Secretary of Energy, a derivative of one or more of the technologies
under paragraphs (1) through (5) of this definition and any other coal-
fired technology capable of controlling multiple combustion emissions
simultaneously with improved boiler or generation efficiency and with
significantly greater waste reduction relative to the performance of
technology in widespread commercial use as of January 1, 2005.
    Sequential use of energy means:
    (1) For a topping-cycle cogeneration unit, the use of reject heat
from electricity production in a useful thermal energy application or
process; or
    (2) For a bottoming-cycle cogeneration unit, the use of reject heat
from useful thermal energy application or process in electricity
production.
    Serial number means, for a CAIR NOX Ozone Season
allowance, the unique identification number assigned to each CAIR
NOX Ozone Season allowance by the Administrator.
    Solid waste incineration unit means a stationary, fossil-fuel-fired
boiler or stationary, fossil-fuel-fired combustion turbine that is a
``solid waste incineration unit'' as defined in section 129(g)(1) of
the Clean Air Act.
    Source means all buildings, structures, or installations located in
one or more contiguous or adjacent properties under common control of
the same person or persons. For purposes of section 502(c) of the Clean
Air Act, a ``source,'' including a ``source'' with multiple units,
shall be considered a single ``facility.''
    State means one of the States or the District of Columbia that is
subject to the CAIR NOX Ozone Season Trading Program
pursuant to ( 52.35 of this chapter.
    Submit or serve means to send or transmit a document, information,
or correspondence to the person specified in accordance with the
applicable regulation:
    (1) In person;
    (2) By United States Postal Service; or
    (3) By other means of dispatch or transmission and delivery.
Compliance with any ``submission'' or ``service'' deadline shall be
determined by the date of dispatch, transmission, or mailing and not
the date of receipt.
    Title V operating permit means a permit issued under title V of the
Clean Air Act and part 70 or part 71 of this chapter.
    Title V operating permit regulations means the regulations that the
Administrator has approved or issued as meeting the requirements of
title V of the Clean Air Act and part 70 or 71 of this chapter.
    Ton means 2,000 pounds. For the purpose of determining compliance
with the CAIR NOX Ozone Season emissions limitation, total
tons of nitrogen oxides emissions for a control period shall be
calculated as the sum of all recorded hourly emissions (or the mass
equivalent of the recorded hourly emission rates) in accordance with
subpart HHHH of this part, but with any remaining fraction of a ton
equal to or greater than 0.50 tons deemed to equal one ton and any
remaining fraction of a ton less than 0.50 tons deemed to equal zero
tons.
    Topping-cycle cogeneration unit means a cogeneration unit in which
the energy input to the unit is first used to produce useful power,
including electricity, and at least some of the reject heat from the
electricity production is then used to provide useful thermal energy.
    Total energy input means, with regard to a cogeneration unit, total
energy of all forms supplied to the cogeneration unit, excluding energy
produced by the cogeneration unit itself.
    Total energy output means, with regard to a cogeneration unit, the
sum of useful power and useful thermal energy produced by the
cogeneration unit.
    Unit means a stationary, fossil-fuel-fired boiler or combustion
turbine or other stationary, fossil-fuel-fired combustion device.
    Unit operating day means a calendar day in which a unit combusts
any fuel.
    Unit operating hour or hour of unit operation means an hour in
which a unit combusts any fuel.
    Useful power means, with regard to a cogeneration unit, electricity
or mechanical energy made 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, with regard to a cogeneration unit,
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., thermal energy used
by an absorption chiller).
    Utility power distribution system means the portion of an
electricity grid owned or operated by a utility and dedicated to
delivering electricity to customers.

Sec.  97.303  Measurements, abbreviations, and acronyms.

    Measurements, abbreviations, and acronyms used in this subpart and
subparts BBBB through IIII are defined as follows:

Btu--British thermal unit.
CO2--carbon dioxide.
H2O--water.
Hg--mercury.
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.

Sec.  97.304  Applicability.

    (a) Except as provided in paragraph (b) of this section:
    (1) The following units in a State shall be CAIR NOX
Ozone Season units, and any source that includes one or more such units
shall be a CAIR NOX Ozone Season source, subject to the
requirements of this subpart and subparts BBBB through HHHH of this
part: any stationary, fossil-fuel-fired boiler or stationary, fossil-
fuel-fired combustion turbine serving at any time, since the later of
November 15, 1990 or the start-up of the unit(s combustion chamber, 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 CAIR NOX
Ozone Season unit begins to combust fossil fuel or to serve a generator
with nameplate capacity of more than 25 MWe producing electricity for
sale, the unit shall become a CAIR NOX Ozone Season unit as
provided in paragraph (a)(1) of this section on the first date on which
it both combusts fossil fuel and serves such generator.
    (b) The units in a State that meet the requirements set forth in
paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) of this section shall not
be CAIR NOX Ozone Season units:
    (1)(i) Any unit that is a CAIR NOX Ozone Season unit
under paragraph (a)(1) or (2) of this section:
    (A) Qualifying as a cogeneration unit during the 12-month period
starting on the date the unit first produces electricity and continuing
to qualify as a cogeneration unit; and
    (B) Not serving at any time, since the later of November 15, 1990
or the start-up of the unit's combustion chamber, a generator with
nameplate capacity of more than 25 MWe supplying in any calendar year
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 a unit qualifies as a cogeneration unit during the 12-month
period starting on the date the unit first produces electricity and
meets the requirements of paragraphs (b)(1)(i) of this section for at
least one calendar year, but subsequently no longer meets all such
requirements, the unit shall become a CAIR NOX Ozone Season
unit starting on the earlier of January 1 after the first calendar year
during which the unit first no longer qualifies as a cogeneration unit
or January 1 after the first calendar year during which the unit no
longer meets the requirements of paragraph (b)(1)(i)(B) of this
section.
    (2)(i) Any unit that is a CAIR NOX Ozone Season unit
under paragraph (a)(1) or (2) of this section commencing operation
before January 1, 1985:
    (A) Qualifying as a solid waste incineration unit; and
    (B) With an average annual fuel consumption of non-fossil fuel for
1985-1987 exceeding 80 percent (on a Btu basis) and an average annual
fuel consumption of non-fossil fuel for any 3 consecutive calendar
years after 1990 exceeding 80 percent (on a Btu basis).
    (ii) Any unit that is a CAIR NOX Ozone Season unit under
paragraph (a)(1) or (2) of this section commencing operation on or
after January 1, 1985:
    (A) Qualifying as a solid waste incineration unit; and
    (B) With an average annual fuel consumption of non-fossil fuel for
the first 3 calendar years of operation exceeding 80 percent (on a Btu
basis) and an average annual fuel consumption of non-fossil fuel for
any 3 consecutive calendar years after 1990 exceeding 80 percent (on a
Btu basis).
    (iii) If a unit qualifies as a solid waste incineration unit and
meets the requirements of paragraph (b)(2)(i) or (ii) of this section
for at least 3 consecutive calendar years, but subsequently no longer
meets all such requirements, the unit shall become a CAIR
NOX Ozone Season unit starting on the earlier of January 1
after the first calendar year during which the unit first no longer
qualifies as a solid waste incineration unit or January 1 after the
first 3 consecutive calendar years after 1990 for which the unit has an
average annual fuel consumption of fossil fuel of 20 percent or more.
    (c) A certifying official of an owner or operator of any unit may
petition the Administrator at any time for a determination concerning
the applicability, under paragraphs (a) and (b) of this section, of the
CAIR NOX Ozone Season Trading Program to the unit.
    (1) Petition content. The petition shall be in writing and include
the identification of the unit and the relevant facts about the unit.
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 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) Submission. The petition and any other documents provided in
connection with the petition shall be submitted to the Director of the
Clean Air Markets Division (or its successor), U.S. Environmental
Protection Agency, who will act on the petition as the Administrator's
duly authorized representative.
    (3) Response. The Administrator will issue a written response to
the petition and may request supplemental information relevant to such
petition. The Administrator's determination concerning the
applicability, under paragraphs (a) and (b) of this section, of the
CAIR NOX Ozone Season Trading Program to the unit shall be
binding on the permitting authority unless the petition or other
information or documents provided in connection with

the petition are found to have contained significant, relevant errors
or omissions.
    (d) Notwithstanding paragraphs (a) and (b) of this section, if a
State submits, and the Administrator approves, a State implementation
plan revision in accordance with Sec.  51.123(ee)(1) of this chapter
providing for the inclusion in the CAIR NOX Ozone Season
Trading Program of all units that are not otherwise CAIR NOX
Ozone Season units under paragraphs (a) and (b) of this section and
that are NOX Budget units covered by the State's emissions
trading program approved under Sec.  51.121(p) of this chapter, such
units shall be CAIR NOX Ozone Season units as of the first
date that they are NOX Budget units under the NOX
Budget Trading Program under Sec.  51.121(p) of this chapter.

Sec.  97.305  Retired unit exemption.

    (a)(1) Any CAIR NOX Ozone Season unit that is
permanently retired and is not a CAIR NOX Ozone Season opt-
in unit under subpart IIII of this part shall be exempt from the CAIR
NOX Ozone Season Trading Program, except for the provisions
of this section, Sec. Sec.  97.302, 97.303, 97.304, 97.306(c)(4)
through (7), 97.307, 97.308, and subparts BBBB and EEEE through GGGG of
this part.
    (2) The exemption under paragraph (a)(1) of this section shall
become effective the day on which the CAIR NOX Ozone Season
unit is permanently retired. Within 30 days of the unit's permanent
retirement, the CAIR designated representative shall submit a statement
to the permitting authority otherwise responsible for administering any
CAIR permit for the unit and shall submit a copy of the statement to
the Administrator. The statement shall state, in a format prescribed by
the permitting authority, that the unit was permanently retired on a
specific date and will comply with the requirements of paragraph (b) of
this section.
    (3) After receipt of the statement under paragraph (a)(2) of this
section, the permitting authority will amend any permit under subpart
CCCC of this part covering the source at which the unit is located to
add the provisions and requirements of the exemption under paragraphs
(a)(1) and (b) of this section.
    (b) Special provisions. (1) A unit exempt under paragraph (a) of
this section shall not emit any nitrogen oxides, starting on the date
that the exemption takes effect.
    (2) The Administrator or the permitting authority will allocate
CAIR NOX Ozone Season allowances under subpart EEEE of this
part to a unit exempt under paragraph (a) of this section.
    (3) 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 permitting authority or the
Administrator. The owners and operators bear the burden of proof that
the unit is permanently retired.
    (4) The owners and operators and, to the extent applicable, the
CAIR designated representative of a unit exempt under paragraph (a) of
this section shall comply with the requirements of the CAIR
NOX Ozone Season Trading Program concerning all periods for
which the exemption is not in effect, even if such requirements arise,
or must be complied with, after the exemption takes effect.
    (5) A unit exempt under paragraph (a) of this section and located
at a source that is required, or but for this exemption would be
required, to have a title V operating permit shall not resume operation
unless the CAIR designated representative of the source submits a
complete CAIR permit application under Sec.  97.322 for the unit not
less than 18 months (or such lesser time provided by the permitting
authority) before the later of January 1, 2009 or the date on which the
unit resumes operation.
    (6) On the earlier of the following dates, a unit exempt under
paragraph (a) of this section shall lose its exemption:
    (i) The date on which the CAIR designated representative submits a
CAIR permit application for the unit under paragraph (b)(5) of this
section;
    (ii) The date on which the CAIR designated representative is
required under paragraph (b)(5) of this section to submit a CAIR permit
application for the unit; or
    (iii) The date on which the unit resumes operation, if the CAIR
designated representative is not required to submit a CAIR permit
application for the unit.
    (7) For the purpose of applying monitoring, reporting, and
recordkeeping requirements under subpart HHHH of this part, a unit that
loses its exemption under paragraph (a) of this section shall be
treated as a unit that commences commercial operation on the first date
on which the unit resumes operation.

Sec.  97.306  Standard requirements.

