allowances in such account for completion of the deduction.
    (3) If the Administrator already recorded such TR NOX
Annual allowances under Sec.  97.421 and if the Administrator makes
such determination after making deductions for the source that includes
such recipient under Sec.  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.
    (4) The Administrator will transfer the TR NOX Annual
allowances that are not recorded, or that are deducted, in accordance
with paragraphs (c)(1) and (2) of this section to the new unit set-
aside, for the State in which such recipient is located, for the
control period in the year of such transfer if the notice required in
paragraph (b)(1) of this section for the control period in that year
has not been promulgated or, if such notice has been promulgated, in
the next year.

Sec.  97.412  TR NOX Annual allowance allocations for new units.

    (a) For each control period in 2012 and thereafter, the
Administrator will allocate, in accordance with the following
procedures, TR NOX Annual allowances to TR NOX
Annual units in a State that are not listed in appendix A to this
subpart, to TR NOX Annual units that are so listed and whose
allocation of NOX Annual allowances for such control period
is covered by Sec.  97.411(c)(1) or (2), and to TR NOX
Annual units that are so listed and, pursuant to Sec.  97.411(a)(2),
are not allocated TR NOX Annual allowances for such control
period but operate during the immediately preceding control period:
    (1) The Administrator will establish a separate new unit set-aside
for each State for each control period in a given year. Each 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 Sec.  97.410(a). Each new unit set-aside will
be allocated additional TR NOX Annual allowances in
accordance with Sec.  97.411(a)(2) and (c)(4).
    (2) The designated representative of such TR NOX Annual
unit may submit to the Administrator a request, in a format prescribed
by the Administrator, to be allocated TR NOX Annual
allowances for a control period, starting with the later of the control
period in 2012, the first control period after the control period in
which the TR NOX Annual unit commences commercial operation
(for a unit not listed in appendix A to this subpart), or the first
control period after the control period in which the unit resumes
operation (for a unit listed in appendix A of this subpart) and for
each subsequent control period.
    (i) The request must be submitted on or before May 1 of the first
control period for which TR NOX Annual allowances are sought
and after the date on which the TR NOX Annual unit commences
commercial operation (for a unit not listed in appendix A of this
subpart) or on which the unit resumes operation (for a unit listed in
appendix A of this subpart).
    (ii) For each control period for which an allocation is sought, the
request must be for TR NOX Annual allowances in an amount
equal to the unit's total tons of NOX emissions during the
immediately preceding control period.
    (3) The Administrator will review each TR NOX Annual
allowance allocation request under paragraph (a)(2) of this section and
will accept the request only if it meets the requirements of paragraph
(a)(2) of this section. The Administrator will allocate TR
NOX Annual allowances for each control period pursuant to an
accepted request as follows:
    (i) After May 1 of such control period, the Administrator will
determine the sum of the TR NOX Annual allowances requested
in all accepted allowance allocation requests for such control period.
    (ii) If the amount of TR NOX Annual allowances in the
new unit set-aside for such control period is greater than or equal to
the sum under paragraph (a)(3)(i) of this section, then the
Administrator will allocate the amount of TR NOX Annual
allowances requested to each TR NOX Annual unit covered by
an accepted allowance allocation request.
    (iii) If the amount of TR NOX Annual allowances in the
new unit set-aside for such control period is less than the sum under
paragraph (a)(3)(i) of this section, then the Administrator will
allocate to each TR NOX Annual unit covered by an accepted
allowance allocation request the amount of the TR NOX Annual
allowances requested, multiplied by the amount of TR NOX
Annual allowances in the new unit set-aside for such control period,
divided by the sum determined under paragraph (a)(3)(i) of this
section, and rounded to the nearest allowance.
    (iv) The Administrator will notify, through the promulgation of the
notices of data availability described in Sec.  97.411(b), each
designated representative that submitted an allowance allocation
request of the amount of TR NOX Annual allowances (if any)
allocated for such control period to the TR NOX Annual unit
covered by the request.
    (b) If, after completion of the procedures under paragraph (a)(4)
of this section for a control period, any unallocated TR NOX
Annual allowances remain in the new unit set-aside under paragraph (a)
of this section for a State for such control period, the Administrator
will allocate to each TR

NOX Annual unit that is in the State, is listed in appendix
A to this subpart, and continues to be allocated TR NOX
Annual allowances for such control period in accordance with Sec.
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 Sec.  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 amount of tons in such
new unit set-aside, and rounded to the nearest allowance.

Sec.  97.413  Authorization of designated representative and alternate
designated representative.

    (a) Except as provided under Sec.  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 Sec.  97.416(a)(4)(iii).
    (2) Upon and after receipt by the Administrator of a complete
certificate of representation under Sec.  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 Sec.  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 Sec.  97.416(a)(4)(iii).
    (2) Upon and after receipt by the Administrator of a complete
certificate of representation under Sec.  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, Sec.  97.402, and Sec. Sec.  97.414
through 97.418, whenever the term ``designated representative'' is used
in this subpart, the term shall be construed to include the designated
representative or any alternate designated representative.

Sec.  97.414  Responsibilities of designated representative and
alternate designated representative.

    (a) Except as provided under Sec.  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 Sec.  97.418.

Sec.  97.415  Changing designated representative and alternate
designated representative; changes in owners and operators.

    (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 Sec.  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 Sec.  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 is not included in the list of owners and operators in the
certificate of representation under Sec.  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,
including the addition of a new

owner or operator, the designated representative or any alternate
designated representative shall submit a revision to the certificate of
representation under Sec.  97.416 amending the list of owners and
operators to include the change.

Sec.  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, and actual or projected date of commencement of
commercial operation.
    (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 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.

Sec.  97.417  Objections concerning designated representative and
alternate designated representative.

    (a) Once a complete certificate of representation under Sec.
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 Sec.  97.416 is received
by the Administrator.
    (b) Except as provided in Sec.  97.415(a) or (b), 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.

Sec.  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 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 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.

Sec.  97.419  [Reserved]

Sec.  97.420  Establishment of Allowance Management System accounts.

