(iv) A demonstration that the proposed alternative is consistent with the purposes of the requirement for which the alternative is proposed and with the purposes of this subpart and part 75 of this chapter and that any adverse effect of approving the alternative will be de minimis; and
(v) Any other relevant information that the Administrator may require.
(c) Use of an alternative to any requirement referenced in paragraph (a) of this section is in accordance with this subpart only to the extent that the petition is approved in writing by the Administrator and that such use is in accordance with such approval.
77. Part 97 is amended by adding subpart DDDDD to read as follows:
Subpart DDDDD -- TR SO2 Group 2 Trading Program
97.701  Purpose.
97.702  Definitions.
97.703  Measurements, abbreviations, and acronyms.
97.704  Applicability.
97.705  Retired unit exemption.
97.706  Standard requirements.
97.707  Computation of time.
97.708  Administrative appeal procedures.
97.709  [Reserved]
97.710  State SO2 Group 2 trading budgets, new unit set-            asides, Indian country new unit set-asides and variability limits.
97.711  Timing requirements for TR SO2 Group 2 allowance allocations.
97.712  TR SO2 Group 2 allowance allocations to new units.
97.713  Authorization of designated representative and alternate designated representative.
97.714  Responsibilities of designated representative and alternate designated representative.
97.715  Changing designated representative and alternate designated representative; changes in owners and operators.
97.716  Certificate of representation.
97.717  Objections concerning designated representative and alternate designated representative.
97.718  Delegation by designated representative and alternate designated representative.
97.719  [Reserved]
97.720  Establishment of compliance accounts and general accounts.
97.721  Recordation of TR SO2 Group 2 allowance allocations.
97.722  Submission of TR SO2 Group 2 allowance transfers.
97.723  Recordation of TR SO2 Group 2 allowance transfers.
97.724  Compliance with TR SO2 Group 2 emissions limitation.
97.725  Compliance with TR SO2 Group 2 assurance provisions.
97.726  Banking.
97.727  Account error.
97.728  Administrator's action on submissions.
97.729  [RESERVED]
97.730  General monitoring, recordkeeping, and reporting requirements.
97.731  Initial monitoring system certification and recertification procedures.
97.732  Monitoring system out-of-control periods.
97.733  Notifications concerning monitoring.
97.734  Recordkeeping and reporting.
97.735  Petitions for alternatives to monitoring, recordkeeping, or reporting requirements.
Subpart DDDDD -- TR SO2 Group 2 Trading Program
§ 97.701  Purpose.
This subpart sets forth the general, designated representative, allowance, and monitoring provisions for the Transport Rule (TR) SO2  Group 2 Trading Program, under section 110 of the Clean Air Act and §52.39 of this chapter, as a means of mitigating interstate transport of fine particulates and sulfur dioxide.
§ 97.702  Definitions.
The terms used in this subpart shall have the meanings set forth in this section as follows:
Acid Rain Program means a multi-state SO2 and NOX air pollution control and emission reduction program established by the Administrator under title IV of the Clean Air Act and parts 72 through 78 of this chapter.
Administrator means the Administrator of the United States Environmental Protection Agency or the Director of the Clean Air Markets Division (or its successor determined by the Administrator) of the United States Environmental Protection Agency, the Administrator's duly authorized representative under this subpart.
Allocate or allocation means, with regard to TR SO2 Group 2 allowances, the determination by the Administrator, State, or permitting authority, in accordance with this subpart and any SIP revision submitted by the State and approved by the Administrator under §52.39(g), (h), or (i) of this chapter, of the amount of such TR SO2 Group 2 allowances to be initially credited, at no cost to the recipient, to:
(1) A TR SO2 Group 2 unit;
(2) A new unit set-aside;
(3) An Indian country new unit set-aside; or
(4) An entity not listed in paragraphs (1) through (3) of this definition;
(5) Provided that, if the Administrator, State, or permitting authority initially credits, to a TR SO2 Group 2 unit qualifying for an initial credit, a credit in the amount of zero TR SO2 Group 2 allowances, the TR SO2 Group 2 unit will be treated as being allocated an amount (i.e., zero) of TR SO2 Group 2 allowances.
Allowable SO2 emission rate means, for a unit, the most stringent State or federal SO2 emission rate limit (in lb/MWhr or, if in lb/mmBtu, converted to lb/MWhr by multiplying it by the unit's heat rate in mmBtu/MWhr) that is applicable to the unit and covers the longest averaging period not exceeding one year.
Allowance Management System means the system by which the Administrator records allocations, deductions, and transfers of TR SO2 Group 2 allowances under the TR SO2 Group 2 Trading Program.  Such allowances are allocated, recorded, held, deducted, or transferred only as whole allowances.
Allowance Management System account means an account in the Allowance Management System established by the Administrator for purposes of recording the allocation, holding, transfer, or deduction of TR SO2 Group 2 allowances.
Allowance transfer deadline means, for a control period in a given year, midnight of March 1 (if it is a business day), or midnight of the first business day thereafter (if March 1 is not a business day), immediately after such control period and is the deadline by which a TR SO2 Group 2 allowance transfer must be submitted for recordation in a TR SO2 Group 2 source's compliance account in order to be available for use in complying with the source's TR SO2  Group 2 emissions limitation for such control period in accordance with §§97.706 and 97.724.
Alternate designated representative means, for a TR SO2 Group 2 source and each TR SO2 Group 2 unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with this subpart, to act on behalf of the designated representative in matters pertaining to the TR SO2 Group 2 Trading Program.  If the TR SO2 Group 2 source is also subject to the Acid Rain Program, TR NOX Annual Trading Program, or TR NOX Ozone Season Trading Program, then this natural person shall be the same natural person as the alternate designated representative, as defined in the respective program.
Assurance account means an Allowance Management System account, established by the Administrator under §97.725(b)(3) for certain owners and operators of a group of one or more TR SO2 Group 2 sources and  units in a given State (and Indian country within the borders of such State), in which are held TR SO2 Group 2 allowances available for use for a control period in a given year in complying with the TR SO2 Group 2 assurance provisions in accordance with §§97.706 and 97.725.
Authorized account representative means, for a general account, the natural person who is authorized, in accordance with this subpart, to transfer and otherwise dispose of TR SO2 Group 2 allowances held in the general account and, for a TR SO2 Group 2 source's compliance account, the designated representative of the source.
Automated data acquisition and handling system or DAHS means the component of the continuous emission monitoring system, or other emissions monitoring system approved for use under this subpart, designed to interpret and convert individual output signals from pollutant concentration monitors, flow monitors, diluent gas monitors, and other component parts of the monitoring system to produce a continuous record of the measured parameters in the measurement units required by this subpart.
Biomass means --
(1) Any organic material grown for the purpose of being converted to energy;
(2) Any organic byproduct of agriculture that can be converted into energy; or
(3) Any material that can be converted into energy and is nonmerchantable for other purposes, that is segregated from other material that is nonmerchantable for other purposes, and that is;
(i) A forest-related organic resource, including mill residues, precommercial thinnings, slash, brush, or byproduct from conversion of trees to merchantable material; or
(ii) A wood material, including pallets, crates, dunnage, manufacturing and construction materials (other than pressure-treated, chemically-treated, or painted wood products), and landscape or right-of-way tree trimmings.
Boiler means an enclosed fossil- or other-fuel-fired combustion device used to produce heat and to transfer heat to recirculating water, steam, or other medium.
Bottoming-cycle unit means a unit in which the energy input to the unit is first used to produce useful thermal energy, where at least some of the reject heat from the useful thermal energy application or process is then used for electricity production.
Business day means a day that does not fall on a weekend or a federal holiday.
Certifying official means a natural person who is:
Automated data acquisition and handling system or DAHS means the component of the continuous emission monitoring system, or other emissions monitoring system approved for use under this subpart, designed to interpret and convert individual output signals from pollutant concentration monitors, flow monitors, diluent gas monitors, and other component parts of the monitoring system to produce a continuous record of the measured parameters in the measurement units required by this subpart.
Biomass means --
(1) Any organic material grown for the purpose of being converted to energy;
(2) Any organic byproduct of agriculture that can be converted into energy; or
(3) Any material that can be converted into energy and is nonmerchantable for other purposes, that is segregated from other material that is nonmerchantable for other purposes, and that is;
(i) A forest-related organic resource, including mill residues, precommercial thinnings, slash, brush, or byproduct from conversion of trees to merchantable material; or
(ii) A wood material, including pallets, crates, dunnage, manufacturing and construction materials (other than pressure-treated, chemically-treated, or painted wood products), and landscape or right-of-way tree trimmings.
Boiler means an enclosed fossil- or other-fuel-fired combustion device used to produce heat and to transfer heat to recirculating water, steam, or other medium.
Bottoming-cycle unit means a unit in which the energy input to the unit is first used to produce useful thermal energy, where at least some of the reject heat from the useful thermal energy application or process is then used for electricity production.
Business day means a day that does not fall on a weekend or a federal holiday.
Certifying official means a natural person who is:
(1) For a corporation, a president, secretary, treasurer, or vice-president of the corporation in charge of a principal business function or any other person who performs similar policy- or decision-making functions for the corporation;
(2) For a partnership or sole proprietorship, a general partner or the proprietor respectively; or
(3) For a local government entity or State, federal, or other public agency, a principal executive officer or ranking elected official.
Clean Air Act means the Clean Air Act, 42 U.S.C. 7401, et seq.
Coal means "coal" as defined in §72.2 of this chapter.
Coal-derived fuel means any fuel (whether in a solid, liquid, or gaseous state) produced by the mechanical, thermal, or chemical processing of coal.
Cogeneration system means an integrated group, at a source, of equipment (including a boiler, or combustion turbine, and a steam turbine generator) designed to produce useful thermal energy for industrial, commercial, heating, or cooling purposes and electricity through the sequential use of energy.
Cogeneration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a topping-cycle unit or a bottoming-cycle unit:
(1) Operating as part of a cogeneration system; and
(2) Producing on an annual average basis --
(i) For a topping-cycle unit,
(A) Useful thermal energy not less than 5 percent of total energy output; and
(B) Useful power that, when added to one-half of useful thermal energy produced, is not less than 42.5 percent of total energy input, if useful thermal energy produced is 15 percent or more of total energy output, or not less than 45 percent of total energy input, if useful thermal energy produced is less than 15 percent of total energy output.