    (a) Permit requirements. (1) The CAIR designated representative of
each CAIR NOX Ozone Season source required to have a title V
operating permit and each CAIR NOX Ozone Season unit
required to have a title V operating permit at the source shall:
    (i) Submit to the permitting authority a complete CAIR permit
application under Sec.  97.322 in accordance with the deadlines
specified in Sec.  97.321; and
    (ii) Submit in a timely manner any supplemental information that
the permitting authority determines is necessary in order to review a
CAIR permit application and issue or deny a CAIR permit.
    (2) The owners and operators of each CAIR NOX Ozone
Season source required to have a title V operating permit and each CAIR
NOX Ozone Season unit required to have a title V operating
permit at the source shall have a CAIR permit issued by the permitting
authority under subpart CCCC of this part for the source and operate
the source and the unit in compliance with such CAIR permit.
    (3) Except as provided in subpart IIII of this part, the owners and
operators of a CAIR NOX Ozone Season source that is not
otherwise required to have a title V operating permit and each CAIR
NOX Ozone Season unit that is not otherwise required to have
a title V operating permit are not required to submit a CAIR permit
application, and to have a CAIR permit, under subpart CCCC of this part
for such CAIR NOX Ozone Season source and such CAIR
NOX Ozone Season unit.
    (b) Monitoring, reporting, and recordkeeping requirements. (1) The
owners and operators, and the CAIR designated representative, of each
CAIR NOX Ozone Season source and each CAIR NOX
Ozone Season unit at the source shall comply with the monitoring,
reporting, and recordkeeping requirements of subpart HHHH of this part.
    (2) The emissions measurements recorded and reported in accordance
with subpart HHHH of this part shall be used to determine compliance by
each CAIR NOX Ozone Season source with the CAIR
NOX Ozone Season emissions limitation under paragraph (c) of
this section.
    (c) Nitrogen oxides ozone season emission requirements. (1) As of
the allowance transfer deadline for a control period, the owners and
operators of each CAIR NOX Ozone Season source and each CAIR
NOX Ozone Season unit at the source shall hold, in the
source's compliance account, CAIR NOX Ozone Season
allowances available for compliance deductions for the control period
under Sec.  97.354(a) in an amount not less than the tons of total
nitrogen oxides emissions for the control period

from all CAIR NOX Ozone Season units at the source, as
determined in accordance with subpart HHHH of this part.
    (2) A CAIR NOX Ozone Season unit shall be subject to the
requirements under paragraph (c)(1) of this section for the control
period starting on the later of May 1, 2009 or the deadline for meeting
the unit's monitor certification requirements under Sec.  97.370(b)(1),
(2), (3), or (7) and for each control period thereafter.
    (3) A CAIR NOX Ozone Season allowance shall not be
deducted, for compliance with the requirements under paragraph (c)(1)
of this section, for a control period in a calendar year before the
year for which the CAIR NOX Ozone Season allowance was
allocated.
    (4) CAIR NOX Ozone Season allowances shall be held in,
deducted from, or transferred into or among CAIR NOX Ozone
Season Allowance Tracking System accounts in accordance with subparts
EEEE, FFFF, GGGG, and IIII of this part.
    (5) A CAIR NOX Ozone Season allowance is a limited
authorization to emit one ton of nitrogen oxides in accordance with the
CAIR NOX Ozone Season Trading Program. No provision of the
CAIR NOX Ozone Season Trading Program, the CAIR permit
application, the CAIR permit, or an exemption under Sec.  97.305 and no
provision of law shall be construed to limit the authority of the
United States to terminate or limit such authorization.
    (6) A CAIR NOX Ozone Season allowance does not
constitute a property right.
    (7) Upon recordation by the Administrator under subpart EEEE, FFFF,
GGGG, or IIII of this part, every allocation, transfer, or deduction of
a CAIR NOX Ozone Season allowance to or from a CAIR
NOX Ozone Season source's compliance account is incorporated
automatically in any CAIR permit of the source.
    (d) Excess emissions requirements. If a CAIR NOX Ozone
Season source emits nitrogen oxides during any control period in excess
of the CAIR NOX Ozone Season emissions limitation, then:
    (1) The owners and operators of the source and each CAIR
NOX Ozone Season unit at the source shall surrender the CAIR
NOX Ozone Season allowances required for deduction under
Sec.  97.354(d)(1) and pay any fine, penalty, or assessment or comply
with any other remedy imposed, for the same violations, under the Clean
Air Act or applicable State law; and
    (2) Each ton of such excess emissions and each day of such control
period shall constitute a separate violation of this subpart, the Clean
Air Act, and applicable State law.
    (e) Recordkeeping and reporting requirements. (1) Unless otherwise
provided, the owners and operators of the CAIR NOX Ozone
Season source and each CAIR NOX Ozone Season unit at the
source shall keep on site at the source each of the following documents
for a period of 5 years from the date the document is created. This
period may be extended for cause, at any time before the end of 5
years, in writing by the permitting authority or the Administrator.
    (i) The certificate of representation under Sec.  97.313 for the
CAIR designated representative for the source and each CAIR
NOX Ozone Season unit at the source and all documents that
demonstrate the truth of the statements in the certificate of
representation; provided that the certificate and documents shall be
retained on site at the source beyond such 5-year period until such
documents are superseded because of the submission of a new certificate
of representation under Sec.  97.313 changing the CAIR designated
representative.
    (ii) All emissions monitoring information, in accordance with
subpart HHHH of this part, provided that to the extent that subpart
HHHH of this part provides for a 3-year period for recordkeeping, the
3-year period shall apply.
    (iii) Copies of all reports, compliance certifications, and other
submissions and all records made or required under the CAIR
NOX Ozone Season Trading Program.
    (iv) Copies of all documents used to complete a CAIR permit
application and any other submission under the CAIR NOX
Ozone Season Trading Program or to demonstrate compliance with the
requirements of the CAIR NOX Ozone Season Trading Program.
    (2) The CAIR designated representative of a CAIR NOX
Ozone Season source and each CAIR NOX Ozone Season unit at
the source shall submit the reports required under the CAIR
NOX Ozone Season Trading Program, including those under
subpart HHHH of this part.
    (f) Liability. (1) Each CAIR NOX Ozone Season source and
each CAIR NOX Ozone Season unit shall meet the requirements
of the CAIR NOX Ozone Season Trading Program.
    (2) Any provision of the CAIR NOX Ozone Season Trading
Program that applies to a CAIR NOX Ozone Season source or
the CAIR designated representative of a CAIR NOX Ozone
Season source shall also apply to the owners and operators of such
source and of the CAIR NOX Ozone Season units at the source.
    (3) Any provision of the CAIR NOX Ozone Season Trading
Program that applies to a CAIR NOX Ozone Season unit or the
CAIR designated representative of a CAIR NOX Ozone Season
unit shall also apply to the owners and operators of such unit.
    (g) Effect on other authorities. No provision of the CAIR
NOX Ozone Season Trading Program, a CAIR permit application,
a CAIR permit, or an exemption under Sec.  97.305 shall be construed as
exempting or excluding the owners and operators, and the CAIR
designated representative, of a CAIR NOX Ozone Season source
or CAIR NOX Ozone Season unit from compliance with any other
provision of the applicable, approved State implementation plan, a
federally enforceable permit, or the Clean Air Act.

Sec.  97.307  Computation of time.

    (a) Unless otherwise stated, any time period scheduled, under the
CAIR NOX Ozone Season Trading Program, to begin on the
occurrence of an act or event shall begin on the day the act or event
occurs.
    (b) Unless otherwise stated, any time period scheduled, under the
CAIR NOX Ozone Season Trading Program, to begin before the
occurrence of an act or event shall be computed so that the period ends
the day before the act or event occurs.
    (c) Unless otherwise stated, if the final day of any time period,
under the CAIR NOX Ozone Season Trading Program, falls on a
weekend or a State or Federal holiday, the time period shall be
extended to the next business day.

Sec.  97.308  Appeal procedures.

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

Appendix A to Subpart AAAA of Part 97--States With Approved State
Implementation Plan Revisions Concerning Applicability

    The following States have State Implementation Plan revisions
under Sec.  51.123(ee)(1) of this chapter approved by the
Administrator and providing for expansion of the applicability
provisions to include all non-EGUs subject to the respective State's
emission trading program approved under Sec.  51.121(p) of this
chapter:
    [Reserved]

Subpart BBBB--CAIR Designated Representative for CAIR
NOX Ozone Season Sources

Sec.  97.310  Authorization and responsibilities of CAIR designated
representative.

    (a) Except as provided under Sec.  97.311, each CAIR NOX
Ozone Season source, including all CAIR NOX Ozone Season
units at the source, shall have one and only one CAIR designated
representative, with regard to all matters under the CAIR
NOX Ozone Season Trading Program concerning the source or
any CAIR NOX Ozone Season unit at the source.
    (b) The CAIR designated representative of the CAIR NOX
Ozone Season source shall be selected by an agreement binding on the
owners and operators of the source and all CAIR NOX Ozone
Season units at the source and shall act in accordance with the
certification statement in Sec.  97.313(a)(4)(iv).
    (c) Upon receipt by the Administrator of a complete certificate of
representation under Sec.  97.313, the CAIR designated representative
of the source shall represent and, by his or her representations,
actions, inactions, or submissions, legally bind each owner and
operator of the CAIR NOX Ozone Season source represented and
each CAIR NOX Ozone Season unit at the source in all matters
pertaining to the CAIR NOX Ozone Season Trading Program,
notwithstanding any agreement between the CAIR designated
representative and such owners and operators. The owners and operators
shall be bound by any decision or order issued to the CAIR designated
representative by the permitting authority, the Administrator, or a
court regarding the source or unit.
    (d) No CAIR permit will be issued, no emissions data reports will
be accepted, and no CAIR NOX Ozone Season Allowance Tracking
System account will be established for a CAIR NOX Ozone
Season unit at a source, until the Administrator has received a
complete certificate of representation under Sec.  97.313 for a CAIR
designated representative of the source and the CAIR NOX
Ozone Season units at the source.
    (e)(1) Each submission under the CAIR NOX Ozone Season
Trading Program shall be submitted, signed, and certified by the CAIR
designated representative for each CAIR NOX Ozone Season
source on behalf of which the submission is made. Each such submission
shall include the following certification statement by the CAIR
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.''
    (2) The permitting authority and the Administrator will accept or
act on a submission made on behalf of owner or operators of a CAIR
NOX Ozone Season source or a CAIR NOX Ozone
Season unit only if the submission has been made, signed, and certified
in accordance with paragraph (e)(1) of this section.

Sec.  97.311  Alternate CAIR designated representative.

    (a) A certificate of representation under Sec.  97.313 may
designate one and only one alternate CAIR designated representative,
who may act on behalf of the CAIR designated representative. The
agreement by which the alternate CAIR designated representative is
selected shall include a procedure for authorizing the alternate CAIR
designated representative to act in lieu of the CAIR designated
representative.
    (b) Upon receipt by the Administrator of a complete certificate of
representation under Sec.  97.313, any representation, action,
inaction, or submission by the alternate CAIR designated representative
shall be deemed to be a representation, action, inaction, or submission
by the CAIR designated representative.
    (c) Except in this section and Sec. Sec.  97.302, 97.310(a) and
(d), 97.312, 97.313, 97.315, 97.351, and 97.382, whenever the term
``CAIR designated representative'' is used in subparts AAAA through
IIII of this part, the term shall be construed to include the CAIR
designated representative or any alternate CAIR designated
representative.

Sec.  97.312  Changing CAIR designated representative and alternate
CAIR designated representative; changes in owners and operators.

    (a) Changing CAIR designated representative. The CAIR designated
representative may be changed at any time upon receipt by the
Administrator of a superseding complete certificate of representation
under Sec.  97.313. Notwithstanding any such change, all
representations, actions, inactions, and submissions by the previous
CAIR designated representative before the time and date when the
Administrator receives the superseding certificate of representation
shall be binding on the new CAIR designated representative and the
owners and operators of the CAIR NOX Ozone Season source and
the CAIR NOX Ozone Season units at the source.
    (b) Changing alternate CAIR designated representative. The
alternate CAIR designated representative may be changed at any time
upon receipt by the Administrator of a superseding complete certificate
of representation under Sec.  97.313. Notwithstanding any such change,
all representations, actions, inactions, and submissions by the
previous alternate CAIR designated representative before the time and
date when the Administrator receives the superseding certificate of
representation shall be binding on the new alternate CAIR designated
representative and the owners and operators of the CAIR NOX
Ozone Season source and the CAIR NOX Ozone Season units at
the source.
    (c) Changes in owners and operators. (1) In the event an owner or
operator of a CAIR NOX Ozone Season source or a CAIR
NOX Ozone Season unit is not included in the list of owners
and operators in the certificate of representation under Sec.  97.313,
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 CAIR designated representative and
any alternate CAIR designated representative of the source or unit, and
the decisions and orders of the permitting authority, the
Administrator, or a court, as if the owner or operator were included in
such list.
    (2) Within 30 days following any change in the owners and operators
of a CAIR NOX Ozone Season source or a CAIR NOX
Ozone Season unit, including the addition of a new owner or operator,
the CAIR designated representative or any alternate CAIR designated
representative shall submit a revision to the certificate of
representation under Sec.  97.313 amending the list of owners and
operators to include the change.

