarding the general account. 
(ii) Except as provided in paragraph (c)(5) of this section concerning delegation of authority to make submissions, each submission concerning the general account shall be made, signed, and certified by the authorized account representative or any alternate authorized account representative for the persons having an ownership interest with respect to TR NOX Annual allowances held in the general account.  Each such submission shall include the following certification statement by the authorized account representative or any alternate authorized account representative: "I am authorized to make this submission on behalf of the persons having an ownership interest with respect to the TR NOX Annual allowances held in the general account. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments.  Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete.  I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
(iii) Except in this section, whenever the term "authorized account representative" is used in this subpart, the term shall be construed to include the authorized account representative or any alternate authorized account representative.
(3) Changing authorized account representative and alternate authorized account representative; changes in persons with ownership interest.  (i) The authorized account representative of 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 (c)(1) of this section.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new authorized account representative and the persons with an ownership interest with respect to the TR NOX Annual allowances in the general account.
(ii) The alternate authorized account representative of 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 (c)(1) of this section.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new alternate authorized account representative, the authorized account representative, and the persons with an ownership interest with respect to the TR NOX Annual allowances in the general account.
(iii)(A) In the event a person having an ownership interest with respect to TR NOX Annual allowances in the general account is not included in the list of such persons in the application for a general account, such person shall be deemed to be subject to and bound by the application for a general account, the representation, actions, inactions, and submissions of the authorized account representative and any alternate authorized account representative of the account, and the decisions and orders of the Administrator, as if the person were included in such list.
(B) Within 30 days after any change in the persons having an ownership interest with respect to NOX Annual allowances in the general account, including the addition or removal of a person, the authorized account representative or any alternate 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 TR NOX Annual allowances in the general account to include the change.
(4) Objections concerning authorized account representative and alternate authorized account representative.  (i) Once a complete application for a general account under paragraph (c)(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 (c)(4)(i) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account shall affect any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative or the finality of any decision or order by the Administrator under the TR NOX Annual Trading Program.
(iii) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account, including private legal disputes concerning the proceeds of TR NOX Annual allowance transfers.
(5) Delegation by authorized account representative and alternate authorized account representative.  (i) An authorized account representative of a general account may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(ii) An alternate authorized account representative of a general account may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(iii) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (c)(5)(i) or (ii) of this section, the authorized account representative or alternate authorized account representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements:
(A) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such authorized account representative or alternate authorized account representative;
(B) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to in this section as an "agent");
(C) For each such natural person, a list of the type or types of electronic submissions under paragraph (c)(5)(i) or (ii) of this section for which authority is delegated to him or her;
(D) The following certification statement by such authorized account representative or alternate authorized account representative:  "I agree that any electronic submission to the Administrator that is made by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am an authorized account representative or alternate authorized representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.420(c)(5)(iv) shall be deemed to be an electronic submission by me."; and
(E) The following certification statement by such authorized account representative or alternate authorized account representative: "Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.420(c)(5)(iv), I agree to maintain an e-mail account and to notify the Administrator immediately of any change in my e-mail address unless all delegation of authority by me under 40 CFR 97.420(c)(5) is terminated.".
(iv) A notice of delegation submitted under paragraph (c)(5)(iii) of this section shall be effective, with regard to the authorized account representative or alternate authorized account representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of delegation submitted by such authorized account representative or alternate authorized account representative, as appropriate.  The superseding notice of delegation may replace any previously identified agent, add a new agent, or eliminate entirely any delegation of authority.
(v) Any electronic submission covered by the certification in paragraph (c)(5)(iii)(D) of this section and made in accordance with a notice of delegation effective under paragraph (c)(5)(iv) of this section shall be deemed to be an electronic submission by the designated representative or alternate designated representative submitting such notice of delegation.
(6) Closing a general account. (i) The authorized account representative or alternate authorized account representative of a general account may submit to the Administrator a request to close the account.  Such request shall include a correctly submitted TR NOX Annual allowance transfer under §97.422 for any TR NOX Annual allowances in the account to one or more other Allowance Management System accounts.
(ii) If a general account has no TR NOX Annual allowance transfers to or from the account for a 12-month period or longer and does not contain any TR NOX Annual allowances, the Administrator may notify the authorized account representative for the account that the account will be closed after 30 days after the notice is sent.  The account will be closed after the 30-day period unless, before the end of the 30-day period, the Administrator receives a correctly submitted TR NOX Annual allowance transfer under §97.422 to the account or a statement submitted by the authorized account representative or alternate authorized account representative demonstrating to the satisfaction of the Administrator good cause as to why the account should not be closed.
(d) Account identification.  The Administrator will assign a unique identifying number to each account established under paragraph (a), (b), or (c) of this section.
(e) Responsibilities of authorized account representative and alternate authorized account representative.  After the establishment of a compliance account or general account, the Administrator will accept or act on a submission pertaining to the account, including, but not limited to, submissions concerning the deduction or transfer of TR NOX Annual allowances in the account, only if the submission has been made, signed, and certified in accordance with §§97.414(a) and 97.418 or paragraphs (c)(2)(ii) and (c)(5) of this section. 
§ 97.421  Recordation of TR NOX Annual allowance allocations and auction results.
(a) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER], the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source in accordance with §97.411(a) for the control period in 2012.
(b) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER], the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source in accordance with §97.411(a) for the control period in 2013, unless the State in which the source is located notifies the Administrator in writing by [INSERT DATE 70 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER] of the State's intent to submit to the Administrator a complete SIP revision by April 1, 2012 meeting the requirements of §52.38(a)(3)(i) through (iv) of this chapter.
(1) If, by April 1, 2012, the State does not submit to the Administrator such complete SIP revision, the Administrator will record by April 15, 2012 in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source in accordance with §97.411(a) for the control period in 2013.
(2) If the State submits to the Administrator by April 1, 2012, and the Administrator approves by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source as provided in such approved, complete SIP revision for the control period in 2013.
(3) If the State submits to the Administrator by April 1, 2012, and the Administrator does not approve by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source in accordance with §97.411(a) for the control period in 2013. 
(c) By July 1, 2013, the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source, or in each appropriate Allowance Management System account the TR NOX Annual allowances auctioned to TR NOX Annual units, in accordance with §97.411(a), or with a SIP revision approved under §52.38(a)(4) or (5) of this chapter, for the control period in 2014 and 2015.
(d) By July 1, 2014, the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source, or in each appropriate Allowance Management System account the TR NOX Annual allowances auctioned to TR NOX Annual units, in accordance with §97.411(a), or with a SIP revision approved under §52.38(a)(4) or (5) of this chapter, for the control period in 2016 and 2017.
(e) By July 1, 2015, the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source, or in each appropriate Allowance Management System account the TR NOX Annual allowances auctioned to TR NOX Annual units, in accordance with §97.411(a), or with a SIP revision approved under §52.38(a)(4) or (5) of this chapter, for the control period in 2018 and 2019.
(f) By July 1, 2016 and July 1 of each year thereafter, the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source, or in each appropriate Allowance Management System account the TR NOX Annual allowances auctioned to TR NOX Annual units, in accordance with §97.411(a), or with a SIP revision approved under §52.38(a)(4) or (5) of this chapter, for the control period in the fourth year after the year of the applicable recordation deadline under this paragraph.
(g) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source, or in each appropriate Allowance Management System account the TR NOX Annual allowances auctioned to TR NOX Annual units, in accordance with §97.412(a)(2) through (8) and (12), or with a SIP revision approved under §52.38(a)(4) or (5) of this chapter, for the control period in the year of the applicable recordation deadline under this paragraph.
(h) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source in accordance with §97.412(b)(2) through (8) and (12) for the control period in the year of the applicable recordation deadline under this paragraph.
(i) By February 15, 2013 and February 15 of each year thereafter, the Administrator will record in each TR NOX Annual source's compliance account the TR NOX Annual allowances allocated to the TR NOX Annual units at the source in accordance with §97.412(a)(9) through (12), for the control period in the year before the year of the applicable recordation deadline under this paragraph.
(j) By the date on which any allocation or auction results, other than an allocation or auction results described in paragraphs (a) through (i) of this section, of TR NOX Annual allowances to a recipient is made by or are submitted to the Administrator in accordance with §97.411 or §97.412 or with a SIP revision approved under §52.38(a)(4) or (5) of this chapter, the Administrator will record such allocation or auction results in the appropriate Allowance Management System account. 
(k) When recording the allocation or auction of TR NOX Annual allowances to a TR NOX Annual unit or other entity in an Allowance Management System account, the Administrator will assign each TR NOX Annual allowance a unique identification number that will include digits identifying the year of the control period for which the TR NOX Annual allowance is allocated or auctioned.
§ 97.422  Submission of TR NOX Annual allowance transfers.
(a) An authorized account representative seeking recordation of a TR NOX Annual allowance transfer shall submit the transfer to the Administrator. 
(b) A TR NOX Annual allowance transfer shall be correctly submitted if: 
(1) The transfer includes the following elements, in a format prescribed by the Administrator:
(i) The account numbers established by the Administrator for both the transferor and transferee accounts;
(ii) The serial number of each TR NOX Annual allowance that is in the transferor account and is to be transferred; and
(iii) The name and signature of the authorized account representative of the transferor account and the date signed; and
(2) When the Administrator attempts to record the transfer, the transferor account includes each TR NOX Annual allowance identified by serial number in the transfer. 
§ 97.423  Recordation of TR NOX Annual allowance transfers.
(a) Within 5 business days (except as provided in paragraph (b) of this section) of receiving a TR NOX Annual allowance transfer that is correctly submitted under §97.422, the Administrator will record a TR NOX Annual allowance transfer by moving each TR NOX Annual allowance from the transferor account to the transferee account as specified in the transfer.  
(b) A TR NOX Annual allowance transfer to or from a compliance account that is submitted for recordation after the allowance transfer deadline for a control period and that includes any TR NOX Annual allowances allocated for any control period before such allowance transfer deadline will not be recorded until after the Administrator completes the deductions from such compliance account under §97.424 for the control period immediately before such allowance transfer deadline.
(c) Where a TR NOX Annual allowance transfer is not correctly submitted under §97.422, the Administrator will not record such transfer.
(d) Within 5 business days of recordation of a TR NOX Annual allowance transfer under paragraphs (a) and (b) of the section, the Administrator will notify the authorized account representatives of both the transferor and transferee accounts.
(e) Within 10 business days of receipt of a TR NOX Annual allowance transfer that is not correctly submitted under §97.422, the Administrator will notify the 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.
§ 97.424  Compliance with TR NOX Annual emissions limitation.
(a) Availability for deduction for compliance.  TR NOX Annual allowances are available to be deducted for compliance with a source's TR NOX Annual emissions limitation for a control period in a given year only if the TR NOX Annual allowances:
(1) Were allocated for such control period or a control period in a prior year; and
(2) Are held in the source's compliance account as of the allowance transfer deadline for such control period.   
(b) Deductions for compliance.  After the recordation, in accordance with §97.423, of TR NOX Annual allowance transfers submitted by the allowance transfer deadline for a control period in a given year, the Administrator will deduct from each source's compliance account TR NOX Annual allowances available under paragraph (a) of this section in order to determine whether the source meets the TR NOX Annual emissions limitation for such control period, as follows:
(1) Until the amount of TR NOX Annual allowances deducted equals the number of tons of total NOX emissions from all TR NOX Annual units at the source for such control period; or
(2) If there are insufficient TR NOX Annual allowances to complete the deductions in paragraph (b)(1) of this section, until no more TR NOX Annual allowances available under paragraph (a) of this section remain in the compliance account.
(c)(1) Identification of TR NOX Annual allowances by serial number.  The authorized account representative for a source's compliance account may request that specific TR NOX Annual allowances, identified by serial number, in the compliance account be deducted for emissions or excess emissions for a control period in a given year in accordance with paragraph (b) or (d) of this section.  In order to be complete, such request shall be submitted to the Administrator by the allowance transfer deadline for such control period and include, in a format prescribed by the Administrator, the identification of the TR NOX Annual source and the appropriate serial numbers.
(2) First-in, first-out.  The Administrator will deduct TR NOX Annual allowances under paragraph (b) or (d) of this section from the source's compliance account in accordance with a complete request under paragraph (c)(1) of this section or, in the absence of such request or in the case of identification of an insufficient amount of TR NOX Annual allowances in such request, on a first-in, first-out accounting basis in the following order:
(i) Any TR NOX Annual allowances that were allocated to the units at the source and not transferred out of the compliance account, in the order of recordation; and then
(ii) Any TR NOX Annual allowances that were allocated to any unit and transferred to and recorded in the compliance account pursuant to this subpart, in the order of recordation.
(d) Deductions for excess emissions.  After making the deductions for compliance under paragraph (b) of this section for a control period in a year in which the TR NOX Annual source has excess emissions, the Administrator will deduct from the source's compliance account an amount of TR NOX Annual allowances, allocated for a control period in a prior year or the control period in the year of the excess emissions or in the immediately following year, equal to two times the number of tons of the source's excess emissions.
(e) Recordation of deductions.  The Administrator will record in the appropriate compliance account all deductions from such an account under paragraphs (b) and (d) of this section.
§ 97.425  Compliance with TR NOX Annual assurance provisions.
(a) Availability for deduction.  TR NOX Annual allowances are available to be deducted for compliance with the TR NOX Annual assurance provisions for a control period in a given year by the owners and operators of a group of one or more TR NOX Annual sources and units in a State (and Indian country within the borders of such State) only if the TR NOX Annual allowances: 
(1) Were allocated for a control period in a prior year or the control period in the given year or in the immediately following year; and
(2) Are held in the assurance account, established by the Administrator for such owners and operators of such group of TR NOX Annual sources and units in such State (and Indian country  within the borders of such State) under paragraph (b)(3) of this section, as of the deadline established in paragraph (b)(4) of this section.   
(b) Deductions for compliance.  The Administrator will deduct TR NOX Annual allowances available under paragraph (a) of this section for compliance with the TR NOX Annual assurance provisions for a State for a control period in a given year in accordance with the following procedures:
(1) By June 1, 2013 and June 1 of each year thereafter, the Administrator will:
(i) Calculate, for each State (and Indian country within the borders of such State), the total NOX emissions from all TR NOX Annual units at TR NOX Annual sources in the State (and Indian country within the borders of such State) during the control period in the year before the year of this calculation deadline and the amount, if any, by which such total NOX emissions exceed the State assurance level as described in §97.406(c)(2)(iii); and
(ii) Promulgate a notice of data availability of the results of the calculations required in paragraph (b)(1)(i) of this section, including separate calculations of the NOX emissions from each TR NOX Annual source.  
(2) For each notice of data availability required in paragraph (b)(1)(ii) of this section and for any State (and Indian country  within the borders of such State) identified in such notice as having TR NOX Annual units with total NOX emissions exceeding the State assurance level for a control period in a given year, as described in §97.406(c)(2)(iii):
(i) By July 1 immediately after the promulgation of such notice, the designated representative of each TR NOX Annual source in each such State (and Indian country within the borders of such State) shall submit a statement, in a format prescribed by the Administrator, providing for each TR NOX Annual unit (if any) at the source that operates during, but is not allocated an amount of TR NOX Annual allowances for, such control period, the unit's allowable NOX emission rate for such control period and, if such rate is expressed in lb per mmBtu, the unit's heat rate.  
(ii) By August 1 immediately after the promulgation of such notice, the Administrator will calculate, for each such State (and Indian country within the borders of such State) and such control period and each common designated representative for such control period for a group of one or more TR NOX Annual sources and units in the State (and Indian country within the borders of such State), the common designated representative's share of the total NOX emissions from all TR NOX Annual units at TR NOX Annual sources in the State (and Indian country within the borders of such State), the common designated representative's assurance level, and the amount (if any) of TR NOX Annual allowances that the owners and operators of such group of sources and units must hold in accordance with the calculation formula in §97.406(c)(2)(i) and will promulgate a notice of data availability of the results of these calculations.     
(iii) The Administrator will provide an opportunity for submission of objections to the calculations referenced by the notice of data availability required in paragraph (b)(2)(ii) of this section and the calculations referenced by the relevant notice of data availability required in paragraph (b)(1)(i) of this section.  
(A) Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations referenced in the relevant notice required under paragraph (b)(1)(ii) of this section and referenced in the notice required under paragraph (b)(2)(ii) of this section are in accordance with §97.406(c)(2)(iii), §§97.406(b) and 97.430 through 97.435, the definitions of "common designated representative", "common designated representative's assurance level", and "common designated representative's share" in §97.402, and the calculation formula in §97.406(c)(2)(i).
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(iii)(A) of this section.  By October 1 immediately after the promulgation of such notice, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iii)(A) of this section.
(3) For any State (and Indian country within the borders of such State) referenced in each notice of data availability required in paragraph (b)(2)(iii)(B) of this section as having TR NOX Annual units with total NOX emissions exceeding the State assurance level for a control period in a given year, the Administrator will establish one assurance account for each set of owners and operators referenced, in the notice of data availability required under paragraph (b)(2)(iii)(B) of this section, as all of the owners and operators of a group of TR NOX Annual sources and units in the State (and Indian country within the borders of such State) having a common designated representative for such control period and as being required to hold TR NOX Annual allowances.     
(4)(i) As of midnight of November 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section, the owners and operators described in paragraph (b)(3) of this section shall hold in the assurance account established for the them and for the appropriate TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section a total amount of TR NOX Annual allowances, available for deduction under paragraph (a) of this section, equal to the amount such owners and operators are required to hold with regard to such sources, units and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in such notice.  
(ii) Notwithstanding the allowance-holding deadline specified in paragraph (b)(4)(i) of this section, if November 1 is not a business day, then such allowance-holding deadline shall be midnight of the first business day thereafter.
(5) After November 1 (or the date described in paragraph (b)(4)(ii) of this section) immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section and after the recordation, in accordance with §97.423, of TR NOX Annual allowance transfers submitted by midnight of such date, the Administrator will determine whether the owners and operators described in paragraph (b)(3) of this section hold, in the assurance account for the appropriate TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) established under paragraph (b)(3) of this section, the amount of TR NOX Annual allowances available under paragraph (a) of this section that the owners and operators are required to hold with regard to such sources, units, and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in the notice required in paragraph (b)(2)(iii)(B) of this section.
(6) Notwithstanding any other provision of this subpart and any revision, made by or submitted to the Administrator after the promulgation of the notice of data availability required in paragraph (b)(2)(iii)(B) of this section for a control period in a given year, of any data used in making the calculations referenced in such notice, the amounts of TR NOX Annual allowances that the owners and operators are required to hold in accordance with §97.406(c)(2)(i) for such control period shall continue to be such amounts as calculated by the Administrator and referenced in such notice required in paragraph (b)(2)(iii)(B) of this section, except as follows:
(i) If any such data are revised by the Administrator as a result of a decision in or settlement of litigation concerning such data on appeal under part 78 of this chapter of such notice, or on appeal under section 307 of the Clean Air Act of a decision rendered under part 78 of this chapter on appeal of such notice, then the Administrator will use the data as so revised to recalculate the amounts of TR NOX Annual allowances that owners and operators are required to hold in accordance with the calculation formula in §97.406(c)(2)(i) for such control period with regard to the TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) involved, provided that such litigation under part 78 of this chapter, or the proceeding under part 78 of this chapter that resulted in the decision appealed in such litigation under section 307 of the Clean Air Act, was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section.
(ii) If any such data are revised by the owners and operators of a TR NOX Annual source and TR NOX Annual unit whose designated representative submitted such data under paragraph (b)(2)(i) of this section, as a result of a decision in or settlement of litigation concerning such submission, then the Administrator will use the data as so revised to recalculate the amounts of TR NOX Annual allowances that owners and operators are required to hold in accordance with the calculation formula in §97.406(c)(2)(i) for such control period with regard to the TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) involved, provided that such litigation was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section.
(iii) If the revised data are used to recalculate, in accordance with paragraphs (b)(6)(i) and (ii) of this section, the amount of TR NOX Annual allowances that the owners and operators are required to hold for such control period with regard to the TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) involved --  
(A) Where the amount of TR NOX Annual allowances that the owners and operators are required to hold increases as a result of the use of all such revised data, the Administrator will establish a new, reasonable deadline on which the owners and operators shall hold the additional amount of TR NOX Annual allowances in the assurance account established by the Administrator for the appropriate TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section.  The owners' and operators' failure to hold such additional amount, as required, before the new deadline shall not be a violation of the Clean Air Act.  The owners' and operators' failure to hold such additional amount, as required, as of the new deadline shall be a violation of the Clean Air Act.  Each TR NOX Annual allowance that the owners and operators fail to hold as required as of the new deadline, and each day in such control period, shall be a separate violation of the Clean Air Act.  
(B) For the owners and operators for which the amount of TR NOX Annual allowances required to be held decreases as a result of the use of all such revised data, the Administrator will record, in all accounts from which TR NOX Annual allowances were transferred by such owners and operators for such control period to the assurance account established by the Administrator for the appropriate at TR NOX Annual sources, TR NOX Annual units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, a total amount of the TR NOX Annual allowances held in such assurance account equal to the amount of the decrease.  If TR NOX Annual allowances were transferred to such assurance account from more than one account, the amount of TR NOX Annual allowances recorded in each such transferor account will be in proportion to the percentage of the total amount of TR NOX Annual allowances transferred to such assurance account for such control period from such transferor account.  
(C) Each TR NOX Annual allowance held under paragraph (b)(6)(iii)(A) of this section as a result of recalculation of requirements under the TR NOX Annual assurance provisions for such control period must be a TR NOX Annual allowance allocated for a control period in a year before or the year immediately following, or in the same year as, the year of such control period.      
§ 97.426  Banking.
(a) A TR NOX Annual allowance may be banked for future use or transfer in a compliance account or a general account in accordance with paragraph (b) of this section.
(b) Any TR NOX Annual allowance that is held in a compliance account or a general account will remain in such account unless and until the TR NOX Annual allowance is deducted or transferred under §97.411(c), §97.423, §97.424, §97.425,  97.427, or 97.428.
§ 97.427  Account error.
The Administrator may, at his or her sole discretion and on his or her own motion, correct any error in any Allowance Management System account.  Within 10 business days of making such correction, the Administrator will notify the authorized account representative for the account.
§ 97.428  Administrator's action on submissions.
(a) The Administrator may review and conduct independent audits concerning any submission under the TR NOX Annual Trading Program and make appropriate adjustments of the information in the submission.
(b) The Administrator may deduct TR NOX Annual allowances from or transfer TR NOX Annual allowances to a compliance account or an assurance account, based on the information in a submission, as adjusted under paragraph (a)(1) of this section, and record such deductions and transfers.
§ 97.429  [RESERVED]
§ 97.430  General monitoring, recordkeeping, and reporting requirements.
The owners and operators, and to the extent applicable, the designated representative, of a TR NOX Annual unit, shall comply with the monitoring, recordkeeping, and reporting requirements as provided in this subpart and subpart H of part 75 of this chapter.  For purposes of applying such requirements, the definitions in §97.402 and in §72.2 of this chapter shall apply, 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 "TR NOX Annual unit," "designated representative," and "continuous emission monitoring system" (or "CEMS") respectively as defined in §97.402, and the term "newly affected unit" shall be deemed to mean "newly affected TR NOX Annual unit".  The owner or operator of a unit that is not a TR NOX Annual unit but that is monitored under §75.72(b)(2)(ii) of this chapter shall comply with the same monitoring, recordkeeping, and reporting requirements as a TR NOX Annual unit.
(a) Requirements for installation, certification, and data accounting.  The owner or operator of each TR NOX Annual unit shall:
(1) Install all monitoring systems required under this subpart for monitoring NOX mass emissions and individual unit heat input (including all systems required to monitor NOX emission rate, NOX concentration, stack gas moisture content, stack gas flow rate, CO2 or O2 concentration, and fuel flow rate, as applicable, in accordance with §§75.71 and 75.72 of this chapter);
(2) Successfully complete all certification tests required under §97.431 and meet all other requirements of this subpart and part 75 of this chapter applicable to the monitoring systems under paragraph (a)(1) of this section; and
(3) Record, report, and quality-assure the data from the monitoring systems under paragraph (a)(1) of this section.
(b) Compliance deadlines.  Except as provided in paragraph (e) of this section, the owner or operator shall meet the monitoring system certification and other requirements of paragraphs (a)(1) and (2) of this section on or before the following dates and shall record, report, and quality-assure the data from the monitoring systems under paragraph (a)(1) of this section on and after the following dates.
(1) For the owner or operator of a TR NOX Annual unit that commences commercial operation before July 1, 2011, January 1, 2012; 
(2) For the owner or operator of a TR NOX Annual unit that commences commercial operation on or after July 1, 2011, the later of the following:
(i) January 1, 2012; or
(ii) 180 calendar days after the date on which the unit commences commercial operation; 
(3) The owner or operator of a TR NOX Annual unit for which construction of a new stack or flue or installation of add-on NOX emission controls is completed after the applicable deadline under paragraph (b)(1) or (2) of this section shall meet the requirements of §§75.4(e)(1) through (e)(4) of this chapter, except that:
(i) Such requirements shall apply to the monitoring systems required under §97.430 through §97.435, rather than the monitoring systems required under part 75 of this chapter;
(ii) NOX emission rate, NOX concentration, stack gas moisture content, stack gas volumetric flow rate, and O2 or CO2 concentration data shall be determined and reported, rather than the data listed in §75.4(e)(2) of this chapter; and
(iii) Any petition for another procedure under §75.4(e)(2) of this chapter shall be submitted under §97.435, rather than §75.66.
(c) Reporting data.  The owner or operator of a TR NOX Annual unit that does not meet the applicable compliance date set forth in paragraph (b) of this section for any monitoring system under paragraph (a)(1) of this section shall, for each such monitoring system, determine, record, and report maximum potential (or, as appropriate, minimum potential) values for NOX concentration, NOX emission rate, stack gas flow rate, stack gas moisture content, fuel flow rate, and any other parameters required to determine NOX mass emissions and heat input in accordance with §75.31(b)(2) or (c)(3) of this chapter, section 2.4 of appendix D to part 75 of this chapter, or section 2.5 of appendix E to part 75 of this chapter, as applicable.
(d) Prohibitions.  (1) No owner or operator of a TR NOX Annual unit shall use any alternative monitoring system, alternative reference method, or any other alternative to any requirement of this subpart without having obtained prior written approval in accordance with §97.435.
(2) No owner or operator of a TR NOX Annual unit shall operate the unit so as to discharge, or allow to be discharged, NOX to the atmosphere without accounting for all such NOX in accordance with the applicable provisions of this subpart and part 75 of this chapter.
(3) No owner or operator of a TR NOX Annual 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 discharged into the atmosphere or heat input, except for periods of recertification or periods when calibration, quality assurance testing, or maintenance is performed in accordance with the applicable provisions of this subpart and part 75 of this chapter.
(4) No owner or operator of a TR NOX Annual unit shall retire or permanently discontinue use of the continuous emission monitoring system, any component thereof, or any other approved monitoring system under this subpart, except under any one of the following circumstances:
(i) During the period that the unit is covered by an exemption under §97.405 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 Administrator 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 designated representative submits notification of the date of certification testing of a replacement monitoring system for the retired or discontinued monitoring system in accordance with §97.431(d)(3)(i).
(e) Long-term cold storage.  The owner or operator of a TR NOX Annual unit is subject to the applicable provisions of §75.4(d) of this chapter concerning units in long-term cold storage.
§ 97.431  Initial monitoring system certification and recertification procedures.
(a) The owner or operator of a TR NOX Annual unit shall be exempt from the initial certification requirements of this section for a monitoring system under §97.430(a)(1) if the following conditions are met:
(1) The monitoring system has been previously certified in accordance with part 75 of this chapter; and
(2) The applicable quality-assurance and quality-control requirements of §75.21 of this chapter and appendices B, D, and E to part 75 of this chapter are fully met for the certified monitoring system described in paragraph (a)(1) of this section.
(b) The recertification provisions of this section shall apply to a monitoring system under §97.430(a)(1) that is exempt from initial certification requirements under paragraph (a) of this section.
(c) If the Administrator has previously 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 §75.12 or §75.17 of this chapter, the designated representative shall resubmit the petition to the Administrator under §97.435 to determine whether the approval applies under the TR NOX Annual Trading Program.
(d) Except as provided in paragraph (a) of this section, the owner or operator of a TR NOX Annual unit shall comply with the following initial certification and recertification procedures for a continuous monitoring system (i.e., a continuous emission monitoring system and an excepted monitoring system under appendices D and E to part 75 of this chapter) under §97.430(a)(1).  The owner or operator of 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 procedures in paragraph (e) or (f) of this section respectively.
(1) Requirements for initial certification.  The owner or operator shall ensure that each continuous monitoring system under §97.430(a)(1) (including 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 §97.430(b).  In addition, whenever the owner or operator installs a monitoring system to meet the requirements of this subpart in a location where no such monitoring system was previously installed, initial certification in accordance with §75.20 of this chapter is required.
(2) Requirements for recertification.  Whenever the owner or operator makes a replacement, modification, or change in any certified continuous emission monitoring system under §97.430(a)(1) that may significantly affect the ability of the system to accurately measure or record NOX mass emissions or heat input rate or to meet the quality-assurance and quality-control requirements of §75.21 of this chapter or appendix B to part 75 of this chapter, the owner or operator shall recertify the monitoring system in accordance with §75.20(b) of this chapter. Furthermore, whenever the owner or operator makes a replacement, modification, or change to the flue gas handling system or the unit's operation that may significantly change the stack flow or concentration profile, the owner or operator shall recertify each continuous emission monitoring system whose accuracy is potentially affected by the change, in accordance with §75.20(b) of this chapter.  Examples of changes to a continuous emission monitoring system that require recertification include replacement of the analyzer, complete replacement of an existing continuous emission monitoring system, or change in location or orientation of the sampling probe or site.  Any fuel flowmeter system, and any excepted NOX monitoring system under appendix E to part 75 of this chapter, under §97.430(a)(1) are subject to the recertification requirements in §75.20(g)(6) of this chapter.
(3) Approval process for initial certification and recertification.  For initial certification of a continuous monitoring system under §97.430(a)(1), paragraphs (d)(3)(i) through (v) of this section apply.  For recertifications of such monitoring systems, paragraphs (d)(3)(i) through (iv) of this section and the procedures in §§75.20(b)(5) and (g)(7) of this chapter (in lieu of the procedures in paragraph (d)(3)(v) of this section) apply, provided that in applying paragraphs (d)(3)(i) through (iv) of this section, the words "certification" and "initial certification" are replaced by the word "recertification" and the word "certified" is replaced by with the word "recertified".  
(i) Notification of certification.  The designated representative shall submit to the appropriate EPA Regional Office and the Administrator written notice of the dates of certification testing, in accordance with §97.433.
(ii) Certification application.  The designated representative shall submit to the Administrator a certification application for each monitoring system. A complete certification application shall include the information specified in §75.63 of this chapter.
(iii) Provisional certification date.  The provisional certification date for a monitoring system shall be determined in accordance with §75.20(a)(3) of this chapter.  A provisionally certified monitoring system may be used under the TR NOX Annual 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 (d)(3)(ii) of this section.  Data measured and recorded by the provisionally certified monitoring system, in accordance with the requirements of part 75 of this chapter, will be considered valid quality-assured data (retroactive to the date and time of provisional certification), provided that the Administrator does not invalidate the provisional certification by issuing a notice of disapproval within 120 days of the date of receipt of the complete certification application by the Administrator.
(iv) Certification application 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 (d)(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 TR NOX Annual Trading Program.
(A) Approval notice.  If the certification application is complete and shows that each monitoring system meets the applicable performance requirements of part 75 of this chapter, then the Administrator will issue a written notice of approval of the certification application within 120 days of receipt.
(B) Incomplete application notice.  If the certification application is not complete, then the Administrator will issue a written notice of incompleteness that sets a reasonable date by which the designated representative must submit the additional information required to complete the certification application.  If the designated representative does not comply with the notice of incompleteness by the specified date, then the Administrator may issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this section.  
(C) Disapproval notice.  If the certification application shows that any monitoring system does not meet the performance requirements of part 75 of this chapter or if the certification application is incomplete and the requirement for disapproval under paragraph (d)(3)(iv)(B) of this section is met, then the 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). 
(D) Audit decertification.  The Administrator may issue a notice of disapproval of the certification status of a monitor in accordance with §97.432(b).
(v) Procedures for loss of certification.  If the Administrator issues a notice of disapproval of a certification application under paragraph (d)(3)(iv)(C) of this section or a notice of disapproval of certification status under paragraph (d)(3)(iv)(D) of this section, then:
(A) The owner or operator shall substitute the following values, for each disapproved monitoring system, for each hour of unit operation during the period of invalid data specified under §75.20(a)(4)(iii), §75.20(g)(7), or §75.21(e) of this chapter and continuing until the applicable date and hour specified under §75.20(a)(5)(i) or (g)(7) of this chapter:
(1) For a disapproved NOX emission rate (i.e., NOX-diluent) system, the maximum potential NOX emission rate, as defined in §72.2 of this chapter.
(2) For a disapproved NOX pollutant concentration monitor and disapproved flow monitor, respectively, the maximum potential concentration of NOX and the maximum potential flow rate, as defined in sections 2.1.2.1 and 2.1.4.1 of appendix A to part 75 of this chapter.
(3) For a disapproved moisture monitoring system and disapproved diluent gas monitoring system, respectively, the minimum potential moisture percentage and either the maximum potential CO2 concentration or the minimum potential O2 concentration (as applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of appendix A to part 75 of this chapter.
(4) For a disapproved fuel flowmeter system, the maximum potential fuel flow rate, as defined in section 2.4.2.1 of appendix D to part 75 of this chapter.
(5) For a disapproved excepted NOX monitoring system under appendix E to part 75 of this chapter, the fuel-specific maximum potential NOX emission rate, as defined in §72.2 of this chapter.
(B) The designated representative shall submit a notification of certification retest dates and a new certification application in accordance with paragraphs (d)(3)(i) and (ii) of this section.
(C) The owner or operator shall repeat all certification tests or other requirements that were failed by the monitoring system, as indicated in the Administrator's notice of disapproval, no later than 30 unit operating days after the date of issuance of the notice of disapproval.
(e) The owner or operator of a unit qualified to use the low mass emissions (LME) excepted methodology under §75.19 of this chapter shall meet the applicable certification and recertification requirements in §§75.19(a)(2) and 75.20(h) of this chapter. If the owner or operator of such a unit elects to certify a fuel flowmeter system for heat input determination, the owner or operator shall also meet the certification and recertification requirements in §75.20(g) of this chapter.
(f) The designated representative of each unit 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 notification and application procedures of §75.20(f) of this chapter.
§ 97.432  Monitoring system out-of-control periods.
(a) General provisions.  Whenever any monitoring system fails to meet the quality-assurance and quality-control requirements or data validation requirements of part 75 of this chapter, data shall be substituted using the applicable missing data procedures in subpart D or subpart H of, or appendix D or appendix E to, part 75 of this chapter.
(b) Audit decertification.  Whenever both an audit of a monitoring system and a review of the initial certification or recertification application reveal that any monitoring system should not have been certified or recertified because it did not meet a particular performance specification or other requirement under §97.431 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 monitoring system. For the purposes of this paragraph, an audit shall be either a field audit or an audit of any information submitted to the Administrator or any State or permitting authority. By issuing the notice of disapproval, the Administrator revokes prospectively the certification status of the monitoring system.  The data measured and recorded by the monitoring system shall not be considered valid quality-assured data from the date of issuance of the notification of the revoked certification status until the date and time that the owner or operator completes subsequently approved initial certification or recertification tests for the monitoring system.  The owner or operator shall follow the applicable initial certification or recertification procedures in §97.431 for each disapproved monitoring system.
§ 97.433  Notifications concerning monitoring.
The designated representative of a TR NOX Annual unit shall submit written notice to the Administrator in accordance with §75.61 of this chapter.
§ 97.434  Recordkeeping and reporting.
(a) General provisions.  The designated representative shall comply with all recordkeeping and reporting requirements in paragraphs (b) through (e) of this section, the applicable recordkeeping and reporting requirements under §75.73 of this chapter, and the requirements of §97.414(a).
(b) Monitoring plans.  The owner or operator of a TR NOX Annual unit shall comply with requirements of §75.73(c) and (e) of this chapter.
(c) Certification applications.  The designated representative shall submit an application to the Administrator within 45 days after completing all initial certification or recertification tests required under §97.431, including the information required under §75.63 of this chapter.
(d) Quarterly reports.  The designated representative shall submit quarterly reports, as follows:
(1) The designated representative shall report the NOX mass emissions data and heat input data for the TR NOX Annual unit, in an electronic quarterly report in a format prescribed by the Administrator, for each calendar quarter beginning with:
(i) For a unit that commences commercial operation before July 1, 2011, the calendar quarter covering January 1, 2012 through March 31, 2012; or
(ii) For a unit that commences commercial operation on or after July 1, 2011, the calendar quarter corresponding to the earlier of the date of provisional certification or the applicable deadline for initial certification under §97.430(b), unless that quarter is the third or fourth quarter of 2011, in which case reporting shall commence in the quarter covering January 1, 2012 through March 31, 2012.
(2) The designated representative shall submit each quarterly report to the Administrator within 30 days after the end of the calendar quarter covered by the report. Quarterly reports shall be submitted in the manner specified in §75.73(f) of this chapter.
(3) For TR NOX Annual units that are also subject to the Acid Rain Program, TR NOX Ozone Season Trading Program, TR SO2 Group 1 Trading Program, or TR SO2 Group 2 Trading Program, quarterly reports shall include the applicable data and information required by subparts F through H of part 75 of this chapter as applicable, in addition to the NOX mass emission data, heat input data, and other information required by this subpart.
(4) The Administrator may review and conduct independent audits of any quarterly report in order to determine whether the quarterly report meets the requirements of this subpart and part 75 of this chapter, including the requirement to use substitute data.  
(i) The Administrator will notify the designated representative of any determination that the quarterly report fails to meet any such requirements and specify in such notification any corrections that the Administrator believes are necessary to make through resubmission of the quarterly report and a reasonable time period within which the designated representative must respond.  Upon request by the designated representative, the Administrator may specify reasonable extensions of such time period.  Within the time period (including any such extensions) specified by the Administrator, the designated representative shall resubmit the quarterly report with the corrections specified by the Administrator, except to the extent the designated representative provides information demonstrating that a specified correction is not necessary because the quarterly report already meets the requirements of this subpart and part 75 of this chapter that are relevant to the specified correction.
(ii) Any resubmission of a quarterly report shall meet the requirements applicable to the submission of a quarterly report under this subpart and part 75 of this chapter, except for the deadline set forth in paragraph (d)(2) of this section.
(e) Compliance certification.  The designated representative shall submit to the Administrator a compliance certification (in a format prescribed by the Administrator) in support of each quarterly report based on reasonable inquiry of those persons with primary responsibility for ensuring that all of the unit's emissions are correctly and fully monitored. The certification shall state that:
(1) The monitoring data submitted were recorded in accordance with the applicable requirements of this subpart and part 75 of this chapter, including the quality assurance procedures and specifications; and
(2) For a unit with add-on NOX emission controls and for all hours where NOX data are substituted in accordance with §75.34(a)(1) of this chapter, the add-on emission controls were operating within the range of parameters listed in the quality assurance/quality control program under appendix B to part 75 of this chapter and the substitute data values do not systematically underestimate NOX emissions.
§ 97.435  Petitions for alternatives to monitoring, recordkeeping, or reporting requirements.
(a) The designated representative of a TR NOX Annual unit may submit a petition under §75.66 of this chapter to the Administrator, requesting approval to apply an alternative to any requirement of §§97.430 through 97.434.  
(b) A petition submitted under paragraph (a) of this section shall include sufficient information for the evaluation of the petition, including, at a minimum, the following information:
(i) Identification of each unit and source covered by the petition;
(ii) A detailed explanation of why the proposed alternative is being suggested in lieu of the requirement;
(iii) A description and diagram of any equipment and procedures used in the proposed alternative;
(iv) A demonstration that the proposed alternative is consistent with the purposes of the requirement for which the alternative is proposed and with the purposes of this subpart and part 75 of this chapter and that any adverse effect of approving the alternative will be de minimis; and
(v) Any other relevant information that the Administrator may require.  
(c) Use of an alternative to any requirement referenced in paragraph (a) of this section is in accordance with this subpart only to the extent that the petition is approved in writing by the Administrator and that such use is in accordance with such approval.
75. Part 97 is amended by adding subpart BBBBB to read as follows:
Subpart BBBBB -- TR NOX Ozone Season Trading Program                         
97.501  Purpose.
97.502  Definitions.
97.503  Measurements, abbreviations, and acronyms.
97.504  Applicability.
97.505  Retired unit exemption.
97.506  Standard requirements.
97.507  Computation of time.
97.508  Administrative appeal procedures.
97.509  [Reserved]
97.510  State NOX Ozone Season trading budgets, new unit set-            asides, Indian country new unit set-asides and variability limits.
97.511  Timing requirements for TR NOX Ozone Season allowance allocations.
97.512  TR NOX Ozone Season allowance allocations to new units.
97.513  Authorization of designated representative and alternate designated representative.
97.514  Responsibilities of designated representative and alternate designated representative.
97.515  Changing designated representative and alternate designated representative; changes in owners and operators.
97.516  Certificate of representation.
97.517  Objections concerning designated representative and alternate designated representative.
97.518  Delegation by designated representative and alternate designated representative.
97.519  [Reserved] 
97.520  Establishment of compliance accounts and general accounts.
97.521  Recordation of TR NOX Ozone Season allowance allocations.
97.522  Submission of TR NOX Ozone Season allowance transfers.
97.523  Recordation of TR NOX Ozone Season allowance transfers.
97.524  Compliance with TR NOX Ozone Season emissions limitation.
97.525  Compliance with TR NOX Ozone Season assurance provisions.
97.526  Banking.
97.527  Account error.
97.528  Administrator's action on submissions.
97.529  [RESERVED]
97.530  General monitoring, recordkeeping, and reporting requirements.
97.531  Initial monitoring system certification and recertification procedures.
97.532  Monitoring system out-of-control periods.
97.533  Notifications concerning monitoring.
97.534  Recordkeeping and reporting.
97.535  Petitions for alternatives to monitoring, recordkeeping, or reporting requirements.
Subpart BBBBB -- TR NOX Ozone Season Trading Program                         
§ 97.501  Purpose.
This subpart sets forth the general, designated representative, allowance, and monitoring provisions for the Transport Rule (TR) NOX Ozone Season Trading Program, under section 110 of the Clean Air Act and §52.38 of this chapter, as a means of mitigating interstate transport of ozone and nitrogen oxides.
§ 97.502  Definitions.
The terms used in this subpart shall have the meanings set forth in this section as follows:
Acid Rain Program means a multi-state SO2 and NOX air pollution control and emission reduction program established by the Administrator under title IV of the Clean Air Act and parts 72 through 78 of this chapter.
Administrator means the Administrator of the United States Environmental Protection Agency or the Director of the Clean Air Markets Division (or its successor determined by the Administrator) of the United States Environmental Protection Agency, the Administrator's duly authorized representative under this subpart.
Allocate or allocation means, with regard to TR NOX Ozone Season allowances, the determination by the Administrator, State, or permitting authority, in accordance with this subpart and any SIP revision submitted by the State and approved by the Administrator under §52.38(b)(3), (4), or (5) of this chapter, of the amount of such TR NOX Ozone Season allowances to be initially credited, at no cost to the recipient, to:
(1) A TR NOX Ozone Season unit;
(2) A new unit set-aside;
(3) An Indian country new unit set-aside; or
(4) An entity not listed in paragraphs (1) through (3) of this definition;
(5) Provided that, if the Administrator, State, or permitting authority initially credits, to a TR NOX Ozone Season unit qualifying for an initial credit, a credit in the amount of zero TR NOX Ozone Season allowances, the TR NOX Ozone Season unit will be treated as being allocated an amount (i.e., zero) of TR NOX Ozone Season allowances.   
Allowable NOX emission rate means, for a unit, the most stringent State or federal NOX emission rate limit (in lb/MWhr or, if in lb/mmBtu, converted to lb/MWhr by multiplying it by the unit's heat rate in mmBtu/MWhr) that is applicable to the unit and covers the longest averaging period not exceeding one year.  
Allowance Management System means the system by which the Administrator records allocations, deductions, and transfers of TR NOX Ozone Season allowances under the TR NOX Ozone Season Trading Program.  Such allowances are allocated, recorded, held, deducted, or transferred only as whole allowances.  
Allowance Management System account means an account in the Allowance Management System established by the Administrator for purposes of recording the allocation, holding, transfer, or deduction of TR NOX Ozone Season allowances.
Allowance transfer deadline means, for a control period in a given year, midnight of December 1 (if it is a business day), or midnight of the first business day thereafter (if December 1 is not a business day), immediately after such control period and is the deadline by which a TR NOX Ozone Season allowance transfer must be submitted for recordation in a TR NOX Ozone Season source's compliance account in order to be available for use in complying with the source's TR NOX  Ozone Season emissions limitation for such control period in accordance with §§97.506 and 97.524.
Alternate designated representative means, for a TR NOX Ozone Season source and each TR NOX Ozone Season unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with this subpart, to act on behalf of the designated representative in matters pertaining to the TR NOX Ozone Season Trading Program.  If the TR NOX Ozone Season source is also subject to the Acid Rain Program, TR NOX Annual Trading Program, TR SO2 Group 1 Trading Program, or TR SO2 Group 2 Trading Program, then this natural person shall be the same natural person as the alternate designated representative, as defined in the respective program. 
Assurance account means an Allowance Management System account, established by the Administrator under §97.525(b)(3) for certain owners and operators of a group of one or more TR NOX Ozone Season sources and  units in a given State (and Indian country  within the borders of such State), in which are held TR NOX Ozone Season allowances available for use for a control period in a given year in complying with the TR NOX Ozone Season assurance provisions in accordance with §§97.506 and 97.525. 
Authorized account representative means, for a general account, the natural person who is authorized, in accordance with this subpart, to transfer and otherwise dispose of TR NOX Ozone Season allowances held in the general account and, for a TR NOX Ozone Season source's compliance account, the designated representative of the source.
Automated data acquisition and handling system or DAHS means the component of the continuous emission monitoring system, or other emissions monitoring system approved for use under this subpart, 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 this subpart. 
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 material that is nonmerchantable for other purposes, 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 unit means a unit in which the energy input to the unit is first used to produce useful thermal energy, where at least some of the reject heat from the useful thermal energy application or process is then used for electricity production.
Business day means a day that does not fall on a weekend or a federal holiday.
Certifying official means a natural person who is:
(1) For a corporation, a president, secretary, treasurer, or vice-president of 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 means the Clean Air Act, 42 U.S.C. 7401, et seq. 
Coal means "coal" as defined in §72.2 of this chapter.
Coal-derived fuel means any fuel (whether in a solid, liquid, or gaseous state) produced by the mechanical, thermal, or chemical processing of coal.
Cogeneration system means an integrated group, at a source, of equipment (including a boiler, or combustion turbine, and a steam turbine generator) designed to produce useful thermal energy for industrial, commercial, heating, or cooling purposes and electricity through the sequential use of energy. 
Cogeneration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a topping-cycle unit or a bottoming-cycle unit:
(1) Operating as part of a cogeneration system; and
(2) Producing on an annual average basis -- 
(i) For a topping-cycle 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 than 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 unit, useful power not less than 45 percent of total energy input;
(3) Provided that the requirements in paragraph (2) of this definition shall not apply to a calendar year referenced in paragraph (2) of this definition during which the unit did not operate at all;
(4) 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; and
(5) Provided that, if, throughout its operation during the 12-month period or a calendar year referenced in paragraph (2) of this definition, a unit is operated as part of a cogeneration system and the cogeneration system meets on a system-wide basis the requirement in paragraph (2)(i)(B) or (2)(ii) of this definition, the unit shall be deemed to meet such requirement during that 12-month period or calendar year. 
Combustion turbine means an enclosed device comprising:
(1) If the device is simple cycle, 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 device is combined cycle, the equipment described in paragraph (1) of this definition and 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 §97.505.
(i) For a unit that is a TR NOX Ozone Season unit under §97.504 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that subsequently undergoes a physical change or is moved to a new location or 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 TR NOX Ozone Season unit under §97.504 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that is subsequently replaced by a unit at the same or a different source, 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 §97.505, for a unit that is not a TR NOX Ozone Season unit under §97.504 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in introductory text of paragraph (1) of this definition, the unit's date for commencement of commercial operation shall be the date on which the unit becomes a TR NOX Ozone Season unit under §97.504.
(i) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that subsequently undergoes a physical change or is moved to a different location or 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 the introductory text of paragraph (2) of this definition and that is subsequently replaced by a unit at the same or a different source, 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.
Common designated representative means, with regard to a control period in a given year, a designated representative where, as of April 1 immediately after the allowance transfer deadline for such control period, the same natural person is authorized under §§97.513(a) and 97.515(a) as the designated representative for a group of one or more TR NOX Ozone Season sources and units located in a State (and Indian country within the borders of such State).
Common designated representative's assurance level means, with regard to a specific common designated representative and a State (and Indian country within the borders of such State) and control period in a given year for which the State assurance level is exceeded as described in §97.506(c)(2)(iii), the common designated representative's share of the State NOX Ozone Season trading budget with the variability limit for the State for such control period.  
Common designated representative's share means, with regard to a specific common designated representative for a control period in a given year:
(1) With regard to a total amount of NOX emissions from all TR NOX Ozone Season units in a State (and Indian country within the borders of such State) during such control period, the total tonnage of NOX emissions during such control period from a group of one or more TR NOX Ozone Season units located in such State (and such Indian country) and having the common designated representative for such control period; 
(2) With regard to a State NOX Ozone Season trading budget for such control period, the amount (rounded to the nearest allowance) equal to the sum of the total amount of TR NOX Ozone Season allowances allocated for such control period to a group of one or more TR NOX Ozone Season units located in the State (and Indian country within the borders of such State) and having the common designated representative for such control period and of the total amount of TR NOX Ozone Season allowances purchased by an owner or operator of such TR NOX Ozone Season units in an auction for such control period and submitted by the State or the permitting authority to the Administrator for recordation in the compliance accounts for such TR NOX Ozone Season units in accordance with the TR NOX Ozone Season allowance auction provisions in a SIP revision approved by the Administrator under §52.38(b)(4) or (5) of this chapter, multiplied by the sum of the State NOX Ozone Season trading budget under §97.510(a) and the State's variability limit under §97.510(b) for such control period and divided by such State NOX Ozone Season trading budget; 
(3) Provided that, in the case of a unit that operates during, but has no amount of TR NOX Ozone Season allowances allocated under §§97.511 and 97.512 for, such control period, the unit shall be treated, solely for purposes of this definition, as being allocated an amount (rounded to the nearest allowance) of TR NOX Ozone Season allowances for such control period equal to the unit's allowable NOX emission rate applicable to such control period, multiplied by a capacity factor of 0.92 (if the unit is a boiler combusting any amount of coal or coal-derived fuel during such control period), 0.32 (if the unit is a simple combustion turbine during such control period), 0.71 (if the unit is a combined cycle turbine during such control period), 0.73 (if the unit is an integrated coal gasification combined cycle unit during such control period), or 0.44 (for any other unit), multiplied by the unit's maximum hourly load as reported in accordance with this subpart and by 3,672 hours/control period, and divided by 2,000 lb/ton. 
Common stack means a single flue through which emissions from 2 or more units are exhausted.
Compliance account means an Allowance Management System account, established by the Administrator for a TR NOX Ozone Season source under this subpart, in which any TR NOX Ozone Season allowance allocations to the TR NOX Ozone Season units at the source are recorded and in which are held any TR NOX Ozone Season allowances available for use for a control period in a given year in complying with the source's TR NOX Ozone Season emissions limitation in accordance with §§97.506 and 97.524. 
Continuous emission monitoring system or CEMS means the equipment required under this subpart to sample, analyze, measure, and provide, by means of readings recorded at least once every 15 minutes and using an automated data acquisition and handling system (DAHS), a permanent record of NOX emissions, stack gas volumetric flow rate, stack gas moisture content, and O2 or CO2 concentration (as applicable), in a manner consistent with part 75 of this chapter and §§97.530 through 97.535. The following systems are the principal types of continuous emission monitoring systems:
(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 NOX concentration monitoring system, consisting of a NOX pollutant concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of NOX emissions, in parts per million (ppm);
(3) A NOX emission rate (or NOX-diluent) monitoring system, consisting of a NOX pollutant concentration monitor, a diluent gas (CO2 or O2) monitor, and an automated data acquisition and handling system and providing a permanent, continuous record of NOX concentration, in parts per million (ppm), diluent gas concentration, in percent CO2 or O2, and NOX emission rate, in pounds per million British thermal units (lb/mmBtu);
(4) A moisture monitoring system, as defined in §75.11(b)(2) of this chapter and providing a permanent, continuous record of the stack gas moisture content, in percent H2O;
(5) A CO2 monitoring system, consisting of a CO2 pollutant concentration monitor (or an O2 monitor plus suitable mathematical equations from which the CO2 concentration is derived) and an automated data acquisition and handling system and providing a permanent, continuous record of CO2 emissions, in percent CO2; and
(6) An O2 monitoring system, consisting of an O2 concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of O2, in percent O2.
Control period means the period starting May 1 of a calendar year, except as provided in §97.506(c)(3), and ending on September 30 of the same year, inclusive.
Designated representative means, for a TR NOX Ozone Season source and each TR NOX Ozone Season unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with this subpart, to represent and legally bind each owner and operator in matters pertaining to the TR NOX Ozone Season Trading Program.  If the TR NOX Ozone Season source is also subject to the Acid Rain Program, TR NOX Annual Trading Program, TR SO2 Group 1 Trading Program, or TR SO2 Group 2 Trading Program, then this natural person shall be the same natural person as the designated representative, as defined in the respective program. 
Emissions means air pollutants exhausted from a unit or source into the atmosphere, as measured, recorded, and reported to the Administrator by the designated representative, and as modified by the Administrator:
(1) In accordance with this subpart; and
(2) With regard to a period before the unit or source is required to measure, record, and report such air pollutants in accordance with this subpart, in accordance with part 75 of this chapter.
Excess emissions means any ton of emissions from the TR NOX Ozone Season units at a TR NOX Ozone Season source during a control period in a given year that exceeds the TR NOX Ozone Season emissions limitation for the source for such control period.
Fossil fuel means -- 
(1) Natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material; or
(2) For purposes of applying the limitation on "average annual fuel consumption of fossil fuel" in §§97.504(b)(2)(i)(B) and (ii), natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material for the purpose of creating useful heat.
Fossil-fuel-fired means, with regard to a unit, combusting any amount of fossil fuel in 2005 or any calendar year thereafter.
General account means an Allowance Management System account, established under this subpart, that is not a compliance account or an assurance account.
Generator means a device that produces electricity.
Gross electrical output means, for a unit, electricity made available for use, including any such electricity used in the power production process (which process includes, but is not limited to, any on-site processing or treatment of fuel combusted at the unit and any on-site emission controls).
Heat input means, for a unit for a specified period of time, the product (in mmBtu/time) of the gross calorific value of the fuel (in mmBtu/lb) fed into the unit multiplied by the fuel feed rate (in lb of fuel/time), as measured, recorded, and reported to the Administrator by the designated representative and as modified by the Administrator in accordance with this subpart and excluding the heat derived from preheated combustion air, recirculated flue gases, or exhaust.
Heat input rate means, for a unit, the amount of heat input (in mmBtu) divided by unit operating time (in hr) or, for a unit and  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.
Heat rate means, for a unit, the unit's maximum design heat input (in Btu/hr), divided by the product of 1,000,000 Btu/mmBtu and the unit's maximum hourly load.
Indian country means "Indian country" as defined in 18 U.S.C. 1151.
Life-of-the-unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is entitled to receive, a specified amount or percentage of nameplate capacity and associated energy generated by any specified unit and pays its proportional amount of such unit's total costs, pursuant to a contract:
(1) For the life of the unit;
(2) For a cumulative term of no less than 30 years, including contracts that permit an election for early termination; or
(3) For a period no less than 25 years or 70 percent of the economic useful life of the unit determined as of the time the unit is built, with option rights to purchase or release some portion of the nameplate capacity and associated energy generated by the unit at the end of the period.
Maximum design heat input means, for a unit, the maximum amount of fuel per hour (in Btu/hr) that the unit is capable of combusting on a steady state basis as of the initial installation of the unit as specified by the manufacturer of the unit.
Monitoring system means any monitoring system that meets the requirements of this subpart, including a continuous emission monitoring system, an alternative monitoring system, or an excepted monitoring system under part 75 of this chapter.
Nameplate capacity means, starting from the initial installation of a generator, the maximum electrical generating output (in MWe, rounded to the nearest tenth) that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings) as of such installation as specified by the manufacturer of the generator or, starting from the completion of any subsequent physical change in the generator resulting in an increase in the maximum electrical generating output that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings), such increased maximum amount (in MWe, rounded to the nearest tenth) as of such completion as specified by the person conducting the physical change.
Natural gas means "natural gas" as defined in §72.2 of this chapter.
Newly affected TR NOX Ozone Season unit means a unit that was not a TR NOX Ozone Season unit when it began operating but that thereafter becomes a TR NOX Ozone Season unit. 
Operate or operation means, with regard to a unit, to combust fuel.
Operator means, for a TR NOX Ozone Season source or a TR NOX Ozone Season unit at a source respectively, any person who operates, controls, or supervises a TR NOX Ozone Season unit at the source or the TR NOX Ozone Season unit and shall include, but not be limited to, any holding company, utility system, or plant manager of such source or unit.
Owner means, for a TR NOX Ozone Season source or a TR NOX Ozone Season unit at a source respectively, any of the following persons:
(1) Any holder of any portion of the legal or equitable title in a TR NOX Ozone Season unit at the source or the TR NOX Ozone Season unit;
(2) Any holder of a leasehold interest in a TR NOX Ozone Season unit at the source or the TR NOX Ozone Season unit, provided that, unless expressly provided for in a leasehold agreement, "owner" shall not include a passive lessor, or a person who has an equitable interest through such lessor, whose rental payments are not based (either directly or indirectly) on the revenues or income from such TR NOX Ozone Season unit; and
(3) Any purchaser of power from a TR NOX Ozone Season unit at the source or the TR NOX Ozone Season unit under a life-of-the-unit, firm power contractual arrangement.  
Permanently retired means, with regard to a unit, a unit that is unavailable for service and that the unit's owners and operators do not expect to return to service in the future. 
Permitting authority means "permitting authority" as defined in §§70.2 and 71.2 of this chapter.
Potential electrical output capacity means, for a unit, 33 percent of the unit's maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000 kWh/MWh, and multiplied by 8,760 hr/yr.
Receive or receipt of means, when referring to the Administrator, to come into possession of a document, information, or correspondence (whether sent in hard copy or by authorized electronic transmission), as indicated in an official log, or by a notation made on the document, information, or correspondence, by the Administrator in the regular course of business.
Recordation, record, or recorded means, with regard to TR NOX Ozone Season allowances, the moving of TR NOX Ozone Season allowances by the Administrator into, out of, or between Allowance Management System accounts, for purposes of allocation, auction, transfer, or deduction.
Reference method means any direct test method of sampling and analyzing for an air pollutant as specified in §75.22 of this chapter.
Replacement, replace, or replaced means, with regard to a unit, the demolishing of a unit, or the permanent retirement and permanent disabling of a unit, and the construction of another unit (the replacement unit) to be used instead of the demolished or retired unit (the replaced unit).
Sequential use of energy means:
(1) The use of reject heat from electricity production in a useful thermal energy application or process; or
(2) The use of reject heat from useful thermal energy application or process in electricity production.
Serial number means, for a TR NOX Ozone Season allowance, the unique identification number assigned to each TR NOX Ozone Season allowance by the Administrator.
Solid waste incineration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a "solid waste incineration unit" as defined in section 129(g)(1) of the Clean Air Act.
Source means all buildings, structures, or installations located in one or more contiguous or adjacent properties under common control of the same person or persons.  This definition does not change or otherwise affect the definition of "major source", "stationary source", or "source" as set forth and implemented in a title V operating permit program or any other program under the Clean Air Act. 
State means one of the States that is subject to the TR NOX Ozone Season Trading Program pursuant to §52.38(b) 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;
(4) Provided that compliance with any "submission" or "service" deadline shall be determined by the date of dispatch, transmission, or mailing and not the date of receipt.
Topping-cycle unit means a unit in which the energy input to the unit is first used to produce useful power, including electricity, where at least some of the reject heat from the electricity production is then used to provide useful thermal energy.
Total energy input means, for a unit, total energy of all forms supplied to the unit, excluding energy produced by the unit. Each form of energy supplied shall be measured by the lower heating value of that form of energy calculated as follows:
LHV = HHV − 10.55(W + 9H)
Where:
LHV = lower heating value of the form of energy in Btu/lb,
HHV = higher heating value of the form of energy in Btu/lb,
W = weight % of moisture in the form of energy, and
H = weight % of hydrogen in the form of energy.
Total energy output means, for a unit, the sum of useful power and useful thermal energy produced by the unit.
TR NOX Annual Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with subpart AAAAA of this part and §52.38(a) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(a)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(a)(5) of this chapter), as a means of mitigating interstate transport of fine particulates and NOX.
TR NOX Ozone Season allowance means a limited authorization issued and allocated or auctioned by the Administrator under this subpart, or by a State or permitting authority under a SIP revision approved by the Administrator under §52.38(b)(3), (4), or (5) of this chapter, to emit one ton of NOX during a control period of the specified calendar year for which the authorization is allocated or auctioned or of any calendar year thereafter under the TR NOX Ozone Season Trading Program. 
TR NOX Ozone Season allowance deduction or deduct TR NOX Ozone Season allowances means the permanent withdrawal of TR NOX Ozone Season allowances by the Administrator from a compliance account (e.g., in order to account for compliance with the TR NOX Ozone Season emissions limitation) or from an assurance account (e.g., in order to account for compliance with the assurance provisions under §§97.506 and 97.525).  
TR NOX Ozone Season allowances held or hold TR NOX Ozone Season allowances means the TR NOX Ozone Season allowances treated as included in an Allowance Management System account as of a specified point in time because at that time they:
(1) Have been recorded by the Administrator in the account or transferred into the account by a correctly submitted, but not yet recorded, TR NOX Ozone Season allowance transfer in accordance with this subpart; and
(2) Have not been transferred out of the account by a correctly submitted, but not yet recorded, TR NOX Ozone Season allowance transfer in accordance with this subpart.
TR NOX Ozone Season emissions limitation means, for a TR NOX Ozone Season source, the tonnage of NOX emissions authorized in a control period in a given year by the TR NOX Ozone Season allowances available for deduction for the source under §97.524(a) for such control period.
TR NOX Ozone Season source means a source that includes one or more TR NOX Ozone Season units.
TR NOX Ozone Season Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with this subpart and §52.38(b) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(b)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(b)(5) of this chapter), as a means of mitigating interstate transport of ozone and NOX.
TR NOX Ozone Season unit means a unit that is subject to the TR NOX Ozone Season Trading Program.
TR SO2 Group 1 Trading Program means a multi-state SO2 air pollution control and emission reduction program established in accordance with subpart CCCCC of this part and 52.39(a), (b), (d) through (f) , (j), and (k) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.39(d) or (e) of this chapter or that is established in a SIP revision approved by the Administrator under §52.39(f) of this chapter), as a means of mitigating interstate transport of fine particulates and SO2.
TR SO2 Group 2 Trading Program means a multi-state SO2 air pollution control and emission reduction program established in accordance with subpart DDDDD of this part and 52.39(a), (c), and (g) through (k) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.39(g) or (h) of this chapter or that is established in a SIP revision approved by the Administrator under §52.39(i) of this chapter), as a means of mitigating interstate transport of fine particulates and SO2.
Unit means a stationary, fossil-fuel-fired boiler, stationary, fossil-fuel-fired combustion turbine, or other stationary, fossil-fuel-fired combustion device.  A unit that undergoes a physical change or is moved to a different location or source shall continue to be treated as the same unit.  A unit (the replaced unit) that is replaced by another unit (the replacement unit) at the same or a different source shall continue to be treated as the same unit, and the replacement unit shall be treated as a separate unit.
Unit operating day means, with regard to a unit, a calendar day in which the unit combusts any fuel.
Unit operating hour or hour of unit operation means, with regard to a unit, an hour in which the unit combusts any fuel.
Useful power means, with regard to a unit, electricity or mechanical energy that the unit makes available for use, excluding any such energy used in the power production process (which process includes, but is not limited to, any on-site processing or treatment of fuel combusted at the unit and any on-site emission controls).
Useful thermal energy means thermal energy that is:
(1) Made available to an industrial or commercial process (not a power production process), excluding any heat contained in condensate return or makeup water;
(2) Used in a heating application (e.g., space heating or domestic hot water heating); or
(3) Used in a space cooling application (i.e., in an absorption chiller).
Utility power distribution system means the portion of an electricity grid owned or operated by a utility and dedicated to delivering electricity to customers.
§ 97.503  Measurements, abbreviations, and acronyms.
Measurements, abbreviations, and acronyms used in this subpart are defined as follows:
Btu -- British thermal unit
CO2 -- carbon dioxide
H2O -- water
hr -- hour
kW -- kilowatt electrical
kWh -- kilowatt hour
lb -- pound
mmBtu -- million Btu
MWe -- megawatt electrical
MWh -- megawatt hour
NOX -- nitrogen oxides
O2 -- oxygen
ppm -- parts per million
scfh -- standard cubic feet per hour
SO2 -- sulfur dioxide
yr -- year
§ 97.504  Applicability.
(a) Except as provided in paragraph (b) of this section:
(1) The following units in a State (and Indian country within the borders of such State) shall be TR NOX Ozone Season units, and any source that includes one or more such units shall be a TR NOX Ozone Season source, subject to the requirements of this subpart: any stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine serving at any time, on or after January 1, 2005, a generator with nameplate capacity of more than 25 MWe producing electricity for sale.
(2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a TR NOX Ozone Season unit begins to combust fossil fuel or to serve a generator with nameplate capacity of more than 25 MWe producing electricity for sale, the unit shall become a TR NOX Ozone Season unit as provided in paragraph (a)(1) of this section on the first date on which it both combusts fossil fuel and serves such generator.
(b) Any unit in a State (and Indian country within the borders of such State) that otherwise is a TR NOX Ozone Season unit under paragraph (a) of this section and that meets the requirements set forth in paragraph (b)(1)(i) or (2)(i) of this section shall not be a TR NOX Ozone Season unit:
(1)(i) Any unit:
(A) Qualifying as a cogeneration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
(B) Not supplying in 2005 or any calendar year thereafter more than one-third of the unit's potential electric output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale.
(ii) If, after qualifying under paragraph (b)(1)(i) of this section as not being a TR NOX Ozone Season unit, a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section, the unit shall become a TR NOX Ozone Season unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a cogeneration unit or January 1 after the first calendar year during which the unit no longer meets the requirements of paragraph (b)(1)(i)(B) of this section.  The unit shall thereafter continue to be a TR NOX Ozone Season unit. 
(2)(i) Any unit:
(A) Qualifying as a solid waste incineration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a solid waste incineration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
(B) With an average annual fuel consumption of fossil fuel for the first 3 consecutive calendar years of operation starting no earlier than 2005 of less than 20 percent (on a Btu basis) and an average annual fuel consumption of fossil fuel for any 3 consecutive calendar years thereafter of less than 20 percent (on a Btu basis).
(ii) If, after qualifying under paragraph (b)(2)(i) of this section as not being a TR NOX Ozone Season unit, a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section, the unit shall become a TR NOX Ozone Season unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a solid waste incineration unit or January 1 after the first 3 consecutive calendar years after 2005 for which the unit has an average annual fuel consumption of fossil fuel of 20 percent or more.  The unit shall thereafter continue to be a TR NOX Ozone Season unit.
(c) A certifying official of an owner or operator of any unit or other equipment may submit a petition (including any supporting documents) to the Administrator at any time for a determination concerning the applicability, under paragraphs (a) and (b) of this section or a SIP revision approved under §52.38(b)(4) or (5) of this chapter, of the TR NOX Ozone Season Trading Program to the unit or other equipment.
(1) Petition content. The petition shall be in writing and include the identification of the unit or other equipment and the relevant facts about the unit or other equipment. The petition and any other documents provided to the Administrator in connection with the petition shall include the following certification statement, signed by the certifying official: "I am authorized to make this submission on behalf of the owners and operators of the unit or other equipment 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) Response. The Administrator will issue a written response to the petition and may request supplemental information determined by the Administrator to be relevant to such petition. The Administrator's determination concerning the applicability, under paragraphs (a) and (b) of this section, of the TR NOX Ozone Season Trading Program to the unit or other equipment shall be binding on any State or permitting authority unless the Administrator determines that the petition or other documents or information provided in connection with the petition contained significant, relevant errors or omissions.
§ 97.505  Retired unit exemption.
(a)(1) Any TR NOX Ozone Season unit that is permanently retired shall be exempt from §97.506(b) and (c)(1), §97.524, and §§97.530 through 97.535. 
(2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the TR NOX Ozone Season unit is permanently retired.  Within 30 days of the unit's permanent retirement, the designated representative shall submit a statement to the Administrator. The statement shall state, in a format prescribed by the Administrator, that the unit was permanently retired on a specified date and will comply with the requirements of paragraph (b) of this section.
(b) Special provisions. (1) A unit exempt under paragraph (a) of this section shall not emit any NOX, starting on the date that the exemption takes effect.
(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under paragraph (a) of this section shall retain, at the source that includes the unit, records demonstrating that the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period, in writing by the Administrator. The owners and operators bear the burden of proof that the unit is permanently retired.
(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under paragraph (a) of this section shall comply with the requirements of the TR NOX Ozone Season Trading Program concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption takes effect.
(4) A unit exempt under paragraph (a) of this section shall lose its exemption on the first date on which the unit resumes operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and recordkeeping requirements under this subpart, as a unit that commences commercial operation on the first date on which the unit resumes operation.
§ 97.506  Standard requirements.
(a) Designated representative requirements.  The owners and operators shall comply with the requirement to have a designated representative, and may have an alternate designated representative, in accordance with §§97.513 through 97.518.
(b) Emissions monitoring, reporting, and recordkeeping requirements.  (1) The owners and operators, and the designated representative, of each TR NOX Ozone Season source and each TR NOX Ozone Season unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of §§97.530 through 97.535.
(2) The emissions data determined in accordance with §§97.530 through 97.535 shall be used to calculate allocations of TR NOX Ozone Season allowances under §§97.511(a)(2) and (b) and 97.512 and to determine compliance with the TR NOX Ozone Season emissions limitation and assurance provisions under paragraph (c) of this section, provided that, for each monitoring location from which mass emissions are reported, the mass emissions amount used in calculating such allocations and determining such compliance shall be the mass emissions amount for the monitoring location determined in accordance with §§97.530 through 97.535 and rounded to the nearest ton, with any fraction of a ton less than 0.50 being deemed to be zero.
(c) NOX emissions requirements.  (1) TR NOX Ozone Season emissions limitation. (i) As of the allowance transfer deadline for a control period in a given year, the owners and operators of each TR NOX Ozone Season source and each TR NOX Ozone Season unit at the source shall hold, in the source's compliance account, TR NOX Ozone Season allowances available for deduction for such control period under §97.524(a) in an amount not less than the tons of total NOX emissions for such control period from all TR NOX Ozone Season units at the source.
(ii) If total NOX emissions during a control period in a given year from the TR NOX Ozone Season units at a TR NOX Ozone Season source are in excess of the TR NOX Ozone Season emissions limitation set forth in paragraph (c)(1)(i) of this section, then:
(A) The owners and operators of the source and each TR NOX  Ozone Season unit at the source shall hold the TR NOX Ozone Season allowances required for deduction under §97.524(d); and
(B) The owners and operators of the source and each TR NOX  Ozone Season unit at the source shall pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act, and each ton of such excess emissions and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(2) TR NOX Ozone Season assurance provisions.  (i) If total NOX emissions during a control period in a given year from all TR NOX Ozone Season units at TR NOX Ozone Season sources in a State (and Indian country within the borders of such State) exceed the State assurance level, then the owners and operators of such sources and units in each group of one or more sources and units having a common designated representative for such control period, where the common designated representative's share of such NOX emissions during such control period exceeds the common designated representative's assurance level for the State and such control period, shall hold (in the assurance account established for the owners and operators of such group) TR NOX Ozone Season allowances available for deduction for such control period under §97.525(a) in an amount equal to two times the product (rounded to the nearest whole number), as determined by the Administrator in accordance with §97.525(b), of multiplying -- 
(A) The quotient of the amount by which the common designated representative's share of such NOX emissions exceeds the common designated representative's assurance level divided by the sum of the amounts, determined for all common designated representatives for such sources and units in the State (and Indian country within the borders of such State) for such control period, by which each common designated representative's share of such NOX emissions exceeds the respective common designated representative's assurance level; and
(B) The amount by which total NOX emissions from all TR NOX Ozone Season units at TR NOX Ozone Season sources in the State (and Indian country within the borders of such State) for such control period exceed the State assurance level. 
(ii) The owners and operators shall hold the TR NOX Ozone Season allowances required under paragraph (c)(2)(i) of this section, as of midnight of November 1 (if it is a business day), or midnight of the first business day thereafter (if November 1 is not a business day), immediately after such control period.  
(iii) Total NOX emissions from all TR NOX Ozone Season units at TR NOX Ozone Season sources in a State (and Indian country within the borders of such State) during a control period in a given year exceed the State assurance level if such total NOX emissions exceed the sum, for such control period, of the State NOX Ozone Season trading budget under §97.510(a) and the State's variability limit under §97.510(b).
(iv) It shall not be a violation of this subpart or of the Clean Air Act if total NOX emissions from all TR NOX Ozone Season units at TR NOX Ozone Season sources in a State (and Indian country within the borders of such State) during a control period exceed the State assurance level or if a common designated representative's share of total NOX emissions from the TR NOX Ozone Season units at TR NOX Ozone Season sources in a State (and Indian country within the borders of such State) during a control period exceeds the common designated representative's assurance level.  
(v) To the extent the owners and operators fail to hold TR NOX Ozone Season allowances for a control period in a given year in accordance with paragraphs (c)(2)(i) through (iii) of this section, 
(A) The owners and operators shall pay any fine, penalty, or assessment or comply with any other remedy imposed under the Clean Air Act; and
(B) Each TR NOX Ozone Season allowance that the owners and operators fail to hold for such control period in accordance with paragraphs (c)(2)(i) through (iii) of this section and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(3) Compliance periods.  A TR NOX Ozone Season unit shall be subject to the requirements under paragraphs (c)(1) and (c)(2) of this section for the control period starting on the later of May 1, 2012 or the deadline for meeting the unit's monitor certification requirements under §97.530(b) and for each control period thereafter.
(4) Vintage of allowances held for compliance.  (i) A TR NOX Ozone Season allowance held for compliance with the requirements under paragraph (c)(1)(i) of this section for a control period in a given year must be a TR NOX Ozone Season allowance that was allocated for such control period or a control period in a prior year.
(ii) A TR NOX Ozone Season allowance held for compliance with the requirements under paragraphs (c)(1)(ii)(A) and (2)(i) through (iii) of this section for a control period in a given year must be a TR NOX Ozone Season allowance that was allocated  for a control period in a prior year or the control period in the given year or in the immediately following year. 
(5) Allowance Management System requirements. Each TR NOX Ozone Season allowance shall be held in, deducted from, or transferred into, out of, or between Allowance Management System accounts in accordance with this subpart.
(6) Limited authorization. A TR NOX Ozone Season allowance is a limited authorization to emit one ton of NOX during the control period in one year.  Such authorization is limited in its use and duration as follows:
(i) Such authorization shall only be used in accordance with the TR NOX Ozone Season Trading Program; and 
(ii) Notwithstanding any other provision of this subpart, the Administrator has the authority to terminate or limit the use and duration of such authorization to the extent the Administrator determines is necessary or appropriate to implement any provision of the Clean Air Act.  
(7) Property right. A TR NOX Ozone Season allowance does not constitute a property right.
(d) Title V permit requirements.  (1) No title V permit revision shall be required for any allocation, holding, deduction, or transfer of TR NOX Ozone Season allowances in accordance with this subpart.
(2) A description of whether a unit is required to monitor and report NOX emissions using a continuous emission monitoring system (under subpart H of part 75 of this chapter), an excepted monitoring system (under appendices D and E to part 75 of this chapter), a low mass emissions excepted monitoring methodology (under §75.19 of this chapter), or an alternative monitoring system (under subpart E of part 75 of this chapter) in accordance with §§97.530 through 97.535 may be added to, or changed in, a title V permit using minor permit modification procedures in accordance with §§70.7(e)(2) and 71.7(e)(1) of this chapter, provided that the requirements applicable to the described monitoring and reporting (as added or changed, respectively) are already incorporated in such permit. This paragraph explicitly provides that the addition of, or change to, a unit's description as described in the prior sentence is eligible for minor permit modification procedures in accordance with §§70.7(e)(2)(i)(B) and 71.7(e)(1)(i)(B) of this chapter.  
(e) Additional recordkeeping and reporting requirements.  (1) Unless otherwise provided, the owners and operators of each TR NOX Ozone Season source and each TR NOX Ozone Season unit at the source shall keep on site at the source each of the following documents (in hardcopy or electronic format) for a period of 5 years from the date the document is created. This period may be extended for cause, at any time before the end of 5 years, in writing by the Administrator.
(i) The certificate of representation under §97.516 for the  designated representative for the source and each TR NOX Ozone Season unit at the source and all documents that demonstrate the truth of the statements in the certificate of representation; provided that the certificate and documents shall be retained on site at the source beyond such 5-year period until such certificate of representation and documents are superseded because of the submission of a new certificate of representation under §97.516 changing the designated representative.
(ii) All emissions monitoring information, in accordance with this subpart.
(iii) Copies of all reports, compliance certifications, and other submissions and all records made or required under, or to demonstrate compliance with the requirements of, the TR NOX Ozone Season Trading Program.
(2) The designated representative of a TR NOX Ozone Season source and each TR NOX Ozone Season unit at the source shall make all submissions required under the TR NOX Ozone Season Trading Program, except as provided in §97.518.  This requirement does not change, create an exemption from, or or otherwise affect the responsible official submission requirements under a title V operating permit program in parts 70 and 71 of this chapter. 
(f) Liability.  (1) Any provision of the TR NOX Ozone Season Trading Program that applies to a TR NOX Ozone Season source or the designated representative of a TR NOX Ozone Season source shall also apply to the owners and operators of such source and of the TR NOX Ozone Season units at the source.
(2) Any provision of the TR NOX Ozone Season Trading Program that applies to a TR NOX Ozone Season unit or the designated representative of a TR NOX Ozone Season unit shall also apply to the owners and operators of such unit.
(g) Effect on other authorities.  No provision of the TR NOX Ozone Season Trading Program or exemption under §97.505 shall be construed as exempting or excluding the owners and operators, and the designated representative, of a TR NOX Ozone Season source or TR NOX Ozone Season unit from compliance with any other provision of the applicable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act.
§ 97.507  Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the TR NOX Ozone Season Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs. 
(b) Unless otherwise stated, any time period scheduled, under the TR NOX Ozone Season Trading Program, to begin before the occurrence of an act or event shall be computed so that the period ends the day before the act or event occurs.
(c) Unless otherwise stated, if the final day of any time period, under the TR NOX Ozone Season Trading Program, is not a business day, the time period shall be extended to the next business day.
§ 97.508  Administrative appeal procedures.
The administrative appeal procedures for decisions of the Administrator under the TR NOX Ozone Season Trading Program are set forth in part 78 of this chapter.
§ 97.509  [Reserved]
§ 97.510  State NOX Ozone Season trading budgets, new unit set-asides, Indian country new unit set-aside, and variability limits.
(a)  The State NOX Ozone Season trading budgets, new unit set-asides, and Indian country new unit set-asides for allocations of TR NOX Ozone Season allowances for the control periods in 2012 and thereafter are as follows:
                                     State
           NOX Ozone Season trading budget (tons)*
for 2012 and 2013
                  New unit set-aside (tons)
for 2012 and 2013
          Indian country new unit set-aside (tons)
for 2012 and 2013