(ii) For a bottoming-cycle unit, useful power not less than 45 percent of total energy input;
(3) Provided that the requirements in paragraph (2) of this definition shall not apply to a calendar year referenced in paragraph (2) of this definition during which the unit did not operate at all;
(4) Provided that the total energy input under paragraphs (2)(i)(B) and (2)(ii) of this definition shall equal the unit's total energy input from all fuel, except biomass if the unit is a boiler; and
(5) Provided that, if, throughout its operation during the 12-month period or a calendar year referenced in paragraph (2) of this definition, a unit is operated as part of a cogeneration system and the cogeneration system meets on a system-wide basis the requirement in paragraph (2)(i)(B) or (2)(ii) of this definition, the unit shall be deemed to meet such requirement during that 12-month period or calendar year.
Combustion turbine means an enclosed device comprising:
(1) If the device is simple cycle, a compressor, a combustor, and a turbine and in which the flue gas resulting from the combustion of fuel in the combustor passes through the turbine, rotating the turbine; and
(2) If the device is combined cycle, the equipment described in paragraph (1) of this definition and any associated duct burner, heat recovery steam generator, and steam turbine.
Commence commercial operation means, with regard to a unit:
(1) To have begun to produce steam, gas, or other heated medium used to generate electricity for sale or use, including test generation, except as provided in §97.705.
(i) For a unit that is a TR SO2 Group 2 unit under §97.704 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that subsequently undergoes a physical change or is moved to a new location or source, such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be treated as the same unit.
(ii) For a unit that is a TR SO2 Group 2 unit under §97.704 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that is subsequently replaced by a unit at the same or a different source, such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined in paragraph (1) or (2) of this definition as appropriate.
(2) Notwithstanding paragraph (1) of this definition and except as provided in §97.705, for a unit that is not a TR SO2 Group 2 unit under §97.704 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in introductory text of paragraph (1) of this definition, the unit's date for commencement of commercial operation shall be the date on which the unit becomes a TR SO2 Group 2 unit under §97.704.
(i) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that subsequently undergoes a physical change or is moved to a different location or source, such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be treated as the same unit.
(ii) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that is subsequently replaced by a unit at the same or a different source, such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined in paragraph (1) or (2) of this definition as appropriate.
Common designated representative means, with regard to a control period in a given year, a designated representative where, as of April 1 immediately after the allowance transfer deadline for such control period, the same natural person is authorized under §§97.713(a) and 97.715(a) as the designated representative for a group of one or more TR SO2 Group 2 sources and units located in a State (and Indian country within the borders of such State).
Common designated representative's assurance level means, with regard to a specific common designated representative and a State (and Indian country within the borders of such State) and control period in a given year for which the State assurance level is exceeded as described in §97.706(c)(2)(iii), the common designated representative's share of the State SO2 Group 2 trading budget with the variability limit for the State for such control period.
Common designated representative's share means, with regard to a specific common designated representative for a control period in a given year:
(1) With regard to a total amount of SO2 emissions from all TR SO2 Group 2 units in a State (and Indian country within the borders of such State) during such control period, the total tonnage of SO2 emissions during such control period from a group of one or more TR SO2 Group 2 units located in such State (and such Indian country) and having the common designated representative for such control period;
(2) With regard to a State SO2 Group 2 trading budget for such control period, the amount (rounded to the nearest allowance) equal to the sum of the total amount of TR SO2 Group 2 allowances allocated for such control period to a group of one or more TR SO2 Group 2 units located in the State (and Indian country within the borders of such State) and having the common designated representative for such control period and of the total amount of TR SO2 Group 2 allowances purchased by an owner or operator of such TR SO2 Group 2 units in an auction for such control period and submitted by the State or the permitting authority to the Administrator for recordation in the compliance accounts for such TR SO2 Group 2 units in accordance with the TR SO2 Group 2 allowance auction provisions in a SIP revision approved by the Administrator under §52.39(h) or (i) of this chapter, multiplied by the sum of the State SO2 Group 2 trading budget under §97.710(a) and the State's variability limit under §97.710(b) for such control period and divided by such State SO2 Group 2 trading budget;
(3) Provided that, in the case of a unit that operates during, but has no amount of TR SO2 Group 2 allowances allocated under §§97.711 and 97.712 for, such control period, the unit shall be treated, solely for purposes of this definition, as being allocated an amount (rounded to the nearest allowance) of TR SO2 Group 2 allowances for such control period equal to the  unit's allowable SO2 emission rate applicable to such control period, multiplied by a capacity factor of 0.85 (if the unit is a boiler combusting any amount of coal or coal-derived fuel during such control period), 0.24 (if the unit is a simple combustion turbine during such control period), 0.67 (if the unit is a combined cycle turbine during such control period), 0.74 (if the unit is an integrated coal gasification combined cycle unit during such control period), or 0.36 (for any other unit), multiplied by the unit's maximum hourly load as reported in accordance with this subpart and by 8,760 hours/control period, and divided by 2,000 lb/ton.
Common stack means a single flue through which emissions from 2 or more units are exhausted.
Compliance account means an Allowance Management System account, established by the Administrator for a TR SO2 Group 2 source under this subpart, in which any TR SO2 Group 2 allowance allocations to the TR SO2 Group 2 units at the source are recorded and in which are held any TR SO2 Group 2 allowances available for use for a control period in a given year in complying with the source's TR SO2 Group 2 emissions limitation in accordance with §§97.706 and 97.724.
Continuous emission monitoring system or CEMS means the equipment required under this subpart to sample, analyze, measure, and provide, by means of readings recorded at least once every 15 minutes and using an automated data acquisition and handling system (DAHS), a permanent record of SO2 emissions, stack gas volumetric flow rate, stack gas moisture content, and O2 or CO2 concentration (as applicable), in a manner consistent with part 75 of this chapter and §§97.730 through 97.735.  The following systems are the principal types of continuous emission monitoring systems:
(1) A flow monitoring system, consisting of a stack flow rate monitor and an automated data acquisition and handling system and providing a permanent, continuous record of stack gas volumetric flow rate, in standard cubic feet per hour (scfh);
(2) A SO2 monitoring system, consisting of a SO2 pollutant concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of SO2 emissions, in parts per million (ppm);
(3) A moisture monitoring system, as defined in §75.11(b)(2) of this chapter and providing a permanent, continuous record of the stack gas moisture content, in percent H2O;
(4) A CO2 monitoring system, consisting of a CO2 pollutant concentration monitor (or an O2 monitor plus suitable mathematical equations from which the CO2 concentration is derived) and an automated data acquisition and handling system and providing a permanent, continuous record of CO2 emissions, in percent CO2; and
(5) An O2 monitoring system, consisting of an O2 concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of O2, in percent O2.
Control period means the period starting January 1 of a calendar year, except as provided in §97.706(c)(3), and ending on December 31 of the same year, inclusive.
Designated representative means, for a TR SO2 Group 2 source and each TR SO2 Group 2 unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with this subpart, to represent and legally bind each owner and operator in matters pertaining to the TR SO2 Group 2 Trading Program.  If the TR SO2 Group 2 source is also subject to the Acid Rain Program, TR NOX Annual Trading Program, or TR NOX Ozone Season Trading Program, then this natural person shall be the same natural person as the designated representative, as defined in the respective program.
Emissions means air pollutants exhausted from a unit or source into the atmosphere, as measured, recorded, and reported to the Administrator by the designated representative, and as modified by the Administrator:
(1) In accordance with this subpart; and
(2) With regard to a period before the unit or source is required to measure, record, and report such air pollutants in accordance with this subpart, in accordance with part 75 of this chapter.
Excess emissions means any ton of emissions from the TR SO2 Group 2 units at a TR SO2 Group 2 source during a control period in a given year that exceeds the TR SO2 Group 2 emissions limitation for the source for such control period.
Fossil fuel means --
(1) Natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material; or
(2) For purposes of applying the limitation on "average annual fuel consumption of fossil fuel" in §§97.704(b)(2)(i)(B) and (ii), natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material for the purpose of creating useful heat.
Fossil-fuel-fired means, with regard to a unit, combusting any amount of fossil fuel in 2005 or any calendar year thereafter.
Fossil-fuel-fired means, with regard to a unit, combusting any amount of fossil fuel in 2005 or any calendar year thereafter.

General account means an Allowance Management System account, established under this subpart, that is not a compliance account or an assurance account.
Generator means a device that produces electricity.
Gross electrical output means, for a unit, electricity made available for use, including any such electricity used in the power production process (which process includes, but is not limited to, any on-site processing or treatment of fuel combusted at the unit and any on-site emission controls).
Heat input means, for a unit for a specified period of time, the product (in mmBtu/time) of the gross calorific value of the fuel (in mmBtu/lb) fed into the unit multiplied by the fuel feed rate (in lb of fuel/time), as measured, recorded, and reported to the Administrator by the designated representative and as modified by the Administrator in accordance with this subpart and excluding the heat derived from preheated combustion air, recirculated flue gases, or exhaust.
Heat input rate means, for a unit, the amount of heat input (in mmBtu) divided by unit operating time (in hr) or, for a unit and a specific fuel, the amount of heat input attributed to the fuel (in mmBtu) divided by the unit operating time (in hr) during which the unit combusts the fuel.
Heat rate means, for a unit, the unit's maximum design heat input (in Btu/hr), divided by the product of 1,000,000 Btu/mmBtu and the unit's maximum hourly load.
Indian country means "Indian country" as defined in 18 U.S.C. 1151

.
Life-of-the-unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is entitled to receive, a specified amount or percentage of nameplate capacity and associated energy generated by any specified unit and pays its proportional amount of such unit's total costs, pursuant to a contract:
(1) For the life of the unit;
(2) For a cumulative term of no less than 30 years, including contracts that permit an election for early termination; or
(3) For a period no less than 25 years or 70 percent of the economic useful life of the unit determined as of the time the unit is built, with option rights to purchase or release some portion of the nameplate capacity and associated energy generated by the unit at the end of the period.
Maximum design heat input means, for a unit, the maximum amount of fuel per hour (in Btu/hr) that the unit is capable of combusting on a steady state basis as of the initial installation of the unit as specified by the manufacturer of the unit.
Monitoring system means any monitoring system that meets the requirements of this subpart, including a continuous emission monitoring system, an alternative monitoring system, or an excepted monitoring system under part 75 of this chapter.
