president of the corporation in charge of a principal business function
or any other person who performs similar policy- or decision-making
functions for the corporation;
    (2) For a partnership or sole proprietorship, a general partner or
the proprietor respectively; or
    (3) For a local government entity or State, federal, or other
public agency, a principal executive officer or ranking elected
official.
    Clean Air Act means the Clean Air Act, 42 U.S.C. 7401, et seq.
    Coal means ``coal'' as defined in Sec.  72.2 of this chapter.
    Coal-derived fuel means any fuel (whether in a solid, liquid, or
gaseous state) produced by the mechanical, thermal, or chemical
processing of coal.
    Cogeneration system means an integrated group, at a source, of
equipment (including a boiler, or combustion turbine, and a generator)
designed to produce useful thermal energy for industrial, commercial,
heating, or cooling purposes and electricity through the sequential use
of energy.
    Cogeneration unit means a stationary, fossil-fuel-fired boiler or
stationary, fossil-fuel-fired combustion turbine that is a topping-
cycle unit or a bottoming-cycle unit:
    (1) Operating as part of a cogeneration system; and
    (2) Producing on an annual average basis--
    (i) For a topping-cycle unit,
    (A) Useful thermal energy not less than 5 percent of total energy
output; and
    (B) Useful power that, when added to one-half of useful thermal
energy produced, is not less than 42.5 percent of total energy input,
if useful thermal energy produced is 15 percent or more of total energy
output, or not less than 45 percent of total energy input, if useful
thermal energy produced is less than 15 percent of total energy output.
    (ii) For a bottoming-cycle unit, useful power not less than 45
percent of total energy input;
    (3) Provided that the requirements in paragraph (2) of this
definition shall not apply to a calendar year referenced in paragraph
(2) of this definition during which the unit did not operate at all;
    (4) Provided that the total energy input under paragraphs (2)(i)(B)
and (2)(ii) of this definition shall equal the unit's total energy
input from all fuel, except biomass if the unit is a boiler; and
    (5) Provided that, if, throughout its operation during the 12-month
period or a calendar year referenced in paragraph (2) of this
definition, a unit is operated as part of a cogeneration system and the
cogeneration system meets on a system-wide basis the requirement in
paragraph (2)(i)(B) or (2)(ii) of this definition, the unit shall be
deemed to meet such requirement during that 12-month period or calendar
year.

    Combustion turbine means an enclosed device comprising:
    (1) If the device is simple cycle, a compressor, a combustor, and a
turbine and in which the flue gas resulting from the combustion of fuel
in the combustor passes through the turbine, rotating the turbine; and
    (2) If the device is combined cycle, the equipment described in
paragraph (1) of this definition and any associated duct burner, heat
recovery steam generator, and steam turbine.
    Commence commercial operation means, with regard to a unit:
    (1) To have begun to produce steam, gas, or other heated medium
used to generate electricity for sale or use, including test
generation, except as provided in Sec.  97.1005.
    (i) For a unit that is a CSAPR NOX Ozone Season Group 3
unit under Sec.  97.1004 on the later of January 1, 2005 or the date
the unit commences commercial operation as defined in the introductory
text of paragraph (1) of this definition and that subsequently
undergoes a physical change or is moved to a new location or source,
such date shall remain the date of commencement of commercial operation
of the unit, which shall continue to be treated as the same unit.
    (ii) For a unit that is a CSAPR NOX Ozone Season Group 3
unit under Sec.  97.1004 on the later of January 1, 2005 or the date
the unit commences commercial operation as defined in the introductory
text of paragraph (1) of this definition and that is subsequently
replaced by a unit at the same or a different source, such date shall
remain the replaced unit's date of commencement of commercial
operation, and the replacement unit shall be treated as a separate unit
with a separate date for commencement of commercial operation as
defined in paragraph (1) or (2) of this definition as appropriate.
    (2) Notwithstanding paragraph (1) of this definition and except as
provided in Sec.  97.1005, for a unit that is not a CSAPR
NOX Ozone Season Group 3 unit under Sec.  97.1004 on the
later of January 1, 2005 or the date the unit commences commercial
operation as defined in the introductory text of paragraph (1) of this
definition, the unit's date for commencement of commercial operation
shall be the date on which the unit becomes a CSAPR NOX
Ozone Season Group 3 unit under Sec.  97.1004.
    (i) For a unit with a date for commencement of commercial operation
as defined in the introductory text of paragraph (2) of this definition
and that subsequently undergoes a physical change or is moved to a
different location or source, such date shall remain the date of
commencement of commercial operation of the unit, which shall continue
to be treated as the same unit.
    (ii) For a unit with a date for commencement of commercial
operation as defined in the introductory text of paragraph (2) of this
definition and that is subsequently replaced by a unit at the same or a
different source, such date shall remain the replaced unit's date of
commencement of commercial operation, and the replacement unit shall be
treated as a separate unit with a separate date for commencement of
commercial operation as defined in paragraph (1) or (2) of this
definition as appropriate.
    Common designated representative means, with regard to a control
period in a given year, a designated representative where, as of April
1 immediately after the allowance transfer deadline for such a control
period before 2023, or as of July 1 immediately after such deadline for
such a control period in 2023 or thereafter, the same natural person is
authorized under Sec. Sec.  97.1013(a) and 97.1015(a) as the designated
representative for a group of one or more base CSAPR NOX
Ozone Season Group 3 sources and units located in a State (and Indian
country within the borders of such State).
    Common designated representative's assurance level means, with
regard to a specific common designated representative and a State (and
Indian country within the borders of such State) and control period in
a given year for which the State assurance level is exceeded as
described in Sec.  97.1006(c)(2)(iii):
    (1) The amount (rounded to the nearest allowance) equal to the sum
of the total amount of CSAPR NOX Ozone Season Group 3
allowances allocated for such control period to the group of one or
more base CSAPR NOX Ozone Season Group 3 units located in
such State (and such Indian country) and having the common designated
representative for such control period and the total amount of CSAPR
NOX Ozone Season Group 3 allowances purchased by an owner or
operator of such base CSAPR NOX Ozone Season Group 3 units
in an auction for such control period and submitted by the State or the
permitting authority to the Administrator for recordation in the
compliance accounts for such base CSAPR NOX Ozone Season
Group 3 units in accordance with the CSAPR NOX Ozone Season
Group 3 allowance auction provisions in a SIP revision approved by the
Administrator under Sec.  52.38(b)(10), (12), or (13) of this chapter,
multiplied by the sum of the State NOX Ozone Season Group 3
trading budget under Sec.  97.1010(a) and the State's variability limit
under Sec.  97.1010(b) for such control period and divided by the
greater of such State NOX Ozone Season Group 3 trading
budget or the sum of all amounts of CSAPR NOX Ozone Season
Group 3 allowances for such control period treated for purposes of this
definition as having been allocated to or purchased in the State's
auction for all such base CSAPR NOX Ozone Season Group 3
units;
    (2) Provided that--
    (i) For a control period before 2023 only, in the case of a base
CSAPR NOX Ozone Season Group 3 unit that operates during,
but has no amount of CSAPR NOX Ozone Season Group 3
allowances allocated under Sec. Sec.  97.1011 and 97.1012 for, such
control period, the unit shall be treated, solely for purposes of this
definition, as being allocated an amount (rounded to the nearest
allowance) of CSAPR NOX Ozone Season Group 3 allowances for
such control period equal to the unit's allowable NOX
emission rate applicable to such control period, multiplied by a
capacity factor of 0.92 (if the unit is a boiler combusting any amount
of coal or coal-derived fuel during such control period), 0.32 (if the
unit is a simple cycle combustion turbine during such control period),
0.71 (if the unit is a combined cycle combustion turbine during such
control period), 0.73 (if the unit is an integrated coal gasification
combined cycle unit during such control period), or 0.44 (for any other
unit), multiplied by the unit's maximum hourly load as reported in
accordance with this subpart and by 3,672 hours/control period, and
divided by 2,000 lb/ton;
    (ii) The allocations of CSAPR NOX Ozone Season Group 3
allowances for any control period taken into account for purposes of
this definition exclude any CSAPR NOX Ozone Season Group 3
allowances allocated for such control period under Sec.  97.526(c)(3),
under Sec.  97.526(c)(4) or (5) pursuant to an exception under Sec.
97.526(c)(3), under Sec.  97.826(c)(1) or (3), or under Sec.
97.826(c)(4) or (5) pursuant to an exception under Sec.  97.826(c)(1)
or (3);
    (iii) In the case of the base CSAPR NOX Ozone Season
Group 3 units at a base CSAPR NOX Ozone Season Group 3
source in a State with regard to which CSAPR NOX Ozone
Season Group 3 allowances have been allocated under Sec.  97.526(c)(2)
for a given control period, the units at each such source will be
treated, solely for purposes of this definition, as having been
allocated under Sec.  97.526(c)(2), or under

Sec.  97.526(c)(4) or (5) pursuant to an exception under Sec.
97.526(c)(2), an amount of CSAPR NOX Ozone Season Group 3
allowances for such control period equal to the sum of the total amount
of CSAPR NOX Ozone Season Group 1 allowances allocated for
such control period to such units and the total amount of CSAPR
NOX Ozone Season Group 1 allowances purchased by an owner or
operator of such units in an auction for such control period and
submitted by the State or the permitting authority to the Administrator
for recordation in the compliance account for such source in accordance
with the CSAPR NOX Ozone Season Group 1 allowance auction
provisions in a SIP revision approved by the Administrator under Sec.
52.38(b)(4) or (5) of this chapter, divided by the conversion factor
determined under Sec.  97.526(c)(2)(ii) with regard to the State's SIP
revision under Sec.  52.38(b)(10) of this chapter, and rounded up to
the nearest whole allowance;
    (iv) In the case of the base CSAPR NOX Ozone Season
Group 3 units at a base CSAPR NOX Ozone Season Group 3
source in a State with regard to which CSAPR NOX Ozone
Season Group 3 allowances have been allocated under Sec.  97.826(c)(2)
for a given control period, the units at each such source will be
treated, solely for purposes of this definition, as having been
allocated under Sec.  97.826(c)(2), or under Sec.  97.826(c)(4) or (5)
pursuant to an exception under Sec.  97.826(c)(2), an amount of CSAPR
NOX Ozone Season Group 3 allowances for such control period
equal to the sum of the total amount of CSAPR NOX Ozone
Season Group 2 allowances allocated for such control period to such
units and the total amount of CSAPR NOX Ozone Season Group 2
allowances purchased by an owner or operator of such units in an
auction for such control period and submitted by the State or the
permitting authority to the Administrator for recordation in the
compliance account for such source in accordance with the CSAPR
NOX Ozone Season Group 2 allowance auction provisions in a
SIP revision approved by the Administrator under Sec.  52.38(b)(8) or
(9) of this chapter, divided by the conversion factor determined under
Sec.  97.826(c)(2)(ii) with regard to the State's SIP revision under
Sec.  52.38(b)(10) of this chapter, and rounded up to the nearest whole
allowance; and
    (v) For purposes of the calculations under paragraph (1) of this
definition for the control period in 2021 only, for each State the
amount of the State NOX Ozone Season Group 3 trading budget
shall be deemed to be increased by the supplemental amount of CSAPR
NOX Ozone Season Group 3 allowances determined for the State
under Sec.  97.1010(d) and the amount of the State's variability limit
shall be deemed to be increased by the product of the supplemental
amount of CSAPR NOX Ozone Season Group 3 allowances
determined for the State under Sec.  97.1010(d) multiplied by 0.21,
rounded to the nearest allowance;
    Common designated representative's share means, with regard to a
specific common designated representative for a control period in a
given year and a total amount of NOX emissions from all base
CSAPR NOX Ozone Season Group 3 units in a State (and Indian
country within the borders of such State) during such control period,
the total tonnage of NOX emissions during such control
period from the group of one or more base CSAPR NOX Ozone
Season Group 3 units located in such State (and such Indian country)
and having the common designated representative for such control
period.
    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 CSAPR NOX Ozone
Season Group 3 source under this subpart, in which any CSAPR
NOX Ozone Season Group 3 allowance allocations to the CSAPR
NOX Ozone Season Group 3 units at the source are recorded
and in which are held any CSAPR NOX Ozone Season Group 3
allowances available for use for a control period in a given year in
complying with the source's CSAPR NOX Ozone Season Group 3
emissions limitation in accordance with Sec. Sec.  97.1006 and 97.1024.
    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.  97.1030 through 97.1035. 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;
    (5) A CO2 monitoring system, consisting of a
CO2 pollutant concentration monitor (or an O2
monitor plus suitable mathematical equations from which the
CO2 concentration is derived) and an automated data
acquisition and handling system and providing a permanent, continuous
record of CO2 emissions, in percent CO2; and
    (6) An O2 monitoring system, consisting of an
O2 concentration monitor and an automated data acquisition
and handling system and providing a permanent, continuous record of
O2, in percent O2.
    Control period means the period starting May 1 of a calendar year,
except as provided in Sec.  97.1006(c)(3), and ending on September 30
of the same year, inclusive.
    CSAPR NOX Annual Trading Program means a multi-state NOX
air pollution control and emission reduction program established in
accordance with subpart AAAAA of this part and Sec.  52.38(a) of this
chapter (including such a program that is revised in a SIP revision
approved by the Administrator under Sec.  52.38(a)(3) or (4) of this
chapter or that is established in a SIP revision approved by the
Administrator under Sec.  52.38(a)(5) of this chapter), as a means of
mitigating interstate transport of fine particulates and
NOX.
    CSAPR NOX Ozone Season Group 1 allowance means a limited
authorization issued and allocated or auctioned by the Administrator
under subpart BBBBB of this part, or by a State or permitting authority
under a SIP revision approved by the Administrator