    (a) Compliance accounts. Upon receipt of a complete certificate of
representation under Sec.  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) 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 order or decision 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 order or decision issued to the authorized account
representative or alternate authorized account representative by the
Administrator regarding the general account.
    (ii) Except as provided in paragraph (b)(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 (b)(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 (b)(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 of a new 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 (b)(1) of this
section has been submitted and received, the Administrator will rely on
the application unless and until a superseding complete application for
a general account under paragraph (b)(1) of this section is received by
the Administrator.
    (ii) Except as provided in paragraph (b)(3)(i) or (ii) of this
section, no objection or other communication submitted to the
Administrator concerning the authorization, or any representation,
action, inaction, or submission of the 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 make an electronic
submission to the Administrator in accordance with paragraph (b)(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 as an ``agent'');
    (C) For each such natural person, a list of the type or types of
electronic submissions under paragraph (b)(5)(i) or (ii) of this
section for which authority is delegated to him or her;
    (D) The following certification statement by such 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(b)(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(b)(5)(iv), I agree to maintain an e-mail
account and to notify the Administrator immediately of any change in my
e-mail address unless all delegation of authority by me under 40 CFR
97.420(b)(5) is terminated.''.
    (iv) A notice of delegation submitted under paragraph (b)(5)(iii)
of this section shall be effective, with regard to the 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 (b)(5)(iii)(D) of this section and made in accordance with a
notice of delegation effective under paragraph (b)(5)(iv) of this
section shall be deemed to be an electronic submission by the
designated

representative or alternate designated representative submitting such
notice of delegation.
    (6)(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 Sec.  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 20 business days after
the notice is sent. The account will be closed after the 20-day period
unless, before the end of the 20-day period, the Administrator receives
a correctly submitted TR NOX Annual allowance transfer under
Sec.  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.
    (c) Account identification. The Administrator will assign a unique
identifying number to each account established under paragraph (a) or
(b) of this section.
    (d) Responsibilities of authorized account representative and
alternate authorized account representative. After the establishment of
an Allowance Management System 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 Sec. Sec.
97.414(a) and 97.418 or paragraphs (b)(2)(ii) and (b)(5) of this
section.

Sec.  97.421  Recordation of TR NOX Annual allowance allocations.

    (a) By September 1, 2011, the Administrator will record in each TR
NOX Annual source's compliance account the TR NOX
Annual allowances allocated for the TR NOX Annual units at
the source in accordance with Sec. Sec.  97.411(a) for the control
periods in 2012, 2013, and 2014.
    (b) By June 1, 2012 and June 1 of each year thereafter, the
Administrator will record in each TR NOX Annual source's
compliance account the TR NOX Annual allowances allocated
for the TR NOX Annual units at the source in accordance with
Sec.  97.411(a) for the control period in the third year after the year
of the applicable recordation deadline under this paragraph.
    (c) By September 1, 2012 and September 1 of each year thereafter,
the Administrator will record in each TR NOX Annual source's
compliance account the TR NOX Annual allowances allocated
for the TR NOX Annual units at the source in accordance with
Sec.  97.412 for the control period in the year of the applicable
recordation deadline under this paragraph.
    (d) When recording the allocation of TR NOX Annual
allowances for a TR NOX Annual unit in a compliance 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.

Sec.  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.

Sec.  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, 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 by
the request, provided that the transfer is correctly submitted under
Sec.  97.422.
    (b)(1) A TR NOX Annual allowance transfer 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 under Sec.  97.424 for the control period
immediately before such allowance transfer deadline.
    (2) A TR NOX Annual allowance transfer that is submitted
for recordation after the deadline for holding TR NOX Annual
allowances described in Sec.  97.425(b)(5) and that includes any TR
NOX Annual allowances allocated for a control period before
the year of such deadline will not be recorded until after the
Administrator completes the deductions under Sec.  97.425 for the
control period immediately before the year of such deadline.
    (c) Where a TR NOX Annual allowance transfer is not
correctly submitted under Sec.  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 Sec.
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.

Sec.  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 the control period in the year or 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 Sec.  97.423, of TR NOX Annual allowance transfers
submitted by the allowance transfer deadline for a control period, the
Administrator will deduct from the 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 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 (FIFO) 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
the control period 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.

