(g) Effect on other authorities.  No provision of the TR SO2 Group 1 Trading Program or exemption under §97.605 shall be construed as exempting or excluding the owners and operators, and the designated representative, of a TR SO2 Group 1 source or TR SO2 Group 1 unit from compliance with any other provision of the applicable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act.
§ 97.607  Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the TR SO2 Group 1 Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs.
(b) Unless otherwise stated, any time period scheduled, under the TR SO2 Group 1 Trading Program, to begin before the occurrence of an act or event shall be computed so that the period ends the day before the act or event occurs.
(c) Unless otherwise stated, if the final day of any time period, under the TR SO2 Group 1 Trading Program, is not a business day, the time period shall be extended to the next business day.
§ 97.608  Administrative appeal procedures.
The administrative appeal procedures for decisions of the Administrator under the TR SO2 Group 1 Trading Program are set forth in part 78 of this chapter.
§ 97.609  [Reserved]
§ 97.610  State SO2 Group 1 trading budgets, new unit set-asides, Indian country new unit set-aside, and variability limits.
(a)  The State SO2 Group 1 trading budgets, new unit set-asides, and Indian country new unit set-asides for allocations of TR SO2 Group 1 allowances for the control periods in 2012 and thereafter are as follows:
                                     State
             SO2 Group 1 trading budget (tons)*
for 2012 and 2013
                  New unit set-aside (tons)
for 2012 and 2013
          Indian country new unit set-aside (tons)
for 2012 and 2013

Illinois
                                    234,889
                                    11,744
                                      ---
Indiana
                                    285,424
                                     8,563
                                      ---
Iowa
                                    107,085
                                     2,035
                                      107
Kentucky
                                    232,662
                                    13,960
                                      ---
Maryland
                                    30,120
                                      602
                                      ---
Michigan
                                    229,303
                                     4,357
                                      229
Missouri
                                    207,466
                                     4,149
                                      ---
New Jersey
                                     5,574
                                      111
                                      ---
New York
                                    27,325
                                      520
                                      27
North Carolina
                                    136,881
                                    10,814
                                      137
Ohio
                                    310,230
                                     6,205
                                      ---
Pennsylvania
                                    278,651
                                     5,573
                                      ---
Tennessee
                                    148,150
                                     2,963
                                      ---
Virginia
                                    70,820
                                     2,833
                                      ---
West Virginia
                                    146,174
                                    10,232
                                      ---
Wisconsin
                                    79,480
                                     3,895
                                      79

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

Illinois
                                    124,123
                                     6,206
                                      ---
Indiana
                                    161,111
                                     4,833
                                      ---
Iowa
                                    75,184
                                     1,428
                                      75
Kentucky
                                    106,284
                                     6,377
                                      ---
Maryland
                                    28,203
                                      564
                                      ---
Michigan
                                    143,995
                                     2,736
                                      144
Missouri
                                    165,941
                                     3,319
                                      ---
New Jersey
                                     5,574
                                      111
                                      ---
New York
                                    18,585
                                      353
                                      19
North Carolina
                                    57,620
                                     4,552
                                      58
Ohio
                                    137,077
                                     2,742
                                      ---
Pennsylvania
                                    112,021
                                     2,240
                                      ---
Tennessee
                                    58,833
                                     1,177
                                      ---
Virginia
                                    35,057
                                     1,402
                                      ---
West Virginia
                                    75,668
                                     5,297
                                      ---
Wisconsin
                                    40,126
                                     1,966
                                      40
* Each trading budget includes the new unit set-aside and, where applicable, the Indian country new unit set-aside and does not include the variability limit.
 (b) The States' variability limits for the State SO2 Group 1 trading budgets for the control periods in 2012 and thereafter are as follows:
                                     State
                     Variability limits
for 2012 and 2013