Alabama
                                    31,746
                                      635
                                      ---
Arkansas
                                    15,037
                                      301
                                      ---
Florida
                                    27,825
                                      529
                                      28
Georgia
                                    27,944
                                      559
                                      ---
Illinois
                                    21,208
                                     1,697
                                      ---
Indiana
                                    46,876
                                     1,406
                                      ---
Kentucky
                                    36,167
                                     1,447
                                      ---
Louisiana
                                    13,432
                                      390
                                      13
Maryland
                                     7,179
                                      144
                                      ---
Mississippi
                                    10,160
                                      193
                                      10
New Jersey
                                     3,382
                                      68
                                      ---
New York
                                     8,331
                                      242
                                       8
North Carolina
                                    22,168
                                     1,308
                                      22
Ohio
                                    40,063
                                      801
                                      ---
Pennsylvania
                                    52,201
                                     1,044
                                      ---
South Carolina
                                    13,909
                                      264
                                      14
Tennessee
                                    14,908
                                      298
                                      ---
Texas
                                    63,043
                                     1,828
                                      63
Virginia
                                    14,452
                                      723
                                      ---
West Virginia
                                    25,283
                                     1,264
                                      ---

                                     State
        NOX Ozone Season trading budget (tons)*
for 2014 and thereafter
               New unit set-aside (tons)
for 2014 and thereafter
       Indian country new unit set-aside (tons)
for 2014 and thereafter




Alabama
                                    31,499
                                      630
                                      ---
Arkansas
                                    15,037
                                      301
                                      ---
Florida
                                    27,825
                                      529
                                      28
Georgia
                                    18,279
                                      366
                                      ---
Illinois
                                    21,208
                                     1,697
                                      ---
Indiana
                                    46,175
                                     1,385
                                      ---
Kentucky
                                    32,674
                                     1,307
                                      ---
Louisiana
                                    13,432
                                      390
                                      13
Maryland
                                     7,179
                                      144
                                      ---
Mississippi
                                    10,160
                                      193
                                      10
New Jersey
                                     3,382
                                      68
                                      ---
New York
                                     8,331
                                      242
                                       8
North Carolina
                                    18,455
                                     1,089
                                      18
Ohio
                                    37,792
                                      756
                                      ---
Pennsylvania
                                    51,912
                                     1,038
                                      ---
South Carolina
                                    13,909
                                      264
                                      14
Tennessee
                                     8,016
                                      160
                                      ---
Texas
                                    63,043
                                     1,828
                                      63
Virginia
                                    14,452
                                      723
                                      ---
West Virginia
                                    23,291
                                     1,165
                                      ---

* Each trading budget includes the new unit set-aside and, where applicable, the Indian country new unit set-aside and does not include the variability limit.
 (b) The States' variability limits for the State NOX Ozone Season trading budgets for the control periods in 2012 and thereafter are as follows:
                                     State
                     Variability limits
for 2012 and 2013
                  
Variability limits
for 2014 and thereafter



Alabama
                                     6,667
                                     6,615
Arkansas
                                     3,158
                                     3,158
Florida
                                     5,843
                                     5,843
Georgia
                                     5,868
                                     3,839
Illinois
                                     4,454
                                     4,454
Indiana
                                     9,844
                                     9,697
Kentucky
                                     7,595
                                     6,862
Louisiana
                                     2,821
                                     2,821
Maryland
                                     1,508
                                     1,508
Mississippi
                                     2,134
                                     2,134
New Jersey
                                      710
                                      710
New York
                                     1,750
                                     1,750
North Carolina
                                     4,655
                                     3,876
Ohio
                                     8,413
                                     7,936
Pennsylvania
                                    10,962
                                    10,902
South Carolina
                                     2,921
                                     2,921
Tennessee
                                     3,131
                                     1,683
Texas
                                    13,239
                                    13,239
Virginia
                                     3,035
                                     3,035
West Virginia
                                     5,309
                                     4,891

§ 97.511  Timing requirements for TR NOX Ozone Season allowance allocations.
(a) Existing units.  (1) TR NOX Ozone Season allowances are allocated, for the control periods in 2012 and each year thereafter, as provided in a notice of data availability issued by the Administrator. Providing an allocation to a unit in such notice does not constitute a determination that the unit is a TR NOX Ozone Season unit, and not providing an allocation to a unit in such notice does not constitute a determination that the unit is not a TR NOX Ozone Season unit. 
(2) Notwithstanding paragraph (a)(1) of this section, if a unit provided an allocation in the notice of data availability issued under paragraph (a)(1) of this section does not operate, starting after 2011, during the control period in two consecutive years, such unit will not be allocated the TR NOX Ozone Season allowances provided in such notice for the unit for the control periods in the fifth year after the first such year and in each year after that fifth year.  All TR NOX Ozone Season allowances that would otherwise have been allocated to such unit will be allocated to the new unit set-aside for the State where such unit is located and for the respective years involved.  If such unit resumes operation, the Administrator will allocate TR NOX Ozone Season allowances to the unit in accordance with paragraph (b) of this section. 
(b) New units.  (1) New unit set-asides.  (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR NOX Ozone Season allowance allocation to each TR NOX Ozone Season unit in a State, in accordance with §97.512(a)(2) through (7) and (12), for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.  
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR NOX Ozone Season units) are in accordance with §97.512(a)(2) through (7) and (12) and §§97.506(b)(2) and 97.530 through 97.535. 
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(1)(ii)(A) of this section.  By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.512(a)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(ii)(A) of this section.  
(iii) If the new unit set-aside for such control period contains any TR NOX Ozone Season allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(1)(ii) of this section, the Administrator will promulgate, by September 15 immediately after such notice, a notice of data availability that identifies any TR NOX Ozone Season units that commenced commercial operation during the period starting May 1 of the year before the year of such control period and ending August 31 of year of such control period.
(iv) For each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR NOX Ozone Season units in such notice. 
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(iii) of this section and shall be limited to addressing whether the identification of TR NOX Ozone Season units in such notice is in accordance with paragraph (b)(1)(iii) of this section.  
(B) The Administrator will adjust the identification of TR NOX Ozone Season units in the each notice of data availability required in paragraph (b)(1)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(1)(iii) of this section and will calculate the TR NOX Ozone Season allowance allocation to each TR NOX Ozone Season unit in accordance with §97.512(a)(9), (10), and (12) and §§97.506(b)(2) and 97.530 through 97.535.  By November 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR NOX Ozone Season units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(iv)(A) of this section, and the results of such calculations.
(v) To the extent any TR NOX Ozone Season allowances are added to the new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(1)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR NOX Ozone Season allowances in accordance with §97.512(a)(10). 
(2) Indian country new unit set-asides.  (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR NOX Ozone Season allowance allocation to each TR NOX Ozone Season unit in Indian country within the borders of a State, in accordance with §97.512(b)(2) through (7) and (12), for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.  
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR NOX Ozone Season units) are in accordance with §97.512(b)(2) through (7) and (12) and §§97.506(b)(2) and 97.530 through 97.535. 
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(ii)(A) of this section.  By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.512(b)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(ii)(A) of this section.  
(iii) If the Indian country new unit set-aside for such control period contains any TR NOX Ozone Season allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(2)(ii) of this section, the Administrator will promulgate, by September 15 immediately after such notice, a notice of data availability that identifies any TR NOX Ozone Season units that commenced commercial operation during the period starting May 1 of the year before the year of such control period and ending August 31 of year of such control period.
(iv) For each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR NOX Ozone Season units in such notice. 
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(iii) of this section and shall be limited to addressing whether the identification of TR NOX Ozone Season units in such notice is in accordance with paragraph (b)(2)(iii) of this section.  
(B) The Administrator will adjust the identification of TR NOX Ozone Season units in the each notice of data availability required in paragraph (b)(2)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(2)(iii) of this section and will calculate the TR NOX Ozone Season allowance allocation to each TR NOX Ozone Season unit in accordance with §97.512(b)(9), (10), and (12) and §§97.506(b)(2) and 97.530 through 97.535.  By November 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR NOX Ozone Season units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iv)(A) of this section, and the results of such calculations. 
(v) To the extent any TR NOX Ozone Season allowances are added to the Indian country new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(2)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR NOX Ozone Season allowances in accordance with §97.512(b)(10). 
(c) Units incorrectly allocated TR NOX Ozone Season allowances.  (1) For each control period in 2012 and thereafter, if the Administrator determines that TR NOX Ozone Season allowances were allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under §52.38(b)(3), (4), or (5) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(i) of this section or were allocated under §97.512(a)(2) through (7), (9), and (12) and (b)(2) through (7), (9), and (12), or under a provision of a SIP revision approved under §52.38(b)(4) or (5) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(ii) of this section, then the Administrator will notify the designated representative of the recipient and will act in accordance with the procedures set forth in paragraphs (c)(2) through (5) of this section:
(i)(A) The recipient is not actually a TR NOX Ozone Season unit under §97.504 as of May 1, 2012 and is allocated TR NOX Ozone Season allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under §52.38(b)(3), (4), or (5) of this chapter, the recipient is not actually a TR NOX Ozone Season unit as of May 1, 2012 and is allocated TR NOX Ozone Season allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR NOX Ozone Season units as of May 1, 2012; or
(B) The recipient is not located as of May 1 of the control period in the State from whose NOX Ozone Season trading budget the TR NOX Ozone Season allowances allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under §52.38(b)(3), (4), or (5) of this chapter, were allocated for such control period. 
(ii) The recipient is not actually a TR NOX Ozone Season unit under §97.504 as of May 1 of such control period and is allocated TR NOX Ozone Season allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under §52.38(b)(3), (4), or (5) of this chapter, the recipient is not actually a TR NOX Ozone Season unit as of January 1 of such control period and is allocated TR NOX Ozone Season allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR NOX Ozone Season units as of May 1 of such control period. 
(2) Except as provided in paragraph (c)(3) or (4) of this section, the Administrator will not record such TR NOX Ozone Season allowances under §97.521.
(3) If the Administrator already recorded such TR NOX Ozone Season allowances under §97.521 and if the Administrator makes the determination under paragraph (c)(1) of this section before making deductions for the source that includes such recipient under §97.524(b) for such control period, then the Administrator will deduct from the account in which such TR NOX Ozone Season allowances were recorded an amount of TR NOX Ozone Season allowances allocated for the same or a prior control period equal to the amount of such already recorded TR NOX Ozone Season allowances. The authorized account representative shall ensure that there are sufficient TR NOX Ozone Season allowances in such account for completion of the deduction.
(4) If the Administrator already recorded such TR NOX Ozone Season allowances under §97.521 and if the Administrator makes the determination under paragraph (c)(1) of this section after making deductions for the source that includes such recipient under §97.524(b) for such control period, then the Administrator will not make any deduction to take account of such already recorded TR NOX Ozone Season allowances.   
(5)(i) With regard to the TR NOX Ozone Season allowances that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(i) of this section, the Administrator will:
(A) Transfer such TR NOX Ozone Season allowances to the new unit set-aside for such control period for the State from whose NOX Ozone Season trading budget the TR NOX Ozone Season allowances were allocated; or
(B) If the State has a SIP revision approved under §52.38(b)(4) or (5) covering such control period, include such TR NOX Annual allowances in the portion of the State NOX Ozone Season trading budget that may be allocated for such control period in accordance with such SIP revision.  
(ii) With regard to the TR NOX Ozone Season allowances that were not allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will:
(A) Transfer such TR NOX Ozone Season allowances to the new unit set-aside for such control period; or
(B) If the State has a SIP revision approved under §52.38(b)(4) or (5) covering such control period, include such TR NOX Ozone Season allowances in the portion of the State NOX Ozone Season trading budget that may be allocated for such control period in accordance with such SIP revision.  
(iii) With regard to the TR NOX Ozone Season allowances that were allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will transfer such TR NOX Ozone Season allowances to the Indian country new unit set-aside for such control period.
§ 97.512  TR NOX Ozone Season allowance allocations to new units.
(a) For each control period in 2012 and thereafter and for the TR NOX Ozone Season units in each State, the Administrator will allocate TR NOX Ozone Season allowances to the TR NOX Ozone Season units as follows:
(1) The TR NOX Ozone Season allowances will be allocated to the following TR NOX Ozone Season units, except as provided in paragraph (a)(10) of this section:
(i) TR NOX Ozone Season units that are not allocated an amount of TR NOX Ozone Season allowances in the notice of data availability issued under §97.511(a)(1); 
(ii) TR NOX Ozone Season units whose allocation of an amount of TR NOX Ozone Season allowances for such control period in the notice of data availability issued under §97.511(a)(1) is covered by §97.511(c)(2) or (3);
(iii) TR NOX Ozone Season units that are allocated an amount of TR NOX Ozone Season allowances for such control period in the notice of data availability issued under §97.511(a)(1), which allocation is terminated for such control period pursuant to §97.511(a)(2), and that operate during the control period immediately preceding such control period; or
(iv) For purposes of paragraph (a)(9) of this section, TR NOX Ozone Season units under §97.511(c)(1)(ii) whose allocation of an amount of TR NOX Ozone Season allowances for such control period in the notice of data availability issued under §97.511(b)(1)(ii)(B) is covered by §97.511(c)(2) or (3). 
(2) The Administrator will establish a separate new unit set-aside for the State for each such control period. Each such new unit set-aside will be allocated TR NOX Ozone Season allowances in an amount equal to the applicable amount of tons of NOX emissions as set forth in §97.510(a) and will be allocated additional TR NOX Ozone Season allowances (if any) in accordance with §§97.511(a)(2) and (c)(5) and paragraph (b)(10) of this section.
(3) The Administrator will determine, for each TR NOX Ozone Season unit described in paragraph (a)(1) of this section, an allocation of TR NOX Ozone Season allowances for  the later of the following control periods and for each subsequent control period:
(i) The control period in 2012;
(ii) The first control period after the control period in which the TR NOX Ozone Season unit commences commercial operation; 
(iii) For a unit described in paragraph (a)(1)(ii) of this section, the first control period in which the TR NOX Ozone Season unit operates in the State after operating in another jurisdiction and for which the unit is not already allocated one or more TR NOX Ozone Season allowances; and
(iv) For a unit described in paragraph (a)(1)(iii) of this section, the first control period after the control period in which the unit resumes operation. 
(4)(i) The allocation to each TR NOX Ozone Season unit described in paragraph (a)(1)(i) through (iii) of this section and for each control period described in paragraph (a)(3) of this section will be an amount equal to the unit's total tons of NOX emissions during the immediately preceding control period.
(ii) The Administrator will adjust the allocation amount in paragraph (a)(4)(i) in accordance with paragraphs (a)(5) through (7) and (12) of this section.
(5) The Administrator will calculate the sum of the TR NOX Ozone Season allowances determined for all such TR NOX Ozone Season units under paragraph (a)(4)(i) of this section in the State for such control period.
(6) If the amount of TR NOX Ozone Season allowances in the new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (a)(5) of this section, then the Administrator will allocate the amount of TR NOX Ozone Season allowances determined for each such TR NOX Ozone Season unit under paragraph (a)(4)(i) of this section.
(7) If the amount of TR NOX Ozone Season allowances in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(5) of this section, then the Administrator will allocate to each such TR NOX Ozone Season unit the amount of the TR NOX Ozone Season allowances determined under paragraph (a)(4)(i) of this section for the unit, multiplied by the amount of TR NOX Ozone Season allowances in the new unit set-aside for such control period, divided by the sum under paragraph (a)(5) of this section, and rounded to the nearest allowance.
(8) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.511(b)(1)(i) and (ii), of the amount of TR NOX Ozone Season allowances allocated under paragraphs (a)(2) through (7) and (12) of this section for such control period to each TR NOX Ozone Season unit eligible for such allocation.
(9) If, after completion of the procedures under paragraphs (a)(5) through (8) of this section for such control period, any unallocated TR NOX Ozone Season allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate such TR NOX Ozone Season allowances as follows--
(i) The Administrator will determine, for each unit described in paragraph (a)(1) of this section that commenced commercial operation during the period starting May 1 of the year before the year of such control period and ending August 31 of year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of TR NOX Ozone Season allowances referenced in the notice of data availability required under §97.511(b)(1)(ii) for the unit for such control period;
(ii) The Administrator will determine the sum of the positive differences determined under paragraph (a)(9)(i) of this section;
(iii) If the amount of unallocated TR NOX Ozone Season allowances remaining in the new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (a)(9)(ii) of this section, then the Administrator will allocate the amount of TR NOX Ozone Season allowances determined for each such TR NOX Ozone Season unit under paragraph (a)(9)(i) of this section; and
(iv) If the amount of unallocated TR NOX Ozone Season allowances remaining in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(9)(ii) of this section, then the Administrator will allocate to each such TR NOX Ozone Season unit the amount of the TR NOX Ozone Season allowances determined under paragraph (a)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR NOX Ozone Season allowances remaining in the new unit set-aside for such control period, divided by the sum under paragraph (a)(9)(ii) of this section, and rounded to the nearest allowance.
(10) If, after completion of the procedures under paragraphs (a)(9) and (12) of this section for such control period, any unallocated TR NOX Ozone Season allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate to each TR NOX Ozone Season unit that is in the State, is allocated an amount of TR NOX Ozone Season allowances in the notice of data availability issued under §97.511(a)(1), and continues to be allocated TR NOX Ozone Season allowances for such control period in accordance with §97.511(a)(2), an amount of TR NOX Ozone Season allowances equal to the following: the total amount of such remaining unallocated TR NOX Ozone Season allowances in such new unit set-aside, multiplied by the unit's allocation under §97.511(a) for such control period, divided by the remainder of the amount of tons in the applicable State NOX Ozone Season trading budget minus the sum of the amounts of tons in such new unit set-aside and the Indian country new unit set-aside for the State for such control period, and rounded to the nearest allowance.
(11) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.511(b)(1)(iii), (iv), and (v), of the amount of TR NOX Ozone Season allowances allocated under paragraphs (a)(9), (10), and (12) of this section for such control period to each TR NOX Ozone Season unit eligible for such allocation.
(12)(i) Notwithstanding the requirements of paragraphs (a)(2) through (11) of this section, if the calculations of allocations of a new unit set-aside for a control period in a given year under paragraph (a)(7) of this section, paragraphs (a)(6) and (9)(iv) of this section, or paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such new unit set-aside exceeding the total amount of such new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, as follows.  The Administrator will list the TR NOX Ozone Season units in descending order based on the amount of such units' allocations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will reduce each unit's allocation under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, by one TR NOX Ozone Season allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such new unit set-aside equal the total amount of such new unit set-aside.  
(ii) Notwithstanding the requirements of paragraphs (a)(10) and (11) of this section, if the calculations of allocations of a new unit set-aside for a control period in a given year under paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such new unit set-aside less than the total amount of such new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (a)(10) of this section, as follows.  The Administrator will list the TR NOX Ozone Season units in descending order based on the amount of such units' allocations under paragraph (a)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will increase each unit's allocation under paragraph (a)(10) of this section by one TR NOX Ozone Season allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such new unit set-aside equal the total amount of such new unit set-aside. 
(b) For each control period in 2012 and thereafter and for the TR NOX Ozone Season units located in Indian country within the borders of each State, the Administrator will allocate TR NOX Ozone Season allowances to the TR NOX Ozone Season units as follows:  
(1) The TR NOX Ozone Season allowances will be allocated to the following TR NOX Ozone Season units, except as provided in paragraph (b)(10) of this section:
(i) TR NOX Ozone Season units that are not allocated an amount of TR NOX Ozone Season allowances in the notice of data availability issued under §97.511(a)(1); or
(ii) For purposes of paragraph (b)(9) of this section, TR NOX Ozone Season units under §97.511(c)(1)(ii) whose allocation of an amount of TR NOX Ozone Season allowances for such control period in the notice of data availability issued under §97.511(b)(2)(ii)(B) is covered by §97.511(c)(2) or (3). 
(2) The Administrator will establish a separate Indian country new unit set-aside for the State for each such control period. Each such Indian country new unit set-aside will be allocated TR NOX Ozone Season allowances in an amount equal to the applicable amount of tons of NOX emissions as set forth in §97.510(a) and will be allocated additional TR NOX Ozone Season allowances (if any) in accordance with §97.511(c)(5).
(3) The Administrator will determine, for each TR NOX Ozone Season unit described in paragraph (b)(1) of this section, an allocation of TR NOX Ozone Season allowances for the later of the following control periods and for each subsequent control period:
(i) The control period in 2012; and
(ii) The first control period after the control period in which the TR NOX Ozone Season unit commences commercial operation. 
(4)(i) The allocation to each TR NOX Ozone Season unit described in paragraph (b)(1)(i) of this section and for each control period described in paragraph (b)(3) of this section will be an amount equal to the unit's total tons of NOX emissions during the immediately preceding control period.
(ii) The Administrator will adjust the allocation amount in paragraph (b)(4)(i) in accordance with paragraphs (b)(5) through (7) and (12) of this section. 
(5) The Administrator will calculate the sum of the TR NOX Ozone Season allowances determined for all such TR NOX Ozone Season units under paragraph (b)(4)(i) of this section in Indian country within the borders of the State for such control period.
(6) If the amount of TR NOX Ozone Season allowances in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (b)(5) of this section, then the Administrator will allocate the amount of TR NOX Ozone Season allowances determined for each such TR NOX Ozone Season unit under paragraph (b)(4)(i) of this section.
(7) If the amount of TR NOX Ozone Season allowances in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(5) of this section, then the Administrator will allocate to each such TR NOX Ozone Season unit the amount of the TR NOX Ozone Season allowances determined under paragraph (b)(4)(i) of this section for the unit, multiplied by the amount of TR NOX Ozone Season allowances in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(5) of this section, and rounded to the nearest allowance.
(8) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.511(b)(2)(i) and (ii), of the amount of TR NOX Ozone Season allowances allocated under paragraphs (b)(2) through (7) and (12) of this section for such control period to each TR NOX Ozone Season unit eligible for such allocation.
(9) If, after completion of the procedures under paragraphs (b)(5) through (8) of this section for such control period, any unallocated TR NOX Ozone Season allowances remain in the Indian  country new unit set-aside for the State for such control period, the Administrator will allocate such TR NOX Ozone Season allowances as follows--
(i) The Administrator will determine, for each unit described in paragraph (b)(1) of this section that commenced commercial operation during the period starting May 1 of the year before the year of such control period and ending August 31 of year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of TR NOX Ozone Season allowances referenced in the notice of data availability required under §97.511(b)(2)(ii) for the unit for such control period;
(ii) The Administrator will determine the sum of the positive differences determined under paragraph (b)(9)(i) of this section;
(iii) If the amount of unallocated TR NOX Ozone Season allowances remaining in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (b)(9)(ii) of this section, then the Administrator will allocate the amount of TR NOX Ozone Season allowances determined for each such TR NOX Ozone Season unit under paragraph (b)(9)(i) of this section; and
(iv) If the amount of unallocated TR NOX Ozone Season allowances remaining in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(9)(ii) of this section, then the Administrator will allocate to each such TR NOX Ozone Season unit the amount of the TR NOX Ozone Season allowances determined under paragraph (b)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR NOX Ozone Season allowances remaining in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(9)(ii) of this section, and rounded to the nearest allowance.
(10) If, after completion of the procedures under paragraphs (b)(9) and (12) of this section for such control period, any unallocated TR NOX Ozone Season allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will:
(i) Transfer such unallocated TR NOX Ozone Season allowances to the new unit set-aside for the State for such control period; or  
(ii) If the State has a SIP revision approved under §52.38(b)(4) or (5) covering such control period, include such unallocated TR NOX Ozone Season allowances in the portion of the State NOX Ozone Season trading budget that may be allocated for such control period in accordance with such SIP revision.  
(11) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.511(b)(2)(iii), (iv), and (v), of the amount of TR NOX Ozone Season allowances allocated under paragraphs (b)(9), (10), and (12) of this section for such control period to each TR NOX Ozone Season unit eligible for such allocation.
(12)(i) Notwithstanding the requirements of paragraphs (b)(2) through (11) of this section, if the calculations of allocations of an Indian country new unit set-aside for a control period in a given year under paragraph (b)(7) of this section, paragraphs (b)(6) and (9)(iv) of this section, or paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such Indian country new unit set-aside exceeding the total amount of such Indian country new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, as follows.  The Administrator will list the TR NOX Ozone Season units in descending order based on the amount of such units' allocations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will reduce each unit's allocation under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, by one TR NOX Ozone Season allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such Indian country new unit set-aside equal the total amount of such Indian country new unit set-aside.  
(ii) Notwithstanding the requirements of paragraphs (b)(10) and (11) of this section, if the calculations of allocations of an Indian country new unit set-aside for a control period in a given year under paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such Indian country new unit set-aside less than the total amount of such Indian country new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (b)(10) of this section, as follows.  The Administrator will list the TR NOX Ozone Season units in descending order based on the amount of such units' allocations under paragraph (b)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will increase each unit's allocation under paragraph (b)(10) of this section by one TR NOX Ozone Season allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such Indian country new unit set-aside equal the total amount of such Indian country new unit set-aside. 