Sec.  97.313  Certificate of representation.

    (a) A complete certificate of representation for a CAIR designated
representative or an alternate CAIR designated representative shall
include

the following elements in a format prescribed by the Administrator:
    (1) Identification of the CAIR NOX Ozone Season source,
and each CAIR NOX Ozone Season unit at the source, for which
the certificate of representation is submitted, including
identification and nameplate capacity of each generator served by each
such unit.
    (2) The name, address, e-mail address (if any), telephone number,
and facsimile transmission number (if any) of the CAIR designated
representative and any alternate CAIR designated representative.
    (3) A list of the owners and operators of the CAIR NOX
Ozone Season source and of each CAIR NOX Ozone Season unit
at the source.
    (4) The following certification statements by the CAIR designated
representative and any alternate CAIR designated representative--
    (i) ``I certify that I was selected as the CAIR designated
representative or alternate CAIR designated representative, as
applicable, by an agreement binding on the owners and operators of the
source and each CAIR NOX Ozone Season unit at the source.''
    (ii) ``I certify that I have all the necessary authority to carry
out my duties and responsibilities under the CAIR NOX Ozone
Season Trading Program on behalf of the owners and operators of the
source and of each CAIR NOX Ozone Season unit at the source
and that each such owner and operator shall be fully bound by my
representations, actions, inactions, or submissions.''
    (iii) ``I certify that the owners and operators of the source and
of each CAIR NOX Ozone Season unit at the source shall be
bound by any order issued to me by the Administrator, the permitting
authority, or a court regarding the source or unit.''
    (iv) ``Where there are multiple holders of a legal or equitable
title to, or a leasehold interest in, a CAIR NOX Ozone
Season unit, or where a utility or industrial customer purchases power
from a CAIR NOX Ozone Season unit under a life-of-the-unit,
firm power contractual arrangement, I certify that: I have given a
written notice of my selection as the `CAIR designated representative'
or `alternate CAIR designated representative', as applicable, and of
the agreement by which I was selected to each owner and operator of the
source and of each CAIR NOX Ozone Season unit at the source;
and CAIR NOX Ozone Season allowances and proceeds of
transactions involving CAIR NOX Ozone Season allowances will
be deemed to be held or distributed in proportion to each holder's
legal, equitable, leasehold, or contractual reservation or entitlement,
except that, if such multiple holders have expressly provided for a
different distribution of CAIR NOX Ozone Season allowances
by contract, CAIR NOX Ozone Season allowances and proceeds
of transactions involving CAIR NOX Ozone Season allowances
will be deemed to be held or distributed in accordance with the
contract.''
    (5) The signature of the CAIR designated representative and any
alternate CAIR designated representative and the dates signed.
    (b) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the certificate of
representation shall not be submitted to the permitting authority or
the Administrator. Neither the permitting authority nor the
Administrator shall be under any obligation to review or evaluate the
sufficiency of such documents, if submitted.

Sec.  97.314  Objections concerning CAIR designated representative.

    (a) Once a complete certificate of representation under Sec.
97.313 has been submitted and received, the permitting authority and
the Administrator will rely on the certificate of representation unless
and until a superseding complete certificate of representation under
Sec.  97.313 is received by the Administrator.
    (b) Except as provided in Sec.  97.312(a) or (b), no objection or
other communication submitted to the permitting authority or the
Administrator concerning the authorization, or any representation,
action, inaction, or submission, of the CAIR designated representative
shall affect any representation, action, inaction, or submission of the
CAIR designated representative or the finality of any decision or order
by the permitting authority or the Administrator under the CAIR
NOX Ozone Season Trading Program.
    (c) Neither the permitting authority nor the Administrator will
adjudicate any private legal dispute concerning the authorization or
any representation, action, inaction, or submission of any CAIR
designated representative, including private legal disputes concerning
the proceeds of CAIR NOX Ozone Season allowance transfers.

Sec.  97.315  Delegation by CAIR designated representative and
alternate CAIR designated representative.

    (a) A CAIR 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 part.
    (b) An alternate CAIR 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
part.
    (c) In order to delegate authority to make an electronic submission
to the Administrator in accordance with paragraph (a) or (b) of this
section, the CAIR designated representative or alternate CAIR
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 CAIR designated
representative or alternate CAIR designated representative;
    (2) The name, address, e-mail address, telephone number, and
facsimile transmission number (if any) of each such natural person
(referred to as an ``agent'');
    (3) For each such natural person, a list of the type or types of
electronic submissions under paragraph (a) or (b) of this section for
which authority is delegated to him or her; and
    (4) The following certification statements by such CAIR designated
representative or alternate CAIR designated representative:
    (i) ``I agree that any electronic submission to the Administrator
that is 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 CAIR designated representative or alternate CAIR
designated representative, as appropriate, and before this notice of
delegation is superseded by another notice of delegation under 40 CFR
97.315(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 97.315(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 97.315 is terminated.''.
    (d) A notice of delegation submitted under paragraph (c) of this
section shall be effective, with regard to the CAIR designated
representative or alternate CAIR 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 CAIR designated
representative or alternate CAIR 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 CAIR designated
representative or alternate CAIR designated representative submitting
such notice of delegation.

Subpart CCCC--Permits

Sec.  97.320  General CAIR NOX Ozone Season Trading Program
permit requirements.

    (a) For each CAIR NOX Ozone Season source required to
have a title V operating permit or required, under subpart IIII of this
part, to have a title V operating permit or other federally enforceable
permit, such permit shall include a CAIR permit administered by the
permitting authority for the title V operating permit or the federally
enforceable permit as applicable. The CAIR portion of the title V
permit or other federally enforceable permit as applicable shall be
administered in accordance with the permitting authority's title V
operating permits regulations promulgated under part 70 or 71 of this
chapter or the permitting authority's regulations for other federally
enforceable permits as applicable, except as provided otherwise by
Sec.  97.305, this subpart, and subpart IIII of this part.
    (b) Each CAIR permit shall contain, with regard to the CAIR
NOX Ozone Season source and the CAIR NOX Ozone
Season units at the source covered by the CAIR permit, all applicable
CAIR NOX Ozone Season Trading Program, CAIR NOX
Annual Trading Program, and CAIR SO2 Trading Program
requirements and shall be a complete and separable portion of the title
V operating permit or other federally enforceable permit under
paragraph (a) of this section.

Sec.  97.321  Submission of CAIR permit applications.

    (a) Duty to apply. The CAIR designated representative of any CAIR
NOX Ozone Season source required to have a title V operating
permit shall submit to the permitting authority a complete CAIR permit
application under Sec.  97.322 for the source covering each CAIR
NOX Ozone Season unit at the source at least 18 months (or
such lesser time provided by the permitting authority) before the later
of January 1, 2009 or the date on which the CAIR NOX Ozone
Season unit commences commercial operation, except as provided in Sec.
97.383(a).
    (b) Duty to reapply. For a CAIR NOX Ozone Season source
required to have a title V operating permit, the CAIR designated
representative shall submit a complete CAIR permit application under
Sec.  97.322 for the source covering each CAIR NOX Ozone
Season unit at the source to renew the CAIR permit in accordance with
the permitting authority's title V operating permits regulations
addressing permit renewal, except as provided in Sec.  97.383(b).

Sec.  97.322  Information requirements for CAIR permit applications.

    A complete CAIR permit application shall include the following
elements concerning the CAIR NOX Ozone Season source for
which the application is submitted, in a format prescribed by the
permitting authority:
    (a) Identification of the CAIR NOX Ozone Season source;
    (b) Identification of each CAIR NOX Ozone Season unit at
the CAIR NOX Ozone Season source; and
    (c) The standard requirements under Sec.  97.306.

Sec.  97.323  CAIR permit contents and term.

    (a) Each CAIR permit will contain, in a format prescribed by the
permitting authority, all elements required for a complete CAIR permit
application under Sec.  97.322.
    (b) Each CAIR permit is deemed to incorporate automatically the
definitions of terms under Sec.  97.302 and, upon recordation by the
Administrator under subpart EEEE, FFFF, GGGG, or IIII of this part,
every allocation, transfer, or deduction of a CAIR NOX Ozone
Season allowance to or from the compliance account of the CAIR
NOX Ozone Season source covered by the permit.
    (c) The term of the CAIR permit will be set by the permitting
authority, as necessary to facilitate coordination of the renewal of
the CAIR permit with issuance, revision, or renewal of the CAIR
NOX Ozone Season source's title V operating permit or other
federally enforceable permit as applicable.

Sec.  97.324  CAIR permit revisions.

    Except as provided in Sec.  97.323(b), the permitting authority
will revise the CAIR permit, as necessary, in accordance with the
permitting authority's title V operating permits regulations or the
permitting authority's regulations for other federally enforceable
permits as applicable addressing permit revisions.

Subpart DDDD--[Reserved]

Subpart EEEE--CAIR NOX Ozone Season Allowance
Allocations

Sec.  97.340  State trading budgets.

    (a) Except as provided in paragraph (b) of this section, the State
trading budgets for annual allocations of CAIR NOX Ozone
Season allowances for the control periods in 2009 through 2014 and in
2015 and thereafter are respectively as follows:

------------------------------------------------------------------------
                                                           State trading
                                           State trading    budget for
                  State                     budget for       2015 and
                                             2009-2014      thereafter
                                              (tons)          (tons)
------------------------------------------------------------------------
Alabama.................................          32,182          26,818
Arkansas................................          11,515           9,597
Connecticut.............................           2,559           2,559
Delaware................................           2,226           1,855
District of Columbia....................             112              94
Florida.................................          47,912          39,926
Illinois................................          30,701          28,981
Indiana.................................          45,952          39,273
Iowa....................................          14,263          11,886
Kentucky................................          36,045          30,587
Louisiana...............................          17,085          14,238
Maryland................................          12,834          10,695

Massachusetts...........................           7,551           6,293
Michigan................................          28,971          24,142
Mississippi.............................           8,714           7,262
Missouri................................          26,678          22,231
New Jersey..............................           6,654           5,545
New York................................          20,632          17,193
North Carolina..........................          28,392          23,660
Ohio....................................          45,664          39,945
Pennsylvania............................          42,171          35,143
South Carolina..........................          15,249          12,707
Tennessee...............................          22,842          19,035
Virginia................................          15,994          13,328
West Virginia...........................          26,859          26,525
Wisconsin...............................          17,987          14,989
------------------------------------------------------------------------

    (b) Upon approval by the Administrator of a State's State
implementation plan revision under Sec.  51.123(ee)(1) of this chapter
providing for the inclusion in the CAIR NOX Ozone Season
Trading Program of all units that are not otherwise CAIR NOX
Ozone Season units under Sec.  97.304(a) and (b) and that are
NOX Budget units covered by the State's emissions trading
program approved under Sec.  51.121(p), the amount in the State trading
budget for a control period in a calendar year will be the sum of the
amount set forth for the State and for the year in paragraph (a) of
this section and the amount of additional CAIR NOX Ozone
Season allowance allocations issued under Sec.  51.123(ee)(1)(ii)(A) of
this chapter for the year.

Sec.  97.341  Timing requirements for CAIR NOX Ozone Season
allowance allocations.

    (a) The Administrator will determine by order the CAIR
NOX Ozone Season allowance allocations, in accordance with
Sec.  97.342(a) and (b), for the control periods in 2009, 2010, 2011,
2012, 2013, and 2014.
    (b) By July 31, 2011 and July 31 of each year thereafter, the
Administrator will determine by order the CAIR NOX Ozone
Season allowance allocations, in accordance with Sec.  97.342(a) and
(b), for the control period in the fourth year after the year of the
applicable deadline for determination under this paragraph.
    (c) By April 30, 2009 and April 30 of each year thereafter, the
Administrator will determine by order the CAIR NOX Ozone
Season allowance allocations, in accordance with Sec.  97.342(a), (c),
and (d), for the control period in the year of the applicable deadline
for determination under this paragraph.
    (d) The Administrator will make available to the public each
determination of CAIR NOX Ozone Season allowances under
paragraph (a), (b), or (c) of this section and will provide an
opportunity for submission of objections to the determination.
Objections shall be limited to addressing whether the determination is
in accordance with Sec.  97.342. Based on any such objections, the
Administrator will adjust each determination to the extent necessary to
ensure that it is in accordance with Sec.  97.342.

Sec.  97.342  CAIR NOX Ozone Season allowance allocations.