Nameplate capacity means, starting from the initial installation of a generator, the maximum electrical generating output (in MWe, rounded to the nearest tenth) that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings) as of such installation as specified by the manufacturer of the generator or, starting from the completion of any subsequent physical change in the generator resulting in an increase in the maximum electrical generating output that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings), such increased maximum amount (in MWe, rounded to the nearest tenth) as of such completion as specified by the person conducting the physical change.
Natural gas means "natural gas" as defined in §72.2 of this chapter.
Newly affected TR SO2 Group 2 unit means a unit that was not a TR SO2 Group 2 unit when it began operating but that thereafter becomes a TR SO2 Group 2 unit.
Operate or operation means, with regard to a unit, to combust fuel.
Operator means, for a TR SO2 Group 2 source or a TR SO2 Group 2 unit at a source respectively, any person who operates, controls, or supervises a TR SO2 Group 2 unit at the source or the TR SO2 Group 2 unit and shall include, but not be limited to, any holding company, utility system, or plant manager of such source or unit.
Owner means, for a TR SO2 Group 2 source or a TR SO2 Group 2 unit at a source respectively, any of the following persons:
(1) Any holder of any portion of the legal or equitable title in a TR SO2 Group 2 unit at the source or the TR SO2 Group 2 unit;
(2) Any holder of a leasehold interest in a TR SO2 Group 2 unit at the source or the TR SO2 Group 2 unit, provided that, unless expressly provided for in a leasehold agreement, "owner" shall not include a passive lessor, or a person who has an equitable interest through such lessor, whose rental payments are not based (either directly or indirectly) on the revenues or income from such TR SO2 Group 2 unit; and
(3) Any purchaser of power from a TR SO2 Group 2 unit at the source or the TR SO2 Group 2 unit under a life-of-the-unit, firm power contractual arrangement.
Permanently retired means, with regard to a unit, a unit that is unavailable for service and that the unit's owners and operators do not expect to return to service in the future.
Permitting authority means "permitting authority" as defined in §§70.2 and 71.2 of this chapter.
Potential electrical output capacity means, for a unit, 33 percent of the unit's maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000 kWh/MWh, and multiplied by 8,760 hr/yr.
Receive or receipt of means, when referring to the Administrator, to come into possession of a document, information, or correspondence (whether sent in hard copy or by authorized electronic transmission), as indicated in an official log, or by a notation made on the document, information, or correspondence, by the Administrator in the regular course of business.
Recordation, record, or recorded means, with regard to TR SO2 Group 2 allowances, the moving of TR SO2 Group 2 allowances by the Administrator into, out of, or between Allowance Management System accounts, for purposes of allocation, auction, transfer, or deduction.
Reference method means any direct test method of sampling and analyzing for an air pollutant as specified in §75.22 of this chapter.
Replacement, replace, or replaced means, with regard to a unit, the demolishing of a unit, or the permanent retirement and permanent disabling of a unit, and the construction of another unit (the replacement unit) to be used instead of the demolished or retired unit (the replaced unit).
Sequential use of energy means:
(1) The use of reject heat from electricity production in a useful thermal energy application or process; or
(2) The use of reject heat from useful thermal energy application or process in electricity production.
Serial number means, for a TR SO2 Group 2 allowance, the unique identification number assigned to each TR SO2 Group 2 allowance by the Administrator.
Solid waste incineration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a "solid waste incineration unit" as defined in section 129(g)(1) of the Clean Air Act.
Source means all buildings, structures, or installations located in one or more contiguous or adjacent properties under common control of the same person or persons.  This definition does not change or otherwise affect the definition of "major source", "stationary source", or "source" as set forth and implemented in a title V operating permit program or any other program under the Clean Air Act.
State means one of the States that is subject to the TR SO2 Group 2 Trading Program pursuant to §52.39(a),(c), (g), (h), and (i) of this chapter.
Submit or serve means to send or transmit a document, information, or correspondence to the person specified in accordance with the applicable regulation:
(1) In person;
(2) By United States Postal Service; or
(3) By other means of dispatch or transmission and delivery;
(4) Provided that compliance with any "submission" or "service" deadline shall be determined by the date of dispatch, transmission, or mailing and not the date of receipt.
Topping-cycle unit means a unit in which the energy input to the unit is first used to produce useful power, including electricity, where at least some of the reject heat from the electricity production is then used to provide useful thermal energy.
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.
Total energy input means, for a unit, total energy of all forms supplied to the unit, excluding energy produced by the unit. Each form of energy supplied shall be measured by the lower heating value of that form of energy calculated as follows:
LHV = HHV − 10.55(W + 9H)
Where:
LHV = lower heating value of the form of energy in Btu/lb,
HHV = higher heating value of the form of energy in Btu/lb,
W = weight % of moisture in the form of energy, and
H = weight % of hydrogen in the form of energy.
Total energy output means, for a unit, the sum of useful power and useful thermal energy produced by the unit.
TR NOX Annual Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with subpart AAAAA of this part and §52.38(a) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(a)(3) or (4) of this chapter) or with a SIP revision approved by the Administrator under §52.38(a)(5) of this chapter, as a means of mitigating interstate transport of fine particulates and NOX.
TR NOX Ozone Season Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with subpart BBBBB of this part and §52.38(b) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.38(b)(3) or (4) of this chapter) or with a SIP revision approved by the Administrator under §52.38(b)(5) of this chapter, as a means of mitigating interstate transport of ozone and NOX.
TR SO2 Group 2 allowance means a limited authorization issued and allocated or auctioned by the Administrator under this subpart, or by a State or permitting authority under a SIP revision approved by the Administrator under §52.39(g), (h), or (i) of this chapter, to emit one ton of SO2 during a control period of the specified calendar year for which the authorization is allocated or auctioned or of any calendar year thereafter under the TR SO2 Group 2 Trading Program.
TR SO2 Group 2 allowance deduction or deduct TR SO2 Group 2 allowances means the permanent withdrawal of TR SO2 Group 2 allowances by the Administrator from a compliance account (e.g., in order to account for compliance with the TR SO2 Group 2 emissions limitation) or from an assurance account (e.g., in order to account for compliance with the assurance provisions under §§97.706 and 97.725).
TR SO2 Group 2 allowances held or hold TR SO2 Group 2 allowances means the TR SO2 Group 2 allowances treated as included in an Allowance Management System account as of a specified point in time because at that time they:
(1) Have been recorded by the Administrator in the account or transferred into the account by a correctly submitted, but not yet recorded, TR SO2 Group 2 allowance transfer in accordance with this subpart; and
(2) Have not been transferred out of the account by a correctly submitted, but not yet recorded, TR SO2 Group 2 allowance transfer in accordance with this subpart.
TR SO2 Group 2 emissions limitation means, for a TR SO2 Group 2 source, the tonnage of SO2 emissions authorized in a control period by the TR SO2 Group 2 allowances available for deduction for the source under §97.724(a) for such control period.
TR SO2 Group 2 source means a source that includes one or more TR SO2 Group 2 units.
TR SO2 Group 2 Trading Program means a multi-state SO2 air pollution control and emission reduction program established by the Administrator in accordance with this subpart and §52.39(a)and (c) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under §52.39(g) or (h) of this chapter) or with a SIP revision approved by the Administrator under §52.39(i) of this chapter, as a means of mitigating interstate transport of fine particulates and SO2.
TR SO2 Group 2 unit means a unit that is subject to the TR SO2 Group 2 Trading Program under §97.704.
Unit means a stationary, fossil-fuel-fired boiler, stationary, fossil-fuel-fired combustion turbine, or other stationary, fossil-fuel-fired combustion device.  A unit that undergoes a physical change or is moved to a different location or source shall continue to be treated as the same unit.  A unit (the replaced unit) that is replaced by another unit (the replacement unit) at the same or a different source shall continue to be treated as the same unit, and the replacement unit shall be treated as a separate unit.
Unit operating day means, with regard to a unit, a calendar day in which the unit combusts any fuel.
Unit operating hour or hour of unit operation means, with regard to a unit, an hour in which the unit combusts any fuel.
Useful power means, with regard to a unit, electricity or mechanical energy that the unit makes available for use, excluding any such energy used in the power production process (which process includes, but is not limited to, any on-site processing or treatment of fuel combusted at the unit and any on-site emission controls).
Useful thermal energy means thermal energy that is:
(1) Made available to an industrial or commercial process (not a power production process), excluding any heat contained in condensate return or makeup water;
(2) Used in a heating application (e.g., space heating or domestic hot water heating); or
(3) Used in a space cooling application (i.e., in an absorption chiller).
Utility power distribution system means the portion of an electricity grid owned or operated by a utility and dedicated to delivering electricity to customers.
§ 97.703  Measurements, abbreviations, and acronyms.
Measurements, abbreviations, and acronyms used in this subpart are defined as follows:
Btu -- British thermal unit
CO2 -- carbon dioxide
H2O -- water
hr -- hour
kW -- kilowatt electrical
kWh -- kilowatt hour
lb -- pound
mmBtu -- million Btu
MWe -- megawatt electrical
MWh -- megawatt hour
NOX -- nitrogen oxides
O2 -- oxygen
ppm -- parts per million
scfh -- standard cubic feet per hour
SO2 -- sulfur dioxide
yr -- year
§ 97.704  Applicability.
(a) Except as provided in paragraph (b) of this section:
(1) The following units in a State (and Indian country within the borders of such State) shall be TR SO2 Group 2 units, and any source that includes one or more such units shall be a TR SO2 Group 2 source, subject to the requirements of this subpart: any stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine serving at any time, on or after January 1, 2005, a generator with nameplate capacity of more than 25 MWe producing electricity for sale.
(2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a TR SO2 Group 2 unit begins to combust fossil fuel or to serve a generator with nameplate capacity of more than 25 MWe producing electricity for sale, the unit shall become a TR SO2 Group 2 unit as provided in paragraph (a)(1) of this section on the first date on which it both combusts fossil fuel and serves such generator.
(b) Any unit in a State (and Indian country within the borders of such State) that otherwise is a TR SO2 Group 2 unit under paragraph (a) of this section and that meets the requirements set forth in paragraph (b)(1)(i) or (2)(i) of this section shall not be a TR SO2 Group 2 unit:
(1)(i) Any unit:
(A) Qualifying as a cogeneration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
(B) Not supplying in 2005 or any calendar year thereafter more than one-third of the unit's potential electric output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale.
(ii) If, after qualifying under paragraph (b)(1)(i) of this section as not being a TR SO2 Group 2 unit, a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section, the unit shall become a TR SO2 Group 2 unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a cogeneration unit or January 1 after the first calendar year during which the unit no longer meets the requirements of paragraph (b)(1)(i)(B) of this section.  The unit shall thereafter continue to be a TR SO2 Group 2 unit.