Sec.  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 an
owner of one or more TR NOX Annual units in a State only if
the TR NOX Annual allowances:
    (1) Were allocated for the control period in the year or a prior
year; and
    (2) Are held in a compliance account, designated by the owner in
accordance with paragraph (b)(4)(ii) of this section, of one of the
owner's TR NOX Annual sources in the State as of the
deadline established in paragraph (b)(5) 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, 2015 and June 1 of each year thereafter, the
Administrator will:
    (i) Calculate, separately for each State, the total amount of
NOX emissions from all TR NOX Annual units in the
State during the control period in the year before the year of this
calculation deadline and the amount, if any, by which such total amount
of NOX emissions exceeds the State assurance level as
described in Sec.  97.406(c)(2)(iii); and
    (ii) Promulgate a notice of availability of the results of the
calculations required in paragraph (b)(1)(i) of this section, including
separate calculations of the NOX emissions for each TR
NOX Annual unit and of the amounts described in Sec. Sec.
97.406(c)(2)(iii)(A) and (B) for each State.
    (2) The Administrator will provide an opportunity for submission of
objections to the calculations referenced by each notice described in
paragraph (b)(1) of this section.
    (i) Objections shall be submitted by the deadline specified in such
notice and shall be limited to addressing whether the calculations for
each TR NOX Annual unit and each State for the control
period in the year involved are in accordance with Sec.
97.406(c)(2)(iii) and Sec. Sec.  97.406(b) and 97.430 through 97.435.
    (ii) 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)(i) of this section. By August 1
immediately after the promulgation of such notice, the Administrator
will promulgate a notice of 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)(i) of this section.
    (3) For each notice of data availability required in paragraph
(b)(2)(ii) of this section and for any State identified in such notice
as having TR NOX Annual sources with total NOX
emissions exceeding the State assurance level for a control period, as
described in Sec.  97.406(c)(2)(iii):
    (i) By August 15 immediately after the promulgation of such notice,
the designated representative of each TR NOX Annual source
in each such State shall submit a statement, in a format prescribed by
the Administrator:
    (A) Listing all the owners of each TR NOX Annual unit at
the source, explaining how the selection of each owner for inclusion on
the list is consistent with the definition of ``owner'' in Sec.
97.402, and listing, separately for each unit, the percentage of the
legal, equitable, leasehold, or contractual reservation or entitlement
for each such owner as of midnight of December 31 of the control period
in the year involved; and
    (B) For each TR NOX Annual unit at the source that
operates during, but is allocated no TR NOX Annual
allowances for, the control period in the year involved, identifying
whether the unit is a coal-fired boiler, simple combustion turbine, or
combined cycle turbine cycle and providing the unit's allowable
NOX emission rate for such control period.
    (ii) By September 15 immediately after the promulgation of such
notice, the Administrator will calculate, for each such State and each
owner of one or more TR NOX Annual units in the State and
for the control period in the year involved, each owner's share of the
total NOX emissions from all TR NOX Annual units
in the State, each owner's assurance level, and the amount (if any) of
TR NOX Annual allowances that each owner must hold in
accordance with the calculation formula in Sec.  97.406(c)(2)(i) and
will promulgate a notice of 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)(3)(ii) of this section.
    (A) Objections shall be submitted by the deadline specified in such
notice and shall be limited to addressing whether the calculations for
each owner for the control period in the year involved are consistent
with the NOX emissions for the relevant TR NOX
Annual units as set forth in the notice required in paragraph
(b)(2)(ii) of this section, the definitions of ``owner'', ``owner's
assurance level'', and ``owner's share'' in Sec.  97.402, and the
calculation formula in Sec.  97.406(c)(2)(i) and shall not raise any
issues about any data used in the notice of data availability required
in paragraph (b)(2)(ii) of this section.
    (B) The Administrator will adjust the calculations to the extent
necessary to ensure that they are consistent with the data and
provisions referenced in paragraph (b)(3)(iii)(A) of this section. By
November 15 immediately after the promulgation of such notice, the
Administrator will promulgate a notice of 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)(3)(iii)(A) of this section.
    (4) By December 1 immediately after the promulgation of each notice
of data availability required in paragraph (b)(3)(iii)(B) of this
section:
    (i) Each owner identified, in such notice, as owning one or more TR
NOX Annual units in a State and as being required to hold TR
NOX Annual allowances shall designate the compliance account
of one of the sources at which such unit or units are located to hold
such required TR NOX Annual allowances;
    (ii) The authorized account representative for the compliance
account designated under paragraph (b)(4)(i) of this section shall
submit to the Administrator a statement, in a format prescribed by the
Administrator, making this designation.
    (5)(i) As of midnight of December 15 immediately after the
promulgation of each notice of data availability required in paragraph
(b)(3)(iii)(B) of this section, each owner described in paragraph
(b)(4)(i) of this section shall hold in the compliance account
designated by the owner in accordance with paragraph (b)(4)(ii) of this
section the total amount of TR NOX Annual allowances,
available for deduction under paragraph (a) of this section, equal to
the amount the owner is required to hold as calculated by the
Administrator and referenced in such notice.
    (ii) Notwithstanding the allowance-holding deadline specified in
paragraph (b)(5)(i) of this section, if December 15 is not a business
day, then such allowance-holding deadline shall be midnight of the
first business day thereafter.
    (6) After December 15 (or the date described in paragraph
(b)(5)(ii) of this section) immediately after the promulgation of each
notice of data availability required in paragraph (b)(3)(iii)(B) of
this section and after the recordation, in accordance with Sec.
97.423, of TR NOX Annual allowance transfers submitted by
midnight of such date, the Administrator will deduct from each
compliance account designated in accordance with paragraph (b)(4)(ii)
of this section, TR NOX Annual allowances available under
paragraph (a) of this section, as follows:
    (i) Until the amount of TR NOX Annual allowances
deducted equals the amount that the owner designating the compliance
account is required to hold as calculated by the Administrator and
referenced in the notice required in paragraph (b)(3)(iii)(B) of this
section; or
    (ii) If there are insufficient TR NOX Annual allowances
to complete the deductions in paragraph (b)(6)(i) of this section,
until no more TR NOX Annual allowances available under
paragraph (a) of this section remain in the compliance account.
    (7) Notwithstanding any other provision of this subpart and any
revision, made by or submitted to the Administrator after the
promulgation of the notices of data availability required in paragraphs
(b)(2)(ii) and (b)(3)(iii)(B) of this section respectively for a
control period, of any data used in making the calculations referenced
in such notice, the amount of TR NOX Annual allowances that
each owner is required to hold in accordance with Sec.  97.406(c)(2)(i)
for the control period in the year involved shall continue to be such
amount as calculated by the Administrator and referenced in such notice
required in paragraph (b)(3)(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 are required to hold in
accordance with the calculation formula in Sec.  97.406(c)(2)(i) for
the control period in the year involved with regard to the State
involved, provided that--
    (A) With regard to such litigation involving such notice required
in paragraph (b)(2)(ii) of this section, 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)(ii) of this
section; and
    (B) With regard to such litigation involving such notice required
in paragraph (b)(3)(iii) of this section, 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)(3)(iii) of this
section.
    (ii) If any such data are revised by the owners and operators of a
source whose designated representative submitted such data under
paragraph (b)(3)(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 are required
to hold in accordance with the calculation formula in Sec.
97.406(c)(2)(i) for the control period in the year involved with regard
to the State involved, provided that such litigation was initiated no
later than 30 days after promulgation of such notice required in
paragraph (b)(3)(iii)(B) of this section.
    (iii) If the revised data are used to recalculate, in accordance
with paragraphs (b)(7)(i) and (b)(7)(ii) of this section, the amount of
TR NOX Annual allowances that an owner is required to hold
for the control period in the year involved with regard to the State
involved-
    (A) Where the amount of TR NOX Annual allowances that an
owner is 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 owner shall hold the additional amount of TR
NOX Annual allowances in the compliance account designated
by the owner in accordance with paragraph (b)(4)(ii) of this section.
The owner's failure to hold such additional amount, as required, before
the new deadline shall not be a violation of the Clean Air Act. The
owner's 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 owner fails to hold as
required as of the new deadline, and each day in the control period in
the

year involved, shall be a separate violation of the Clean Air Act.
After such deadline, the Administrator will make the appropriate
deductions from the compliance account.
    (B) For an owner 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 the compliance
account that the owner designated in accordance with paragraph
(b)(4)(ii) of this section, an amount of TR NOX Annual
allowances equal to the amount of the decrease to the extent such
amount was previously deducted from the compliance account under
paragraph (b)(6) of this section (and has not already been restored to
the compliance account) for the control period in the year involved.
    (C) Each TR NOX Annual allowance held and deducted under
paragraph (b)(7)(iii)(A) of this section, or recorded under paragraph
(b)(7)(iii)(B) of this section, as a result of recalculation of
requirements under the TR NOX Annual assurance provisions
for a control period in a given year must be a TR NOX Annual
allowance allocated for a control period in the same or a prior year.
    (c)(1) Identification of TR NOX Annual allowances by serial number.
The authorized account representative for each source's compliance
account designated in accordance with paragraph (b)(4)(ii) of this
section may request that specific TR NOX Annual allowances,
identified by serial number, in the compliance account be deducted in
accordance with paragraph (b)(6) or (7) of this section. In order to be
complete, such request shall be submitted to the Administrator by the
allowance-holding deadline described in paragraph (b)(5) of this
section and include, in a format prescribed by the Administrator, the
identification of the compliance account and the appropriate serial
numbers.
    (2) First-in, first-out. The Administrator will deduct TR
NOX Annual allowances under paragraphs (b)(6) and (7) of
this section from each source's compliance account designated under
paragraph (b)(4)(ii) of this section 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 (FIFO) 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) Recordation of deductions. The Administrator will record in the
appropriate compliance account all deductions from such an account
under paragraph (b) of this section.

Sec.  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 Sec.  97.411(c), Sec.  97.423, Sec.  97.424, Sec.
97.425, 97.427, 97.428, 97.442, or 97.443.

Sec.  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.

Sec.  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
source's compliance account based on the information in a submission,
as adjusted under paragraph (a)(1) of this section, and record such
deductions and transfers.

Sec.  97.429  [Reserved]

Sec.  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 Sec.
97.402 and in Sec.  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 Sec.
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 Sec.  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 Sec. Sec.  75.71 and 75.72
of this chapter);
    (2) Successfully complete all certification tests required under
Sec.  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, whichever occurs first, after the date on
which the unit commences commercial operation;
    (3) For 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, by 90 unit operating days or 180
calendar days, whichever occurs first, after the date on which
emissions first exit to the atmosphere through the new stack or flue or
add-on NOX emissions controls;
    (4) Notwithstanding the dates in paragraphs (b)(1) and (2) of this
section, for the owner or operator of a unit for which a TR opt-in
application is submitted and not withdrawn and is not yet approved or
disapproved, by the date specified in Sec.  97.441(c); and
    (5) Notwithstanding the dates in paragraphs (b)(1) and (2) of this
section, for the owner or operator of a TR NOX Annual opt-in
unit, by the date on which the TR NOX Annual opt-in unit
enters the TR NOX Annual Trading Program as provided in
Sec.  97.441(h).
    (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 Sec.  75.31(b)(2) or (c)(3) of this chapter, section 2.4 of
appendix D to part 75 of this chapter, or section 2.5 of appendix E to
part 75 of this chapter, as applicable.
    (d) Prohibitions. (1) No owner or operator of a 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 Sec.  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 emissions to the atmosphere without accounting for all
such emissions in accordance with the applicable provisions of this
subpart and part 75 of this chapter.
    (3) No owner or operator of a 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 emissions discharged into
the atmosphere or heat input, except for periods of recertification or
periods when calibration, quality assurance testing, or maintenance is
performed in accordance with the applicable provisions of this subpart
and part 75 of this chapter.
    (4) No owner or operator of a 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 Sec.  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 Sec.
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
Sec.  75.4(d) of this chapter concerning units in long-term cold
storage.

Sec.  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 Sec.  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 Sec.  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 Sec.  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
Sec.  75.17(a) or (b) of this chapter for apportioning the
NOX emission rate measured in a common stack or a petition
under Sec.  75.66 of this chapter for an alternative to a requirement
in Sec.  75.12 or Sec.  75.17 of this chapter, the designated
representative shall resubmit the petition to the Administrator under
Sec.  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 Sec.  97.430(a)(1). The owner or
operator of a unit that qualifies to use the low mass emissions
excepted monitoring methodology under Sec.  75.19 of this chapter or
that qualifies to use an alternative monitoring system under subpart E
of part 75 of this chapter shall comply with the procedures in
paragraph (e) or (f) of this section respectively.
    (1) Requirements for initial certification. The owner or operator
shall ensure that each continuous monitoring system under Sec.
97.430(a)(1) (including the automated data acquisition and handling
system) successfully completes all of the initial certification testing
required under Sec.  75.20 of this chapter by the applicable deadline
in Sec.  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 Sec.  75.20 of this chapter is required.
    (2) Requirements for recertification. Whenever the owner or
operator makes a replacement, modification, or change in any certified
continuous emission monitoring system under Sec.  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 Sec.  75.21 of
this chapter or appendix B to part 75 of this chapter, the owner or
operator shall recertify the monitoring system in accordance with Sec.
75.20(b) of this chapter. Furthermore, whenever the owner or operator
makes a replacement, modification, or change to the flue gas handling
system or the unit's operation that may significantly change the stack
flow or concentration profile, the owner or operator shall recertify
each continuous emission monitoring system whose accuracy is
potentially affected by the change, in accordance with Sec.  75.20(b)
of this chapter. Examples of changes to a continuous emission
monitoring system that require recertification include replacement of
the analyzer, complete

replacement of an existing continuous emission monitoring system, or
change in location or orientation of the sampling probe or site. Any
fuel flowmeter system, and any excepted NOX monitoring
system under appendix E to part 75 of this chapter, under Sec.
97.430(a)(1) are subject to the recertification requirements in Sec.
75.20(g)(6) of this chapter.
    (3) Approval process for initial certification and recertification.
For initial certification of a continuous monitoring system under Sec.
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 Sec. Sec.
75.20(b)(5) and (g)(7) of this chapter (in lieu of the procedures in
paragraph (d)(3)(v) of this section) 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 Sec.  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 Sec.  75.63 of this chapter.
    (iii) Provisional certification date. The provisional certification
date for a monitoring system shall be determined in accordance with
Sec.  75.20(a)(3) of this chapter. A provisionally certified monitoring
system may be used under the 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. The 120-day
review period specified in paragraph (d)(3) of this section shall not
begin before receipt of a complete certification application.
    (C) Disapproval notice. If the certification application shows that
any monitoring system does not meet the performance requirements of
part 75 of this chapter or if the certification application is
incomplete and the requirement for disapproval under paragraph
(d)(3)(iv)(B) of this section is met, then the 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 Sec.  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
Sec.  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 Sec.
75.20(a)(4)(iii), Sec.  75.20(g)(7), or Sec.  75.21(e) of this chapter
and continuing until the applicable date and hour specified under Sec.
75.20(a)(5)(i) or (g)(7) of this chapter:
    (1) For a disapproved NOX emission rate (i.e.,
NOX-diluent) system, the maximum potential NOX
emission rate, as defined in Sec.  72.2 of this chapter.
    (2) For a disapproved NOX pollutant concentration
monitor and disapproved flow monitor, respectively, the maximum
potential concentration of NOX and the maximum potential
flow rate, as defined in sections <IP_ADDRESS> and <IP_ADDRESS> 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, <IP_ADDRESS>, and <IP_ADDRESS> 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 <IP_ADDRESS> of appendix D to part 75
of this chapter.
    (5) For a disapproved excepted NOX monitoring system
under appendix E to part 75 of this chapter, the fuel-specific maximum
potential NOX emission rate, as defined in Sec.  72.2 of
this chapter.
    (B) The 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 Sec.  75.19 of this chapter
shall meet the applicable certification and recertification
requirements in Sec. Sec.  75.19(a)(2) and 75.20(h) of this chapter. If
the owner or operator of such

a unit elects to certify a fuel flowmeter system for heat input
determination, the owner or operator shall also meet the certification
and recertification requirements in Sec.  75.20(g) of this chapter.
    (f) 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
Sec.  75.20(f) of this chapter.

Sec.  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 Sec.  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
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 Sec.
97.431 for each disapproved monitoring system.

Sec.  97.433  Notifications concerning monitoring.

    The designated representative of a TR NOX Annual unit
shall submit written notice to the Administrator in accordance with
Sec.  75.61 of this chapter.

Sec.  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 Sec.  75.73 of this chapter, and the requirements of
Sec.  97.414(a).
    (b) Monitoring plans. The owner or operator of a TR NOX
Annual unit shall comply with requirements of Sec.  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 Sec.  97.431, including the information required under Sec.
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;
    (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 Sec.  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;
    (iii) Notwithstanding paragraphs (d)(1)(i) and (ii) of this
section, for a unit for which a TR opt-in application is submitted and
not withdrawn and is not yet approved or disapproved, the calendar
quarter corresponding to the date specified in Sec.  97.441(c); and
    (iv) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section,
for a TR NOX Annual opt-in unit, the calendar quarter
corresponding to the date on which the TR NOX Annual opt-in
unit enters the TR NOX Annual Trading Program as provided in
Sec.  97.441(h).
    (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 Sec.  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
Sec.  75.34(a)(1) of this chapter, the add-on emission controls were
operating within the range of parameters listed in the quality
assurance/quality control program under appendix B to part 75 of this
chapter and the substitute data values do not systematically
underestimate NOX emissions.

Sec.  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 Sec.  75.66 of this chapter to the
Administrator, requesting approval to apply an alternative to any
requirement of Sec. Sec.  97.430 through 97.434 or paragraph (5)(i) or
(ii) of the definition of ``owner's share'' in Sec.  97.402.
    (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.

Sec.  97.440  General requirements for TR NOX Annual opt-in units.

    (a) A TR NOX Annual opt-in unit must be a unit that:
    (1) Is located in a State;
    (2) Is not a TR NOX Annual unit under Sec.  97.404;
    (3) Is not covered by a retired unit exemption under Sec.  72.8 of
this chapter that is in effect; and
    (4) Vents all of its emissions to a stack and can meet the
monitoring, recordkeeping, and reporting requirements of this subpart.
    (b) A TR NOX Annual opt-in unit shall be deemed to be a
TR NOX Annual unit for purposes of applying this subpart,
except for Sec. Sec.  97.405, 97.411, and 97.412.
    (c) Solely for purposes of applying the requirements of Sec. Sec.
97.413 through 97.418 and Sec. Sec.  97.430 through 97.435, a unit for
which a TR opt-in application is submitted and not withdrawn and is not
yet approved or disapproved under Sec.  97.442 shall be deemed to be a
TR NOX Annual unit.
    (d) Any TR NOX Annual opt-in unit, and any unit for
which a TR opt-in application is submitted and not withdrawn and is not
yet approved or disapproved under Sec.  97.442, located at the same
source as one or more TR NOX Annual units shall have the
same designated representative and alternate designated representative
as such TR NOX Annual units.

Sec.  97.441  Opt-In process.

    A unit meeting the requirements for a TR NOX Annual opt-
in unit in Sec.  97.440(a) may become a TR NOX Annual opt-in
unit only if, in accordance with this section, the designated
representative of the unit submits a complete TR opt-in application for
the unit and the Administrator approves the application.
    (a) Applying to opt in. The designated representative of the unit
may submit a complete TR opt-in application for the unit at any time,
except as provided under Sec.  97.442(e). A complete TR opt-in
application shall include the following elements in a format prescribed
by the Administrator:
    (1) Identification of the unit and the source where the unit is
located, 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, and unit identification number and
type;
    (2) A certification that the unit:
    (i) Is not a TR NOX Annual unit under Sec.  97.404;
    (ii) Is not covered by a retired unit exemption under Sec.  72.8 of
this chapter that is in effect;
    (iii) Vents all of its emissions to a stack; and
    (iv) Has documented heat input (greater than 0 mmBtu) for more than
876 hours during the 6 months immediately preceding submission of the
TR opt-in application;
    (3) A monitoring plan in accordance with Sec. Sec.  97.430 through
97.435;
    (4) A statement that the unit, if approved to become a TR
NOX Annual unit under paragraph (g) of this section, may
withdraw from the TR NOX Annual Trading Program only in
accordance with Sec.  97.442;
    (5) A statement that the unit, if approved to become a TR
NOX Annual unit under paragraph (g) of this section, is
subject to, and the owners and operators of the unit must comply with,
the requirements of Sec.  97.443;
    (6) A complete certificate of representation under Sec.  97.416
consistent with Sec.  97.440, if no designated representative has been
previously designated for the source that includes the unit; and
    (7) The signature of the designated representative and the date
signed.
    (b) Interim review of monitoring plan. The Administrator will
determine, on an interim basis, the sufficiency of the monitoring plan
submitted under paragraph (a)(3) of this section. The monitoring plan
is sufficient, for purposes of interim review, if the plan appears to
contain information demonstrating that the NOX emission rate
and heat input of the unit and all other applicable parameters are
monitored and reported in accordance with Sec. Sec.  97.430 through
97.435. A determination of sufficiency shall not be construed as
acceptance or approval of the monitoring plan.
    (c) Monitoring and reporting. (1)(i) If the Administrator
determines that the monitoring plan is sufficient under paragraph (b)
of this section, the owner or operator of the unit shall monitor and
report the NOX emission rate and the heat input of the unit
and all other applicable parameters, in accordance with Sec. Sec.
97.430 through 97.435, starting on the date of certification of the
necessary monitoring systems under Sec. Sec.  97.430 through 97.435 and
continuing until the TR opt-in application submitted under paragraph
(a) of this section is disapproved under this section or, if such TR
opt-in application is approved, the date and time when the unit is
withdrawn from the TR NOX Annual Trading Program in
accordance with Sec.  97.442.
    (ii) The monitoring and reporting under paragraph (c)(1)(i) of this
section shall cover the entire control period immediately before the
date on which the unit enters the TR NOX Annual Trading
Program under paragraph (h) of this section, during which period
monitoring system availability must not

be less than 98 percent under Sec. Sec.  97.430 through 97.435 and the
unit must be in full compliance with any applicable State or Federal
emissions or emissions-related requirements.
    (2) To the extent the NOX emission rate and the heat
input of the unit are monitored and reported in accordance with
Sec. Sec.  97.430 through 97.435 for one or more entire control
periods, in addition to the control period under paragraph (c)(1)(ii)
of this section, during which control periods monitoring system
availability is not less than 98 percent under Sec. Sec.  97.430
through 97.435 and the unit is in full compliance with any applicable
State or Federal emissions or emissions-related requirements and which
control periods begin not more than 3 years before the unit enters the
TR NOX Annual Trading Program under paragraph (h) of this
section, such information shall be used as provided in paragraphs (e)
and (f) of this section.
    (d) Statement on compliance. After submitting to the Administrator
all quarterly reports required for the unit under paragraph (c) of this
section, the designated representative shall submit, in a format
prescribed by the Administrator, to the Administrator a statement that,
for the years covered by such quarterly reports, the unit was in full
compliance with any applicable State or Federal emissions or emissions-
related requirements.
    (e) Baseline heat input. The unit's baseline heat input shall
equal:
    (1) If the unit's NOX emission rate and heat input are
monitored and reported for only one entire control period, in
accordance with paragraph (c) of this section, the unit's total heat
input (in mmBtu) for such control period; or
    (2) If the unit's NOX emission rate and heat input are
monitored and reported for more than one entire control period, in
accordance with paragraph (c) of this section, the average of the
amounts of the unit's total heat input (in mmBtu) for such control
periods.
    (f) Baseline NOX emission rate. The unit's baseline NOX
emission rate shall equal:
    (1) If the unit's NOX emission rate and heat input are
monitored and reported for only one entire control period, in
accordance with paragraph (c) of this section, the unit's
NOX emission rate (in lb/mmBtu) for such control period;
    (2) If the unit's NOX emission rate and heat input are
monitored and reported for more than one entire control period, in
accordance with paragraph (c) of this section, and the unit does not
have add-on NOX emission controls during any such control
periods, the average of the amounts of the unit's NOX
emission rate (in lb/mmBtu) for such control periods; or
    (3) If the unit's NOX emission rate and heat input are
monitored and reported for more than one entire control period, in
accordance with paragraph (c) of this section, and the unit has add-on
NOX emission controls during any such control periods, the
average of the amounts of the unit's NOX emission rate (in
lb/mmBtu) for such control periods during which the unit has add-on
NOX emission controls.
    (g) Review of TR opt-in application.
    (1) After the designated representative submits the complete TR
opt-in application, quarterly reports, and statement required in
paragraphs (a), (c), and (d) of this section and if the Administrator
determines that the designated representative shows that the unit meets
the requirements for a TR NOX Annual opt-in unit in Sec.
97.440, the element certified in paragraph (a)(2)(iv) of this section,
and the monitoring and reporting requirements of paragraph (c) of this
section, the Administrator will issue a written approval of the TR opt-
in application for the unit. The written approval will state the unit's
baseline heat input and baseline NOX emission rate. The
Administrator will thereafter establish a compliance account for the
source that includes the unit unless the source already has a
compliance account.
    (2) Notwithstanding paragraphs (a) through (f) of this section, if,
at any time before the TR opt-in application is approved under
paragraph (g)(1) of this section, the Administrator determines that the
unit cannot meet the requirements for a TR NOX Annual opt-in
unit in Sec.  97.440, the element certified in paragraph (a)(2)(iv) of
this section, or the monitoring and reporting requirements in paragraph
(c) of this section, the Administrator will issue a written disapproval
of the TR opt-in application for the unit.
    (h) Date of entry into TR NOX Annual Trading Program. A unit for
which a TR opt-in application is approved under paragraph (g)(1) of
this section shall become a TR NOX Annual opt-in unit, and a
TR NOX Annual unit, effective as of the later of January 1,
2012 or January 1 of the first control period during which such
approval is issued.

Sec.  97.442  Withdrawal of TR NOX Annual opt-in unit from TR NOX
Annual Trading Program.

    A TR NOX Annual opt-in unit may withdraw from the TR
NOX Annual Trading Program only if, in accordance with this
section, the designated representative of the unit submits a request to
withdraw the unit and the Administrator issues a written approval of
the request.
    (a) Requesting withdrawal. In order to withdraw the TR
NOX Annual opt-in unit from the TR NOX Annual
Trading Program, the designated representative of the unit shall submit
to the Administrator a request to withdraw the unit effective as of
midnight of December 31 of a specified calendar year, which date must
be at least 4 years after December 31 of the year of the unit's entry
into the TR NOX Annual Trading Program under Sec.
97.441(h). The request shall be in a format prescribed by the
Administrator and shall be submitted no later than 90 days before the
requested effective date of withdrawal.
    (b) Conditions for withdrawal. Before a TR NOX Annual
opt-in unit covered by the request to withdraw may withdraw from the TR
NOX Annual Trading Program, the following conditions must be
met:
    (1) For the control period ending on the date on which the
withdrawal is to be effective, the source that includes the TR
NOX Annual opt-in unit must meet the requirement to hold TR
NOX Annual allowances under Sec. Sec.  97.424 and 97.425 and
cannot have any excess emissions.
    (2) After the requirement under paragraph (b)(1) of this section is
met, the Administrator will deduct from the compliance account of the
source that includes the TR NOX Annual opt-in unit TR
NOX Annual allowances equal in amount to and allocated for
the same or a prior control period as any TR NOX Annual
allowances allocated to the TR NOX Annual opt-in unit under
Sec.  97.444 for any control period after the date on which the
withdrawal is to be effective. If there are no other TR NOX
Annual units at the source, the Administrator will close the compliance
account, and the owners and operators of the TR NOX Annual
opt-in unit may submit a TR NOX Annual allowance transfer
for any remaining TR NOX Annual allowances to another
Allowance Management System account in accordance with Sec. Sec.
97.422 and 97.423.
    (c) Approving withdrawal. (1) After the requirements for withdrawal
under paragraphs (a) and (b) of this section are met (including
deduction of the full amount of TR NOX Annual allowances
required), the Administrator will issue a written approval of the
request to withdraw, which will become effective as of midnight on
December 31 of the calendar year for which the withdrawal was
requested. The unit covered by the request shall continue to be a TR
NOX Annual opt-in unit until the effective date of the
withdrawal and shall comply with all requirements under the TR
NOX