    (a)(1) The baseline heat input (in mmBtu) used with respect to CAIR
NOX Ozone Season allowance allocations under paragraph (b)
of this section for each CAIR NOX Ozone Season unit will be:
    (i) For units commencing operation before January 1, 2001 the
average of the 3 highest amounts of the unit's adjusted control period
heat input for 2000 through 2004, with the adjusted control period heat
input for each year calculated as follows:
    (A) If the unit is coal-fired during the year, the unit's control
period heat input for such year is multiplied by 100 percent;
    (B) If the unit is oil-fired during the year, the unit's control
period heat input for such year is multiplied by 60 percent; and
    (C) If the unit is not subject to paragraph (a)(1)(i)(A) or (B) of
this section, the unit's control period heat input for such year is
multiplied by 40 percent.
    (ii) For units commencing operation on or after January 1, 2001 and
operating each calendar year during a period of 5 or more consecutive
calendar years, the average of the 3 highest amounts of the unit's
total converted control period heat input over the first such 5 years.
    (2)(i) A unit's control period heat input, and a unit's status as
coal-fired or oil-fired, for a calendar year under paragraph (a)(1)(i)
of this section, and a unit's total tons of NOX emissions
during a control period in a calendar year under paragraph (c)(3) of
this section, will be determined in accordance with part 75 of this
chapter, to the extent the unit was otherwise subject to the
requirements of part 75 of this chapter for the year, or will be based
on the best available data reported to the Administrator for the unit
(in a format prescribed by the Administrator), to the extent the unit
was not otherwise subject to the requirements of part 75 of this
chapter for the year.
    (ii) A unit's converted control period heat input for a calendar
year specified under paragraph (a)(1)(ii) of this section equals:
    (A) Except as provided in paragraph (a)(2)(ii)(B) or (C) of this
section, the control period gross electrical output of the generator or
generators served by the unit multiplied by 7,900 Btu/kWh, if the unit
is coal-fired for the year, or 6,675 Btu/kWh, if the unit is not coal-
fired for the year, and divided by 1,000,000 Btu/mmBtu, provided that
if a generator is served by 2 or more units, then the gross electrical
output of the generator will be attributed to each unit in proportion
to the unit's share of the total control period heat input of such
units for the year;
    (B) For a unit that is a boiler and has equipment used to produce
electricity and useful thermal energy for industrial, commercial,
heating, or cooling purposes through the sequential use of energy, the
total heat energy (in Btu) of the steam produced by the boiler during
the control period, divided by 0.8 and by 1,000,000 Btu/mmBtu; or
    (C) For a unit that is a combustion turbine and has equipment used
to produce electricity and useful thermal energy for industrial,
commercial,

heating, or cooling purposes through the sequential use of energy, the
control period gross electrical output of the enclosed device
comprising the compressor, combustor, and turbine multiplied by 3,413
Btu/kWh, plus the total heat energy (in Btu) of the steam produced by
any associated heat recovery steam generator during the control period
divided by 0.8, and with the sum divided by 1,000,000 Btu/mmBtu.
    (iii) Gross electrical output and total heat energy under paragraph
(a)(2)(ii) of this section will be determined based on the best
available data reported to the Administrator for the unit (in a format
prescribed by the Administrator).
    (3) The Administrator will determine what data are the best
available data under paragraph (a)(2) of this section by weighing the
likelihood that data are accurate and reliable and giving greater
weight to data submitted to a governmental entity in compliance with
legal requirements or substantiated by an independent entity.
    (b)(1) For each control period in 2009 and thereafter, the
Administrator will allocate to all CAIR NOX Ozone Season
units in a State that have a baseline heat input (as determined under
paragraph (a) of this section) a total amount of CAIR NOX
Ozone Season allowances equal to 95 percent for a control period during
2009 through 2014, and 97 percent for a control period during 2015 and
thereafter, of the tons of NOX emissions in the applicable
State trading budget under Sec.  97.340 (except as provided in
paragraphs (d) and (e) of this section).
    (2) The Administrator will allocate CAIR NOX Ozone
Season allowances to each CAIR NOX Ozone Season unit under
paragraph (b)(1) of this section in an amount determined by multiplying
the total amount of CAIR NOX Ozone Season allowances
allocated under paragraph (b)(1) of this section by the ratio of the
baseline heat input of such CAIR NOX Ozone Season unit to
the total amount of baseline heat input of all such CAIR NOX
Ozone Season units in the State and rounding to the nearest whole
allowance as appropriate.
    (c) For each control period in 2009 and thereafter, the
Administrator will allocate CAIR NOX Ozone Season allowances
to CAIR NOX Ozone Season units in a State that are not
allocated CAIR NOX Ozone Season allowances under paragraph
(b) of this section because the units do not yet have a baseline heat
input under paragraph (a) of this section or because the units have a
baseline heat input but all CAIR NOX Ozone Season allowances
available under paragraph (b) of this section for the control period
are already allocated, in accordance with the following procedures:
    (1) The Administrator will establish a separate new unit set-aside
for each control period. Each new unit set-aside will be allocated CAIR
NOX Ozone Season allowances equal to 5 percent for a control
period in 2009 through 2014, and 3 percent for a control period in 2015
and thereafter, of the amount of tons of NOX emissions in
the applicable State trading budget under Sec.  97.340.
    (2) The CAIR designated representative of such a CAIR
NOX Ozone Season unit may submit to the Administrator a
request, in a format specified by the Administrator, to be allocated
CAIR NOX Ozone Season allowances, starting with the later of
the control period in 2009 or the first control period after the
control period in which the CAIR NOX Ozone Season unit
commences commercial operation and until the first control period for
which the unit is allocated CAIR NOX Ozone Season allowances
under paragraph (b) of this section. A separate CAIR NOX
Ozone Season allowance allocation request for each control period for
which CAIR NOX Ozone Season allowances are sought must be
submitted on or before February 1 before such control period and after
the date on which the CAIR NOX Ozone Season unit commences
commercial operation.
    (3) In a CAIR NOX Ozone Season allowance allocation
request under paragraph (c)(2) of this section, the CAIR designated
representative may request for a control period CAIR NOX
Ozone Season allowances in an amount not exceeding the CAIR
NOX Ozone Season unit(s total tons of NOX
emissions during the control period immediately before such control
period.
    (4) The Administrator will review each CAIR NOX Ozone
Season allowance allocation request under paragraph (c)(2) of this
section and will allocate CAIR NOX Ozone Season allowances
for each control period pursuant to such request as follows:
    (i) The Administrator will accept an allowance allocation request
only if the request meets, or is adjusted by the Administrator as
necessary to meet, the requirements of paragraphs (c)(2) and (3) of
this section.
    (ii) On or after February 1 before the control period, the
Administrator will determine the sum of the CAIR NOX Ozone
Season allowances requested (as adjusted under paragraph (c)(4)(i) of
this section) in all allowance allocation requests accepted under
paragraph (c)(4)(i) of this section for the control period.
    (iii) If the amount of CAIR NOX Ozone Season allowances
in the new unit set-aside for the control period is greater than or
equal to the sum under paragraph (c)(4)(ii) of this section, then the
Administrator will allocate the amount of CAIR NOX Ozone
Season allowances requested (as adjusted under paragraph (c)(4)(i) of
this section) to each CAIR NOX Ozone Season unit covered by
an allowance allocation request accepted under paragraph (c)(4)(i) of
this section.
    (iv) If the amount of CAIR NOX Ozone Season allowances
in the new unit set-aside for the control period is less than the sum
under paragraph (c)(4)(ii) of this section, then the Administrator will
allocate to each CAIR NOX Ozone Season unit covered by an
allowance allocation request accepted under paragraph (c)(4)(i) of this
section the amount of the CAIR NOX Ozone Season allowances
requested (as adjusted under paragraph (c)(4)(i) of this section),
multiplied by the amount of CAIR NOX Ozone Season allowances
in the new unit set-aside for the control period, divided by the sum
determined under paragraph (c)(4)(ii) of this section, and rounded to
the nearest whole allowance as appropriate.
    (v) The Administrator will notify each CAIR designated
representative that submitted an allowance allocation request of the
amount of CAIR NOX Ozone Season allowances (if any)
allocated for the control period to the CAIR NOX Ozone
Season unit covered by the request.
    (d) If, after completion of the procedures under paragraph (c)(4)
of this section for a control period, any unallocated CAIR
NOX Ozone Season allowances remain in the new unit set-aside
under paragraph (c) of this section for a State for the control period,
the Administrator will allocate to each CAIR NOX Ozone
Season unit that was allocated CAIR NOX Ozone Season
allowances under paragraph (b) of this section in the State an amount
of CAIR NOX Ozone Season allowances equal to the total
amount of such remaining unallocated CAIR NOX Ozone Season
allowances, multiplied by the unit's allocation under paragraph (b) of
this section, divided by 95 percent for a control period during 2009
through 2014, and 97 percent for a control period during 2015 and
thereafter, of the amount of tons of NOX emissions in the
applicable State trading budget under Sec.  97.340, and rounded to the
nearest whole allowance as appropriate.
    (e) If the Administrator determines that CAIR NOX Ozone
Season allowances were allocated under paragraphs (a) and (b) of this
section,

paragraphs (a) and (c) of this section, or paragraph (d) of this
section for a control period and that the recipient of the allocation
is not actually a CAIR NOX Ozone Season unit under Sec.
97.304 in such control period, then the Administrator will notify the
CAIR designated representative and will act in accordance with the
following procedures:
    (1) Except as provided in paragraph (e)(2) or (3) of this section,
the Administrator will not record such CAIR NOX Ozone Season
allowances under Sec.  97.353.
    (2) If the Administrator already recorded such CAIR NOX
Ozone Season allowances under Sec.  97.353 and if the Administrator
makes such determinations before making deductions for the source that
includes such recipient under Sec.  97.354(b) for the control period,
then the Administrator will deduct from the account in which such CAIR
NOX Ozone Season allowances were recorded under Sec.  97.353
an amount of CAIR NOX Ozone Season allowances allocated for
the same or a prior control period equal to the amount of such already
recorded CAIR NOX Ozone Season allowances. The CAIR
designated representative shall ensure that there are sufficient CAIR
NOX Ozone Season allowances in such account for completion
of the deduction.
    (3) If the Administrator already recorded such CAIR NOX
Ozone Season allowances under Sec.  97.353 and if the Administrator
makes such determinations after making deductions for the source that
includes such recipient under Sec.  97.354(b) for the control period,
then the Administrator will apply paragraph (e)(1) or (2) of this
section, as appropriate, to any subsequent control period for which
CAIR NOX Ozone Season allowances were allocated to such
recipient.
    (4) The Administrator will transfer the CAIR NOX Ozone
Season allowances that are not recorded, or that are deducted, in
accordance with paragraphs (e)(1), (2), and (3) of this section to a
new unit set-aside for the State in which such recipient is located.

Sec.  97.343   Alternative of allocation of CAIR NOX Ozone
Season allowances by permitting authority.

    (a) Notwithstanding Sec. Sec.  97.341, 97.342, and 97.353 if a
State submits, and the Administrator approves, a State implementation
plan revision in accordance with Sec.  51.123(ee)(2) of this chapter
providing for allocation of CAIR NOX Ozone Season allowances
by the permitting authority, then the permitting authority shall make
such allocations in accordance with such approved State implementation
plan revision, the Administrator will not make allocations under
Sec. Sec.  97.341 and 97.342 for the CAIR NOX Ozone Season
units in the State, and under Sec.  97.353, the Administrator will
record allocations made under such approved State implementation plan
revision instead of allocations under Sec. Sec.  97.341 and 97.342.
    (b) In implementing paragraph(a) of this section and Sec. Sec.
97.341, 97.342, and 97.353, the Administrator will ensure that the
total amount of CAIR NOX Ozone Season allowances allocated,
under such provisions and under a State's State implementation plan
revision approved in accordance with Sec.  51.123(ee)(2) of this
chapter, for a control period for CAIR NOX Ozone Season
sources in the State or for other entities specified by the permitting
authority will not exceed the State's State trading budget for the year
of the control period.

Appendix A to Subpart EEEE of Part 97--States With Approved State
Implementation Plan Revisions Concerning Allocations

    The following States have State Implementation Plan revisions
under Sec.  51.123(ee)(2) of this chapter approved by the
Administrator and providing for allocation of CAIR NOX
Ozone Season allowances by the permitting authority under Sec.
97.344(a):
    [Reserved]

Subpart FFFF--CAIR NOX Ozone Season Allowance Tracking
System

Sec.  97.350   [Reserved]

Sec.  97.351   Establishment of accounts.