(2)(i) Any unit:
(A) Qualifying as a solid waste incineration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a solid waste incineration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
(B) With an average annual fuel consumption of fossil fuel for the first 3 consecutive calendar years of operation starting no earlier than 2005 of less than 20 percent (on a Btu basis) and an average annual fuel consumption of fossil fuel for any 3 consecutive calendar years thereafter of less than 20 percent (on a Btu basis).
(ii) If, after qualifying under paragraph (b)(2)(i) of this section as not being a TR SO2 Group 2 unit, a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section, the unit shall become a TR SO2 Group 2 unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a solid waste incineration unit or January 1 after the first 3 consecutive calendar years after 2005 for which the unit has an average annual fuel consumption of fossil fuel of 20 percent or more.  The unit shall thereafter continue to be a TR SO2 Group 2 unit.
(c) A certifying official of an owner or operator of any unit or other equipment may submit a petition (including any supporting documents) to the Administrator at any time for a determination concerning the applicability, under paragraphs (a) and (b) of this section or a SIP revision approved under §52.39(h) or (i) of this chapter, of the TR SO2 Group 2 Trading Program to the unit or other equipment.
(1) Petition content. The petition shall be in writing and include the identification of the unit or other equipment and the relevant facts about the unit or other equipment. The petition and any other documents provided to the Administrator in connection with the petition shall include the following certification statement, signed by the certifying official: "I am authorized to make this submission on behalf of the owners and operators of the unit or other equipment for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
(2) Response. The Administrator will issue a written response to the petition and may request supplemental information determined by the Administrator to be relevant to such petition. The Administrator's determination concerning the applicability, under paragraphs (a) and (b) of this section, of the TR SO2 Group 2 Trading Program to the unit or other equipment shall be binding on any State or permitting authority unless the Administrator determines that the petition or other documents or information provided in connection with the petition contained significant, relevant errors or omissions.
§ 97.705  Retired unit exemption.
(a)(1) Any TR SO2 Group 2 unit that is permanently retired shall be exempt from §97.706(b) and (c)(1), §97.724, and §§97.730 through 97.735.
(2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the TR SO2 Group 2 unit is permanently retired.  Within 30 days of the unit's permanent retirement, the designated representative shall submit a statement to the Administrator. The statement shall state, in a format prescribed by the Administrator, that the unit was permanently retired on a specified date and will comply with the requirements of paragraph (b) of this section.
(b) Special provisions. (1) A unit exempt under paragraph (a) of this section shall not emit any SO2, starting on the date that the exemption takes effect.
(2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under paragraph (a) of this section shall retain, at the source that includes the unit, records demonstrating that the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period, in writing by the Administrator. The owners and operators bear the burden of proof that the unit is permanently retired.
(3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under paragraph (a) of this section shall comply with the requirements of the TR SO2 Group 2 Trading Program concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption takes effect.
(4) A unit exempt under paragraph (a) of this section shall lose its exemption on the first date on which the unit resumes operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and recordkeeping requirements under this subpart, as a unit that commences commercial operation on the first date on which the unit resumes operation.
§ 97.706  Standard requirements.
(a) Designated representative requirements.  The owners and operators shall comply with the requirement to have a designated representative, and may have an alternate designated representative, in accordance with §§97.713 through 97.718.
(b) Emissions monitoring, reporting, and recordkeeping requirements.  (1) The owners and operators, and the designated representative, of each TR SO2 Group 2 source and each TR SO2 Group 2 unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of §§97.730 through 97.735.
(2) The emissions data determined in accordance with §§97.730 through 97.735 shall be used to calculate allocations of TR SO2 Group 2 allowances under §§97.711(a)(2) and (b) and 97.712 and to determine compliance with the TR SO2 Group 2 emissions limitation and assurance provisions under paragraph (c) of this section, provided that, for each monitoring location from which mass emissions are reported, the mass emissions amount used in calculating such allocations and determining such compliance shall be the mass emissions amount for the monitoring location determined in accordance with §§97.730 through 97.735 and rounded to the nearest ton, with any fraction of a ton less than 0.50 being deemed to be zero.
(c) SO2 emissions requirements.  (1) TR SO2 Group 2 emissions limitation. (i) As of the allowance transfer deadline for a control period in a given year, the owners and operators of each TR SO2 Group 2 source and each TR SO2 Group 2 unit at the source shall hold, in the source's compliance account, TR SO2 Group 2 allowances available for deduction for such control period under §97.724(a) in an amount not less than the tons of total SO2 emissions for such control period from all TR SO2 Group 2 units at the source.
(ii) If total SO2 emissions during a control period in a given year from the TR SO2 Group 2 units at a TR SO2 Group 2 source are in excess of the TR SO2 Group 2 emissions limitation set forth in paragraph (c)(1)(i) of this section, then:
(A) The owners and operators of the source and each TR SO2  Group 2 unit at the source shall hold the TR SO2 Group 2 allowances required for deduction under §97.724(d); and
(B) The owners and operators of the source and each TR SO2  Group 2 unit at the source shall pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act, and each ton of such excess emissions and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(2) TR SO2 Group 2 assurance provisions.  (i) If total SO2 emissions during a control period in a given year from all TR SO2 Group 2 units at TR SO2 Group 2 sources in a State (and Indian country within the borders of such State) exceed the State assurance level, then the owners and operators of such sources and units in each group of one or more sources and units having a common designated representative for such control period, where the common designated representative's share of such SO2 emissions during such control period exceeds the common designated representative's assurance level for the State and such control period, shall hold (in the assurance account established for the owners and operators of such group) TR SO2 Group 2 allowances available for deduction for such control period under §97.725(a) in an amount equal to two times the product (rounded to the nearest whole number), as determined by the Administrator in accordance with §97.725(b), of multiplying --
(A) The quotient of the amount by which the common designated representative's share of such SO2 emissions exceeds the common designated representative's assurance level divided by the sum of the amounts, determined for all common designated representatives for such sources and units in the State (and Indian country within the borders of such State) for such control period, by which each common designated representative's share of such SO2 emissions exceeds the respective common designated representative's assurance level; and
(B) The amount by which total SO2 emissions from all TR SO2 Group 2 units at TR SO2 Group 2 sources in the State (and Indian country within the borders of such State) for such control period exceed the State assurance level.
(ii) The owners and operators shall hold the TR SO2 Group 2 allowances required under paragraph (c)(2)(i) of this section, as of midnight of November 1 (if it is a business day), or midnight of the first business day thereafter (if November 1 is not a business day), immediately after such control period.
(iii) Total SO2 emissions from all TR SO2 Group 2 units at TR SO2 Group 2 sources in a State (and Indian country within the borders of such State) during a control period in a given year exceed the State assurance level if such total SO2 emissions exceed the sum, for such control period, of the State SO2 Group 2 trading budget under §97.710(a) and the State's variability limit under §97.710(b).
(iv) It shall not be a violation of this subpart or of the Clean Air Act if total SO2 emissions from all TR SO2 Group 2 units at TR SO2 Group 2 sources in a State (and Indian country within the borders of such State) during a control period exceed the State assurance level or if a common designated representative's share of total SO2 emissions from the TR SO2 Group 2 units at TR SO2 Group 2 sources in a State (and Indian country within the borders of such State) during a control period exceeds the common designated representative's assurance level.
(v) To the extent the owners and operators fail to hold TR SO2 Group 2 allowances for a control period in a given year in accordance with paragraphs (c)(2)(i) through (iii) of this section,
(A) The owners and operators shall pay any fine, penalty, or assessment or comply with any other remedy imposed under the Clean Air Act; and
(B) Each TR SO2 Group 2 allowance that the owners and operators fail to hold for such control period in accordance with paragraphs (c)(2)(i) through (iii) of this section and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
(3) Compliance periods.  A TR SO2 Group 2 unit shall be subject to the requirements under paragraphs (c)(1) and (c)(2) of this section for the control period starting on the later of January 1, 2012 or the deadline for meeting the unit's monitor certification requirements under §97.730(b) and for each control period thereafter.
(4) Vintage of allowances held for compliance.  (i) A TR SO2 Group 2 allowance held for compliance with the requirements under paragraph (c)(1)(i) of this section for a control period in a given year must be a TR SO2 Group 2 allowance that was allocated for such control period or a control period in a prior year.
(ii) A TR SO2 Group 2 allowance held for compliance with the requirements under paragraphs (c)(1)(ii)(A) and (2)(i) through (iii) of this section for a control period in a given year must be a TR SO2 Group 2 allowance that was allocated for a control period in a prior year or the control period in the given year or in the immediately following year.
(5) Allowance Management System requirements. Each TR SO2 Group 2 allowance shall be held in, deducted from, or transferred into, out of, or between Allowance Management System accounts in accordance with this subpart.
(6) Limited authorization. A TR SO2 Group 2 allowance is a limited authorization to emit one ton of SO2 during the control period in one year.  Such authorization is limited in its use and duration as follows:
(i) Such authorization shall only be used in accordance with the TR SO2 Group 2 Trading Program; and
(ii) Notwithstanding any other provision of this subpart, the Administrator has the authority to terminate or limit the use and duration of such authorization to the extent the Administrator determines is necessary or appropriate to implement any provision of the Clean Air Act.
(7) Property right. A TR SO2 Group 2 allowance does not constitute a property right.
(d) Title V permit requirements.  (1) No title V permit revision shall be required for any allocation, holding, deduction, or transfer of TR SO2 Group 2 allowances in accordance with this subpart.
(2) A description of whether a unit is required to monitor and report SO2 emissions using a continuous emission monitoring system (under subpart H of part 75 of this chapter), an excepted monitoring system (under appendices D and E to part 75 of this chapter), a low mass emissions excepted monitoring methodology (under §75.19 of this chapter), or an alternative monitoring system (under subpart E of part 75 of this chapter) in accordance with §§97.730 through 97.735 may be added to, or changed in, a title V permit using minor permit modification procedures in accordance with §§70.7(e)(2) and 71.7(e)(1) of this chapter, provided that the requirements applicable to the described monitoring and reporting (as added or changed, respectively) are already incorporated in such permit. This paragraph explicitly provides that the addition of, or change to, a unit's description as described in the prior sentence is eligible for minor permit modification procedures in accordance with §§70.7(e)(2)(i)(B) and 71.7(e)(1)(i)(B) of this chapter.