Variability limits
for 2014 and thereafter

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

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

(k) When recording the allocation or auction of TR SO2 Group 1 allowances to a TR SO2 Group 1 unit or other entity in an Allowance Management System account, the Administrator will assign each TR SO2 Group 1 allowance a unique identification number that will include digits identifying the year of the control period for which the TR SO2 Group 1 allowance is allocated or auctioned.
§ 97.622  Submission of TR SO2 Group 1 allowance transfers.
(a) An authorized account representative seeking recordation of a TR SO2 Group 1 allowance transfer shall submit the transfer to the Administrator.
(b) A TR SO2 Group 1 allowance transfer shall be correctly submitted if:
(1) The transfer includes the following elements, in a format prescribed by the Administrator:
(i) The account numbers established by the Administrator for both the transferor and transferee accounts;
(ii) The serial number of each TR SO2 Group 1 allowance that is in the transferor account and is to be transferred; and
(iii) The name and signature of the authorized account representative of the transferor account and the date signed; and
(2) When the Administrator attempts to record the transfer, the transferor account includes each TR SO2 Group 1 allowance identified by serial number in the transfer.
§ 97.623  Recordation of TR SO2 Group 1 allowance transfers.
(a) Within 5 business days (except as provided in paragraph (b) of this section) of receiving a TR SO2 Group 1 allowance transfer that is correctly submitted under §97.622, the Administrator will record a TR SO2 Group 1 allowance transfer by moving each TR SO2 Group 1 allowance from the transferor account to the transferee account as specified in the transfer.
(b) A TR SO2 Group 1 allowance transfer to or from a compliance account that is submitted for recordation after the allowance transfer deadline for a control period and that includes any TR SO2 Group 1 allowances allocated for any control period before such allowance transfer deadline will not be recorded until after the Administrator completes the deductions from such compliance account under §97.624 for the control period immediately before such allowance transfer deadline.