    (a) Compliance accounts. Except as provided in Sec.  97.384(e),
upon receipt of a complete certificate of representation under Sec.
97.313, the Administrator will establish a compliance account for the
CAIR NOX Ozone Season source for which the certificate of
representation was submitted, unless the source already has a
compliance account.
    (b) General accounts--(1) Application for general account. (i) Any
person may apply to open a general account for the purpose of holding
and transferring CAIR NOX Ozone Season allowances. An
application for a general account may designate one and only one CAIR
authorized account representative and one and only one alternate CAIR
authorized account representative who may act on behalf of the CAIR
authorized account representative. The agreement by which the alternate
CAIR authorized account representative is selected shall include a
procedure for authorizing the alternate CAIR authorized account
representative to act in lieu of the CAIR authorized account
representative.
    (ii) A complete application for a general account shall be
submitted to the Administrator and shall include the following elements
in a format prescribed by the Administrator:
    (A) Name, mailing address, e-mail address (if any), telephone
number, and facsimile transmission number (if any) of the CAIR
authorized account representative and any alternate CAIR authorized
account representative;
    (B) Organization name and type of organization, if applicable;
    (C) A list of all persons subject to a binding agreement for the
CAIR authorized account representative and any alternate CAIR
authorized account representative to represent their ownership interest
with respect to the CAIR NOX Ozone Season allowances held in
the general account;
    (D) The following certification statement by the CAIR authorized
account representative and any alternate CAIR authorized account
representative: ``I certify that I was selected as the CAIR authorized
account representative or the alternate CAIR authorized account
representative, as applicable, by an agreement that is binding on all
persons who have an ownership interest with respect to CAIR
NOX Ozone Season allowances held in the general account. I
certify that I have all the necessary authority to carry out my duties
and responsibilities under the CAIR NOX Ozone Season Trading
Program on behalf of such persons and that each such person shall be
fully bound by my representations, actions, inactions, or submissions
and by any order or decision issued to me by the Administrator or a
court regarding the general account.''
    (E) The signature of the CAIR authorized account representative and
any alternate CAIR authorized account representative and the dates
signed.
    (iii) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the application
for a general account shall not be submitted to the permitting
authority or the Administrator. Neither the permitting authority nor
the Administrator shall be under any obligation to review or evaluate
the sufficiency of such documents, if submitted.
    (2) Authorization of CAIR authorized account representative and
alternate CAIR authorized account representative. (i) Upon receipt by
the Administrator of a complete application

for a general account under paragraph (b)(1) of this section:
    (A) The Administrator will establish a general account for the
person or persons for whom the application is submitted.
    (B) The CAIR authorized account representative and any alternate
CAIR authorized account representative for the general account shall
represent and, by his or her representations, actions, inactions, or
submissions, legally bind each person who has an ownership interest
with respect to CAIR NOX Ozone Season allowances held in the
general account in all matters pertaining to the CAIR NOX
Ozone Season Trading Program, notwithstanding any agreement between the
CAIR authorized account representative or any alternate CAIR authorized
account representative and such person. Any such person shall be bound
by any order or decision issued to the CAIR authorized account
representative or any alternate CAIR authorized account representative
by the Administrator or a court regarding the general account.
    (C) Any representation, action, inaction, or submission by any
alternate CAIR authorized account representative shall be deemed to be
a representation, action, inaction, or submission by the CAIR
authorized account representative.
    (ii) Each submission concerning the general account shall be
submitted, signed, and certified by the CAIR authorized account
representative or any alternate CAIR authorized account representative
for the persons having an ownership interest with respect to CAIR
NOX Ozone Season allowances held in the general account.
Each such submission shall include the following certification
statement by the CAIR authorized account representative or any
alternate CAIR authorized account representative: ``I am authorized to
make this submission on behalf of the persons having an ownership
interest with respect to the CAIR NOX Ozone Season
allowances held in the general account. I certify under penalty of law
that I have personally examined, and am familiar with, the statements
and information submitted in this document and all its attachments.
Based on my inquiry of those individuals with primary responsibility
for obtaining the information, I certify that the statements and
information are to the best of my knowledge and belief true, accurate,
and complete. I am aware that there are significant penalties for
submitting false statements and information or omitting required
statements and information, including the possibility of fine or
imprisonment.''
    (iii) The Administrator will accept or act on a submission
concerning the general account only if the submission has been made,
signed, and certified in accordance with paragraph (b)(2)(ii) of this
section.
    (3) Changing CAIR authorized account representative and alternate
CAIR authorized account representative; changes in persons with
ownership interest. (i) The CAIR authorized account representative for
a general account may be changed at any time upon receipt by the
Administrator of a superseding complete application for a general
account under paragraph (b)(1) of this section. Notwithstanding any
such change, all representations, actions, inactions, and submissions
by the previous CAIR 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 CAIR authorized
account representative and the persons with an ownership interest with
respect to the CAIR NOX Ozone Season allowances in the
general account.
    (ii) The alternate CAIR authorized account representative for a
general account may be changed at any time upon receipt by the
Administrator of a superseding complete application for a general
account under paragraph (b)(1) of this section. Notwithstanding any
such change, all representations, actions, inactions, and submissions
by the previous alternate CAIR 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
CAIR authorized account representative and the persons with an
ownership interest with respect to the CAIR NOX Ozone Season
allowances in the general account.
    (iii)(A) In the event a person having an ownership interest with
respect to CAIR NOX Ozone Season allowances in the general
account is not included in the list of such persons in the application
for a general account, such person shall be deemed to be subject to and
bound by the application for a general account, the representation,
actions, inactions, and submissions of the CAIR authorized account
representative and any alternate CAIR authorized account representative
of the account, and the decisions and orders of the Administrator or a
court, as if the person were included in such list.
    (B) Within 30 days following any change in the persons having an
ownership interest with respect to CAIR NOX Ozone Season
allowances in the general account, including the addition of a new
person, the CAIR authorized account representative or any alternate
CAIR 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 CAIR NOX Ozone
Season allowances in the general account to include the change.
    (4) Objections concerning CAIR authorized account representative
and alternate CAIR authorized account representative. (i) Once a
complete application for a general account under paragraph (b)(1) of
this section has been submitted and received, the Administrator will
rely on the application unless and until a superseding complete
application for a general account under paragraph (b)(1) of this
section is received by the Administrator.
    (ii) Except as provided in paragraph (b)(3)(i) or (ii) of this
section, no objection or other communication submitted to the
Administrator concerning the authorization, or any representation,
action, inaction, or submission of the CAIR authorized account
representative or any alternate CAIR authorized account representative
for a general account shall affect any representation, action,
inaction, or submission of the CAIR authorized account representative
or any alternate CAIR authorized account representative or the finality
of any decision or order by the Administrator under the CAIR
NOX Ozone Season Trading Program.
    (iii) The Administrator will not adjudicate any private legal
dispute concerning the authorization or any representation, action,
inaction, or submission of the CAIR authorized account representative
or any alternate CAIR authorized account representative for a general
account, including private legal disputes concerning the proceeds of
CAIR NOX Ozone Season allowance transfers.
    (5) Delegation by CAIR authorized account representative and
alternate CAIR authorized account representative. (i) A CAIR authorized
account 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 subparts FFFF and GGGG of
this part.
    (ii) An alternate CAIR authorized account 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 subparts FFFF and GGGG of this part.

    (iii) In order to delegate authority to make an electronic
submission to the Administrator in accordance with paragraph (b)(5)(i)
or (ii) of this section, the CAIR authorized account representative or
alternate CAIR authorized account representative, as appropriate, must
submit to the Administrator a notice of delegation, in a format
prescribed by the Administrator, that includes the following elements:
    (A) The name, address, e-mail address, telephone number, and
facsimile transmission number (if any) of such CAIR authorized account
representative or alternate CAIR authorized account representative;
    (B) The name, address, e-mail address, telephone number, and
facsimile transmission number (if any) of each such natural person
(referred to as an ``agent'');
    (C) For each such natural person, a list of the type or types of
electronic submissions under paragraph (b)(5)(i) or (ii) of this
section for which authority is delegated to him or her;
    (D) The following certification statement by such CAIR authorized
account representative or alternate CAIR authorized account
representative: ``I agree that any electronic submission to the
Administrator that is 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 CAIR authorized account
representative or alternate CAIR authorized representative, as
appropriate, and before this notice of delegation is superseded by
another notice of delegation under 40 CFR 97.351(b)(5)(iv) shall be
deemed to be an electronic submission by me.''; and
    (E) The following certification statement by such CAIR authorized
account representative or alternate CAIR authorized account
representative: Until this notice of delegation is superseded by
another notice of delegation under 40 CFR 97.351(b)(5)(iv), I agree to
maintain an e-mail account and to notify the Administrator immediately
of any change in my e-mail address unless all delegation of authority
by me under 40 CFR 97.351(b)(5) is terminated.''.
    (iv) A notice of delegation submitted under paragraph (b)(5)(iii)
of this section shall be effective, with regard to the CAIR authorized
account representative or alternate CAIR authorized account
representative identified in such notice, upon receipt of such notice
by the Administrator and until receipt by the Administrator of a
superseding notice of delegation submitted by such CAIR authorized
account representative or alternate CAIR authorized account
representative, as appropriate. The superseding notice of delegation
may replace any previously identified agent, add a new agent, or
eliminate entirely any delegation of authority.
    (v) Any electronic submission covered by the certification in
paragraph (b)(5)(iii)(D) of this section and made in accordance with a
notice of delegation effective under paragraph (b)(5)(iv) of this
section shall be deemed to be an electronic submission by the CAIR
designated representative or alternate CAIR designated representative
submitting such notice of delegation.
    (c) Account identification. The Administrator will assign a unique
identifying number to each account established under paragraph (a) or
(b) of this section.

Sec.  97.352  Responsibilities of CAIR authorized account
representative.

    Following the establishment of a CAIR NOX Ozone Season
Allowance Tracking System account, all submissions to the Administrator
pertaining to the account, including, but not limited to, submissions
concerning the deduction or transfer of CAIR NOX Ozone
Season allowances in the account, shall be made only by the CAIR
authorized account representative for the account.

Sec.  97.353  Recordation of CAIR NOX Ozone Season allowance
allocations.

    (a) By September 30, 2007, the Administrator will record in the
CAIR NOX Ozone Season sources compliance account the CAIR
NOX Ozone Season allowances allocated for the CAIR
NOX Ozone Season units at the source in accordance with
Sec.  97.342(a) and (b) for the control period in 2009.
    (b) By September 30, 2008, the Administrator will record in the
CAIR NOX Ozone Season source's compliance account the CAIR
NOX Ozone Season allowances allocated for the CAIR
NOX Ozone Season units at the source in accordance with
Sec.  97.342(a) and (b) for the control period in 2010.
    (c) By September 30, 2009, the Administrator will record in the
CAIR NOX Ozone Season source's compliance account the CAIR
Ozone Season NOX allowances allocated for the CAIR
NOX Ozone Season units at the source in accordance with
Sec.  97.342(a) and (b) for the control periods in 2011, 2012, and
2013.
    (d) By December 1, 2010 and December 1 of each year thereafter, the
Administrator will record in the CAIR NOX Ozone Season
source's compliance account the CAIR NOX Ozone Season
allowances allocated for the CAIR NOX Ozone Season units at
the source in accordance with Sec.  97.342(a) and (b) for the control
period in the fourth year after the year of the applicable deadline for
recordation under this paragraph.
    (e) By September 1, 2009 and September 1 of each year thereafter,
the Administrator will record in the CAIR NOX Ozone Season
source's compliance account the CAIR NOX Ozone Season
allowances allocated for the CAIR NOX Ozone Season units at
the source in accordance with Sec.  97.342(a) and (c) for the control
period in the year of the applicable deadline for recordation under
this paragraph.
    (f) Serial numbers for allocated CAIR NOX Ozone Season allowances.
When recording the allocation of CAIR NOX Ozone Season
allowances for a CAIR NOX Ozone Season unit in a compliance
account, the Administrator will assign each CAIR NOX Ozone
Season allowance a unique identification number that will include
digits identifying the year of the control period for which the CAIR
NOX Ozone Season allowance is allocated.

Sec.  97.354  Compliance with CAIR NOX emissions limitation.