(e) Additional recordkeeping and reporting requirements.  (1) Unless otherwise provided, the owners and operators of each TR SO2 Group 2 source and each TR SO2 Group 2 unit at the source shall keep on site at the source each of the following documents (in hardcopy or electronic format) for a period of 5 years from the date the document is created. This period may be extended for cause, at any time before the end of 5 years, in writing by the Administrator.
(i) The certificate of representation under §97.716 for the  designated representative for the source and each TR SO2 Group 2 unit at the source and all documents that demonstrate the truth of the statements in the certificate of representation; provided that the certificate and documents shall be retained on site at the source beyond such 5-year period until such certificate of representation and documents are superseded because of the submission of a new certificate of representation under §97.716 changing the designated representative.
(ii) All emissions monitoring information, in accordance with this subpart.
(iii) Copies of all reports, compliance certifications, and other submissions and all records made or required under, or to demonstrate compliance with the requirements of, the TR SO2 Group 2 Trading Program.
(2) The designated representative of a TR SO2 Group 2 source and each TR SO2 Group 2 unit at the source shall make all submissions required under the TR SO2 Group 2 Trading Program, except as provided in §97.718.  This requirement does not change, create an exemption from, or or otherwise affect the responsible official submission requirements under a title V operating permit program in parts 70 and 71 of this chapter.
(f) Liability.  (1) Any provision of the TR SO2 Group 2 Trading Program that applies to a TR SO2 Group 2 source or the designated representative of a TR SO2 Group 2 source shall also apply to the owners and operators of such source and of the TR SO2 Group 2 units at the source.
(2) Any provision of the TR SO2 Group 2 Trading Program that applies to a TR SO2 Group 2 unit or the designated representative of a TR SO2 Group 2 unit shall also apply to the owners and operators of such unit.
(g) Effect on other authorities.  No provision of the TR SO2 Group 2 Trading Program or exemption under §97.705 shall be construed as exempting or excluding the owners and operators, and the designated representative, of a TR SO2 Group 2 source or TR SO2 Group 2 unit from compliance with any other provision of the applicable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act.
§ 97.707  Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the TR SO2 Group 2 Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs.
(b) Unless otherwise stated, any time period scheduled, under the TR SO2 Group 2 Trading Program, to begin before the occurrence of an act or event shall be computed so that the period ends the day before the act or event occurs.
(c) Unless otherwise stated, if the final day of any time period, under the TR SO2 Group 2 Trading Program, is not a business day, the time period shall be extended to the next business day.
§ 97.708  Administrative appeal procedures.
The administrative appeal procedures for decisions of the Administrator under the TR SO2 Group 2 Trading Program are set forth in part 78 of this chapter.
§ 97.709  [Reserved]
§ 97.710  State SO2 Group 2 trading budgets, new unit set-asides, Indian country new unit set-aside, and variability limits.
(a)  The State SO2 Group 2 trading budgets, new unit set-asides, and Indian country new unit set-asides for allocations of TR SO2 Group 2 allowances for the control periods in 2012 and thereafter are as follows:
                                     State
             SO2 Group 2 trading budget (tons)*
for 2012 and 2013
                  New unit set-aside (tons)
for 2012 and 2013
          Indian country new unit set-aside (tons)
for 2012 and 2013

Alabama
                                    216,033
                                     4,321
                                      ---
Georgia
                                    158,527
                                     3,171
                                      ---
Kansas
                                    41,528
                                      789
                                      42
Minnesota
                                    41,981
                                      798
                                      42
Nebraska
                                    65,052
                                     2,537
                                      65
South Carolina
                                    88,620
                                     1,684
                                      89
Texas
                                    243,954
                                    11,954
                                      244

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

Alabama
                                    213,258
                                     4,265
                                      ---
Georgia
                                    95,231
                                     1,905
                                      ---
Kansas
                                    41,528
                                      789
                                      42
Minnesota
                                    41,981
                                      798
                                      42
Nebraska
                                    65,052
                                     2,537
                                      65
South Carolina
                                    88,620
                                     1,684
                                      89
Texas
                                    243,954
                                    11,954
                                      244
* Each trading budget includes the new unit set-aside and, where applicable, the Indian country new unit set-aside and does not include the variability limit.
 (b) The States' variability limits for the State SO2 Group 2 trading budgets for the control periods in 2012 and thereafter are as follows:
                                     State
                     Variability limits
for 2012 and 2013

Variability limits
for 2014 and thereafter

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

§ 97.711  Timing requirements for TR SO2 Group 2 allowance allocations.
(a) Existing units.  (1) TR SO2 Group 2 allowances are allocated, for the control periods in 2012 and each year thereafter, as provided in a notice of data availability issued by the Administrator. Providing an allocation to a unit in such notice does not constitute a determination that the unit is a TR SO2 Group 2 unit, and not providing an allocation to a unit in such notice does not constitute a determination that the unit is not a TR SO2 Group 2 unit.
(2) Notwithstanding paragraph (a)(1) of this section, if a unit provided an allocation in the notice of data availability issued under paragraph (a)(1) of this section does not operate, starting after 2011, during the control period in two consecutive years, such unit will not be allocated the TR SO2 Group 2 allowances provided in such notice for the unit for the control periods in the fifth year after the first such year and in each year after that fifth year.  All TR SO2 Group 2 allowances that would otherwise have been allocated to such unit will be allocated to the new unit set-aside for the State where such unit is located and for the respective years involved.  If such unit resumes operation, the Administrator will allocate TR SO2 Group 2 allowances to the unit in accordance with paragraph (b) of this section.
(b) New units.  (1) New unit set-asides.  (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR SO2 Group 2 allowance allocation to each TR SO2 Group 2 unit in a State, in accordance with §97.712(a)(2) through (7) and (12), for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR SO2 Group 2 units) are in accordance with §97.712(a)(2) through (7) and (12) and §§97.706(b)(2) and 97.730 through 97.735.
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(1)(ii)(A) of this section.  By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.712(a)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(ii)(A) of this section.
(iii) If the new unit set-aside for such control period contains any TR SO2 Group 2 allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(1)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any TR SO2 Group 2 units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period.
(iv) For each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR SO2 annual units in such notice.
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(iii) of this section and shall be limited to addressing whether the identification of TR SO2 annual units in such notice is in accordance with paragraph (b)(1)(iii) of this section.
(B) The Administrator will adjust the identification of TR SO2 Group 2 units in the each notice of data availability required in paragraph (b)(1)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(1)(iii) of this section and will calculate the TR SO2 Group 2 allowance allocation to each TR SO2 Group 2 unit in accordance with §97.712(a)(9), (10), and (12) and §§97.706(b)(2) and 97.730 through 97.735.  By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR SO2 Group 2 units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(iv)(A) of this section, and the results of such calculations.
(v) To the extent any TR SO2 Group 2 allowances are added to the new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(1)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR SO2 Group 2 allowances in accordance with §97.712(a)(10).
(2) Indian country new unit set-asides.  (i) By June 1, 2012 and June 1 of each year thereafter, the Administrator will calculate the TR SO2 Group 2 allowance allocation to each TR SO2 Group 2 unit in Indian country within the borders of a State, in accordance with §97.712(b)(2) through (7) and (12), for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
(ii) For each notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the TR SO2 Group 2  units) are in accordance with §97.712(b)(2) through (7) and (12) and §§97.706(b)(2) and 97.730 through 97.735.
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(ii)(A) of this section.  By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary with regard to allocations under §97.712(b)(2) through (7) and (12) and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(ii)(A) of this section.
(iii) If the Indian country new unit set-aside for such control period contains any TR SO2 Group 2 allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(2)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any TR SO2 Group 2 units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period.
(iv) For each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of TR SO2 annual units in such notice.
(A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(iii) of this section and shall be limited to addressing whether the identification of TR SO2 annual units in such notice is in accordance with paragraph (b)(2)(iii) of this section.
(B) The Administrator will adjust the identification of TR SO2 Group 2 units in the each notice of data availability required in paragraph (b)(2)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(2)(iii) of this section and will calculate the TR SO2 Group 2 allowance allocation to each TR SO2 Group 2 unit in accordance with §97.712(b)(9), (10), and (12) and §§97.706(b)(2) and 97.730 through 97.735.  By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of TR SO2 Group 2 units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iv)(A) of this section, and the results of such calculations.
(v) To the extent any TR SO2 Group 2 allowances are added to the new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(2)(iv) of this section, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such TR SO2 Group 2 allowances in accordance with §97.712(b)(10).
(c) Units incorrectly allocated TR SO2 Group 2 allowances.  (1) For each control period in 2012 and thereafter, if the Administrator determines that TR SO2 Group 2 allowances were allocated under paragraph (a) of this section, or under a provision of a SIP revision approved §52.39(g), (h), or (i) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(i) of this section or were allocated under §97.712(a)(2) through (7), (9), and (12) and (b)(2) through (7), (9), and (12), or under a provision of a SIP revision approved §52.39(h) or (i) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(ii) of this section, then the Administrator will notify the designated representative of the recipient and will act in accordance with the procedures set forth in paragraphs (c)(2) through (5) of this section:
(i)(A) The recipient is not actually a TR SO2 Group 2 unit under §97.704 as of January 1, 2012 and is allocated TR SO2 Group 2 allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved §52.39(g), (h), or (i) of this chapter, the recipient is not actually a TR SO2 Group 2 unit as of January 1, 2012 and is allocated TR SO2 Group 2 allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR SO2 Group 2 units as of January 1, 2012; or
(B) The recipient is not located as of January 1 of the control period in the State from whose SO2 Group 2 trading budget the TR SO2 Group 2 allowances allocated under paragraph (a) of this section, or under a provision of a SIP revision approved §52.39(g), (h), or (i) of this chapter, were allocated for such control period.
(ii) The recipient is not actually a TR SO2 Group 2 unit under §97.704 as of January 1 of such control period and is allocated TR SO2 Group 2 allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved §52.39(g), (h), or (i) of this chapter, the recipient is not actually a TR SO2 Group 2 unit as of January 1 of such control period and is allocated TR SO2 Group 2 allowances for such control period that the SIP revision provides should be allocated only to recipients that are TR SO2 Group 2 units as of January 1 of such control period.
(2) Except as provided in paragraph (c)(3) or (4) of this section, the Administrator will not record such TR SO2 Group 2 allowances under §97.721.