§ 97.513  Authorization of designated representative and alternate designated representative.
(a) Except as provided under §97.515, each TR NOX Ozone Season source, including all TR NOX Ozone Season units at the source, shall have one and only one designated representative, with regard to all matters under the TR NOX Ozone Season Trading Program.
(1) The designated representative shall be selected by an agreement binding on the owners and operators of the source and all TR NOX Ozone Season units at the source and shall act in accordance with the certification statement in §97.516(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under §97.516:
(i) The designated representative shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each owner and operator of the source and each TR NOX Ozone Season unit at the source in all matters pertaining to the TR NOX Ozone Season Trading Program, notwithstanding any agreement between the designated representative and such owners and operators; and
(ii) The owners and operators of the source and each TR NOX Ozone Season unit at the source shall be bound by any decision or order issued to the designated representative by the Administrator regarding the source or any such unit.
(b) Except as provided under §97.515, each TR NOX Ozone Season source may have one and only one alternate designated representative, who may act on behalf of the designated representative. The agreement by which the alternate designated representative is selected shall include a procedure for authorizing the alternate designated representative to act in lieu of the designated representative.
(1) The alternate designated representative shall be selected by an agreement binding on the owners and operators of the source and all TR NOX Ozone Season units at the source and shall act in accordance with the certification statement in §97.516(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under §97.516, 
(i) The alternate designated representative shall be authorized;  
(ii) Any representation, action, inaction, or submission by the alternate designated representative shall be deemed to be a representation, action, inaction, or submission by the designated representative; and
(iii) The owners and operators of the source and each TR NOX Ozone Season unit at the source shall be bound by any decision or order issued to the alternate designated representative by the Administrator regarding the source or any such unit.
(c) Except in this section, §97.502, and §§97.514 through 97.518, whenever the term "designated representative" (as distinguished from the term "common designated representative") is used in this subpart, the term shall be construed to include the designated representative or any alternate designated representative.
§ 97.514  Responsibilities of designated representative and alternate designated representative.
(a) Except as provided under §97.518 concerning delegation of authority to make submissions, each submission under the TR NOX Ozone Season Trading Program shall be made, signed, and certified by the designated representative or alternate designated representative for each TR NOX Ozone Season source and TR NOX Ozone Season unit for which the submission is made. Each such submission shall include the following certification statement by the designated representative or alternate designated representative: "I am authorized to make this submission on behalf of the owners and operators of the source or units for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
(b) The Administrator will accept or act on a submission made for a TR NOX Ozone Season source or a TR NOX Ozone Season unit only if the submission has been made, signed, and certified in accordance with paragraph (a) of this section and §97.518.
§ 97.515  Changing designated representative and alternate designated representative; changes in owners and operators; changes in units at the source.
(a) Changing designated representative.  The designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under §97.516.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new designated representative and the owners and operators of the TR NOX Ozone Season source and the TR NOX Ozone Season units at the source.
(b) Changing alternate designated representative.  The alternate designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under §97.516.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new alternate designated representative, the designated representative, and the owners and operators of the TR NOX Ozone Season source and the TR NOX Ozone Season units at the source.
(c) Changes in owners and operators.  (1) In the event an owner or operator of a TR NOX Ozone Season source or a TR NOX Ozone Season unit at the source is not included in the list of owners and operators in the certificate of representation under §97.516, such owner or operator shall be deemed to be subject to and bound by the certificate of representation, the representations, actions, inactions, and submissions of the designated representative and any alternate designated representative of the source or unit, and the decisions and orders of the Administrator, as if the owner or operator were included in such list.
(2) Within 30 days after any change in the owners and operators of a TR NOX Ozone Season source or a TR NOX Ozone Season unit at the source, including the addition or removal of an owner or operator, the designated representative or any alternate designated representative shall submit a revision to the certificate of representation under §97.516 amending the list of owners and operators to reflect the change.
(d) Changes in units at the source.  Within 30 days of any change in which units are located at a TR NOX Ozone Season source (including the addition or removal of a unit), the designated representative or any alternate designated representative shall submit a certificate of representation under §97.516 amending the list of units to reflect the change.  
(1) If the change is the addition of a unit that operated (other than for purposes of testing by the manufacturer before initial installation) before being located at the source, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity from whom the unit was purchased or otherwise obtained (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was purchased or otherwise obtained, and the date on which the unit became located at the source.
(2) If the change is the removal of a unit, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity to which the unit was sold or that otherwise obtained the unit (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was sold or otherwise obtained, and the date on which the unit became no longer located at the source.  
§ 97.516  Certificate of representation.
(a) A complete certificate of representation for a designated representative or an alternate designated representative shall include the following elements in a format prescribed by the Administrator:
(1) Identification of the TR NOX Ozone Season source, and each TR NOX Ozone Season unit at the source, for which the certificate of representation is submitted, including source name, source  category and NAICS code (or, in the absence of a NAICS code, an equivalent code), State, plant code, county, latitude and longitude, unit identification number and type, identification number and nameplate capacity (in MWe, rounded to the nearest tenth) of each generator served by each such unit, actual or projected date of commencement of commercial operation, and a statement of whether such source is located in Indian Country.  If a projected date of commencement of commercial operation is provided, the actual date of commencement of commercial operation shall be provided when such information becomes available.
(2) The name, address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the designated representative and any alternate designated representative.
(3) A list of the owners and operators of the TR NOX Ozone Season source and of each TR NOX Ozone Season unit at the source.
(4) The following certification statements by the designated representative and any alternate designated representative -- 
(i) "I certify that I was selected as the designated representative or alternate designated representative, as applicable, by an agreement binding on the owners and operators of the source and each TR NOX Ozone Season unit at the source."
(ii) "I certify that I have all the necessary authority to carry out my duties and responsibilities under the TR NOX Ozone Season Trading Program on behalf of the owners and operators of the source and of each TR NOX Ozone Season unit at the source and that each such owner and operator shall be fully bound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the Administrator regarding the source or unit."
(iii) "Where there are multiple holders of a legal or equitable title to, or a leasehold interest in, a TR NOX Ozone Season unit, or where a utility or industrial customer purchases power from a TR NOX Ozone Season unit under a life-of-the-unit, firm power contractual arrangement, I certify that: I have given a written notice of my selection as the `designated representative' or `alternate designated representative', as applicable, and of the agreement by which I was selected to each owner and operator of the source and of each TR NOX Ozone Season unit at the source; and TR NOX Ozone Season allowances and proceeds of transactions involving TR NOX Ozone Season allowances will be deemed to be held or distributed in proportion to each holder's legal, equitable, leasehold, or contractual reservation or entitlement, except that, if such multiple holders have expressly provided for a different distribution of TR NOX Ozone Season allowances by contract, TR NOX Ozone Season allowances and proceeds of transactions involving TR NOX Ozone Season allowances will be deemed to be held or distributed in accordance with the contract."
(5) The signature of the designated representative and any alternate designated representative and the dates signed.
(b) Unless otherwise required by the Administrator, documents of agreement referred to in the certificate of representation shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
§ 97.517  Objections concerning designated representative and alternate designated representative.
(a) Once a complete certificate of representation under §97.516 has been submitted and received, the Administrator will rely on the certificate of representation unless and until a superseding complete certificate of representation under §97.516 is received by the Administrator.
(b) Except as provided in paragraph (a) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission, of a designated representative or alternate designated representative shall affect any representation, action, inaction, or submission of the designated representative or alternate designated representative or the finality of any decision or order by the Administrator under the TR NOX Ozone Season Trading Program.
(c) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of any designated representative or alternate designated representative, including private legal disputes concerning the proceeds of TR NOX Ozone Season allowance transfers.
§ 97.518  Delegation by designated representative and alternate designated representative.
(a) A designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(b) An alternate designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(c) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (a) or (b) of this section, the designated representative or alternate designated representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements:
(1) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such designated representative or alternate designated representative;
(2) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to in this section as an "agent");
(3) For each such natural person, a list of the type or types of electronic submissions under paragraph (a) or (b) of this section for which authority is delegated to him or her; and
(4) The following certification statements by such designated representative or alternate designated representative:
(i) "I agree that any electronic submission to the Administrator that is made by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am a designated representative or alternate designated representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.518(d) shall be deemed to be an electronic submission by me."
(ii) "Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.518(d), I agree to maintain an e-mail account and to notify the Administrator immediately of any change in my e-mail address unless all delegation of authority by me under 40 CFR 97.518 is terminated.".
(d) A notice of delegation submitted under paragraph (c) of this section shall be effective, with regard to the designated representative or alternate designated representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of delegation submitted by such designated representative or alternate designated representative, as appropriate. The superseding notice of delegation may replace any previously identified agent, add a new agent, or eliminate entirely any delegation of authority.
(e) Any electronic submission covered by the certification in paragraph (c)(4)(i) of this section and made in accordance with a notice of delegation effective under paragraph (d) of this section shall be deemed to be an electronic submission by the designated representative or alternate designated representative submitting such notice of delegation.
§ 97.519  [Reserved] 
§ 97.520  Establishment of compliance accounts, assurance accounts, and general accounts.
(a) Compliance accounts.  Upon receipt of a complete certificate of representation under §97.516, the Administrator will establish a compliance account for the TR NOX Ozone Season source for which the certificate of representation was submitted, unless the source already has a compliance account.  The designated representative and any alternate designated representative of the source shall be the authorized account representative and the alternate authorized account representative respectively of the compliance account.
(b) Assurance accounts.  The Administrator will establish assurance accounts for certain owners and operators and States in accordance with §97.525(b)(3).  
 (c) General accounts. (1) Application for general account.  (i) Any person may apply to open a general account, for the purpose of holding and transferring TR NOX Ozone Season allowances, by submitting to the Administrator a complete application for a general account.  Such application shall designate one and only one authorized account representative and may designate one and only one alternate authorized account representative who may act on behalf of the authorized account representative. 
(A) The authorized account representative and alternate authorized account representative shall be selected by an agreement binding on the persons who have an ownership interest with respect to TR NOX Ozone Season allowances held in the general account. 
(B) The agreement by which the alternate authorized account representative is selected shall include a procedure for authorizing the alternate authorized account representative to act in lieu of the authorized account representative.
(ii) A complete application for a general account 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 authorized account representative and any alternate authorized account representative;
(B) An identifying name for the general account;
(C) A list of all persons subject to a binding agreement for the authorized account representative and any alternate authorized account representative to represent their ownership interest with respect to the TR NOX Ozone Season allowances held in the general account;
(D) The following certification statement by the authorized account representative and any alternate authorized account representative: "I certify that I was selected as the authorized account representative or the alternate authorized account representative, as applicable, by an agreement that is binding on all persons who have an ownership interest with respect to TR NOX Ozone Season allowances held in the general account. I certify that I have all the necessary authority to carry out my duties and responsibilities under the TR NOX Ozone Season 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 decision or order issued to me by the Administrator regarding the general account."
(E) The signature of the authorized account representative and any alternate authorized account representative and the dates signed.
(iii) Unless otherwise required by the Administrator, documents of agreement referred to in the application for a general account shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
(2) Authorization of authorized account representative and alternate authorized account representative.  (i) Upon receipt by the Administrator of a complete application for a general account under paragraph (b)(1) of this section,  the Administrator will establish a general account for the person or persons for whom the application is submitted, and upon and after such receipt by the Administrator: 
(A) The authorized account representative of the general account shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each person who has an ownership interest with respect to TR NOX Ozone Season allowances held in the general account in all matters pertaining to the TR NOX Ozone Season Trading Program, notwithstanding any agreement between the authorized account representative and such person. 
(B) Any alternate authorized account representative shall be authorized, and any representation, action, inaction, or submission by any alternate authorized account representative shall be deemed to be a representation, action, inaction, or submission by the authorized account representative.
(C) Each person who has an ownership interest with respect to TR NOX Ozone Season allowances held in the general account shall be bound by any decision or order issued to the authorized account representative or alternate authorized account representative by the Administrator regarding the general account. 
(ii) Except as provided in paragraph (c)(5) of this section concerning delegation of authority to make submissions, each submission concerning the general account shall be made, signed, and certified by the authorized account representative or any alternate authorized account representative for the persons having an ownership interest with respect to TR NOX Ozone Season allowances held in the general account.  Each such submission shall include the following certification statement by the authorized account representative or any alternate authorized account representative: "I am authorized to make this submission on behalf of the persons having an ownership interest with respect to the TR NOX Ozone Season allowances held in the general account. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments.  Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete.  I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
(iii) Except in this section, whenever the term "authorized account representative" is used in this subpart, the term shall be construed to include the authorized account representative or any alternate authorized account representative.
(3) Changing authorized account representative and alternate authorized account representative; changes in persons with ownership interest.  (i) The authorized account representative of 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 (c)(1) of this section.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new authorized account representative and the persons with an ownership interest with respect to the TR NOX Ozone Season allowances in the general account.
(ii) The alternate authorized account representative of 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 (c)(1) of this section.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new alternate authorized account representative, the authorized account representative, and the persons with an ownership interest with respect to the TR NOX Ozone Season allowances in the general account.
(iii)(A) In the event a person having an ownership interest with respect to TR NOX Ozone Season allowances in the general account is not included in the list of such persons in the application for a general account, such person shall be deemed to be subject to and bound by the application for a general account, the representation, actions, inactions, and submissions of the authorized account representative and any alternate authorized account representative of the account, and the decisions and orders of the Administrator, as if the person were included in such list.
(B) Within 30 days after any change in the persons having an ownership interest with respect to NOX Ozone Season allowances in the general account, including the addition or removal of a person, the authorized account representative or any alternate 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 TR NOX Ozone Season allowances in the general account to include the change.
(4) Objections concerning authorized account representative and alternate authorized account representative.  (i) Once a complete application for a general account under paragraph (c)(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 (c)(4)(i) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account shall affect any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative or the finality of any decision or order by the Administrator under the TR NOX Ozone Season Trading Program.
(iii) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account, including private legal disputes concerning the proceeds of TR NOX Ozone Season allowance transfers.
(5) Delegation by authorized account representative and alternate authorized account representative.  (i) An authorized account representative of a general account may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(ii) An alternate authorized account representative of a general account may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(iii) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (c)(5)(i) or (ii) of this section, the authorized account representative or alternate authorized account representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements:
(A) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such authorized account representative or alternate authorized account representative;
(B) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to in this section as an "agent");
(C) For each such natural person, a list of the type or types of electronic submissions under paragraph (c)(5)(i) or (ii) of this section for which authority is delegated to him or her;
(D) The following certification statement by such authorized account representative or alternate authorized account representative:  "I agree that any electronic submission to the Administrator that is made by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am an authorized account representative or alternate authorized representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.520(c)(5)(iv) shall be deemed to be an electronic submission by me."; and
(E) The following certification statement by such authorized account representative or alternate authorized account representative: "Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.520(c)(5)(iv), I agree to maintain an e-mail account and to notify the Administrator immediately of any change in my e-mail address unless all delegation of authority by me under 40 CFR 97.520(c)(5) is terminated.".
(iv) A notice of delegation submitted under paragraph (c)(5)(iii) of this section shall be effective, with regard to the authorized account representative or alternate authorized account representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of delegation submitted by such authorized account representative or alternate authorized account representative, as appropriate.  The superseding notice of delegation may replace any previously identified agent, add a new agent, or eliminate entirely any delegation of authority.
(v) Any electronic submission covered by the certification in paragraph (c)(5)(iii)(D) of this section and made in accordance with a notice of delegation effective under paragraph (c)(5)(iv) of this section shall be deemed to be an electronic submission by the designated representative or alternate designated representative submitting such notice of delegation.
(6) Closing a general account. (i) The authorized account representative or alternate authorized account representative of a general account may submit to the Administrator a request to close the account.  Such request shall include a correctly submitted TR NOX Ozone Season allowance transfer under §97.522 for any TR NOX Ozone Season allowances in the account to one or more other Allowance Management System accounts.
(ii) If a general account has no TR NOX Ozone Season allowance transfers to or from the account for a 12-month period or longer and does not contain any TR NOX Ozone Season allowances, the Administrator may notify the authorized account representative for the account that the account will be closed after 30 days after the notice is sent.  The account will be closed after the 30-day period unless, before the end of the 30-day period, the Administrator receives a correctly submitted TR NOX Ozone Season allowance transfer under §97.522 to the account or a statement submitted by the authorized account representative or alternate authorized account representative demonstrating to the satisfaction of the Administrator good cause as to why the account should not be closed.
(d) Account identification.  The Administrator will assign a unique identifying number to each account established under paragraph (a), (b), or (c) of this section.
(e) Responsibilities of authorized account representative and alternate authorized account representative.  After the establishment of a compliance account or general account, the Administrator will accept or act on a submission pertaining to the account, including, but not limited to, submissions concerning the deduction or transfer of TR NOX Ozone Season allowances in the account, only if the submission has been made, signed, and certified in accordance with §§97.514(a) and 97.518 or paragraphs (c)(2)(ii) and (c)(5) of this section. 
§ 97.521  Recordation of TR NOX Ozone Season allowance allocations and auction results.
(a) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER], the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source in accordance with §97.511(a) for the control period in 2012.
(b) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER], the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source in accordance with §97.511(a) for the control period in 2013, unless the State in which the source is located notifies the Administrator in writing by [INSERT DATE 70 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER] of the State's intent to submit to the Administrator a complete SIP revision by April 1, 2012 meeting the requirements of §52.38(b)(3)(i) through (iv) of this chapter.
(1) If, by April 1, 2012, the State does not submit to the Administrator such complete SIP revision, the Administrator will record by April 15, 2012 in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source in accordance with §97.511(a) for the control period in 2013.
(2) If the State submits to the Administrator by April 1, 2012, and the Administrator approves by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source as provided in such approved, complete SIP revision for the control period in 2013.
(3) If the State submits to the Administrator by April 1, 2012, and the Administrator does not approve by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source in accordance with §97.511(a) for the control period in 2013. 
(c) By July 1, 2013, the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source, or in each appropriate Allowance Management System account the TR NOX Ozone Season allowances auctioned to TR NOX Ozone Season units, in accordance with §97.511(a), or with a SIP revision approved under §52.38(b)(4) or (5) of this chapter, for the control period in 2014 and 2015.
(d) By July 1, 2014, the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source, or in each appropriate Allowance Management System account the TR NOX Ozone Season allowances auctioned to TR NOX Ozone Season units, in accordance with §97.511(a), or with a SIP revision approved under §52.38(b)(4) or (5) of this chapter, for the control period in 2016 and 2017.
(e) By July 1, 2015, the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source, or in each appropriate Allowance Management System account the TR NOX Ozone Season allowances auctioned to TR NOX Ozone Season units, in accordance with §97.511(a), or with a SIP revision approved under §52.38(b)(4) or (5) of this chapter, for the control period in 2018 and 2019.
(f) By July 1, 2016 and July 1 of each year thereafter, the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source, or in each appropriate Allowance Management System account the TR NOX Ozone Season allowances auctioned to TR NOX Ozone Season units, in accordance with §97.511(a), or with a SIP revision approved under §52.38(b)(4) or (5) of this chapter, for the control period in the fourth year after the year of the applicable recordation deadline under this paragraph.
(g) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source, or in each appropriate Allowance Management System account the TR NOX Ozone Season allowances auctioned to TR NOX Ozone Season units, in accordance with §97.512(a)(2) through (8) and (12), or with a SIP revision approved under §52.38(b)(4) or (5) of this chapter, for the control period in the year of the applicable recordation deadline under this paragraph.
(h) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source in accordance with §97.512(b)(2) through (8) and (12) for the control period in the year of the applicable recordation deadline under this paragraph.
(i) By November 15, 2012 and November 15 of each year thereafter, the Administrator will record in each TR NOX Ozone Season source's compliance account the TR NOX Ozone Season allowances allocated to the TR NOX Ozone Season units at the source in accordance with §97.512(a)(9) through (12), for the control period in the year of the applicable recordation deadline under this paragraph.
(j) By the date on which any allocation or auction results, other than an allocation or auction results described in paragraphs (a) through (i) of this section, of TR NOX Ozone Season allowances to a recipient is made by or are submitted to the Administrator in accordance with §97.511 or §97.512 or with a SIP revision approved under §52.38(b)(4) or (5) of this chapter, the Administrator will record such allocation or auction results in the appropriate Allowance Management System account. 
(k) When recording the allocation or auction of TR NOX Ozone Season allowances to a TR NOX Ozone Season unit or other entity in an Allowance Management System account, the Administrator will assign each TR NOX Ozone Season allowance a unique identification number that will include digits identifying the year of the control period for which the TR NOX Ozone Season allowance is allocated or auctioned.
§ 97.522  Submission of TR NOX Ozone Season allowance transfers.
(a) An authorized account representative seeking recordation of a TR NOX Ozone Season allowance transfer shall submit the transfer to the Administrator. 
(b) A TR NOX Ozone Season allowance transfer shall be correctly submitted if: 
(1) The transfer includes the following elements, in a format prescribed by the Administrator:
(i) The account numbers established by the Administrator for both the transferor and transferee accounts;
(ii) The serial number of each TR NOX Ozone Season allowance that is in the transferor account and is to be transferred; and
(iii) The name and signature of the authorized account representative of the transferor account and the date signed; and
(2) When the Administrator attempts to record the transfer, the transferor account includes each TR NOX Ozone Season allowance identified by serial number in the transfer. 
§ 97.523  Recordation of TR NOX Ozone Season allowance transfers.
(a) Within 5 business days (except as provided in paragraph (b) of this section) of receiving a TR NOX Ozone Season allowance transfer that is correctly submitted under §97.522, the Administrator will record a TR NOX Ozone Season allowance transfer by moving each TR NOX Ozone Season allowance from the transferor account to the transferee account as specified in the transfer.  
(b) A TR NOX Ozone Season allowance transfer to or from a compliance account that is submitted for recordation after the allowance transfer deadline for a control period and that includes any TR NOX Ozone Season allowances allocated for any control period before such allowance transfer deadline will not be recorded until after the Administrator completes the deductions from such compliance account under §97.524 for the control period immediately before such allowance transfer deadline.
(c) Where a TR NOX Ozone Season allowance transfer is not correctly submitted under §97.522, the Administrator will not record such transfer.
(d) Within 5 business days of recordation of a TR NOX Ozone Season allowance transfer under paragraphs (a) and (b) of the section, the Administrator will notify the authorized account representatives of both the transferor and transferee accounts.
(e) Within 10 business days of receipt of a TR NOX Ozone Season allowance transfer that is not correctly submitted under §97.522, the Administrator will notify the 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.
§ 97.524  Compliance with TR NOX Ozone Season emissions limitation.
(a) Availability for deduction for compliance.  TR NOX Ozone Season allowances are available to be deducted for compliance with a source's TR NOX Ozone Season emissions limitation for a control period in a given year only if the TR NOX Ozone Season allowances:
(1) Were allocated for such control period or a control period in a prior year; and
(2) Are held in the source's compliance account as of the allowance transfer deadline for such control period.   
(b) Deductions for compliance.  After the recordation, in accordance with §97.523, of TR NOX Ozone Season allowance transfers submitted by the allowance transfer deadline for a control period in a given year, the Administrator will deduct from each source's compliance account TR NOX Ozone Season allowances available under paragraph (a) of this section in order to determine whether the source meets the TR NOX Ozone Season emissions limitation for such control period, as follows:
(1) Until the amount of TR NOX Ozone Season allowances deducted equals the number of tons of total NOX emissions from all TR NOX Ozone Season units at the source for such control period; or
(2) If there are insufficient TR NOX Ozone Season allowances to complete the deductions in paragraph (b)(1) of this section, until no more TR NOX Ozone Season allowances available under paragraph (a) of this section remain in the compliance account.
(c)(1) Identification of TR NOX Ozone Season allowances by serial number.  The authorized account representative for a source's compliance account may request that specific TR NOX Ozone Season allowances, identified by serial number, in the compliance account be deducted for emissions or excess emissions for a control period in a given year in accordance with paragraph (b) or (d) of this section.  In order to be complete, such request shall be submitted to the Administrator by the allowance transfer deadline for such control period and include, in a format prescribed by the Administrator, the identification of the TR NOX Ozone Season source and the appropriate serial numbers.
(2) First-in, first-out.  The Administrator will deduct TR NOX Ozone Season allowances under paragraph (b) or (d) of this section from the source's compliance account in accordance with a complete request under paragraph (c)(1) of this section or, in the absence of such request or in the case of identification of an insufficient amount of TR NOX Ozone Season allowances in such request, on a first-in, first-out accounting basis in the following order:
(i) Any TR NOX Ozone Season allowances that were allocated to the units at the source and not transferred out of the compliance account, in the order of recordation; and then
(ii) Any TR NOX Ozone Season allowances that were allocated to any unit and transferred to and recorded in the compliance account pursuant to this subpart, in the order of recordation.
(d) Deductions for excess emissions.  After making the deductions for compliance under paragraph (b) of this section for a control period in a year in which the TR NOX Ozone Season source has excess emissions, the Administrator will deduct from the source's compliance account an amount of TR NOX Ozone Season allowances, allocated for a control period in a prior year or the control period in the year of the excess emissions or in the immediately following year, equal to two times the number of tons of the source's excess emissions.
(e) Recordation of deductions.  The Administrator will record in the appropriate compliance account all deductions from such an account under paragraphs (b) and (d) of this section.
§ 97.525  Compliance with TR NOX Ozone Season assurance provisions.
(a) Availability for deduction.  TR NOX Ozone Season allowances are available to be deducted for compliance with the TR NOX Ozone Season assurance provisions for a control period in a given year by the owners and operators of a group of one or more TR NOX Ozone Season sources and units in a State (and Indian country within the borders of such State) only if the TR NOX Ozone Season allowances: 
(1) Were allocated for a control period in a prior year or the control period in the given year or in the immediately following year; and
(2) Are held in the assurance account, established by the Administrator for such owners and operators of such group of TR NOX Ozone Season sources and units in such State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, as of the deadline established in paragraph (b)(4) of this section.   
(b) Deductions for compliance.  The Administrator will deduct TR NOX Ozone Season allowances available under paragraph (a) of this section for compliance with the TR NOX Ozone Season assurance provisions for a State for a control period in a given year in accordance with the following procedures:
(1) By June 1, 2013 and June 1 of each year thereafter, the Administrator will:
(i) Calculate, for each State (and Indian country within the borders of such State), the total NOX emissions from all TR NOX Ozone Season units at TR NOX Ozone Season sources in the State (and Indian country within the borders of such State) during the control period in the year before the year of this calculation deadline and the amount, if any, by which such total NOX emissions exceed the State assurance level as described in §97.506(c)(2)(iii); and
(ii) Promulgate a notice of data availability of the results of the calculations required in paragraph (b)(1)(i) of this section, including separate calculations of the NOX emissions from each TR NOX Ozone Season source.  
(2) For each notice of data availability required in paragraph (b)(1)(ii) of this section and for any State (and Indian country within the borders of such State) identified in such notice as having TR NOX Ozone Season units with total NOX emissions exceeding the State assurance level for a control period in a given year, as described in §97.506(c)(2)(iii):
(i) By July 1 immediately after the promulgation of such notice, the designated representative of each TR NOX Ozone Season source in each such State (and Indian country within the borders of such State) shall submit a statement, in a format prescribed by the Administrator, providing for each TR NOX Ozone Season unit (if any) at the source that operates during, but is not allocated an amount of TR NOX Ozone Season allowances for, such control period, the unit's allowable NOX emission rate for such control period and, if such rate is expressed in lb per mmBtu, the unit's heat rate.  
(ii) By August 1 immediately after the promulgation of such notice, the Administrator will calculate, for each such State (and Indian country within the borders of such State) and such control period and each common designated representative for such control period for a group of one or more TR NOX Ozone Season sources and units in the State (and Indian country within the borders of such State), the common designated representative's share of the total NOX emissions from all TR NOX Ozone Season units at TR NOX Ozone Season sources in the State (and Indian country within the borders of such State), the common designated representative's assurance level, and the amount (if any) of TR NOX Ozone Season allowances that the owners and operators of such group of sources and units must hold in accordance with the calculation formula in §97.506(c)(2)(i) and will promulgate a notice of data availability of the results of these calculations.     
(iii) The Administrator will provide an opportunity for submission of objections to the calculations referenced by the notice of data availability required in paragraph (b)(2)(ii) of this section and the calculations referenced by the relevant notice of data availability required in paragraph (b)(1)(i) of this section.  
(A) Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations referenced in the relevant notice required under paragraph (b)(1)(ii) of this section and referenced in the notice required under paragraph (b)(2)(ii) of this section are in accordance with §97.506(c)(2)(iii), §§97.506(b) and 97.530 through 97.535, the definitions of "common designated representative", "common designated representative's assurance level", and "common designated representative's share" in §97.502, and the calculation formula in §97.506(c)(2)(i).
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(iii)(A) of this section.  By October 1 immediately after the promulgation of such notice, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iii)(A) of this section.
(3) For any State (and Indian country within the borders of such State) referenced in each notice of data availability required in paragraph (b)(2)(iii)(B) of this section as having TR NOX Ozone Season units with total NOX emissions exceeding the State assurance level for a control period in a given year, the Administrator will establish one assurance account for each set of owners and operators referenced, in the notice of data availability required under paragraph (b)(2)(iii)(B) of this section, as all of the owners and operators of a group of TR NOX Ozone Season sources and units in the State (and Indian country within the borders of such State) having a common designated representative for such control period and as being required to hold TR NOX Ozone Season allowances.     
(4)(i) As of midnight of November 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section, the owners and operators described in paragraph (b)(3) of this section shall hold in the assurance account established for the them and for the appropriate TR NOX Ozone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section a total amount of TR NOX Ozone Season allowances, available for deduction under paragraph (a) of this section, equal to the amount such owners and operators are required to hold with regard to such sources, units and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in such notice.  
(ii) Notwithstanding the allowance-holding deadline specified in paragraph (b)(4)(i) of this section, if November 1 is not a business day, then such allowance-holding deadline shall be midnight of the first business day thereafter.
(5) After November 1 (or the date described in paragraph (b)(4)(ii) of this section) immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section and after the recordation, in accordance with §97.523, of TR NOX Ozone Season allowance transfers submitted by midnight of such date, the Administrator will determine whether the owners and operators described in paragraph (b)(3) of this section hold, in the assurance account for the appropriate TR NOX Ozone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) established under paragraph (b)(3) of this section, the amount of TR NOX Ozone Season allowances available under paragraph (a) of this section that the owners and operators are required to hold with regard to such sources, units, and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in the notice required in paragraph (b)(2)(iii)(B) of this section.
(6) Notwithstanding any other provision of this subpart and any revision, made by or submitted to the Administrator after the promulgation of the notice of data availability required in paragraph (b)(2)(iii)(B) of this section for a control period in a given year, of any data used in making the calculations referenced in such notice, the amounts of TR NOX Ozone Season allowances that the owners and operators are required to hold in accordance with §97.506(c)(2)(i) for such control period shall continue to be such amounts as calculated by the Administrator and referenced in such notice required in paragraph (b)(2)(iii)(B) of this section, except as follows:
(i) If any such data are revised by the Administrator as a result of a decision in or settlement of litigation concerning such data on appeal under part 78 of this chapter of such notice, or on appeal under section 307 of the Clean Air Act of a decision rendered under part 78 of this chapter on appeal of such notice, then the Administrator will use the data as so revised to recalculate the amounts of TR NOX Ozone Season allowances that owners and operators are required to hold in accordance with the calculation formula in §97.506(c)(2)(i) for such control period with regard to the TR NOX Ozone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) involved, provided that such litigation under part 78 of this chapter, or the proceeding under part 78 of this chapter that resulted in the decision appealed in such litigation under section 307 of the Clean Air Act, was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section.
(ii) If any such data are revised by the owners and operators of a TR NOX Ozone Season source and TR NOX Ozone Season unit whose designated representative submitted such data under paragraph (b)(2)(i) of this section, as a result of a decision in or settlement of litigation concerning such submission, then the Administrator will use the data as so revised to recalculate the amounts of TR NOX Ozone Season allowances that owners and operators are required to hold in accordance with the calculation formula in §97.506(c)(2)(i) for such control period with regard to the TR NOX Ozone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) involved, provided that such litigation was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section.
(iii) If the revised data are used to recalculate, in accordance with paragraphs (b)(6)(i) and (ii) of this section, the amount of TR NOX Ozone Season allowances that the owners and operators are required to hold for such control period with regard to the TR NOX Ozone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) involved --  
(A) Where the amount of TR NOX Ozone Season allowances that the owners and operators are required to hold increases as a result of the use of all such revised data, the Administrator will establish a new, reasonable deadline on which the owners and operators shall hold the additional amount of TR NOX Ozone Season allowances in the assurance account established by the Administrator for the appropriate TR NOX Ozone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section.  The owners' and operators' failure to hold such additional amount, as required, before the new deadline shall not be a violation of the Clean Air Act.  The owners' and operators' failure to hold such additional amount, as required, as of the new deadline shall be a violation of the Clean Air Act.  Each TR NOX Ozone Season allowance that the owners and operators fail to hold as required as of the new deadline, and each day in such control period, shall be a separate violation of the Clean Air Act.  
(B) For the owners and operators for which the amount of TR NOX Ozone Season allowances required to be held decreases as a result of the use of all such revised data, the Administrator will record, in all accounts from which TR NOX Ozone Season allowances were transferred by such owners and operators for such control period to the assurance account established by the Administrator for the appropriate at TR NOX Ozone Season sources, TR NOX Ozone Season units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, a total amount of the TR NOX Ozone Season allowances held in such assurance account equal to the amount of the decrease.  If TR NOX Ozone Season allowances were transferred to such assurance account from more than one account, the amount of TR NOX Ozone Season allowances recorded in each such transferor account will be in proportion to the percentage of the total amount of TR NOX Ozone Season allowances transferred to such assurance account for such control period from such transferor account.  
(C) Each TR NOX Ozone Season allowance held under paragraph (b)(6)(iii)(A) of this section as a result of recalculation of requirements under the TR NOX Ozone Season assurance provisions for such control period must be a TR NOX Ozone Season allowance allocated for a control period in a year before or the year immediately following, or in the same year as, the year of such control period.      
§ 97.526  Banking.
(a) A TR NOX Ozone Season allowance may be banked for future use or transfer in a compliance account or a general account in accordance with paragraph (b) of this section.
(b) Any TR NOX Ozone Season allowance that is held in a compliance account or a general account will remain in such account unless and until the TR NOX Ozone Season allowance is deducted or transferred under §97.511(c), §97.523, §97.524, §97.525,  97.527, or 97.528.
§ 97.527  Account error.
The Administrator may, at his or her sole discretion and on his or her own motion, correct any error in any Allowance Management System account.  Within 10 business days of making such correction, the Administrator will notify the authorized account representative for the account.
§ 97.528  Administrator's action on submissions.
(a) The Administrator may review and conduct independent audits concerning any submission under the TR NOX Ozone Season Trading Program and make appropriate adjustments of the information in the submission.
(b) The Administrator may deduct TR NOX Ozone Season allowances from or transfer TR NOX Ozone Season allowances to a compliance account or an assurance account, based on the information in a submission, as adjusted under paragraph (a)(1) of this section, and record such deductions and transfers.
§ 97.529  [RESERVED]
§ 97.530  General monitoring, recordkeeping, and reporting requirements.
The owners and operators, and to the extent applicable, the designated representative, of a TR NOX Ozone Season unit, shall comply with the monitoring, recordkeeping, and reporting requirements as provided in this subpart and subpart H of part 75 of this chapter. For purposes of applying such requirements, the definitions in §97.502 and in §72.2 of this chapter shall apply, 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 "TR NOX Ozone Season unit," "designated representative," and "continuous emission monitoring system" (or "CEMS") respectively as defined in §97.502, and the term "newly affected unit" shall be deemed to mean "newly affected TR NOX Ozone Season unit".  The owner or operator of a unit that is not a TR NOX Ozone Season unit but that is monitored under §75.72(b)(2)(ii) of this chapter shall comply with the same monitoring, recordkeeping, and reporting requirements as a TR NOX Ozone Season unit.
(a) Requirements for installation, certification, and data accounting.  The owner or operator of each TR NOX Ozone Season unit shall:

(1) Install all monitoring systems required under this subpart for monitoring NOX mass emissions and individual unit heat input (including all systems required to monitor NOX emission rate, NOX concentration, stack gas moisture content, stack gas flow rate, CO2 or O2 concentration, and fuel flow rate, as applicable, in accordance with §§75.71 and 75.72 of this chapter);

(2) Successfully complete all certification tests required under §97.531 and meet all other requirements of this subpart and part 75 of this chapter applicable to the monitoring systems under paragraph (a)(1) of this section; and

(3) Record, report, and quality-assure the data from the monitoring systems under paragraph (a)(1) of this section.

(b) Compliance deadlines.  Except as provided in paragraph (e) of this section, the owner or operator shall meet the monitoring system certification and other requirements of paragraphs (a)(1) and (2) of this section on or before the following dates and shall record, report, and quality-assure the data from the monitoring systems under paragraph (a)(1) of this section on and after the following dates.

(1) For the owner or operator of a TR NOX Ozone Season unit that commences commercial operation before July 1, 2011, May 1, 2012.

(2) For the owner or operator of a TR NOX Ozone Season unit that commences commercial operation on or after July 1, 2011 and that reports on an annual basis under §97.534(d), by the later of the following:

(i) 180 calendar days after the date on which the unit commences commercial operation; or

(ii) May 1, 2012.

(3) For the owner or operator of a TR NOX Ozone Season unit that commences commercial operation on or after July 1, 2011 and that reports on a control period basis under §97.534(d)(2)(ii), by the following date:

(i) 180 calendar days after the date on which the unit commences commercial operation; or

(ii) If the compliance date under paragraph (b)(3)(i) of this section is not during a control period, May 1 immediately after the compliance date under paragraph (b)(3)(i) of this section.

(4) The owner or operator of a TR NOX Ozone Season unit for which construction of a new stack or flue or installation of add-on NOX emission controls is completed after the applicable deadline under paragraph (b)(1), (2), or (3) of this section shall meet the requirements of §§75.4(e)(1) through (e)(4) of this chapter, except that:
(i) Such requirements shall apply to the monitoring systems required under §97.530 through §97.535, rather than the monitoring systems required under part 75 of this chapter;
(ii) NOX emission rate, NOX concentration, stack gas moisture content, stack gas volumetric flow rate, and O2 or CO2 concentration data shall be determined and reported, rather than the data listed in §75.4(e)(2) of this chapter; and
(iii) Any petition for another procedure under §75.4(e)(2) of this chapter shall be submitted under §97.535, rather than §75.66.
(c) Reporting data.  The owner or operator of a TR NOX Ozone Season unit that does not meet the applicable compliance date set forth in paragraph (b) of this section for any monitoring system under paragraph (a)(1) of this section shall, for each such monitoring system, determine, record, and report maximum potential (or, as appropriate, minimum potential) values for NOX concentration, NOX emission rate, stack gas flow rate, stack gas moisture content, fuel flow rate, and any other parameters required to determine NOX mass emissions and heat input in accordance with § 75.31(b)(2) or (c)(3) of this chapter, section 2.4 of appendix D to part 75 of this chapter, or section 2.5 of appendix E to part 75 of this chapter, as applicable.

(d) Prohibitions.  (1) No owner or operator of a TR NOX Ozone Season unit shall use any alternative monitoring system, alternative reference method, or any other alternative to any requirement of this subpart without having obtained prior written approval in accordance with §97.535.

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

(3) No owner or operator of a TR NOX Ozone Season unit shall disrupt the continuous emission monitoring system, any portion thereof, or any other approved emission monitoring method, and thereby avoid monitoring and recording NOX mass discharged into the atmosphere or heat input, except for periods of recertification or periods when calibration, quality assurance testing, or maintenance is performed in accordance with the applicable provisions of this subpart and part 75 of this chapter.

(4) No owner or operator of a TR NOX Ozone Season unit shall retire or permanently discontinue use of the continuous emission monitoring system, any component thereof, or any other approved monitoring system under this subpart, except under any one of the following circumstances:

(i) During the period that the unit is covered by an exemption under §97.505 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 Administrator 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 designated representative submits notification of the date of certification testing of a replacement monitoring system for the retired or discontinued monitoring system in accordance with §97.531(d)(3)(i).

(e) Long-term cold storage. The owner or operator of a TR NOX Ozone Season unit is subject to the applicable provisions of §75.4(d) of this chapter concerning units in long-term cold storage.
§ 97.531  Initial monitoring system certification and recertification procedures.
 (a) The owner or operator of a TR NOX Ozone Season unit shall be exempt from the initial certification requirements of this section for a monitoring system under §97.530(a)(1) if the following conditions are met:

(1) The monitoring system has been previously certified in accordance with part 75 of this chapter; and

(2) The applicable quality-assurance and quality-control requirements of §75.21 of this chapter and appendices B, D, and E to part 75 of this chapter are fully met for the certified monitoring system described in paragraph (a)(1) of this section.

(b) The recertification provisions of this section shall apply to a monitoring system under §97.530(a)(1) that is exempt from initial certification requirements under paragraph (a) of this section.

(c) If the Administrator has previously 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 §75.12 or §75.17 of this chapter, the designated representative shall resubmit the petition to the Administrator under §97.535 to determine whether the approval applies under the TR NOX Ozone Season Trading Program.