    (a) Allowance transfer deadline. The CAIR NOX Ozone
Season allowances are available to be deducted for compliance with a
source's CAIR NOX Ozone Season emissions limitation for a
control period in a given calendar year only if the CAIR NOX
Ozone Season allowances:
    (1) Were allocated for the control period in the year or a prior
year; and
    (2) Are held in the compliance account as of the allowance transfer
deadline for the control period or are transferred into the compliance
account by a CAIR NOX Ozone Season allowance transfer
correctly submitted for recordation under 97.360 and 97.361 by the
allowance transfer deadline for the control period.
    (b) Deductions for compliance. Following the recordation, in
accordance with Sec.  97.361, of CAIR NOX Ozone Season
allowance transfers submitted for recordation in a source's compliance
account by the allowance transfer deadline for a control period, the
Administrator will deduct from the compliance account CAIR
NOX Ozone Season allowances available under paragraph (a) of
this section in order to determine whether the source meets the CAIR
NOX Ozone Season emissions limitation for the control
period, as follows:
    (1) Until the amount of CAIR NOX Ozone Season allowances
deducted equals the number of tons of total nitrogen oxides emissions,
determined

in accordance with subpart HHHH of this part, from all CAIR
NOX Ozone Season units at the source for the control period;
or
    (2) If there are insufficient CAIR NOX Ozone Season
allowances to complete the deductions in paragraph (b)(1) of this
section, until no more CAIR NOX Ozone Season allowances
available under paragraph (a) of this section remain in the compliance
account.
    (c)(1) Identification of CAIR NOX Ozone Season allowances by serial
number. The CAIR authorized account representative for a source's
compliance account may request that specific CAIR NOX Ozone
Season allowances, identified by serial number, in the compliance
account be deducted for emissions or excess emissions for a control
period in accordance with paragraph (b) or (d) of this section. Such
request shall be submitted to the Administrator by the allowance
transfer deadline for the control period and include, in a format
prescribed by the Administrator, the identification of the CAIR
NOX Ozone Season source and the appropriate serial numbers.
    (2) First-in, first-out. The Administrator will deduct CAIR
NOX Ozone Season allowances under paragraph (b) or (d) of
this section from the source's compliance account, in the absence of an
identification or in the case of a partial identification of CAIR
NOX Ozone Season allowances by serial number under paragraph
(c)(1) of this section, on a first-in, first-out (FIFO) accounting
basis in the following order:
    (i) Any CAIR NOX Ozone Season allowances that were
allocated to the units at the source, in the order of recordation; and
then
    (ii) Any CAIR NOX Ozone Season allowances that were
allocated to any entity and transferred and recorded in the compliance
account pursuant to subpart GGGG of this part, in the order of
recordation.
    (d) Deductions for excess emissions. (1) After making the
deductions for compliance under paragraph (b) of this section for a
control period in a calendar year in which the CAIR NOX
Ozone Season source has excess emissions, the Administrator will deduct
from the source's compliance account an amount of CAIR NOX
Ozone Season allowances, allocated for the control period in the
immediately following calendar year, equal to 3 times the number of
tons of the source's excess emissions.
    (2) Any allowance deduction required under paragraph (d)(1) of this
section shall not affect the liability of the owners and operators of
the CAIR NOX Ozone Season source or the CAIR NOX
Ozone Season units at the source for any fine, penalty, or assessment,
or their obligation to comply with any other remedy, for the same
violations, as ordered under the Clean Air Act or applicable State law.
    (e) Recordation of deductions. The Administrator will record in the
appropriate compliance account all deductions from such an account
under paragraphs (b) and (d) of this section and subpart IIII.
    (f) Administrator(s action on submissions. (1) The Administrator
may review and conduct independent audits concerning any submission
under the CAIR NOX Ozone Season Trading Program and make
appropriate adjustments of the information in the submissions.
    (2) The Administrator may deduct CAIR NOX Ozone Season
allowances from or transfer CAIR NOX Ozone Season allowances
to a source's compliance account based on the information in the
submissions, as adjusted under paragraph (f)(1) of this section, and
record such deductions and transfers.

Sec.  97.355  Banking.

    (a) CAIR NOX Ozone Season allowances may be banked for
future use or transfer in a compliance account or a general account in
accordance with paragraph (b) of this section.
    (b) Any CAIR NOX Ozone Season allowance that is held in
a compliance account or a general account will remain in such account
unless and until the CAIR NOX Ozone Season allowance is
deducted or transferred under Sec.  97.342, Sec.  97.354, Sec.  97.356,
or subpart GGGG or IIII of this part.

Sec.  97.356  Account error.

    The Administrator may, at his or her sole discretion and on his or
her own motion, correct any error in any CAIR NOX Ozone
Season Allowance Tracking System account. Within 10 business days of
making such correction, the Administrator will notify the CAIR
authorized account representative for the account.

Sec.  97.357  Closing of general accounts.

    (a) The CAIR authorized account representative of a general account
may submit to the Administrator a request to close the account, which
shall include a correctly submitted allowance transfer under Sec.
Sec.  97.360 and 97.361 for any CAIR NOX Ozone Season
allowances in the account to one or more other CAIR NOX
Ozone Season Allowance Tracking System accounts.
    (b) If a general account has no allowance transfers in or out of
the account for a 12-month period or longer and does not contain any
CAIR NOX Ozone Season allowances, the Administrator may
notify the CAIR authorized account representative for the account that
the account will be closed following 20 business days after the notice
is sent. The account will be closed after the 20-day period unless,
before the end of the 20-day period, the Administrator receives a
correctly submitted transfer of CAIR NOX Ozone Season
allowances into the account under Sec.  Sec.  97.360 and 97.361 or a
statement submitted by the CAIR authorized account representative
demonstrating to the satisfaction of the Administrator good cause as to
why the account should not be closed.

Subpart GGGG--CAIR NOX Ozone Season Allowance Transfers

Sec.  97.360  Submission of CAIR NOX Ozone Season allowance
transfers.

    A CAIR authorized account representative seeking recordation of a
CAIR NOX Ozone Season allowance transfer shall submit the
transfer to the Administrator. To be considered correctly submitted,
the CAIR NOX Ozone Season allowance transfer shall include
the following elements, in a format specified by the Administrator:
    (a) The account numbers for both the transferor and transferee
accounts;
    (b) The serial number of each CAIR NOX Ozone Season
allowance that is in the transferor account and is to be transferred;
and
    (c) The name and signature of the CAIR authorized account
representative of the transferor account and the date signed.

Sec.  97.361  EPA recordation.

    (a) Within 5 business days (except as provided in paragraph (b) of
this section) of receiving a CAIR NOX Ozone Season allowance
transfer, the Administrator will record a CAIR NOX Ozone
Season allowance transfer by moving each CAIR NOX Ozone
Season allowance from the transferor account to the transferee account
as specified by the request, provided that:
    (1) The transfer is correctly submitted under Sec.  97.360; and
    (2) The transferor account includes each CAIR NOX Ozone
Season allowance identified by serial number in the transfer.
    (b) A CAIR NOX Ozone Season allowance transfer that is
submitted for recordation after the allowance transfer deadline for a
control period and that includes any CAIR NOX Ozone Season
allowances allocated for any control period before such allowance
transfer deadline will not be recorded until after

the Administrator completes the deductions under Sec.  97.354 for the
control period immediately before such allowance transfer deadline.
    (c) Where a CAIR NOX Ozone Season allowance transfer
submitted for recordation fails to meet the requirements of paragraph
(a) of this section, the Administrator will not record such transfer.

Sec.  97.362  Notification.

    (a) Notification of recordation. Within 5 business days of
recordation of a CAIR NOX Ozone Season allowance transfer
under Sec.  97.361, the Administrator will notify the CAIR authorized
account representatives of both the transferor and transferee accounts.
    (b) Notification of non-recordation. Within 10 business days of
receipt of a CAIR NOX Ozone Season allowance transfer that
fails to meet the requirements of Sec.  97.361(a), the Administrator
will notify the CAIR authorized account representatives of both
accounts subject to the transfer of:
    (1) A decision not to record the transfer, and
    (2) The reasons for such non-recordation.
    (c) Nothing in this section shall preclude the submission of a CAIR
NOX Ozone Season allowance transfer for recordation
following notification of non-recordation.

Subpart HHHH--Monitoring and Reporting

Sec.  97.370  General requirements.

    The owners and operators, and to the extent applicable, the CAIR
designated representative, of a CAIR NOX Ozone Season unit,
shall comply with the monitoring, recordkeeping, and reporting
requirements as provided in this subpart and in subpart H of part 75 of
this chapter. For purposes of complying with such requirements, the
definitions in Sec.  97.302 and in Sec.  72.2 of this chapter shall
apply, and the terms ``affected unit,'' ``designated representative,''
and ``continuous emission monitoring system'' (or ``CEMS'') in part 75
of this chapter shall be deemed to refer to the terms ``CAIR
NOX Ozone Season unit,'' ``CAIR designated representative,''
and ``continuous emission monitoring system'' (or ``CEMS'')
respectively, as defined in Sec.  97.302. The owner or operator of a
unit that is not a CAIR NOX Ozone Season unit but that is
monitored under Sec.  75.72(b)(2)(ii) of this chapter shall comply with
the same monitoring, recordkeeping, and reporting requirements as a
CAIR NOX Ozone Season unit.
    (a) Requirements for installation, certification, and data
accounting. The owner or operator of each CAIR NOX Ozone
Season unit shall:
    (1) Install all monitoring systems required under this subpart for
monitoring NOX mass emissions and individual unit heat input
(including all systems required to monitor NOX emission
rate, NOX concentration, stack gas moisture content, stack
gas flow rate, CO2 or O2 concentration, and fuel
flow rate, as applicable, in accordance with Sec. Sec.  75.71 and 75.72
of this chapter);
    (2) Successfully complete all certification tests required under
Sec.  97.371 and meet all other requirements of this subpart and part
75 of this chapter applicable to the monitoring systems under paragraph
(a)(1) of this section; and
    (3) Record, report, and quality-assure the data from the monitoring
systems under paragraph (a)(1) of this section.
    (b) Compliance deadlines. Except as provided in paragraph (e) of
this section, the owner or operator shall meet the monitoring system
certification and other requirements of paragraphs (a)(1) and (2) of
this section on or before the following dates. The owner or operator
shall record, report, and quality-assure the data from the monitoring
systems under paragraph (a)(1) of this section on and after the
following dates.
    (1) For the owner or operator of a CAIR NOX Ozone Season
unit that commences commercial operation before July 1, 2007, by May 1,
2008.
    (2) For the owner or operator of a CAIR NOX Ozone Season
unit that commences commercial operation on or after July 1, 2007 and
that reports on an annual basis under Sec.  97.374(d), by the later of
the following dates:
    (i) 90 unit operating days or 180 calendar days, whichever occurs
first, after the date on which the unit commences commercial operation;
or
    (ii) May 1, 2008.
    (3) For the owner or operator of a CAIR NOX Ozone Season
unit that commences commercial operation on or after July 1, 2007 and
that reports on a control period basis under Sec.  97.374(d)(2)(ii), by
the later of the following dates:
    (i) 90 unit operating days or 180 calendar days, whichever occurs
first, after the date on which the unit commences commercial operation;
or
    (ii) If the compliance date under paragraph (b)(3)(i) of this
section is not during a control period, May 1 immediately following the
compliance date under paragraph (b)(3)(i) of this section.
    (4) For the owner or operator of a CAIR NOX Ozone Season
unit for which construction of a new stack or flue or installation of
add-on NOX emission controls is completed after the
applicable deadline under paragraph (b)(1), (2), (6), or (7) of this
section and that reports on an annual basis under Sec.  97.374(d), by
90 unit operating days or 180 calendar days, whichever occurs first,
after the date on which emissions first exit to the atmosphere through
the new stack or flue or add-on NOX emissions controls.
    (5) For the owner or operator of a CAIR NOX Ozone Season
unit for which construction of a new stack or flue or installation of
add-on NOX emission controls is completed after the
applicable deadline under paragraph (b)(1), (3), (6), or (7) of this
section and that reports on a control period basis under Sec.
97.374(d)(2)(ii), by the later of the following dates:
    (i) 90 unit operating days or 180 calendar days, whichever occurs
first, after the date on which emissions first exit to the atmosphere
through the new stack or flue or add-on NOX emissions
controls; or
    (ii) If the compliance date under paragraph (b)(5)(i) of this
section is not during a control period, May 1 immediately following the
compliance date under paragraph (b)(5)(i) of this section.
    (6) Notwithstanding the dates in paragraphs (b)(1), (2), and (3) of
this section, for the owner or operator of a unit for which a CAIR
NOX Ozone Season opt-in permit application is submitted and
not withdrawn and a CAIR opt-in permit is not yet issued or denied
under subpart IIII of this part, by the date specified in Sec.
97.384(b).
    (7) Notwithstanding the dates in paragraphs (b)(1), (2), and (3) of
this section, for the owner or operator of a CAIR NOX Ozone
Season opt-in unit under subpart IIII of this part, by the date on
which the CAIR NOX Ozone Season opt-in unit enters the CAIR
NOX Ozone Season Trading Program as provided in Sec.
97.384(g).
    (c) Reporting data. The owner or operator of a CAIR NOX
Ozone Season unit that does not meet the applicable compliance date set
forth in paragraph (b) of this section for any monitoring system under
paragraph (a)(1) of this section shall, for each such monitoring
system, determine, record, and report maximum potential (or, as
appropriate, minimum potential) values for NOX
concentration, NOX emission rate, stack gas flow rate, stack
gas moisture content, fuel flow rate, and any other parameters required
to determine NOX mass emissions and heat input in