under Sec.  52.38(b)(3), (4), or (5) of this chapter, to emit one ton
of NOX during a control period of the specified calendar
year for which the authorization is allocated or auctioned or of any
calendar year thereafter under the CSAPR NOX Ozone Season
Group 1 Trading Program.
    CSAPR NOX Ozone Season Group 1 Trading Program means a multi-state
NOX air pollution control and emission reduction program
established in accordance with subpart BBBBB of this part and Sec.
52.38(b)(1), (b)(2)(i) and (ii), and (b)(3) through (5) and (14)
through (16) of this chapter (including such a program that is revised
in a SIP revision approved by the Administrator under Sec.  52.38(b)(3)
or (4) of this chapter or that is established in a SIP revision
approved by the Administrator under Sec.  52.38(b)(5) of this chapter),
as a means of mitigating interstate transport of ozone and
NOX.
    CSAPR NOX Ozone Season Group 2 allowance means a limited
authorization issued and allocated or auctioned by the Administrator
under subpart EEEEE of this part or Sec.  97.526(c), or by a State or
permitting authority under a SIP revision approved by the Administrator
under Sec.  52.38(b)(6), (7), (8), or (9) of this chapter, to emit one
ton of NOX during a control period of the specified calendar
year for which the authorization is allocated or auctioned or of any
calendar year thereafter under the CSAPR NOX Ozone Season
Group 2 Trading Program.
    CSAPR NOX Ozone Season Group 2 Trading Program means a multi-state
NOX air pollution control and emission reduction program
established in accordance with subpart EEEEE of this part and Sec.
52.38(b)(1), (b)(2)(iii) and (iv), and (b)(6) through (9), (14), (15),
and (17) of this chapter (including such a program that is revised in a
SIP revision approved by the Administrator under Sec.  52.38(b)(7) or
(8) of this chapter or that is established in a SIP revision approved
by the Administrator under Sec.  52.38(b)(6) or (9) of this chapter),
as a means of mitigating interstate transport of ozone and
NOX.
    CSAPR NOX Ozone Season Group 3 allowance means a limited
authorization issued and allocated or auctioned by the Administrator
under this subpart, Sec.  97.526(c), or Sec.  97.826(c), or by a State
or permitting authority under a SIP revision approved by the
Administrator under Sec.  52.38(b)(10), (11), (12), or (13) of this
chapter, to emit one ton of NOX during a control period of
the specified calendar year for which the authorization is allocated or
auctioned or of any calendar year thereafter under the CSAPR
NOX Ozone Season Group 3 Trading Program.
    CSAPR NOX Ozone Season Group 3 allowance deduction or deduct CSAPR
NOX Ozone Season Group 3 allowances means the permanent
withdrawal of CSAPR NOX Ozone Season Group 3 allowances by
the Administrator from a compliance account (e.g., in order to account
for compliance with the CSAPR NOX Ozone Season Group 3
emissions limitation) or from an assurance account (e.g., in order to
account for compliance with the assurance provisions under Sec. Sec.
97.1006 and 97.1025).
    CSAPR NOX Ozone Season Group 3 allowances held or hold CSAPR NOX
Ozone Season Group 3 allowances means the CSAPR NOX Ozone
Season Group 3 allowances treated as included in an Allowance
Management System account as of a specified point in time because at
that time they:
    (1) Have been recorded by the Administrator in the account or
transferred into the account by a correctly submitted, but not yet
recorded, CSAPR NOX Ozone Season Group 3 allowance transfer
in accordance with this subpart; and
    (2) Have not been transferred out of the account by a correctly
submitted, but not yet recorded, CSAPR NOX Ozone Season
Group 3 allowance transfer in accordance with this subpart.
    CSAPR NOX Ozone Season Group 3 emissions limitation means, for a
CSAPR NOX Ozone Season Group 3 source, the tonnage of
NOX emissions authorized in a control period in a given year
by the CSAPR NOX Ozone Season Group 3 allowances available
for deduction for the source under Sec.  97.1024(a) for such control
period.
    CSAPR NOX Ozone Season Group 3 source means a source that includes
one or more CSAPR NOX Ozone Season Group 3 units.
    CSAPR NOX Ozone Season Group 3 Trading Program means a multi-state
NOX air pollution control and emission reduction program
established in accordance with this subpart and Sec.  52.38(b)(1),
(b)(2)(v), and (b)(10) through (15) and (18) of this chapter (including
such a program that is revised in a SIP revision approved by the
Administrator under Sec.  52.38(b)(11) or (12) of this chapter or that
is established in a SIP revision approved by the Administrator under
Sec.  52.38(b)(10) or (13) of this chapter), as a means of mitigating
interstate transport of ozone and NOX.
    CSAPR NOX Ozone Season Group 3 unit means a unit that is subject to
the CSAPR NOX Ozone Season Group 3 Trading Program.
    CSAPR SOX Group 1 Trading Program means a multi-state
SO2 air pollution control and emission reduction program
established in accordance with subpart CCCCC of this part and Sec.
52.39(a), (b), (d) through (f), and (j) through (l) of this chapter
(including such a program that is revised in a SIP revision approved by
the Administrator under Sec.  52.39(d) or (e) of this chapter or that
is established in a SIP revision approved by the Administrator under
Sec.  52.39(f) of this chapter), as a means of mitigating interstate
transport of fine particulates and SO2.
    CSAPR SOX Group 2 Trading Program means a multi-state
SO2 air pollution control and emission reduction program
established in accordance with subpart DDDDD of this part and Sec.
52.39(a), (c), (g) through (k), and (m) of this chapter (including such
a program that is revised in a SIP revision approved by the
Administrator under Sec.  52.39(g) or (h) of this chapter or that is
established in a SIP revision approved by the Administrator under Sec.
52.39(i) of this chapter), as a means of mitigating interstate
transport of fine particulates and SO2.
    Designated representative means, for a CSAPR NOX Ozone
Season Group 3 source and each CSAPR NOX Ozone Season Group
3 unit at the source, the natural person who is authorized by the
owners and operators of the source and all such units at the source, in
accordance with this subpart, to represent and legally bind each owner
and operator in matters pertaining to the CSAPR NOX Ozone
Season Group 3 Trading Program. If the CSAPR NOX Ozone
Season Group 3 source is also subject to the Acid Rain Program, CSAPR
NOX Annual Trading Program, CSAPR SO2 Group 1
Trading Program, or CSAPR SO2 Group 2 Trading Program, then
this natural person shall be the same natural person as the designated
representative as defined in the respective program.
    Emissions means air pollutants exhausted from a unit or source into
the atmosphere, as measured, recorded, and reported to the
Administrator by the designated representative, and as modified by the
Administrator:
    (1) In accordance with this subpart; and
    (2) With regard to a period before the unit or source is required
to measure, record, and report such air pollutants in accordance with
this subpart, in accordance with part 75 of this chapter.
    Excess emissions means any ton of emissions from the CSAPR
NOX Ozone Season Group 3 units at a CSAPR NOX
Ozone Season Group 3 source during a control period in a given year
that

exceeds the CSAPR NOX Ozone Season Group 3 emissions
limitation for the source for such control period.
    Fossil fuel means--
    (1) Natural gas, petroleum, coal, or any form of solid, liquid, or
gaseous fuel derived from such material; or
    (2) For purposes of applying the limitation on ``average annual
fuel consumption of fossil fuel'' in Sec.  97.1004(b)(2)(i)(B) and
(b)(2)(ii), natural gas, petroleum, coal, or any form of solid, liquid,
or gaseous fuel derived from such material for the purpose of creating
useful heat.
    Fossil-fuel-fired means, with regard to a unit, combusting any
amount of fossil fuel in 2005 or any calendar year thereafter.
    General account means an Allowance Management System account,
established under this subpart, that is not a compliance account or an
assurance account.
    Generator means a device that produces electricity.
    Heat input means, for a unit for a specified period of unit
operating time, the product (in mmBtu) of the gross calorific value of
the fuel (in mmBtu/lb) fed into the unit multiplied by the fuel feed
rate (in lb of fuel/time) and unit operating time, as measured,
recorded, and reported to the Administrator by the designated
representative and as modified by the Administrator in accordance with
this subpart and excluding the heat derived from preheated combustion
air, recirculated flue gases, or exhaust.
    Heat input rate means, for a unit, the quotient (in mmBtu/hr) of
the amount of heat input for a specified period of unit operating time
(in mmBtu) divided by unit operating time (in hr) or, for a unit and a
specific fuel, the amount of heat input attributed to the fuel (in
mmBtu) divided by the unit operating time (in hr) during which the unit
combusts the fuel.
    Heat rate means, for a unit, the quotient (in mmBtu/unit of load)
of the unit's maximum design heat input rate (in Btu/hr) divided by the
product of 1,000,000 Btu/mmBtu and the unit's maximum hourly load.
    Indian country means ``Indian country'' as defined in 18 U.S.C.
1151.
    Life-of-the-unit, firm power contractual arrangement means a unit
participation power sales agreement under which a utility or industrial
customer reserves, or is entitled to receive, a specified amount or
percentage of nameplate capacity and associated energy generated by any
specified unit and pays its proportional amount of such unit's total
costs, pursuant to a contract:
    (1) For the life of the unit;
    (2) For a cumulative term of no less than 30 years, including
contracts that permit an election for early termination; or
    (3) For a period no less than 25 years or 70 percent of the
economic useful life of the unit determined as of the time the unit is
built, with option rights to purchase or release some portion of the
nameplate capacity and associated energy generated by the unit at the
end of the period.
    Maximum design heat input rate means, for a unit, the maximum
amount of fuel per hour (in Btu/hr) that the unit is capable of
combusting on a steady state basis as of the initial installation of
the unit as specified by the manufacturer of the unit.
    Monitoring system means any monitoring system that meets the
requirements of this subpart, including a continuous emission
monitoring system, an alternative monitoring system, or an excepted
monitoring system under part 75 of this chapter.
    Nameplate capacity means, starting from the initial installation of
a generator, the maximum electrical generating output (in MWe, rounded
to the nearest tenth) that the generator is capable of producing on a
steady state basis and during continuous operation (when not restricted
by seasonal or other deratings) as of such installation as specified by
the manufacturer of the generator or, starting from the completion of
any subsequent physical change in the generator resulting in an
increase in the maximum electrical generating output that the generator
is capable of producing on a steady state basis and during continuous
operation (when not restricted by seasonal or other deratings), such
increased maximum amount (in MWe, rounded to the nearest tenth) as of
such completion as specified by the person conducting the physical
change.
    Natural gas means ``natural gas'' as defined in Sec.  72.2 of this
chapter.
    Newly affected CSAPR NOX Ozone Season Group 3 unit means
a unit that was not a CSAPR NOX Ozone Season Group 3 unit
when it began operating but that thereafter becomes a CSAPR
NOX Ozone Season Group 3 unit.
    Nitrogen oxides means all oxides of nitrogen except nitrous oxide
(N2O), reported on an equivalent molecular weight basis as
nitrogen dioxide (NO2).
    Operate or operation means, with regard to a unit, to combust fuel.
    Operator means, for a CSAPR NOX Ozone Season Group 3
source or a CSAPR NOX Ozone Season Group 3 unit at a source
respectively, any person who operates, controls, or supervises a CSAPR
NOX Ozone Season Group 3 unit at the source or the CSAPR
NOX Ozone Season Group 3 unit and shall include, but not be
limited to, any holding company, utility system, or plant manager of
such source or unit.
    Owner means, for a CSAPR NOX Ozone Season Group 3 source
or a CSAPR NOX Ozone Season Group 3 unit at a source
respectively, any of the following persons:
    (1) Any holder of any portion of the legal or equitable title in a
CSAPR NOX Ozone Season Group 3 unit at the source or the
CSAPR NOX Ozone Season Group 3 unit;
    (2) Any holder of a leasehold interest in a CSAPR NOX
Ozone Season Group 3 unit at the source or the CSAPR NOX
Ozone Season Group 3 unit, provided that, unless expressly provided for
in a leasehold agreement, ``owner'' shall not include a passive lessor,
or a person who has an equitable interest through such lessor, whose
rental payments are not based (either directly or indirectly) on the
revenues or income from such CSAPR NOX Ozone Season Group 3
unit; and
    (3) Any purchaser of power from a CSAPR NOX Ozone Season
Group 3 unit at the source or the CSAPR NOX Ozone Season
Group 3 unit under a life-of-the-unit, firm power contractual
arrangement.
    Permanently retired means, with regard to a unit, a unit that is
unavailable for service and that the unit's owners and operators do not
expect to return to service in the future.
    Permitting authority means ``permitting authority'' as defined in
Sec. Sec.  70.2 and 71.2 of this chapter.
    Potential electrical output capacity means, for a unit (in MWh/yr),
33 percent of the unit's maximum design heat input rate (in Btu/hr),
divided by 3,413 Btu/kWh, divided by 1,000 kWh/MWh, and multiplied by
8,760 hr/yr.
    Receive or receipt of means, when referring to the Administrator,
to come into possession of a document, information, or correspondence
(whether sent in hard copy or by authorized electronic transmission),
as indicated in an official log, or by a notation made on the document,
information, or correspondence, by the Administrator in the regular
course of business.
    Recordation, record, or recorded means, with regard to CSAPR
NOX Ozone Season Group 3 allowances, the moving of CSAPR
NOX Ozone Season Group 3 allowances by the Administrator
into, out of, or between Allowance Management System accounts, for
purposes of allocation, auction, transfer, or deduction.