(d) Except as provided in paragraph (a) of this section, the owner or operator of a TR NOX Ozone Season unit shall comply with the following initial certification and recertification procedures for a continuous monitoring system (i.e., a continuous emission monitoring system and an excepted monitoring system under appendices D and E to part 75 of this chapter) under §97.530(a)(1).  The owner or operator of 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 procedures in paragraph (e) or (f) of this section respectively.

(1) Requirements for initial certification. The owner or operator shall ensure that each continuous monitoring system under §97.530(a)(1) (including 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 §97.530(b).  In addition, whenever the owner or operator installs a monitoring system to meet the requirements of this subpart in a location where no such monitoring system was previously installed, initial certification in accordance with §75.20 of this chapter is required.

(2) Requirements for recertification. Whenever the owner or operator makes a replacement, modification, or change in any certified continuous emission monitoring system under §97.530(a)(1) that may significantly affect the ability of the system to accurately measure or record NOX mass emissions or heat input rate or to meet the quality-assurance and quality-control requirements of §75.21 of this chapter or appendix B to part 75 of this chapter, the owner or operator shall recertify the monitoring system in accordance with §75.20(b) of this chapter. Furthermore, whenever the owner or operator makes a replacement, modification, or change to the flue gas handling system or the unit's operation that may significantly change the stack flow or concentration profile, the owner or operator shall recertify each continuous emission monitoring system whose accuracy is potentially affected by the change, in accordance with §75.20(b) of this chapter. Examples of changes to a continuous emission monitoring system that require recertification include: replacement of the analyzer, complete replacement of an existing continuous emission monitoring system, or change in location or orientation of the sampling probe or site. Any fuel flowmeter system, and any excepted NOX monitoring system under appendix E to part 75 of this chapter, under §97.530(a)(1) are subject to the recertification requirements in §75.20(g)(6) of this chapter.

(3) Approval process for initial certification and recertification. For initial certification of a continuous monitoring system under §97.530(a)(1), paragraphs (d)(3)(i) through (v) of this section apply.  For recertifications of such monitoring systems, paragraphs (d)(3)(i) through (iv) of this section  and the procedures in §§75.20(b)(5) and (g)(7) of this chapter (in lieu of the procedures in paragraph (d)(3)(v) of this section) apply, provided that in applying paragraphs (d)(3)(i) through (iv) of this section, the words "certification" and "initial certification" are replaced by the word "recertification" and the word "certified" is replaced by with the word "recertified".  

(i) Notification of certification. The designated representative shall submit to the appropriate EPA Regional Office and the Administrator written notice of the dates of certification testing, in accordance with §97.533.

(ii) Certification application. The designated representative shall submit to the Administrator a certification application for each monitoring system. A complete certification application shall include the information specified in §75.63 of this chapter.

(iii) Provisional certification date. The provisional certification date for a monitoring system shall be determined in accordance with §75.20(a)(3) of this chapter. A provisionally certified monitoring system may be used under the TR NOX Ozone Season 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 (d)(3)(ii) of this section. Data measured and recorded by the provisionally certified monitoring system, in accordance with the requirements of part 75 of this chapter, will be considered valid quality-assured data (retroactive to the date and time of provisional certification), provided that the Administrator does not invalidate the provisional certification by issuing a notice of disapproval within 120 days of the date of receipt of the complete certification application by the Administrator.

(iv) Certification application 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 (d)(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 TR NOX Ozone Season Trading Program.

(A) Approval notice. If the certification application is complete and shows that each monitoring system meets the applicable performance requirements of part 75 of this chapter, then the Administrator will issue a written notice of approval of the certification application within 120 days of receipt.

(B) Incomplete application notice. If the certification application is not complete, then the Administrator will issue a written notice of incompleteness that sets a reasonable date by which the designated representative must submit the additional information required to complete the certification application. If the designated representative does not comply with the notice of incompleteness by the specified date, then the Administrator may issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this section. 


(C) Disapproval notice. If the certification application shows that any monitoring system does not meet the performance requirements of part 75 of this chapter or if the certification application is incomplete and the requirement for disapproval under paragraph (d)(3)(iv)(B) of this section is met, then the 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). 
(D) Audit decertification. The Administrator may issue a notice of disapproval of the certification status of a monitor in accordance with § 97.532(b).

(v) Procedures for loss of certification. If the Administrator issues a notice of disapproval of a certification application under paragraph (d)(3)(iv)(C) of this section or a notice of disapproval of certification status under paragraph (d)(3)(iv)(D) of this section, then:

(A) The owner or operator shall substitute the following values, for each disapproved monitoring system, for each hour of unit operation during the period of invalid data specified under §75.20(a)(4)(iii), § 75.20(g)(7), or § 75.21(e) of this chapter and continuing until the applicable date and hour specified under §75.20(a)(5)(i) or (g)(7) of this chapter:

(1) For a disapproved NOX emission rate (i.e., NOX-diluent) system, the maximum potential NOX emission rate, as defined in §72.2 of this chapter.

(2) For a disapproved NOX pollutant concentration monitor and disapproved flow monitor, respectively, the maximum potential concentration of NOX and the maximum potential flow rate, as defined in sections 2.1.2.1 and 2.1.4.1 of appendix A to part 75 of this chapter.

(3) For a disapproved moisture monitoring system and disapproved diluent gas monitoring system, respectively, the minimum potential moisture percentage and either the maximum potential CO2 concentration or the minimum potential O2 concentration (as applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of appendix A to part 75 of this chapter.

(4) For a disapproved fuel flowmeter system, the maximum potential fuel flow rate, as defined in section 2.4.2.1 of appendix D to part 75 of this chapter.

(5) For a disapproved excepted NOX monitoring system under appendix E to part 75 of this chapter, the fuel-specific maximum potential NOX emission rate, as defined in §72.2 of this chapter.

(B) The designated representative shall submit a notification of certification retest dates and a new certification application in accordance with paragraphs (d)(3)(i) and (ii) of this section.

(C) The owner or operator shall repeat all certification tests or other requirements that were failed by the monitoring system, as indicated in the Administrator's notice of disapproval, no later than 30 unit operating days after the date of issuance of the notice of disapproval.

(e) The owner or operator of a unit qualified to use the low mass emissions (LME) excepted methodology under §75.19 of this chapter shall meet the applicable certification and recertification requirements in §§75.19(a)(2) and 75.20(h) of this chapter. If the owner or operator of such a unit elects to certify a fuel flowmeter system for heat input determination, the owner or operator shall also meet the certification and recertification requirements in §75.20(g) of this chapter.

(f) The designated representative of each unit 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 notification and application procedures of §75.20(f) of this chapter.
§ 97.532  Monitoring system out-of-control periods.
(a) General provisions.  Whenever any monitoring system fails to meet the quality-assurance and quality-control requirements or data validation requirements of part 75 of this chapter, data shall be substituted using the applicable missing data procedures in subpart D or subpart H of, or appendix D or appendix E to, part 75 of this chapter.

(b) Audit decertification. Whenever both an audit of a monitoring system and a review of the initial certification or recertification application reveal that any monitoring system should not have been certified or recertified because it did not meet a particular performance specification or other requirement under §97.531 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 monitoring system. For the purposes of this paragraph, an audit shall be either a field audit or an audit of any information submitted to the Administrator or any State or permitting authority. By issuing the notice of disapproval, the Administrator revokes prospectively the certification status of the monitoring system. The data measured and recorded by the monitoring system shall not be considered valid quality-assured data from the date of issuance of the notification of the revoked certification status until the date and time that the owner or operator completes subsequently approved initial certification or recertification tests for the monitoring system. The owner or operator shall follow the applicable initial certification or recertification procedures in §97.531 for each disapproved monitoring system.
§ 97.533  Notifications concerning monitoring.
The designated representative of a TR NOX Ozone Season unit shall submit written notice to the Administrator in accordance with §75.61 of this chapter.
§ 97.534  Recordkeeping and reporting.
(a) General provisions.  The designated representative shall comply with all recordkeeping and reporting requirements in paragraphs (b) through (e) of this section, the applicable recordkeeping and reporting requirements under §75.73 of this chapter, and the requirements of §97.514(a).

(b) Monitoring plans.  The owner or operator of a TR NOX Ozone Season unit shall comply with requirements of §75.73(c) and (e) of this chapter.   
(c) Certification applications.  The designated representative shall submit an application to the Administrator within 45 days after completing all initial certification or recertification tests required under §97.531, including the information required under §75.63 of this chapter.

(d) Quarterly reports.  The designated representative shall submit quarterly reports, as follows:

(1) If the TR NOX Ozone Season unit is subject to the Acid Rain Program or a TR NOX Annual emissions limitation or if the owner or operator of such unit chooses to report on an annual basis under this subpart, the designated representative shall meet the requirements of subpart H of part 75 of this chapter (concerning monitoring of NOX mass emissions) for such unit for the entire year and shall report the NOX mass emissions data and heat input data for such unit, in an electronic quarterly report in a format prescribed by the Administrator, for each calendar quarter beginning with:

(i) For a unit that commences commercial operation before July 1, 2011, the calendar quarter covering May 1, 2012 through June 30, 2012; or

(ii) For a unit that commences commercial operation on or after July 1, 2011, the calendar quarter corresponding to the earlier of the date of provisional certification or the applicable deadline for initial certification under §97.530(b), unless that quarter is the third or fourth quarter of 2011 or the first quarter of 2012, in which case reporting shall commence in the quarter covering May 1, 2012 through June 30, 2012.

(2) If the TR NOX Ozone Season unit is not subject to the Acid Rain Program or a TR NOX Annual emissions limitation, then the designated representative shall either:

(i) Meet the requirements of subpart H of part 75 (concerning monitoring of NOX mass emissions) for such unit for the entire year and report the NOX mass emissions data and heat input data for such unit in accordance with paragraph (d)(1) of this section; or

(ii) Meet the requirements of subpart H of part 75 for the control period (including the requirements in §75.74(c) of this chapter) and report NOX mass emissions data and heat input data (including the data described in §75.74(c)(6) of this chapter) for such unit only for the control period of each year and report, in an electronic quarterly report in a format prescribed by the Administrator, for each calendar quarter beginning with:

(A) For a unit that commences commercial operation before July 1, 2011, the calendar quarter covering May 1, 2012 through June 30, 2012; or

(B) For a unit that commences commercial operation on or after July 1, 2011, the calendar quarter corresponding to the earlier of the date of provisional certification or the applicable deadline for initial certification under §97.530(b), unless that date is not during a control period, in which case reporting shall commence in the quarter that includes May 1 through June 30 of the first control period after such date.
	
(3) The designated representative shall submit each quarterly report to the Administrator within 30 days after the end of the calendar quarter covered by the report. Quarterly reports shall be submitted in the manner specified in §75.73(f) of this chapter.

(4) For TR NOX Ozone Season units that are also subject to the Acid Rain Program, TR NOX Annual Trading Program, TR SO2 Group 1 Trading Program, or TR SO2 Group 2 Trading Program, quarterly reports shall include the applicable data and information required by subparts F through H of part 75 of this chapter as applicable, in addition to the NOX mass emission data, heat input data, and other information required by this subpart.

(5) The Administrator may review and conduct independent audits of any quarterly report in order to determine whether the quarterly report meets the requirements of this subpart and part 75 of this chapter, including the requirement to use substitute data.  
(i) The Administrator will notify the designated representative of any determination that the quarterly report fails to meet any such requirements and specify in such notification any corrections that the Administrator believes are necessary to make through resubmission of the quarterly report and a reasonable time period within which the designated representative must respond.  Upon request by the designated representative, the Administrator may specify reasonable extensions of such time period.  Within the time period (including any such extensions) specified by the Administrator, the designated representative shall resubmit the quarterly report with the corrections specified by the Administrator, except to the extent the designated representative provides information demonstrating that a specified correction is not necessary because the quarterly report already meets the requirements of this subpart and part 75 of this chapter that are relevant to the specified correction.
(6) Any resubmission of a quarterly report shall meet the requirements applicable to the submission of a quarterly report under this subpart and part 75 of this chapter, except for the deadline set forth in paragraph (d)(3) of this section.
(e) Compliance certification.  The designated representative shall submit to the Administrator a compliance certification (in a format prescribed by the Administrator) in support of each quarterly report based on reasonable inquiry of those persons with primary responsibility for ensuring that all of the unit's emissions are correctly and fully monitored.  The certification shall state that:

(1) The monitoring data submitted were recorded in accordance with the applicable requirements of this subpart and part 75 of this chapter, including the quality assurance procedures and specifications;

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

(3) For a unit that is reporting on a control period basis under paragraph (d)(2)(ii) of this section, the NOX emission rate and NOX concentration values substituted for missing data under subpart D of part 75 of this chapter are calculated using only values from a control period and do not systematically underestimate NOX emissions.
§ 97.535  Petitions for alternatives to monitoring, recordkeeping, or reporting requirements.
(a) The designated representative of a TR NOX Ozone Season unit may submit a petition under §75.66 of this chapter to the Administrator, requesting approval to apply an alternative to any requirement of §§97.530 through 97.534.  
(b) A petition submitted under paragraph (a) of this section shall include sufficient information for the evaluation of the petition, including, at a minimum, the following information:
(i) Identification of each unit and source covered by the petition;
(ii) A detailed explanation of why the proposed alternative is being suggested in lieu of the requirement;
(iii) A description and diagram of any equipment and procedures used in the proposed alternative;
(iv) A demonstration that the proposed alternative is consistent with the purposes of the requirement for which the alternative is proposed and with the purposes of this subpart and part 75 of this chapter and that any adverse effect of approving the alternative will be de minimis; and
(v) Any other relevant information that the Administrator may require.  
(c) Use of an alternative to any requirement referenced in paragraph (a) of this section is in accordance with this subpart only to the extent that the petition is approved in writing by the Administrator and that such use is in accordance with such approval.
76. Part 97 is amended by adding subpart CCCCC to read as follows:
Subpart CCCCC -- TR SO2 Group 1 Trading Program                         
97.601  Purpose.
97.602  Definitions.
97.603  Measurements, abbreviations, and acronyms.
97.604  Applicability.
97.605  Retired unit exemption.
97.606  Standard requirements.
97.607  Computation of time.
97.608  Administrative appeal procedures.
97.609  [Reserved]
97.610  State SO2 Group 1 trading budgets, new unit set-            asides, Indian country new unit set-asides and variability limits.
97.611  Timing requirements for TR SO2 Group 1 allowance allocations.
97.612  TR SO2 Group 1 allowance allocations to new units.
97.613  Authorization of designated representative and alternate designated representative.
97.614  Responsibilities of designated representative and alternate designated representative.
97.615  Changing designated representative and alternate designated representative; changes in owners and operators.
97.616  Certificate of representation.
97.617  Objections concerning designated representative and alternate designated representative.
97.618  Delegation by designated representative and alternate designated representative.
97.619  [Reserved] 
97.620  Establishment of compliance accounts and general accounts.
97.621  Recordation of TR SO2 Group 1 allowance allocations.
97.622  Submission of TR SO2 Group 1 allowance transfers.
97.623  Recordation of TR SO2 Group 1 allowance transfers.
97.624  Compliance with TR SO2 Group 1 emissions limitation.
97.625  Compliance with TR SO2 Group 1 assurance provisions.
97.626  Banking.
97.627  Account error.
97.628  Administrator's action on submissions.
97.629  [RESERVED]
97.630  General monitoring, recordkeeping, and reporting requirements.
97.631  Initial monitoring system certification and recertification procedures.
97.632  Monitoring system out-of-control periods.
97.633  Notifications concerning monitoring.
97.634  Recordkeeping and reporting.
97.635  Petitions for alternatives to monitoring, recordkeeping, or reporting requirements.
Subpart CCCCC -- TR SO2 Group 1 Trading Program                         
§ 97.601  Purpose.
This subpart sets forth the general, designated representative, allowance, and monitoring provisions for the Transport Rule (TR) SO2  Group 1 Trading Program, under section 110 of the Clean Air Act and §52.39 of this chapter, as a means of mitigating interstate transport of fine particulates and sulfur dioxide.
§ 97.602  Definitions.
The terms used in this subpart shall have the meanings set forth in this section as follows:
Acid Rain Program means a multi-state SO2 and NOX air pollution control and emission reduction program established by the Administrator under title IV of the Clean Air Act and parts 72 through 78 of this chapter.
Administrator means the Administrator of the United States Environmental Protection Agency or the Director of the Clean Air Markets Division (or its successor determined by the Administrator) of the United States Environmental Protection Agency, the Administrator's duly authorized representative under this subpart.
Allocate or allocation means, with regard to TR SO2 Group 1 allowances, the determination by the Administrator, State, or permitting authority, in accordance with this subpart and any SIP revision submitted by the State and approved by the Administrator under §52.39(d) (e), or (f) of this chapter, of the amount of such TR SO2 Group 1 allowances to be initially credited, at no cost to the recipient, to:
(1) A TR SO2 Group 1 unit;
(2) A new unit set-aside;
(3) An Indian country new unit set-aside; or
(4) An entity not listed in paragraphs (1) through (3) of this definition;
(5) Provided that, if the Administrator, State, or permitting authority initially credits, to a TR SO2 Group 1 unit qualifying for an initial credit, a credit in the amount of zero TR SO2 Group 1 allowances, the TR SO2 Group 1 unit will be treated as being allocated an amount (i.e., zero) of TR SO2 Group 1 allowances.   
Allowable SO2 emission rate means, for a unit, the most stringent State or federal SO2 emission rate limit (in lb/MWhr or, if in lb/mmBtu, converted to lb/MWhr by multiplying it by the unit's heat rate in mmBtu/MWhr) that is applicable to the unit and covers the longest averaging period not exceeding one year.  
Allowance Management System means the system by which the Administrator records allocations, deductions, and transfers of TR SO2 Group 1 allowances under the TR SO2 Group 1 Trading Program.  Such allowances are allocated, recorded, held, deducted, or transferred only as whole allowances.  
Allowance Management System account means an account in the Allowance Management System established by the Administrator for purposes of recording the allocation, holding, transfer, or deduction of TR SO2 Group 1 allowances.
Allowance transfer deadline means, for a control period in a given year, 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 after such control period and is the deadline by which a TR SO2 Group 1 allowance transfer must be submitted for recordation in a TR SO2 Group 1 source's compliance account in order to be available for use in complying with the source's TR SO2  Group 1 emissions limitation for such control period in accordance with §§97.606 and 97.624.
Alternate designated representative means, for a TR SO2 Group 1 source and each TR SO2 Group 1 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 this subpart, to act on behalf of the designated representative in matters pertaining to the TR SO2 Group 1 Trading Program.  If the TR SO2 Group 1 source is also subject to the Acid Rain Program, TR NOX Annual Trading Program, or TR NOX Ozone Season Trading Program, then this natural person shall be the same natural person as the alternate designated representative, as defined in the respective program. 
Assurance account means an Allowance Management System account, established by the Administrator under §97.625(b)(3) for certain owners and operators of a group of one or more TR SO2 Group 1 sources and  units in a given State (and Indian country within the borders of such State), in which are held TR SO2 Group 1 allowances available for use for a control period in a given year in complying with the TR SO2 Group 1 assurance provisions in accordance with §§97.606 and 97.625. 
Authorized account representative means, for a general account, the natural person who is authorized, in accordance with this subpart, to transfer and otherwise dispose of TR SO2 Group 1 allowances held in the general account and, for a TR SO2 Group 1 source's compliance account, the designated representative of the source.
Automated data acquisition and handling system or DAHS means the component of the continuous emission monitoring system, or other emissions monitoring system approved for use under this subpart, 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 this subpart. 
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 material that is nonmerchantable for other purposes, 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 unit means a unit in which the energy input to the unit is first used to produce useful thermal energy, where at least some of the reject heat from the useful thermal energy application or process is then used for electricity production.
Business day means a day that does not fall on a weekend or a federal holiday.
Certifying official means a natural person who is:
(1) For a corporation, a president, secretary, treasurer, or vice-president of 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 means the Clean Air Act, 42 U.S.C. 7401, et seq. 
Coal means "coal" as defined in §72.2 of this chapter.
Coal-derived fuel means any fuel (whether in a solid, liquid, or gaseous state) produced by the mechanical, thermal, or chemical processing of coal.
Cogeneration system means an integrated group, at a source, of equipment (including a boiler, or combustion turbine, and a steam turbine generator) designed to produce useful thermal energy for industrial, commercial, heating, or cooling purposes and electricity through the sequential use of energy. 
Cogeneration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a topping-cycle unit or a bottoming-cycle unit:
(1) Operating as part of a cogeneration system; and
(2) Producing on an annual average basis -- 
(i) For a topping-cycle 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 than 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 unit, useful power not less than 45 percent of total energy input;
(3) Provided that the requirements in paragraph (2) of this definition shall not apply to a calendar year referenced in paragraph (2) of this definition during which the unit did not operate at all;
(4) 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; and
(5) Provided that, if, throughout its operation during the 12-month period or a calendar year referenced in paragraph (2) of this definition, a unit is operated as part of a cogeneration system and the cogeneration system meets on a system-wide basis the requirement in paragraph (2)(i)(B) or (2)(ii) of this definition, the unit shall be deemed to meet such requirement during that 12-month period or calendar year. 
Combustion turbine means an enclosed device comprising:
(1) If the device is simple cycle, 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 device is combined cycle, the equipment described in paragraph (1) of this definition and 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 §97.605.
(i) For a unit that is a TR SO2 Group 1 unit under §97.604 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that subsequently undergoes a physical change or is moved to a new location or 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 TR SO2 Group 1 unit under §97.604 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that is subsequently replaced by a unit at the same or a different source, 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 §97.605, for a unit that is not a TR SO2 Group 1 unit under §97.604 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in introductory text of paragraph (1) of this definition, the unit's date for commencement of commercial operation shall be the date on which the unit becomes a TR SO2 Group 1 unit under §97.604.
(i) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that subsequently undergoes a physical change or is moved to a different location or 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 the introductory text of paragraph (2) of this definition and that is subsequently replaced by a unit at the same or a different source, 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.
Common designated representative means, with regard to a control period in a given year, a designated representative where, as of April 1 immediately after the allowance transfer deadline for such control period, the same natural person is authorized under §§97.613(a) and 97.615(a) as the designated representative for a group of one or more TR SO2 Group 1 sources and units located in a State (and Indian country within the borders of such State).
Common designated representative's assurance level means, with regard to a specific common designated representative and a State (and Indian country within the borders of such State) and control period in a given year for which the State assurance level is exceeded as described in §97.606(c)(2)(iii), the common designated representative's share of the State SO2 Group 1 trading budget with the variability limit for the State for such control period.  
Common designated representative's share means, with regard to a specific common designated representative for a control period in a given year:
(1) With regard to a total amount of SO2 emissions from all TR SO2 Group 1 units in a State (and Indian country within the borders of such State) during such control period, the total tonnage of SO2 emissions during such control period from a group of one or more TR SO2 Group 1 units located in such State (and such Indian country) and having the common designated representative for such control period; 
(2) With regard to a State SO2 Group 1 trading budget for such control period, the amount (rounded to the nearest allowance) equal to the sum of the total amount of TR SO2 Group 1 allowances allocated for such control period to a group of one or more TR SO2 Group 1 units located in the State (and Indian country within the borders of such State) and having the common designated representative for such control period and of the total amount of TR SO2 Group 1 allowances purchased by an owner or operator of such TR SO2 Group 1 units in an auction for such control period and submitted by the State or the permitting authority to the Administrator for recordation in the compliance accounts for such TR SO2 Group 1 units in accordance with the TR SO2 Group 1 allowance auction provisions in a SIP revision approved by the Administrator under §52.39(e) or (f) of this chapter, multiplied by the sum of the State SO2 Group 1 trading budget under §97.610(a) and the State's variability limit under §97.610(b) for such control period and divided by such State SO2 Group 1 trading budget; 
(3) Provided that, in the case of a unit that operates during, but has no amount of TR SO2 Group 1 allowances allocated under §§97.611 and 97.612 for, such control period, the unit shall be treated, solely for purposes of this definition, as being allocated an amount (rounded to the nearest allowance) of TR SO2 Group 1 allowances for such control period equal to the  unit's allowable SO2 emission rate applicable to such control period, multiplied by a capacity factor of 0.85 (if the unit is a boiler combusting any amount of coal or coal-derived fuel during such control period), 0.24 (if the unit is a simple combustion turbine during such control period), 0.67 (if the unit is  a combined cycle turbine during such control period), 0.74 (if the unit is an integrated coal gasification combined cycle unit during such control period), or 0.36 (for any other unit), multiplied by the unit's maximum hourly load as reported in accordance with this subpart and by 8,760 hours/control period, and divided by 2,000 lb/ton. 
Common stack means a single flue through which emissions from 2 or more units are exhausted.
Compliance account means an Allowance Management System account, established by the Administrator for a TR SO2 Group 1 source under this subpart, in which any TR SO2 Group 1 allowance allocations to the TR SO2 Group 1 units at the source are recorded and in which are held any TR SO2 Group 1 allowances available for use for a control period in a given year in complying with the source's TR SO2 Group 1 emissions limitation in accordance with §§97.606 and 97.624. 
Continuous emission monitoring system or CEMS means the equipment required under this subpart to sample, analyze, measure, and provide, by means of readings recorded at least once every 15 minutes and using an automated data acquisition and handling system (DAHS), a permanent record of SO2 emissions, stack gas volumetric flow rate, stack gas moisture content, and O2 or CO2 concentration (as applicable), in a manner consistent with part 75 of this chapter and §§97.630 through 97.635.  The following systems are the principal types of continuous emission monitoring systems:
(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 SO2 monitoring system, consisting of a SO2 pollutant concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of SO2 emissions, in parts per million (ppm);
(3) A moisture monitoring system, as defined in §75.11(b)(2) of this chapter and providing a permanent, continuous record of the stack gas moisture content, in percent H2O;
(4) A CO2 monitoring system, consisting of a CO2 pollutant concentration monitor (or an O2 monitor plus suitable mathematical equations from which the CO2 concentration is derived) and an automated data acquisition and handling system and providing a permanent, continuous record of CO2 emissions, in percent CO2; and
(5) An O2 monitoring system, consisting of an O2 concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of O2, in percent O2.
Control period means the period starting January 1 of a calendar year, except as provided in §97.606(c)(3), and ending on December 31 of the same year, inclusive.
Designated representative means, for a TR SO2 Group 1 source and each TR SO2 Group 1 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 this subpart, to represent and legally bind each owner and operator in matters pertaining to the TR SO2 Group 1 Trading Program.  If the TR SO2 Group 1 source is also subject to the Acid Rain Program, TR NOX Annual Trading Program, or TR NOX Ozone Season Trading Program, then this natural person shall be the same natural person as the designated representative, as defined in the respective program. 
Emissions means air pollutants exhausted from a unit or source into the atmosphere, as measured, recorded, and reported to the Administrator by the designated representative, and as modified by the Administrator:
(1) In accordance with this subpart; and
(2) With regard to a period before the unit or source is required to measure, record, and report such air pollutants in accordance with this subpart, in accordance with part 75 of this chapter.
Excess emissions means any ton of emissions from the TR SO2 Group 1 units at a TR SO2 Group 1 source during a control period in a given year that exceeds the TR SO2 Group 1 emissions limitation for the source for such control period.
Fossil fuel means -- 
(1) Natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material; or
(2) For purposes of applying the limitation on "average annual fuel consumption of fossil fuel" in §§97.604(b)(2)(i)(B) and (ii), natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material for the purpose of creating useful heat.
Fossil-fuel-fired means, with regard to a unit, combusting any amount of fossil fuel in 2005 or any calendar year thereafter.
General account means an Allowance Management System account, established under this subpart, that is not a compliance account or an assurance account.
Generator means a device that produces electricity.
Gross electrical output means, for a unit, electricity made available for use, including any such electricity used in the power production process (which process includes, but is not limited to, any on-site processing or treatment of fuel combusted at the unit and any on-site emission controls).
Heat input means, for a unit for a specified period of time, the product (in mmBtu/time) of the gross calorific value of the fuel (in mmBtu/lb) fed into the unit multiplied by the fuel feed rate (in lb of fuel/time), as measured, recorded, and reported to the Administrator by the designated representative and as modified by the Administrator in accordance with this subpart and excluding the heat derived from preheated combustion air, recirculated flue gases, or exhaust.
Heat input rate means, for a unit, the amount of heat input (in mmBtu) divided by unit operating time (in hr) or, for a unit and  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.
Heat rate means, for a unit, the unit's maximum design heat input (in Btu/hr), divided by the product of 1,000,000 Btu/mmBtu and the unit's maximum hourly load.
Indian country means "Indian country" as defined in 18 U.S.C. 1151.
Life-of-the-unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is entitled to receive, a specified amount or percentage of nameplate capacity and associated energy generated by any specified unit and pays its proportional amount of such unit's total costs, pursuant to a contract:
(1) For the life of the unit;
(2) For a cumulative term of no less than 30 years, including contracts that permit an election for early termination; or
(3) For a period no less than 25 years or 70 percent of the economic useful life of the unit determined as of the time the unit is built, with option rights to purchase or release some portion of the nameplate capacity and associated energy generated by the unit at the end of the period.
Maximum design heat input means, for a unit, the maximum amount of fuel per hour (in Btu/hr) that the unit is capable of combusting on a steady state basis as of the initial installation of the unit as specified by the manufacturer of the unit.
Monitoring system means any monitoring system that meets the requirements of this subpart, including a continuous emission monitoring system, an alternative monitoring system, or an excepted monitoring system under part 75 of this chapter.
Nameplate capacity means, starting from the initial installation of a generator, the maximum electrical generating output (in MWe, rounded to the nearest tenth) that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings) as of such installation as specified by the manufacturer of the generator or, starting from the completion of any subsequent physical change in the generator resulting in an increase in the maximum electrical generating output that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings), such increased maximum amount (in MWe, rounded to the nearest tenth) as of such completion as specified by the person conducting the physical change.
Natural gas means "natural gas" as defined in §72.2 of this chapter.
Newly affected TR SO2 Group 1 unit means a unit that was not a TR SO2 Group 1 unit when it began operating but that thereafter becomes a TR SO2 Group 1 unit. 
Operate or operation means, with regard to a unit, to combust fuel.
Operator means, for a TR SO2 Group 1 source or a TR SO2 Group 1 unit at a source respectively, any person who operates, controls, or supervises a TR SO2 Group 1 unit at the source or the TR SO2 Group 1 unit and shall include, but not be limited to, any holding company, utility system, or plant manager of such source or unit.
Owner means, for a TR SO2 Group 1 source or a TR SO2 Group 1 unit at a source respectively, any of the following persons:
(1) Any holder of any portion of the legal or equitable title in a TR SO2 Group 1 unit at the source or the TR SO2 Group 1 unit;
(2) Any holder of a leasehold interest in a TR SO2 Group 1 unit at the source or the TR SO2 Group 1 unit, provided that, unless expressly provided for in a leasehold agreement, "owner" shall not include a passive lessor, or a person who has an equitable interest through such lessor, whose rental payments are not based (either directly or indirectly) on the revenues or income from such TR SO2 Group 1 unit; and
(3) Any purchaser of power from a TR SO2 Group 1 unit at the source or the TR SO2 Group 1 unit under a life-of-the-unit, firm power contractual arrangement.  
Permanently retired means, with regard to a unit, a unit that is unavailable for service and that the unit's owners and operators do not expect to return to service in the future. 
Permitting authority means "permitting authority" as defined in §§70.2 and 71.2 of this chapter.
Potential electrical output capacity means, for a unit, 33 percent of the unit's maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000 kWh/MWh, and multiplied by 8,760 hr/yr.
Receive or receipt of means, when referring to the Administrator, to come into possession of a document, information, or correspondence (whether sent in hard copy or by authorized electronic transmission), as indicated in an official log, or by a notation made on the document, information, or correspondence, by the Administrator in the regular course of business.
Recordation, record, or recorded means, with regard to TR SO2 Group 1 allowances, the moving of TR SO2 Group 1 allowances by the Administrator into, out of, or between Allowance Management System accounts, for purposes of allocation, auction, transfer, or deduction.
Reference method means any direct test method of sampling and analyzing for an air pollutant as specified in §75.22 of this chapter.
Replacement, replace, or replaced means, with regard to a unit, the demolishing of a unit, or the permanent retirement and permanent disabling of a unit, and the construction of another unit (the replacement unit) to be used instead of the demolished or retired unit (the replaced unit).
Sequential use of energy means:
(1) The use of reject heat from electricity production in a useful thermal energy application or process; or
(2) The use of reject heat from useful thermal energy application or process in electricity production.
Serial number means, for a TR SO2 Group 1 allowance, the unique identification number assigned to each TR SO2 Group 1 allowance by the Administrator.
Solid waste incineration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a "solid waste incineration unit" as defined in section 129(g)(1) of the Clean Air Act.
Source means all buildings, structures, or installations located in one or more contiguous or adjacent properties under common control of the same person or persons.  This definition does not change or otherwise affect the definition of "major source", "stationary source", or "source" as set forth and implemented in a title V operating permit program or any other program under the Clean Air Act. 
State means one of the States that is subject to the TR SO2 Group 1 Trading Program pursuant to §52.39(a),(b), (d), (e), and (f) 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;
(4) Provided that compliance with any "submission" or "service" deadline shall be determined by the date of dispatch, transmission, or mailing and not the date of receipt.
Topping-cycle unit means a unit in which the energy input to the unit is first used to produce useful power, including electricity, where at least some of the reject heat from the electricity production is then used to provide useful thermal energy.
Total energy input means, for a unit, total energy of all forms supplied to the unit, excluding energy produced by the unit. Each form of energy supplied shall be measured by the lower heating value of that form of energy calculated as follows:
LHV = HHV − 10.55(W + 9H)
Where:
LHV = lower heating value of the form of energy in Btu/lb,
HHV = higher heating value of the form of energy in Btu/lb,
W = weight % of moisture in the form of energy, and
H = weight % of hydrogen in the form of energy.
Total energy output means, for a unit, the sum of useful power and useful thermal energy produced by the unit.
TR NOX Annual Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with subpart AAAAA of this part and §52.38(a) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(a)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(a)(5) of this chapter), as a means of mitigating interstate transport of fine particulates and NOX.
TR NOX Ozone Season Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with subpart BBBBB of this part and §52.38(b) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(b)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(b)(5) of this chapter), as a means of mitigating interstate transport of ozone and NOX.
TR SO2 Group 1 allowance means a limited authorization issued and allocated or auctioned by the Administrator under this subpart, or by a State or permitting authority under a SIP revision approved by the Administrator under §52.39(d), (e), or (f) of this chapter, to emit one ton of SO2 during a control period of the specified calendar year for which the authorization is allocated or auctioned or of any calendar year thereafter under the TR SO2 Group 1 Trading Program. 
TR SO2 Group 1 allowance deduction or deduct TR SO2 Group 1 allowances means the permanent withdrawal of TR SO2 Group 1 allowances by the Administrator from a compliance account (e.g., in order to account for compliance with the TR SO2 Group 1 emissions limitation) or from an assurance account (e.g., in order to account for compliance with the assurance provisions under §§97.606 and 97.625).    
TR SO2 Group 1 allowances held or hold TR SO2 Group 1 allowances means the TR SO2 Group 1 allowances treated as included in an Allowance Management System account as of a specified point in time because at that time they:
(1) Have been recorded by the Administrator in the account or transferred into the account by a correctly submitted, but not yet recorded, TR SO2 Group 1 allowance transfer in accordance with this subpart; and
(2) Have not been transferred out of the account by a correctly submitted, but not yet recorded, TR SO2 Group 1 allowance transfer in accordance with this subpart.
TR SO2 Group 1 emissions limitation means, for a TR SO2 Group 1 source, the tonnage of SO2 emissions authorized in a control period by the TR SO2 Group 1 allowances available for deduction for the source under §97.624(a) for such control period.
TR SO2 Group 1 source means a source that includes one or more TR SO2 Group 1 units.
TR SO2 Group 1 Trading Program means a multi-state SO2 air pollution control and emission reduction program established in accordance with this subpart and §52.39(a), (b), (d) through (f), (j), and (k) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.39(d) or (e) of this chapter or that is established in a SIP revision approved by the Administrator under §52.39(f) of this chapter), as a means of mitigating interstate transport of fine particulates and SO2.
TR SO2 Group 1 unit means a unit that is subject to the TR SO2 Group 1 Trading Program under §97.604.
Unit means a stationary, fossil-fuel-fired boiler, stationary, fossil-fuel-fired combustion turbine, or other stationary, fossil-fuel-fired combustion device.  A unit that undergoes a physical change or is moved to a different location or source shall continue to be treated as the same unit.  A unit (the replaced unit) that is replaced by another unit (the replacement unit) at the same or a different source shall continue to be treated as the same unit, and the replacement unit shall be treated as a separate unit.
Unit operating day means, with regard to a unit, a calendar day in which the unit combusts any fuel.
Unit operating hour or hour of unit operation means, with regard to a unit, an hour in which the unit combusts any fuel.
Useful power means, with regard to a unit, electricity or mechanical energy that the unit makes available for use, excluding any such energy used in the power production process (which process includes, but is not limited to, any on-site processing or treatment of fuel combusted at the unit and any on-site emission controls).
Useful thermal energy means thermal energy that is:
(1) Made available to an industrial or commercial process (not a power production process), excluding any heat contained in condensate return or makeup water;
(2) Used in a heating application (e.g., space heating or domestic hot water heating); or
(3) Used in a space cooling application (i.e., in an absorption chiller).
Utility power distribution system means the portion of an electricity grid owned or operated by a utility and dedicated to delivering electricity to customers.
§ 97.603  Measurements, abbreviations, and acronyms.
Measurements, abbreviations, and acronyms used in this subpart are defined as follows:
Btu -- British thermal unit
CO2 -- carbon dioxide
H2O -- water
hr -- hour
kW -- kilowatt electrical
kWh -- kilowatt hour
lb -- pound
mmBtu -- million Btu
MWe -- megawatt electrical
MWh -- megawatt hour
NOX -- nitrogen oxides
O2 -- oxygen
ppm -- parts per million
scfh -- standard cubic feet per hour
SO2 -- sulfur dioxide
yr -- year
§ 97.604  Applicability.
(a) Except as provided in paragraph (b) of this section:
(1) The following units in a State (and Indian country within the borders of such State) shall be TR SO2 Group 1 units, and any source that includes one or more such units shall be a TR SO2 Group 1 source, subject to the requirements of this subpart: any stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine serving at any time, on or after January 1, 2005, a generator with nameplate capacity of more than 25 MWe producing electricity for sale.
(2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a TR SO2 Group 1 unit begins to combust fossil fuel or to serve a generator with nameplate capacity of more than 25 MWe producing electricity for sale, the unit shall become a TR SO2 Group 1 unit as provided in paragraph (a)(1) of this section on the first date on which it both combusts fossil fuel and serves such generator.
(b) Any unit in a State (and Indian country within the borders of such State) that otherwise is a TR SO2 Group 1 unit under paragraph (a) of this section and that meets the requirements set forth in paragraph (b)(1)(i) or (2)(i) of this section shall not be a TR SO2 Group 1 unit:
(1)(i) Any unit:
(A) Qualifying as a cogeneration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
(B) Not supplying in 2005 or any calendar year thereafter more than one-third of the unit's potential electric output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale.
(ii) If, after qualifying under paragraph (b)(1)(i) of this section as not being a TR SO2 Group 1 unit, a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section, the unit shall become a TR SO2 Group 1 unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a cogeneration unit or January 1 after the first calendar year during which the unit no longer meets the requirements of paragraph (b)(1)(i)(B) of this section.  The unit shall thereafter continue to be a TR SO2 Group 1 unit. 
(2)(i) Any unit:
(A) Qualifying as a solid waste incineration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a solid waste incineration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
(B) With an average annual fuel consumption of fossil fuel for the first 3 consecutive calendar years of operation starting no earlier than 2005 of less than 20 percent (on a Btu basis) and an average annual fuel consumption of fossil fuel for any 3 consecutive calendar years thereafter of less than 20 percent (on a Btu basis).
(ii) If, after qualifying under paragraph (b)(2)(i) of this section as not being a TR SO2 Group 1 unit, a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section, the unit shall become a TR SO2 Group 1 unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a solid waste incineration unit or January 1 after the first 3 consecutive calendar years after 2005 for which the unit has an average annual fuel consumption of fossil fuel of 20 percent or more.  The unit shall thereafter continue to be a TR SO2 Group 1 unit.
(c) A certifying official of an owner or operator of any unit or other equipment may submit a petition (including any supporting documents) to the Administrator at any time for a determination concerning the applicability, under paragraphs (a) and (b) of this section or a SIP revision approved under §52.39(e) or (f) of this chapter, of the TR SO2 Group 1 Trading Program to the unit or other equipment.
(1) Petition content. The petition shall be in writing and include the identification of the unit or other equipment and the relevant facts about the unit or other equipment. The petition and any other documents provided to the Administrator in connection with the petition shall include the following certification statement, signed by the certifying official: "I am authorized to make this submission on behalf of the owners and operators of the unit or other equipment 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) Response. The Administrator will issue a written response to the petition and may request supplemental information determined by the Administrator to be relevant to such petition. The Administrator's determination concerning the applicability, under paragraphs (a) and (b) of this section, of the TR SO2 Group 1 Trading Program to the unit or other equipment shall be binding on any State or permitting authority unless the Administrator determines that the petition or other documents or information provided in connection with the petition contained significant, relevant errors or omissions.
§ 97.605  Retired unit exemption.
(a)(1) Any TR SO2 Group 1 unit that is permanently retired shall be exempt from §97.606(b) and (c)(1), §97.624, and §§97.630 through 97.635. 
(2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the TR SO2 Group 1 unit is permanently retired.  Within 30 days of the unit's permanent retirement, the designated representative shall submit a statement to the Administrator. The statement shall state, in a format prescribed by the Administrator, that the unit was permanently retired on a specified date and will comply with the requirements of paragraph (b) of this section.
(b) Special provisions. (1) A unit exempt under paragraph (a) of this section shall not emit any SO2, starting on the date that the exemption takes effect.
(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under paragraph (a) of this section shall retain, at the source that includes the unit, records demonstrating that the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period, in writing by the Administrator. The owners and operators bear the burden of proof that the unit is permanently retired.
(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under paragraph (a) of this section shall comply with the requirements of the TR SO2 Group 1 Trading Program concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption takes effect.
(4) A unit exempt under paragraph (a) of this section shall lose its exemption on the first date on which the unit resumes operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and recordkeeping requirements under this subpart, as a unit that commences commercial operation on the first date on which the unit resumes operation.
§ 97.606  Standard requirements.
(a) Designated representative requirements.  The owners and operators shall comply with the requirement to have a designated representative, and may have an alternate designated representative, in accordance with §§97.613 through 97.618.
(b) Emissions monitoring, reporting, and recordkeeping requirements.  (1) The owners and operators, and the designated representative, of each TR SO2 Group 1 source and each TR SO2 Group 1 unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of §§97.630 through 97.635.
(2) The emissions data determined in accordance with §§97.630 through 97.635 shall be used to calculate allocations of TR SO2 Group 1 allowances under §§97.611(a)(2) and (b) and 97.612 and to determine compliance with the TR SO2 Group 1 emissions limitation and assurance provisions under paragraph (c) of this section, provided that, for each monitoring location from which mass emissions are reported, the mass emissions amount used in calculating such allocations and determining such compliance shall be the mass emissions amount for the monitoring location determined in accordance with §§97.630 through 97.635 and rounded to the nearest ton, with any fraction of a ton less than 0.50 being deemed to be zero.
(c) SO2 emissions requirements.  (1) TR SO2 Group 1 emissions limitation. (i) As of the allowance transfer deadline for a control period in a given year, the owners and operators of each TR SO2 Group 1 source and each TR SO2 Group 1 unit at the source shall hold, in the source's compliance account, TR SO2 Group 1 allowances available for deduction for such control period under §97.624(a) in an amount not less than the tons of total SO2 emissions for such control period from all TR SO2 Group 1 units at the source.
(ii) If total SO2 emissions during a control period in a given year from the TR SO2 Group 1 units at a TR SO2 Group 1 source are in excess of the TR SO2 Group 1 emissions limitation set forth in paragraph (c)(1)(i) of this section, then:
(A) The owners and operators of the source and each TR SO2  Group 1 unit at the source shall hold the TR SO2 Group 1 allowances required for deduction under §97.624(d); and
(B) The owners and operators of the source and each TR SO2  Group 1 unit at the source shall pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act, and each ton of such excess emissions and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(2) TR SO2 Group 1 assurance provisions.  (i) If total SO2 emissions during a control period in a given year from all TR SO2 Group 1 units at TR SO2 Group 1 sources in a State (and Indian country within the borders of such State) exceed the State assurance level, then the owners and operators of such sources and units in each group of one or more sources and units having a common designated representative for such control period, where the common designated representative's share of such SO2 emissions during such control period exceeds the common designated representative's assurance level for the State and such control period, shall hold (in the assurance account established for the owners and operators of such group) TR SO2 Group 1 allowances available for deduction for such control period under §97.625(a) in an amount equal to two times the product (rounded to the nearest whole number), as determined by the Administrator in accordance with §97.625(b), of multiplying -- 
(A) The quotient of the amount by which the common designated representative's share of such SO2 emissions exceeds the common designated representative's assurance level divided by the sum of the amounts, determined for all common designated representatives for such sources and units in the State (and Indian country within the borders of such State) for such control period, by which each common designated representative's share of such SO2 emissions exceeds the respective common designated representative's assurance level; and
(B) The amount by which total SO2 emissions from all TR SO2 Group 1 units at TR SO2 Group 1 sources in the State (and Indian country within the borders of such State) for such control period exceed the State assurance level. 
(ii) The owners and operators shall hold the TR SO2 Group 1 allowances required under paragraph (c)(2)(i) of this section, as of midnight of November 1 (if it is a business day), or midnight of the first business day thereafter (if November 1 is not a business day), immediately after such control period.  
(iii) Total SO2 emissions from all TR SO2 Group 1 units at TR SO2 Group 1 sources in a State (and Indian country within the borders of such State) during a control period in a given year exceed the State assurance level if such total SO2 emissions exceed the sum, for such control period, of the State SO2 Group 1 trading budget under §97.610(a) and the State's variability limit under §97.610(b).
(iv) It shall not be a violation of this subpart or of the Clean Air Act if total SO2 emissions from all TR SO2 Group 1 units at TR SO2 Group 1 sources in a State (and Indian country within the borders of such State) during a control period exceed the State assurance level or if a common designated representative's share of total SO2 emissions from the TR SO2 Group 1 units at TR SO2 Group 1 sources in a State (and Indian country within the borders of such State) during a control period exceeds the common designated representative's assurance level.  
(v) To the extent the owners and operators fail to hold TR SO2 Group 1 allowances for a control period in a given year in accordance with paragraphs (c)(2)(i) through (iii) of this section, 
(A) The owners and operators shall pay any fine, penalty, or assessment or comply with any other remedy imposed under the Clean Air Act; and
(B) Each TR SO2 Group 1 allowance that the owners and operators fail to hold for such control period in accordance with paragraphs (c)(2)(i) through (iii) of this section and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(3) Compliance periods.  A TR SO2 Group 1 unit shall be subject to the requirements under paragraphs (c)(1) and (c)(2) of this section for the control period starting on the later of January 1, 2012 or the deadline for meeting the unit's monitor certification requirements under §97.630(b) and for each control period thereafter.
(4) Vintage of allowances held for compliance.  (i) A TR SO2 Group 1 allowance held for compliance with the requirements under paragraph (c)(1)(i) of this section for a control period in a given year must be a TR SO2 Group 1 allowance that was allocated for such control period or a control period in a prior year.
(ii) A TR SO2 Group 1 allowance held for compliance with the requirements under paragraphs (c)(1)(ii)(A) and (2)(i) through (iii) of this section for a control period in a given year must be a TR SO2 Group 1 allowance that was allocated for a control period in a prior year or the control period in the given year or in the immediately following year.
(5) Allowance Management System requirements. Each TR SO2 Group 1 allowance shall be held in, deducted from, or transferred into, out of, or between Allowance Management System accounts in accordance with this subpart.
(6) Limited authorization. A TR SO2 Group 1 allowance is a limited authorization to emit one ton of SO2 during the control period in one year.  Such authorization is limited in its use and duration as follows:
(i) Such authorization shall only be used in accordance with the TR SO2 Group 1 Trading Program; and 
(ii) Notwithstanding any other provision of this subpart, the Administrator has the authority to terminate or limit the use and duration of such authorization to the extent the Administrator determines is necessary or appropriate to implement any provision of the Clean Air Act.  
(7) Property right. A TR SO2 Group 1 allowance does not constitute a property right.
(d) Title V permit requirements.  (1) No title V permit revision shall be required for any allocation, holding, deduction, or transfer of TR SO2 Group 1 allowances in accordance with this subpart.
(2) A description of whether a unit is required to monitor and report SO2 emissions using a continuous emission monitoring system (under subpart H of part 75 of this chapter), an excepted monitoring system (under appendices D and E to part 75 of this chapter), a low mass emissions excepted monitoring methodology (under §75.19 of this chapter), or an alternative monitoring system (under subpart E of part 75 of this chapter) in accordance with §§97.630 through 97.635 may be added to, or changed in, a title V permit using minor permit modification procedures in accordance with §§70.7(e)(2) and 71.7(e)(1) of this chapter, provided that the requirements applicable to the described monitoring and reporting (as added or changed, respectively) are already incorporated in such permit. This paragraph explicitly provides that the addition of, or change to, a unit's description as described in the prior sentence is eligible for minor permit modification procedures in accordance with §§70.7(e)(2)(i)(B) and 71.7(e)(1)(i)(B) of this chapter.  
(e) Additional recordkeeping and reporting requirements.  (1) Unless otherwise provided, the owners and operators of each TR SO2 Group 1 source and each TR SO2 Group 1 unit at the source shall keep on site at the source each of the following documents (in hardcopy or electronic format) for a period of 5 years from the date the document is created. This period may be extended for cause, at any time before the end of 5 years, in writing by the Administrator.
(i) The certificate of representation under §97.616 for the  designated representative for the source and each TR SO2 Group 1 unit at the source and all documents that demonstrate the truth of the statements in the certificate of representation; provided that the certificate and documents shall be retained on site at the source beyond such 5-year period until such certificate of representation and documents are superseded because of the submission of a new certificate of representation under §97.616 changing the designated representative.
(ii) All emissions monitoring information, in accordance with this subpart.
(iii) Copies of all reports, compliance certifications, and other submissions and all records made or required under, or to demonstrate compliance with the requirements of, the TR SO2 Group 1 Trading Program.
(2) The designated representative of a TR SO2 Group 1 source and each TR SO2 Group 1 unit at the source shall make all submissions required under the TR SO2 Group 1 Trading Program, except as provided in §97.618.  This requirement does not change, create an exemption from, or or otherwise affect the responsible official submission requirements under a title V operating permit program in parts 70 and 71 of this chapter. 
(f) Liability.  (1) Any provision of the TR SO2 Group 1 Trading Program that applies to a TR SO2 Group 1 source or the designated representative of a TR SO2 Group 1 source shall also apply to the owners and operators of such source and of the TR SO2 Group 1 units at the source.
(2) Any provision of the TR SO2 Group 1 Trading Program that applies to a TR SO2 Group 1 unit or the designated representative of a TR SO2 Group 1 unit shall also apply to the owners and operators of such unit.
(g) Effect on other authorities.  No provision of the TR SO2 Group 1 Trading Program or exemption under §97.605 shall be construed as exempting or excluding the owners and operators, and the designated representative, of a TR SO2 Group 1 source or TR SO2 Group 1 unit from compliance with any other provision of the applicable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act.
§ 97.607  Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the TR SO2 Group 1 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 TR SO2 Group 1 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 TR SO2 Group 1 Trading Program, is not a business day, the time period shall be extended to the next business day.
§ 97.608  Administrative appeal procedures.
The administrative appeal procedures for decisions of the Administrator under the TR SO2 Group 1 Trading Program are set forth in part 78 of this chapter.
§ 97.609  [Reserved]
§ 97.610  State SO2 Group 1 trading budgets, new unit set-asides, Indian country new unit set-aside, and variability limits.
(a)  The State SO2 Group 1 trading budgets, new unit set-asides, and Indian country new unit set-asides for allocations of TR SO2 Group 1 allowances for the control periods in 2012 and thereafter are as follows:
                                     State
             SO2 Group 1 trading budget (tons)*
for 2012 and 2013
                  New unit set-aside (tons)
for 2012 and 2013
          Indian country new unit set-aside (tons)
for 2012 and 2013