(c) Where a TR SO2 Group 1 allowance transfer is not correctly submitted under §97.622, the Administrator will not record such transfer.
(d) Within 5 business days of recordation of a TR SO2 Group 1 allowance transfer under paragraphs (a) and (b) of the section, the Administrator will notify the authorized account representatives of both the transferor and transferee accounts.
(e) Within 10 business days of receipt of a TR SO2 Group 1 allowance transfer that is not correctly submitted under §97.622, the Administrator will notify the authorized account representatives of both accounts subject to the transfer of:
(1) A decision not to record the transfer, and
(2) The reasons for such non-recordation.
§ 97.624  Compliance with TR SO2 Group 1 emissions limitation.
(a) Availability for deduction for compliance.  TR SO2 Group 1 allowances are available to be deducted for compliance with a source's TR SO2 Group 1 emissions limitation for a control period in a given year only if the TR SO2 Group 1 allowances:
(1) Were allocated for such control period or a control period in a prior year; and
(2) Are held in the source's compliance account as of the allowance transfer deadline for such control period.
(b) Deductions for compliance.  After the recordation, in accordance with §97.623, of TR SO2 Group 1 allowance transfers submitted by the allowance transfer deadline for a control period in a given year, the Administrator will deduct from each source's compliance account TR SO2 Group 1 allowances available under paragraph (a) of this section in order to determine whether the source meets the TR SO2 Group 1 emissions limitation for such control period, as follows:
(1) Until the amount of TR SO2 Group 1 allowances deducted equals the number of tons of total SO2 emissions from all TR SO2 Group 1 units at the source for such control period; or
(2) If there are insufficient TR SO2 Group 1 allowances to complete the deductions in paragraph (b)(1) of this section, until no more TR SO2 Group 1 allowances available under paragraph (a) of this section remain in the compliance account.
(c)(1) Identification of TR SO2 Group 1 allowances by serial number.  The authorized account representative for a source's compliance account may request that specific TR SO2 Group 1 allowances, identified by serial number, in the compliance account be deducted for emissions or excess emissions for a control period in a given year in accordance with paragraph (b) or (d) of this section.  In order to be complete, such request shall be submitted to the Administrator by the allowance transfer deadline for such control period and include, in a format prescribed by the Administrator, the identification of the TR SO2 Group 1 source and the appropriate serial numbers.
(2) First-in, first-out.  The Administrator will deduct TR SO2 Group 1 allowances under paragraph (b) or (d) of this section from the source's compliance account in accordance with a complete request under paragraph (c)(1) of this section or, in the absence of such request or in the case of identification of an insufficient amount of TR SO2 Group 1 allowances in such request, on a first-in, first-out accounting basis in the following order:
(i) Any TR SO2 Group 1 allowances that were allocated to the units at the source and not transferred out of the compliance account, in the order of recordation; and then
(ii) Any TR SO2 Group 1 allowances that were allocated to any unit and transferred to and recorded in the compliance account pursuant to this subpart, in the order of recordation.
(d) Deductions for excess emissions.  After making the deductions for compliance under paragraph (b) of this section for a control period in a year in which the TR SO2 Group 1 source has excess emissions, the Administrator will deduct from the source's compliance account an amount of TR SO2 Group 1 allowances, allocated for a control period in a prior year or the control period in the year of the excess emissions or in the immediately following year, equal to two times the number of tons of the source's excess emissions.
(e) Recordation of deductions.  The Administrator will record in the appropriate compliance account all deductions from such an account under paragraphs (b) and (d) of this section.
§ 97.625  Compliance with TR SO2 Group 1 assurance provisions.
(a) Availability for deduction.  TR SO2 Group 1 allowances are available to be deducted for compliance with the TR SO2 Group 1 assurance provisions for a control period in a given year by the owners and operators of a group of one or more TR SO2 Group 1 sources and units in a State (and Indian country within the borders of such State) only if the TR SO2 Group 1 allowances:
(1) Were allocated for a control period in a prior year or the control period in the given year or in the immediately following year; and
(2) Are held in the assurance account, established by the Administrator for such owners and operators of such group of TR SO2 Group 1 sources and units in such State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, as of the deadline established in paragraph (b)(4) of this section.
(b) Deductions for compliance.  The Administrator will deduct TR SO2 Group 1 allowances available under paragraph (a) of this section for compliance with the TR SO2 Group 1 assurance provisions for a State for a control period in a given year in accordance with the following procedures:
(1) By June 1, 2013 and June 1 of each year thereafter, the Administrator will:
(i) Calculate, for each State (and Indian country within the borders of such State), the total SO2 emissions from all TR SO2 Group 1 units at TR SO2 Group 1 sources in the State (and Indian country within the borders of such State) during the control period in the year before the year of this calculation deadline and the amount, if any, by which such total SO2 emissions exceed the State assurance level as described in §97.606(c)(2)(iii); and
(ii) Promulgate a notice of data availability of the results of the calculations required in paragraph (b)(1)(i) of this section, including separate calculations of the SO2 emissions from each TR SO2 Group 1 source.
(2) For each notice of data availability required in paragraph (b)(1)(ii) of this section and for any State (and Indian country within the borders of such State) identified in such notice as having TR SO2 Group 1 units with total SO2 emissions exceeding the State assurance level for a control period in a given year, as described in §97.606(c)(2)(iii):