Annual Trading Program concerning any control periods for which the
unit is a TR NOX Annual opt-in unit, even if such
requirements arise or must be complied with after the withdrawal takes
effect.
    (2) If the requirements for withdrawal under paragraphs (a) and (b)
of this section are not met, the Administrator will issue a written
disapproval of the request to withdraw. The unit covered by the request
shall continue to be a TR NOX Annual opt-in unit.
    (d) Reapplication upon failure to meet conditions of withdrawal. If
the Administrator disapproves the request to withdraw, the designated
representative of the unit may submit another request to withdraw in
accordance with paragraphs (a) and (b) of this section.
    (e) Ability to reapply to the TR NOX Annual Trading Program. Once a
TR NOX Annual opt-in unit withdraws from the TR
NOX Annual Trading Program, the designated representative
may not submit another opt-in application under Sec.  97.441 for such
unit before the date that is 4 years after the date on which the
withdrawal became effective.

Sec.  97.443  Change in regulatory status.

    (a) Notification. If a TR NOX Annual opt-in unit becomes
a TR NOX Annual unit under Sec.  97.404, then the designated
representative of the unit shall notify the Administrator in writing of
such change in the TR NOX Annual opt-in unit's regulatory
status, within 30 days of such change.
    (b) Administrator's actions. (1) If a TR NOX Annual opt-
in unit becomes a TR NOX Annual unit under Sec.  97.404, the
Administrator will deduct, from the compliance account of the source
that includes the TR NOX Annual opt-in unit that becomes a
TR NOX Annual unit under Sec.  97.404, TR NOX
Annual allowances equal in amount to and allocated for the same or a
prior control period as:
    (i) Any TR NOX Annual allowances allocated to the TR
NOX Annual opt-in unit under Sec.  97.444 for any control
period starting after the date on which the TR NOX Annual
opt-in unit becomes a TR NOX Annual unit under Sec.  97.404;
and
    (ii) If the date on which the TR NOX Annual opt-in unit
becomes a TR NOX Annual unit under Sec.  97.404 is not
December 31, the TR NOX Annual allowances allocated to the
TR NOX Annual opt-in unit under Sec.  97.444 for the control
period that includes the date on which the TR NOX Annual
opt-in unit becomes a TR NOX Annual unit under Sec.
97.404--
    (A) Multiplied by the ratio of the number of days, in the control
period, starting with the date on which the TR NOX Annual
opt-in unit becomes a TR NOX Annual unit under Sec.  97.404,
divided by the total number of days in the control period, and
    (B) Rounded to the nearest allowance.
    (2) The designated representative shall ensure that the compliance
account of the source that includes the TR NOX Annual opt-in
unit that becomes a TR NOX Annual unit under Sec.  97.404
contains the TR NOX Annual allowances necessary for
completion of the deduction under paragraph (b)(1) of this section.
    (3)(i) For control periods starting after the date on which the TR
NOX Annual opt-in unit becomes a TR NOX Annual
unit under Sec.  97.404, the TR NOX Annual opt-in unit will
be allocated TR NOX Annual allowances in accordance with
Sec.  97.412.
    (ii) If the date on which the TR NOX Annual opt-in unit
becomes a TR NOX Annual unit under Sec.  97.404 is not
December 31, the following amount of TR NOX Annual
allowances will be allocated to the TR NOX Annual opt-in
unit (as a TR NOX Annual unit) in accordance with Sec.
97.412 for the control period that includes the date on which the TR
NOX Annual opt-in unit becomes a TR NOX Annual
unit under Sec.  97.404:
    (A) The amount of TR NOX Annual allowances otherwise
allocated to the TR NOX Annual opt-in unit (as a TR
NOX Annual unit) in accordance with Sec.  97.412 for the
control period;
    (B) Multiplied by the ratio of the number of days, in the control
period, starting with the date on which the TR NOX Annual
opt-in unit becomes a TR NOX Annual unit under Sec.  97.404,
divided by the total number of days in the control period; and (C)
Rounded to the nearest allowance.

Sec.  97.444  TR NOX Annual allowance allocations to TR NOX Annual opt-
in units.

    (a) Timing requirements. (1) When the TR opt-in application is
approved for a unit under Sec.  97.441(g), the Administrator will issue
TR NOX Annual allowances and allocate them to the unit for
the control period in which the unit enters the TR NOX
Annual Trading Program under Sec.  97.441(h), in accordance with
paragraph (b) of this section.
    (2) By no later than October 31 of the control period after the
control period in which a TR NOX Annual opt-in unit enters
the TR NOX Annual Trading Program under Sec.  97.441(h) and
October 31 of each year thereafter, the Administrator will issue TR
NOX Annual allowances and allocate them to the TR
NOX Annual opt-in unit for the control period that includes
such allocation deadline and in which the unit is a TR NOX
Annual opt-in unit, in accordance with paragraph (b) of this section.
    (b) Calculation of allocation. For each control period for which a
TR NOX Annual opt-in unit is to be allocated TR
NOX Annual allowances, the Administrator will issue and
allocate TR NOX Annual allowances in accordance with the
following procedures:
    (1) The heat input (in mmBtu) used for calculating the TR
NOX Annual allowance allocation will be the lesser of:
    (i) The TR NOX Annual opt-in unit's baseline heat input
determined under Sec.  97.441(g); or
    (ii) The TR NOX Annual opt-in unit's heat input, as
determined in accordance with Sec. Sec.  97.430 through 97.435, for the
immediately prior control period, except when the allocation is being
calculated for the control period in which the TR NOX Annual
opt-in unit enters the TR NOX Annual Trading Program under
Sec.  97.441(h).
    (2) The NOX emission rate (in lb/mmBtu) used for
calculating TR NOX Annual allowance allocations will be the
lesser of:
    (i) The TR NOX Annual opt-in unit's baseline
NOX emission rate (in lb/mmBtu) determined under Sec.
97.441(g) and multiplied by 70 percent; or
    (ii) The most stringent State or Federal NOX emissions
limitation applicable to the TR NOX Annual opt-in unit at
any time during the control period for which TR NOX Annual
allowances are to be allocated.
    (3) The Administrator will issue TR NOX Annual
allowances and allocate them to the TR NOX Annual opt-in
unit in an amount equaling the heat input under paragraph (b)(1) of
this section, multiplied by the NOX emission rate under
paragraph (b)(2) of this section, divided by 2,000 lb/ton, and rounded
to the nearest allowance.
    (c) Recordation. (1) The Administrator will record, in the
compliance account of the source that includes the TR NOX
Annual opt-in unit, the TR NOX Annual allowances allocated
to the TR NOX Annual opt-in unit under paragraph (a)(1) of
this section.
    (2) By December 1 of the control period after the control period in
which a TR NOX Annual opt-in unit enters the TR
NOX Annual Trading Program under Sec.  97.441(h) and
December 1 of each year thereafter, the Administrator will record, in
the compliance account of the source that includes the TR
NOX Annual opt-in unit, the TR NOX Annual
allowances allocated to the TR NOX

Annual opt-in unit under paragraph (a)(2) of this section.
    36. Part 97 is amended by adding subpart BBBBB to read as follows:
Subpart BBBBB--TR NOX Ozone Season Trading Program
Sec.
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, and variability limits.
97.511 Timing requirements for TR NOX Ozone Season
allowance allocations.
97.512 TR NOX Ozone Season allowance allocations for 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 Allowance Management System 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.
97.540 General requirements for TR NOX Ozone Season opt-
in units.
97.541 Opt-in process.
97.542 Withdrawal of TR NOX Ozone Season opt-in unit from
TR NOX Ozone Season Trading Program.
97.543 Change in regulatory status.
97.544 TR NOX Ozone Season allowance allocations to TR
NOX Ozone Season opt-in units.

Subpart BBBBB--TR NOX Ozone Season Trading Program

Sec.  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 Sec.  52.37(b) of this chapter, as a means of
mitigating interstate transport of fine particulates and nitrogen
oxides.

Sec.  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) 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 of the
amount of such TR NOX Ozone Season allowances to be
initially credited to a TR NOX Ozone Season source or a new
unit set-aside.
    Allowable NOX emission rate means, with regard to a unit, the
NOX emission rate limit 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, held,
deducted, or transferred only as whole allowances. The Allowance
Management System is a component of the CAMD Business System, which is
the system used by the Administrator to handle TR NOX Ozone
Season allowances and data related to NOX emissions.
    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, 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 Sec.  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 Sec.
72.2 of this chapter, Sec.  97.402, Sec.  97.602, or Sec.  97.702
respectively.
    Authorized account representative means, with regard to 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, with regard to 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.
    Certifying official means a natural person who is:
    (1) For a corporation, a president, secretary, treasurer, or vice-
president or the corporation in charge of a principal business function
or any other person who performs similar policy or decision-making
functions for the corporation;
    (2) For a partnership or sole proprietorship, a general partner or
the proprietor respectively; or
    (3) For a local government entity or State, federal, or other
public agency, a principal executive officer or ranking elected
official.
    Clean Air Act means the Clean Air Act, 42 U.S.C. 7401, et seq.
    Coal means any solid fuel classified as anthracite, bituminous,
subbituminous, or lignite.
    Coal-derived fuel means any fuel (whether in a solid, liquid, or
gaseous state) produced by the mechanical, thermal, or chemical
processing of coal.
    Coal-fired means combusting any amount of coal or coal-derived
fuel, alone or in combination with any amount of any other fuel, during
1990 or any year thereafter.
    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--
    (1) Operating as part of a cogeneration system; and
    (2) Producing during the later of 1990 or the 12-month period
starting on the date that the unit first produces electricity and
during each calendar year after the later of 1990 or the calendar year
in which the unit first produces electricity--
    (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 then 42.5 percent of total energy input,
if useful thermal energy produced is 15 percent or more of total energy
output, or not less than 45 percent of total energy input, if useful
thermal energy produced is less than 15 percent of total energy output.
    (ii) For a bottoming-cycle unit, useful power not less than 45
percent of total energy input;
    (3) Provided that the total energy input under paragraphs (2)(i)(B)
and (2)(ii) of this definition shall equal the unit's total energy
input from all fuel, except biomass if the unit is a boiler; and
    (4) Provided that, if a topping-cycle unit is operated as part of a
cogeneration system during a calendar year and the cogeneration system
meets on a system-wide basis the requirement in paragraph (2)(i)(B) of
this definition, the topping-cycle unit shall be deemed to meet such
requirement during that 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 Sec.  97.505.
    (i) For a unit that is a TR NOX Ozone Season unit under
Sec.  97.504 on the later of November 15, 1990 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 (other than replacement of the unit by a unit at the
same source), such date shall remain the date of commencement of
commercial operation of the unit, which shall continue to be treated as
the same unit.
    (ii) For a unit that is a TR NOX Ozone Season unit under
Sec.  97.504 on the later of November 15, 1990 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 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 Sec.  97.505, for a unit that is not a TR NOX
Ozone Season unit under Sec.  97.504 on the later of November 15, 1990
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 Sec.  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 (other than
replacement of the unit by a unit at the same source), such date shall
remain the date of commencement of commercial operation of the unit,
which shall continue to be treated as the same unit.
    (ii) For a unit with a date for commencement of commercial
operation as defined in the introductory text of paragraph (2) of this
definition and that is subsequently replaced by a unit at the same
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.
    Commence operation means, with regard to a unit:
    (1) To have begun any mechanical, chemical, or electronic process,
including start-up of the unit's combustion chamber.
    (2) For a unit that undergoes a physical change (other than
replacement of the unit by a unit at the same source)

after the date the unit commences operation as defined in paragraph (1)
of this definition, such date shall remain the date of commencement of
operation of the unit, which shall continue to be treated as the same
unit.
    (3) For a unit that is replaced by a unit at the same source after
the date the unit commences operation as defined in paragraph (1) of
this definition, such date shall remain the replaced unit's date of
commencement of operation, and the replacement unit shall be treated as
a separate unit with a separate date for commencement of operation as
defined in paragraph (1), (2), or (3) of this definition as
appropriate.
    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 for 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
complying with the source's TR NOX Ozone Season emissions
limitation in accordance with Sec.  97.524 and the TR NOX
Ozone Season assurance provisions in accordance with Sec.  97.525.
    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 Sec. Sec.  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 Sec.  75.11(b)(2)
of this chapter and providing a permanent, continuous record of the
stack gas moisture content, in percent H2O;