Illinois
                                    234,889
                                    11,744
                                      ---
Indiana
                                    285,424
                                     8,563
                                      ---
Iowa
                                    107,085
                                     2,035
                                      107
Kentucky
                                    232,662
                                    13,960
                                      ---
Maryland
                                    30,120
                                      602
                                      ---
Michigan
                                    229,303
                                     4,357
                                      229
Missouri
                                    207,466
                                     4,149
                                      ---
New Jersey
                                     5,574
                                      111
                                      ---
New York
                                    27,325
                                      520
                                      27
North Carolina
                                    136,881
                                    10,813
                                      137
Ohio
                                    310,230
                                     6,205
                                      ---
Pennsylvania
                                    278,651
                                     5,573
                                      ---
Tennessee
                                    148,150
                                     2,963
                                      ---
Virginia
                                    70,820
                                     2,833
                                      ---
West Virginia
                                    146,174
                                    10,232
                                      ---
Wisconsin
                                    79,480
                                     3,894
                                      80

                                     State
          SO2 Group 1 trading budget (tons)*
for 2014 and thereafter
               New unit set-aside (tons)
for 2014 and thereafter
       Indian country new unit set-aside (tons)
for 2014 and thereafter




Illinois
                                    124,123
                                     6,206
                                      ---
Indiana
                                    161,111
                                     4,833
                                      ---
Iowa
                                    75,184
                                     1,429
                                      75
Kentucky
                                    106,284
                                     6,377
                                      ---
Maryland
                                    28,203
                                      564
                                      ---
Michigan
                                    143,995
                                     2,736
                                      144
Missouri
                                    165,941
                                     3,319
                                      ---
New Jersey
                                     5,574
                                      111
                                      ---
New York
                                    18,585
                                      353
                                      19
North Carolina
                                    57,620
                                     4,552
                                      58
Ohio
                                    137,077
                                     2,742
                                      ---
Pennsylvania
                                    112,021
                                     2,240
                                      ---
Tennessee
                                    58,833
                                     1,177
                                      ---
Virginia
                                    35,057
                                     1,402
                                      ---
West Virginia
                                    75,668
                                     5,297
                                      ---
Wisconsin
                                    40,126
                                     1,966
                                      40
* Each trading budget includes the new unit set-aside and, where applicable, the Indian country new unit set-aside and does not include the variability limit.
 (b) The States' variability limits for the State SO2 Group 1 trading budgets for the control periods in 2012 and thereafter are as follows:
                                     State
                     Variability limits
for 2012 and 2013
                  
Variability limits
for 2014 and thereafter



Illinois
                                    42,280
                                    22,342
Indiana
                                    51,376
                                    29,000
Iowa
                                    19,275
                                    13,533
Kentucky
                                    41,879
                                    19,131
Maryland
                                     5,422
                                     5,077
Michigan
                                    41,275
                                    25,919
Missouri
                                    37,344
                                    29,869
New Jersey
                                     1,003
                                     1,003
New York
                                     4,919
                                     3,345
North Carolina
                                    24,639
                                    10,372
Ohio
                                    55,841
                                    24,674
Pennsylvania
                                    50,157
                                    20,164
Tennessee
                                    26,667
                                    10,590
Virginia
                                    12,748
                                     6,310
West Virginia
                                    26,311
                                    13,620
Wisconsin
                                    14,306
                                     7,223

§ 97.611  Timing requirements for TR SO2 Group 1 allowance allocations.
(a) Existing units.  (1) TR SO2 Group 1 allowances are allocated, for the control periods in 2012 and each year thereafter, as provided in a notice of data availability issued by the Administrator. Providing an allocation to a unit in such notice does not constitute a determination that the unit is a TR SO2 Group 1 unit, and not providing an allocation to a unit in such notice does not constitute a determination that the unit is not a TR SO2 Group 1 unit. 
(2) Notwithstanding paragraph (a)(1) of this section, if a unit provided an allocation in the notice of data availability issued under paragraph (a)(1) of this section does not operate, starting after 2011, during the control period in two consecutive years, such unit will not be allocated the TR SO2 Group 1 allowances provided in such notice for the unit for the control periods in the fifth year after the first such year and in each year after that fifth year.  All TR SO2 Group 1 allowances that would otherwise have been allocated to such unit will be allocated to the new unit set-aside for the State where such unit is located and for the respective years involved.  If such unit resumes operation, the Administrator will allocate TR SO2 Group 1 allowances to the unit in accordance with paragraph (b) of this section. 
(b) New units.  (1) New unit set-asides.  (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR SO2 Group 1 allowance allocation to each TR SO2 Group 1 unit in a State, in accordance with §97.612(a)(2) through (7) and (12), for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.  
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR SO2 Group 1 units) are in accordance with §97.612(a)(2) through (7) and (12) and §§97.606(b)(2) and 97.630 through 97.635. 
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(1)(ii)(A) of this section.  By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.612(a)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(ii)(A) of this section.  
(iii) If the new unit set-aside for such control period contains any TR SO2 Group 1 allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(1)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any TR SO2 Group 1 units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period.
(iv) For each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR SO2 annual units in such notice. 
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(iii) of this section and shall be limited to addressing whether the identification of TR SO2 annual units in such notice is in accordance with paragraph (b)(1)(iii) of this section.  
(B) The Administrator will adjust the identification of TR SO2 Group 1 units in the each notice of data availability required in paragraph (b)(1)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(1)(iii) of this section and will calculate the TR SO2 Group 1 allowance allocation to each TR SO2 Group 1 unit in accordance with §97.612(a)(9), (10), and (12) and §§97.606(b)(2) and 97.630 through 97.635.  By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR SO2 Group 1 units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(iv)(A) of this section, and the results of such calculations.
(v) To the extent any TR SO2 Group 1 allowances are added to the new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(1)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR SO2 Group 1 allowances in accordance with §97.612(a)(10). 
(2) Indian country new unit set-asides.  (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR SO2 Group 1 allowance allocation to each TR SO2 Group 1 unit in Indian country within the borders of a State, in accordance with §97.612(b)(2) through (7) and (12), for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.  
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR SO2 Group 1  units) are in accordance with §97.612(b)(2) through (7) and (12) and §§97.606(b)(2) and 97.630 through 97.635. 
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(ii)(A) of this section.  By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.612(b)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(ii)(A) of this section.  
(iii) If the Indian country new unit set-aside for such control period contains any TR SO2 Group 1 allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(2)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any TR SO2 Group 1 units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period.
(iv) For each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR SO2 annual units in such notice. 
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(iii) of this section and shall be limited to addressing whether the identification of TR SO2 annual units in such notice is in accordance with paragraph (b)(2)(iii) of this section.  
(B) The Administrator will adjust the identification of TR SO2 Group 1 units in the each notice of data availability required in paragraph (b)(2)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(2)(iii) of this section and will calculate the TR SO2 Group 1 allowance allocation to each TR SO2 Group 1 unit in accordance with §97.612(b)(9), (10), and (12) and §§97.606(b)(2) and 97.630 through 97.635.  By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR SO2 Group 1 units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iv)(A) of this section, and the results of such calculations. 
(v) To the extent any TR SO2 Group 1 allowances are added to the Indian country new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(2)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR NOX Annual allowances in accordance with §97.612(b)(10). 
(c) Units incorrectly allocated TR SO2 Group 1 allowances.  (1) For each control period in 2012 and thereafter, if the Administrator determines that TR SO2 Group 1 allowances were allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under §52.39(d), (e), or (f) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(i) of this section or were allocated under §97.612(a)(2) through (7), (9), and (12) and (b)(2) through (7), (9), and (12), or under a provision of a SIP revision approved under §52.39(e) or (f) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(ii) of this section, then the Administrator will notify the designated representative of the recipient and will act in accordance with the procedures set forth in paragraphs (c)(2) through (5) of this section:
(i)(A) The recipient is not actually a TR SO2 Group 1 unit under §97.604 as of January 1, 2012 and is allocated TR SO2 Group 1 allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under §52.39(d), (e), or (f) of this chapter, the recipient is not actually a TR SO2 Group 1 unit as of January 1, 2012 and is allocated TR SO2 Group 1 allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR SO2 Group 1 units as of January 1, 2012; or
(B) The recipient is not located as of January 1 of the control period in the State from whose SO2 Group 1 trading budget the TR SO2 Group 1 allowances allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under §52.39(d), (e), or (f) of this chapter, were allocated for such control period. 
(ii) The recipient is not actually a TR SO2 Group 1 unit under §97.604 as of January 1 of such control period and is allocated TR SO2 Group 1 allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under §52.39(d), (e), or (f) of this chapter, the recipient is not actually a TR SO2 Group 1 unit as of January 1 of such control period and is allocated TR SO2 Group 1 allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR SO2 Group 1 units as of January 1 of such control period. 
(2) Except as provided in paragraph (c)(3) or (4) of this section, the Administrator will not record such TR SO2 Group 1 allowances under §97.621.
(3) If the Administrator already recorded such TR SO2 Group 1 allowances under §97.621 and if the Administrator makes the determination under paragraph (c)(1) of this section before making deductions for the source that includes such recipient under §97.624(b) for such control period, then the Administrator will deduct from the account in which such TR SO2 Group 1 allowances were recorded an amount of TR SO2 Group 1 allowances allocated for the same or a prior control period equal to the amount of such already recorded TR SO2 Group 1 allowances. The authorized account representative shall ensure that there are sufficient TR SO2 Group 1 allowances in such account for completion of the deduction.
(4) If the Administrator already recorded such TR SO2 Group 1 allowances under §97.621 and if the Administrator makes the determination under paragraph (c)(1) of this section after making deductions for the source that includes such recipient under §97.624(b) for such control period, then the Administrator will not make any deduction to take account of such already recorded TR SO2 Group 1 allowances.   
(5)(i) With regard to the TR SO2 Group 1 allowances that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(i) of this section, the Administrator will:
(A) Transfer such TR SO2 Group 1 allowances to the new unit set-aside for such control period for the State from whose SO2 Group 1 trading budget the TR SO2 Group 1 allowances were allocated; or
(B) If the State has a SIP revision approved under §52.39(e) or (f) covering such control period, include such TR SO2 Group 1  allowances in the portion of the State SO2 Group 1 trading budget that may be allocated for such control period in accordance with such SIP revision.  
(ii) With regard to the TR SO2 Group 1 allowances that were not allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will:
(A) Transfer such TR SO2 Group 1 allowances to the new unit set-aside for such control period; or
(B) If the State has a SIP revision approved under §52.39(e) or (f) covering such control period, include such TR SO2 Group 1  allowances in the portion of the State SO2 Group 1 trading budget that may be allocated for such control period in accordance with such SIP revision.  
(iii) With regard to the TR SO2 Group 1 allowances that were allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will transfer such TR SO2 Group 1 allowances to the Indian country new unit set-aside for such control period.
§ 97.612  TR SO2 Group 1 allowance allocations to new units.
(a) For each control period in 2012 and thereafter and for the TR SO2 Group 1 units in each State, the Administrator will allocate TR SO2 Group 1 allowances to the TR SO2 Group 1 units as follows: 
(1) The TR SO2 Group 1 allowances will be allocated to the following TR SO2 Group 1 units, except as provided in paragraph (a)(10) of this section:
(i) TR SO2 Group 1 units that are not allocated an amount of TR SO2 Group 1 allowances in the notice of data availability issued under §97.611(a)(1); 
(ii) TR SO2 Group 1 units whose allocation of an amount of TR SO2 Group 1 allowances for such control period in the notice of data availability issued under §97.611(a)(1) is covered by §97.611(c)(2) or (3);
(iii) TR SO2 Group 1 units that are allocated an amount of TR SO2 Group 1 allowances for such control period in the notice of data availability issued under §97.611(a)(1), which allocation is terminated for such control period pursuant to §97.611(a)(2), and that operate during the control period immediately preceding such control period; or
(iv) For purposes of paragraph (a)(9) of this section, TR SO2 Group 1 units under §97.611(c)(1)(ii) whose allocation of an amount of TR SO2 Group 1 allowances for such control period in the notice of data availability issued under §97.611(b)(1)(ii)(B) is covered by §97.611(c)(2) or (3). 
(2) The Administrator will establish a separate new unit set-aside for the State for each such control period. Each such new unit set-aside will be allocated TR SO2 Group 1 allowances in an amount equal to the applicable amount of tons of SO2 emissions as set forth in §97.610(a) and will be allocated additional TR SO2 Group 1 allowances (if any) in accordance with §§97.611(a)(2) and (c)(5) and paragraph (b)(10) of this section.
(3) The Administrator will determine, for each TR SO2 Group 1 unit described in paragraph (a)(1) of this section, an allocation of TR SO2 Group 1 allowances for the later of the following control periods and for each subsequent control period:
(i) The control period in 2012;
(ii) The first control period after the control period in which the TR SO2 Group 1 unit commences commercial operation; 
(iii) For a unit described in paragraph (a)(1)(ii) of this section, the first control period in which the TR SO2 Group 1 unit operates in the State after operating in another jurisdiction and for which the unit is not already allocated one or more TR SO2 Group 1 allowances; and
(iv) For a unit described in paragraph (a)(1)(iii) of this section, the first control period after the control period in which the unit resumes operation. 
(4)(i) The allocation to each TR SO2 annual unit described in paragraph (a)(1)(i) through (iii) of this section and for each control period described in paragraph (a)(3) of this section will be an amount equal to the unit's total tons of SO2 emissions during the immediately preceding control period.
(ii) The Administrator will adjust the allocation amount in paragraph (a)(4)(i) in accordance with paragraphs (a)(5) through (7) and (12) of this section.
(5) The Administrator will calculate the sum of the TR SO2 Group 1 allowances determined for all such TR SO2 Group 1 units under paragraph (a)(4)(i) of this section in the State for such control period.
(6) If the amount of TR SO2 Group 1 allowances in the new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (a)(5) of this section, then the Administrator will allocate the amount of TR SO2 Group 1 allowances determined for each such TR SO2 Group 1 unit under paragraph (a)(4)(i) of this section.
(7) If the amount of TR SO2 Group 1 allowances in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(5) of this section, then the Administrator will allocate to each such TR SO2 Group 1 unit the amount of the TR SO2 Group 1 allowances determined under paragraph (a)(4)(i) of this section for the unit, multiplied by the amount of TR SO2 Group 1 allowances in the new unit set-aside for such control period, divided by the sum under paragraph (a)(5) of this section, and rounded to the nearest allowance.
(8) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.611(b)(1)(i) and (ii), of the amount of TR SO2 Group 1 allowances allocated under paragraphs (a)(2) through (7) and (12) of this section for such control period to each TR SO2 Group 1 unit eligible for such allocation.
(9) If, after completion of the procedures under paragraphs (a)(5) through (8) of this section for such control period, any unallocated TR SO2 Group 1 allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate such TR SO2 Group 1 allowances as follows--
(i) The Administrator will determine, for each unit described in paragraph (a)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of TR SO2 Group 1 allowances referenced in the notice of data availability required under §97.611(b)(1)(ii) for the unit for such control period;
(ii) The Administrator will determine the sum of the positive differences determined under paragraph (a)(9)(i) of this section;
(iii) If the amount of unallocated TR SO2 Group 1 allowances remaining in the new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (a)(9)(ii) of this section, then the Administrator will allocate the amount of TR SO2 Group 1 allowances determined for each such TR SO2 Group 1 unit under paragraph (a)(9)(i) of this section; and
(iv) If the amount of unallocated TR SO2 Group 1 allowances remaining in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(9)(ii) of this section, then the Administrator will allocate to each such TR SO2 Group 1 unit the amount of the TR SO2 Group 1 allowances determined under paragraph (a)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR SO2 Group 1 allowances remaining in the new unit set-aside for such control period, divided by the sum under paragraph (a)(9)(ii) of this section, and rounded to the nearest allowance.
(10) If, after completion of the procedures under paragraphs (a)(9) and (12) of this section for such control period, any unallocated TR SO2 Group 1 allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate to each TR SO2 Group 1 unit that is in the State, is allocated an amount of TR SO2 Group 1 allowances in the notice of data availability issued under §97.611(a)(1), and continues to be allocated TR SO2 Group 1 allowances for such control period in accordance with §97.611(a)(2), an amount of TR SO2 Group 1 allowances equal to the following: the total amount of such remaining unallocated TR SO2 Group 1 allowances in such new unit set-aside, multiplied by the unit's allocation under §97.611(a) for such control period, divided by the remainder of the amount of tons in the applicable State SO2 Group 1 trading budget minus the sum of the amounts of tons in such new unit set-aside and the Indian country new unit set-aside for the State for such control period, and rounded to the nearest allowance.
(11) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.611(b)(1)(iii), (iv), and (v), of the amount of TR SO2 Group 1 allowances allocated under paragraphs (a)(9), (10), and (12) of this section for such control period to each TR SO2 Group 1 unit eligible for such allocation.
(12)(i) Notwithstanding the requirements of paragraphs (a)(2) through (11) of this section, if the calculations of allocations of a new unit set-aside for a control period in a given year under paragraph (a)(7) of this section, paragraphs (a)(6) and (9)(iv) of this section, or paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such new unit set-aside exceeding the total amount of such new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, as follows.  The Administrator will list the TR SO2 Group 1 units in descending order based on the amount of such units' allocations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will reduce each unit's allocation under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, by one TR SO2 Group 1 allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such new unit set-aside equal the total amount of such new unit set-aside.  
(ii) Notwithstanding the requirements of paragraphs (a)(10) and (11) of this section, if the calculations of allocations of a new unit set-aside for a control period in a given year under paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such new unit set-aside less than the total amount of such new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (a)(10) of this section, as follows.  The Administrator will list the TR SO2 Group 1 units in descending order based on the amount of such units' allocations  under paragraph (a)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will increase each unit's allocation under paragraph (a)(10) of this section by one TR SO2 Group 1 allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such new unit set-aside equal the total amount of such new unit set-aside. 
(b) For each control period in 2012 and thereafter and for the TR SO2 Group 1 units located in Indian country within the borders of each State, the Administrator will allocate TR SO2 Group 1 allowances to the TR SO2 Group 1 units as follows: 
(1) The TR SO2 Group 1 allowances will be allocated to the following TR SO2 Group 1 units, except as provided in paragraph (b)(10) of this section:
(i) TR SO2 Group 1 units that are not allocated an amount of TR SO2 Group 1 allowances in the notice of data availability issued under §97.611(a)(1); or
(ii) For purposes of paragraph (b)(9) of this section, TR SO2 Group 1 units under §97.611(c)(1)(ii) whose allocation of an amount of TR SO2 Group 1 allowances for such control period in the notice of data availability issued under §97.611(b)(2)(ii)(B) is covered by §97.611(c)(2) or (3). 
(2) The Administrator will establish a separate Indian country new unit set-aside for the State for each such control period. Each such Indian country new unit set-aside will be allocated TR SO2 Group 1 allowances in an amount equal to the applicable amount of tons of SO2 emissions as set forth in §97.610(a) and will be allocated additional TR SO2 Group 1 allowances (if any) in accordance with §97.611(c)(5).
(3) The Administrator will determine, for each TR SO2 Group 1 unit described in paragraph (b)(1) of this section, an allocation of TR SO2 Group 1 allowances for the later of the following control periods and for each subsequent control period:
(i) The control period in 2012; and
(ii) The first control period after the control period in which the TR SO2 Group 1 unit commences commercial operation. 
(4)(i) The allocation to each TR SO2 annual unit described in paragraph (b)(1)(i) of this section and for each control period described in paragraph (b)(3) of this section will be an amount equal to the unit's total tons of SO2 emissions during the immediately preceding control period.
(ii) The Administrator will adjust the allocation amount in paragraph (b)(4)(i) in accordance with paragraphs (b)(5) through (7) and (12) of this section. 
(5) The Administrator will calculate the sum of the TR SO2 Group 1 allowances determined for all such TR SO2 Group 1 units under paragraph (b)(4)(i) of this section in Indian country within the borders of the State for such control period.
(6) If the amount of TR SO2 Group 1 allowances in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (b)(5) of this section, then the Administrator will allocate the amount of TR SO2 Group 1 allowances determined for each such TR SO2 Group 1 unit under paragraph (b)(4)(i) of this section.
(7) If the amount of TR SO2 Group 1 allowances in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(5) of this section, then the Administrator will allocate to each such TR SO2 Group 1 unit the amount of the TR SO2 Group 1 allowances determined under paragraph (b)(4)(i) of this section for the unit, multiplied by the amount of TR SO2 Group 1 allowances in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(5) of this section, and rounded to the nearest allowance.
(8) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.611(b)(2)(i) and (ii), of the amount of TR SO2 Group 1 allowances allocated under paragraphs (b)(2) through (7) and (12) of this section for such control period to each TR SO2 Group 1 unit eligible for such allocation.
(9) If, after completion of the procedures under paragraphs (b)(5) through (8) of this section for such control period, any unallocated TR SO2 Group 1 allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will allocate such TR SO2 Group 1 allowances as follows--
(i) The Administrator will determine, for each unit described in paragraph (b)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of TR SO2 Group 1 allowances referenced in the notice of data availability required under §97.611(b)(2)(ii) for the unit for such control period;
(ii) The Administrator will determine the sum of the positive differences determined under paragraph (b)(9)(i) of this section;
(iii) If the amount of unallocated TR SO2 Group 1 allowances remaining in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (b)(9)(ii) of this section, then the Administrator will allocate the amount of TR SO2 Group 1 allowances determined for each such TR SO2 Group 1 unit under paragraph (b)(9)(i) of this section; and
(iv) If the amount of unallocated TR SO2 Group 1 allowances remaining in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(9)(ii) of this section, then the Administrator will allocate to each such TR SO2 Group 1 unit the amount of the TR SO2 Group 1 allowances determined under paragraph (b)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR SO2 Group 1 allowances remaining in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(9)(ii) of this section, and rounded to the nearest allowance.
(10) If, after completion of the procedures under paragraphs (b)(9) and (12) of this section for such control period, any unallocated TR SO2 Group 1 allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will:
(i) Transfer such unallocated TR SO2 Group 1 allowances to the new unit set-aside for the State for such control period; or  
(ii) If the State has a SIP revision approved under §52.39(d), (e), or (f) of this chapter covering such control period, include such unallocated TR SO2 Group 1 allowances in the portion of the State SO2 Group 1 trading budget that may be allocated for such control period in accordance with such SIP revision.  
(11) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.611(b)(2)(iii), (iv), and (v), of the amount of TR SO2 Group 1 allowances allocated under paragraphs (b)(9), (10), and (12) for such control period to each TR SO2 Group 1 unit eligible for such allocation.
(12)(i) Notwithstanding the requirements of paragraphs (b)(2) through (11) of this section, if the calculations of allocations of an Indian country new unit set-aside for a control period in a given year under paragraph (b)(7) of this section, paragraphs (b)(6) and (9)(iv) of this section, or paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such Indian country new unit set-aside exceeding the total amount of such Indian country new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, as follows.  The Administrator will list the TR SO2 Group 1 units in descending order based on the amount of such units' allocations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will reduce each unit's allocation under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, by one TR SO2 Group 1 allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such Indian country new unit set-aside equal the total amount of such Indian country new unit set-aside.  
(ii) Notwithstanding the requirements of paragraphs (b)(10) and (11) of this section, if the calculations of allocations of an Indian country new unit set-aside for a control period in a given year under paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such Indian country new unit set-aside less than the total amount of such Indian country new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (b)(10) of this section, as follows.  The Administrator will list the TR SO2 Group 1 units in descending order based on the amount of such units' allocations under paragraph (b)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will increase each unit's allocation under paragraph (b)(10) of this section by one TR SO2 Group 1 allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such Indian country new unit set-aside equal the total amount of such Indian country new unit set-aside. 
§ 97.613  Authorization of designated representative and alternate designated representative.
(a) Except as provided under §97.615, each TR SO2 Group 1 source, including all TR SO2 Group 1 units at the source, shall have one and only one designated representative, with regard to all matters under the TR SO2 Group 1 Trading Program.
(1) The designated representative shall be selected by an agreement binding on the owners and operators of the source and all TR SO2 Group 1 units at the source and shall act in accordance with the certification statement in §97.616(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under §97.616:
(i) The designated representative shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each owner and operator of the source and each TR SO2 Group 1 unit at the source in all matters pertaining to the TR SO2 Group 1 Trading Program, notwithstanding any agreement between the designated representative and such owners and operators; and
(ii) The owners and operators of the source and each TR SO2 Group 1 unit at the source shall be bound by any decision or order issued to the designated representative by the Administrator regarding the source or any such unit.
(b) Except as provided under §97.615, each TR SO2 Group 1 source may have one and only one alternate designated representative, who may act on behalf of the designated representative. The agreement by which the alternate designated representative is selected shall include a procedure for authorizing the alternate designated representative to act in lieu of the designated representative.
(1) The alternate designated representative shall be selected by an agreement binding on the owners and operators of the source and all TR SO2 Group 1 units at the source and shall act in accordance with the certification statement in §97.616(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under §97.616, 
(i) The alternate designated representative shall be authorized;  
(ii) Any representation, action, inaction, or submission by the alternate designated representative shall be deemed to be a representation, action, inaction, or submission by the designated representative; and
(iii) The owners and operators of the source and each TR SO2 Group 1 unit at the source shall be bound by any decision or order issued to the alternate designated representative by the Administrator regarding the source or any such unit.
(c) Except in this section, §97.602, and §§97.614 through 97.618, whenever the term "designated representative" (as distinguished from the term "common designated representative") is used in this subpart, the term shall be construed to include the designated representative or any alternate designated representative.
§ 97.614  Responsibilities of designated representative and alternate designated representative.
(a) Except as provided under §97.618 concerning delegation of authority to make submissions, each submission under the TR SO2 Group 1 Trading Program shall be made, signed, and certified by the designated representative or alternate designated representative for each TR SO2 Group 1 source and TR SO2 Group 1 unit for which the submission is made. Each such submission shall include the following certification statement by the designated representative or alternate designated representative: "I am authorized to make this submission on behalf of the owners and operators of the source or units for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
(b) The Administrator will accept or act on a submission made for a TR SO2 Group 1 source or a TR SO2 Group 1 unit only if the submission has been made, signed, and certified in accordance with paragraph (a) of this section and §97.618.
§ 97.615  Changing designated representative and alternate designated representative; changes in owners and operators; changes in units at the source.
(a) Changing designated representative.  The designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under §97.616.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new designated representative and the owners and operators of the TR SO2 Group 1 source and the TR SO2 Group 1 units at the source.
(b) Changing alternate designated representative.  The alternate designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under §97.616.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new alternate designated representative, the designated representative, and the owners and operators of the TR SO2 Group 1 source and the TR SO2 Group 1 units at the source.
(c) Changes in owners and operators.  (1) In the event an owner or operator of a TR SO2 Group 1 source or a TR SO2 Group 1 unit at the source is not included in the list of owners and operators in the certificate of representation under §97.616, such owner or operator shall be deemed to be subject to and bound by the certificate of representation, the representations, actions, inactions, and submissions of the designated representative and any alternate designated representative of the source or unit, and the decisions and orders of the Administrator, as if the owner or operator were included in such list.
(2) Within 30 days after any change in the owners and operators of a TR SO2 Group 1 source or a TR SO2 Group 1 unit at the source, including the addition or removal of an owner or operator, the designated representative or any alternate designated representative shall submit a revision to the certificate of representation under §97.616 amending the list of owners and operators to reflect the change.
(d) Changes in units at the source.  Within 30 days of any change in which units are located at a TR SO2 Group 1 source (including the addition or removal of a unit), the designated representative or any alternate designated representative shall submit a certificate of representation under §97.616 amending the list of units to reflect the change.  
(1) If the change is the addition of a unit that operated (other than for purposes of testing by the manufacturer before initial installation) before being located at the source, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity from whom the unit was purchased or otherwise obtained (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was purchased or otherwise obtained, and the date on which the unit became located at the source.
(2) If the change is the removal of a unit, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity to which the unit was sold or that otherwise obtained the unit (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was sold or otherwise obtained, and the date on which the unit became no longer located at the source.  
§ 97.616  Certificate of representation.
(a) A complete certificate of representation for a designated representative or an alternate designated representative shall include the following elements in a format prescribed by the Administrator:
(1) Identification of the TR SO2 Group 1 source, and each TR SO2 Group 1 unit at the source, for which the certificate of representation is submitted, including source name, source  category and NAICS code (or, in the absence of a NAICS code, an equivalent code), State, plant code, county, latitude and longitude, unit identification number and type, identification number and nameplate capacity (in MWe, rounded to the nearest tenth) of each generator served by each such unit, actual or projected date of commencement of commercial operation, and a statement of whether such source is located in Indian Country.  If a projected date of commencement of commercial operation is provided, the actual date of commencement of commercial operation shall be provided when such information becomes available.
(2) The name, address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the designated representative and any alternate designated representative.
(3) A list of the owners and operators of the TR SO2 Group 1 source and of each TR SO2 Group 1 unit at the source.
(4) The following certification statements by the designated representative and any alternate designated representative -- 
(i) "I certify that I was selected as the designated representative or alternate designated representative, as applicable, by an agreement binding on the owners and operators of the source and each TR SO2 Group 1 unit at the source."
(ii) "I certify that I have all the necessary authority to carry out my duties and responsibilities under the TR SO2 Group 1 Trading Program on behalf of the owners and operators of the source and of each TR SO2 Group 1 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 Administrator regarding the source or unit."
(iii) "Where there are multiple holders of a legal or equitable title to, or a leasehold interest in, a TR SO2 Group 1 unit, or where a utility or industrial customer purchases power from a TR SO2 Group 1 unit under a life-of-the-unit, firm power contractual arrangement, I certify that: I have given a written notice of my selection as the `designated representative' or `alternate designated representative', as applicable, and of the agreement by which I was selected to each owner and operator of the source and of each TR SO2 Group 1 unit at the source; and TR SO2 Group 1 allowances and proceeds of transactions involving TR SO2 Group 1 allowances will be deemed to be held or distributed in proportion to each holder's legal, equitable, leasehold, or contractual reservation or entitlement, except that, if such multiple holders have expressly provided for a different distribution of TR SO2 Group 1 allowances by contract, TR SO2 Group 1 allowances and proceeds of transactions involving TR SO2 Group 1 allowances will be deemed to be held or distributed in accordance with the contract."
(5) The signature of the designated representative and any alternate designated representative and the dates signed.
(b) Unless otherwise required by the Administrator, documents of agreement referred to in the certificate of representation shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
§ 97.617  Objections concerning designated representative and alternate designated representative.
(a) Once a complete certificate of representation under §97.616 has been submitted and received, the Administrator will rely on the certificate of representation unless and until a superseding complete certificate of representation under §97.616 is received by the Administrator.
(b) Except as provided in paragraph (a) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission, of a designated representative or alternate designated representative shall affect any representation, action, inaction, or submission of the designated representative or alternate designated representative or the finality of any decision or order by the Administrator under the TR SO2 Group 1 Trading Program.
(c) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of any designated representative or alternate designated representative, including private legal disputes concerning the proceeds of TR SO2 Group 1 allowance transfers.
§ 97.618  Delegation by designated representative and alternate designated representative.
(a) A designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(b) An alternate designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(c) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (a) or (b) of this section, the designated representative or alternate designated representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements:
(1) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such designated representative or alternate designated representative;
(2) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to in this section as an "agent");
(3) For each such natural person, a list of the type or types of electronic submissions under paragraph (a) or (b) of this section for which authority is delegated to him or her; and
(4) The following certification statements by such designated representative or alternate designated representative:
(i) "I agree that any electronic submission to the Administrator that is made by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am a designated representative or alternate designated representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.618(d) shall be deemed to be an electronic submission by me."
(ii) "Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.618(d), I agree to maintain an e-mail account and to notify the Administrator immediately of any change in my e-mail address unless all delegation of authority by me under 40 CFR 97.618 is terminated.".
(d) A notice of delegation submitted under paragraph (c) of this section shall be effective, with regard to the designated representative or alternate designated representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of delegation submitted by such designated representative or alternate designated representative, as appropriate. The superseding notice of delegation may replace any previously identified agent, add a new agent, or eliminate entirely any delegation of authority.
(e) Any electronic submission covered by the certification in paragraph (c)(4)(i) of this section and made in accordance with a notice of delegation effective under paragraph (d) of this section shall be deemed to be an electronic submission by the designated representative or alternate designated representative submitting such notice of delegation.
§ 97.619  [Reserved] 
§ 97.620  Establishment of compliance accounts, assurance accounts, and general accounts.
(a) Compliance accounts.  Upon receipt of a complete certificate of representation under §97.616, the Administrator will establish a compliance account for the TR SO2 Group 1 source for which the certificate of representation was submitted, unless the source already has a compliance account.  The designated representative and any alternate designated representative of the source shall be the authorized account representative and the alternate authorized account representative respectively of the compliance account.
(b) Assurance accounts.  The Administrator will establish assurance accounts for certain owners and operators and States in accordance with §97.625(b)(3).  
 (c) General accounts. (1) Application for general account.  (i) Any person may apply to open a general account, for the purpose of holding and transferring TR SO2 Group 1 allowances, by submitting to the Administrator a complete application for a general account.  Such application shall designate one and only one authorized account representative and may designate one and only one alternate authorized account representative who may act on behalf of the authorized account representative. 
(A) The authorized account representative and alternate authorized account representative shall be selected by an agreement binding on the persons who have an ownership interest with respect to TR SO2 Group 1 allowances held in the general account. 
(B) The agreement by which the alternate authorized account representative is selected shall include a procedure for authorizing the alternate authorized account representative to act in lieu of the authorized account representative.
(ii) A complete application for a general account 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 authorized account representative and any alternate authorized account representative;
(B) An identifying name for the general account;
(C) A list of all persons subject to a binding agreement for the authorized account representative and any alternate authorized account representative to represent their ownership interest with respect to the TR SO2 Group 1 allowances held in the general account;
(D) The following certification statement by the authorized account representative and any alternate authorized account representative: "I certify that I was selected as the authorized account representative or the alternate authorized account representative, as applicable, by an agreement that is binding on all persons who have an ownership interest with respect to TR SO2 Group 1 allowances held in the general account. I certify that I have all the necessary authority to carry out my duties and responsibilities under the TR SO2 Group 1 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 decision or order issued to me by the Administrator regarding the general account."
(E) The signature of the authorized account representative and any alternate authorized account representative and the dates signed.
(iii) Unless otherwise required by the Administrator, documents of agreement referred to in the application for a general account shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
(2) Authorization of authorized account representative and alternate authorized account representative.  (i) Upon receipt by the Administrator of a complete application for a general account under paragraph (b)(1) of this section,  the Administrator will establish a general account for the person or persons for whom the application is submitted, and upon and after such receipt by the Administrator: 
(A) The authorized account representative of the general account shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each person who has an ownership interest with respect to TR SO2 Group 1 allowances held in the general account in all matters pertaining to the TR SO2 Group 1 Trading Program, notwithstanding any agreement between the authorized account representative and such person. 
(B) Any alternate authorized account representative shall be authorized, and any representation, action, inaction, or submission by any alternate authorized account representative shall be deemed to be a representation, action, inaction, or submission by the authorized account representative.
(C) Each person who has an ownership interest with respect to TR SO2 Group 1 allowances held in the general account shall be bound by any decision or order issued to the authorized account representative or alternate authorized account representative by the Administrator regarding the general account. 
(ii) Except as provided in paragraph (c)(5) of this section concerning delegation of authority to make submissions, each submission concerning the general account shall be made, signed, and certified by the authorized account representative or any alternate authorized account representative for the persons having an ownership interest with respect to TR SO2 Group 1 allowances held in the general account.  Each such submission shall include the following certification statement by the authorized account representative or any alternate authorized account representative: "I am authorized to make this submission on behalf of the persons having an ownership interest with respect to the TR SO2 Group 1 allowances held in the general account. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments.  Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete.  I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
(iii) Except in this section, whenever the term "authorized account representative" is used in this subpart, the term shall be construed to include the authorized account representative or any alternate authorized account representative.
(3) Changing authorized account representative and alternate authorized account representative; changes in persons with ownership interest.  (i) The authorized account representative of 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 (c)(1) of this section.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new authorized account representative and the persons with an ownership interest with respect to the TR SO2 Group 1 allowances in the general account.
(ii) The alternate authorized account representative of 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 (c)(1) of this section.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new alternate authorized account representative, the authorized account representative, and the persons with an ownership interest with respect to the TR SO2 Group 1 allowances in the general account.
(iii)(A) In the event a person having an ownership interest with respect to TR SO2 Group 1 allowances in the general account is not included in the list of such persons in the application for a general account, such person shall be deemed to be subject to and bound by the application for a general account, the representation, actions, inactions, and submissions of the authorized account representative and any alternate authorized account representative of the account, and the decisions and orders of the Administrator, as if the person were included in such list.
(B) Within 30 days after any change in the persons having an ownership interest with respect to SO2 Group 1 allowances in the general account, including the addition or removal of a person, the authorized account representative or any alternate 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 TR SO2 Group 1 allowances in the general account to include the change.
(4) Objections concerning authorized account representative and alternate authorized account representative.  (i) Once a complete application for a general account under paragraph (c)(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 (c)(4)(i) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account shall affect any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative or the finality of any decision or order by the Administrator under the TR SO2 Group 1 Trading Program.
(iii) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account, including private legal disputes concerning the proceeds of TR SO2 Group 1 allowance transfers.
(5) Delegation by authorized account representative and alternate authorized account representative.  (i) An authorized account representative of a general account may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(ii) An alternate authorized account representative of a general account may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(iii) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (c)(5)(i) or (ii) of this section, the authorized account representative or alternate authorized account representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements:
(A) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such authorized account representative or alternate authorized account representative;
(B) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to in this section as an "agent");
(C) For each such natural person, a list of the type or types of electronic submissions under paragraph (c)(5)(i) or (ii) of this section for which authority is delegated to him or her;
(D) The following certification statement by such authorized account representative or alternate authorized account representative:  "I agree that any electronic submission to the Administrator that is made by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am an authorized account representative or alternate authorized representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.620(c)(5)(iv) shall be deemed to be an electronic submission by me."; and
(E) The following certification statement by such authorized account representative or alternate authorized account representative: "Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.620(c)(5)(iv), I agree to maintain an e-mail account and to notify the Administrator immediately of any change in my e-mail address unless all delegation of authority by me under 40 CFR 97.620(c)(5) is terminated.".
(iv) A notice of delegation submitted under paragraph (c)(5)(iii) of this section shall be effective, with regard to the authorized account representative or alternate authorized account representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of delegation submitted by such authorized account representative or alternate authorized account representative, as appropriate.  The superseding notice of delegation may replace any previously identified agent, add a new agent, or eliminate entirely any delegation of authority.
(v) Any electronic submission covered by the certification in paragraph (c)(5)(iii)(D) of this section and made in accordance with a notice of delegation effective under paragraph (c)(5)(iv) of this section shall be deemed to be an electronic submission by the designated representative or alternate designated representative submitting such notice of delegation.
(6) Closing a general account. (i) The authorized account representative or alternate authorized account representative of a general account may submit to the Administrator a request to close the account.  Such request shall include a correctly submitted TR SO2 Group 1 allowance transfer under §97.622 for any TR SO2 Group 1 allowances in the account to one or more other Allowance Management System accounts.
(ii) If a general account has no TR SO2 Group 1 allowance transfers to or from the account for a 12-month period or longer and does not contain any TR SO2 Group 1 allowances, the Administrator may notify the authorized account representative for the account that the account will be closed after 30 days after the notice is sent.  The account will be closed after the 30-day period unless, before the end of the 30-day period, the Administrator receives a correctly submitted TR SO2 Group 1 allowance transfer under §97.622 to the account or a statement submitted by the authorized account representative or alternate authorized account representative demonstrating to the satisfaction of the Administrator good cause as to why the account should not be closed.
(d) Account identification.  The Administrator will assign a unique identifying number to each account established under paragraph (a), (b), or (c) of this section.
(e) Responsibilities of authorized account representative and alternate authorized account representative.  After the establishment of a compliance account or general account, the Administrator will accept or act on a submission pertaining to the account, including, but not limited to, submissions concerning the deduction or transfer of TR SO2 Group 1 allowances in the account, only if the submission has been made, signed, and certified in accordance with §§97.614(a) and 97.618 or paragraphs (c)(2)(ii) and (c)(5) of this section. 
§ 97.621  Recordation of TR SO2 Group 1 allowance allocations and auction results.
(a) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER], the Administrator will record in each TR SO2 Group 1 source's compliance account the TR SO2 Group 1 allowances allocated to the TR SO2 Group 1 units at the source in accordance with §97.611(a) for the control period in 2012.
(b) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER], the Administrator will record in each TR SO2 Group 1 source's compliance account the TR SO2 Group 1 allowances allocated to the TR SO2 Group 1 units at the source in accordance with §97.611(a) for the control period in 2013, unless the State in which the source is located notifies the Administrator in writing by [INSERT DATE 70 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER] of the State's intent to submit to the Administrator a complete SIP revision by April 1, 2012 meeting the requirements of §52.39(d)(1) through (4) of this chapter.
(1) If, by April 1, 2012, the State does not submit to the Administrator such complete SIP revision, the Administrator will record by April 15, 2012 in each TR SO2 Group 1 source's compliance account the TR SO2 Group 1 allowances allocated to the TR SO2 Group 1 units at the source in accordance with §97.611(a) for the control period in 2013.
(2) If the State submits to the Administrator by April 1, 2012, and the Administrator approves by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR SO2 Group 1 source's compliance account the TR SO2 Group 1 allowances allocated to the TR SO2 Group 1 units at the source as provided in such approved, complete SIP revision for the control period in 2013.
(3) If the State submits to the Administrator by April 1, 2012, and the Administrator does not approve by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR SO2 Group 1 source's compliance account the TR SO2 Group 1 allowances allocated to the TR SO2 Group 1 units at the source in accordance with §97.611(a) for the control period in 2013. 
(c) By July 1, 2013, the Administrator will record in each TR SO2 Group 1 source's compliance account the TR SO2 Group 1 allowances allocated to the TR SO2 Group 1 units at the source, or in each appropriate Allowance Management System account the TR SO2 Group 1 allowances auctioned to TR SO2 Group 1 units, in accordance with §97.611(a), or with a SIP revision approved under §52.39(e) or (f) of this chapter, for the control period in 2014 and 2015.
(d) By July 1, 2014, the Administrator will record in each TR SO2 Group 1 source's compliance account the TR SO2 Group 1 allowances allocated to the TR SO2 Group 1 units at the source, or in each appropriate Allowance Management System account the TR SO2 Group 1 allowances auctioned to TR SO2 Group 1 units, in accordance with §97.611(a), or with a SIP revision approved under §52.39(e) or (f) of this chapter, for the control period in 2016 and 2017.
(e) By July 1, 2015, the Administrator will record in each TR SO2 Group 1 source's compliance account the TR SO2 Group 1 allowances allocated to the TR SO2 Group 1 units at the source, or in each appropriate Allowance Management System account the TR SO2 Group 1 allowances auctioned to TR SO2 Group 1 units, in accordance with §97.611(a), or with a SIP revision approved under §52.39(e) or (f) of this chapter, for the control period in 2018 and 2019.
(f) By July 1, 2016 and July 1 of each year thereafter, the Administrator will record in each TR SO2 Group 1 source's compliance account the TR SO2 Group 1 allowances allocated to the TR SO2 Group 1 units at the source, or in each appropriate Allowance Management System account the TR SO2 Group 1 allowances auctioned to TR SO2 Group 1 units, in accordance with §97.611(a), or with a SIP revision approved under §52.39(e) and (f) of this chapter, for the control period in the fourth year after the year of the applicable recordation deadline under this paragraph.
(g) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR SO2 Group 1 source's compliance account the TR SO2 Group 1 allowances allocated to the TR SO2 Group 1 units at the source, or in each appropriate Allowance Management System account the TR SO2 Group 1 allowances auctioned to TR SO2 Group 1 units, in accordance with §97.612(a)(2) through (8) and (12), or with a SIP revision approved under §52.39(e) and (f) of this chapter, for the control period in the year of the applicable recordation deadline under this paragraph.
(h) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR SO2 Group 1 source's compliance account the TR SO2 Group 1 allowances allocated to the TR SO2 Group 1 units at the source in accordance with §97.612(b)(2) through (8) and (12) for the control period in the year of the applicable recordation deadline under this paragraph.
(i) By February 15, 2013 and February 15 of each year thereafter, the Administrator will record in each TR SO2 Group 1 source's compliance account the TR SO2 Group 1 allowances allocated to the TR SO2 Group 1 units at the source in accordance with §97.612(a)(9) through (12), for the control period in the year before the year of the applicable recordation deadline under this paragraph.
(j) By the date on which any allocation or auction results, other than an allocation or auction results described in paragraphs (a) through (i) of this section, of TR SO2 Group 1 allowances to a recipient is made by or are submitted to the Administrator in accordance with §97.611 or §97.612 or with a SIP revision approved under §52.39(e) or (f) of this chapter, the Administrator will record such allocation or auction results in the appropriate Allowance Management System account. 
(k) When recording the allocation or auction of TR SO2 Group 1 allowances to a TR SO2 Group 1 unit or other entity in an Allowance Management System account, the Administrator will assign each TR SO2 Group 1 allowance a unique identification number that will include digits identifying the year of the control period for which the TR SO2 Group 1 allowance is allocated or auctioned.
§ 97.622  Submission of TR SO2 Group 1 allowance transfers.
(a) An authorized account representative seeking recordation of a TR SO2 Group 1 allowance transfer shall submit the transfer to the Administrator. 
(b) A TR SO2 Group 1 allowance transfer shall be correctly submitted if: 
(1) The transfer includes the following elements, in a format prescribed by the Administrator:
(i) The account numbers established by the Administrator for both the transferor and transferee accounts;
(ii) The serial number of each TR SO2 Group 1 allowance that is in the transferor account and is to be transferred; and
(iii) The name and signature of the authorized account representative of the transferor account and the date signed; and
(2) When the Administrator attempts to record the transfer, the transferor account includes each TR SO2 Group 1 allowance identified by serial number in the transfer. 
§ 97.623  Recordation of TR SO2 Group 1 allowance transfers.
(a) Within 5 business days (except as provided in paragraph (b) of this section) of receiving a TR SO2 Group 1 allowance transfer that is correctly submitted under §97.622, the Administrator will record a TR SO2 Group 1 allowance transfer by moving each TR SO2 Group 1 allowance from the transferor account to the transferee account as specified in the transfer.  
(b) A TR SO2 Group 1 allowance transfer to or from a compliance account that is submitted for recordation after the allowance transfer deadline for a control period and that includes any TR SO2 Group 1 allowances allocated for any control period before such allowance transfer deadline will not be recorded until after the Administrator completes the deductions from such compliance account under §97.624 for the control period immediately before such allowance transfer deadline.
(c) Where a TR SO2 Group 1 allowance transfer is not correctly submitted under §97.622, the Administrator will not record such transfer.
(d) Within 5 business days of recordation of a TR SO2 Group 1 allowance transfer under paragraphs (a) and (b) of the section, the Administrator will notify the authorized account representatives of both the transferor and transferee accounts.
(e) Within 10 business days of receipt of a TR SO2 Group 1 allowance transfer that is not correctly submitted under §97.622, the Administrator will notify the 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.
§ 97.624  Compliance with TR SO2 Group 1 emissions limitation.
(a) Availability for deduction for compliance.  TR SO2 Group 1 allowances are available to be deducted for compliance with a source's TR SO2 Group 1 emissions limitation for a control period in a given year only if the TR SO2 Group 1 allowances:
(1) Were allocated for such control period or a control period in a prior year; and
(2) Are held in the source's compliance account as of the allowance transfer deadline for such control period.   
(b) Deductions for compliance.  After the recordation, in accordance with §97.623, of TR SO2 Group 1 allowance transfers submitted by the allowance transfer deadline for a control period in a given year, the Administrator will deduct from each source's compliance account TR SO2 Group 1 allowances available under paragraph (a) of this section in order to determine whether the source meets the TR SO2 Group 1 emissions limitation for such control period, as follows:
(1) Until the amount of TR SO2 Group 1 allowances deducted equals the number of tons of total SO2 emissions from all TR SO2 Group 1 units at the source for such control period; or
(2) If there are insufficient TR SO2 Group 1 allowances to complete the deductions in paragraph (b)(1) of this section, until no more TR SO2 Group 1 allowances available under paragraph (a) of this section remain in the compliance account.
(c)(1) Identification of TR SO2 Group 1 allowances by serial number.  The authorized account representative for a source's compliance account may request that specific TR SO2 Group 1 allowances, identified by serial number, in the compliance account be deducted for emissions or excess emissions for a control period in a given year in accordance with paragraph (b) or (d) of this section.  In order to be complete, such request shall be submitted to the Administrator by the allowance transfer deadline for such control period and include, in a format prescribed by the Administrator, the identification of the TR SO2 Group 1 source and the appropriate serial numbers.
(2) First-in, first-out.  The Administrator will deduct TR SO2 Group 1 allowances under paragraph (b) or (d) of this section from the source's compliance account in accordance with a complete request under paragraph (c)(1) of this section or, in the absence of such request or in the case of identification of an insufficient amount of TR SO2 Group 1 allowances in such request, on a first-in, first-out accounting basis in the following order:
(i) Any TR SO2 Group 1 allowances that were allocated to the units at the source and not transferred out of the compliance account, in the order of recordation; and then
(ii) Any TR SO2 Group 1 allowances that were allocated to any unit and transferred to and recorded in the compliance account pursuant to this subpart, in the order of recordation.
(d) Deductions for excess emissions.  After making the deductions for compliance under paragraph (b) of this section for a control period in a year in which the TR SO2 Group 1 source has excess emissions, the Administrator will deduct from the source's compliance account an amount of TR SO2 Group 1 allowances, allocated for a control period in a prior year or the control period in the year of the excess emissions or in the immediately following year, equal to two times the number of tons of the source's excess emissions.
(e) Recordation of deductions.  The Administrator will record in the appropriate compliance account all deductions from such an account under paragraphs (b) and (d) of this section.
§ 97.625  Compliance with TR SO2 Group 1 assurance provisions.
(a) Availability for deduction.  TR SO2 Group 1 allowances are available to be deducted for compliance with the TR SO2 Group 1 assurance provisions for a control period in a given year by the owners and operators of a group of one or more TR SO2 Group 1 sources and units in a State (and Indian country within the borders of such State) only if the TR SO2 Group 1 allowances: 
(1) Were allocated for a control period in a prior year or the control period in the given year or in the immediately following year; and
(2) Are held in the assurance account, established by the Administrator for such owners and operators of such group of TR SO2 Group 1 sources and units in such State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, as of the deadline established in paragraph (b)(4) of this section.   
(b) Deductions for compliance.  The Administrator will deduct TR SO2 Group 1 allowances available under paragraph (a) of this section for compliance with the TR SO2 Group 1 assurance provisions for a State for a control period in a given year in accordance with the following procedures:
(1) By June 1, 2013 and June 1 of each year thereafter, the Administrator will:
(i) Calculate, for each State (and Indian country within the borders of such State), the total SO2 emissions from all TR SO2 Group 1 units at TR SO2 Group 1 sources in the State (and Indian country within the borders of such State) during the control period in the year before the year of this calculation deadline and the amount, if any, by which such total SO2 emissions exceed the State assurance level as described in §97.606(c)(2)(iii); and
(ii) Promulgate a notice of data availability of the results of the calculations required in paragraph (b)(1)(i) of this section, including separate calculations of the SO2 emissions from each TR SO2 Group 1 source.  
(2) For each notice of data availability required in paragraph (b)(1)(ii) of this section and for any State (and Indian country within the borders of such State) identified in such notice as having TR SO2 Group 1 units with total SO2 emissions exceeding the State assurance level for a control period in a given year, as described in §97.606(c)(2)(iii):
(i) By July 1 immediately after the promulgation of such notice, the designated representative of each TR SO2 Group 1 source in each such State (and Indian country within the borders of such State) shall submit a statement, in a format prescribed by the Administrator, providing for each TR SO2 Group 1 unit (if any) at the source that operates during, but is not allocated an amount of TR SO2 Group 1 allowances for, such control period, the unit's allowable SO2 emission rate for such control period and, if such rate is expressed in lb per mmBtu, the unit's heat rate.  
(ii) By August 1 immediately after the promulgation of such notice, the Administrator will calculate, for each such State (and Indian country within the borders of such State) and such control period and each common designated representative for such control period for a group of one or more TR SO2 Group 1 sources and units in the State (and Indian country within the borders of such State), the common designated representative's share of the total SO2 emissions from all TR SO2 Group 1 units at TR SO2 Group 1 sources in the State (and Indian country within the borders of such State), the common designated representative's assurance level, and the amount (if any) of TR SO2 Group 1 allowances that the owners and operators of such group of sources and units must hold in accordance with the calculation formula in §97.606(c)(2)(i) and will promulgate a notice of data availability of the results of these calculations.     
(iii) The Administrator will provide an opportunity for submission of objections to the calculations referenced by the notice of data availability required in paragraph (b)(2)(ii) of this section and the calculations referenced by the relevant notice of data availability required in paragraph (b)(1)(i) of this section.  
(A) Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations referenced in the relevant notice required under paragraph (b)(1)(ii) of this section and referenced in the notice required under paragraph (b)(2)(ii) of this section are in accordance with §97.606(c)(2)(iii), §§97.606(b) and 97.630 through 97.635, the definitions of "common designated representative", "common designated representative's assurance level", and "common designated representative's share" in §97.602, and the calculation formula in §97.606(c)(2)(i).
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(iii)(A) of this section.  By October 1 immediately after the promulgation of such notice, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iii)(A) of this section.
(3) For any State (and Indian country within the borders of such State) referenced in each notice of data availability required in paragraph (b)(2)(iii)(B) of this section as having TR SO2 Group 1 units with total SO2 emissions exceeding the State assurance level for a control period in a given year, the Administrator will establish one assurance account for each set of owners and operators referenced, in the notice of data availability required under paragraph (b)(2)(iii)(B) of this section, as all of the owners and operators of a group of TR SO2 Group 1 sources and units in the State (and Indian country within the borders of such State) having a common designated representative for such control period and as being required to hold TR SO2 Group 1 allowances.     
(4)(i) As of midnight of November 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section, the owners and operators described in paragraph (b)(3) of this section shall hold in the assurance account established for the them and for the appropriate TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section a total amount of TR SO2 Group 1 allowances, available for deduction under paragraph (a) of this section, equal to the amount such owners and operators are required to hold with regard to such sources, units and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in such notice.  
(ii) Notwithstanding the allowance-holding deadline specified in paragraph (b)(4)(i) of this section, if November 1 is not a business day, then such allowance-holding deadline shall be midnight of the first business day thereafter.
(5) After November 1 (or the date described in paragraph (b)(4)(ii) of this section) immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section and after the recordation, in accordance with §97.623, of TR SO2 Group 1 allowance transfers submitted by midnight of such date, the Administrator will determine whether the owners and operators described in paragraph (b)(3) of this section hold, in the assurance account for the appropriate TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) established under paragraph (b)(3) of this section, the amount of TR SO2 Group 1 allowances available under paragraph (a) of this section that the owners and operators are required to hold with regard to such sources, units, and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in the notice required in paragraph (b)(2)(iii)(B) of this section.
(6) Notwithstanding any other provision of this subpart and any revision, made by or submitted to the Administrator after the promulgation of the notice of data availability required in paragraph (b)(2)(iii)(B) of this section for a control period in a given year, of any data used in making the calculations referenced in such notice, the amounts of TR SO2 Group 1 allowances that the owners and operators are required to hold in accordance with §97.606(c)(2)(i) for such control period shall continue to be such amounts as calculated by the Administrator and referenced in such notice required in paragraph (b)(2)(iii)(B) of this section, except as follows:
(i) If any such data are revised by the Administrator as a result of a decision in or settlement of litigation concerning such data on appeal under part 78 of this chapter of such notice, or on appeal under section 307 of the Clean Air Act of a decision rendered under part 78 of this chapter on appeal of such notice, then the Administrator will use the data as so revised to recalculate the amounts of TR SO2 Group 1 allowances that owners and operators are required to hold in accordance with the calculation formula in §97.606(c)(2)(i) for such control period with regard to the TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) involved, provided that such litigation under part 78 of this chapter, or the proceeding under part 78 of this chapter that resulted in the decision appealed in such litigation under section 307 of the Clean Air Act, was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section.
(ii) If any such data are revised by the owners and operators of a TR SO2 Group 1 source and TR SO2 Group 1 unit whose designated representative submitted such data under paragraph (b)(2)(i) of this section, as a result of a decision in or settlement of litigation concerning such submission, then the Administrator will use the data as so revised to recalculate the amounts of TR SO2 Group 1 allowances that owners and operators are required to hold in accordance with the calculation formula in §97.606(c)(2)(i) for such control period with regard to the TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) involved, provided that such litigation was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section.
(iii) If the revised data are used to recalculate, in accordance with paragraphs (b)(6)(i) and (ii) of this section, the amount of TR SO2 Group 1 allowances that the owners and operators are required to hold for such control period with regard to the TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) involved --  
(A) Where the amount of TR SO2 Group 1 allowances that the owners and operators are required to hold increases as a result of the use of all such revised data, the Administrator will establish a new, reasonable deadline on which the owners and operators shall hold the additional amount of TR SO2 Group 1 allowances in the assurance account established by the Administrator for the appropriate TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section.  The owners' and operators' failure to hold such additional amount, as required, before the new deadline shall not be a violation of the Clean Air Act.  The owners' and operators' failure to hold such additional amount, as required, as of the new deadline shall be a violation of the Clean Air Act.  Each TR SO2 Group 1 allowance that the owners and operators fail to hold as required as of the new deadline, and each day in such control period, shall be a separate violation of the Clean Air Act.  
(B) For the owners and operators for which the amount of TR SO2 Group 1 allowances required to be held decreases as a result of the use of all such revised data, the Administrator will record, in all accounts from which TR SO2 Group 1 allowances were transferred by such owners and operators for such control period to the assurance account established by the Administrator for the appropriate at TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, a total amount of the TR SO2 Group 1 allowances held in such assurance account equal to the amount of the decrease. If TR SO2 Group 1 allowances were transferred to such assurance account from more than one account, the amount of TR SO2 Group 1 allowances recorded in each such transferor account will be in proportion to the percentage of the total amount of TR SO2 Group 1 allowances transferred to such assurance account for such control period from such transferor account.  
(C) Each TR SO2 Group 1 allowance held under paragraph (b)(6)(iii)(A) of this section as a result of recalculation of requirements under the TR SO2 Group 1 assurance provisions for such control period must be a TR SO2 Group 1 allowance allocated for a control period in a year before or the year immediately following, or in the same year as, the year of such control period.      
§ 97.626  Banking.
(a) A TR SO2 Group 1 allowance may be banked for future use or transfer in a compliance account or a general account in accordance with paragraph (b) of this section.
(b) Any TR SO2 Group 1 allowance that is held in a compliance account or a general account will remain in such account unless and until the TR SO2 Group 1 allowance is deducted or transferred under §97.611(c), §97.623, §97.624, §97.625,  97.627, or 97.628.
§ 97.627  Account error.
The Administrator may, at his or her sole discretion and on his or her own motion, correct any error in any Allowance Management System account.  Within 10 business days of making such correction, the Administrator will notify the authorized account representative for the account.
§ 97.628  Administrator's action on submissions.
(a) The Administrator may review and conduct independent audits concerning any submission under the TR SO2 Group 1 Trading Program and make appropriate adjustments of the information in the submission.
(b) The Administrator may deduct TR SO2 Group 1 allowances from or transfer TR SO2 Group 1 allowances to a compliance account or an assurance account, based on the information in a submission, as adjusted under paragraph (a)(1) of this section, and record such deductions and transfers.
§ 97.629  [RESERVED]
§ 97.630  General monitoring, recordkeeping, and reporting requirements.
The owners and operators, and to the extent applicable, the designated representative, of a TR SO2 Group 1 unit, shall comply with the monitoring, recordkeeping, and reporting requirements as provided in this subpart and subparts F and G of part 75 of this chapter. For purposes of applying such requirements, the definitions in §97.602 and in §72.2 of this chapter shall apply, 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 "TR SO2 Group 1 unit," "designated representative," and "continuous emission monitoring system" (or "CEMS") respectively as defined in §97.602, and the term "newly affected unit" shall be deemed to mean "newly affected TR SO2 Group 1 unit".  The owner or operator of a unit that is not a TR SO2 Group 1 unit but that is monitored under §75.16(b)(2) of this chapter shall comply with the same monitoring, recordkeeping, and reporting requirements as a TR SO2 Group 1 unit.
(a) Requirements for installation, certification, and data accounting.  The owner or operator of each TR SO2 Group 1 unit shall:

(1) Install all monitoring systems required under this subpart for monitoring SO2 mass emissions and individual unit heat input (including all systems required to monitor SO2 concentration, stack gas moisture content, stack gas flow rate, CO2 or O2 concentration, and fuel flow rate, as applicable, in accordance with §§75.11 and 75.16 of this chapter);

(2) Successfully complete all certification tests required under §97.631 and meet all other requirements of this subpart and part 75 of this chapter applicable to the monitoring systems under paragraph (a)(1) of this section; and

(3) Record, report, and quality-assure the data from the monitoring systems under paragraph (a)(1) of this section.

(b) Compliance deadlines. Except as provided in paragraph (e) of this section, the owner or operator shall meet the monitoring system certification and other requirements of paragraphs (a)(1) and (2) of this section on or before the following dates and shall record, report, and quality-assure the data from the monitoring systems under paragraph (a)(1) of this section on and after the following dates.

(1) For the owner or operator of a TR SO2 Group 1 unit that commences commercial operation before July 1, 2011, January 1, 2012.

(2) For the owner or operator of a TR SO2 Group 1 unit that commences commercial operation on or after July 1, 2011, by the later of the following:

(i) January 1, 2012; or

(ii) 180 calendar days after the date on which the unit commences commercial operation.

(3) The owner or operator of a TR SO2 Group 1 unit for which construction of a new stack or flue or installation of add-on SO2  emission controls is completed after the applicable deadline under paragraph (b)(1) or (2) of this section shall meet the requirements of §§75.4(e)(1) through (e)(4) of this chapter, except that:
(i) Such requirements shall apply to the monitoring systems required under §97.630 through §97.635, rather than the monitoring systems required under part 75 of this chapter;
(ii) SO2 concentration, stack gas moisture content, stack gas volumetric flow rate, and O2 or CO2 concentration data shall be determined and reported, rather than the data listed in §75.4(e)(2) of this chapter; and
(iii) Any petition for another procedure under §75.4(e)(2) of this chapter shall be submitted under §97.635, rather than §75.66.
(c) Reporting data.  The owner or operator of a TR SO2 Group 1 unit that does not meet the applicable compliance date set forth in paragraph (b) of this section for any monitoring system under paragraph (a)(1) of this section shall, for each such monitoring system, determine, record, and report maximum potential (or, as appropriate, minimum potential) values for SO2 concentration, stack gas flow rate, stack gas moisture content, fuel flow rate, and any other parameters required to determine SO2 mass emissions and heat input in accordance with § 75.31(b)(2) or (c)(3) of this chapter or section 2.4 of appendix D to part 75 of this chapter, as applicable.

(d) Prohibitions. (1) No owner or operator of a TR SO2 Group 1 unit shall use any alternative monitoring system, alternative reference method, or any other alternative to any requirement of this subpart without having obtained prior written approval in accordance with §97.635.

(2) No owner or operator of a TR SO2 Group 1 unit shall operate the unit so as to discharge, or allow to be discharged, SO2 to the atmosphere without accounting for all such SO2 in accordance with the applicable provisions of this subpart and part 75 of this chapter.

(3) No owner or operator of a TR SO2 Group 1 unit shall disrupt the continuous emission monitoring system, any portion thereof, or any other approved emission monitoring method, and thereby avoid monitoring and recording SO2 mass discharged into the atmosphere or heat input, except for periods of recertification or periods when calibration, quality assurance testing, or maintenance is performed in accordance with the applicable provisions of this subpart and part 75 of this chapter.

(4) No owner or operator of a TR SO2 Group 1 unit shall retire or permanently discontinue use of the continuous emission monitoring system, any component thereof, or any other approved monitoring system under this subpart, except under any one of the following circumstances:

(i) During the period that the unit is covered by an exemption under §97.605 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 Administrator 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 designated representative submits notification of the date of certification testing of a replacement monitoring system for the retired or discontinued monitoring system in accordance with §97.631(d)(3)(i).
(e) Long-term cold storage.  The owner or operator of a TR SO2 Group 1 unit is subject to the applicable provisions of §75.4(d) of this chapter concerning units in long-term cold storage.
§ 97.631  Initial monitoring system certification and recertification procedures.
(a) The owner or operator of a TR SO2 Group 1 unit shall be exempt from the initial certification requirements of this section for a monitoring system under § 97.630(a)(1) if the following conditions are met:

(1) The monitoring system has been previously certified in accordance with part 75 of this chapter; and

(2) The applicable quality-assurance and quality-control requirements of § 75.21 of this chapter and appendices B and D to part 75 of this chapter are fully met for the certified monitoring system described in paragraph (a)(1) of this section.

(b) The recertification provisions of this section shall apply to a monitoring system under § 97.630(a)(1) that is exempt from initial certification requirements under paragraph (a) of this section.

(c) [Reserved]

(d) Except as provided in paragraph (a) of this section, the owner or operator of a TR SO2 Group 1 unit shall comply with the following initial certification and recertification procedures, for a continuous monitoring system (i.e., a continuous emission monitoring system and an excepted monitoring system under appendix D to part 75 of this chapter) under §97.630(a)(1).  The owner or operator of 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 procedures in paragraph (e) or (f) of this section respectively.

(1) Requirements for initial certification. The owner or operator shall ensure that each continuous monitoring system under §97.630(a)(1) (including 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 §97.630(b).  In addition, whenever the owner or operator installs a monitoring system to meet the requirements of this subpart in a location where no such monitoring system was previously installed, initial certification in accordance with §75.20 of this chapter is required.

(2) Requirements for recertification.  Whenever the owner or operator makes a replacement, modification, or change in any certified continuous emission monitoring system under §97.630(a)(1) that may significantly affect the ability of the system to accurately measure or record SO2 mass emissions or heat input rate or to meet the quality-assurance and quality-control requirements of §75.21 of this chapter or appendix B to part 75 of this chapter, the owner or operator shall recertify the monitoring system in accordance with §75.20(b) of this chapter. Furthermore, whenever the owner or operator makes a replacement, modification, or change to the flue gas handling system or the unit's operation that may significantly change the stack flow or concentration profile, the owner or operator shall recertify each continuous emission monitoring system whose accuracy is potentially affected by the change, in accordance with §75.20(b) of this chapter.  Examples of changes to a continuous emission monitoring system that require recertification include: replacement of the analyzer, complete replacement of an existing continuous emission monitoring system, or change in location or orientation of the sampling probe or site.  Any fuel flowmeter system under §97.630(a)(1) is subject to the recertification requirements in §75.20(g)(6) of this chapter.

(3) Approval process for initial certification and recertification.  For initial certification of a continuous monitoring system under §97.630(a)(1), paragraphs (d)(3)(i) through (v) of this section apply.  For recertifications of such monitoring systems, paragraphs (d)(3)(i) through (iv) of this section  and the procedures in §§75.20(b)(5) and (g)(7) of this chapter (in lieu of the procedures in paragraph (d)(3)(v) of this section) apply, provided that in applying paragraphs (d)(3)(i) through (iv) of this section, the words "certification" and "initial certification" are replaced by the word "recertification" and the word "certified" is replaced by with the word "recertified".  
(i) Notification of certification.  The designated representative shall submit to the appropriate EPA Regional Office and the Administrator written notice of the dates of certification testing, in accordance with §97.633.

(ii) Certification application.  The designated representative shall submit to the Administrator a certification application for each monitoring system.  A complete certification application shall include the information specified in §75.63 of this chapter.

(iii) Provisional certification date.  The provisional certification date for a monitoring system shall be determined in accordance with §75.20(a)(3) of this chapter.  A provisionally certified monitoring system may be used under the TR SO2 Group 1 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 (d)(3)(ii) of this section.  Data measured and recorded by the provisionally certified monitoring system, in accordance with the requirements of part 75 of this chapter, will be considered valid quality-assured data (retroactive to the date and time of provisional certification), provided that the Administrator does not invalidate the provisional certification by issuing a notice of disapproval within 120 days of the date of receipt of the complete certification application by the Administrator.

(iv) Certification application 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 (d)(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 TR SO2 Group 1 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.  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 designated representative must submit the additional information required to complete the certification application.  If the designated representative does not comply with the notice of incompleteness by the specified date, then the Administrator may issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this section.  


(C) Disapproval notice.  If the certification application shows that any monitoring system does not meet the performance requirements of part 75 of this chapter or if the certification application is incomplete and the requirement for disapproval under paragraph (d)(3)(iv)(B) of this section is met, then the 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).  

(D) Audit decertification.  The Administrator may issue a notice of disapproval of the certification status of a monitor in accordance with §97.632(b).

(v) Procedures for loss of certification.  If the Administrator issues a notice of disapproval of a certification application under paragraph (d)(3)(iv)(C) of this section or a notice of disapproval of certification status under paragraph (d)(3)(iv)(D) of this section, then:

(A) The owner or operator shall substitute the following values, for each disapproved monitoring system, for each hour of unit operation during the period of invalid data specified under §75.20(a)(4)(iii), §75.20(g)(7), or §75.21(e) of this chapter and continuing until the applicable date and hour specified under §75.20(a)(5)(i) or (g)(7) of this chapter:

(1) For a disapproved SO2 pollutant concentration monitor and disapproved flow monitor, respectively, the maximum potential concentration of SO2 and the maximum potential flow rate, as defined in sections 2.1.1.1 and 2.1.4.1 of appendix A to part 75 of this chapter.

(2) For a disapproved moisture monitoring system and disapproved diluent gas monitoring system, respectively, the minimum potential moisture percentage and either the maximum potential CO2 concentration or the minimum potential O2 concentration (as applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of appendix A to part 75 of this chapter.

(3) For a disapproved fuel flowmeter system, the maximum potential fuel flow rate, as defined in section 2.4.2.1 of appendix D to part 75 of this chapter.

(B) The designated representative shall submit a notification of certification retest dates and a new certification application in accordance with paragraphs (d)(3)(i) and (ii) of this section.

(C) The owner or operator shall repeat all certification tests or other requirements that were failed by the monitoring system, as indicated in the Administrator's notice of disapproval, no later than 30 unit operating days after the date of issuance of the notice of disapproval.

(e) The owner or operator of a unit qualified to use the low mass emissions (LME) excepted methodology under §75.19 of this chapter shall meet the applicable certification and recertification requirements in §§75.19(a)(2) and 75.20(h) of this chapter.  If the owner or operator of such a unit elects to certify a fuel flowmeter system for heat input determination, the owner or operator shall also meet the certification and recertification requirements in §75.20(g) of this chapter.

(f) The designated representative of each unit 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 notification and application procedures of §75.20(f) of this chapter.
§ 97.632  Monitoring system out-of-control periods.
(a) General provisions.  Whenever any monitoring system fails to meet the quality-assurance and quality-control requirements or data validation requirements of part 75 of this chapter, data shall be substituted using the applicable missing data procedures in subpart D or appendix D to part 75 of this chapter.

(b) Audit decertification.  Whenever both an audit of a monitoring system and a review of the initial certification or recertification application reveal that any monitoring system should not have been certified or recertified because it did not meet a particular performance specification or other requirement under §97.631 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 monitoring system. For the purposes of this paragraph, an audit shall be either a field audit or an audit of any information submitted to the Administrator or any State or permitting authority.  By issuing the notice of disapproval, the Administrator revokes prospectively the certification status of the monitoring system.  The data measured and recorded by the monitoring system shall not be considered valid quality-assured data from the date of issuance of the notification of the revoked certification status until the date and time that the owner or operator completes subsequently approved initial certification or recertification tests for the monitoring system.  The owner or operator shall follow the applicable initial certification or recertification procedures in §97.631 for each disapproved monitoring system.
§ 97.633  Notifications concerning monitoring.
The designated representative of a TR SO2 Group 1 unit shall submit written notice to the Administrator in accordance with §75.61 of this chapter.
§ 97.634  Recordkeeping and reporting.
(a) General provisions.  The designated representative shall comply with all recordkeeping and reporting requirements in paragraphs (b) through (e) of this section, the applicable recordkeeping and reporting requirements in subparts F and G of part 75 of this chapter, and the requirements of §97.614(a).

(b) Monitoring plans.  The owner or operator of a TR SO2 Group 1 unit shall comply with requirements of §75.62 of this chapter.  

(c) Certification applications.  The designated representative shall submit an application to the Administrator within 45 days after completing all initial certification or recertification tests required under §97.631, including the information required under §75.63 of this chapter.

(d) Quarterly reports.  The designated representative shall submit quarterly reports, as follows:

(1) The designated representative shall report the SO2 mass emissions data and heat input data for the TR SO2 Group 1 unit, in an electronic quarterly report in a format prescribed by the Administrator, for each calendar quarter beginning with:

(i) For a unit that commences commercial operation before July 1, 2011, the calendar quarter covering January 1, 2012 through March 31, 2012; or

(ii) For a unit that commences commercial operation on or after July 1, 2011, the calendar quarter corresponding to the earlier of the date of provisional certification or the applicable deadline for initial certification under §97.630(b), unless that quarter is the third or fourth quarter of 2011, in which case reporting shall commence in the quarter covering January 1, 2012 through March 31, 2012.

(2) The designated representative shall submit each quarterly report to the Administrator within 30 days after the end of the calendar quarter covered by the report. Quarterly reports shall be submitted in the manner specified in §75.64 of this chapter.

(3) For TR SO2 Group 1 units that are also subject to the Acid Rain Program, TR NOX Annual Trading Program, or TR NOX Ozone Season Trading Program, quarterly reports shall include the applicable data and information required by subparts F through H of part 75 of this chapter as applicable, in addition to the SO2 mass emission data, heat input data, and other information required by this subpart.

(4) The Administrator may review and conduct independent audits of any quarterly report in order to determine whether the quarterly report meets the requirements of this subpart and part 75 of this chapter, including the requirement to use substitute data.  
(i) The Administrator will notify the designated representative of any determination that the quarterly report fails to meet any such requirements and specify in such notification any corrections that the Administrator believes are necessary to make through resubmission of the quarterly report and a reasonable time period within which the designated representative must respond.  Upon request by the designated representative, the Administrator may specify reasonable extensions of such time period.  Within the time period (including any such extensions) specified by the Administrator, the designated representative shall resubmit the quarterly report with the corrections specified by the Administrator, except to the extent the designated representative provides information demonstrating that a specified correction is not necessary because the quarterly report already meets the requirements of this subpart and part 75 of this chapter that are relevant to the specified correction.
(ii) Any resubmission of a quarterly report shall meet the requirements applicable to the submission of a quarterly report under this subpart and part 75 of this chapter, except for the deadline set forth in paragraph (d)(2) of this section.
(e) Compliance certification.  The designated representative shall submit to the Administrator a compliance certification (in a format prescribed by the Administrator) in support of each quarterly report based on reasonable inquiry of those persons with primary responsibility for ensuring that all of the unit's emissions are correctly and fully monitored.  The certification shall state that:

(1) The monitoring data submitted were recorded in accordance with the applicable requirements of this subpart and part 75 of this chapter, including the quality assurance procedures and specifications; and