    Reference method means any direct test method of sampling and
analyzing for an air pollutant as specified in Sec.  75.22 of this
chapter.
    Replacement, replace, or replaced means, with regard to a unit, the
demolishing of a unit, or the permanent retirement and permanent
disabling of a unit, and the construction of another unit (the
replacement unit) to be used instead of the demolished or retired unit
(the replaced unit).
    Sequential use of energy means:
    (1) The use of reject heat from electricity production in a useful
thermal energy application or process; or
    (2) The use of reject heat from a useful thermal energy application
or process in electricity production.
    Serial number means, for a CSAPR NOX Ozone Season Group
3 allowance, the unique identification number assigned to each CSAPR
NOX Ozone Season Group 3 allowance by the Administrator.
    Solid waste incineration unit means a stationary, fossil-fuel-fired
boiler or stationary, fossil-fuel-fired combustion turbine that is a
``solid waste incineration unit'' as defined in section 129(g)(1) of
the Clean Air Act.
    Source means all buildings, structures, or installations located in
one or more contiguous or adjacent properties under common control of
the same person or persons. This definition does not change or
otherwise affect the definition of ``major source'', ``stationary
source'', or ``source'' as set forth and implemented in a title V
operating permit program or any other program under the Clean Air Act.
    State means one of the States that is subject to the CSAPR
NOX Ozone Season Group 3 Trading Program pursuant to Sec.
52.38(b)(1), (b)(2)(v), and (b)(10) through (15) and (18) of this
chapter.
    Submit or serve means to send or transmit a document, information,
or correspondence to the person specified in accordance with the
applicable regulation:
    (1) In person;
    (2) By United States Postal Service; or
    (3) By other means of dispatch or transmission and delivery;
    (4) Provided that compliance with any ``submission'' or ``service''
deadline shall be determined by the date of dispatch, transmission, or
mailing and not the date of receipt.
    Topping-cycle unit means a unit in which the energy input to the
unit is first used to produce useful power, including electricity,
where at least some of the reject heat from the electricity production
is then used to provide useful thermal energy.
    Total energy input means, for a unit, total energy of all forms
supplied to the unit, excluding energy produced by the unit. Each form
of energy supplied shall be measured by the lower heating value of that
form of energy calculated as follows:

LHV = HHV-10.55 (W + 9H)

where:

LHV = lower heating value of the form of energy in Btu/lb,
HHV = higher heating value of the form of energy in Btu/lb,
W = weight % of moisture in the form of energy, and
H = weight % of hydrogen in the form of energy.

    Total energy output means, for a unit, the sum of useful power and
useful thermal energy produced by the unit.
    Unit means a stationary, fossil-fuel-fired boiler, stationary,
fossil-fuel-fired combustion turbine, or other stationary, fossil-fuel-
fired combustion device. A unit that undergoes a physical change or is
moved to a different location or source shall continue to be treated as
the same unit. A unit (the replaced unit) that is replaced by another
unit (the replacement unit) at the same or a different source shall
continue to be treated as the same unit, and the replacement unit shall
be treated as a separate unit.
    Unit operating day means, with regard to a unit, a calendar day in
which the unit combusts any fuel.
    Unit operating hour or hour of unit operation means, with regard to
a unit, an hour in which the unit combusts any fuel.
    Useful power means, with regard to a unit, electricity or
mechanical energy that the unit makes available for use, excluding any
such energy used in the power production process (which process
includes, but is not limited to, any on-site processing or treatment of
fuel combusted at the unit and any on-site emission controls).
    Useful thermal energy means thermal energy that is:
    (1) Made available to an industrial or commercial process (not a
power production process), excluding any heat contained in condensate
return or makeup water;
    (2) Used in a heating application (e.g., space heating or domestic
hot water heating); or
    (3) Used in a space cooling application (i.e., in an absorption
chiller).
    Utility power distribution system means the portion of an
electricity grid owned or operated by a utility and dedicated to
delivering electricity to customers.

Sec.  97.1003   Measurements, abbreviations, and acronyms.

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

Btu--British thermal unit
CO2--carbon dioxide
CSAPR--Cross-State Air Pollution Rule
H2O--water
hr--hour
kWh--kilowatt-hour
lb--pound
mmBtu--million Btu
MWe--megawatt electrical
MWh--megawatt-hour
NOX--nitrogen oxides
O2--oxygen
ppm--parts per million
scfh--standard cubic feet per hour
SIP--State implementation plan
SO2--sulfur dioxide
TR--Transport Rule
yr--year

Sec.  97.1004   Applicability.

    (a) Except as provided in paragraph (b) of this section:
    (1) The following units in a State (and Indian country within the
borders of such State) shall be CSAPR NOX Ozone Season Group
3 units, and any source that includes one or more such units shall be a
CSAPR NOX Ozone Season Group 3 source, subject to the
requirements of this subpart: Any stationary, fossil-fuel-fired boiler
or stationary, fossil-fuel-fired combustion turbine serving at any
time, on or after January 1, 2005, a generator with nameplate capacity
of more than 25 MWe producing electricity for sale.
    (2) If a stationary boiler or stationary combustion turbine that,
under paragraph (a)(1) of this section, is not a CSAPR NOX
Ozone Season Group 3 unit begins to combust fossil fuel or to serve a
generator with nameplate capacity of more than 25 MWe producing
electricity for sale, the unit shall become a CSAPR NOX
Ozone Season Group 3 unit as provided in paragraph (a)(1) of this
section on the first date on which it both combusts fossil fuel and
serves such generator.
    (b) Any unit in a State (and Indian country within the borders of
such State) that otherwise is a CSAPR NOX Ozone Season Group
3 unit under paragraph (a) of this section and that meets the
requirements set forth in paragraph (b)(1)(i) or (b)(2)(i) of this
section shall not be a CSAPR NOX Ozone Season Group 3 unit:
    (1)(i) Any unit:
    (A) Qualifying as a cogeneration unit throughout the later of 2005
or the 12-month period starting on the date the unit first produces
electricity and

continuing to qualify as a cogeneration unit throughout each calendar
year ending after the later of 2005 or such 12-month period; and
    (B) Not supplying in 2005 or any calendar year thereafter more than
one-third of the unit's potential electrical output capacity or 219,000
MWh, whichever is greater, to any utility power distribution system for
sale.
    (ii) If, after qualifying under paragraph (b)(1)(i) of this section
as not being a CSAPR NOX Ozone Season Group 3 unit, a unit
subsequently no longer meets all the requirements of paragraph
(b)(1)(i) of this section, the unit shall become a CSAPR NOX
Ozone Season Group 3 unit starting on the earlier of January 1 after
the first calendar year during which the unit first no longer qualifies
as a cogeneration unit or January 1 after the first calendar year
during which the unit no longer meets the requirements of paragraph
(b)(1)(i)(B) of this section. The unit shall thereafter continue to be
a CSAPR NOX Ozone Season Group 3 unit.
    (2)(i) Any unit:
    (A) Qualifying as a solid waste incineration unit throughout the
later of 2005 or the 12-month period starting on the date the unit
first produces electricity and continuing to qualify as a solid waste
incineration unit throughout each calendar year ending after the later
of 2005 or such 12-month period; and
    (B) With an average annual fuel consumption of fossil fuel for the
first 3 consecutive calendar years of operation starting no earlier
than 2005 of less than 20 percent (on a Btu basis) and an average
annual fuel consumption of fossil fuel for any 3 consecutive calendar
years thereafter of less than 20 percent (on a Btu basis).
    (ii) If, after qualifying under paragraph (b)(2)(i) of this section
as not being a CSAPR NOX Ozone Season Group 3 unit, a unit
subsequently no longer meets all the requirements of paragraph
(b)(2)(i) of this section, the unit shall become a CSAPR NOX
Ozone Season Group 3 unit starting on the earlier of January 1 after
the first calendar year during which the unit first no longer qualifies
as a solid waste incineration unit or January 1 after the first 3
consecutive calendar years after 2005 for which the unit has an average
annual fuel consumption of fossil fuel of 20 percent or more. The unit
shall thereafter continue to be a CSAPR NOX Ozone Season
Group 3 unit.
    (c) A certifying official of an owner or operator of any unit or
other equipment may submit a petition (including any supporting
documents) to the Administrator at any time for a determination
concerning the applicability, under paragraphs (a) and (b) of this
section or a SIP revision approved under Sec.  52.38(b)(10), (12), or
(13) of this chapter, of the CSAPR NOX Ozone Season Group 3
Trading Program to the unit or other equipment.
    (1) Petition content. The petition shall be in writing and include
the identification of the unit or other equipment and the relevant
facts about the unit or other equipment. The petition and any other
documents provided to the Administrator in connection with the petition
shall include the following certification statement, signed by the
certifying official: ``I am authorized to make this submission on
behalf of the owners and operators of the unit or other equipment for
which the submission is made. I certify under penalty of law that I
have personally examined, and am familiar with, the statements and
information submitted in this document and all its attachments. Based
on my inquiry of those individuals with primary responsibility for
obtaining the information, I certify that the statements and
information are to the best of my knowledge and belief true, accurate,
and complete. I am aware that there are significant penalties for
submitting false statements and information or omitting required
statements and information, including the possibility of fine or
imprisonment.''
    (2) Response. The Administrator will issue a written response to
the petition and may request supplemental information determined by the
Administrator to be relevant to such petition. The Administrator's
determination concerning the applicability, under paragraphs (a) and
(b) of this section, of the CSAPR NOX Ozone Season Group 3
Trading Program to the unit or other equipment shall be binding on any
State or permitting authority unless the Administrator determines that
the petition or other documents or information provided in connection
with the petition contained significant, relevant errors or omissions.

Sec.  97.1005   Retired unit exemption.

    (a)(1) Any CSAPR NOX Ozone Season Group 3 unit that is
permanently retired shall be exempt from Sec.  97.1006(b) and (c)(1),
Sec.  97.1024, and Sec. Sec.  97.1030 through 97.1035.
    (2) The exemption under paragraph (a)(1) of this section shall
become effective the day on which the CSAPR NOX Ozone Season
Group 3 unit is permanently retired. Within 30 days of the unit's
permanent retirement, the designated representative shall submit a
statement to the Administrator. The statement shall state, in a format
prescribed by the Administrator, that the unit was permanently retired
on a specified date and will comply with the requirements of paragraph
(b) of this section.
    (b)(1) A unit exempt under paragraph (a) of this section shall not
emit any NOX, starting on the date that the exemption takes
effect.
    (2) For a period of 5 years from the date the records are created,
the owners and operators of a unit exempt under paragraph (a) of this
section shall retain, at the source that includes the unit, records
demonstrating that the unit is permanently retired. The 5-year period
for keeping records may be extended for cause, at any time before the
end of the period, in writing by the Administrator. The owners and
operators bear the burden of proof that the unit is permanently
retired.
    (3) The owners and operators and, to the extent applicable, the
designated representative of a unit exempt under paragraph (a) of this
section shall comply with the requirements of the CSAPR NOX
Ozone Season Group 3 Trading Program concerning all periods for which
the exemption is not in effect, even if such requirements arise, or
must be complied with, after the exemption takes effect.
    (4) A unit exempt under paragraph (a) of this section shall lose
its exemption on the first date on which the unit resumes operation.
Such unit shall be treated, for purposes of applying allocation,
monitoring, reporting, and recordkeeping requirements under this
subpart, as a unit that commences commercial operation on the first
date on which the unit resumes operation.