(3) If the Administrator already recorded such TR SO2 Group 2 allowances under §97.721 and if the Administrator makes the determination under paragraph (c)(1) of this section before making deductions for the source that includes such recipient under §97.724(b) for such control period, then the Administrator will deduct from the account in which such TR SO2 Group 2 allowances were recorded an amount of TR SO2 Group 2 allowances allocated for the same or a prior control period equal to the amount of such already recorded TR SO2 Group 2 allowances. The authorized account representative shall ensure that there are sufficient TR SO2 Group 2 allowances in such account for completion of the deduction.
(4) If the Administrator already recorded such TR SO2 Group 2 allowances under §97.721 and if the Administrator makes the determination under paragraph (c)(1) of this section after making deductions for the source that includes such recipient under §97.724(b) for such control period, then the Administrator will not make any deduction to take account of such already recorded TR SO2 Group 2 allowances.
(5)(i) With regard to the TR SO2 Group 2 allowances that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(i) of this section, the Administrator will:
(A) Transfer such TR SO2 Group 2 allowances to the new unit set-aside for such control period for the State from whose SO2 Group 2 trading budget the TR SO2 Group 2 allowances were allocated; or
(B) If the State has a SIP revision approved under §52.39(h) or (i) covering such control period, include such TR SO2 Group 2  allowances in the portion of the State SO2 Group 2 trading budget that may be allocated for such control period in accordance with such SIP revision.
(ii) With regard to the TR SO2 Group 2 allowances that were not allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will:
(A) Transfer such TR SO2 Group 2 allowances to the new unit set-aside for such control period; or
(B) If the State has a SIP revision approved under §52.39(h) or (i) covering such control period, include such TR SO2 Group 2  allowances in the portion of the State SO2 Group 2 trading budget that may be allocated for such control period in accordance with such SIP revision.
(iii) With regard to the TR SO2 Group 2 allowances that were allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this paragraph, the Administrator will transfer such TR SO2 Group 2 allowances to the Indian country new unit set-aside for such control period.
§ 97.712  TR SO2 Group 2 allowance allocations to new units.
(a) For each control period in 2012 and thereafter and for the TR SO2 Group 2 units in each State, the Administrator will allocate TR SO2 Group 2 allowances to the TR SO2 Group 2 units as follows:
(1) The TR SO2 Group 2 allowances will be allocated to the following TR SO2 Group 2 units, except as provided in paragraph (a)(10) of this section:
(i) TR SO2 Group 2 units that are not allocated an amount of TR SO2 Group 2 allowances in the notice of data availability issued under §97.711(a)(1);
(ii) TR SO2 Group 2 units whose allocation of an amount of TR SO2 Group 2 allowances for such control period in the notice of data availability issued under §97.711(a)(1) is covered by §97.711(c)(2) or (3);
(iii) TR SO2 Group 2 units that are allocated an amount of TR SO2 Group 2 allowances for such control period in the notice of data availability issued under §97.711(a)(1), which allocation is terminated for such control period pursuant to §97.711(a)(2), and that operate during the control period immediately preceding such control period; or
(iv) For purposes of paragraph (a)(9) of this section, TR SO2 Group 2 units under §97.711(c)(1)(ii) whose allocation of an amount of TR SO2 Group 2 allowances for such control period in the notice of data availability issued under §97.711(b)(1)(ii)(B) is covered by §97.711(c)(2) or (3).
(2) The Administrator will establish a separate new unit set-aside for the State for each such control period. Each such new unit set-aside will be allocated TR SO2 Group 2 allowances in an amount equal to the applicable amount of tons of SO2 emissions as set forth in §97.710(a) and will be allocated additional TR SO2 Group 2 allowances (if any) in accordance with §§97.711(a)(2) and (c)(5) and paragraph (b)(10) of this section.
(3) The Administrator will determine, for each TR SO2 Group 2 unit described in paragraph (a)(1) of this section, an allocation of TR SO2 Group 2 allowances for the later of the following control periods and for each subsequent control period:
(i) The control period in 2012;
(ii) The first control period after the control period in which the TR SO2 Group 2 unit commences commercial operation;
(iii) For a unit described in paragraph (a)(1)(ii) of this section, the first control period in which the TR SO2 Group 2 unit operates in the State after operating in another jurisdiction and for which the unit is not already allocated one or more TR SO2 Group 2 allowances; and
(iv) For a unit described in paragraph (a)(1)(iii) of this section, the first control period after the control period in which the unit resumes operation.
(4)(i) The allocation to each TR SO2 annual unit described in paragraph (a)(1)(i) through (iii) of this section and for each control period described in paragraph (a)(3) of this section will be an amount equal to the unit's total tons of SO2 emissions during the immediately preceding control period.
(ii) The Administrator will adjust the allocation amount in paragraph (a)(4)(i) in accordance with paragraphs (a)(5) through (7) and (12) of this section.
(5) The Administrator will calculate the sum of the TR SO2 Group 2 allowances determined for all such TR SO2 Group 2 units under paragraph (a)(4)(i) of this section in the State for such control period.
(6) If the amount of TR SO2 Group 2 allowances in the new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (a)(5) of this section, then the Administrator will allocate the amount of TR SO2 Group 2 allowances determined for each such TR SO2 Group 2 unit under paragraph (a)(4)(i) of this section.
(7) If the amount of TR SO2 Group 2 allowances in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(5) of this section, then the Administrator will allocate to each such TR SO2 Group 2 unit the amount of the TR SO2 Group 2 allowances determined under paragraph (a)(4)(i) of this section for the unit, multiplied by the amount of TR SO2 Group 2 allowances in the new unit set-aside for such control period, divided by the sum under paragraph (a)(5) of this section, and rounded to the nearest allowance.
(8) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.711(b)(1)(i) and (ii), of the amount of TR SO2 Group 2 allowances allocated under paragraphs (a)(2) through (7) and (12) of this section for such control period to each TR SO2 Group 2 unit eligible for such allocation.
(9) If, after completion of the procedures under paragraphs (a)(5) through (8) of this section for such control period, any unallocated TR SO2 Group 2 allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate such TR SO2 Group 2 allowances as follows--
(i) The Administrator will determine, for each unit described in paragraph (a)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of TR SO2 Group 2 allowances referenced in the notice of data availability required under §97.711(b)(1)(ii) for the unit for such control period;
(ii) The Administrator will determine the sum of the positive differences determined under paragraph (a)(9)(i) of this section;(ii) The Administrator will determine the sum of the positive differences determined under paragraph (a)(9)(i) of this section;
(iii) If the amount of unallocated TR SO2 Group 2 allowances remaining in the new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (a)(9)(ii) of this section, then the Administrator will allocate the amount of TR SO2 Group 2 allowances determined for each such TR SO2 Group 2 unit under paragraph (a)(9)(i) of this section; and
(iv) If the amount of unallocated TR SO2 Group 2 allowances remaining in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(9)(ii) of this section, then the Administrator will allocate to each such TR SO2 Group 2 unit the amount of the TR SO2 Group 2 allowances determined under paragraph (a)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR SO2 Group 2 allowances remaining in the new unit set-aside for such control period, divided by the sum under paragraph (a)(9)(ii) of this section, and rounded to the nearest allowance.
(10) If, after completion of the procedures under paragraphs (a)(9) and (12) of this section for such control period, any unallocated TR SO2 Group 2 allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate to each TR SO2 Group 2 unit that is in the State, is allocated an amount of TR SO2 Group 2 allowances in the notice of data availability issued under §97.711(a)(1), and continues to be allocated TR SO2 Group 2 allowances for such control period in accordance with §97.711(a)(2), an amount of TR SO2 Group 2 allowances equal to the following: the total amount of such remaining unallocated TR SO2 Group 2 allowances in such new unit set-aside, multiplied by the unit's allocation under §97.711(a) for such control period, divided by the remainder of the amount of tons in the applicable State SO2 Group 2 trading budget minus the sum of the amounts of tons in such new unit set-aside and the Indian country new unit set-aside for the State for such control period, and rounded to the nearest allowance.
(11) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.711(b)(1)(iii), (iv), and (v), of the amount of TR SO2 Group 2 allowances allocated under paragraphs (a)(9), (10), and (12) of this section for such control period to each TR SO2 Group 2 unit eligible for such allocation.
(12)(i) Notwithstanding the requirements of paragraphs (a)(2) through (11) of this section, if the calculations of allocations of a new unit set-aside for a control period in a given year under paragraph (a)(7) of this section, paragraphs (a)(6) and (9)(iv) of this section, or paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such new unit set-aside exceeding the total amount of such new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, as follows.  The Administrator will list the TR SO2 Group 2 units in descending order based on the amount of such units' allocations under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will reduce each unit's allocation under paragraph (a)(7), (9)(iv), or (10) of this section, as applicable, by one TR SO2 Group 2 allowance (but not below zero) in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such new unit set-aside equal the total amount of such new unit set-aside.
(ii) Notwithstanding the requirements of paragraphs (a)(10) and (11) of this section, if the calculations of allocations of a new unit set-aside for a control period in a given year under paragraphs (a)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such new unit set-aside less than the total amount of such new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (a)(10) of this section, as follows.  The Administrator will list the TR SO2 Group 2 units in descending order based on the amount of such units' allocations under paragraph (a)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will increase each unit's allocation under paragraph (a)(10) of this section by one TR SO2 Group 2 allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such new unit set-aside equal the total amount of such new unit set-aside.
(b) For each control period in 2012 and thereafter and for the TR SO2 Group 2 units located in Indian country within the borders of each State, the Administrator will allocate TR SO2 Group 2 allowances to the TR SO2 Group 2 units as follows:
(1) The TR SO2 Group 2 allowances will be allocated to the following TR SO2 Group 2 units, except as provided in paragraph (b)(10) of this section:
(i) TR SO2 Group 2 units that are not allocated an amount of TR SO2 Group 2 allowances in the notice of data availability issued under §97.711(a)(1); or
(ii) For purposes of paragraph (b)(9) of this section, TR SO2 Group 2 units under §97.711(c)(1)(ii) whose allocation of an amount of TR SO2 Group 2 allowances for such control period in the notice of data availability issued under §97.711(b)(2)(ii)(B) is covered by §97.711(c)(2) or (3).
(2) The Administrator will establish a separate Indian country new unit set-aside for the State for each such control period. Each such Indian country new unit set-aside will be allocated TR SO2 Group 2 allowances in an amount equal to the applicable amount of tons of SO2 emissions as set forth in §97.710(a) and will be allocated additional TR SO2 Group 2 allowances (if any) in accordance with §97.711(c)(5).