accordance with Sec.  75.31(b)(2) or (c)(3) of this chapter, section
2.4 of appendix D to part 75 of this chapter, or section 2.5 of
appendix E to part 75 of this chapter, as applicable.
    (d) Prohibitions. (1) No owner or operator of a CAIR NOX
Ozone Season unit shall use any alternative monitoring system,
alternative reference method, or any other alternative to any
requirement of this subpart without having obtained prior written
approval in accordance with Sec.  97.375.
    (2) No owner or operator of a CAIR NOX Ozone Season unit
shall operate the unit so as to discharge, or allow to be discharged,
NOX emissions to the atmosphere without accounting for all
such emissions in accordance with the applicable provisions of this
subpart and part 75 of this chapter.
    (3) No owner or operator of a CAIR NOX Ozone Season unit
shall disrupt the continuous emission monitoring system, any portion
thereof, or any other approved emission monitoring method, and thereby
avoid monitoring and recording NOX mass emissions discharged
into the atmosphere or heat input, except for periods of
recertification or periods when calibration, quality assurance testing,
or maintenance is performed in accordance with the applicable
provisions of this subpart and part 75 of this chapter.
    (4) No owner or operator of a CAIR NOX Ozone Season unit
shall retire or permanently discontinue use of the continuous emission
monitoring system, any component thereof, or any other approved
monitoring system under this subpart, except under any one of the
following circumstances:
    (i) During the period that the unit is covered by an exemption
under Sec.  97.305 that is in effect;
    (ii) The owner or operator is monitoring emissions from the unit
with another certified monitoring system approved, in accordance with
the applicable provisions of this subpart and part 75 of this chapter,
by the Administrator for use at that unit that provides emission data
for the same pollutant or parameter as the retired or discontinued
monitoring system; or
    (iii) The CAIR designated representative submits notification of
the date of certification testing of a replacement monitoring system
for the retired or discontinued monitoring system in accordance with
Sec.  97.371(d)(3)(i).
    (e) Long-term cold storage. The owner or operator of a CAIR
NOX Ozone Season unit is subject to the applicable
provisions of part 75 of this chapter concerning units in long-term
cold storage.

Sec.  97.371  Initial certification and recertification procedures.

    (a) The owner or operator of a CAIR NOX Ozone Season
unit shall be exempt from the initial certification requirements of
this section for a monitoring system under Sec.  97.370(a)(1) if the
following conditions are met:
    (1) The monitoring system has been previously certified in
accordance with part 75 of this chapter; and
    (2) The applicable quality-assurance and quality-control
requirements of Sec.  75.21 of this chapter and appendix B, appendix D,
and appendix E to part 75 of this chapter are fully met for the
certified monitoring system described in paragraph (a)(1) of this
section.
    (b) The recertification provisions of this section shall apply to a
monitoring system under Sec.  97.370(a)(1) exempt from initial
certification requirements under paragraph (a) of this section.
    (c) If the Administrator has previously approved a petition under
Sec.  75.17(a) or (b) of this chapter for apportioning the
NOX emission rate measured in a common stack or a petition
under Sec.  75.66 of this chapter for an alternative to a requirement
in Sec.  75.12 or Sec.  75.17 of this chapter, the CAIR designated
representative shall resubmit the petition to the Administrator under
Sec.  97.375 to determine whether the approval applies under the CAIR
NOX Ozone Season Trading Program.
    (d) Except as provided in paragraph (a) of this section, the owner
or operator of a CAIR NOX Ozone Season unit shall comply
with the following initial certification and recertification procedures
for a continuous monitoring system (i.e., a continuous emission
monitoring system and an excepted monitoring system under appendices D
and E to part 75 of this chapter) under Sec.  97.370(a)(1). The owner
or operator of a unit that qualifies to use the low mass emissions
excepted monitoring methodology under Sec.  75.19 of this chapter or
that qualifies to use an alternative monitoring system under subpart E
of part 75 of this chapter shall comply with the procedures in
paragraph (e) or (f) of this section respectively.
    (1) Requirements for initial certification. The owner or operator
shall ensure that each continuous monitoring system under Sec.
97.370(a)(1) (including the automated data acquisition and handling
system) successfully completes all of the initial certification testing
required under Sec.  75.20 of this chapter by the applicable deadline
in Sec.  97.370(b). In addition, whenever the owner or operator
installs a monitoring system to meet the requirements of this subpart
in a location where no such monitoring system was previously installed,
initial certification in accordance with Sec.  75.20 of this chapter is
required.
    (2) Requirements for recertification. Whenever the owner or
operator makes a replacement, modification, or change in any certified
continuous emission monitoring system under Sec.  97.370(a)(1) that may
significantly affect the ability of the system to accurately measure or
record NOX mass emissions or heat input rate or to meet the
quality-assurance and quality-control requirements of Sec.  75.21 of
this chapter or appendix B to part 75 of this chapter, the owner or
operator shall recertify the monitoring system in accordance with Sec.
75.20(b) of this chapter. Furthermore, whenever the owner or operator
makes a replacement, modification, or change to the flue gas handling
system or the unit's operation that may significantly change the stack
flow or concentration profile, the owner or operator shall recertify
each continuous emission monitoring system whose accuracy is
potentially affected by the change, in accordance with Sec.  75.20(b)
of this chapter. Examples of changes to a continuous emission
monitoring system that require recertification include: Replacement of
the analyzer, complete replacement of an existing continuous emission
monitoring system, or change in location or orientation of the sampling
probe or site. Any fuel flowmeter systems, and any excepted
NOX monitoring system under appendix E to part 75 of this
chapter, under Sec.  97.370(a)(1) are subject to the recertification
requirements in Sec.  75.20(g)(6) of this chapter.
    (3) Approval process for initial certification and recertification.
Paragraphs (d)(3)(i) through (iv) of this section apply to both initial
certification and recertification of a continuous monitoring system
under Sec.  97.370(a)(1). For recertifications, replace the words
``certification'' and ``initial certification'' with the word
``recertification'', replace the word ``certified'' with the word
``recertified,'' and follow the procedures in Sec. Sec.  75.20(b)(5)
and (g)(7) of this chapter in lieu of the procedures in paragraph
(d)(3)(v) of this section.
    (i) Notification of certification. The CAIR designated
representative shall submit to the appropriate EPA Regional Office and
the Administrator written notice of the dates of certification testing,
in accordance with Sec.  97.373.
    (ii) Certification application. The CAIR designated representative
shall submit to the Administrator a certification application for each
monitoring system. A complete certification application shall include

the information specified in Sec.  75.63 of this chapter.
    (iii) Provisional certification date. The provisional certification
date for a monitoring system shall be determined in accordance with
Sec.  75.20(a)(3) of this chapter. A provisionally certified monitoring
system may be used under the CAIR NOX Ozone Season Trading
Program for a period not to exceed 120 days after receipt by the
Administrator of the complete certification application for the
monitoring system under paragraph (d)(3)(ii) of this section. Data
measured and recorded by the provisionally certified monitoring system,
in accordance with the requirements of part 75 of this chapter, will be
considered valid quality-assured data (retroactive to the date and time
of provisional certification), provided that the Administrator does not
invalidate the provisional certification by issuing a notice of
disapproval within 120 days of the date of receipt of the complete
certification application by the Administrator.
    (iv) Certification application approval process. The Administrator
will issue a written notice of approval or disapproval of the
certification application to the owner or operator within 120 days of
receipt of the complete certification application under paragraph
(d)(3)(ii) of this section. In the event the Administrator does not
issue such a notice within such 120-day period, each monitoring system
that meets the applicable performance requirements of part 75 of this
chapter and is included in the certification application will be deemed
certified for use under the CAIR NOX Ozone Season Trading
Program.
    (A) Approval notice. If the certification application is complete
and shows that each monitoring system meets the applicable performance
requirements of part 75 of this chapter, then the Administrator will
issue a written notice of approval of the certification application
within 120 days of receipt.
    (B) Incomplete application notice. If the certification application
is not complete, then the Administrator will issue a written notice of
incompleteness that sets a reasonable date by which the CAIR designated
representative must submit the additional information required to
complete the certification application. If the CAIR designated
representative does not comply with the notice of incompleteness by the
specified date, then the Administrator may issue a notice of
disapproval under paragraph (d)(3)(iv)(C) of this section. The 120-day
review period shall not begin before receipt of a complete
certification application.
    (C) Disapproval notice. If the certification application shows that
any monitoring system does not meet the performance requirements of
part 75 of this chapter or if the certification application is
incomplete and the requirement for disapproval under paragraph
(d)(3)(iv)(B) of this section is met, then the Administrator will issue
a written notice of disapproval of the certification application. Upon
issuance of such notice of disapproval, the provisional certification
is invalidated by the Administrator and the data measured and recorded
by each uncertified monitoring system shall not be considered valid
quality-assured data beginning with the date and hour of provisional
certification (as defined under Sec.  75.20(a)(3) of this chapter). The
owner or operator shall follow the procedures for loss of certification
in paragraph (d)(3)(v) of this section for each monitoring system that
is disapproved for initial certification.
    (D) Audit decertification. The Administrator may issue a notice of
disapproval of the certification status of a monitor in accordance with
Sec.  97.372(b).
    (v) Procedures for loss of certification. If the Administrator
issues a notice of disapproval of a certification application under
paragraph (d)(3)(iv)(C) of this section or a notice of disapproval of
certification status under paragraph (d)(3)(iv)(D) of this section,
then:
    (A) The owner or operator shall substitute the following values,
for each disapproved monitoring system, for each hour of unit operation
during the period of invalid data specified under Sec.
75.20(a)(4)(iii), Sec.  75.20(g)(7), or Sec.  75.21(e) of this chapter
and continuing until the applicable date and hour specified under Sec.
75.20(a)(5)(i) or (g)(7) of this chapter:
    (1) For a disapproved NOX emission rate (i.e.,
NOX-diluent) system, the maximum potential NOX
emission rate, as defined in ( 72.2 of this chapter.
    (2) For a disapproved NOX pollutant concentration
monitor and disapproved flow monitor, respectively, the maximum
potential concentration of NOX and the maximum potential
flow rate, as defined in sections <IP_ADDRESS> and <IP_ADDRESS> of appendix A to
part 75 of this chapter.
    (3) For a disapproved moisture monitoring system and disapproved
diluent gas monitoring system, respectively, the minimum potential
moisture percentage and either the maximum potential CO2
concentration or the minimum potential O2 concentration (as
applicable), as defined in sections 2.1.5, <IP_ADDRESS>, and <IP_ADDRESS> of
appendix A to part 75 of this chapter.
    (4) For a disapproved fuel flowmeter system, the maximum potential
fuel flow rate, as defined in section <IP_ADDRESS> of appendix D to part 75
of this chapter.
    (5) For a disapproved excepted NOX monitoring system
under appendix E to part 75 of this chapter, the fuel-specific maximum
potential NOX emission rate, as defined in ( 72.2 of this
chapter.
    (B) The CAIR designated representative shall submit a notification
of certification retest dates and a new certification application in
accordance with paragraphs (d)(3)(i) and (ii) of this section.
    (C) The owner or operator shall repeat all certification tests or
other requirements that were failed by the monitoring system, as
indicated in the Administrator's notice of disapproval, no later than
30 unit operating days after the date of issuance of the notice of
disapproval.
    (e) Initial certification and recertification procedures for units
using the low mass emission excepted methodology under Sec.  75.19 of
this chapter. The owner or operator of a unit qualified to use the low
mass emissions (LME) excepted methodology under Sec.  75.19 of this
chapter shall meet the applicable certification and recertification
requirements in Sec. Sec.  75.19(a)(2) and 75.20(h) of this chapter. If
the owner or operator of such a unit elects to certify a fuel flowmeter
system for heat input determination, the owner or operator shall also
meet the certification and recertification requirements in Sec.
75.20(g) of this chapter.
    (f) Certification/recertification procedures for alternative
monitoring systems. The CAIR designated representative of each unit for
which the owner or operator intends to use an alternative monitoring
system approved by the Administrator under subpart E of part 75 of this
chapter shall comply with the applicable notification and application
procedures of Sec.  75.20(f) of this chapter.

Sec.  97.372  Out of control periods.