(2) For a unit with add-on SO2 emission controls and for all hours where SO2 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 to part 75 of this chapter and the substitute data values do not systematically underestimate SO2 emissions.
§ 97.635  Petitions for alternatives to monitoring, recordkeeping, or reporting requirements.
(a) The designated representative of a TR SO2 Group 1 unit may submit a petition under §75.66 of this chapter to the Administrator, requesting approval to apply an alternative to any requirement of §§97.630 through 97.634.  
(b) A petition submitted under paragraph (a) of this section shall include sufficient information for the evaluation of the petition, including, at a minimum, the following information:
(i) Identification of each unit and source covered by the petition;
(ii) A detailed explanation of why the proposed alternative is being suggested in lieu of the requirement;
(iii) A description and diagram of any equipment and procedures used in the proposed alternative;
(iv) A demonstration that the proposed alternative is consistent with the purposes of the requirement for which the alternative is proposed and with the purposes of this subpart and part 75 of this chapter and that any adverse effect of approving the alternative will be de minimis; and
(v) Any other relevant information that the Administrator may require.  
(c) Use of an alternative to any requirement referenced in paragraph (a) of this section is in accordance with this subpart only to the extent that the petition is approved in writing by the Administrator and that such use is in accordance with such approval.
77. Part 97 is amended by adding subpart DDDDD to read as follows:
Subpart DDDDD -- TR SO2 Group 2 Trading Program                         
97.701  Purpose.
97.702  Definitions.
97.703  Measurements, abbreviations, and acronyms.
97.704  Applicability.
97.705  Retired unit exemption.
97.706  Standard requirements.
97.707  Computation of time.
97.708  Administrative appeal procedures.
97.709  [Reserved]
97.710  State SO2 Group 2 trading budgets, new unit set-            asides, Indian country new unit set-asides and variability limits.
97.711  Timing requirements for TR SO2 Group 2 allowance allocations.
97.712  TR SO2 Group 2 allowance allocations to new units.
97.713  Authorization of designated representative and alternate designated representative.
97.714  Responsibilities of designated representative and alternate designated representative.
97.715  Changing designated representative and alternate designated representative; changes in owners and operators.
97.716  Certificate of representation.
97.717  Objections concerning designated representative and alternate designated representative.
97.718  Delegation by designated representative and alternate designated representative.
97.719  [Reserved] 
97.720  Establishment of compliance accounts and general accounts.
97.721  Recordation of TR SO2 Group 2 allowance allocations.
97.722  Submission of TR SO2 Group 2 allowance transfers.
97.723  Recordation of TR SO2 Group 2 allowance transfers.
97.724  Compliance with TR SO2 Group 2 emissions limitation.
97.725  Compliance with TR SO2 Group 2 assurance provisions.
97.726  Banking.
97.727  Account error.
97.728  Administrator's action on submissions.
97.729  [RESERVED]
97.730  General monitoring, recordkeeping, and reporting requirements.
97.731  Initial monitoring system certification and recertification procedures.
97.732  Monitoring system out-of-control periods.
97.733  Notifications concerning monitoring.
97.734  Recordkeeping and reporting.
97.735  Petitions for alternatives to monitoring, recordkeeping, or reporting requirements.
Subpart DDDDD -- TR SO2 Group 2 Trading Program                         
§ 97.701  Purpose.
This subpart sets forth the general, designated representative, allowance, and monitoring provisions for the Transport Rule (TR) SO2  Group 2 Trading Program, under section 110 of the Clean Air Act and §52.39 of this chapter, as a means of mitigating interstate transport of fine particulates and sulfur dioxide.
§ 97.702  Definitions.
The terms used in this subpart shall have the meanings set forth in this section as follows:
Acid Rain Program means a multi-state SO2 and NOX air pollution control and emission reduction program established by the Administrator under title IV of the Clean Air Act and parts 72 through 78 of this chapter.
Administrator means the Administrator of the United States Environmental Protection Agency or the Director of the Clean Air Markets Division (or its successor determined by the Administrator) of the United States Environmental Protection Agency, the Administrator's duly authorized representative under this subpart.
Allocate or allocation means, with regard to TR SO2 Group 2 allowances, the determination by the Administrator, State, or permitting authority, in accordance with this subpart and any SIP revision submitted by the State and approved by the Administrator under §52.39(g), (h), or (i) of this chapter, of the amount of such TR SO2 Group 2 allowances to be initially credited, at no cost to the recipient, to:
(1) A TR SO2 Group 2 unit;
(2) A new unit set-aside;
(3) An Indian country new unit set-aside; or
(4) An entity not listed in paragraphs (1) through (3) of this definition;
(5) Provided that, if the Administrator, State, or permitting authority initially credits, to a TR SO2 Group 2 unit qualifying for an initial credit, a credit in the amount of zero TR SO2 Group 2 allowances, the TR SO2 Group 2 unit will be treated as being allocated an amount (i.e., zero) of TR SO2 Group 2 allowances.   
Allowable SO2 emission rate means, for a unit, the most stringent State or federal SO2 emission rate limit (in lb/MWhr or, if in lb/mmBtu, converted to lb/MWhr by multiplying it by the unit's heat rate in mmBtu/MWhr) that is applicable to the unit and covers the longest averaging period not exceeding one year.  
Allowance Management System means the system by which the Administrator records allocations, deductions, and transfers of TR SO2 Group 2 allowances under the TR SO2 Group 2 Trading Program.  Such allowances are allocated, recorded, held, deducted, or transferred only as whole allowances.  
Allowance Management System account means an account in the Allowance Management System established by the Administrator for purposes of recording the allocation, holding, transfer, or deduction of TR SO2 Group 2 allowances.
Allowance transfer deadline means, for a control period in a given year, 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 after such control period and is the deadline by which a TR SO2 Group 2 allowance transfer must be submitted for recordation in a TR SO2 Group 2 source's compliance account in order to be available for use in complying with the source's TR SO2  Group 2 emissions limitation for such control period in accordance with §§97.706 and 97.724.
Alternate designated representative means, for a TR SO2 Group 2 source and each TR SO2 Group 2 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 this subpart, to act on behalf of the designated representative in matters pertaining to the TR SO2 Group 2 Trading Program.  If the TR SO2 Group 2 source is also subject to the Acid Rain Program, TR NOX Annual Trading Program, or TR NOX Ozone Season Trading Program, then this natural person shall be the same natural person as the alternate designated representative, as defined in the respective program. 
Assurance account means an Allowance Management System account, established by the Administrator under §97.725(b)(3) for certain owners and operators of a group of one or more TR SO2 Group 2 sources and  units in a given State (and Indian country within the borders of such State), in which are held TR SO2 Group 2 allowances available for use for a control period in a given year in complying with the TR SO2 Group 2 assurance provisions in accordance with §§97.706 and 97.725. 
Authorized account representative means, for a general account, the natural person who is authorized, in accordance with this subpart, to transfer and otherwise dispose of TR SO2 Group 2 allowances held in the general account and, for a TR SO2 Group 2 source's compliance account, the designated representative of the source.
Automated data acquisition and handling system or DAHS means the component of the continuous emission monitoring system, or other emissions monitoring system approved for use under this subpart, 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 this subpart. 
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 material that is nonmerchantable for other purposes, 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 unit means a unit in which the energy input to the unit is first used to produce useful thermal energy, where at least some of the reject heat from the useful thermal energy application or process is then used for electricity production.
Business day means a day that does not fall on a weekend or a federal holiday.
Certifying official means a natural person who is:
(1) For a corporation, a president, secretary, treasurer, or vice-president of 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 means the Clean Air Act, 42 U.S.C. 7401, et seq. 
Coal means "coal" as defined in §72.2 of this chapter.
Coal-derived fuel means any fuel (whether in a solid, liquid, or gaseous state) produced by the mechanical, thermal, or chemical processing of coal.
Cogeneration system means an integrated group, at a source, of equipment (including a boiler, or combustion turbine, and a steam turbine generator) designed to produce useful thermal energy for industrial, commercial, heating, or cooling purposes and electricity through the sequential use of energy. 
Cogeneration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a topping-cycle unit or a bottoming-cycle unit:
(1) Operating as part of a cogeneration system; and
(2) Producing on an annual average basis -- 
(i) For a topping-cycle 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 than 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 unit, useful power not less than 45 percent of total energy input;
(3) Provided that the requirements in paragraph (2) of this definition shall not apply to a calendar year referenced in paragraph (2) of this definition during which the unit did not operate at all;
(4) 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; and
(5) Provided that, if, throughout its operation during the 12-month period or a calendar year referenced in paragraph (2) of this definition, a unit is operated as part of a cogeneration system and the cogeneration system meets on a system-wide basis the requirement in paragraph (2)(i)(B) or (2)(ii) of this definition, the unit shall be deemed to meet such requirement during that 12-month period or calendar year. 
Combustion turbine means an enclosed device comprising:
(1) If the device is simple cycle, 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 device is combined cycle, the equipment described in paragraph (1) of this definition and 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 §97.705.
(i) For a unit that is a TR SO2 Group 2 unit under §97.704 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that subsequently undergoes a physical change or is moved to a new location or 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 TR SO2 Group 2 unit under §97.704 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that is subsequently replaced by a unit at the same or a different source, 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 §97.705, for a unit that is not a TR SO2 Group 2 unit under §97.704 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in introductory text of paragraph (1) of this definition, the unit's date for commencement of commercial operation shall be the date on which the unit becomes a TR SO2 Group 2 unit under §97.704.
(i) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that subsequently undergoes a physical change or is moved to a different location or 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 the introductory text of paragraph (2) of this definition and that is subsequently replaced by a unit at the same or a different source, 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.
Common designated representative means, with regard to a control period in a given year, a designated representative where, as of April 1 immediately after the allowance transfer deadline for such control period, the same natural person is authorized under §§97.713(a) and 97.715(a) as the designated representative for a group of one or more TR SO2 Group 2 sources and units located in a State (and Indian country within the borders of such State).
Common designated representative's assurance level means, with regard to a specific common designated representative and a State (and Indian country within the borders of such State) and control period in a given year for which the State assurance level is exceeded as described in §97.706(c)(2)(iii), the common designated representative's share of the State SO2 Group 2 trading budget with the variability limit for the State for such control period.  
Common designated representative's share means, with regard to a specific common designated representative for a control period in a given year:
(1) With regard to a total amount of SO2 emissions from all TR SO2 Group 2 units in a State (and Indian country within the borders of such State) during such control period, the total tonnage of SO2 emissions during such control period from a group of one or more TR SO2 Group 2 units located in such State (and such Indian country) and having the common designated representative for such control period; 
(2) With regard to a State SO2 Group 2 trading budget for such control period, the amount (rounded to the nearest allowance) equal to the sum of the total amount of TR SO2 Group 2 allowances allocated for such control period to a group of one or more TR SO2 Group 2 units located in the State (and Indian country within the borders of such State) and having the common designated representative for such control period and of the total amount of TR SO2 Group 2 allowances purchased by an owner or operator of such TR SO2 Group 2 units in an auction for such control period and submitted by the State or the permitting authority to the Administrator for recordation in the compliance accounts for such TR SO2 Group 2 units in accordance with the TR SO2 Group 2 allowance auction provisions in a SIP revision approved by the Administrator under §52.39(h) or (i) of this chapter, multiplied by the sum of the State SO2 Group 2 trading budget under §97.710(a) and the State's variability limit under §97.710(b) for such control period and divided by such State SO2 Group 2 trading budget; 
(3) Provided that, in the case of a unit that operates during, but has no amount of TR SO2 Group 2 allowances allocated under §§97.711 and 97.712 for, such control period, the unit shall be treated, solely for purposes of this definition, as being allocated an amount (rounded to the nearest allowance) of TR SO2 Group 2 allowances for such control period equal to the  unit's allowable SO2 emission rate applicable to such control period, multiplied by a capacity factor of 0.85 (if the unit is a boiler combusting any amount of coal or coal-derived fuel during such control period), 0.24 (if the unit is a simple combustion turbine during such control period), 0.67 (if the unit is a combined cycle turbine during such control period), 0.74 (if the unit is an integrated coal gasification combined cycle unit during such control period), or 0.36 (for any other unit), multiplied by the unit's maximum hourly load as reported in accordance with this subpart and by 8,760 hours/control period, and divided by 2,000 lb/ton.  
Common stack means a single flue through which emissions from 2 or more units are exhausted.
Compliance account means an Allowance Management System account, established by the Administrator for a TR SO2 Group 2 source under this subpart, in which any TR SO2 Group 2 allowance allocations to the TR SO2 Group 2 units at the source are recorded and in which are held any TR SO2 Group 2 allowances available for use for a control period in a given year in complying with the source's TR SO2 Group 2 emissions limitation in accordance with §§97.706 and 97.724. 
Continuous emission monitoring system or CEMS means the equipment required under this subpart to sample, analyze, measure, and provide, by means of readings recorded at least once every 15 minutes and using an automated data acquisition and handling system (DAHS), a permanent record of SO2 emissions, stack gas volumetric flow rate, stack gas moisture content, and O2 or CO2 concentration (as applicable), in a manner consistent with part 75 of this chapter and §§97.730 through 97.735.  The following systems are the principal types of continuous emission monitoring systems:
(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 SO2 monitoring system, consisting of a SO2 pollutant concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of SO2 emissions, in parts per million (ppm);
(3) A moisture monitoring system, as defined in §75.11(b)(2) of this chapter and providing a permanent, continuous record of the stack gas moisture content, in percent H2O;
(4) A CO2 monitoring system, consisting of a CO2 pollutant concentration monitor (or an O2 monitor plus suitable mathematical equations from which the CO2 concentration is derived) and an automated data acquisition and handling system and providing a permanent, continuous record of CO2 emissions, in percent CO2; and
(5) An O2 monitoring system, consisting of an O2 concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of O2, in percent O2.
Control period means the period starting January 1 of a calendar year, except as provided in §97.706(c)(3), and ending on December 31 of the same year, inclusive.
Designated representative means, for a TR SO2 Group 2 source and each TR SO2 Group 2 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 this subpart, to represent and legally bind each owner and operator in matters pertaining to the TR SO2 Group 2 Trading Program.  If the TR SO2 Group 2 source is also subject to the Acid Rain Program, TR NOX Annual Trading Program, or TR NOX Ozone Season Trading Program, then this natural person shall be the same natural person as the designated representative, as defined in the respective program. 
Emissions means air pollutants exhausted from a unit or source into the atmosphere, as measured, recorded, and reported to the Administrator by the designated representative, and as modified by the Administrator:
(1) In accordance with this subpart; and
(2) With regard to a period before the unit or source is required to measure, record, and report such air pollutants in accordance with this subpart, in accordance with part 75 of this chapter.
Excess emissions means any ton of emissions from the TR SO2 Group 2 units at a TR SO2 Group 2 source during a control period in a given year that exceeds the TR SO2 Group 2 emissions limitation for the source for such control period.
Fossil fuel means -- 
(1) Natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material; or
(2) For purposes of applying the limitation on "average annual fuel consumption of fossil fuel" in §§97.704(b)(2)(i)(B) and (ii), natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material for the purpose of creating useful heat.
Fossil-fuel-fired means, with regard to a unit, combusting any amount of fossil fuel in 2005 or any calendar year thereafter.
General account means an Allowance Management System account, established under this subpart, that is not a compliance account or an assurance account.
Generator means a device that produces electricity.
Gross electrical output means, for a unit, electricity made available for use, including any such electricity used in the power production process (which process includes, but is not limited to, any on-site processing or treatment of fuel combusted at the unit and any on-site emission controls).
Heat input means, for a unit for a specified period of time, the product (in mmBtu/time) of the gross calorific value of the fuel (in mmBtu/lb) fed into the unit multiplied by the fuel feed rate (in lb of fuel/time), as measured, recorded, and reported to the Administrator by the designated representative and as modified by the Administrator in accordance with this subpart and excluding the heat derived from preheated combustion air, recirculated flue gases, or exhaust.
Heat input rate means, for a unit, the amount of heat input (in mmBtu) divided by unit operating time (in hr) or, for a unit and 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.
Heat rate means, for a unit, the unit's maximum design heat input (in Btu/hr), divided by the product of 1,000,000 Btu/mmBtu and the unit's maximum hourly load.
Indian country means "Indian country" as defined in 18 U.S.C. 1151.
Life-of-the-unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is entitled to receive, a specified amount or percentage of nameplate capacity and associated energy generated by any specified unit and pays its proportional amount of such unit's total costs, pursuant to a contract:
(1) For the life of the unit;
(2) For a cumulative term of no less than 30 years, including contracts that permit an election for early termination; or
(3) For a period no less than 25 years or 70 percent of the economic useful life of the unit determined as of the time the unit is built, with option rights to purchase or release some portion of the nameplate capacity and associated energy generated by the unit at the end of the period.
Maximum design heat input means, for a unit, the maximum amount of fuel per hour (in Btu/hr) that the unit is capable of combusting on a steady state basis as of the initial installation of the unit as specified by the manufacturer of the unit.
Monitoring system means any monitoring system that meets the requirements of this subpart, including a continuous emission monitoring system, an alternative monitoring system, or an excepted monitoring system under part 75 of this chapter.
Nameplate capacity means, starting from the initial installation of a generator, the maximum electrical generating output (in MWe, rounded to the nearest tenth) that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings) as of such installation as specified by the manufacturer of the generator or, starting from the completion of any subsequent physical change in the generator resulting in an increase in the maximum electrical generating output that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings), such increased maximum amount (in MWe, rounded to the nearest tenth) as of such completion as specified by the person conducting the physical change.
Natural gas means "natural gas" as defined in §72.2 of this chapter.
Newly affected TR SO2 Group 2 unit means a unit that was not a TR SO2 Group 2 unit when it began operating but that thereafter becomes a TR SO2 Group 2 unit. 
Operate or operation means, with regard to a unit, to combust fuel.
Operator means, for a TR SO2 Group 2 source or a TR SO2 Group 2 unit at a source respectively, any person who operates, controls, or supervises a TR SO2 Group 2 unit at the source or the TR SO2 Group 2 unit and shall include, but not be limited to, any holding company, utility system, or plant manager of such source or unit.
Owner means, for a TR SO2 Group 2 source or a TR SO2 Group 2 unit at a source respectively, any of the following persons:
(1) Any holder of any portion of the legal or equitable title in a TR SO2 Group 2 unit at the source or the TR SO2 Group 2 unit;
(2) Any holder of a leasehold interest in a TR SO2 Group 2 unit at the source or the TR SO2 Group 2 unit, provided that, unless expressly provided for in a leasehold agreement, "owner" shall not include a passive lessor, or a person who has an equitable interest through such lessor, whose rental payments are not based (either directly or indirectly) on the revenues or income from such TR SO2 Group 2 unit; and
(3) Any purchaser of power from a TR SO2 Group 2 unit at the source or the TR SO2 Group 2 unit under a life-of-the-unit, firm power contractual arrangement.  
Permanently retired means, with regard to a unit, a unit that is unavailable for service and that the unit's owners and operators do not expect to return to service in the future. 
Permitting authority means "permitting authority" as defined in §§70.2 and 71.2 of this chapter.
Potential electrical output capacity means, for a unit, 33 percent of the unit's maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000 kWh/MWh, and multiplied by 8,760 hr/yr.
Receive or receipt of means, when referring to the Administrator, to come into possession of a document, information, or correspondence (whether sent in hard copy or by authorized electronic transmission), as indicated in an official log, or by a notation made on the document, information, or correspondence, by the Administrator in the regular course of business.
Recordation, record, or recorded means, with regard to TR SO2 Group 2 allowances, the moving of TR SO2 Group 2 allowances by the Administrator into, out of, or between Allowance Management System accounts, for purposes of allocation, auction, transfer, or deduction.
Reference method means any direct test method of sampling and analyzing for an air pollutant as specified in §75.22 of this chapter.
Replacement, replace, or replaced means, with regard to a unit, the demolishing of a unit, or the permanent retirement and permanent disabling of a unit, and the construction of another unit (the replacement unit) to be used instead of the demolished or retired unit (the replaced unit).
Sequential use of energy means:
(1) The use of reject heat from electricity production in a useful thermal energy application or process; or
(2) The use of reject heat from useful thermal energy application or process in electricity production.
Serial number means, for a TR SO2 Group 2 allowance, the unique identification number assigned to each TR SO2 Group 2 allowance by the Administrator.
Solid waste incineration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a "solid waste incineration unit" as defined in section 129(g)(1) of the Clean Air Act.
Source means all buildings, structures, or installations located in one or more contiguous or adjacent properties under common control of the same person or persons.  This definition does not change or otherwise affect the definition of "major source", "stationary source", or "source" as set forth and implemented in a title V operating permit program or any other program under the Clean Air Act. 
State means one of the States that is subject to the TR SO2 Group 2 Trading Program pursuant to §52.39(a),(c), (g), (h), and (i) 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;
(4) Provided that compliance with any "submission" or "service" deadline shall be determined by the date of dispatch, transmission, or mailing and not the date of receipt.
Topping-cycle unit means a unit in which the energy input to the unit is first used to produce useful power, including electricity, where at least some of the reject heat from the electricity production is then used to provide useful thermal energy.
Total energy input means, for a unit, total energy of all forms supplied to the unit, excluding energy produced by the unit. Each form of energy supplied shall be measured by the lower heating value of that form of energy calculated as follows:
LHV = HHV − 10.55(W + 9H)
Where:
LHV = lower heating value of the form of energy in Btu/lb,
HHV = higher heating value of the form of energy in Btu/lb,
W = weight % of moisture in the form of energy, and
H = weight % of hydrogen in the form of energy.
Total energy output means, for a unit, the sum of useful power and useful thermal energy produced by the unit.
TR NOX Annual Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with subpart AAAAA of this part and §52.38(a) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(a)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(a)(5) of this chapter), as a means of mitigating interstate transport of fine particulates and NOX.
TR NOX Ozone Season Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with subpart BBBBB of this part and §52.38(b) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(b)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under §52.38(b)(5) of this chapter), as a means of mitigating interstate transport of ozone and NOX.
TR SO2 Group 2 allowance means a limited authorization issued and allocated or auctioned by the Administrator under this subpart, or by a State or permitting authority under a SIP revision approved by the Administrator under §52.39(g), (h), or (i) of this chapter, to emit one ton of SO2 during a control period of the specified calendar year for which the authorization is allocated or auctioned or of any calendar year thereafter under the TR SO2 Group 2 Trading Program. 
TR SO2 Group 2 allowance deduction or deduct TR SO2 Group 2 allowances means the permanent withdrawal of TR SO2 Group 2 allowances by the Administrator from a compliance account (e.g., in order to account for compliance with the TR SO2 Group 2 emissions limitation) or from an assurance account (e.g., in order to account for compliance with the assurance provisions under §§97.706 and 97.725).    
TR SO2 Group 2 allowances held or hold TR SO2 Group 2 allowances means the TR SO2 Group 2 allowances treated as included in an Allowance Management System account as of a specified point in time because at that time they:
(1) Have been recorded by the Administrator in the account or transferred into the account by a correctly submitted, but not yet recorded, TR SO2 Group 2 allowance transfer in accordance with this subpart; and
(2) Have not been transferred out of the account by a correctly submitted, but not yet recorded, TR SO2 Group 2 allowance transfer in accordance with this subpart.
TR SO2 Group 2 emissions limitation means, for a TR SO2 Group 2 source, the tonnage of SO2 emissions authorized in a control period by the TR SO2 Group 2 allowances available for deduction for the source under §97.724(a) for such control period.
TR SO2 Group 2 source means a source that includes one or more TR SO2 Group 2 units.
TR SO2 Group 2 Trading Program means a multi-state SO2 air pollution control and emission reduction program established in accordance with this subpart and §52.39(a), (c), and (g) through  (k) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.39(g) or (h) of this chapter or that is established in a SIP revision approved by the Administrator under §52.39(i) of this chapter), as a means of mitigating interstate transport of fine particulates and SO2.
TR SO2 Group 2 unit means a unit that is subject to the TR SO2 Group 2 Trading Program under §97.704.
Unit means a stationary, fossil-fuel-fired boiler, stationary, fossil-fuel-fired combustion turbine, or other stationary, fossil-fuel-fired combustion device.  A unit that undergoes a physical change or is moved to a different location or source shall continue to be treated as the same unit.  A unit (the replaced unit) that is replaced by another unit (the replacement unit) at the same or a different source shall continue to be treated as the same unit, and the replacement unit shall be treated as a separate unit.
Unit operating day means, with regard to a unit, a calendar day in which the unit combusts any fuel.
Unit operating hour or hour of unit operation means, with regard to a unit, an hour in which the unit combusts any fuel.
Useful power means, with regard to a unit, electricity or mechanical energy that the unit makes available for use, excluding any such energy used in the power production process (which process includes, but is not limited to, any on-site processing or treatment of fuel combusted at the unit and any on-site emission controls).
Useful thermal energy means thermal energy that is:
(1) Made available to an industrial or commercial process (not a power production process), excluding any heat contained in condensate return or makeup water;
(2) Used in a heating application (e.g., space heating or domestic hot water heating); or
(3) Used in a space cooling application (i.e., in an absorption chiller).
Utility power distribution system means the portion of an electricity grid owned or operated by a utility and dedicated to delivering electricity to customers.
§ 97.703  Measurements, abbreviations, and acronyms.
Measurements, abbreviations, and acronyms used in this subpart are defined as follows:
Btu -- British thermal unit
CO2 -- carbon dioxide
H2O -- water
hr -- hour
kW -- kilowatt electrical
kWh -- kilowatt hour
lb -- pound
mmBtu -- million Btu
MWe -- megawatt electrical
MWh -- megawatt hour
NOX -- nitrogen oxides
O2 -- oxygen
ppm -- parts per million
scfh -- standard cubic feet per hour
SO2 -- sulfur dioxide
yr -- year
§ 97.704  Applicability.
(a) Except as provided in paragraph (b) of this section:
(1) The following units in a State (and Indian country within the borders of such State) shall be TR SO2 Group 2 units, and any source that includes one or more such units shall be a TR SO2 Group 2 source, subject to the requirements of this subpart: any stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine serving at any time, on or after January 1, 2005, a generator with nameplate capacity of more than 25 MWe producing electricity for sale.
(2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a TR SO2 Group 2 unit begins to combust fossil fuel or to serve a generator with nameplate capacity of more than 25 MWe producing electricity for sale, the unit shall become a TR SO2 Group 2 unit as provided in paragraph (a)(1) of this section on the first date on which it both combusts fossil fuel and serves such generator.
(b) Any unit in a State (and Indian country within the borders of such State) that otherwise is a TR SO2 Group 2 unit under paragraph (a) of this section and that meets the requirements set forth in paragraph (b)(1)(i) or (2)(i) of this section shall not be a TR SO2 Group 2 unit:
(1)(i) Any unit:
(A) Qualifying as a cogeneration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
(B) Not supplying in 2005 or any calendar year thereafter more than one-third of the unit's potential electric output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale.
(ii) If, after qualifying under paragraph (b)(1)(i) of this section as not being a TR SO2 Group 2 unit, a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section, the unit shall become a TR SO2 Group 2 unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a cogeneration unit or January 1 after the first calendar year during which the unit no longer meets the requirements of paragraph (b)(1)(i)(B) of this section.  The unit shall thereafter continue to be a TR SO2 Group 2 unit.
(2)(i) Any unit:
(A) Qualifying as a solid waste incineration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a solid waste incineration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
(B) With an average annual fuel consumption of fossil fuel for the first 3 consecutive calendar years of operation starting no earlier than 2005 of less than 20 percent (on a Btu basis) and an average annual fuel consumption of fossil fuel for any 3 consecutive calendar years thereafter of less than 20 percent (on a Btu basis).
(ii) If, after qualifying under paragraph (b)(2)(i) of this section as not being a TR SO2 Group 2 unit, a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section, the unit shall become a TR SO2 Group 2 unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a solid waste incineration unit or January 1 after the first 3 consecutive calendar years after 2005 for which the unit has an average annual fuel consumption of fossil fuel of 20 percent or more.  The unit shall thereafter continue to be a TR SO2 Group 2 unit.
(c) A certifying official of an owner or operator of any unit or other equipment may submit a petition (including any supporting documents) to the Administrator at any time for a determination concerning the applicability, under paragraphs (a) and (b) of this section or a SIP revision approved under §52.39(h) or (i) of this chapter, of the TR SO2 Group 2 Trading Program to the unit or other equipment.
(1) Petition content. The petition shall be in writing and include the identification of the unit or other equipment and the relevant facts about the unit or other equipment. The petition and any other documents provided to the Administrator in connection with the petition shall include the following certification statement, signed by the certifying official: "I am authorized to make this submission on behalf of the owners and operators of the unit or other equipment 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) Response. The Administrator will issue a written response to the petition and may request supplemental information determined by the Administrator to be relevant to such petition. The Administrator's determination concerning the applicability, under paragraphs (a) and (b) of this section, of the TR SO2 Group 2 Trading Program to the unit or other equipment shall be binding on any State or permitting authority unless the Administrator determines that the petition or other documents or information provided in connection with the petition contained significant, relevant errors or omissions.
§ 97.705  Retired unit exemption.
(a)(1) Any TR SO2 Group 2 unit that is permanently retired shall be exempt from §97.706(b) and (c)(1), §97.724, and §§97.730 through 97.735. 
(2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the TR SO2 Group 2 unit is permanently retired.  Within 30 days of the unit's permanent retirement, the designated representative shall submit a statement to the Administrator. The statement shall state, in a format prescribed by the Administrator, that the unit was permanently retired on a specified date and will comply with the requirements of paragraph (b) of this section.
(b) Special provisions. (1) A unit exempt under paragraph (a) of this section shall not emit any SO2, starting on the date that the exemption takes effect.
(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under paragraph (a) of this section shall retain, at the source that includes the unit, records demonstrating that the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period, in writing by the Administrator. The owners and operators bear the burden of proof that the unit is permanently retired.
(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under paragraph (a) of this section shall comply with the requirements of the TR SO2 Group 2 Trading Program concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption takes effect.
(4) A unit exempt under paragraph (a) of this section shall lose its exemption on the first date on which the unit resumes operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and recordkeeping requirements under this subpart, as a unit that commences commercial operation on the first date on which the unit resumes operation.
§ 97.706  Standard requirements.
(a) Designated representative requirements.  The owners and operators shall comply with the requirement to have a designated representative, and may have an alternate designated representative, in accordance with §§97.713 through 97.718.
(b) Emissions monitoring, reporting, and recordkeeping requirements.  (1) The owners and operators, and the designated representative, of each TR SO2 Group 2 source and each TR SO2 Group 2 unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of §§97.730 through 97.735.
(2) The emissions data determined in accordance with §§97.730 through 97.735 shall be used to calculate allocations of TR SO2 Group 2 allowances under §§97.711(a)(2) and (b) and 97.712 and to determine compliance with the TR SO2 Group 2 emissions limitation and assurance provisions under paragraph (c) of this section, provided that, for each monitoring location from which mass emissions are reported, the mass emissions amount used in calculating such allocations and determining such compliance shall be the mass emissions amount for the monitoring location determined in accordance with §§97.730 through 97.735 and rounded to the nearest ton, with any fraction of a ton less than 0.50 being deemed to be zero.
(c) SO2 emissions requirements.  (1) TR SO2 Group 2 emissions limitation. (i) As of the allowance transfer deadline for a control period in a given year, the owners and operators of each TR SO2 Group 2 source and each TR SO2 Group 2 unit at the source shall hold, in the source's compliance account, TR SO2 Group 2 allowances available for deduction for such control period under §97.724(a) in an amount not less than the tons of total SO2 emissions for such control period from all TR SO2 Group 2 units at the source.
(ii) If total SO2 emissions during a control period in a given year from the TR SO2 Group 2 units at a TR SO2 Group 2 source are in excess of the TR SO2 Group 2 emissions limitation set forth in paragraph (c)(1)(i) of this section, then:
(A) The owners and operators of the source and each TR SO2  Group 2 unit at the source shall hold the TR SO2 Group 2 allowances required for deduction under §97.724(d); and
(B) The owners and operators of the source and each TR SO2  Group 2 unit at the source shall pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act, and each ton of such excess emissions and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(2) TR SO2 Group 2 assurance provisions.  (i) If total SO2 emissions during a control period in a given year from all TR SO2 Group 2 units at TR SO2 Group 2 sources in a State (and Indian country within the borders of such State) exceed the State assurance level, then the owners and operators of such sources and units in each group of one or more sources and units having a common designated representative for such control period, where the common designated representative's share of such SO2 emissions during such control period exceeds the common designated representative's assurance level for the State and such control period, shall hold (in the assurance account established for the owners and operators of such group) TR SO2 Group 2 allowances available for deduction for such control period under §97.725(a) in an amount equal to two times the product (rounded to the nearest whole number), as determined by the Administrator in accordance with §97.725(b), of multiplying -- 
(A) The quotient of the amount by which the common designated representative's share of such SO2 emissions exceeds the common designated representative's assurance level divided by the sum of the amounts, determined for all common designated representatives for such sources and units in the State (and Indian country within the borders of such State) for such control period, by which each common designated representative's share of such SO2 emissions exceeds the respective common designated representative's assurance level; and
(B) The amount by which total SO2 emissions from all TR SO2 Group 2 units at TR SO2 Group 2 sources in the State (and Indian country within the borders of such State) for such control period exceed the State assurance level. 
(ii) The owners and operators shall hold the TR SO2 Group 2 allowances required under paragraph (c)(2)(i) of this section, as of midnight of November 1 (if it is a business day), or midnight of the first business day thereafter (if November 1 is not a business day), immediately after such control period.  
(iii) Total SO2 emissions from all TR SO2 Group 2 units at TR SO2 Group 2 sources in a State (and Indian country within the borders of such State) during a control period in a given year exceed the State assurance level if such total SO2 emissions exceed the sum, for such control period, of the State SO2 Group 2 trading budget under §97.710(a) and the State's variability limit under §97.710(b).
(iv) It shall not be a violation of this subpart or of the Clean Air Act if total SO2 emissions from all TR SO2 Group 2 units at TR SO2 Group 2 sources in a State (and Indian country within the borders of such State) during a control period exceed the State assurance level or if a common designated representative's share of total SO2 emissions from the TR SO2 Group 2 units at TR SO2 Group 2 sources in a State (and Indian country within the borders of such State) during a control period exceeds the common designated representative's assurance level.  
(v) To the extent the owners and operators fail to hold TR SO2 Group 2 allowances for a control period in a given year in accordance with paragraphs (c)(2)(i) through (iii) of this section, 
(A) The owners and operators shall pay any fine, penalty, or assessment or comply with any other remedy imposed under the Clean Air Act; and
(B) Each TR SO2 Group 2 allowance that the owners and operators fail to hold for such control period in accordance with paragraphs (c)(2)(i) through (iii) of this section and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(3) Compliance periods.  A TR SO2 Group 2 unit shall be subject to the requirements under paragraphs (c)(1) and (c)(2) of this section for the control period starting on the later of January 1, 2012 or the deadline for meeting the unit's monitor certification requirements under §97.730(b) and for each control period thereafter.
(4) Vintage of allowances held for compliance.  (i) A TR SO2 Group 2 allowance held for compliance with the requirements under paragraph (c)(1)(i) of this section for a control period in a given year must be a TR SO2 Group 2 allowance that was allocated for such control period or a control period in a prior year.
(ii) A TR SO2 Group 2 allowance held for compliance with the requirements under paragraphs (c)(1)(ii)(A) and (2)(i) through (iii) of this section for a control period in a given year must be a TR SO2 Group 2 allowance that was allocated for a control period in a prior year or the control period in the given year or in the immediately following year.
(5) Allowance Management System requirements. Each TR SO2 Group 2 allowance shall be held in, deducted from, or transferred into, out of, or between Allowance Management System accounts in accordance with this subpart.
(6) Limited authorization. A TR SO2 Group 2 allowance is a limited authorization to emit one ton of SO2 during the control period in one year.  Such authorization is limited in its use and duration as follows:
(i) Such authorization shall only be used in accordance with the TR SO2 Group 2 Trading Program; and 
(ii) Notwithstanding any other provision of this subpart, the Administrator has the authority to terminate or limit the use and duration of such authorization to the extent the Administrator determines is necessary or appropriate to implement any provision of the Clean Air Act.  
(7) Property right. A TR SO2 Group 2 allowance does not constitute a property right.
(d) Title V permit requirements.  (1) No title V permit revision shall be required for any allocation, holding, deduction, or transfer of TR SO2 Group 2 allowances in accordance with this subpart.
(2) A description of whether a unit is required to monitor and report SO2 emissions using a continuous emission monitoring system (under subpart H of part 75 of this chapter), an excepted monitoring system (under appendices D and E to part 75 of this chapter), a low mass emissions excepted monitoring methodology (under §75.19 of this chapter), or an alternative monitoring system (under subpart E of part 75 of this chapter) in accordance with §§97.730 through 97.735 may be added to, or changed in, a title V permit using minor permit modification procedures in accordance with §§70.7(e)(2) and 71.7(e)(1) of this chapter, provided that the requirements applicable to the described monitoring and reporting (as added or changed, respectively) are already incorporated in such permit. This paragraph explicitly provides that the addition of, or change to, a unit's description as described in the prior sentence is eligible for minor permit modification procedures in accordance with §§70.7(e)(2)(i)(B) and 71.7(e)(1)(i)(B) of this chapter.  
(e) Additional recordkeeping and reporting requirements.  (1) Unless otherwise provided, the owners and operators of each TR SO2 Group 2 source and each TR SO2 Group 2 unit at the source shall keep on site at the source each of the following documents (in hardcopy or electronic format) for a period of 5 years from the date the document is created. This period may be extended for cause, at any time before the end of 5 years, in writing by the Administrator.
(i) The certificate of representation under §97.716 for the  designated representative for the source and each TR SO2 Group 2 unit at the source and all documents that demonstrate the truth of the statements in the certificate of representation; provided that the certificate and documents shall be retained on site at the source beyond such 5-year period until such certificate of representation and documents are superseded because of the submission of a new certificate of representation under §97.716 changing the designated representative.
(ii) All emissions monitoring information, in accordance with this subpart.
(iii) Copies of all reports, compliance certifications, and other submissions and all records made or required under, or to demonstrate compliance with the requirements of, the TR SO2 Group 2 Trading Program.
(2) The designated representative of a TR SO2 Group 2 source and each TR SO2 Group 2 unit at the source shall make all submissions required under the TR SO2 Group 2 Trading Program, except as provided in §97.718.  This requirement does not change, create an exemption from, or or otherwise affect the responsible official submission requirements under a title V operating permit program in parts 70 and 71 of this chapter. 
(f) Liability.  (1) Any provision of the TR SO2 Group 2 Trading Program that applies to a TR SO2 Group 2 source or the designated representative of a TR SO2 Group 2 source shall also apply to the owners and operators of such source and of the TR SO2 Group 2 units at the source.
(2) Any provision of the TR SO2 Group 2 Trading Program that applies to a TR SO2 Group 2 unit or the designated representative of a TR SO2 Group 2 unit shall also apply to the owners and operators of such unit.
(g) Effect on other authorities.  No provision of the TR SO2 Group 2 Trading Program or exemption under §97.705 shall be construed as exempting or excluding the owners and operators, and the designated representative, of a TR SO2 Group 2 source or TR SO2 Group 2 unit from compliance with any other provision of the applicable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act.
§ 97.707  Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the TR SO2 Group 2 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 TR SO2 Group 2 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 TR SO2 Group 2 Trading Program, is not a business day, the time period shall be extended to the next business day.
§ 97.708  Administrative appeal procedures.
The administrative appeal procedures for decisions of the Administrator under the TR SO2 Group 2 Trading Program are set forth in part 78 of this chapter.
§ 97.709  [Reserved]
§ 97.710  State SO2 Group 2 trading budgets, new unit set-asides, Indian country new unit set-aside, and variability limits.
(a)  The State SO2 Group 2 trading budgets, new unit set-asides, and Indian country new unit set-asides for allocations of TR SO2 Group 2 allowances for the control periods in 2012 and thereafter are as follows:
                                     State
             SO2 Group 2 trading budget (tons)*
for 2012 and 2013
                  New unit set-aside (tons)
for 2012 and 2013
          Indian country new unit set-aside (tons)
for 2012 and 2013




Alabama
                                    216,033
                                     4,321
                                      ---
Georgia
                                    158,527
                                     3,171
                                      ---
Kansas
                                    41,528
                                      789
                                      42
Minnesota
                                    41,981
                                      798
                                      42
Nebraska
                                    65,052
                                     2,537
                                      65
South Carolina
                                    88,620
                                     1,683
                                      89
Texas
                                    243,954
                                    11,954
                                      244

                                     State
          SO2 Group 2 trading budget (tons)*
for 2014 and thereafter
               New unit set-aside (tons)
for 2014 and thereafter
       Indian country new unit set-aside (tons)
for 2014 and thereafter




Alabama
                                    213,258
                                     4,265
                                      ---
Georgia
                                    95,231
                                     1,905
                                      ---
Kansas
                                    41,528
                                      789
                                      42
Minnesota
                                    41,981
                                      798
                                      42
Nebraska
                                    65,052
                                     2,537
                                      65
South Carolina
                                    88,620
                                     1,683
                                      89
Texas
                                    243,954
                                    11,954
                                      244
* Each trading budget includes the new unit set-aside and, where applicable, the Indian country new unit set-aside and does not include the variability limit.
 (b) The States' variability limits for the State SO2 Group 2 trading budgets for the control periods in 2012 and thereafter are as follows:
                                     State
                     Variability limits
for 2012 and 2013
                  
Variability limits
for 2014 and thereafter



Alabama
                                    38,886
                                    38,386
Georgia
                                    28,535
                                    17,142
Kansas
                                     7,475
                                     7,475
Minnesota
                                     7,557
                                     7,557
Nebraska
                                    11,709
                                    11,709
South Carolina
                                    15,952
                                    15,952
Texas
                                    43,912
                                    43,912