Sec.  97.1006   Standard requirements.

    (a) Designated representative requirements. The owners and
operators shall comply with the requirement to have a designated
representative, and may have an alternate designated representative, in
accordance with Sec. Sec.  97.1013 through 97.1018.
    (b) Emissions monitoring, reporting, and recordkeeping
requirements. (1) The owners and operators, and the designated
representative, of each CSAPR NOX Ozone Season Group 3
source and each CSAPR NOX Ozone Season Group 3 unit at the
source shall comply with the monitoring, reporting, and recordkeeping
requirements of Sec. Sec.  97.1030 through 97.1035.
    (2) The emissions data determined in accordance with Sec. Sec.
97.1030 through 97.1035 shall be used to calculate allocations of CSAPR
NOX Ozone Season Group 3 allowances under Sec. Sec.
97.1011(a)(2) and (b) and 97.1012 and

to determine compliance with the CSAPR NOX Ozone Season
Group 3 emissions limitation and assurance provisions under paragraph
(c) of this section, provided that, for each monitoring location from
which mass emissions are reported, the mass emissions amount used in
calculating such allocations and determining such compliance shall be
the mass emissions amount for the monitoring location determined in
accordance with Sec. Sec.  97.1030 through 97.1035 and rounded to the
nearest ton, with any fraction of a ton less than 0.50 being deemed to
be zero.
    (c) NOX emissions requirements--(1) CSAPR NOX
Ozone Season Group 3 emissions limitation. (i) As of the allowance
transfer deadline for a control period in a given year, the owners and
operators of each CSAPR NOX Ozone Season Group 3 source and
each CSAPR NOX Ozone Season Group 3 unit at the source shall
hold, in the source's compliance account, CSAPR NOX Ozone
Season Group 3 allowances available for deduction for such control
period under Sec.  97.1024(a) in an amount not less than the tons of
total NOX emissions for such control period from all CSAPR
NOX Ozone Season Group 3 units at the source.
    (ii) If total NOX emissions during a control period in a
given year from the CSAPR NOX Ozone Season Group 3 units at
a CSAPR NOX Ozone Season Group 3 source are in excess of the
CSAPR NOX Ozone Season Group 3 emissions limitation set
forth in paragraph (c)(1)(i) of this section, then:
    (A) The owners and operators of the source and each CSAPR
NOX Ozone Season Group 3 unit at the source shall hold the
CSAPR NOX Ozone Season Group 3 allowances required for
deduction under Sec.  97.1024(d); and
    (B) The owners and operators of the source and each CSAPR
NOX Ozone Season Group 3 unit at the source shall pay any
fine, penalty, or assessment or comply with any other remedy imposed,
for the same violations, under the Clean Air Act, and each ton of such
excess emissions and each day of such control period shall constitute a
separate violation of this subpart and the Clean Air Act.
    (2) CSAPR NOX Ozone Season Group 3 assurance provisions.
(i) If total NOX emissions during a control period in a
given year from all base CSAPR NOX Ozone Season Group 3
units at base CSAPR NOX Ozone Season Group 3 sources in a
State (and Indian country within the borders of such State) exceed the
State assurance level, then the owners and operators of such sources
and units in each group of one or more sources and units having a
common designated representative for such control period, where the
common designated representative's share of such NOX
emissions during such control period exceeds the common designated
representative's assurance level for the State and such control period,
shall hold (in the assurance account established for the owners and
operators of such group) CSAPR NOX Ozone Season Group 3
allowances available for deduction for such control period under Sec.
97.1025(a) in an amount equal to two times the product (rounded to the
nearest whole number), as determined by the Administrator in accordance
with Sec.  97.1025(b), of multiplying--
    (A) The quotient of the amount by which the common designated
representative's share of such NOX emissions exceeds the
common designated representative's assurance level divided by the sum
of the amounts, determined for all common designated representatives
for such sources and units in the State (and Indian country within the
borders of such State) for such control period, by which each common
designated representative's share of such NOX emissions
exceeds the respective common designated representative's assurance
level; and
    (B) The amount by which total NOX emissions from all
base CSAPR NOX Ozone Season Group 3 units at base CSAPR
NOX Ozone Season Group 3 sources in the State (and Indian
country within the borders of such State) for such control period
exceed the State assurance level.
    (ii) The owners and operators shall hold the CSAPR NOX
Ozone Season Group 3 allowances required under paragraph (c)(2)(i) of
this section, as of midnight of November 1 (if it is a business day),
or midnight of the first business day thereafter (if November 1 is not
a business day), immediately after the year of such control period.
    (iii) Total NOX emissions from all base CSAPR
NOX Ozone Season Group 3 units at base CSAPR NOX
Ozone Season Group 3 sources in a State (and Indian country within the
borders of such State) during a control period in a given year exceed
the State assurance level if such total NOX emissions exceed
the sum, for such control period, of the State NOX Ozone
Season Group 3 trading budget under Sec.  97.1010(a), the State's
variability limit under Sec.  97.1010(b), and, for the control period
in 2021 only, the product of the supplemental amount of CSAPR
NOX Ozone Season Group 3 allowances determined for the State
under Sec.  97.1010(d) multiplied by 1.21, rounded to the nearest
allowance.
    (iv) It shall not be a violation of this subpart or of the Clean
Air Act if total NOX emissions from all base CSAPR
NOX Ozone Season Group 3 units at base CSAPR NOX
Ozone Season Group 3 sources in a State (and Indian country within the
borders of such State) during a control period exceed the State
assurance level or if a common designated representative's share of
total NOX emissions from the base CSAPR NOX Ozone
Season Group 3 units at base CSAPR NOX Ozone Season Group 3
sources in a State (and Indian country within the borders of such
State) during a control period exceeds the common designated
representative's assurance level.
    (v) To the extent the owners and operators fail to hold CSAPR
NOX Ozone Season Group 3 allowances for a control period in
a given year in accordance with paragraphs (c)(2)(i) through (iii) of
this section,
    (A) The owners and operators shall pay any fine, penalty, or
assessment or comply with any other remedy imposed under the Clean Air
Act; and
    (B) Each CSAPR NOX Ozone Season Group 3 allowance that
the owners and operators fail to hold for such control period in
accordance with paragraphs (c)(2)(i) through (iii) of this section and
each day of such control period shall constitute a separate violation
of this subpart and the Clean Air Act.
    (3) Compliance periods. (i) A CSAPR NOX Ozone Season
Group 3 unit shall be subject to the requirements under paragraph
(c)(1) of this section for the control period starting on the later of
May 1, 2021 or the deadline for meeting the unit's monitor
certification requirements under Sec.  97.1030(b) and for each control
period thereafter.
    (ii) A base CSAPR NOX Ozone Season Group 3 unit shall be
subject to the requirements under paragraph (c)(2) of this section for
the control period starting on the later of May 1, 2021 or the deadline
for meeting the unit's monitor certification requirements under Sec.
97.1030(b) and for each control period thereafter.
    (4) Vintage of CSAPR NOX Ozone Season Group 3 allowances
held for compliance. (i) A CSAPR NOX Ozone Season Group 3
allowance held for compliance with the requirements under paragraph
(c)(1)(i) of this section for a control period in a given year must be
a CSAPR NOX Ozone Season Group 3 allowance that was
allocated or auctioned for such control period or a control period in a
prior year.
    (ii) A CSAPR NOX Ozone Season Group 3 allowance held for
compliance

with the requirements under paragraphs (c)(1)(ii)(A) and (c)(2)(i)
through (iii) of this section for a control period in a given year must
be a CSAPR NOX Ozone Season Group 3 allowance that was
allocated or auctioned for a control period in a prior year or the
control period in the given year or in the immediately following year.
    (5) Allowance Management System requirements. Each CSAPR
NOX Ozone Season Group 3 allowance shall be held in,
deducted from, or transferred into, out of, or between Allowance
Management System accounts in accordance with this subpart.
    (6) Limited authorization. A CSAPR NOX Ozone Season
Group 3 allowance is a limited authorization to emit one ton of
NOX during the control period in one year. Such
authorization is limited in its use and duration as follows:
    (i) Such authorization shall only be used in accordance with the
CSAPR NOX Ozone Season Group 3 Trading Program; and
    (ii) Notwithstanding any other provision of this subpart, the
Administrator has the authority to terminate or limit the use and
duration of such authorization to the extent the Administrator
determines is necessary or appropriate to implement any provision of
the Clean Air Act.
    (7) Property right. A CSAPR NOX Ozone Season Group 3
allowance does not constitute a property right.
    (d) Title V permit requirements. (1) No title V permit revision
shall be required for any allocation, holding, deduction, or transfer
of CSAPR NOX Ozone Season Group 3 allowances in accordance
with this subpart.
    (2) A description of whether a unit is required to monitor and
report NOX emissions using a continuous emission monitoring
system (under subpart H of part 75 of this chapter), an excepted
monitoring system (under appendices D and E to part 75 of this
chapter), a low mass emissions excepted monitoring methodology (under
Sec.  75.19 of this chapter), or an alternative monitoring system
(under subpart E of part 75 of this chapter) in accordance with
Sec. Sec.  97.1030 through 97.1035 may be added to, or changed in, a
title V permit using minor permit modification procedures in accordance
with Sec. Sec.  70.7(e)(2) and 71.7(e)(1) of this chapter, provided
that the requirements applicable to the described monitoring and
reporting (as added or changed, respectively) are already incorporated
in such permit. This paragraph explicitly provides that the addition
of, or change to, a unit's description as described in the prior
sentence is eligible for minor permit modification procedures in
accordance with Sec. Sec.  70.7(e)(2)(i)(B) and 71.7(e)(1)(i)(B) of
this chapter.
    (e) Additional recordkeeping and reporting requirements. (1) Unless
otherwise provided, the owners and operators of each CSAPR
NOX Ozone Season Group 3 source and each CSAPR
NOX Ozone Season Group 3 unit at the source shall keep on
site at the source each of the following documents (in hardcopy or
electronic format) for a period of 5 years from the date the document
is created. This period may be extended for cause, at any time before
the end of 5 years, in writing by the Administrator.
    (i) The certificate of representation under Sec.  97.1016 for the
designated representative for the source and each CSAPR NOX
Ozone Season Group 3 unit at the source and all documents that
demonstrate the truth of the statements in the certificate of
representation; provided that the certificate and documents shall be
retained on site at the source beyond such 5-year period until such
certificate of representation and documents are superseded because of
the submission of a new certificate of representation under Sec.
97.1016 changing the designated representative.
    (ii) All emissions monitoring information, in accordance with this
subpart.
    (iii) Copies of all reports, compliance certifications, and other
submissions and all records made or required under, or to demonstrate
compliance with the requirements of, the CSAPR NOX Ozone
Season Group 3 Trading Program.
    (2) The designated representative of a CSAPR NOX Ozone
Season Group 3 source and each CSAPR NOX Ozone Season Group
3 unit at the source shall make all submissions required under the
CSAPR NOX Ozone Season Group 3 Trading Program, except as
provided in Sec.  97.1018. This requirement does not change, create an
exemption from, or otherwise affect the responsible official submission
requirements under a title V operating permit program in parts 70 and
71 of this chapter.
    (f) Liability. (1) Any provision of the CSAPR NOX Ozone
Season Group 3 Trading Program that applies to a CSAPR NOX
Ozone Season Group 3 source or the designated representative of a CSAPR
NOX Ozone Season Group 3 source shall also apply to the
owners and operators of such source and of the CSAPR NOX
Ozone Season Group 3 units at the source.
    (2) Any provision of the CSAPR NOX Ozone Season Group 3
Trading Program that applies to a CSAPR NOX Ozone Season
Group 3 unit or the designated representative of a CSAPR NOX
Ozone Season Group 3 unit shall also apply to the owners and operators
of such unit.
    (g) Effect on other authorities. No provision of the CSAPR
NOX Ozone Season Group 3 Trading Program or exemption under
Sec.  97.1005 shall be construed as exempting or excluding the owners
and operators, and the designated representative, of a CSAPR
NOX Ozone Season Group 3 source or CSAPR NOX
Ozone Season Group 3 unit from compliance with any other provision of
the applicable, approved State implementation plan, a federally
enforceable permit, or the Clean Air Act.

Sec.  97.1007   Computation of time.

    (a) Unless otherwise stated, any time period scheduled, under the
CSAPR NOX Ozone Season Group 3 Trading Program, to begin on
the occurrence of an act or event shall begin on the day the act or
event occurs.
    (b) Unless otherwise stated, any time period scheduled, under the
CSAPR NOX Ozone Season Group 3 Trading Program, to begin
before the occurrence of an act or event shall be computed so that the
period ends the day before the act or event occurs.
    (c) Unless otherwise stated, if the final day of any time period,
under the CSAPR NOX Ozone Season Group 3 Trading Program, is
not a business day, the time period shall be extended to the next
business day.

Sec.  97.1008   Administrative appeal procedures.

    The administrative appeal procedures for decisions of the
Administrator under the CSAPR NOX Ozone Season Group 3
Trading Program are set forth in part 78 of this chapter.

Sec.  97.1009   [Reserved]

Sec.  97.1010   State NOX Ozone Season Group 3 trading budgets, new
unit set-asides, Indian country new unit set-asides, and variability
limits.

    (a) The State NOX Ozone Season Group 3 trading budgets,
new unit set-asides, and Indian country new unit set-asides for
allocations of CSAPR NOX Ozone Season Group 3 allowances for
the control periods in 2021, 2022, 2023, and 2024 and thereafter are as
indicated in Tables 1, 2, and 3 to this paragraph (a), respectively:

                Table 1 to Paragraph (a)--State NOX Ozone Season Group 3 Trading Budgets by Year
                                                     [tons]
----------------------------------------------------------------------------------------------------------------
                                                                                2024 and
                      State                            2021            2022            2023         thereafter
----------------------------------------------------------------------------------------------------------------
Alabama.........................................           7,786           7,610           7,610           7,610
Arkansas........................................           8,708           8,330           8,330           8,330
Georgia.........................................           7,808           7,808           7,808           7,808
Illinois........................................           9,444           9,415           8,397           8,397
Indiana.........................................          12,500          11,998          11,998           9,447
Iowa............................................           7,714           7,626           7,266           7,266
Kansas..........................................           5,384           5,384           5,384           5,384
Kentucky........................................          14,384          11,936          11,936          11,936
Louisiana.......................................          15,402          14,871          14,871          14,871
Maryland........................................           1,522           1,498           1,498           1,498
Michigan........................................          12,727          11,767           9,803           9,614
Mississippi.....................................           6,315           6,315           6,315           6,315
Missouri........................................          11,358          11,358          11,079          11,079
New Jersey......................................           1,253           1,253           1,253           1,253
New York........................................           3,137           3,137           3,137           3,119
Ohio............................................           9,605           9,676           9,676           9,676
Oklahoma........................................           8,717           8,717           8,717           8,717
Pennsylvania....................................           8,076           8,076           8,076           8,076
Tennessee.......................................           4,367           4,367           4,367           4,367
Texas...........................................          42,312          41,995          41,807          41,807
Virginia........................................           4,544           3,656           3,656           3,395
West Virginia...................................          13,686          12,813          11,810          11,810
Wisconsin.......................................           4,875           4,875           4,622           4,104
----------------------------------------------------------------------------------------------------------------

                              Table 2 to Paragraph (a)--New Unit Set-Asides by Year
                                                     [tons]
----------------------------------------------------------------------------------------------------------------
                                                                                2024 and
                      State                            2021            2022            2023         thereafter
----------------------------------------------------------------------------------------------------------------
Alabama.........................................             148             144             144             144
Arkansas........................................             174             167             167             167
Georgia.........................................             156             156             156             156
Illinois........................................             181             181             173             173
Indiana.........................................             253             238             238             188
Iowa............................................             146             145             138             138
Kansas..........................................             103             103             103             103
Kentucky........................................             289             240             240             240
Louisiana.......................................             444             430             430             430
Maryland........................................              31              33              33              33
Michigan........................................             371             340             286             277
Mississippi.....................................             120             120             120             120
Missouri........................................             227             227             222             222
New Jersey......................................              27              27              27              27
New York........................................             154             154             154             153
Ohio............................................             285             291             291             291
Oklahoma........................................             165             165             165             165
Pennsylvania....................................             326             326             326             326
Tennessee.......................................              87              87              87              87
Texas...........................................             804             798             794             794
Virginia........................................              91              76              76              68
West Virginia...................................             273             261             236             236
Wisconsin.......................................             141             141             134             119
----------------------------------------------------------------------------------------------------------------

                      Table 3 to Paragraph (a)--Indian Country New Unit Set-Asides by Year
                                                     [tons]
----------------------------------------------------------------------------------------------------------------
                                                                                2024 and
                      State                            2021            2022            2023         thereafter
----------------------------------------------------------------------------------------------------------------
Alabama.........................................               8               8               8               8
Arkansas........................................  ..............  ..............  ..............  ..............
Georgia.........................................  ..............  ..............  ..............  ..............
Illinois........................................  ..............  ..............  ..............  ..............
Indiana.........................................  ..............  ..............  ..............  ..............
Iowa............................................               8               8               7               7
Kansas..........................................               5               5               5               5

Kentucky........................................  ..............  ..............  ..............  ..............
Louisiana.......................................              15              15              15              15
Maryland........................................  ..............  ..............  ..............  ..............
Michigan........................................              13              12              10              10
Mississippi.....................................               6               6               6               6
Missouri........................................  ..............  ..............  ..............  ..............
New Jersey......................................  ..............  ..............  ..............  ..............
New York........................................               3               3               3               3
Ohio............................................  ..............  ..............  ..............  ..............
Oklahoma........................................               9               9               9               9
Pennsylvania....................................  ..............  ..............  ..............  ..............
Tennessee.......................................  ..............  ..............  ..............  ..............
Texas...........................................              42              42              42              42
Virginia........................................  ..............  ..............  ..............  ..............
West Virginia...................................  ..............  ..............  ..............  ..............
Wisconsin.......................................               5               5               5               4
----------------------------------------------------------------------------------------------------------------

    (b) The States' variability limits for the State NOX
Ozone Season Group 3 trading budgets for the control periods in 2021,
2022, 2023, and 2024 and thereafter are as indicated in Table 4 to this
paragraph (b):

                              Table 4 to Paragraph (b)--Variability Limits by Year
                                                     [tons]
----------------------------------------------------------------------------------------------------------------
                                                                                2024 and
                      State                            2021            2022            2023         thereafter
----------------------------------------------------------------------------------------------------------------
Alabama.........................................           1,635           1,598           1,598           1,598
Arkansas........................................           1,829           1,749           1,749           1,749
Georgia.........................................           1,640           1,640           1,640           1,640
Illinois........................................           1,983           1,977           1,763           1,763
Indiana.........................................           2,625           2,520           2,520           1,984
Iowa............................................           1,620           1,601           1,526           1,526
Kansas..........................................           1,131           1,131           1,131           1,131
Kentucky........................................           3,021           2,507           2,507           2,507
Louisiana.......................................           3,234           3,123           3,123           3,123
Maryland........................................             320             315             315             315
Michigan........................................           2,673           2,471           2,059           2,019
Mississippi.....................................           1,326           1,326           1,326           1,326
Missouri........................................           2,385           2,385           2,327           2,327
New Jersey......................................             263             263             263             263
New York........................................             659             659             659             655
Ohio............................................           2,017           2,032           2,032           2,032
Oklahoma........................................           1,831           1,831           1,831           1,831
Pennsylvania....................................           1,696           1,696           1,696           1,696
Tennessee.......................................             917             917             917             917
Texas...........................................           8,886           8,819           8,779           8,779
Virginia........................................             954             768             768             713
West Virginia...................................           2,874           2,691           2,480           2,480
Wisconsin.......................................           1,024           1,024             971             862
----------------------------------------------------------------------------------------------------------------

    (c) Each State NOX Ozone Season Group 3 trading budget
in this section includes any tons in a new unit set-aside or Indian
country new unit set-aside but does not include any tons in a
variability limit.
    (d) For the control period in 2021 only, the Administrator will
determine for each State a supplemental amount of CSAPR NOX
Ozone Season Group 3 allowances computed as the product, rounded to the
nearest allowance, of the difference between the State NOX
Ozone Season Group 2 trading budget for the control period in 2021
under Sec.  97.810(a) and the State NOX Ozone Season Group 3
trading budget for the control period in 2021 under paragraph (a) of
this section multiplied by a fraction whose numerator is the number of
days from May 1, 2021 through [DATE 59 DAYS AFTER DATE OF PUBLICATION
OF THE FINAL RULE IN THE FEDERAL REGISTER], inclusive, and whose
denominator is 153.

Sec.  97.1011   Timing requirements for CSAPR NOX Ozone Season Group 3
allowance allocations.

    (a) Existing units. (1) CSAPR NOX Ozone Season Group 3
allowances are allocated, for the control periods in 2021 and each year
thereafter, as provided in a notice of data availability issued by the
Administrator. Providing an allocation to a unit in such notice does
not constitute a determination that the unit is a CSAPR NOX
Ozone Season Group 3 unit, and not providing an allocation to a unit in
such notice does

not constitute a determination that the unit is not a CSAPR
NOX Ozone Season Group 3 unit.
    (2) Notwithstanding paragraph (a)(1) of this section, if a unit
provided an allocation in the notice of data availability issued under
paragraph (a)(1) of this section does not operate, starting after 2020,
during the control period in two consecutive years, such unit will not
be allocated the CSAPR NOX Ozone Season Group 3 allowances
provided in such notice for the unit for the control periods in the
fifth year after the first such year and in each year after that fifth
year. All CSAPR NOX Ozone Season Group 3 allowances that
would otherwise have been allocated to such unit will be allocated to
the new unit set-aside for the State where such unit is located and for
the respective years involved. If such unit resumes operation, the
Administrator will allocate CSAPR NOX Ozone Season Group 3
allowances to the unit in accordance with paragraph (b) of this
section.
    (3) For the control period in 2021 only, the Administrator will
allocate to each unit to which CSAPR NOX Ozone Season Group
3 allowances are allocated under paragraph (a)(1) of this section a
share of the supplemental amount of CSAPR NOX Ozone Season
Group 3 allowances determined for the State in which the unit is
located under Sec.  97.1010(d), where each such unit's share will be
computed as the difference between--
    (i) The amount that would have been established as the unit's
allocation for purposes of the notice of data availability referenced
in paragraph (a)(1) of this section if the total amount of CSAPR
NOX Ozone Season Group 3 allowances being allocated to the
units in the State for purposes of such notice were increased by the
supplemental amount determined for the State under Sec.  97.1010(d);
and
    (ii) The amount that was actually established as the unit's
allocation for purposes of the notice of data availability referenced
in paragraph (a)(1) of this section.
    (b) New units--(1) New unit set-asides. (i)(A) By June 1, 2021 and
June 1, 2022, the Administrator will calculate the CSAPR NOX
Ozone Season Group 3 allowance allocation to each CSAPR NOX
Ozone Season Group 3 unit in a State, in accordance with Sec.
97.1012(a)(2) through (7) and (12), for the control period in the year
of the applicable calculation deadline under this paragraph and will
promulgate a notice of data availability of the results of the
calculations.
    (B) By March 1, 2024 and March 1 of each year thereafter, the
Administrator will calculate the CSAPR NOX Ozone Season
Group 3 allowance allocation to each CSAPR NOX Ozone Season
Group 3 unit in a State, in accordance with Sec.  97.1012(a)(2) through
(7), (10), and (12), for the control period in the year before the year
of the applicable calculation deadline under this paragraph and will
promulgate a notice of data availability of the results of the
calculations.
    (ii) For each notice of data availability required in paragraph
(b)(1)(i) of this section, the Administrator will provide an
opportunity for submission of objections to the calculations referenced
in such notice.
    (A) Objections shall be submitted by the deadline specified in each
notice of data availability required in paragraph (b)(1)(i) of this
section and shall be limited to addressing whether the calculations
(including the identification of the CSAPR NOX Ozone Season
Group 3 units) are in accordance with Sec.  97.1012(a)(2) through (7)
and (12) for a control period before 2023, or Sec.  97.1012(a)(2)
through (7), (10), and (12) for a control period in 2023 or thereafter,
and Sec. Sec.  97.1006(b)(2) and 97.1030 through 97.1035.
    (B) The Administrator will adjust the calculations to the extent
necessary to ensure that they are in accordance with the applicable
provisions referenced in paragraph (b)(1)(ii)(A) of this section. By
August 1 immediately after the promulgation of each notice of data
availability required in paragraph (b)(1)(i)(A) of this section for a
control period before 2023, or by May 1 immediately after the
promulgation of each notice of data availability required in paragraph
(b)(1)(i)(B) of this section for a control period in 2023 or
thereafter, the Administrator will promulgate a notice of data
availability of the calculations incorporating any adjustments that the
Administrator determines to be necessary with regard to allocations
under such applicable provisions and the reasons for accepting or
rejecting any objections submitted in accordance with paragraph
(b)(1)(ii)(A) of this section.
    (iii) If the new unit set-aside for a control period before 2023
contains any CSAPR NOX Ozone Season Group 3 allowances that
have not been allocated in the applicable notice of data availability
required in paragraph (b)(1)(ii) of this section, the Administrator
will promulgate, by December 15 immediately after such notice, a notice
of data availability that identifies any CSAPR NOX Ozone
Season Group 3 units that commenced commercial operation during the
period starting January 1 of the year before the year of such control
period and ending November 30 of the year of such control period.
    (iv) For each notice of data availability required in paragraph
(b)(1)(iii) of this section, the Administrator will provide an
opportunity for submission of objections to the identification of CSAPR
NOX Ozone Season Group 3 units in such notice.
    (A) Objections shall be submitted by the deadline specified in each
notice of data availability required in paragraph (b)(1)(iii) of this
section and shall be limited to addressing whether the identification
of CSAPR NOX Ozone Season Group 3 units in such notice is in
accordance with paragraph (b)(1)(iii) of this section.
    (B) The Administrator will adjust the identification of CSAPR
NOX Ozone Season Group 3 units in each notice of data
availability required in paragraph (b)(1)(iii) of this section to the
extent necessary to ensure that it is in accordance with paragraph
(b)(1)(iii) of this section and will calculate the CSAPR NOX
Ozone Season Group 3 allowance allocation to each CSAPR NOX
Ozone Season Group 3 unit in accordance with Sec.  97.1012(a)(9), (10),
and (12) and Sec. Sec.  97.1006(b)(2) and 97.1030 through 97.1035. By
February 15 immediately after the promulgation of each notice of data
availability required in paragraph (b)(1)(iii) of this section, the
Administrator will promulgate a notice of data availability of any
adjustments of the identification of CSAPR NOX Ozone Season
Group 3 units that the Administrator determines to be necessary, the
reasons for accepting or rejecting any objections submitted in
accordance with paragraph (b)(1)(iv)(A) of this section, and the
results of such calculations.
    (v) To the extent any CSAPR NOX Ozone Season Group 3
allowances are added to the new unit set-aside after promulgation of
each notice of data availability required in paragraph (b)(1)(iv) of
this section for a control period before 2023, or in paragraph
(b)(1)(ii) of this section for a control period in 2023 or thereafter,
the Administrator will promulgate additional notices of data
availability, as deemed appropriate, of the allocation of such CSAPR
NOX Ozone Season Group 3 allowances in accordance with Sec.
97.1012(a)(10).
    (2) Indian country new unit set-asides. (i)(A) By June 1, 2021 and
June 1, 2022, the Administrator will calculate the CSAPR NOX
Ozone Season Group 3 allowance allocation to each CSAPR