    (a) Whenever any monitoring system fails to meet the quality-
assurance and quality-control requirements or data validation
requirements of part 75 of this chapter, data shall be substituted
using the applicable missing data procedures in subpart D or subpart H
of, or appendix D or appendix E to, part 75 of this chapter.
    (b) Audit decertification. Whenever both an audit of a monitoring
system and a review of the initial certification

or recertification application reveal that any monitoring system should
not have been certified or recertified because it did not meet a
particular performance specification or other requirement under Sec.
97.371 or the applicable provisions of part 75 of this chapter, both at
the time of the initial certification or recertification application
submission and at the time of the audit, the Administrator will issue a
notice of disapproval of the certification status of such monitoring
system. For the purposes of this paragraph, an audit shall be either a
field audit or an audit of any information submitted to the permitting
authority or the Administrator. By issuing the notice of disapproval,
the Administrator revokes prospectively the certification status of the
monitoring system. The data measured and recorded by the monitoring
system shall not be considered valid quality-assured data from the date
of issuance of the notification of the revoked certification status
until the date and time that the owner or operator completes
subsequently approved initial certification or recertification tests
for the monitoring system. The owner or operator shall follow the
applicable initial certification or recertification procedures in Sec.
97.371 for each disapproved monitoring system.

Sec.  97.373  Notifications.

    The CAIR designated representative for a CAIR NOX Ozone
Season unit shall submit written notice to the Administrator in
accordance with Sec.  75.61 of this chapter.

Sec.  97.374  Recordkeeping and reporting.

    (a) General provisions. The CAIR designated representative shall
comply with all recordkeeping and reporting requirements in this
section, the applicable recordkeeping and reporting requirements under
Sec.  75.73 of this chapter, and the requirements of Sec.
97.310(e)(1).
    (b) Monitoring Plans. The owner or operator of a CAIR
NOX Ozone Season unit shall comply with requirements of
Sec.  75.73 (c) and (e) of this chapter and, for a unit for which a
CAIR opt-in permit application is submitted and not withdrawn and a
CAIR opt-in permit is not yet issued or denied under subpart IIII of
this part, Sec. Sec.  97.383 and 97.384(a).
    (c) Certification Applications. The CAIR designated representative
shall submit an application to the Administrator within 45 days after
completing all initial certification or recertification tests required
under Sec.  97.371, including the information required under Sec.
75.63 of this chapter.
    (d) Quarterly reports. The CAIR designated representative shall
submit quarterly reports, as follows:
    (1) If the CAIR NOX Ozone Season unit is subject to an
Acid Rain emissions limitation or a CAIR NOX emissions
limitation or if the owner or operator of such unit chooses to report
on an annual basis under this subpart, the CAIR designated
representative shall meet the requirements of subpart H of part 75 of
this chapter (concerning monitoring of NOX mass emissions)
for such unit for the entire year and shall report the NOX
mass emissions data and heat input data for such unit, in an electronic
quarterly report in a format prescribed by the Administrator, for each
calendar quarter beginning with:
    (i) For a unit that commences commercial operation before July 1,
2007, the calendar quarter covering May 1, 2008 through June 30, 2008;
    (ii) For a unit that commences commercial operation on or after
July 1, 2007, the calendar quarter corresponding to the earlier of the
date of provisional certification or the applicable deadline for
initial certification under Sec.  97.370(b), unless that quarter is the
third or fourth quarter of 2007 or the first quarter of 2008, in which
case reporting shall commence in the quarter covering May 1, 2008
through June 30, 2008;
    (iii) Notwithstanding paragraphs (d)(1) (i) and (ii) of this
section, for a unit for which a CAIR opt-in permit application is
submitted and not withdrawn and a CAIR opt-in permit is not yet issued
or denied under subpart IIII of this part, the calendar quarter
corresponding to the date specified in Sec.  97.384(b); and
    (iv) Notwithstanding paragraphs (d)(1) (i) and (ii) of this
section, for a CAIR NOX Ozone Season opt-in unit under
subpart IIII of this part, the calendar quarter corresponding to the
date on which the CAIR NOX Ozone Season opt-in unit enters
the CAIR NOX Ozone Season Trading Program as provided in
Sec.  97.384(g).
    (2) If the CAIR NOX Ozone Season unit is not subject to
an Acid Rain emissions limitation or a CAIR NOX emissions
limitation, then the CAIR designated representative shall either:
    (i) Meet the requirements of subpart H of part 75 (concerning
monitoring of NOX mass emissions) for such unit for the
entire year and report the NOX mass emissions data and heat
input data for such unit in accordance with paragraph (d)(1) of this
section; or
    (ii) Meet the requirements of subpart H of part 75 for the control
period (including the requirements in Sec.  75.74(c) of this chapter)
and report NOX mass emissions data and heat input data
(including the data described in Sec.  75.74(c)(6) of this chapter) for
such unit only for the control period of each year and report, in an
electronic quarterly report in a format prescribed by the
Administrator, for each calendar quarter beginning with:
    (A) For a unit that commences commercial operation before July 1,
2007, the calendar quarter covering May 1, 2008 through June 30, 2008;
    (B) For a unit that commences commercial operation on or after July
1, 2007, the calendar quarter corresponding to the earlier of the date
of provisional certification or the applicable deadline for initial
certification under Sec.  97.370(b), unless that date is not during a
control period, in which case reporting shall commence in the quarter
that includes May 1 through June 30 of the first control period after
such date;
    (C) Notwithstanding paragraphs (d)(2)(ii)(A) and (2)(ii)(B) of this
section, for a unit for which a CAIR opt-in permit application is
submitted and not withdrawn and a CAIR opt-in permit is not yet issued
or denied under subpart IIII of this part, the calendar quarter
corresponding to the date specified in Sec.  97.384(b); and
    (D) Notwithstanding paragraphs (d)(2)(ii)(A) and (2)(ii)(B) of this
section, for a CAIR NOX Ozone Season opt-in unit under
subpart IIII of this part, the calendar quarter corresponding to the
date on which the CAIR NOX Ozone Season opt-in unit enters
the CAIR NOX Ozone Season Trading Program as provided in
Sec.  97.384(g).
    (3) The CAIR designated representative shall submit each quarterly
report to the Administrator within 30 days following the end of the
calendar quarter covered by the report. Quarterly reports shall be
submitted in the manner specified in Sec.  75.73(f) of this chapter.
    (4) For CAIR NOX Ozone Season units that are also
subject to an Acid Rain emissions limitation or the CAIR NOX
Annual Trading Program, CAIR SO2 Trading Program, or Hg
Budget Trading Program, quarterly reports shall include the applicable
data and information required by subparts F through I of part 75 of
this chapter as applicable, in addition to the NOX mass
emission data, heat input data, and other information required by this
subpart.
    (e) Compliance certification. The CAIR designated representative
shall submit to the Administrator a compliance certification (in a
format prescribed by the Administrator) in support of each quarterly
report based on reasonable inquiry of those persons

with primary responsibility for ensuring that all of the unit's
emissions are correctly and fully monitored. The certification shall
state that:
    (1) The monitoring data submitted were recorded in accordance with
the applicable requirements of this subpart and part 75 of this
chapter, including the quality assurance procedures and specifications;
    (2) For a unit with add-on NOX emission controls and for
all hours where NOX data are substituted in accordance with
Sec.  75.34(a)(1) of this chapter, the add-on emission controls were
operating within the range of parameters listed in the quality
assurance/quality control program under appendix B to part 75 of this
chapter and the substitute data values do not systematically
underestimate NOX emissions; and
    (3) For a unit that is reporting on a control period basis under
paragraph (d)(2)(ii) of this section, the NOX emission rate
and NOX concentration values substituted for missing data
under subpart D of part 75 of this chapter are calculated using only
values from a control period and do not systematically underestimate
NOX emissions.

Sec.  97.375  Petitions.

    The CAIR designated representative of a CAIR NOX Ozone
Season unit may submit a petition under Sec.  75.66 of this chapter to
the Administrator requesting approval to apply an alternative to any
requirement of this subpart. Application of an alternative to any
requirement of this subpart is in accordance with this subpart only to
the extent that the petition is approved in writing by the
Administrator, in consultation with the permitting authority.

Subpart IIII--CAIR NOX Ozone Season Opt-in Units

Sec.  97.380  Applicability.

    A CAIR NOX Ozone Season opt-in unit must be a unit that:
    (a) Is located in a State that submits, and for which the
Administrator approves, a State implementation plan revision in
accordance with Sec.  51.123(ee)(3) (i), (ii), or (iii) of this chapter
establishing procedures concerning CAIR Ozone Season opt-in units;
    (b) Is not a CAIR NOX Ozone Season unit under Sec.
97.304 and is not covered by a retired unit exemption under Sec.
97.305 that is in effect;
    (c) Is not covered by a retired unit exemption under Sec.  72.8 of
this chapter that is in effect;
    (d) Has or is required or qualified to have a title V operating
permit or other federally enforceable permit; and
    (e) Vents all of its emissions to a stack and can meet the
monitoring, recordkeeping, and reporting requirements of subpart HHHH
of this part.

Sec.  97.381  General.

    (a) Except as otherwise provided in Sec. Sec.  97.301 through
97.304, Sec. Sec.  97.306 through 97.308, and subparts BBBB and CCCC
and subparts FFFF through HHHH of this part, a CAIR NOX
Ozone Season opt-in unit shall be treated as a CAIR NOX
Ozone Season unit for purposes of applying such sections and subparts
of this part.
    (b) Solely for purposes of applying, as provided in this subpart,
the requirements of subpart HHHH of this part to a unit for which a
CAIR opt-in permit application is submitted and not withdrawn and a
CAIR opt-in permit is not yet issued or denied under this subpart, such
unit shall be treated as a CAIR NOX Ozone Season unit before
issuance of a CAIR opt-in permit for such unit.

Sec.  97.382  CAIR designated representative.

    Any CAIR NOX Ozone Season opt-in unit, and any unit for
which a CAIR opt-in permit application is submitted and not withdrawn
and a CAIR opt-in permit is not yet issued or denied under this
subpart, located at the same source as one or more CAIR NOX
Ozone Season units shall have the same CAIR designated representative
and alternate CAIR designated representative as such CAIR
NOX Ozone Season units.

Sec.  97.383  Applying for CAIR opt-in permit.

    (a) Applying for initial CAIR opt-in permit. The CAIR designated
representative of a unit meeting the requirements for a CAIR
NOX Ozone Season opt-in unit in Sec.  97.380 may apply for
an initial CAIR opt-in permit at any time, except as provided under
Sec.  97.386 (f) and (g), and, in order to apply, must submit the
following:
    (1) A complete CAIR permit application under Sec.  97.322;
    (2) A certification, in a format specified by the permitting
authority, that the unit:
    (i) Is not a CAIR NOX Ozone Season unit under Sec.
97.304 and is not covered by a retired unit exemption under Sec.
97.305 that is in effect;
    (ii) Is not covered by a retired unit exemption under Sec.  72.8 of
this chapter that is in effect;
    (iii) Vents all of its emissions to a stack; and
    (iv) Has documented heat input for more than 876 hours during the 6
months immediately preceding submission of the CAIR permit application
under Sec.  97.322;
    (3) A monitoring plan in accordance with subpart HHHH of this part;
    (4) A complete certificate of representation under Sec.  97.313
consistent with Sec.  97.382, if no CAIR designated representative has
been previously designated for the source that includes the unit; and
    (5) A statement, in a format specified by the permitting authority,
whether the CAIR designated representative requests that the unit be
allocated CAIR NOX Ozone Season allowances under Sec.
97.380(b) or Sec.  97.388(c) (subject to the conditions in Sec. Sec.
97.384(h) and 97.386(g)), to the extent such allocation is provided in
a State implementation plan revision submitted in accordance with Sec.
51.123(ee)(3)(i), (ii), or (iii) of this chapter and approved by the
Administrator. If allocation under Sec.  97.388(c) is requested, this
statement shall include a statement that the owners and operators
intend to repower the unit before January 1, 2015 and that they will
provide, upon request, documentation demonstrating such intent.
    (b) Duty to reapply. (1) The CAIR designated representative of a
CAIR NOX Ozone Season opt-in unit shall submit a complete
CAIR permit application under Sec.  97.322 to renew the CAIR opt-in
unit permit in accordance with the permitting authority's regulations
for title V operating permits, or the permitting authority's
regulations for other federally enforceable permits if applicable,
addressing permit renewal.
    (2) Unless the permitting authority issues a notification of
acceptance of withdrawal of the CAIR NOX Ozone Season opt-in
unit from the CAIR NOX Ozone Season Trading Program in
accordance with Sec.  97.386 or the unit becomes a CAIR NOX
Ozone Season unit under Sec.  97.304, the CAIR NOX Ozone