§ 97.711  Timing requirements for TR SO2 Group 2 allowance allocations.
(a) Existing units.  (1) TR SO2 Group 2 allowances are allocated, for the control periods in 2012 and each year thereafter, as provided in a notice of data availability issued by the Administrator. Providing an allocation to a unit in such notice does not constitute a determination that the unit is a TR SO2 Group 2 unit, and not providing an allocation to a unit in such notice does not constitute a determination that the unit is not a TR SO2 Group 2 unit. 
(2) Notwithstanding paragraph (a)(1) of this section, if a unit provided an allocation in the notice of data availability issued under paragraph (a)(1) of this section does not operate, starting after 2011, during the control period in two consecutive years, such unit will not be allocated the TR SO2 Group 2 allowances provided in such notice for the unit for the control periods in the fifth year after the first such year and in each year after that fifth year.  All TR SO2 Group 2 allowances that would otherwise have been allocated to such unit will be allocated to the new unit set-aside for the State where such unit is located and for the respective years involved.  If such unit resumes operation, the Administrator will allocate TR SO2 Group 2 allowances to the unit in accordance with paragraph (b) of this section. 
(b) New units.  (1) New unit set-asides.  (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR SO2 Group 2 allowance allocation to each TR SO2 Group 2 unit in a State, in accordance with §97.712(a)(2) through (7) and (12), for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.  
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR SO2 Group 2 units) are in accordance with §97.712(a)(2) through (7) and (12) and §§97.706(b)(2) and 97.730 through 97.735. 
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(1)(ii)(A) of this section.  By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.712(a)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(ii)(A) of this section.  
(iii) If the new unit set-aside for such control period contains any TR SO2 Group 2 allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(1)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any TR SO2 Group 2 units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period.
(iv) For each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR SO2 annual units in such notice. 
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(iii) of this section and shall be limited to addressing whether the identification of TR SO2 annual units in such notice is in accordance with paragraph (b)(1)(iii) of this section.  
(B) The Administrator will adjust the identification of TR SO2 Group 2 units in the each notice of data availability required in paragraph (b)(1)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(1)(iii) of this section and will calculate the TR SO2 Group 2 allowance allocation to each TR SO2 Group 2 unit in accordance with §97.712(a)(9), (10), and (12) and §§97.706(b)(2) and 97.730 through 97.735.  By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR SO2 Group 2 units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(iv)(A) of this section, and the results of such calculations.
(v) To the extent any TR SO2 Group 2 allowances are added to the new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(1)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR SO2 Group 2 allowances in accordance with §97.712(a)(10). 
(2) Indian country new unit set-asides.  (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR SO2 Group 2 allowance allocation to each TR SO2 Group 2 unit in Indian country within the borders of a State, in accordance with §97.712(b)(2) through (7) and (12), for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.  
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR SO2 Group 2  units) are in accordance with §97.712(b)(2) through (7) and (12) and §§97.706(b)(2) and 97.730 through 97.735. 
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(ii)(A) of this section.  By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.712(b)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(ii)(A) of this section.  
(iii) If the Indian country new unit set-aside for such control period contains any TR SO2 Group 2 allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(2)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any TR SO2 Group 2 units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period.
(iv) For each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR SO2 annual units in such notice. 
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(iii) of this section and shall be limited to addressing whether the identification of TR SO2 annual units in such notice is in accordance with paragraph (b)(2)(iii) of this section.  
(B) The Administrator will adjust the identification of TR SO2 Group 2 units in the each notice of data availability required in paragraph (b)(2)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(2)(iii) of this section and will calculate the TR SO2 Group 2 allowance allocation to each TR SO2 Group 2 unit in accordance with §97.712(b)(9), (10), and (12) and §§97.706(b)(2) and 97.730 through 97.735.  By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR SO2 Group 2 units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iv)(A) of this section, and the results of such calculations. 
(v) To the extent any TR SO2 Group 2 allowances are added to the Indian country new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(2)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR SO2 Group 2 allowances in accordance with §97.712(b)(10). 
(c) Units incorrectly allocated TR SO2 Group 2 allowances.  (1) For each control period in 2012 and thereafter, if the Administrator determines that TR SO2 Group 2 allowances were allocated under paragraph (a) of this section, or under a provision of a SIP revision approved §52.39(g), (h), or (i) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(i) of this section or were allocated under §97.712(a)(2) through (7), (9), and (12) and (b)(2) through (7), (9), and (12), or under a provision of a SIP revision approved §52.39(h) or (i) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(ii) of this section, then the Administrator will notify the designated representative of the recipient and will act in accordance with the procedures set forth in paragraphs (c)(2) through (5) of this section:
(i)(A) The recipient is not actually a TR SO2 Group 2 unit under §97.704 as of January 1, 2012 and is allocated TR SO2 Group 2 allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under §52.39(g), (h), or (i) of this chapter, the recipient is not actually a TR SO2 Group 2 unit as of January 1, 2012 and is allocated TR SO2 Group 2 allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR SO2 Group 2 units as of January 1, 2012; or
(B) The recipient is not located as of January 1 of the control period in the State from whose SO2 Group 2 trading budget the TR SO2 Group 2 allowances allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under §52.39(g), (h), or (i) of this chapter, were allocated for such control period. 
(ii) The recipient is not actually a TR SO2 Group 2 unit under §97.704 as of January 1 of such control period and is allocated TR SO2 Group 2 allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under §52.39(g), (h), or (i) of this chapter, the recipient is not actually a TR SO2 Group 2 unit as of January 1 of such control period and is allocated TR SO2 Group 2 allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR SO2 Group 2 units as of January 1 of such control period. 
(2) Except as provided in paragraph (c)(3) or (4) of this section, the Administrator will not record such TR SO2 Group 2 allowances under §97.721.
(3) If the Administrator already recorded such TR SO2 Group 2 allowances under §97.721 and if the Administrator makes the determination under paragraph (c)(1) of this section before making deductions for the source that includes such recipient under §97.724(b) for such control period, then the Administrator will deduct from the account in which such TR SO2 Group 2 allowances were recorded an amount of TR SO2 Group 2 allowances allocated for the same or a prior control period equal to the amount of such already recorded TR SO2 Group 2 allowances. The authorized account representative shall ensure that there are sufficient TR SO2 Group 2 allowances in such account for completion of the deduction.
(4) If the Administrator already recorded such TR SO2 Group 2 allowances under §97.721 and if the Administrator makes the determination under paragraph (c)(1) of this section after making deductions for the source that includes such recipient under §97.724(b) for such control period, then the Administrator will not make any deduction to take account of such already recorded TR SO2 Group 2 allowances.   
(5)(i) With regard to the TR SO2 Group 2 allowances that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(i) of this section, the Administrator will:
(A) Transfer such TR SO2 Group 2 allowances to the new unit set-aside for such control period for the State from whose SO2 Group 2 trading budget the TR SO2 Group 2 allowances were allocated; or
(B) If the State has a SIP revision approved under §52.39(h) or (i) covering such control period, include such TR SO2 Group 2  allowances in the portion of the State SO2 Group 2 trading budget that may be allocated for such control period in accordance with such SIP revision.  
(ii) With regard to the TR SO2 Group 2 allowances that were not allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will:
(A) Transfer such TR SO2 Group 2 allowances to the new unit set-aside for such control period; or
(B) If the State has a SIP revision approved under §52.39(h) or (i) covering such control period, include such TR SO2 Group 2  allowances in the portion of the State SO2 Group 2 trading budget that may be allocated for such control period in accordance with such SIP revision.  
(iii) With regard to the TR SO2 Group 2 allowances that were allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will transfer such TR SO2 Group 2 allowances to the Indian country new unit set-aside for such control period.
§ 97.712  TR SO2 Group 2 allowance allocations to new units.
(a) For each control period in 2012 and thereafter and for the TR SO2 Group 2 units in each State, the Administrator will allocate TR SO2 Group 2 allowances to the TR SO2 Group 2 units as follows:
(1) The TR SO2 Group 2 allowances will be allocated to the following TR SO2 Group 2 units, except as provided in paragraph (a)(10) of this section:
(i) TR SO2 Group 2 units that are not allocated an amount of TR SO2 Group 2 allowances in the notice of data availability issued under §97.711(a)(1); 
(ii) TR SO2 Group 2 units whose allocation of an amount of TR SO2 Group 2 allowances for such control period in the notice of data availability issued under §97.711(a)(1) is covered by §97.711(c)(2) or (3);
(iii) TR SO2 Group 2 units that are allocated an amount of TR SO2 Group 2 allowances for such control period in the notice of data availability issued under §97.711(a)(1), which allocation is terminated for such control period pursuant to §97.711(a)(2), and that operate during the control period immediately preceding such control period; or
(iv) For purposes of paragraph (a)(9) of this section, TR SO2 Group 2 units under §97.711(c)(1)(ii) whose allocation of an amount of TR SO2 Group 2 allowances for such control period in the notice of data availability issued under §97.711(b)(1)(ii)(B) is covered by §97.711(c)(2) or (3). 
(2) The Administrator will establish a separate new unit set-aside for the State for each such control period. Each such new unit set-aside will be allocated TR SO2 Group 2 allowances in an amount equal to the applicable amount of tons of SO2 emissions as set forth in §97.710(a) and will be allocated additional TR SO2 Group 2 allowances (if any) in accordance with §§97.711(a)(2) and (c)(5) and paragraph (b)(10) of this section.
(3) The Administrator will determine, for each TR SO2 Group 2 unit described in paragraph (a)(1) of this section, an allocation of TR SO2 Group 2 allowances for the later of the following control periods and for each subsequent control period:
(i) The control period in 2012;
(ii) The first control period after the control period in which the TR SO2 Group 2 unit commences commercial operation; 
(iii) For a unit described in paragraph (a)(1)(ii) of this section, the first control period in which the TR SO2 Group 2 unit operates in the State after operating in another jurisdiction and for which the unit is not already allocated one or more TR SO2 Group 2 allowances; and
(iv) For a unit described in paragraph (a)(1)(iii) of this section, the first control period after the control period in which the unit resumes operation. 
(4)(i) The allocation to each TR SO2 annual unit described in paragraph (a)(1)(i) through (iii) of this section and for each control period described in paragraph (a)(3) of this section will be an amount equal to the unit's total tons of SO2 emissions during the immediately preceding control period.
(ii) The Administrator will adjust the allocation amount in paragraph (a)(4)(i) in accordance with paragraphs (a)(5) through (7) and (12) of this section.
(5) The Administrator will calculate the sum of the TR SO2 Group 2 allowances determined for all such TR SO2 Group 2 units under paragraph (a)(4)(i) of this section in the State for such control period.
(6) If the amount of TR SO2 Group 2 allowances in the new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (a)(5) of this section, then the Administrator will allocate the amount of TR SO2 Group 2 allowances determined for each such TR SO2 Group 2 unit under paragraph (a)(4)(i) of this section.
(7) If the amount of TR SO2 Group 2 allowances in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(5) of this section, then the Administrator will allocate to each such TR SO2 Group 2 unit the amount of the TR SO2 Group 2 allowances determined under paragraph (a)(4)(i) of this section for the unit, multiplied by the amount of TR SO2 Group 2 allowances in the new unit set-aside for such control period, divided by the sum under paragraph (a)(5) of this section, and rounded to the nearest allowance.
(8) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.711(b)(1)(i) and (ii), of the amount of TR SO2 Group 2 allowances allocated under paragraphs (a)(2) through (7) and (12) of this section for such control period to each TR SO2 Group 2 unit eligible for such allocation.
(9) If, after completion of the procedures under paragraphs (a)(5) through (8) of this section for such control period, any unallocated TR SO2 Group 2 allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate such TR SO2 Group 2 allowances as follows--
(i) The Administrator will determine, for each unit described in paragraph (a)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of TR SO2 Group 2 allowances referenced in the notice of data availability required under §97.711(b)(1)(ii) for the unit for such control period;
(ii) The Administrator will determine the sum of the positive differences determined under paragraph (a)(9)(i) of this section;
(iii) If the amount of unallocated TR SO2 Group 2 allowances remaining in the new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (a)(9)(ii) of this section, then the Administrator will allocate the amount of TR SO2 Group 2 allowances determined for each such TR SO2 Group 2 unit under paragraph (a)(9)(i) of this section; and
(iv) If the amount of unallocated TR SO2 Group 2 allowances remaining in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(9)(ii) of this section, then the Administrator will allocate to each such TR SO2 Group 2 unit the amount of the TR SO2 Group 2 allowances determined under paragraph (a)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR SO2 Group 2 allowances remaining in the new unit set-aside for such control period, divided by the sum under paragraph (a)(9)(ii) of this section, and rounded to the nearest allowance.
(10) If, after completion of the procedures under paragraphs (a)(9) and (12) of this section for such control period, any unallocated TR SO2 Group 2 allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate to each TR SO2 Group 2 unit that is in the State, is allocated an amount of TR SO2 Group 2 allowances in the notice of data availability issued under §97.711(a)(1), and continues to be allocated TR SO2 Group 2 allowances for such control period in accordance with §97.711(a)(2), an amount of TR SO2 Group 2 allowances equal to the following: the total amount of such remaining unallocated TR SO2 Group 2 allowances in such new unit set-aside, multiplied by the unit's allocation under §97.711(a) for such control period, divided by the remainder of the amount of tons in the applicable State SO2 Group 2 trading budget minus the sum of the amounts of tons in such new unit set-aside and the Indian country new unit set-aside for the State for such control period, and rounded to the nearest allowance.
(11) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.711(b)(1)(iii), (iv), and (v), of the amount of TR SO2 Group 2 allowances allocated under paragraphs (a)(9), (10), and (12) of this section for such control period to each TR SO2 Group 2 unit eligible for such allocation.
(12)(i) Notwithstanding the requirements of paragraphs (a)(2) through (11) of this section, if the calculations of allocations of a new unit set-aside for a control period in a given year under paragraph (a)(7) of this section, paragraphs (a)(6) and (9)(iv) of this section, or paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such new unit set-aside exceeding the total amount of such new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, as follows.  The Administrator will list the TR SO2 Group 2 units in descending order based on the amount of such units' allocations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will reduce each unit's allocation under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, by one TR SO2 Group 2 allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such new unit set-aside equal the total amount of such new unit set-aside.  
(ii) Notwithstanding the requirements of paragraphs (a)(10) and (11) of this section, if the calculations of allocations of a new unit set-aside for a control period in a given year under paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such new unit set-aside less than the total amount of such new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (a)(10) of this section, as follows.  The Administrator will list the TR SO2 Group 2 units in descending order based on the amount of such units' allocations under paragraph (a)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will increase each unit's allocation under paragraph (a)(10) of this section by one TR SO2 Group 2 allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such new unit set-aside equal the total amount of such new unit set-aside. 
(b) For each control period in 2012 and thereafter and for the TR SO2 Group 2 units located in Indian country within the borders of each State, the Administrator will allocate TR SO2 Group 2 allowances to the TR SO2 Group 2 units as follows: 
(1) The TR SO2 Group 2 allowances will be allocated to the following TR SO2 Group 2 units, except as provided in paragraph (b)(10) of this section:
(i) TR SO2 Group 2 units that are not allocated an amount of TR SO2 Group 2 allowances in the notice of data availability issued under §97.711(a)(1); or
(ii) For purposes of paragraph (b)(9) of this section, TR SO2 Group 2 units under §97.711(c)(1)(ii) whose allocation of an amount of TR SO2 Group 2 allowances for such control period in the notice of data availability issued under §97.711(b)(2)(ii)(B) is covered by §97.711(c)(2) or (3). 
(2) The Administrator will establish a separate Indian country new unit set-aside for the State for each such control period. Each such Indian country new unit set-aside will be allocated TR SO2 Group 2 allowances in an amount equal to the applicable amount of tons of SO2 emissions as set forth in §97.710(a) and will be allocated additional TR SO2 Group 2 allowances (if any) in accordance with §97.711(c)(5).
(3) The Administrator will determine, for each TR SO2 Group 2 unit described in paragraph (b)(1) of this section, an allocation of TR SO2 Group 2 allowances for the later of the following control periods and for each subsequent control period:
(i) The control period in 2012; and
(ii) The first control period after the control period in which the TR SO2 Group 2 unit commences commercial operation. 
(4)(i) The allocation to each TR SO2 annual unit described in paragraph (b)(1)(i) of this section and for each control period described in paragraph (b)(3) of this section will be an amount equal to the unit's total tons of SO2 emissions during the immediately preceding control period.
(ii) The Administrator will adjust the allocation amount in paragraph (b)(4)(i) in accordance with paragraphs (b)(5) through (7) and (12) of this section. 
(5) The Administrator will calculate the sum of the TR SO2 Group 2 allowances determined for all such TR SO2 Group 2 units under paragraph (b)(4)(i) of this section in Indian country within the borders of the State for such control period.
(6) If the amount of TR SO2 Group 2 allowances in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (b)(5) of this section, then the Administrator will allocate the amount of TR SO2 Group 2 allowances determined for each such TR SO2 Group 2 unit under paragraph (b)(4)(i) of this section.
(7) If the amount of TR SO2 Group 2 allowances in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(5) of this section, then the Administrator will allocate to each such TR SO2 Group 2 unit the amount of the TR SO2 Group 2 allowances determined under paragraph (b)(4)(i) of this section for the unit, multiplied by the amount of TR SO2 Group 2 allowances in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(5) of this section, and rounded to the nearest allowance.
(8) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.711(b)(2)(i) and (ii), of the amount of TR SO2 Group 2 allowances allocated under paragraphs (b)(2) through (7) and (12) of this section for such control period to each TR SO2 Group 2 unit eligible for such allocation.
(9) If, after completion of the procedures under paragraphs (b)(5) through (8) of this section for such control period, any unallocated TR SO2 Group 2 allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will allocate such TR SO2 Group 2 allowances as follows--
(i) The Administrator will determine, for each unit described in paragraph (b)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of TR SO2 Group 2 allowances referenced in the notice of data availability required under §97.711(b)(2)(ii) for the unit for such control period;
(ii) The Administrator will determine the sum of the positive differences determined under paragraph (b)(9)(i) of this section;
(iii) If the amount of unallocated TR SO2 Group 2 allowances remaining in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (b)(9)(ii) of this section, then the Administrator will allocate the amount of TR SO2 Group 2 allowances determined for each such TR SO2 Group 2 unit under paragraph (b)(9)(i) of this section; and
(iv) If the amount of unallocated TR SO2 Group 2 allowances remaining in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(9)(ii) of this section, then the Administrator will allocate to each such TR SO2 Group 2 unit the amount of the TR SO2 Group 2 allowances determined under paragraph (b)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR SO2 Group 2 allowances remaining in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(9)(ii) of this section, and rounded to the nearest allowance.
(10) If, after completion of the procedures under paragraphs (b)(9) and (12) of this section for such control period, any unallocated TR SO2 Group 2 allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will:
(i) Transfer such unallocated TR SO2 Group 2 allowances to the new unit set-aside for the State for such control period; or  
(ii) If the State has a SIP revision approved under §52.39(g), (h), or (i) of this chapter covering such control period, include such unallocated TR SO2 Group 2 allowances in the portion of the State SO2 Group 2 trading budget that may be allocated for such control period in accordance with such SIP revision.  
(11) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.711(b)(2)(iii), (iv), and (v), of the amount of TR SO2 Group 2 allowances allocated under paragraphs (b)(9), (10), and (12) of this section for such control period to each TR SO2 Group 2 unit eligible for such allocation.
(12)(i) Notwithstanding the requirements of paragraphs (b)(2) through (11) of this section, if the calculations of allocations of an Indian country new unit set-aside for a control period in a given year under paragraph (b)(7) of this section, paragraphs (b)(6) and (9)(iv) of this section, or paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such Indian country new unit set-aside exceeding the total amount of such Indian country new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, as follows.  The Administrator will list the TR SO2 Group 2 units in descending order based on the amount of such units' allocations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will reduce each unit's allocation under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, by one TR SO2 Group 2 allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such Indian country new unit set-aside equal the total amount of such Indian country new unit set-aside.  
(ii) Notwithstanding the requirements of paragraphs (b)(10) and (11) of this section, if the calculations of allocations of an Indian country new unit set-aside for a control period in a given year under paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such Indian country new unit set-aside less than the total amount of such Indian country new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (b)(10) of this section, as follows.  The Administrator will list the TR SO2 Group 2 units in descending order based on the amount of such units' allocations under paragraph (b)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will increase each unit's allocation under paragraph (b)(10) of this section by one TR SO2 Group 2 allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such Indian country new unit set-aside equal the total amount of such Indian country new unit set-aside. 
§ 97.713  Authorization of designated representative and alternate designated representative.
(a) Except as provided under §97.715, each TR SO2 Group 2 source, including all TR SO2 Group 2 units at the source, shall have one and only one designated representative, with regard to all matters under the TR SO2 Group 2 Trading Program.
(1) The designated representative shall be selected by an agreement binding on the owners and operators of the source and all TR SO2 Group 2 units at the source and shall act in accordance with the certification statement in §97.716(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under §97.716:
(i) The designated representative shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each owner and operator of the source and each TR SO2 Group 2 unit at the source in all matters pertaining to the TR SO2 Group 2 Trading Program, notwithstanding any agreement between the designated representative and such owners and operators; and
(ii) The owners and operators of the source and each TR SO2 Group 2 unit at the source shall be bound by any decision or order issued to the designated representative by the Administrator regarding the source or any such unit.
(b) Except as provided under §97.715, each TR SO2 Group 2 source may have one and only one alternate designated representative, who may act on behalf of the designated representative. The agreement by which the alternate designated representative is selected shall include a procedure for authorizing the alternate designated representative to act in lieu of the designated representative.
(1) The alternate designated representative shall be selected by an agreement binding on the owners and operators of the source and all TR SO2 Group 2 units at the source and shall act in accordance with the certification statement in §97.716(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under §97.716, 
(i) The alternate designated representative shall be authorized;  
(ii) Any representation, action, inaction, or submission by the alternate designated representative shall be deemed to be a representation, action, inaction, or submission by the designated representative; and
(iii) The owners and operators of the source and each TR SO2 Group 2 unit at the source shall be bound by any decision or order issued to the alternate designated representative by the Administrator regarding the source or any such unit.
(c) Except in this section, §97.702, and §§97.714 through 97.718, whenever the term "designated representative" (as distinguished from the term "common designated representative") is used in this subpart, the term shall be construed to include the designated representative or any alternate designated representative.
§ 97.714  Responsibilities of designated representative and alternate designated representative.
(a) Except as provided under §97.718 concerning delegation of authority to make submissions, each submission under the TR SO2 Group 2 Trading Program shall be made, signed, and certified by the designated representative or alternate designated representative for each TR SO2 Group 2 source and TR SO2 Group 2 unit for which the submission is made. Each such submission shall include the following certification statement by the designated representative or alternate designated representative: "I am authorized to make this submission on behalf of the owners and operators of the source or units for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
(b) The Administrator will accept or act on a submission made for a TR SO2 Group 2 source or a TR SO2 Group 2 unit only if the submission has been made, signed, and certified in accordance with paragraph (a) of this section and §97.718.
§ 97.715  Changing designated representative and alternate designated representative; changes in owners and operators; changes in units at the source.
(a) Changing designated representative.  The designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under §97.716.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new designated representative and the owners and operators of the TR SO2 Group 2 source and the TR SO2 Group 2 units at the source.
(b) Changing alternate designated representative.  The alternate designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under §97.716.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new alternate designated representative, the designated representative, and the owners and operators of the TR SO2 Group 2 source and the TR SO2 Group 2 units at the source.
(c) Changes in owners and operators.  (1) In the event an owner or operator of a TR SO2 Group 2 source or a TR SO2 Group 2 unit at the source is not included in the list of owners and operators in the certificate of representation under §97.716, such owner or operator shall be deemed to be subject to and bound by the certificate of representation, the representations, actions, inactions, and submissions of the designated representative and any alternate designated representative of the source or unit, and the decisions and orders of the Administrator, as if the owner or operator were included in such list.
(2) Within 30 days after any change in the owners and operators of a TR SO2 Group 2 source or a TR SO2 Group 2 unit at the source, including the addition or removal of an owner or operator, the designated representative or any alternate designated representative shall submit a revision to the certificate of representation under §97.716 amending the list of owners and operators to reflect the change.
(d) Changes in units at the source.  Within 30 days of any change in which units are located at a TR SO2 Group 2 source (including the addition or removal of a unit), the designated representative or any alternate designated representative shall submit a certificate of representation under §97.716 amending the list of units to reflect the change.  
(1) If the change is the addition of a unit that operated (other than for purposes of testing by the manufacturer before initial installation) before being located at the source, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity from whom the unit was purchased or otherwise obtained (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was purchased or otherwise obtained, and the date on which the unit became located at the source.
(2) If the change is the removal of a unit, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity to which the unit was sold or that otherwise obtained the unit (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was sold or otherwise obtained, and the date on which the unit became no longer located at the source.  
§ 97.716  Certificate of representation.
(a) A complete certificate of representation for a designated representative or an alternate designated representative shall include the following elements in a format prescribed by the Administrator:
(1) Identification of the TR SO2 Group 2 source, and each TR SO2 Group 2 unit at the source, for which the certificate of representation is submitted, including source name, source  category and NAICS code (or, in the absence of a NAICS code, an equivalent code), State, plant code, county, latitude and longitude, unit identification number and type, identification number and nameplate capacity (in MWe, rounded to the nearest tenth) of each generator served by each such unit, actual or projected date of commencement of commercial operation, and a statement of whether such source is located in Indian Country.  If a projected date of commencement of commercial operation is provided, the actual date of commencement of commercial operation shall be provided when such information becomes available.
(2) The name, address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the designated representative and any alternate designated representative.
(3) A list of the owners and operators of the TR SO2 Group 2 source and of each TR SO2 Group 2 unit at the source.
(4) The following certification statements by the designated representative and any alternate designated representative -- 
(i) "I certify that I was selected as the designated representative or alternate designated representative, as applicable, by an agreement binding on the owners and operators of the source and each TR SO2 Group 2 unit at the source."
(ii) "I certify that I have all the necessary authority to carry out my duties and responsibilities under the TR SO2 Group 2 Trading Program on behalf of the owners and operators of the source and of each TR SO2 Group 2 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 Administrator regarding the source or unit."
(iii) "Where there are multiple holders of a legal or equitable title to, or a leasehold interest in, a TR SO2 Group 2 unit, or where a utility or industrial customer purchases power from a TR SO2 Group 2 unit under a life-of-the-unit, firm power contractual arrangement, I certify that: I have given a written notice of my selection as the `designated representative' or `alternate designated representative', as applicable, and of the agreement by which I was selected to each owner and operator of the source and of each TR SO2 Group 2 unit at the source; and TR SO2 Group 2 allowances and proceeds of transactions involving TR SO2 Group 2 allowances will be deemed to be held or distributed in proportion to each holder's legal, equitable, leasehold, or contractual reservation or entitlement, except that, if such multiple holders have expressly provided for a different distribution of TR SO2 Group 2 allowances by contract, TR SO2 Group 2 allowances and proceeds of transactions involving TR SO2 Group 2 allowances will be deemed to be held or distributed in accordance with the contract."
(5) The signature of the designated representative and any alternate designated representative and the dates signed.
(b) Unless otherwise required by the Administrator, documents of agreement referred to in the certificate of representation shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
§ 97.717  Objections concerning designated representative and alternate designated representative.
(a) Once a complete certificate of representation under §97.716 has been submitted and received, the Administrator will rely on the certificate of representation unless and until a superseding complete certificate of representation under §97.716 is received by the Administrator.
(b) Except as provided in paragraph (a) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission, of a designated representative or alternate designated representative shall affect any representation, action, inaction, or submission of the designated representative or alternate designated representative or the finality of any decision or order by the Administrator under the TR SO2 Group 2 Trading Program.
(c) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of any designated representative or alternate designated representative, including private legal disputes concerning the proceeds of TR SO2 Group 2 allowance transfers.
§ 97.718  Delegation by designated representative and alternate designated representative.
(a) A designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(b) An alternate designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(c) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (a) or (b) of this section, the designated representative or alternate designated representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements:
(1) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such designated representative or alternate designated representative;
(2) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to in this section as an "agent");
(3) For each such natural person, a list of the type or types of electronic submissions under paragraph (a) or (b) of this section for which authority is delegated to him or her; and
(4) The following certification statements by such designated representative or alternate designated representative:
(i) "I agree that any electronic submission to the Administrator that is made by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am a designated representative or alternate designated representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.718(d) shall be deemed to be an electronic submission by me."
(ii) "Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.718(d), I agree to maintain an e-mail account and to notify the Administrator immediately of any change in my e-mail address unless all delegation of authority by me under 40 CFR 97.718 is terminated.".
(d) A notice of delegation submitted under paragraph (c) of this section shall be effective, with regard to the designated representative or alternate designated representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of delegation submitted by such designated representative or alternate designated representative, as appropriate. The superseding notice of delegation may replace any previously identified agent, add a new agent, or eliminate entirely any delegation of authority.
(e) Any electronic submission covered by the certification in paragraph (c)(4)(i) of this section and made in accordance with a notice of delegation effective under paragraph (d) of this section shall be deemed to be an electronic submission by the designated representative or alternate designated representative submitting such notice of delegation.
§ 97.719  [Reserved] 
§ 97.720  Establishment of compliance accounts, assurance accounts, and general accounts.
(a) Compliance accounts.  Upon receipt of a complete certificate of representation under §97.716, the Administrator will establish a compliance account for the TR SO2 Group 2 source for which the certificate of representation was submitted, unless the source already has a compliance account.  The designated representative and any alternate designated representative of the source shall be the authorized account representative and the alternate authorized account representative respectively of the compliance account.
(b) Assurance accounts.  The Administrator will establish assurance accounts for certain owners and operators and States in accordance with §97.725(b)(3).  
 (c) General accounts. (1) Application for general account.  (i) Any person may apply to open a general account, for the purpose of holding and transferring TR SO2 Group 2 allowances, by submitting to the Administrator a complete application for a general account.  Such application shall designate one and only one authorized account representative and may designate one and only one alternate authorized account representative who may act on behalf of the authorized account representative. 
(A) The authorized account representative and alternate authorized account representative shall be selected by an agreement binding on the persons who have an ownership interest with respect to TR SO2 Group 2 allowances held in the general account. 
(B) The agreement by which the alternate authorized account representative is selected shall include a procedure for authorizing the alternate authorized account representative to act in lieu of the authorized account representative.
(ii) A complete application for a general account 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 authorized account representative and any alternate authorized account representative;
(B) An identifying name for the general account;
(C) A list of all persons subject to a binding agreement for the authorized account representative and any alternate authorized account representative to represent their ownership interest with respect to the TR SO2 Group 2 allowances held in the general account;
(D) The following certification statement by the authorized account representative and any alternate authorized account representative: "I certify that I was selected as the authorized account representative or the alternate authorized account representative, as applicable, by an agreement that is binding on all persons who have an ownership interest with respect to TR SO2 Group 2 allowances held in the general account. I certify that I have all the necessary authority to carry out my duties and responsibilities under the TR SO2 Group 2 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 decision or order issued to me by the Administrator regarding the general account."
(E) The signature of the authorized account representative and any alternate authorized account representative and the dates signed.
(iii) Unless otherwise required by the Administrator, documents of agreement referred to in the application for a general account shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
(2) Authorization of authorized account representative and alternate authorized account representative.  (i) Upon receipt by the Administrator of a complete application for a general account under paragraph (b)(1) of this section,  the Administrator will establish a general account for the person or persons for whom the application is submitted, and upon and after such receipt by the Administrator: 
(A) The authorized account representative of the general account shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each person who has an ownership interest with respect to TR SO2 Group 2 allowances held in the general account in all matters pertaining to the TR SO2 Group 2 Trading Program, notwithstanding any agreement between the authorized account representative and such person. 
(B) Any alternate authorized account representative shall be authorized, and any representation, action, inaction, or submission by any alternate authorized account representative shall be deemed to be a representation, action, inaction, or submission by the authorized account representative.
(C) Each person who has an ownership interest with respect to TR SO2 Group 2 allowances held in the general account shall be bound by any decision or order issued to the authorized account representative or alternate authorized account representative by the Administrator regarding the general account. 
(ii) Except as provided in paragraph (c)(5) of this section concerning delegation of authority to make submissions, each submission concerning the general account shall be made, signed, and certified by the authorized account representative or any alternate authorized account representative for the persons having an ownership interest with respect to TR SO2 Group 2 allowances held in the general account.  Each such submission shall include the following certification statement by the authorized account representative or any alternate authorized account representative: "I am authorized to make this submission on behalf of the persons having an ownership interest with respect to the TR SO2 Group 2 allowances held in the general account. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments.  Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete.  I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
(iii) Except in this section, whenever the term "authorized account representative" is used in this subpart, the term shall be construed to include the authorized account representative or any alternate authorized account representative.
(3) Changing authorized account representative and alternate authorized account representative; changes in persons with ownership interest.  (i) The authorized account representative of 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 (c)(1) of this section.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new authorized account representative and the persons with an ownership interest with respect to the TR SO2 Group 2 allowances in the general account.
(ii) The alternate authorized account representative of 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 (c)(1) of this section.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new alternate authorized account representative, the authorized account representative, and the persons with an ownership interest with respect to the TR SO2 Group 2 allowances in the general account.
(iii)(A) In the event a person having an ownership interest with respect to TR SO2 Group 2 allowances in the general account is not included in the list of such persons in the application for a general account, such person shall be deemed to be subject to and bound by the application for a general account, the representation, actions, inactions, and submissions of the authorized account representative and any alternate authorized account representative of the account, and the decisions and orders of the Administrator, as if the person were included in such list.
(B) Within 30 days after any change in the persons having an ownership interest with respect to SO2 Group 2 allowances in the general account, including the addition or removal of a person, the authorized account representative or any alternate 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 TR SO2 Group 2 allowances in the general account to include the change.
(4) Objections concerning authorized account representative and alternate authorized account representative.  (i) Once a complete application for a general account under paragraph (c)(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 (c)(4)(i) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account shall affect any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative or the finality of any decision or order by the Administrator under the TR SO2 Group 2 Trading Program.
(iii) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account, including private legal disputes concerning the proceeds of TR SO2 Group 2 allowance transfers.
(5) Delegation by authorized account representative and alternate authorized account representative.  (i) An authorized account representative of a general account may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(ii) An alternate authorized account representative of a general account may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(iii) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (c)(5)(i) or (ii) of this section, the authorized account representative or alternate authorized account representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements:
(A) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such authorized account representative or alternate authorized account representative;
(B) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to in this section as an "agent");
(C) For each such natural person, a list of the type or types of electronic submissions under paragraph (c)(5)(i) or (ii) of this section for which authority is delegated to him or her;
(D) The following certification statement by such authorized account representative or alternate authorized account representative:  "I agree that any electronic submission to the Administrator that is made by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am an authorized account representative or alternate authorized representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.720(c)(5)(iv) shall be deemed to be an electronic submission by me."; and
(E) The following certification statement by such authorized account representative or alternate authorized account representative: "Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.720(c)(5)(iv), I agree to maintain an e-mail account and to notify the Administrator immediately of any change in my e-mail address unless all delegation of authority by me under 40 CFR 97.720(c)(5) is terminated.".
(iv) A notice of delegation submitted under paragraph (c)(5)(iii) of this section shall be effective, with regard to the authorized account representative or alternate authorized account representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of delegation submitted by such authorized account representative or alternate authorized account representative, as appropriate.  The superseding notice of delegation may replace any previously identified agent, add a new agent, or eliminate entirely any delegation of authority.
(v) Any electronic submission covered by the certification in paragraph (c)(5)(iii)(D) of this section and made in accordance with a notice of delegation effective under paragraph (c)(5)(iv) of this section shall be deemed to be an electronic submission by the designated representative or alternate designated representative submitting such notice of delegation.
(6) Closing a general account. (i) The authorized account representative or alternate authorized account representative of a general account may submit to the Administrator a request to close the account.  Such request shall include a correctly submitted TR SO2 Group 2 allowance transfer under §97.722 for any TR SO2 Group 2 allowances in the account to one or more other Allowance Management System accounts.
(ii) If a general account has no TR SO2 Group 2 allowance transfers to or from the account for a 12-month period or longer and does not contain any TR SO2 Group 2 allowances, the Administrator may notify the authorized account representative for the account that the account will be closed after 30 days after the notice is sent.  The account will be closed after the 30-day period unless, before the end of the 30-day period, the Administrator receives a correctly submitted TR SO2 Group 2 allowance transfer under §97.722 to the account or a statement submitted by the authorized account representative or alternate authorized account representative demonstrating to the satisfaction of the Administrator good cause as to why the account should not be closed.
(d) Account identification.  The Administrator will assign a unique identifying number to each account established under paragraph (a), (b), or (c) of this section.
(e) Responsibilities of authorized account representative and alternate authorized account representative.  After the establishment of a compliance account or general account, the Administrator will accept or act on a submission pertaining to the account, including, but not limited to, submissions concerning the deduction or transfer of TR SO2 Group 2 allowances in the account, only if the submission has been made, signed, and certified in accordance with §§97.714(a) and 97.718 or paragraphs (c)(2)(ii) and (c)(5) of this section. 
§ 97.721  Recordation of TR SO2 Group 2 allowance allocations and auction results.
(a) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER], the Administrator will record in each TR SO2 Group 2 source's compliance account the TR SO2 Group 2 allowances allocated to the TR SO2 Group 2 units at the source in accordance with §97.711(a) for the control period in 2012.
(b) By [INSERT DATE 90 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER], the Administrator will record in each TR SO2 Group 2 source's compliance account the TR SO2 Group 2 allowances allocated to the TR SO2 Group 2 units at the source in accordance with §97.711(a) for the control period in 2013, unless the State in which the source is located notifies the Administrator in writing by [INSERT DATE 70 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER] of the State's intent to submit to the Administrator a complete SIP revision by April 1, 2012 meeting the requirements of §52.39(g)(1) through (4) of this chapter.
(1) If, by April 1, 2012, the State does not submit to the Administrator such complete SIP revision, the Administrator will record by April 15, 2012 in each TR SO2 Group 2 source's compliance account the TR SO2 Group 2 allowances allocated to the TR SO2 Group 2 units at the source in accordance with §97.711(a) for the control period in 2013.
(2) If the State submits to the Administrator by April 1, 2012, and the Administrator approves by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR SO2 Group 2 source's compliance account the TR SO2 Group 2 allowances allocated to the TR SO2 Group 2 units at the source as provided in such approved, complete SIP revision for the control period in 2013.
(3) If the State submits to the Administrator by April 1, 2012, and the Administrator does not approve by October 1, 2012, such complete SIP revision, the Administrator will record by October 1, 2012 in each TR SO2 Group 2 source's compliance account the TR SO2 Group 2 allowances allocated to the TR SO2 Group 2 units at the source in accordance with §97.711(a) for the control period in 2013. 
(c) By July 1, 2013, the Administrator will record in each TR SO2 Group 2 source's compliance account the TR SO2 Group 2 allowances allocated to the TR SO2 Group 2 units at the source, or in each appropriate Allowance Management System account the TR SO2 Group 2 allowances auctioned to TR SO2 Group 2 units, in accordance with §97.711(a), or with a SIP revision approved under §52.39(h) or (i) of this chapter, for the control period in 2014 and 2015.
(d) By July 1, 2014, the Administrator will record in each TR SO2 Group 2 source's compliance account the TR SO2 Group 2 allowances allocated to the TR SO2 Group 2 units at the source, or in each appropriate Allowance Management System account the TR SO2 Group 2 allowances auctioned to TR SO2 Group 2 units, in accordance with §97.711(a), or with a SIP revision approved under §52.39(h) or (i) of this chapter, for the control period in 2016 and 2017.
(e) By July 1, 2015, the Administrator will record in each TR SO2 Group 2 source's compliance account the TR SO2 Group 2 allowances allocated to the TR SO2 Group 2 units at the source, or in each appropriate Allowance Management System account the TR SO2 Group 2 allowances auctioned to TR SO2 Group 2 units, in accordance with §97.711(a), or with a SIP revision approved under §52.39(h) or (i) of this chapter, for the control period in 2018 and 2019.
(f) By July 1, 2016 and July 1 of each year thereafter, the Administrator will record in each TR SO2 Group 2 source's compliance account the TR SO2 Group 2 allowances allocated to the TR SO2 Group 2 units at the source, or in each appropriate Allowance Management System account the TR SO2 Group 2 allowances auctioned to TR SO2 Group 2 units, in accordance with §97.711(a), or with a SIP revision approved under §52.39(h) and (i) of this chapter, for the control period in the fourth year after the year of the applicable recordation deadline under this paragraph.
(g) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR SO2 Group 2 source's compliance account the TR SO2 Group 2 allowances allocated to the TR SO2 Group 2 units at the source, or in each appropriate Allowance Management System account the TR SO2 Group 2 allowances auctioned to TR SO2 Group 2 units, in accordance with §97.712(a)(2) through (8) and (12), or with a SIP revision approved under §52.39(h) and (i) of this chapter, for the control period in the year of the applicable recordation deadline under this paragraph.
(h) By August 1, 2012 and August 1 of each year thereafter, the Administrator will record in each TR SO2 Group 2 source's compliance account the TR SO2 Group 2 allowances allocated to the TR SO2 Group 2 units at the source in accordance with §97.712(b)(2) through (8) and (12) for the control period in the year of the applicable recordation deadline under this paragraph.
(i) By February 15, 2013 and February 15 of each year thereafter, the Administrator will record in each TR SO2 Group 2 source's compliance account the TR SO2 Group 2 allowances allocated to the TR SO2 Group 2 units at the source in accordance with §97.712(a)(9) through (12), for the control period in the year before the year of the applicable recordation deadline under this paragraph.
(j) By the date on which any allocation or auction results, other than an allocation or auction results, described in paragraphs (a) through (i) of this section, of TR SO2 Group 2 allowances to a recipient is made by or are submitted to the Administrator in accordance with §97.711 or §97.712 or with a SIP revision approved under §52.39(h) or (i) of this chapter, the Administrator will record such allocation or auction results in the appropriate Allowance Management System account. 
(k) When recording the allocation or auction of TR SO2 Group 2 allowances to a TR SO2 Group 2 unit or other entity in an Allowance Management System account, the Administrator will assign each TR SO2 Group 2 allowance a unique identification number that will include digits identifying the year of the control period for which the TR SO2 Group 2 allowance is allocated or auctioned.
§ 97.722  Submission of TR SO2 Group 2 allowance transfers.
(a) An authorized account representative seeking recordation of a TR SO2 Group 2 allowance transfer shall submit the transfer to the Administrator. 
(b) A TR SO2 Group 2 allowance transfer shall be correctly submitted if: 
(1) The transfer includes the following elements, in a format prescribed by the Administrator:
(i) The account numbers established by the Administrator for both the transferor and transferee accounts;
(ii) The serial number of each TR SO2 Group 2 allowance that is in the transferor account and is to be transferred; and
(iii) The name and signature of the authorized account representative of the transferor account and the date signed; and
(2) When the Administrator attempts to record the transfer, the transferor account includes each TR SO2 Group 2 allowance identified by serial number in the transfer. 
§ 97.723  Recordation of TR SO2 Group 2 allowance transfers.
(a) Within 5 business days (except as provided in paragraph (b) of this section) of receiving a TR SO2 Group 2 allowance transfer that is correctly submitted under §97.722, the Administrator will record a TR SO2 Group 2 allowance transfer by moving each TR SO2 Group 2 allowance from the transferor account to the transferee account as specified in the transfer.  
(b) A TR SO2 Group 2 allowance transfer to or from a compliance account that is submitted for recordation after the allowance transfer deadline for a control period and that includes any TR SO2 Group 2 allowances allocated for any control period before such allowance transfer deadline will not be recorded until after the Administrator completes the deductions from such compliance account under §97.724 for the control period immediately before such allowance transfer deadline.
(c) Where a TR SO2 Group 2 allowance transfer is not correctly submitted under §97.722, the Administrator will not record such transfer.
(d) Within 5 business days of recordation of a TR SO2 Group 2 allowance transfer under paragraphs (a) and (b) of the section, the Administrator will notify the authorized account representatives of both the transferor and transferee accounts.
(e) Within 10 business days of receipt of a TR SO2 Group 2 allowance transfer that is not correctly submitted under §97.722, the Administrator will notify the 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.
§ 97.724  Compliance with TR SO2 Group 2 emissions limitation.
(a) Availability for deduction for compliance.  TR SO2 Group 2 allowances are available to be deducted for compliance with a source's TR SO2 Group 2 emissions limitation for a control period in a given year only if the TR SO2 Group 2 allowances:
(1) Were allocated for such control period or a control period in a prior year; and
(2) Are held in the source's compliance account as of the allowance transfer deadline for such control period.   
(b) Deductions for compliance.  After the recordation, in accordance with §97.723, of TR SO2 Group 2 allowance transfers submitted by the allowance transfer deadline for a control period in a given year, the Administrator will deduct from each source's compliance account TR SO2 Group 2 allowances available under paragraph (a) of this section in order to determine whether the source meets the TR SO2 Group 2 emissions limitation for such control period, as follows:
(1) Until the amount of TR SO2 Group 2 allowances deducted equals the number of tons of total SO2 emissions from all TR SO2 Group 2 units at the source for such control period; or
(2) If there are insufficient TR SO2 Group 2 allowances to complete the deductions in paragraph (b)(1) of this section, until no more TR SO2 Group 2 allowances available under paragraph (a) of this section remain in the compliance account.
(c)(1) Identification of TR SO2 Group 2 allowances by serial number.  The authorized account representative for a source's compliance account may request that specific TR SO2 Group 2 allowances, identified by serial number, in the compliance account be deducted for emissions or excess emissions for a control period in a given year in accordance with paragraph (b) or (d) of this section.  In order to be complete, such request shall be submitted to the Administrator by the allowance transfer deadline for such control period and include, in a format prescribed by the Administrator, the identification of the TR SO2 Group 2 source and the appropriate serial numbers.
(2) First-in, first-out.  The Administrator will deduct TR SO2 Group 2 allowances under paragraph (b) or (d) of this section from the source's compliance account in accordance with a complete request under paragraph (c)(1) of this section or, in the absence of such request or in the case of identification of an insufficient amount of TR SO2 Group 2 allowances in such request, on a first-in, first-out accounting basis in the following order:
(i) Any TR SO2 Group 2 allowances that were allocated to the units at the source and not transferred out of the compliance account, in the order of recordation; and then
(ii) Any TR SO2 Group 2 allowances that were allocated to any unit and transferred to and recorded in the compliance account pursuant to this subpart, in the order of recordation.
(d) Deductions for excess emissions.  After making the deductions for compliance under paragraph (b) of this section for a control period in a year in which the TR SO2 Group 2 source has excess emissions, the Administrator will deduct from the source's compliance account an amount of TR SO2 Group 2 allowances, allocated for a control period in a prior year or the control period in the year of the excess emissions or in the immediately following year, equal to two times the number of tons of the source's excess emissions.
(e) Recordation of deductions.  The Administrator will record in the appropriate compliance account all deductions from such an account under paragraphs (b) and (d) of this section.
§ 97.725  Compliance with TR SO2 Group 2 assurance provisions.
(a) Availability for deduction.  TR SO2 Group 2 allowances are available to be deducted for compliance with the TR SO2 Group 2 assurance provisions for a control period in a given year by the owners and operators of a group of one or more TR SO2 Group 2 sources and units in a State (and Indian country within the borders of such State) only if the TR SO2 Group 2 allowances: 
(1) Were allocated for a control period in a prior year or the control period in the given year or in the immediately following year; and
(2) Are held in the assurance account, established by the Administrator for such owners and operators of such group of TR SO2 Group 2 sources and units in such State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, as of the deadline established in paragraph (b)(4) of this section.   
(b) Deductions for compliance.  The Administrator will deduct TR SO2 Group 2 allowances available under paragraph (a) of this section for compliance with the TR SO2 Group 2 assurance provisions for a State for a control period in a given year in accordance with the following procedures:
(1) By June 1, 2013 and June 1 of each year thereafter, the Administrator will:
(i) Calculate, for each State (and Indian country within the borders of such State), the total SO2 emissions from all TR SO2 Group 2 units at TR SO2 Group 2 sources in the State (and Indian country within the borders of such State) during the control period in the year before the year of this calculation deadline and the amount, if any, by which such total SO2 emissions exceed the State assurance level as described in §97.706(c)(2)(iii); and
(ii) Promulgate a notice of data availability of the results of the calculations required in paragraph (b)(1)(i) of this section, including separate calculations of the SO2 emissions from each TR SO2 Group 2 source.  
(2) For each notice of data availability required in paragraph (b)(1)(ii) of this section and for any State (and Indian country within the borders of such State) identified in such notice as having TR SO2 Group 2 units with total SO2 emissions exceeding the State assurance level for a control period in a given year, as described in §97.706(c)(2)(iii):
(i) By July 1 immediately after the promulgation of such notice, the designated representative of each TR SO2 Group 2 source in each such State (and Indian country within the borders of such State) shall submit a statement, in a format prescribed by the Administrator, providing for each TR SO2 Group 2 unit (if any) at the source that operates during, but is not allocated an amount of TR SO2 Group 2 allowances for, such control period, the unit's allowable SO2 emission rate for such control period and, if such rate is expressed in lb per mmBtu, the unit's heat rate.  
(ii) By August 1 immediately after the promulgation of such notice, the Administrator will calculate, for each such State (and Indian country within the borders of such State) and such control period and each common designated representative for such control period for a group of one or more TR SO2 Group 2 sources and units in the State (and Indian country within the borders of such State), the common designated representative's share of the total SO2 emissions from all TR SO2 Group 2 units at TR SO2 Group 2 sources in the State (and Indian country within the borders of such State), the common designated representative's assurance level, and the amount (if any) of TR SO2 Group 2 allowances that the owners and operators of such group of sources and units must hold in accordance with the calculation formula in §97.706(c)(2)(i) and will promulgate a notice of data availability of the results of these calculations.     
(iii) The Administrator will provide an opportunity for submission of objections to the calculations referenced by the notice of data availability required in paragraph (b)(2)(ii) of this section and the calculations referenced by the relevant notice of data availability required in paragraph (b)(1)(i) of this section.  
(A) Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations referenced in the relevant notice required under paragraph (b)(1)(ii) of this section and referenced in the notice required under paragraph (b)(2)(ii) of this section are in accordance with §97.706(c)(2)(iii), §§97.706(b) and 97.730 through 97.735, the definitions of "common designated representative", "common designated representative's assurance level", and "common designated representative's share" in §97.702, and the calculation formula in §97.706(c)(2)(i).
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(iii)(A) of this section.  By October 1 immediately after the promulgation of such notice, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iii)(A) of this section.
(3) For any State (and Indian country within the borders of such State) referenced in each notice of data availability required in paragraph (b)(2)(iii)(B) of this section as having TR SO2 Group 2 units with total SO2 emissions exceeding the State assurance level for a control period in a given year, the Administrator will establish one assurance account for each set of owners and operators referenced, in the notice of data availability required under paragraph (b)(2)(iii)(B) of this section, as all of the owners and operators of a group of TR SO2 Group 2 sources and units in the State (and Indian country within the borders of such State) having a common designated representative for such control period and as being required to hold TR SO2 Group 2 allowances.     
(4)(i) As of midnight of November 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section, the owners and operators described in paragraph (b)(3) of this section shall hold in the assurance account established for the them and for the appropriate TR SO2 Group 2 sources, TR SO2 Group 2 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section a total amount of TR SO2 Group 2 allowances, available for deduction under paragraph (a) of this section, equal to the amount such owners and operators are required to hold with regard to such sources, units and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in such notice.  
(ii) Notwithstanding the allowance-holding deadline specified in paragraph (b)(4)(i) of this section, if November 1 is not a business day, then such allowance-holding deadline shall be midnight of the first business day thereafter.
(5) After November 1 (or the date described in paragraph (b)(4)(ii) of this section) immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section and after the recordation, in accordance with §97.723, of TR SO2 Group 2 allowance transfers submitted by midnight of such date, the Administrator will determine whether the owners and operators described in paragraph (b)(3) of this section hold, in the assurance account for the appropriate TR SO2 Group 2 sources, TR SO2 Group 2 units, and State (and Indian country within the borders of such State) established under paragraph (b)(3) of this section, the amount of TR SO2 Group 2 allowances available under paragraph (a) of this section that the owners and operators are required to hold with regard to such sources, units, and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in the notice required in paragraph (b)(2)(iii)(B) of this section.
(6) Notwithstanding any other provision of this subpart and any revision, made by or submitted to the Administrator after the promulgation of the notice of data availability required in paragraph (b)(2)(iii)(B) of this section for a control period in a given year, of any data used in making the calculations referenced in such notice, the amounts of TR SO2 Group 2 allowances that the owners and operators are required to hold in accordance with §97.706(c)(2)(i) for such control period shall continue to be such amounts as calculated by the Administrator and referenced in such notice required in paragraph (b)(2)(iii)(B) of this section, except as follows:
(i) If any such data are revised by the Administrator as a result of a decision in or settlement of litigation concerning such data on appeal under part 78 of this chapter of such notice, or on appeal under section 307 of the Clean Air Act of a decision rendered under part 78 of this chapter on appeal of such notice, then the Administrator will use the data as so revised to recalculate the amounts of TR SO2 Group 2 allowances that owners and operators are required to hold in accordance with the calculation formula in §97.706(c)(2)(i) for such control period with regard to the TR SO2 Group 2 sources, TR SO2 Group 2 units, and State (and Indian country within the borders of such State) involved, provided that such litigation under part 78 of this chapter, or the proceeding under part 78 of this chapter that resulted in the decision appealed in such litigation under section 307 of the Clean Air Act, was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section.
(ii) If any such data are revised by the owners and operators of a TR SO2 Group 2 source and TR SO2 Group 2 unit whose designated representative submitted such data under paragraph (b)(2)(i) of this section, as a result of a decision in or settlement of litigation concerning such submission, then the Administrator will use the data as so revised to recalculate the amounts of TR SO2 Group 2 allowances that owners and operators are required to hold in accordance with the calculation formula in §97.706(c)(2)(i) for such control period with regard to the TR SO2 Group 2 sources, TR SO2 Group 2 units, and State (and Indian country within the borders of such State) involved, provided that such litigation was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section.
(iii) If the revised data are used to recalculate, in accordance with paragraphs (b)(6)(i) and (ii) of this section, the amount of TR SO2 Group 2 allowances that the owners and operators are required to hold for such control period with regard to the TR SO2 Group 2 sources, TR SO2 Group 2 units, and State (and Indian country within the borders of such State) involved --  
(A) Where the amount of TR SO2 Group 2 allowances that the owners and operators are required to hold increases as a result of the use of all such revised data, the Administrator will establish a new, reasonable deadline on which the owners and operators shall hold the additional amount of TR SO2 Group 2 allowances in the assurance account established by the Administrator for the appropriate TR SO2 Group 2 sources, TR SO2 Group 2 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section.  The owners' and operators' failure to hold such additional amount, as required, before the new deadline shall not be a violation of the Clean Air Act.  The owners' and operators' failure to hold such additional amount, as required, as of the new deadline shall be a violation of the Clean Air Act.  Each TR SO2 Group 2 allowance that the owners and operators fail to hold as required as of the new deadline, and each day in such control period, shall be a separate violation of the Clean Air Act.  
(B) For the owners and operators for which the amount of TR SO2 Group 2 allowances required to be held decreases as a result of the use of all such revised data, the Administrator will record, in all accounts from which TR SO2 Group 2 allowances were transferred by such owners and operators for such control period to the assurance account established by the Administrator for the appropriate at TR SO2 Group 2 sources, TR SO2 Group 2 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, a total amount of the TR SO2 Group 2 allowances held in such assurance account equal to the amount of the decrease.  If TR SO2 Group 2 allowances were transferred to such assurance account from more than one account, the amount of TR SO2 Group 2 allowances recorded in each such transferor account will be in proportion to the percentage of the total amount of TR SO2 Group 2 allowances transferred to such assurance account for such control period from such transferor account.  
(C) Each TR SO2 Group 2 allowance held under paragraph (b)(6)(iii)(A) of this section as a result of recalculation of requirements under the TR SO2 Group 2 assurance provisions for such control period must be a TR SO2 Group 2 allowance allocated for a control period in a year before or the year immediately following, or in the same year as, the year of such control period.      
§ 97.726  Banking.
(a) A TR SO2 Group 2 allowance may be banked for future use or transfer in a compliance account or a general account in accordance with paragraph (b) of this section.
(b) Any TR SO2 Group 2 allowance that is held in a compliance account or a general account will remain in such account unless and until the TR SO2 Group 2 allowance is deducted or transferred under §97.711(c), §97.723, §97.724, §97.725,  97.727, or 97.728.
§ 97.727  Account error.
The Administrator may, at his or her sole discretion and on his or her own motion, correct any error in any Allowance Management System account.  Within 10 business days of making such correction, the Administrator will notify the authorized account representative for the account.
§ 97.728  Administrator's action on submissions.
(a) The Administrator may review and conduct independent audits concerning any submission under the TR SO2 Group 2 Trading Program and make appropriate adjustments of the information in the submission.
(b) The Administrator may deduct TR SO2 Group 2 allowances from or transfer TR SO2 Group 2 allowances to a compliance account or an assurance account, based on the information in a submission, as adjusted under paragraph (a)(1) of this section, and record such deductions and transfers.
§ 97.729  [RESERVED]
§ 97.730  General monitoring, recordkeeping, and reporting requirements.
The owners and operators, and to the extent applicable, the designated representative, of a TR SO2 Group 2 unit, shall comply with the monitoring, recordkeeping, and reporting requirements as provided in this subpart and subparts F and G of part 75 of this chapter. For purposes of applying such requirements, the definitions in §97.702 and in §72.2 of this chapter shall apply, 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 "TR SO2 Group 2 unit," "designated representative," and "continuous emission monitoring system" (or "CEMS") respectively as defined in §97.702, and the term "newly affected unit" shall be deemed to mean "newly affected TR SO2 Group 2 unit".  The owner or operator of a unit that is not a TR SO2 Group 2 unit but that is monitored under §75.16(b)(2) of this chapter shall comply with the same monitoring, recordkeeping, and reporting requirements as a TR SO2 Group 2 unit.
(a) Requirements for installation, certification, and data accounting.  The owner or operator of each TR SO2 Group 2 unit shall:

(1) Install all monitoring systems required under this subpart for monitoring SO2 mass emissions and individual unit heat input (including all systems required to monitor SO2 concentration, stack gas moisture content, stack gas flow rate, CO2 or O2 concentration, and fuel flow rate, as applicable, in accordance with §§75.11 and 75.16 of this chapter);

(2) Successfully complete all certification tests required under §97.731 and meet all other requirements of this subpart and part 75 of this chapter applicable to the monitoring systems under paragraph (a)(1) of this section; and

(3) Record, report, and quality-assure the data from the monitoring systems under paragraph (a)(1) of this section.

(b) Compliance deadlines. Except as provided in paragraph (e) of this section, the owner or operator shall meet the monitoring system certification and other requirements of paragraphs (a)(1) and (2) of this section on or before the following dates and shall record, report, and quality-assure the data from the monitoring systems under paragraph (a)(1) of this section on and after the following dates.

(1) For the owner or operator of a TR SO2 Group 2 unit that commences commercial operation before July 1, 2011, January 1, 2012.

(2) For the owner or operator of a TR SO2 Group 2 unit that commences commercial operation on or after July 1, 2011, by the later of the following:

(i) January 1, 2012; or

(ii) 180 calendar days after the date on which the unit commences commercial operation.

(3) The owner or operator of a TR SO2 Group 2 unit for which construction of a new stack or flue or installation of add-on SO2  emission controls is completed after the applicable deadline under paragraph (b)(1) or (2) of this section shall meet the requirements of §§75.4(e)(1) through (e)(4) of this chapter, except that:
(i) Such requirements shall apply to the monitoring systems required under §97.730 through §97.735, rather than the monitoring systems required under part 75 of this chapter;
(ii) SO2 concentration, stack gas moisture content, stack gas volumetric flow rate, and O2 or CO2 concentration data shall be determined and reported, rather than the data listed in §75.4(e)(2) of this chapter; and
(iii) Any petition for another procedure under §75.4(e)(2) of this chapter shall be submitted under §97.735, rather than §75.66.
(c) Reporting data.  The owner or operator of a TR SO2 Group 2 unit that does not meet the applicable compliance date set forth in paragraph (b) of this section for any monitoring system under paragraph (a)(1) of this section shall, for each such monitoring system, determine, record, and report maximum potential (or, as appropriate, minimum potential) values for SO2 concentration, stack gas flow rate, stack gas moisture content, fuel flow rate, and any other parameters required to determine SO2 mass emissions and heat input in accordance with § 75.31(b)(2) or (c)(3) of this chapter or section 2.4 of appendix D to part 75 of this chapter, as applicable.

(d) Prohibitions. (1) No owner or operator of a TR SO2 Group 2 unit shall use any alternative monitoring system, alternative reference method, or any other alternative to any requirement of this subpart without having obtained prior written approval in accordance with §97.735.

(2) No owner or operator of a TR SO2 Group 2 unit shall operate the unit so as to discharge, or allow to be discharged, SO2 to the atmosphere without accounting for all such SO2 in accordance with the applicable provisions of this subpart and part 75 of this chapter.

(3) No owner or operator of a TR SO2 Group 2 unit shall disrupt the continuous emission monitoring system, any portion thereof, or any other approved emission monitoring method, and thereby avoid monitoring and recording SO2 mass discharged into the atmosphere or heat input, except for periods of recertification or periods when calibration, quality assurance testing, or maintenance is performed in accordance with the applicable provisions of this subpart and part 75 of this chapter.

(4) No owner or operator of a TR SO2 Group 2 unit shall retire or permanently discontinue use of the continuous emission monitoring system, any component thereof, or any other approved monitoring system under this subpart, except under any one of the following circumstances:

(i) During the period that the unit is covered by an exemption under §97.705 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 Administrator 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 designated representative submits notification of the date of certification testing of a replacement monitoring system for the retired or discontinued monitoring system in accordance with §97.731(d)(3)(i).
(e) Long-term cold storage.  The owner or operator of a TR SO2 Group 2 unit is subject to the applicable provisions of §75.4(d) of this chapter concerning units in long-term cold storage.
§ 97.731  Initial monitoring system certification and recertification procedures.
(a) The owner or operator of a TR SO2 Group 2 unit shall be exempt from the initial certification requirements of this section for a monitoring system under § 97.730(a)(1) if the following conditions are met:

(1) The monitoring system has been previously certified in accordance with part 75 of this chapter; and

(2) The applicable quality-assurance and quality-control requirements of § 75.21 of this chapter and appendices B and D to part 75 of this chapter are fully met for the certified monitoring system described in paragraph (a)(1) of this section.

(b) The recertification provisions of this section shall apply to a monitoring system under § 97.730(a)(1) that is exempt from initial certification requirements under paragraph (a) of this section.

(c) [Reserved]

(d) Except as provided in paragraph (a) of this section, the owner or operator of a TR SO2 Group 2 unit shall comply with the following initial certification and recertification procedures, for a continuous monitoring system (i.e., a continuous emission monitoring system and an excepted monitoring system under appendix D to part 75 of this chapter) under §97.730(a)(1).  The owner or operator of 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 procedures in paragraph (e) or (f) of this section respectively.

(1) Requirements for initial certification. The owner or operator shall ensure that each continuous monitoring system under §97.730(a)(1) (including 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 §97.730(b).  In addition, whenever the owner or operator installs a monitoring system to meet the requirements of this subpart in a location where no such monitoring system was previously installed, initial certification in accordance with §75.20 of this chapter is required.

(2) Requirements for recertification.  Whenever the owner or operator makes a replacement, modification, or change in any certified continuous emission monitoring system under §97.730(a)(1) that may significantly affect the ability of the system to accurately measure or record SO2 mass emissions or heat input rate or to meet the quality-assurance and quality-control requirements of §75.21 of this chapter or appendix B to part 75 of this chapter, the owner or operator shall recertify the monitoring system in accordance with §75.20(b) of this chapter. Furthermore, whenever the owner or operator makes a replacement, modification, or change to the flue gas handling system or the unit's operation that may significantly change the stack flow or concentration profile, the owner or operator shall recertify each continuous emission monitoring system whose accuracy is potentially affected by the change, in accordance with §75.20(b) of this chapter.  Examples of changes to a continuous emission monitoring system that require recertification include: replacement of the analyzer, complete replacement of an existing continuous emission monitoring system, or change in location or orientation of the sampling probe or site.  Any fuel flowmeter system under §97.730(a)(1) is subject to the recertification requirements in §75.20(g)(6) of this chapter.

(3) Approval process for initial certification and recertification.  For initial certification of a continuous monitoring system under §97.730(a)(1), paragraphs (d)(3)(i) through (v) of this section apply.  For recertifications of such monitoring systems, paragraphs (d)(3)(i) through (iv) of this section  and the procedures in §§75.20(b)(5) and (g)(7) of this chapter (in lieu of the procedures in paragraph (d)(3)(v) of this section) apply, provided that in applying paragraphs (d)(3)(i) through (iv) of this section, the words "certification" and "initial certification" are replaced by the word "recertification" and the word "certified" is replaced by with the word "recertified".  
(i) Notification of certification.  The designated representative shall submit to the appropriate EPA Regional Office and the Administrator written notice of the dates of certification testing, in accordance with §97.733.

(ii) Certification application.  The designated representative shall submit to the Administrator a certification application for each monitoring system.  A complete certification application shall include the information specified in §75.63 of this chapter.

(iii) Provisional certification date.  The provisional certification date for a monitoring system shall be determined in accordance with §75.20(a)(3) of this chapter.  A provisionally certified monitoring system may be used under the TR SO2 Group 2 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 (d)(3)(ii) of this section.  Data measured and recorded by the provisionally certified monitoring system, in accordance with the requirements of part 75 of this chapter, will be considered valid quality-assured data (retroactive to the date and time of provisional certification), provided that the Administrator does not invalidate the provisional certification by issuing a notice of disapproval within 120 days of the date of receipt of the complete certification application by the Administrator.

(iv) Certification application 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 (d)(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 TR SO2 Group 2 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.  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 designated representative must submit the additional information required to complete the certification application.  If the designated representative does not comply with the notice of incompleteness by the specified date, then the Administrator may issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this section.  

(C) Disapproval notice.  If the certification application shows that any monitoring system does not meet the performance requirements of part 75 of this chapter or if the certification application is incomplete and the requirement for disapproval under paragraph (d)(3)(iv)(B) of this section is met, then the 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).  

(D) Audit decertification.  The Administrator may issue a notice of disapproval of the certification status of a monitor in accordance with §97.732(b).

(v) Procedures for loss of certification.  If the Administrator issues a notice of disapproval of a certification application under paragraph (d)(3)(iv)(C) of this section or a notice of disapproval of certification status under paragraph (d)(3)(iv)(D) of this section, then:

(A) The owner or operator shall substitute the following values, for each disapproved monitoring system, for each hour of unit operation during the period of invalid data specified under §75.20(a)(4)(iii), §75.20(g)(7), or §75.21(e) of this chapter and continuing until the applicable date and hour specified under §75.20(a)(5)(i) or (g)(7) of this chapter:

(1) For a disapproved SO2 pollutant concentration monitor and disapproved flow monitor, respectively, the maximum potential concentration of SO2 and the maximum potential flow rate, as defined in sections 2.1.1.1 and 2.1.4.1 of appendix A to part 75 of this chapter.

(2) For a disapproved moisture monitoring system and disapproved diluent gas monitoring system, respectively, the minimum potential moisture percentage and either the maximum potential CO2 concentration or the minimum potential O2 concentration (as applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of appendix A to part 75 of this chapter.

(3) For a disapproved fuel flowmeter system, the maximum potential fuel flow rate, as defined in section 2.4.2.1 of appendix D to part 75 of this chapter.

(B) The designated representative shall submit a notification of certification retest dates and a new certification application in accordance with paragraphs (d)(3)(i) and (ii) of this section.

(C) The owner or operator shall repeat all certification tests or other requirements that were failed by the monitoring system, as indicated in the Administrator's notice of disapproval, no later than 30 unit operating days after the date of issuance of the notice of disapproval.

(e) The owner or operator of a unit qualified to use the low mass emissions (LME) excepted methodology under §75.19 of this chapter shall meet the applicable certification and recertification requirements in §§75.19(a)(2) and 75.20(h) of this chapter.  If the owner or operator of such a unit elects to certify a fuel flowmeter system for heat input determination, the owner or operator shall also meet the certification and recertification requirements in §75.20(g) of this chapter.

(f) The designated representative of each unit 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 notification and application procedures of §75.20(f) of this chapter.
§ 97.732  Monitoring system out-of-control periods.
(a) General provisions.  Whenever any monitoring system fails to meet the quality-assurance and quality-control requirements or data validation requirements of part 75 of this chapter, data shall be substituted using the applicable missing data procedures in subpart D or appendix D to part 75 of this chapter.

(b) Audit decertification.  Whenever both an audit of a monitoring system and a review of the initial certification or recertification application reveal that any monitoring system should not have been certified or recertified because it did not meet a particular performance specification or other requirement under §97.731 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 monitoring system. For the purposes of this paragraph, an audit shall be either a field audit or an audit of any information submitted to the Administrator or any State or permitting authority.  By issuing the notice of disapproval, the Administrator revokes prospectively the certification status of the monitoring system.  The data measured and recorded by the monitoring system shall not be considered valid quality-assured data from the date of issuance of the notification of the revoked certification status until the date and time that the owner or operator completes subsequently approved initial certification or recertification tests for the monitoring system.  The owner or operator shall follow the applicable initial certification or recertification procedures in §97.731 for each disapproved monitoring system.
§ 97.733  Notifications concerning monitoring.
The designated representative of a TR SO2 Group 2 unit shall submit written notice to the Administrator in accordance with §75.61 of this chapter.
§ 97.734  Recordkeeping and reporting.
(a) General provisions.  The designated representative shall comply with all recordkeeping and reporting requirements in paragraphs (b) through (e) of this section, the applicable recordkeeping and reporting requirements in subparts F and G of part 75 of this chapter, and the requirements of §97.714(a).

(b) Monitoring plans.  The owner or operator of a TR SO2 Group 2 unit shall comply with requirements of §75.62 of this chapter.  

(c) Certification applications.  The designated representative shall submit an application to the Administrator within 45 days after completing all initial certification or recertification tests required under §97.731, including the information required under §75.63 of this chapter.

(d) Quarterly reports.  The designated representative shall submit quarterly reports, as follows:

(1) The designated representative shall report the SO2 mass emissions data and heat input data for the TR SO2 Group 2 unit, in an electronic quarterly report in a format prescribed by the Administrator, for each calendar quarter beginning with:

(i) For a unit that commences commercial operation before July 1, 2011, the calendar quarter covering January 1, 2012 through March 31, 2012; or

(ii) For a unit that commences commercial operation on or after July 1, 2011, the calendar quarter corresponding to the earlier of the date of provisional certification or the applicable deadline for initial certification under §97.730(b), unless that quarter is the third or fourth quarter of 2011, in which case reporting shall commence in the quarter covering January 1, 2012 through March 31, 2012. 
(2) The designated representative shall submit each quarterly report to the Administrator within 30 days after the end of the calendar quarter covered by the report. Quarterly reports shall be submitted in the manner specified in §75.64 of this chapter.

(3) For TR SO2 Group 2 units that are also subject to the Acid Rain Program, TR NOX Annual Trading Program, or TR NOX Ozone Season Trading Program, quarterly reports shall include the applicable data and information required by subparts F through H of part 75 of this chapter as applicable, in addition to the SO2 mass emission data, heat input data, and other information required by this subpart.

(4) The Administrator may review and conduct independent audits of any quarterly report in order to determine whether the quarterly report meets the requirements of this subpart and part 75 of this chapter, including the requirement to use substitute data.  
(i) The Administrator will notify the designated representative of any determination that the quarterly report fails to meet any such requirements and specify in such notification any corrections that the Administrator believes are necessary to make through resubmission of the quarterly report and a reasonable time period within which the designated representative must respond.  Upon request by the designated representative, the Administrator may specify reasonable extensions of such time period.  Within the time period (including any such extensions) specified by the Administrator, the designated representative shall resubmit the quarterly report with the corrections specified by the Administrator, except to the extent the designated representative provides information demonstrating that a specified correction is not necessary because the quarterly report already meets the requirements of this subpart and part 75 of this chapter that are relevant to the specified correction.
(ii) Any resubmission of a quarterly report shall meet the requirements applicable to the submission of a quarterly report under this subpart and part 75 of this chapter, except for the deadline set forth in paragraph (d)(2) of this section.
(e) Compliance certification.  The designated representative shall submit to the Administrator a compliance certification (in a format prescribed by the Administrator) in support of each quarterly report based on reasonable inquiry of those persons with primary responsibility for ensuring that all of the unit's emissions are correctly and fully monitored.  The certification shall state that:

(1) The monitoring data submitted were recorded in accordance with the applicable requirements of this subpart and part 75 of this chapter, including the quality assurance procedures and specifications; and

(2) For a unit with add-on SO2 emission controls and for all hours where SO2 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 to part 75 of this chapter and the substitute data values do not systematically underestimate SO2 emissions.
§ 97.735  Petitions for alternatives to monitoring, recordkeeping, or reporting requirements.
(a) The designated representative of a TR SO2 Group 2 unit may submit a petition under §75.66 of this chapter to the Administrator, requesting approval to apply an alternative to any requirement of §§97.730 through 97.734.  
(b) A petition submitted under paragraph (a) of this section shall include sufficient information for the evaluation of the petition, including, at a minimum, the following information:
(i) Identification of each unit and source covered by the petition;
(ii) A detailed explanation of why the proposed alternative is being suggested in lieu of the requirement;
(iii) A description and diagram of any equipment and procedures used in the proposed alternative;
(iv) A demonstration that the proposed alternative is consistent with the purposes of the requirement for which the alternative is proposed and with the purposes of this subpart and part 75 of this chapter and that any adverse effect of approving the alternative will be de minimis; and
(v) Any other relevant information that the Administrator may require.  
(c) Use of an alternative to any requirement referenced in paragraph (a) of this section is in accordance with this subpart only to the extent that the petition is approved in writing by the Administrator and that such use is in accordance with such approval.