(3) The Administrator will determine, for each TR SO2 Group 2 unit described in paragraph (b)(1) of this section, an allocation of TR SO2 Group 2 allowances for the later of the following control periods and for each subsequent control period:
(i) The control period in 2012; and
(ii) The first control period after the control period in which the TR SO2 Group 2 unit commences commercial operation.
(4)(i) The allocation to each TR SO2 annual unit described in paragraph (b)(1)(i) of this section and for each control period described in paragraph (b)(3) of this section will be an amount equal to the unit's total tons of SO2 emissions during the immediately preceding control period.
(ii) The Administrator will adjust the allocation amount in paragraph (b)(4)(i) in accordance with paragraphs (b)(5) through (7) and (12) of this section.
(5) The Administrator will calculate the sum of the TR SO2 Group 2 allowances determined for all such TR SO2 Group 2 units under paragraph (b)(4)(i) of this section in Indian country within the borders of the State for such control period.
(6) If the amount of TR SO2 Group 2 allowances in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (b)(5) of this section, then the Administrator will allocate the amount of TR SO2 Group 2 allowances determined for each such TR SO2 Group 2 unit under paragraph (b)(4)(i) of this section.
(7) If the amount of TR SO2 Group 2 allowances in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(5) of this section, then the Administrator will allocate to each such TR SO2 Group 2 unit the amount of the TR SO2 Group 2 allowances determined under paragraph (b)(4)(i) of this section for the unit, multiplied by the amount of TR SO2 Group 2 allowances in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(5) of this section, and rounded to the nearest allowance.
(8) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.711(b)(2)(i) and (ii), of the amount of TR SO2 Group 2 allowances allocated under paragraphs (b)(2) through (7) and (12) of this section for such control period to each TR SO2 Group 2 unit eligible for such allocation.
(9) If, after completion of the procedures under paragraphs (b)(5) through (8) of this section for such control period, any unallocated TR SO2 Group 2 allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will allocate such TR SO2 Group 2 allowances as follows--
(i) The Administrator will determine, for each unit described in paragraph (b)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of TR SO2 Group 2 allowances referenced in the notice of data availability required under §97.711(b)(2)(ii) for the unit for such control period;
(ii) The Administrator will determine the sum of the positive differences determined under paragraph (b)(9)(i) of this section;
(iii) If the amount of unallocated TR SO2 Group 2 allowances remaining in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (b)(9)(ii) of this section, then the Administrator will allocate the amount of TR SO2 Group 2 allowances determined for each such TR SO2 Group 2 unit under paragraph (b)(9)(i) of this section; and
(iv) If the amount of unallocated TR SO2 Group 2 allowances remaining in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(9)(ii) of this section, then the Administrator will allocate to each such TR SO2 Group 2 unit the amount of the TR SO2 Group 2 allowances determined under paragraph (b)(9)(i) of this section for the unit, multiplied by the amount of unallocated TR SO2 Group 2 allowances remaining in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(9)(ii) of this section, and rounded to the nearest allowance.
(10) If, after completion of the procedures under paragraphs (b)(9) and (12) of this section for such control period, any unallocated TR SO2 Group 2 allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will:
(i) Transfer such unallocated TR SO2 Group 2 allowances to the new unit set-aside for the State for such control period; or
(ii) If the State has a SIP revision approved under §52.39(g), (h), or (i) of this chapter, include such unallocated TR SO2 Group 2 allowances in the portion of the State SO2 Group 2 trading budget that may be allocated for such control period in accordance with such SIP revision.
(11) The Administrator will notify the public, through the promulgation of the notices of data availability described in §97.711(b)(2)(iii), (iv), and (v), of the amount of TR SO2 Group 2 allowances allocated under paragraphs (b)(9), (10), and (12) of this section for such control period to each TR SO2 Group 2 unit eligible for such allocation.
(12)(i) Notwithstanding the requirements of paragraphs (b)(2) through (11) of this section, if the calculations of allocations of a new unit set-aside for a control period in a given year under paragraph (b)(7) of this section, paragraphs (b)(6) and (9)(iv) of this section, or paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in total allocations of such new unit set-aside exceeding the total amount of such new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, as follows.  The Administrator will list the TR SO2 Group 2 units in descending order based on the amount of such units' allocations under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will reduce each unit's allocation under paragraph (b)(7), (9)(iv), or (10) of this section, as applicable, by one TR SO2 Group 2 allowance in the order in which the units are listed and will repeat this reduction process as necessary, until the total allocations of such new unit set-aside equal the total amount of such new unit set-aside.
(ii) Notwithstanding the requirements of paragraphs (b)(10) and (11) of this section, if the calculations of allocations of a new unit set-aside for a control period in a given year under paragraphs (b)(6), (9)(iii), and (10) of this section would otherwise result in a total allocations of such new unit set-aside less than the total amount of such new unit set-aside, then the Administrator will adjust the results of the calculations under paragraph (b)(10) of this section, as follows.  The Administrator will list the TR SO2 Group 2 units in descending order based on the amount of such units' allocations under paragraph (b)(10) of this section and, in cases of equal allocation amounts, in alphabetical order of the relevant source's name and numerical order of the relevant unit's identification number, and will increase each unit's allocation under paragraph (b)(10) of this section by one TR SO2 Group 2 allowance in the order in which the units are listed and will repeat this increase process as necessary, until the total allocations of such new unit set-aside equal the total amount of such new unit set-aside.
§ 97.713  Authorization of designated representative and alternate designated representative.
(a) Except as provided under §97.715, each TR SO2 Group 2 source, including all TR SO2 Group 2 units at the source, shall have one and only one designated representative, with regard to all matters under the TR SO2 Group 2 Trading Program.
(1) The designated representative shall be selected by an agreement binding on the owners and operators of the source and all TR SO2 Group 2 units at the source and shall act in accordance with the certification statement in §97.716(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under §97.716:
(i) The designated representative shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each owner and operator of the source and each TR SO2 Group 2 unit at the source in all matters pertaining to the TR SO2 Group 2 Trading Program, notwithstanding any agreement between the designated representative and such owners and operators; and
(ii) The owners and operators of the source and each TR SO2 Group 2 unit at the source shall be bound by any decision or order issued to the designated representative by the Administrator regarding the source or any such unit.
(b) Except as provided under §97.715, each TR SO2 Group 2 source may have one and only one alternate designated representative, who may act on behalf of the designated representative. The agreement by which the alternate designated representative is selected shall include a procedure for authorizing the alternate designated representative to act in lieu of the designated representative.
(1) The alternate designated representative shall be selected by an agreement binding on the owners and operators of the source and all TR SO2 Group 2 units at the source and shall act in accordance with the certification statement in §97.716(a)(4)(iii).
(2) Upon and after receipt by the Administrator of a complete certificate of representation under §97.716,
(i) The alternate designated representative shall be authorized;
(ii) Any representation, action, inaction, or submission by the alternate designated representative shall be deemed to be a representation, action, inaction, or submission by the designated representative; and
(iii) The owners and operators of the source and each TR SO2 Group 2 unit at the source shall be bound by any decision or order issued to the alternate designated representative by the Administrator regarding the source or any such unit.
(c) Except in this section, §97.702, and §§97.714 through 97.718, whenever the term "designated representative" (as distinguished from the term "common designated representative") is used in this subpart, the term shall be construed to include the designated representative or any alternate designated representative.
§ 97.714  Responsibilities of designated representative and alternate designated representative.
(a) Except as provided under §97.718 concerning delegation of authority to make submissions, each submission under the TR SO2 Group 2 Trading Program shall be made, signed, and certified by the designated representative or alternate designated representative for each TR SO2 Group 2 source and TR SO2 Group 2 unit for which the submission is made. Each such submission shall include the following certification statement by the designated representative or alternate designated representative: "I am authorized to make this submission on behalf of the owners and operators of the source or units for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
(b) The Administrator will accept or act on a submission made for a TR SO2 Group 2 source or a TR SO2 Group 2 unit only if the submission has been made, signed, and certified in accordance with paragraph (a) of this section and §97.718.
§ 97.715  Changing designated representative and alternate designated representative; changes in owners and operators; changes in units at the source.
(a) Changing designated representative.  The designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under §97.716.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new designated representative and the owners and operators of the TR SO2 Group 2 source and the TR SO2 Group 2 units at the source.
(b) Changing alternate designated representative.  The alternate designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under §97.716.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new alternate designated representative, the designated representative, and the owners and operators of the TR SO2 Group 2 source and the TR SO2 Group 2 units at the source.
(c) Changes in owners and operators.  (1) In the event an owner or operator of a TR SO2 Group 2 source or a TR SO2 Group 2 unit at the source is not included in the list of owners and operators in the certificate of representation under §97.716, such owner or operator shall be deemed to be subject to and bound by the certificate of representation, the representations, actions, inactions, and submissions of the designated representative and any alternate designated representative of the source or unit, and the decisions and orders of the Administrator, as if the owner or operator were included in such list.
(2) Within 30 days after any change in the owners and operators of a TR SO2 Group 2 source or a TR SO2 Group 2 unit at the source, including the addition or removal of an owner or operator, the designated representative or any alternate designated representative shall submit a revision to the certificate of representation under §97.716 amending the list of owners and operators to reflect the change.
(d) Changes in units at the source.  Within 30 days of any change in which units are located at a TR SO2 Group 2 source (including the addition or removal of a unit), the designated representative or any alternate designated representative shall submit a certificate of representation under §97.716 amending the list of units to reflect the change.
(1) If the change is the addition of a unit that operated (other than for purposes of testing by the manufacturer before initial installation) before being located at the source, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity from whom the unit was purchased or otherwise obtained (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was purchased or otherwise obtained, and the date on which the unit became located at the source.
(2) If the change is the removal of a unit, then the certificate of representation shall identify, in a format prescribed by the Administrator, the entity to which the unit was sold or that otherwise obtained the unit (including name, address, telephone number, and facsimile number (if any)), the date on which the unit was sold or otherwise obtained, and the date on which the unit became no longer located at the source.
§ 97.716  Certificate of representation.