NOX Ozone Season Group 3 unit in Indian country within the
borders of a State, in accordance with Sec.  97.1012(b)(2) through (7)
and (12), for the control period in the year of the applicable
calculation deadline under this paragraph and will promulgate a notice
of data availability of the results of the calculations.
    (B) By March 1, 2024 and March 1 of each year thereafter, the
Administrator will calculate the CSAPR NOX Ozone Season
Group 3 allowance allocation to each CSAPR NOX Ozone Season
Group 3 unit in a State, in accordance with Sec.  97.1012(b)(2) through
(7), (10), and (12), for the control period in the year before the year
of the applicable calculation deadline under this paragraph and will
promulgate a notice of data availability of the results of the
calculations.
    (ii) For each notice of data availability required in paragraph
(b)(2)(i) of this section, the Administrator will provide an
opportunity for submission of objections to the calculations referenced
in such notice.
    (A) Objections shall be submitted by the deadline specified in each
notice of data availability required in paragraph (b)(2)(i) of this
section and shall be limited to addressing whether the calculations
(including the identification of the CSAPR NOX Ozone Season
Group 3 units) are in accordance with Sec.  97.1012(b)(2) through (7)
and (12) for a control period before 2023, or Sec.  97.1012(b)(2)
through (7), (10), and (12) for a control period in 2023 or thereafter,
and Sec. Sec.  97.1006(b)(2) and 97.1030 through 97.1035.
    (B) The Administrator will adjust the calculations to the extent
necessary to ensure that they are in accordance with the applicable
provisions referenced in paragraph (b)(2)(ii)(A) of this section. By
August 1 immediately after the promulgation of each notice of data
availability required in paragraph (b)(2)(i)(A) of this section for a
control period before 2023, or by May 1 immediately after the
promulgation of each notice of data availability required in paragraph
(b)(2)(i)(B) of this section for a control period in 2023 or
thereafter, the Administrator will promulgate a notice of data
availability of the calculations incorporating any adjustments that the
Administrator determines to be necessary with regard to allocations
under such applicable provisions and the reasons for accepting or
rejecting any objections submitted in accordance with paragraph
(b)(2)(ii)(A) of this section.
    (iii) If the Indian country new unit set-aside for a control period
before 2023 contains any CSAPR NOX Ozone Season Group 3
allowances that have not been allocated in the applicable notice of
data availability required in paragraph (b)(2)(ii) of this section, the
Administrator will promulgate, by December 15 immediately after such
notice, a notice of data availability that identifies any CSAPR
NOX Ozone Season Group 3 units that commenced commercial
operation during the period starting January 1 of the year before the
year of such control period and ending November 30 of the year of such
control period.
    (iv) For each notice of data availability required in paragraph
(b)(2)(iii) of this section, the Administrator will provide an
opportunity for submission of objections to the identification of CSAPR
NOX Ozone Season Group 3 units in such notice.
    (A) Objections shall be submitted by the deadline specified in each
notice of data availability required in paragraph (b)(2)(iii) of this
section and shall be limited to addressing whether the identification
of CSAPR NOX Ozone Season Group 3 units in such notice is in
accordance with paragraph (b)(2)(iii) of this section.
    (B) The Administrator will adjust the identification of CSAPR
NOX Ozone Season Group 3 units in each notice of data
availability required in paragraph (b)(2)(iii) of this section to the
extent necessary to ensure that it is in accordance with paragraph
(b)(2)(iii) of this section and will calculate the CSAPR NOX
Ozone Season Group 3 allowance allocation to each CSAPR NOX
Ozone Season Group 3 unit in accordance with Sec.  97.1012(b)(9), (10),
and (12) and Sec. Sec.  97.1006(b)(2) and 97.1030 through 97.1035. By
February 15 immediately after the promulgation of each notice of data
availability required in paragraph (b)(2)(iii) of this section, the
Administrator will promulgate a notice of data availability of any
adjustments of the identification of CSAPR NOX Ozone Season
Group 3 units that the Administrator determines to be necessary, the
reasons for accepting or rejecting any objections submitted in
accordance with paragraph (b)(2)(iv)(A) of this section, and the
results of such calculations.
    (v) To the extent any CSAPR NOX Ozone Season Group 3
allowances are added to the Indian country new unit set-aside after
promulgation of each notice of data availability required in paragraph
(b)(2)(iv) of this section for a control period before 2023, or in
paragraph (b)(2)(ii) of this section for a control period in 2023 or
thereafter, the Administrator will promulgate additional notices of
data availability, as deemed appropriate, of the allocation of such
CSAPR NOX Ozone Season Group 3 allowances in accordance with
Sec.  97.1012(b)(10).
    (c) Units incorrectly allocated CSAPR NOX Ozone Season
Group 3 allowances. (1) For each control period in 2021 and thereafter,
if the Administrator determines that CSAPR NOX Ozone Season
Group 3 allowances were allocated under paragraph (a) of this section,
or under a provision of a SIP revision approved under Sec.
52.38(b)(10), (11), (12), or (13) of this chapter, where such control
period and the recipient are covered by the provisions of paragraph
(c)(1)(i) of this section or were allocated under Sec.  97.1012(a)(2)
through (7) and (12) and (b)(2) through (7) and (12), or under a
provision of a SIP revision approved under Sec.  52.38(b)(10), (12), or
(13) of this chapter, where such control period and the recipient are
covered by the provisions of paragraph (c)(1)(ii) of this section, then
the Administrator will notify the designated representative of the
recipient and will act in accordance with the procedures set forth in
paragraphs (c)(2) through (5) of this section:
    (i)(A) The recipient is not actually a CSAPR NOX Ozone
Season Group 3 unit under Sec.  97.1004 as of May 1, 2021 and is
allocated CSAPR NOX Ozone Season Group 3 allowances for such
control period or, in the case of an allocation under a provision of a
SIP revision approved under Sec.  52.38(b)(10), (11), (12), or (13) of
this chapter, the recipient is not actually a CSAPR NOX
Ozone Season Group 3 unit as of May 1, 2021 and is allocated CSAPR
NOX Ozone Season Group 3 allowances for such control period
that the SIP revision provides should be allocated only to recipients
that are CSAPR NOX Ozone Season Group 3 units as of May 1,
2021; or
    (B) The recipient is not located as of May 1 of the control period
in the State from whose NOX Ozone Season Group 3 trading
budget the CSAPR NOX Ozone Season Group 3 allowances
allocated under paragraph (a) of this section, or under a provision of
a SIP revision approved under Sec.  52.38(b)(10), (11), (12), or (13)
of this chapter, were allocated for such control period.
    (ii) The recipient is not actually a CSAPR NOX Ozone
Season Group 3 unit under Sec.  97.1004 as of May 1 of such control
period and is allocated CSAPR NOX Ozone Season Group 3
allowances for such control period or, in the case of an allocation
under a provision of a SIP revision approved under Sec.  52.38(b)(10),
(12), or (13) of this chapter, the recipient is not actually a

CSAPR NOX Ozone Season Group 3 unit as of May 1 of such
control period and is allocated CSAPR NOX Ozone Season Group
3 allowances for such control period that the SIP revision provides
should be allocated only to recipients that are CSAPR NOX
Ozone Season Group 3 units as of May 1 of such control period.
    (2) Except as provided in paragraph (c)(3) or (4) of this section,
the Administrator will not record such CSAPR NOX Ozone
Season Group 3 allowances under Sec.  97.1021.
    (3) If the Administrator already recorded such CSAPR NOX
Ozone Season Group 3 allowances under Sec.  97.1021 and if the
Administrator makes the determination under paragraph (c)(1) of this
section before making deductions for the source that includes such
recipient under Sec.  97.1024(b) for such control period, then the
Administrator will deduct from the account in which such CSAPR
NOX Ozone Season Group 3 allowances were recorded an amount
of CSAPR NOX Ozone Season Group 3 allowances allocated for
the same or a prior control period equal to the amount of such already
recorded CSAPR NOX Ozone Season Group 3 allowances. The
authorized account representative shall ensure that there are
sufficient CSAPR NOX Ozone Season Group 3 allowances in such
account for completion of the deduction.
    (4) If the Administrator already recorded such CSAPR NOX
Ozone Season Group 3 allowances under Sec.  97.1021 and if the
Administrator makes the determination under paragraph (c)(1) of this
section after making deductions for the source that includes such
recipient under Sec.  97.1024(b) for such control period, then the
Administrator will not make any deduction to take account of such
already recorded CSAPR NOX Ozone Season Group 3 allowances.
    (5)(i) With regard to the CSAPR NOX Ozone Season Group 3
allowances that are not recorded, or that are deducted as an incorrect
allocation, in accordance with paragraphs (c)(2) and (3) of this
section for a recipient under paragraph (c)(1)(i) of this section, the
Administrator will:
    (A) Transfer such CSAPR NOX Ozone Season Group 3
allowances to the new unit set-aside for such control period (or a
subsequent control period) for the State from whose NOX
Ozone Season Group 3 trading budget the CSAPR NOX Ozone
Season Group 3 allowances were allocated; or
    (B) If the State has a SIP revision approved under Sec.
52.38(b)(10), (12), or (13) of this chapter covering such control
period, include such CSAPR NOX Ozone Season Group 3
allowances in the portion of the State NOX Ozone Season
Group 3 trading budget that may be allocated for such control period
(or a subsequent control period) in accordance with such SIP revision.
    (ii) With regard to the CSAPR NOX Ozone Season Group 3
allowances that were not allocated from the Indian country new unit
set-aside for such control period and that are not recorded, or that
are deducted as an incorrect allocation, in accordance with paragraphs
(c)(2) and (3) of this section for a recipient under paragraph
(c)(1)(ii) of this section, the Administrator will:
    (A) Transfer such CSAPR NOX Ozone Season Group 3
allowances to the new unit set-aside for such control period (or a
subsequent control period); or
    (B) If the State has a SIP revision approved under Sec.
52.38(b)(10), (12), or (13) of this chapter covering such control
period, include such CSAPR NOX Ozone Season Group 3
allowances in the portion of the State NOX Ozone Season
Group 3 trading budget that may be allocated for such control period
(or a subsequent control period) in accordance with such SIP revision.
    (iii) With regard to the CSAPR NOX Ozone Season Group 3
allowances that were allocated from the Indian country new unit set-
aside for such control period and that are not recorded, or that are
deducted as an incorrect allocation, in accordance with paragraphs
(c)(2) and (3) of this section for a recipient under paragraph
(c)(1)(ii) of this section, the Administrator will transfer such CSAPR
NOX Ozone Season Group 3 allowances to the Indian country
new unit set-aside for such control period (or a subsequent control
period).

Sec.  97.1012   CSAPR NOX Ozone Season Group 3 allowance allocations to
new units.

    (a) Allocations from new unit set-asides. For each control period
in 2021 and thereafter and for the CSAPR NOX Ozone Season
Group 3 units in each State, the Administrator will allocate CSAPR
NOX Ozone Season Group 3 allowances to the CSAPR
NOX Ozone Season Group 3 units as follows:
    (1) The CSAPR NOX Ozone Season Group 3 allowances will
be allocated to the following CSAPR NOX Ozone Season Group 3
units, except as provided in paragraph (a)(10) of this section:
    (i) CSAPR NOX Ozone Season Group 3 units that are not
allocated an amount of CSAPR NOX Ozone Season Group 3
allowances in the notice of data availability issued under Sec.
97.1011(a)(1) and that have deadlines for certification of monitoring
systems under Sec.  97.1030(b) not later than September 30 of the year
of the control period;
    (ii) CSAPR NOX Ozone Season Group 3 units whose
allocation of an amount of CSAPR NOX Ozone Season Group 3
allowances for such control period in the notice of data availability
issued under Sec.  97.1011(a)(1) is covered by Sec.  97.1011(c)(2) or
(3);
    (iii) CSAPR NOX Ozone Season Group 3 units that are
allocated an amount of CSAPR NOX Ozone Season Group 3
allowances for such control period in the notice of data availability
issued under Sec.  97.1011(a)(1), which allocation is terminated for
such control period pursuant to Sec.  97.1011(a)(2), and that operate
during the control period immediately preceding such control period,
for a control period before 2023, or that operate during such control
period, for a control period in 2023 or thereafter; or
    (iv) For purposes of paragraph (a)(9) of this section, CSAPR
NOX Ozone Season Group 3 units under Sec.  97.1011(c)(1)(ii)
whose allocation of an amount of CSAPR NOX Ozone Season
Group 3 allowances for such control period in the notice of data
availability issued under Sec.  97.1011(b)(1)(ii)(B) is covered by
Sec.  97.1011(c)(2) or (3).
    (2) The Administrator will establish a separate new unit set-aside
for the State for each such control period. Each such new unit set-
aside will be allocated CSAPR NOX Ozone Season Group 3
allowances in an amount equal to the applicable amount of tons of
NOX emissions as set forth in Sec.  97.1010(a) and will be
allocated additional CSAPR NOX Ozone Season Group 3
allowances (if any) in accordance with Sec.  97.1011(a)(2) and (c)(5)
and paragraph (b)(10) of this section.
    (3) The Administrator will determine, for each CSAPR NOX
Ozone Season Group 3 unit described in paragraph (a)(1) of this
section, an allocation of CSAPR NOX Ozone Season Group 3
allowances for the latest of the following control periods and for each
subsequent control period:
    (i) The control period in 2021;
    (ii) The first control period after the control period containing
the deadline for certification of the CSAPR NOX Ozone Season
Group 3 unit's monitoring systems under Sec.  97.1030(b), for
allocations for a control period before 2023, or the control period
containing such deadline, for allocations for a control period in 2023
or thereafter;
    (iii) For a unit described in paragraph (a)(1)(ii) of this section,
the first control period in which the CSAPR NOX Ozone Season
Group 3 unit operates in the State after operating in another

jurisdiction and for which the unit is not already allocated one or
more CSAPR NOX Ozone Season Group 3 allowances; and
    (iv) For a unit described in paragraph (a)(1)(iii) of this section,
the first control period after the control period in which the unit
resumes operation, for allocations for a control period before 2023, or
the control period in which the unit resumes operation, for allocations
for a control period in 2023 or thereafter.
    (4) The allocation to each CSAPR NOX Ozone Season Group
3 unit described in paragraphs (a)(1)(i) through (iii) of this section
and for each control period described in paragraph (a)(3) of this
section will be an amount equal to the unit's total tons of
NOX emissions during the immediately preceding control
period, for a control period before 2023, or the unit's total tons of
NOX emissions during the control period, for a control
period in 2023 or thereafter.
    (ii) The Administrator will adjust the allocation amount in
paragraph (a)(4)(i) of this section in accordance with paragraphs
(a)(5) through (7) and (12) of this section.
    (5) The Administrator will calculate the sum of the allocation
amounts of CSAPR NOX Ozone Season Group 3 allowances
determined for all such CSAPR NOX Ozone Season Group 3 units
under paragraph (a)(4)(i) of this section in the State for such control
period.
    (6) If the amount of CSAPR NOX Ozone Season Group 3
allowances in the new unit set-aside for the State for such control
period is greater than or equal to the sum under paragraph (a)(5) of
this section, then the Administrator will allocate the amount of CSAPR
NOX Ozone Season Group 3 allowances determined for each such
CSAPR NOX Ozone Season Group 3 unit under paragraph
(a)(4)(i) of this section.
    (7) If the amount of CSAPR NOX Ozone Season Group 3
allowances in the new unit set-aside for the State for such control
period is less than the sum under paragraph (a)(5) of this section,
then the Administrator will allocate to each such CSAPR NOX
Ozone Season Group 3 unit the amount of the CSAPR NOX Ozone
Season Group 3 allowances determined under paragraph (a)(4)(i) of this
section for the unit, multiplied by the amount of CSAPR NOX
Ozone Season Group 3 allowances in the new unit set-aside for such
control period, divided by the sum under paragraph (a)(5) of this
section, and rounded to the nearest allowance.
    (8) For a control period before 2023 only, the Administrator will
notify the public, through the promulgation of the notices of data
availability described in Sec.  97.1011(b)(1)(i) and (ii), of the
amount of CSAPR NOX Ozone Season Group 3 allowances
allocated under paragraphs (a)(2) through (7) and (12) of this section
for such control period to each CSAPR NOX Ozone Season Group
3 unit eligible for such allocation.
    (9) For a control period before 2023 only, if, after completion of
the procedures under paragraphs (a)(5) through (8) of this section for
such control period, any unallocated CSAPR NOX Ozone Season
Group 3 allowances remain in the new unit set-aside for the State for
such control period, the Administrator will allocate such CSAPR
NOX Ozone Season Group 3 allowances as follows--
    (i) The Administrator will determine, for each unit described in
paragraph (a)(1) of this section that commenced commercial operation
during the period starting January 1 of the year before the year of
such control period and ending November 30 of the year of such control
period, the positive difference (if any) between the unit's emissions
during such control period and the amount of CSAPR NOX Ozone
Season Group 3 allowances referenced in the notice of data availability
required under Sec.  97.1011(b)(1)(ii) for the unit for such control
period;
    (ii) The Administrator will determine the sum of the positive
differences determined under paragraph (a)(9)(i) of this section;
    (iii) If the amount of unallocated CSAPR NOX Ozone
Season Group 3 allowances remaining in the new unit set-aside for the
State for such control period is greater than or equal to the sum
determined under paragraph (a)(9)(ii) of this section, then the
Administrator will allocate the amount of CSAPR NOX Ozone
Season Group 3 allowances determined for each such CSAPR NOX
Ozone Season Group 3 unit under paragraph (a)(9)(i) of this section;
and
    (iv) If the amount of unallocated CSAPR NOX Ozone Season
Group 3 allowances remaining in the new unit set-aside for the State
for such control period is less than the sum under paragraph (a)(9)(ii)
of this section, then the Administrator will allocate to each such
CSAPR NOX Ozone Season Group 3 unit the amount of the CSAPR
NOX Ozone Season Group 3 allowances determined under
paragraph (a)(9)(i) of this section for the unit, multiplied by the
amount of unallocated CSAPR NOX Ozone Season Group 3
allowances remaining in the new unit set-aside for such control period,
divided by the sum under paragraph (a)(9)(ii) of this section, and
rounded to the nearest allowance.
    (10) If, after completion of the procedures under paragraphs (a)(9)
and (12) of this section for a control period before 2023, or under
paragraphs (a)(2) through (7) and (12) of this section for a control
period in 2023 or thereafter, any unallocated CSAPR NOX
Ozone Season Group 3 allowances remain in the new unit set-aside for
the State for such control period, the Administrator will allocate to
each CSAPR NOX Ozone Season Group 3 unit that is in the
State, is allocated an amount of CSAPR NOX Ozone Season
Group 3 allowances in the notice of data availability issued under
Sec.  97.1011(a)(1), and continues to be allocated CSAPR NOX
Ozone Season Group 3 allowances for such control period in accordance
with Sec.  97.1011(a)(2), an amount of CSAPR NOX Ozone
Season Group 3 allowances equal to the following: The total amount of
such remaining unallocated CSAPR NOX Ozone Season Group 3
allowances in such new unit set-aside, multiplied by the unit's
allocation under Sec.  97.1011(a) for such control period, divided by
the remainder of the amount of tons in the applicable State
NOX Ozone Season Group 3 trading budget minus the sum of the
amounts of tons in such new unit set-aside and the Indian country new
unit set-aside for the State for such control period, and rounded to
the nearest allowance.
    (11)(i) For a control period before 2023, the Administrator will
notify the public, through the promulgation of the notices of data
availability described in Sec.  97.1011(b)(1)(iii), (iv), and (v), of
the amount of CSAPR NOX Ozone Season Group 3 allowances
allocated under paragraphs (a)(9), (10), and (12) of this section for
such control period to each CSAPR NOX Ozone Season Group 3
unit eligible for such allocation.
    (ii) For a control period in 2023 or thereafter, the Administrator
will notify the public, through the promulgation of the notices of data
availability described in Sec.  97.1011(b)(1)(i), (ii), and (v), of the
amount of CSAPR NOX Ozone Season Group 3 allowances
allocated under paragraphs (a)(2) through (7), (10), and (12) of this
section for such control period to each CSAPR NOX Ozone
Season Group 3 unit eligible for such allocation.
    (12) Notwithstanding the requirements of paragraphs (a)(2) through
(11) of this section, if the calculations of allocations from a new
unit set-aside for a control period before 2023 under paragraph (a)(7)
of this section, paragraphs (a)(6) and (a)(9)(iv) of this section, or
paragraphs (a)(6), (a)(9)(iii), and (a)(10) of this section, or

for a control period in 2023 or thereafter under paragraph (a)(7) of
this section or paragraphs (a)(6) and (10) of this section, would
otherwise result in total allocations from such new unit set-aside
unequal to the total amount of such new unit set-aside, then the
Administrator will adjust the results of such calculations as follows.
The Administrator will list the CSAPR NOX Ozone Season Group
3 units in descending order based on such units' allocation amounts
under paragraph (a)(7), (a)(9)(iv), or (a)(10) of this section, as
applicable, and, in cases of equal allocation amounts, in alphabetical
order of the relevant sources' names and numerical order of the
relevant units' identification numbers, and will adjust each unit's
allocation amount under such paragraph upward or downward by one CSAPR
NOX Ozone Season Group 3 allowance (but not below zero) in
the order in which the units are listed, and will repeat this
adjustment process as necessary, until the total allocations from such
new unit set-aside equal the total amount of such new unit set-aside.
    (b) Allocations from Indian country new unit set-asides. For each
control period in 2021 and thereafter and for the CSAPR NOX
Ozone Season Group 3 units located in Indian country within the borders
of each State, the Administrator will allocate CSAPR NOX
Ozone Season Group 3 allowances to the CSAPR NOX Ozone
Season Group 3 units as follows:
    (1) The CSAPR NOX Ozone Season Group 3 allowances will
be allocated to the following CSAPR NOX Ozone Season Group 3
units, except as provided in paragraph (b)(10) of this section:
    (i) CSAPR NOX Ozone Season Group 3 units that are not
allocated an amount of CSAPR NOX Ozone Season Group 3
allowances in the notice of data availability issued under Sec.
97.1011(a)(1) and that have deadlines for certification of monitoring
systems under Sec.  97.1030(b) not later than September 30 of the year
of the control period; or
    (ii) For purposes of paragraph (b)(9) of this section, CSAPR
NOX Ozone Season Group 3 units under Sec.  97.1011(c)(1)(ii)
whose allocation of an amount of CSAPR NOX Ozone Season
Group 3 allowances for such control period in the notice of data
availability issued under Sec.  97.1011(b)(2)(ii)(B) is covered by
Sec.  97.1011(c)(2) or (3).
    (2) The Administrator will establish a separate Indian country new
unit set-aside for the State for each such control period. Each such
Indian country new unit set-aside will be allocated CSAPR
NOX Ozone Season Group 3 allowances in an amount equal to
the applicable amount of tons of NOX emissions as set forth
in Sec.  97.1010(a) and will be allocated additional CSAPR
NOX Ozone Season Group 3 allowances (if any) in accordance
with Sec.  97.1011(c)(5).
    (3) The Administrator will determine, for each CSAPR NOX
Ozone Season Group 3 unit described in paragraph (b)(1) of this
section, an allocation of CSAPR NOX Ozone Season Group 3
allowances for the later of the following control periods and for each
subsequent control period:
    (i) The control period in 2021; and
    (ii) The first control period after the control period containing
the deadline for certification of the CSAPR NOX Ozone Season
Group 3 unit's monitoring systems under Sec.  97.1030(b), for
allocations for a control period before 2023, or the control period
containing such deadline, for allocations for a control period in 2023
or thereafter.
    (4) The allocation to each CSAPR NOX Ozone Season Group
3 unit described in paragraph (b)(1)(i) of this section and for each
control period described in paragraph (b)(3) of this section will be an
amount equal to the unit's total tons of NOX emissions
during the immediately preceding control period, for a control period
before 2023, or the unit's total tons of NOX emissions
during the control period, for a control period in 2023 or thereafter.
    (ii) The Administrator will adjust the allocation amount in
paragraph (b)(4)(i) of this section in accordance with paragraphs
(b)(5) through (7) and (12) of this section.
    (5) The Administrator will calculate the sum of the allocation
amounts of CSAPR NOX Ozone Season Group 3 allowances
determined for all such CSAPR NOX Ozone Season Group 3 units
under paragraph (b)(4)(i) of this section in Indian country within the
borders of the State for such control period.
    (6) If the amount of CSAPR NOX Ozone Season Group 3
allowances in the Indian country new unit set-aside for the State for
such control period is greater than or equal to the sum under paragraph
(b)(5) of this section, then the Administrator will allocate the amount
of CSAPR NOX Ozone Season Group 3 allowances determined for
each such CSAPR NOX Ozone Season Group 3 unit under
paragraph (b)(4)(i) of this section.
    (7) If the amount of CSAPR NOX Ozone Season Group 3
allowances in the Indian country new unit set-aside for the State for
such control period is less than the sum under paragraph (b)(5) of this
section, then the Administrator will allocate to each such CSAPR
NOX Ozone Season Group 3 unit the amount of the CSAPR
NOX Ozone Season Group 3 allowances determined under
paragraph (b)(4)(i) of this section for the unit, multiplied by the
amount of CSAPR NOX Ozone Season Group 3 allowances in the
Indian country new unit set-aside for such control period, divided by
the sum under paragraph (b)(5) of this section, and rounded to the
nearest allowance.
    (8) For a control period before 2023 only, the Administrator will
notify the public, through the promulgation of the notices of data
availability described in Sec.  97.1011(b)(2)(i) and (ii), of the
amount of CSAPR NOX Ozone Season Group 3 allowances
allocated under paragraphs (b)(2) through (7) and (12) of this section
for such control period to each CSAPR NOX Ozone Season Group
3 unit eligible for such allocation.
    (9) For a control period before 2023 only, if, after completion of
the procedures under paragraphs (b)(5) through (8) of this section for
such control period, any unallocated CSAPR NOX Ozone Season
Group 3 allowances remain in the Indian country new unit set-aside for
the State for such control period, the Administrator will allocate such
CSAPR NOX Ozone Season Group 3 allowances as follows--
    (i) The Administrator will determine, for each unit described in
paragraph (b)(1) of this section that commenced commercial operation
during the period starting January 1 of the year before the year of
such control period and ending November 30 of the year of such control
period, the positive difference (if any) between the unit's emissions
during such control period and the amount of CSAPR NOX Ozone
Season Group 3 allowances referenced in the notice of data availability
required under Sec.  97.1011(b)(2)(ii) for the unit for such control
period;
    (ii) The Administrator will determine the sum of the positive
differences determined under paragraph (b)(9)(i) of this section;
    (iii) If the amount of unallocated CSAPR NOX Ozone
Season Group 3 allowances remaining in the Indian country new unit set-
aside for the State for such control period is greater than or equal to
the sum determined under paragraph (b)(9)(ii) of this section, then the
Administrator will allocate the amount of CSAPR NOX Ozone
Season Group 3 allowances determined for each such CSAPR NOX
Ozone Season Group 3 unit under paragraph (b)(9)(i) of this section;
and
    (iv) If the amount of unallocated CSAPR NOX Ozone Season
Group 3 allowances remaining in the Indian country new unit set-aside
for the State

for such control period is less than the sum under paragraph (b)(9)(ii)
of this section, then the Administrator will allocate to each such
CSAPR NOX Ozone Season Group 3 unit the amount of the CSAPR
NOX Ozone Season Group 3 allowances determined under
paragraph (b)(9)(i) of this section for the unit, multiplied by the
amount of unallocated CSAPR NOX Ozone Season Group 3
allowances remaining in the Indian country new unit set-aside for such
control period, divided by the sum under paragraph (b)(9)(ii) of this
section, and rounded to the nearest allowance.
    (10) If, after completion of the procedures under paragraphs (b)(9)
and (12) of this section for a control period before 2023, or under
paragraphs (b)(2) through (7) and (12) of this section for a control
period in 2023 or thereafter, any unallocated CSAPR NOX
Ozone Season Group 3 allowances remain in the Indian country new unit
set-aside for the State for such control period, the Administrator
will:
    (i) Transfer such unallocated CSAPR NOX Ozone Season
Group 3 allowances to the new unit set-aside for the State for such
control period; or
    (ii) If the State has a SIP revision approved under Sec.
52.38(b)(10), (12), or (13) of this chapter covering such control
period, include such unallocated CSAPR NOX Ozone Season
Group 3 allowances in the portion of the State NOX Ozone
Season Group 3 trading budget that may be allocated for such control
period in accordance with such SIP revision.
    (11)(i) For a control period before 2023, the Administrator will
notify the public, through the promulgation of the notices of data
availability described in Sec.  97.1011(b)(2)(iii), (iv), and (v), of
the amount of CSAPR NOX Ozone Season Group 3 allowances
allocated under paragraphs (b)(9), (10), and (12) of this section for
such control period to each CSAPR NOX Ozone Season Group 3
unit eligible for such allocation.
    (ii) For a control period in 2023 or thereafter, the Administrator
will notify the public, through the promulgation of the notices of data
availability described in Sec.  97.1011(b)(2)(i), (ii), and (v), of the
amount of CSAPR NOX Ozone Season Group 3 allowances
allocated under paragraphs (b)(2) through (7), (10), and (12) of this
section for such control period to each CSAPR NOX Ozone
Season Group 3 unit eligible for such allocation.
    (12) Notwithstanding the requirements of paragraphs (b)(2) through
(11) of this section, if the calculations of allocations from an Indian
country new unit set-aside for a control period before 2023 under
paragraph (b)(7) of this section or paragraphs (b)(6) and (b)(9)(iv) of
this section, or for a control period in 2023 or thereafter under
paragraph (b)(7) of this section, would otherwise result in total
allocations from such Indian country new unit set-aside unequal to the
total amount of such Indian country new unit set-aside, then the
Administrator will adjust the results of such calculations as follows.
The Administrator will list the CSAPR NOX Ozone Season Group
3 units in descending order based on such units' allocation amounts
under paragraph (b)(7) or (b)(9)(iv) of this section, as applicable,
and, in cases of equal allocation amounts, in alphabetical order of the
relevant sources' names and numerical order of the relevant units'
identification numbers, and will adjust each unit's allocation amount
under such paragraph upward or downward by one CSAPR NOX
Ozone Season Group 3 allowance (but not below zero) in the order in
which the units are listed, and will repeat this adjustment process as
necessary, until the total allocations from such Indian country new
unit set-aside equal the total amount of such Indian country new unit
set-aside.

Sec.  97.1013   Authorization of designated representative and
alternate designated representative.

    (a) Except as provided under Sec.  97.1015, each CSAPR
NOX Ozone Season Group 3 source, including all CSAPR
NOX Ozone Season Group 3 units at the source, shall have one
and only one designated representative, with regard to all matters
under the CSAPR NOX Ozone Season Group 3 Trading Program.
    (1) The designated representative shall be selected by an agreement
binding on the owners and operators of the source and all CSAPR
NOX Ozone Season Group 3 units at the source and shall act
in accordance with the certification statement in Sec.
97.1016(a)(4)(iii).
    (2) Upon and after receipt by the Administrator of a complete
certificate of representation under Sec.  97.1016:
    (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 CSAPR NOX Ozone Season Group 3 unit at the source in
all matters pertaining to the CSAPR NOX Ozone Season Group 3
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 CSAPR
NOX Ozone Season Group 3 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.  97.1015, each CSAPR
NOX Ozone Season Group 3 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
CSAPR NOX Ozone Season Group 3 units at the source and shall
act in accordance with the certification statement in Sec.
97.1016(a)(4)(iii).
    (2) Upon and after receipt by the Administrator of a complete
certificate of representation under Sec.  97.1016,
    (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 CSAPR
NOX Ozone Season Group 3 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.  97.1002, and Sec. Sec.  97.1014
through 97.1018, whenever the term ``designated representative'' (as
distinguished from the term ``common designated representative'') is
used in this subpart, the term shall be construed to include the
designated representative or any alternate designated representative.

Sec.  97.1014   Responsibilities of designated representative and
alternate designated representative.

    (a) Except as provided under Sec.  97.1018 concerning delegation of
authority to make submissions, each submission under the CSAPR
NOX Ozone Season Group 3 Trading Program shall be made,
signed, and certified by the designated representative or alternate
designated representative for each CSAPR NOX Ozone Season
Group 3 source and CSAPR NOX Ozone Season Group 3 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
CSAPR NOX Ozone Season Group 3 source or a CSAPR
NOX Ozone Season Group 3 unit only if the submission has
been made, signed, and certified in accordance with paragraph (a) of
this section and Sec.  97.1018.

Sec.  97.1015   Changing designated representative and alternate
designated representative; changes in owners and operators; changes in
units at the source.

    (a) Changing designated representative. The designated
representative may be changed at any time upon receipt by the
Administrator of a superseding complete certificate of representation
under Sec.  97.1016. 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 CSAPR NOX Ozone Season Group 3 source
and the CSAPR NOX Ozone Season Group 3 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.  97.1016. 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 CSAPR NOX Ozone Season Group 3 source and
the CSAPR NOX Ozone Season Group 3 units at the source.
    (c) Changes in owners and operators. (1) In the event an owner or
operator of a CSAPR NOX Ozone Season Group 3 source or a
CSAPR NOX Ozone Season Group 3 unit at the source is not
included in the list of owners and operators in the certificate of
representation under Sec.  97.1016, 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 CSAPR NOX Ozone Season Group 3 source or a CSAPR
NOX Ozone Season Group 3 unit at the source, including the
addition or removal of an owner or operator, the designated
representative or any alternate designated representative shall submit
a revision to the certificate of representation under Sec.  97.1016
amending the list of owners and operators to reflect the change.
    (d) Changes in units at the source. Within 30 days of any change in
which units are located at a CSAPR NOX Ozone Season Group 3
source (including the addition or removal of a unit), the designated
representative or any alternate designated representative shall submit
a certificate of representation under Sec.  97.1016 amending the list
of units to reflect the change.
    (1) If the change is the addition of a unit that operated (other
than for purposes of testing by the manufacturer before initial
installation) before being located at the source, then the certificate
of representation shall identify, in a format prescribed by the
Administrator, the entity from whom the unit was purchased or otherwise
obtained (including name, address, telephone number, and facsimile
number (if any)), the date on which the unit was purchased or otherwise
obtained, and the date on which the unit became located at the source.
    (2) If the change is the removal of a unit, then the certificate of
representation shall identify, in a format prescribed by the
Administrator, the entity to which the unit was sold or that otherwise
obtained the unit (including name, address, telephone number, and
facsimile number (if any)), the date on which the unit was sold or
otherwise obtained, and the date on which the unit became no longer
located at the source.

Sec.  97.1016   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 CSAPR NOX Ozone Season Group 3
source, and each CSAPR NOX Ozone Season Group 3 unit at the
source, for which the certificate of representation is submitted,