(i) By July 1 immediately after the promulgation of such notice, the designated representative of each TR SO2 Group 1 source in each such State (and Indian country within the borders of such State) shall submit a statement, in a format prescribed by the Administrator, providing for each TR SO2 Group 1 unit (if any) at the source that operates during, but is not allocated an amount of TR SO2 Group 1 allowances for, such control period, the unit's allowable SO2 emission rate for such control period and, if such rate is expressed in lb per mmBtu, the unit's heat rate.
(ii) By August 1 immediately after the promulgation of such notice, the Administrator will calculate, for each such State (and Indian country within the borders of such State) and such control period and each common designated representative for such control period for a group of one or more TR SO2 Group 1 sources and units in the State (and Indian country within the borders of such State), the common designated representative's share of the total SO2 emissions from all TR SO2 Group 1 units at TR SO2 Group 1 sources in the State (and Indian country within the borders of such State), the common designated representative's assurance level, and the amount (if any) of TR SO2 Group 1 allowances that the owners and operators of such group of sources and units must hold in accordance with the calculation formula in §97.606(c)(2)(i) and will promulgate a notice of data availability of the results of these calculations.
(iii) The Administrator will provide an opportunity for submission of objections to the calculations referenced by the notice of data availability required in paragraph (b)(2)(ii) of this section and the calculations referenced by the relevant notice of data availability required in paragraph (b)(1)(i) of this section.
(A) Objections shall be submitted by the deadline specified in such notice and shall be limited to addressing whether the calculations referenced in the relevant notice required under paragraph (b)(1)(ii) of this section and referenced in the notice required under paragraph (b)(2)(ii) of this section are in accordance with §97.606(c)(2)(iii), §§97.606(b) and 97.630 through 97.635, the definitions of "common designated representative", "common designated representative's assurance level", and "common designated representative's share" in §97.602, and the calculation formula in §97.606(c)(2)(i).
(B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the provisions referenced in paragraph (b)(2)(iii)(A) of this section.  By October 1 immediately after the promulgation of such notice, the Administrator will promulgate a notice of data availability of any adjustments that the Administrator determines to be necessary and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iii)(A) of this section.
(3) For any State (and Indian country within the borders of such State) referenced in each notice of data availability required in paragraph (b)(2)(iii)(B) of this section as having TR SO2 Group 1 units with total SO2 emissions exceeding the State assurance level for a control period in a given year, the Administrator will establish one assurance account for each set of owners and operators referenced, in the notice of data availability required under paragraph (b)(2)(iii)(B) of this section, as all of the owners and operators of a group of TR SO2 Group 1 sources and units in the State (and Indian country within the borders of such State) having a common designated representative for such control period and as being required to hold TR SO2 Group 1 allowances.
(4)(i) As of midnight of November 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section, the owners and operators described in paragraph (b)(3) of this section shall hold in the assurance account established for the them and for the appropriate TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section a total amount of TR SO2 Group 1 allowances, available for deduction under paragraph (a) of this section, equal to the amount such owners and operators are required to hold with regard to such sources, units and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in such notice.
(ii) Notwithstanding the allowance-holding deadline specified in paragraph (b)(4)(i) of this section, if November 1 is not a business day, then such allowance-holding deadline shall be midnight of the first business day thereafter.
(5) After November 1 (or the date described in paragraph (b)(4)(ii) of this section) immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii)(B) of this section and after the recordation, in accordance with §97.623, of TR SO2 Group 1 allowance transfers submitted by midnight of such date, the Administrator will determine whether the owners and operators described in paragraph (b)(3) of this section hold, in the assurance account for the appropriate TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) established under paragraph (b)(3) of this section, the amount of TR SO2 Group 1 allowances available under paragraph (a) of this section that the owners and operators are required to hold with regard to such sources, units, and State (and Indian country within the borders of such State) as calculated by the Administrator and referenced in the notice required in paragraph (b)(2)(iii)(B) of this section.
(6) Notwithstanding any other provision of this subpart and any revision, made by or submitted to the Administrator after the promulgation of the notice of data availability required in paragraph (b)(2)(iii)(B) of this section for a control period in a given year, of any data used in making the calculations referenced in such notice, the amounts of TR SO2 Group 1 allowances that the owners and operators are required to hold in accordance with §97.606(c)(2)(i) for such control period shall continue to be such amounts as calculated by the Administrator and referenced in such notice required in paragraph (b)(2)(iii)(B) of this section, except as follows:
(i) If any such data are revised by the Administrator as a result of a decision in or settlement of litigation concerning such data on appeal under part 78 of this chapter of such notice, or on appeal under section 307 of the Clean Air Act of a decision rendered under part 78 of this chapter on appeal of such notice, then the Administrator will use the data as so revised to recalculate the amounts of TR SO2 Group 1 allowances that owners and operators are required to hold in accordance with the calculation formula in §97.606(c)(2)(i) for such control period with regard to the TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) involved, provided that such litigation under part 78 of this chapter, or the proceeding under part 78 of this chapter that resulted in the decision appealed in such litigation under section 307 of the Clean Air Act, was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section.
(ii) If any such data are revised by the owners and operators of a TR SO2 Group 1 source and TR SO2 Group 1 unit whose designated representative submitted such data under paragraph (b)(2)(i) of this section, as a result of a decision in or settlement of litigation concerning such submission, then the Administrator will use the data as so revised to recalculate the amounts of TR SO2 Group 1 allowances that owners and operators are required to hold in accordance with the calculation formula in §97.606(c)(2)(i) for such control period with regard to the TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) involved, provided that such litigation was initiated no later than 30 days after promulgation of such notice required in paragraph (b)(2)(iii)(B) of this section.
(iii) If the revised data are used to recalculate, in accordance with paragraphs (b)(6)(i) and (ii) of this section, the amount of TR SO2 Group 1 allowances that the owners and operators are required to hold for such control period with regard to the TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) involved --
(A) Where the amount of TR SO2 Group 1 allowances that the owners and operators are required to hold increases as a result of the use of all such revised data, the Administrator will establish a new, reasonable deadline on which the owners and operators shall hold the additional amount of TR SO2 Group 1 allowances in the assurance account established by the Administrator for the appropriate TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section.  The owners' and operators' failure to hold such additional amount, as required, before the new deadline shall not be a violation of the Clean Air Act.  The owners' and operators' failure to hold such additional amount, as required, as of the new deadline shall be a violation of the Clean Air Act.    The owners' and operators' failure to hold such additional amount, as required, before the new deadline shall not be a violation of the Clean Air Act.  The owners' and operators' failure to hold such additional amount, as required, as of the new deadline shall be a violation of the Clean Air Act.  Each TR SO2 Group 1 allowance that the owners and operators fail to hold as required as of the new deadline, and each day in such control period, shall be a separate violation of the Clean Air Act.
(B) For the owners and operators for which the amount of TR SO2 Group 1 allowances required to be held decreases as a result of the use of all such revised data, the Administrator will record, in all accounts from which TR SO2 Group 1 allowances were transferred by such owners and operators for such control period to the assurance account established by the Administrator for the appropriate at TR SO2 Group 1 sources, TR SO2 Group 1 units, and State (and Indian country within the borders of such State) under paragraph (b)(3) of this section, a total amount of the TR SO2 Group 1 allowances held in such assurance account equal to the amount of the decrease. If TR SO2 Group 1 allowances were transferred to such assurance account from more than one account, the amount of TR SO2 Group 1 allowances recorded in each such transferor account will be in proportion to the percentage of the total amount of TR SO2 Group 1 allowances transferred to such assurance account for such control period from such transferor account.
(C) Each TR SO2 Group 1 allowance held under paragraph (b)(6)(iii)(A) of this section as a result of recalculation of requirements under the TR SO2 Group 1 assurance provisions for such control period must be a TR SO2 Group 1 allowance allocated for a control period in a year before or the year immediately following, or in the same year as, the year of such control period.
§ 97.626  Banking.
(a) A TR SO2 Group 1 allowance may be banked for future use or transfer in a compliance account or a general account in accordance with paragraph (b) of this section.
(b) Any TR SO2 Group 1 allowance that is held in a compliance account or a general account will remain in such account unless and until the TR SO2 Group 1 allowance is deducted or transferred under §97.611(c), §97.623, §97.624, §97.625,  97.627, or 97.628.
§ 97.627  Account error.
The Administrator may, at his or her sole discretion and on his or her own motion, correct any error in any Allowance Management System account.  Within 10 business days of making such correction, the Administrator will notify the authorized account representative for the account.
§ 97.628  Administrator's action on submissions.
(a) The Administrator may review and conduct independent audits concerning any submission under the TR SO2 Group 1 Trading Program and make appropriate adjustments of the information in the submission.
(b) The Administrator may deduct TR SO2 Group 1 allowances from or transfer TR SO2 Group 1 allowances to a compliance account or an assurance account, based on the information in a submission, as adjusted under paragraph (a)(1) of this section, and record such deductions and transfers.
§ 97.629  [RESERVED]
§ 97.630  General monitoring, recordkeeping, and reporting requirements.
The owners and operators, and to the extent applicable, the designated representative, of a TR SO2 Group 1 unit, shall comply with the monitoring, recordkeeping, and reporting requirements as provided in this subpart and subparts F and G of part 75 of this chapter. For purposes of applying such requirements, the definitions in §97.602 and in §72.2 of this chapter shall apply, the terms "affected unit," "designated representative," and "continuous emission monitoring system" (or "CEMS") in part 75 of this chapter shall be deemed to refer to the terms "TR SO2 Group 1 unit," "designated representative," and "continuous emission monitoring system" (or "CEMS") respectively as defined in §97.602, and the term "newly affected unit" shall be deemed to mean "newly affected TR SO2 Group 1 unit".  The owner or operator of a unit that is not a TR SO2 Group 1 unit but that is monitored under §75.16(b)(2) of this chapter shall comply with the same monitoring, recordkeeping, and reporting requirements as a TR SO2 Group 1 unit.
(a) Requirements for installation, certification, and data accounting.  The owner or operator of each TR SO2 Group 1 unit shall:

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

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

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

(b) Compliance deadlines. Except as provided in paragraph (e) of this section, the owner or operator shall meet the monitoring system certification and other requirements of paragraphs (a)(1) and (2) of this section on or before the following dates.  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 TR SO2 Group 1 unit that commences commercial operation before July 1, 2011, by January 1, 2012.

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

(i) January 1, 2012; or

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

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

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

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

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

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

(i) During the period that the unit is covered by an exemption under §97.605 that is in effect;

(ii) The owner or operator is monitoring emissions from the unit with another certified monitoring system approved, in accordance with the applicable provisions of this subpart and part 75 of this chapter, by the Administrator for use at that unit that provides emission data for the same pollutant or parameter as the retired or discontinued monitoring system; or

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

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

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

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

(c) [Reserved]

(d) Except as provided in paragraph (a) of this section, the owner or operator of a TR SO2 Group 1 unit shall comply with the following initial certification and recertification procedures, for a continuous monitoring system (i.e., a continuous emission monitoring system and an excepted monitoring system under appendix D to part 75 of this chapter) under §97.630(a)(1).  The owner or operator of a unit that qualifies to use the low mass emissions excepted monitoring methodology under §75.19 of this chapter or that qualifies to use an alternative monitoring system under subpart E of part 75 of this chapter shall comply with the procedures in paragraph (e) or (f) of this section respectively.

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

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

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

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

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

(iv) Certification application approval process.  The Administrator will issue a written notice of approval or disapproval of the certification application to the owner or operator within 120 days of receipt of the complete certification application under paragraph (d)(3)(ii) of this section.  In the event the Administrator does not issue such a notice within such 120-day period, each monitoring system that meets the applicable performance requirements of part 75 of this chapter and is included in the certification application will be deemed certified for use under the TR SO2 Group 1 Trading Program.

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

(B) Incomplete application notice.  If the certification application is not complete, then the Administrator will issue a written notice of incompleteness that sets a reasonable date by which the designated representative must submit the additional information required to complete the certification application.  If the designated representative does not comply with the notice of incompleteness by the specified date, then the Administrator may issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this section.  The 120-day review period specified in paragraph (d)(3) of this section shall not begin before receipt of a complete certification application.

(C) Disapproval notice.  If the certification application shows that any monitoring system does not meet the performance requirements of part 75 of this chapter or if the certification application is incomplete and the requirement for disapproval under paragraph (d)(3)(iv)(B) of this section is met, then the Administrator will issue a written notice of disapproval of the certification application.  Upon issuance of such notice of disapproval, the provisional certification is invalidated by the Administrator and the data measured and recorded by each uncertified monitoring system shall not be considered valid quality-assured data beginning with the date and hour of provisional certification (as defined under §75.20(a)(3) of this chapter).

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

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

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

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

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

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

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

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

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

(f) The designated representative of each unit for which the owner or operator intends to use an alternative monitoring system approved by the Administrator under subpart E of part 75 of this chapter shall comply with the applicable notification and application procedures of §75.20(f) of this chapter.
§ 97.632  Monitoring system out-of-control periods.
(a) General provisions.  Whenever any monitoring system fails to meet the quality-assurance and quality-control requirements or data validation requirements of part 75 of this chapter, data shall be substituted using the applicable missing data procedures in subpart D or appendix D to part 75 of this chapter.

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

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

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

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

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

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

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

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

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

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

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

(2) For a unit with add-on SO2 emission controls and for all hours where SO2 data are substituted in accordance with §75.34(a)(1) of this chapter, the add-on emission controls were operating within the range of parameters listed in the quality assurance/quality control program under appendix B to part 75 of this chapter and the substitute data values do not systematically underestimate SO2 emissions.
§ 97.635  Petitions for alternatives to monitoring, recordkeeping, or reporting requirements.
(a) The designated representative of a TR SO2 Group 1 unit may submit a petition under §75.66 of this chapter to the Administrator, requesting approval to apply an alternative to any requirement of §§97.630 through 97.634.
(b) A petition submitted under paragraph (a) of this section shall include sufficient information for the evaluation of the petition, including, at a minimum, the following information:
(i) Identification of each unit and source covered by the petition;
(ii) A detailed explanation of why the proposed alternative is being suggested in lieu of the requirement;
(iii) A description and diagram of any equipment and procedures used in the proposed alternative;