(a) A complete certificate of representation for a designated representative or an alternate designated representative shall include the following elements in a format prescribed by the Administrator:
(1) Identification of the TR SO2 Group 2 source, and each TR SO2 Group 2 unit at the source, for which the certificate of representation is submitted, including source name, source  category and NAICS code (or, in the absence of a NAICS code, an equivalent code), State, plant code, county, latitude and longitude, unit identification number and type, identification number and nameplate capacity (in MWe, rounded to the nearest tenth) of each generator served by each such unit, actual or projected date of commencement of commercial operation, and a statement of whether such source is located in Indian Country.  If a projected date of commencement of commercial operation is provided, the actual date of commencement of commercial operation shall be provided when such information becomes available.
(2) The name, address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the designated representative and any alternate designated representative.
(3) A list of the owners and operators of the TR SO2 Group 2 source and of each TR SO2 Group 2 unit at the source.
(4) The following certification statements by the designated representative and any alternate designated representative --
(i) "I certify that I was selected as the designated representative or alternate designated representative, as applicable, by an agreement binding on the owners and operators of the source and each TR SO2 Group 2 unit at the source."
(ii) "I certify that I have all the necessary authority to carry out my duties and responsibilities under the TR SO2 Group 2 Trading Program on behalf of the owners and operators of the source and of each TR SO2 Group 2 unit at the source and that each such owner and operator shall be fully bound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the Administrator regarding the source or unit."
(iii) "Where there are multiple holders of a legal or equitable title to, or a leasehold interest in, a TR SO2 Group 2 unit, or where a utility or industrial customer purchases power from a TR SO2 Group 2 unit under a life-of-the-unit, firm power contractual arrangement, I certify that: I have given a written notice of my selection as the `designated representative' or `alternate designated representative', as applicable, and of the agreement by which I was selected to each owner and operator of the source and of each TR SO2 Group 2 unit at the source; and TR SO2 Group 2 allowances and proceeds of transactions involving TR SO2 Group 2 allowances will be deemed to be held or distributed in proportion to each holder's legal, equitable, leasehold, or contractual reservation or entitlement, except that, if such multiple holders have expressly provided for a different distribution of TR SO2 Group 2 allowances by contract, TR SO2 Group 2 allowances and proceeds of transactions involving TR SO2 Group 2 allowances will be deemed to be held or distributed in accordance with the contract."
(5) The signature of the designated representative and any alternate designated representative and the dates signed.
(b) Unless otherwise required by the Administrator, documents of agreement referred to in the certificate of representation shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
§ 97.717  Objections concerning designated representative and alternate designated representative.
(a) Once a complete certificate of representation under §97.716 has been submitted and received, the Administrator will rely on the certificate of representation unless and until a superseding complete certificate of representation under §97.716 is received by the Administrator.
(b) Except as provided in paragraph (a) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission, of a designated representative or alternate designated representative shall affect any representation, action, inaction, or submission of the designated representative or alternate designated representative or the finality of any decision or order by the Administrator under the TR SO2 Group 2 Trading Program.
(c) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of any designated representative or alternate designated representative, including private legal disputes concerning the proceeds of TR SO2 Group 2 allowance transfers.
§ 97.718  Delegation by designated representative and alternate designated representative.
(a) A designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(b) An alternate designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(c) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (a) or (b) of this section, the designated representative or alternate designated representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements:
(1) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such designated representative or alternate designated representative;
(2) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to in this section as an "agent");
(3) For each such natural person, a list of the type or types of electronic submissions under paragraph (a) or (b) of this section for which authority is delegated to him or her; and
(4) The following certification statements by such designated representative or alternate designated representative:
(i) "I agree that any electronic submission to the Administrator that is made by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am a designated representative or alternate designated representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.718(d) shall be deemed to be an electronic submission by me."
(ii) "Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.718(d), I agree to maintain an e-mail account and to notify the Administrator immediately of any change in my e-mail address unless all delegation of authority by me under 40 CFR 97.718 is terminated.".
(d) A notice of delegation submitted under paragraph (c) of this section shall be effective, with regard to the designated representative or alternate designated representative identified in such notice, upon receipt of such notice by the Administrator and until receipt by the Administrator of a superseding notice of delegation submitted by such designated representative or alternate designated representative, as appropriate. The superseding notice of delegation may replace any previously identified agent, add a new agent, or eliminate entirely any delegation of authority.
(e) Any electronic submission covered by the certification in paragraph (c)(4)(i) of this section and made in accordance with a notice of delegation effective under paragraph (d) of this section shall be deemed to be an electronic submission by the designated representative or alternate designated representative submitting such notice of delegation.
§ 97.719  [Reserved]
§ 97.720  Establishment of compliance accounts, assurance accounts, and general accounts.
(a) Compliance accounts.  Upon receipt of a complete certificate of representation under §97.716, the Administrator will establish a compliance account for the TR SO2 Group 2 source for which the certificate of representation was submitted, unless the source already has a compliance account.  The designated representative and any alternate designated representative of the source shall be the authorized account representative and the alternate authorized account representative respectively of the compliance account.
(b) Assurance accounts.  The Administrator will establish assurance accounts for certain owners and operators and States in accordance with §97.725(b)(3).
 (c) General accounts. (1) Application for general account.  (i) Any person may apply to open a general account, for the purpose of holding and transferring TR SO2 Group 2 allowances, by submitting to the Administrator a complete application for a general account.  Such application shall designate one and only one authorized account representative and may designate one and only one alternate authorized account representative who may act on behalf of the authorized account representative.
(A) The authorized account representative and alternate authorized account representative shall be selected by an agreement binding on the persons who have an ownership interest with respect to TR SO2 Group 2 allowances held in the general account.
(B) The agreement by which the alternate authorized account representative is selected shall include a procedure for authorizing the alternate authorized account representative to act in lieu of the authorized account representative.
(ii) A complete application for a general account shall include the following elements in a format prescribed by the Administrator:
(A) Name, mailing address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the authorized account representative and any alternate authorized account representative;
(B) An identifying name for the general account;
(C) A list of all persons subject to a binding agreement for the authorized account representative and any alternate authorized account representative to represent their ownership interest with respect to the TR SO2 Group 2 allowances held in the general account;
(D) The following certification statement by the authorized account representative and any alternate authorized account representative: "I certify that I was selected as the authorized account representative or the alternate authorized account representative, as applicable, by an agreement that is binding on all persons who have an ownership interest with respect to TR SO2 Group 2 allowances held in the general account. I certify that I have all the necessary authority to carry out my duties and responsibilities under the TR SO2 Group 2 Trading Program on behalf of such persons and that each such person shall be fully bound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the Administrator regarding the general account."
(E) The signature of the authorized account representative and any alternate authorized account representative and the dates signed.
(iii) Unless otherwise required by the Administrator, documents of agreement referred to in the application for a general account shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
(2) Authorization of authorized account representative and alternate authorized account representative.  (i) Upon receipt by the Administrator of a complete application for a general account under paragraph (b)(1) of this section,  the Administrator will establish a general account for the person or persons for whom the application is submitted, and upon and after such receipt by the Administrator:
(A) The authorized account representative of the general account shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each person who has an ownership interest with respect to TR SO2 Group 2 allowances held in the general account in all matters pertaining to the TR SO2 Group 2 Trading Program, notwithstanding any agreement between the authorized account representative and such person.
(B) Any alternate authorized account representative shall be authorized, and any representation, action, inaction, or submission by any alternate authorized account representative shall be deemed to be a representation, action, inaction, or submission by the authorized account representative.
(C) Each person who has an ownership interest with respect to TR SO2 Group 2 allowances held in the general account shall be bound by any decision or order issued to the authorized account representative or alternate authorized account representative by the Administrator regarding the general account.
(ii) Except as provided in paragraph (c)(5) of this section concerning delegation of authority to make submissions, each submission concerning the general account shall be made, signed, and certified by the authorized account representative or any alternate authorized account representative for the persons having an ownership interest with respect to TR SO2 Group 2 allowances held in the general account.  Each such submission shall include the following certification statement by the authorized account representative or any alternate authorized account representative: "I am authorized to make this submission on behalf of the persons having an ownership interest with respect to the TR SO2 Group 2 allowances held in the general account. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments.  Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete.  I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
(iii) Except in this section, whenever the term "authorized account representative" is used in this subpart, the term shall be construed to include the authorized account representative or any alternate authorized account representative.
(3) Changing authorized account representative and alternate authorized account representative; changes in persons with ownership interest.  (i) The authorized account representative of a general account may be changed at any time upon receipt by the Administrator of a superseding complete application for a general account under paragraph (c)(1) of this section.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new authorized account representative and the persons with an ownership interest with respect to the TR SO2 Group 2 allowances in the general account.
(ii) The alternate authorized account representative of a general account may be changed at any time upon receipt by the Administrator of a superseding complete application for a general account under paragraph (c)(1) of this section.  Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate authorized account representative before the time and date when the Administrator receives the superseding application for a general account shall be binding on the new alternate authorized account representative, the authorized account representative, and the persons with an ownership interest with respect to the TR SO2 Group 2 allowances in the general account.
(iii)(A) In the event a person having an ownership interest with respect to TR SO2 Group 2 allowances in the general account is not included in the list of such persons in the application for a general account, such person shall be deemed to be subject to and bound by the application for a general account, the representation, actions, inactions, and submissions of the authorized account representative and any alternate authorized account representative of the account, and the decisions and orders of the Administrator, as if the person were included in such list.
(B) Within 30 days after any change in the persons having an ownership interest with respect to SO2 Group 2 allowances in the general account, including the addition or removal of a person, the authorized account representative or any alternate authorized account representative shall submit a revision to the application for a general account amending the list of persons having an ownership interest with respect to the TR SO2 Group 2 allowances in the general account to include the change.
(4) Objections concerning authorized account representative and alternate authorized account representative.  (i) Once a complete application for a general account under paragraph (c)(1) of this section has been submitted and received, the Administrator will rely on the application unless and until a superseding complete application for a general account under paragraph (b)(1) of this section is received by the Administrator.
(ii) Except as provided in paragraph (c)(4)(i) of this section, no objection or other communication submitted to the Administrator concerning the authorization, or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account shall affect any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative or the finality of any decision or order by the Administrator under the TR SO2 Group 2 Trading Program.
(iii) The Administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative of a general account, including private legal disputes concerning the proceeds of TR SO2 Group 2 allowance transfers.
(5) Delegation by authorized account representative and alternate authorized account representative.  (i) An authorized account representative of a general account may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(ii) An alternate authorized account representative of a general account may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this subpart.
(iii) In order to delegate authority to a natural person to make an electronic submission to the Administrator in accordance with paragraph (c)(5)(i) or (ii) of this section, the authorized account representative or alternate authorized account representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements: