Proposed Amendments to 40 CFR Part 97, Subpart AAAAA Shown as Redline-Strikeout
Support Document for Proposed Revised CSAPR Update, Docket ID EPA-HQ-OAR-2020-0272
                                 October 2020

Note: While EPA has taken steps to ensure the accuracy of this redline-strikeout document, it is not an official version of either the existing regulations or the proposed amended regulations. For the official text of the existing regulations, please see the Code of Federal Regulations. For the amendatory language proposed in this action, please see the proposal published in the Federal Register, available in the docket for this action.

       40 CFR Part 97, Subpart AAAAA -- CSAPR NOX Annual Trading Program
Contents
   § 97.401   Purpose.
   § 97.402   Definitions.
   § 97.403   Measurements, abbreviations, and acronyms.
   § 97.404   Applicability.
   § 97.405   Retired unit exemption.
   § 97.406   Standard requirements.
   § 97.407   Computation of time.
   § 97.408   Administrative appeal procedures.
   § 97.409   [Reserved]
   § 97.410   State NOX Annual trading budgets, new unit set-asides, Indian country new unit set-asides, and variability limits.
   § 97.411   Timing requirements for CSAPR NOX Annual allowance allocations.
   § 97.412   CSAPR NOX Annual allowance allocations to new units.
   § 97.413   Authorization of designated representative and alternate designated representative.
   § 97.414   Responsibilities of designated representative and alternate designated representative.
   § 97.415   Changing designated representative and alternate designated representative; changes in owners and operators; changes in units at the source.
   § 97.416   Certificate of representation.
   § 97.417   Objections concerning designated representative and alternate designated representative.
   § 97.418   Delegation by designated representative and alternate designated representative.
   § 97.419   [Reserved]
   § 97.420   Establishment of compliance accounts, assurance accounts, and general accounts.
   § 97.421   Recordation of CSAPR NOX Annual allowance allocations and auction results.
   § 97.422   Submission of CSAPR NOX Annual allowance transfers.
   § 97.423   Recordation of CSAPR NOX Annual allowance transfers.
   § 97.424   Compliance with CSAPR NOX Annual emissions limitation.
   § 97.425   Compliance with CSAPR NOX Annual assurance provisions.
   § 97.426   Banking.
   § 97.427   Account error.
   § 97.428   Administrator's action on submissions.
   § 97.429   [Reserved]
   § 97.430   General monitoring, recordkeeping, and reporting requirements.
   § 97.431   Initial monitoring system certification and recertification procedures.
   § 97.432   Monitoring system out-of-control periods.
   § 97.433   Notifications concerning monitoring.
   § 97.434   Recordkeeping and reporting.
   § 97.435   Petitions for alternatives to monitoring, recordkeeping, or reporting requirements.

§ 97.401   Purpose.
   This subpart sets forth the general, designated representative, allowance, and monitoring provisions for the Cross-State Air Pollution Rule (CSAPR) NOX Annual Trading Program, under section 110 of the Clean Air Act and § 52.38 of this chapter, as a means of mitigating interstate transport of fine particulates and nitrogen oxides.
§ 97.402   Definitions.
   The terms used in this subpart shall have the meanings set forth in this section as follows, provided that any term that includes the acronym "CSAPR" shall be considered synonymous with a term that is used in a SIP revision approved by the Administrator under § 52.38 or § 52.39 of this chapter and that is substantively identical except for the inclusion of the acronym "TR" in place of the acronym "CSAPR":
      Acid Rain Program means a multi-state SO2 and NOX air pollution control and emission reduction program established by the Administrator under title IV of the Clean Air Act and parts 72 through 78 of this chapter.
      Administrator means the Administrator of the United States Environmental Protection Agency or the Director of the Clean Air Markets Division (or its successor determined by the Administrator) of the United States Environmental Protection Agency, the Administrator's duly authorized representative under this subpart.
      Allocate or allocation means, with regard to CSAPR NOX Annual allowances, the determination by the Administrator, State, or permitting authority, in accordance with this subpart and any SIP revision submitted by the State and approved by the Administrator under § 52.38(a)(3), (4), or (5) of this chapter, of the amount of such CSAPR NOX Annual allowances to be initially credited, at no cost to the recipient, to:
         (1) A CSAPR NOX Annual unit;
         (2) A new unit set-aside;
         (3) An Indian country new unit set-aside; or
         (4) An entity not listed in paragraphs (1) through (3) of this definition;
         (5) Provided that, if the Administrator, State, or permitting authority initially credits, to a CSAPR NOX Annual unit qualifying for an initial credit, a credit in the amount of zero CSAPR NOX Annual allowances, the CSAPR NOX Annual unit will be treated as being allocated an amount (i.e., zero) of CSAPR NOX Annual allowances.
      Allowable NOX emission rate means, for a unit, the most stringent State or federal NOX emission rate limit (in lb/MWh or, if in lb/mmBtu, converted to lb/MWh by multiplying it by the unit's heat rate in mmBtu/MWh) that is applicable to the unit and covers the longest averaging period not exceeding one year.
      Allowance Management System means the system by which the Administrator records allocations, auctions, transfers, and deductions of CSAPR NOX Annual allowances under the CSAPR NOX Annual Trading Program. Such allowances are allocated, auctioned, recorded, held, transferred, or deducted only as whole allowances.
      Allowance Management System account means an account in the Allowance Management System established by the Administrator for purposes of recording the allocation, auction, holding, transfer, or deduction of CSAPR NOX Annual allowances.
      Allowance transfer deadline means, for a control period before 2023, midnight of March 1 immediately after such control period or, for a control period in 2023 or thereafter, midnight of June 1 immediately after such control period (or if such March 1 or June 1 is not a business day, midnight of the first business day thereafter) and is the deadline by which a CSAPR NOX Annual allowance transfer must be submitted for recordation in a CSAPR NOX Annual source's compliance account in order to be available for use in complying with the source's CSAPR NOX Annual emissions limitation for such control period in accordance with §§ 97.406 and 97.424.
      Alternate designated representative means, for a CSAPR NOX Annual source and each CSAPR NOX Annual unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with this subpart, to act on behalf of the designated representative in matters pertaining to the CSAPR NOX Annual Trading Program. If the CSAPR NOX Annual source is also subject to the Acid Rain Program, CSAPR NOX Ozone Season Group 1 Trading Program, CSAPR NOX Ozone Season Group 2 Trading Program, CSAPR NOX Ozone Season Group 3 Trading Program, CSAPR SO2 Group 1 Trading Program, or CSAPR SO2 Group 2 Trading Program, then this natural person shall be the same natural person as the alternate designated representative as defined in the respective program.
      Assurance account means an Allowance Management System account, established by the Administrator under § 97.425(b)(3) for certain owners and operators of a group of one or more CSAPR NOX Annual sources and units in a given State (and Indian country within the borders of such State), in which are held CSAPR NOX Annual allowances available for use for a control period in a given year in complying with the CSAPR NOX Annual assurance provisions in accordance with §§ 97.406 and 97.425.
      Auction means, with regard to CSAPR NOX Annual allowances, the sale to any person by a State or permitting authority, in accordance with a SIP revision submitted by the State and approved by the Administrator under § 52.38(a)(4) or (5) of this chapter, of such CSAPR NOX Annual allowances to be initially recorded in an Allowance Management System account.
      Authorized account representative means, for a general account, the natural person who is authorized, in accordance with this subpart, to transfer and otherwise dispose of CSAPR NOX Annual allowances held in the general account and, for a CSAPR NOX Annual source's compliance account, the designated representative of the source.
      Automated data acquisition and handling system or DAHS means the component of the continuous emission monitoring system, or other emissions monitoring system approved for use under this subpart, designed to interpret and convert individual output signals from pollutant concentration monitors, flow monitors, diluent gas monitors, and other component parts of the monitoring system to produce a continuous record of the measured parameters in the measurement units required by this subpart.
      Biomass means --
         (1) Any organic material grown for the purpose of being converted to energy;
         (2) Any organic byproduct of agriculture that can be converted into energy; or
         (3) Any material that can be converted into energy and is nonmerchantable for other purposes, that is segregated from other material that is nonmerchantable for other purposes, and that is;
            (i) A forest-related organic resource, including mill residues, precommercial thinnings, slash, brush, or byproduct from conversion of trees to merchantable material; or
            (ii) A wood material, including pallets, crates, dunnage, manufacturing and construction materials (other than pressure-treated, chemically-treated, or painted wood products), and landscape or right-of-way tree trimmings.
      Boiler means an enclosed fossil- or other-fuel-fired combustion device used to produce heat and to transfer heat to recirculating water, steam, or other medium.
      Bottoming-cycle unit means a unit in which the energy input to the unit is first used to produce useful thermal energy, where at least some of the reject heat from the useful thermal energy application or process is then used for electricity production.
      Business day means a day that does not fall on a weekend or a federal holiday.
      Certifying official means a natural person who is:
         (1) For a corporation, a president, secretary, treasurer, or vice-president of the corporation in charge of a principal business function or any other person who performs similar policy- or decision-making functions for the corporation;
         (2) For a partnership or sole proprietorship, a general partner or the proprietor respectively; or
         (3) For a local government entity or State, federal, or other public agency, a principal executive officer or ranking elected official.
      Clean Air Act means the Clean Air Act, 42 U.S.C. 7401, et seq.
      Coal means "coal" as defined in § 72.2 of this chapter.
      Coal-derived fuel means any fuel (whether in a solid, liquid, or gaseous state) produced by the mechanical, thermal, or chemical processing of coal.
      Cogeneration system means an integrated group, at a source, of equipment (including a boiler, or combustion turbine, and a generator) designed to produce useful thermal energy for industrial, commercial, heating, or cooling purposes and electricity through the sequential use of energy.
      Cogeneration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a topping-cycle unit or a bottoming-cycle unit:
         (1) Operating as part of a cogeneration system; and
         (2) Producing on an annual average basis --
            (i) For a topping-cycle unit,
               (A) Useful thermal energy not less than 5 percent of total energy output; and
               (B) Useful power that, when added to one-half of useful thermal energy produced, is not less than 42.5 percent of total energy input, if useful thermal energy produced is 15 percent or more of total energy output, or not less than 45 percent of total energy input, if useful thermal energy produced is less than 15 percent of total energy output.
            (ii) For a bottoming-cycle unit, useful power not less than 45 percent of total energy input;
         (3) Provided that the requirements in paragraph (2) of this definition shall not apply to a calendar year referenced in paragraph (2) of this definition during which the unit did not operate at all;
         (4) Provided that the total energy input under paragraphs (2)(i)(B) and (2)(ii) of this definition shall equal the unit's total energy input from all fuel, except biomass if the unit is a boiler; and
         (5) Provided that, if, throughout its operation during the 12-month period or a calendar year referenced in paragraph (2) of this definition, a unit is operated as part of a cogeneration system and the cogeneration system meets on a system-wide basis the requirement in paragraph (2)(i)(B) or (2)(ii) of this definition, the unit shall be deemed to meet such requirement during that 12-month period or calendar year.
      Combustion turbine means an enclosed device comprising:
         (1) If the device is simple cycle, a compressor, a combustor, and a turbine and in which the flue gas resulting from the combustion of fuel in the combustor passes through the turbine, rotating the turbine; and
         (2) If the device is combined cycle, the equipment described in paragraph (1) of this definition and any associated duct burner, heat recovery steam generator, and steam turbine.
      Commence commercial operation means, with regard to a unit:
         (1) To have begun to produce steam, gas, or other heated medium used to generate electricity for sale or use, including test generation, except as provided in § 97.405.
            (i) For a unit that is a CSAPR NOX Annual unit under § 97.404 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that subsequently undergoes a physical change or is moved to a new location or source, such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be treated as the same unit.
            (ii) For a unit that is a CSAPR NOX Annual unit under § 97.404 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition and that is subsequently replaced by a unit at the same or a different source, such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined in paragraph (1) or (2) of this definition as appropriate.
         (2) Notwithstanding paragraph (1) of this definition and except as provided in § 97.405, for a unit that is not a CSAPR NOX Annual unit under § 97.404 on the later of January 1, 2005 or the date the unit commences commercial operation as defined in the introductory text of paragraph (1) of this definition, the unit's date for commencement of commercial operation shall be the date on which the unit becomes a CSAPR NOX Annual unit under § 97.404.
            (i) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that subsequently undergoes a physical change or is moved to a different location or source, such date shall remain the date of commencement of commercial operation of the unit, which shall continue to be treated as the same unit.
            (ii) For a unit with a date for commencement of commercial operation as defined in the introductory text of paragraph (2) of this definition and that is subsequently replaced by a unit at the same or a different source, such date shall remain the replaced unit's date of commencement of commercial operation, and the replacement unit shall be treated as a separate unit with a separate date for commencement of commercial operation as defined in paragraph (1) or (2) of this definition as appropriate.
      Common designated representative means, with regard to a control period in a given year, a designated representative where, as of April 1 immediately after the allowance transfer deadline for such a control period before 2023, or as of July 1 immediately after such deadline for such a control period in 2023 or thereafter, the same natural person is authorized under §§ 97.413(a) and 97.415(a) as the designated representative for a group of one or more CSAPR NOX Annual sources and units located in a State (and Indian country within the borders of such State).
      Common designated representative's assurance level means, with regard to a specific common designated representative and a State (and Indian country within the borders of such State) and control period in a given year for which the State assurance level is exceeded as described in § 97.406(c)(2)(iii):
         (1) The amount (rounded to the nearest allowance) equal to the sum of the total amount of CSAPR NOX Annual allowances allocated for such control period to a group of one or more CSAPR NOX Annual units located in the State (and Indian country within the borders of such State) and having the common designated representative for such control period and the total amount of CSAPR NOX Annual allowances purchased by an owner or operator of such CSAPR NOX Annual units in an auction for such control period and submitted by the State or the permitting authority to the Administrator for recordation in the compliance accounts for such CSAPR NOX Annual units in accordance with the CSAPR NOX Annual allowance auction provisions in a SIP revision approved by the Administrator under § 52.38(a)(4) or (5) of this chapter, multiplied by the sum of the State NOX Annual trading budget under § 97.410(a) and the State's variability limit under § 97.410(b) for such control period and divided by such State NOX Annual trading budget;
         (2) Provided that, for a control period in a year before 2023 only, in the case of a unit that operates during, but has no amount of CSAPR NOX Annual allowances allocated under §§ 97.411 and 97.412 for, such control period, the unit shall be treated, solely for purposes of this definition, as being allocated an amount (rounded to the nearest allowance) of CSAPR NOX Annual allowances for such control period equal to the unit's allowable NOX emission rate applicable to such control period, multiplied by a capacity factor of 0.85 (if the unit is a boiler combusting any amount of coal or coal-derived fuel during such control period), 0.24 (if the unit is a simple cycle combustion turbine during such control period), 0.67 (if the unit is a combined cycle combustion turbine during such control period), 0.74 (if the unit is an integrated coal gasification combined cycle unit during such control period), or 0.36 (for any other unit), multiplied by the unit's maximum hourly load as reported in accordance with this subpart and by 8,760 hours/control period, and divided by 2,000 lb/ton.
      Common designated representative's share means, with regard to a specific common designated representative for a control period in a given year and a total amount of NOX emissions from all CSAPR NOX Annual units in a State (and Indian country within the borders of such State) during such control period, the total tonnage of NOX emissions during such control period from the group of one or more CSAPR NOX Annual units located in such State (and such Indian country) and having the common designated representative for such control period.

      Common stack means a single flue through which emissions from 2 or more units are exhausted.
      Compliance account means an Allowance Management System account, established by the Administrator for a CSAPR NOX Annual source under this subpart, in which any CSAPR NOX Annual allowance allocations to the CSAPR NOX Annual units at the source are recorded and in which are held any CSAPR NOX Annual allowances available for use for a control period in a given year in complying with the source's CSAPR NOX Annual emissions limitation in accordance with §§ 97.406 and 97.424.
      Continuous emission monitoring system or CEMS means the equipment required under this subpart to sample, analyze, measure, and provide, by means of readings recorded at least once every 15 minutes and using an automated data acquisition and handling system (DAHS), a permanent record of NOX emissions, stack gas volumetric flow rate, stack gas moisture content, and O2 or CO2 concentration (as applicable), in a manner consistent with part 75 of this chapter and §§ 97.430 through 97.435. The following systems are the principal types of continuous emission monitoring systems:
         (1) A flow monitoring system, consisting of a stack flow rate monitor and an automated data acquisition and handling system and providing a permanent, continuous record of stack gas volumetric flow rate, in standard cubic feet per hour (scfh);
         (2) A NOX concentration monitoring system, consisting of a NOX pollutant concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of NOX emissions, in parts per million (ppm);
         (3) A NOX emission rate (or NOX-diluent) monitoring system, consisting of a NOX pollutant concentration monitor, a diluent gas (CO2 or O2) monitor, and an automated data acquisition and handling system and providing a permanent, continuous record of NOX concentration, in parts per million (ppm), diluent gas concentration, in percent CO2 or O2, and NOX emission rate, in pounds per million British thermal units (lb/mmBtu);
         (4) A moisture monitoring system, as defined in § 75.11(b)(2) of this chapter and providing a permanent, continuous record of the stack gas moisture content, in percent H2O;
         (5) A CO2 monitoring system, consisting of a CO2 pollutant concentration monitor (or an O2 monitor plus suitable mathematical equations from which the CO2 concentration is derived) and an automated data acquisition and handling system and providing a permanent, continuous record of CO2 emissions, in percent CO2; and
         (6) An O2 monitoring system, consisting of an O2 concentration monitor and an automated data acquisition and handling system and providing a permanent, continuous record of O2, in percent O2.
      Control period means the period starting January 1 of a calendar year, except as provided in § 97.406(c)(3), and ending on December 31 of the same year, inclusive.
      CSAPR NOX Annual allowance means a limited authorization issued and allocated or auctioned by the Administrator under this subpart, or by a State or permitting authority under a SIP revision approved by the Administrator under § 52.38(a)(3), (4), or (5) of this chapter, to emit one ton of NOX during a control period of the specified calendar year for which the authorization is allocated or auctioned or of any calendar year thereafter under the CSAPR NOX Annual Trading Program.
      CSAPR NOX Annual allowance deduction or deduct CSAPR NOX Annual allowances means the permanent withdrawal of CSAPR NOX Annual allowances by the Administrator from a compliance account (e.g., in order to account for compliance with the CSAPR NOX Annual emissions limitation) or from an assurance account (e.g., in order to account for compliance with the assurance provisions under §§ 97.406 and 97.425).
      CSAPR NOX Annual allowances held or hold CSAPR NOX Annual allowances means the CSAPR NOX Annual allowances treated as included in an Allowance Management System account as of a specified point in time because at that time they:
         (1) Have been recorded by the Administrator in the account or transferred into the account by a correctly submitted, but not yet recorded, CSAPR NOX Annual allowance transfer in accordance with this subpart; and
         (2) Have not been transferred out of the account by a correctly submitted, but not yet recorded, CSAPR NOX Annual allowance transfer in accordance with this subpart.
      CSAPR NOX Annual emissions limitation means, for a CSAPR NOX Annual source, the tonnage of NOX emissions authorized in a control period in a given year by the CSAPR NOX Annual allowances available for deduction for the source under § 97.424(a) for such control period.
      CSAPR NOX Annual source means a source that includes one or more CSAPR NOX Annual units.
      CSAPR NOX Annual Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with this subpart and § 52.38(a) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under § 52.38(a)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under § 52.38(a)(5) of this chapter), as a means of mitigating interstate transport of fine particulates and NOX.
      CSAPR NOX Annual unit means a unit that is subject to the CSAPR NOX Annual Trading Program.
      CSAPR NOX Ozone Season Group 1 Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with subpart BBBBB of this part and § 52.38(b)(1), (b)(2)(i) and (ii), (b)(3) through (5), and (b)(14) through (16) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under § 52.38(b)(3) or (4) of this chapter or that is established in a SIP revision approved by the Administrator under § 52.38(b)(5) of this chapter), as a means of mitigating interstate transport of ozone and NOX.
      CSAPR NOX Ozone Season Group 2 Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with subpart EEEEE of this part and § 52.38(b)(1), (b)(2)(iii) and (iv), (b)(6) through (9), and (b)(14), (15), and (17) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under § 52.38(b)(7) or (8) of this chapter or that is established in a SIP revision approved by the Administrator under § 52.38(b)(6) or (9) of this chapter), as a means of mitigating interstate transport of ozone and NOX.
      CSAPR NOX Ozone Season Group 3 Trading Program means a multi-state NOX air pollution control and emission reduction program established in accordance with subpart GGGGG of this part and § 52.38(b)(1), (b)(2)(v), (b)(10) through (15), and (b)(18) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under § 52.38(b)(11) or (12) of this chapter or that is established in a SIP revision approved by the Administrator under § 52.38(b)(10) or (13) of this chapter), as a means of mitigating interstate transport of ozone and NOX.
      CSAPR SO2 Group 1 Trading Program means a multi-state SO2 air pollution control and emission reduction program established in accordance with subpart CCCCC of this part and § 52.39(a), (b), (d) through (f), and (j) through (l) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under § 52.39(d) or (e) of this chapter or that is established in a SIP revision approved by the Administrator under § 52.39(f) of this chapter), as a means of mitigating interstate transport of fine particulates and SO2.
      CSAPR SO2 Group 2 Trading Program means a multi-state SO2 air pollution control and emission reduction program established in accordance with subpart DDDDD of this part and § 52.39(a), (c), (g) through (k), and (m) of this chapter (including such a program that is revised in a SIP revision approved by the Administrator under § 52.39(g) or (h) of this chapter or that is established in a SIP revision approved by the Administrator under § 52.39(i) of this chapter), as a means of mitigating interstate transport of fine particulates and SO2.
      Designated representative means, for a CSAPR NOX Annual source and each CSAPR NOX Annual unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with this subpart, to represent and legally bind each owner and operator in matters pertaining to the CSAPR NOX Annual Trading Program. If the CSAPR NOX Annual source is also subject to the Acid Rain Program, CSAPR NOX Ozone Season Group 1 Trading Program, CSAPR NOX Ozone Season Group 2 Trading Program, CSAPR NOX Ozone Season Group 3 Trading Program, CSAPR SO2 Group 1 Trading Program, or CSAPR SO2 Group 2 Trading Program, then this natural person shall be the same natural person as the designated representative as defined in the respective program.
      Emissions means air pollutants exhausted from a unit or source into the atmosphere, as measured, recorded, and reported to the Administrator by the designated representative, and as modified by the Administrator:
         (1) In accordance with this subpart; and
         (2) With regard to a period before the unit or source is required to measure, record, and report such air pollutants in accordance with this subpart, in accordance with part 75 of this chapter.
      Excess emissions means any ton of emissions from the CSAPR NOX Annual units at a CSAPR NOX Annual source during a control period in a given year that exceeds the CSAPR NOX Annual emissions limitation for the source for such control period.
      Fossil fuel means --
         (1) Natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material; or
         (2) For purposes of applying the limitation on "average annual fuel consumption of fossil fuel" in § 97.404(b)(2)(i)(B) and (b)(2)(ii), natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material for the purpose of creating useful heat.
      Fossil-fuel-fired means, with regard to a unit, combusting any amount of fossil fuel in 2005 or any calendar year thereafter.
      General account means an Allowance Management System account, established under this subpart, that is not a compliance account or an assurance account.
      Generator means a device that produces electricity.
      Heat input means, for a unit for a specified period of unit operating time, the product (in mmBtu) of the gross calorific value of the fuel (in mmBtu/lb) fed into the unit multiplied by the fuel feed rate (in lb of fuel/time) and unit operating time, as measured, recorded, and reported to the Administrator by the designated representative and as modified by the Administrator in accordance with this subpart and excluding the heat derived from preheated combustion air, recirculated flue gases, or exhaust.
      Heat input rate means, for a unit, the quotient (in mmBtu/hr) of the amount of heat input for a specified period of unit operating time (in mmBtu) divided by unit operating time (in hr) or, for a unit and a specific fuel, the amount of heat input attributed to the fuel (in mmBtu) divided by the unit operating time (in hr) during which the unit combusts the fuel.
      Heat rate means, for a unit, the quotient (in mmBtu/unit of load) of the unit's maximum design heat input rate (in Btu/hr) divided by the product of 1,000,000 Btu/mmBtu and the unit's maximum hourly load.
      Indian country means "Indian country" as defined in 18 U.S.C. 1151.
      Life-of-the-unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is entitled to receive, a specified amount or percentage of nameplate capacity and associated energy generated by any specified unit and pays its proportional amount of such unit's total costs, pursuant to a contract:
         (1) For the life of the unit;
         (2) For a cumulative term of no less than 30 years, including contracts that permit an election for early termination; or
         (3) For a period no less than 25 years or 70 percent of the economic useful life of the unit determined as of the time the unit is built, with option rights to purchase or release some portion of the nameplate capacity and associated energy generated by the unit at the end of the period.
      Maximum design heat input rate means, for a unit, the maximum amount of fuel per hour (in Btu/hr) that the unit is capable of combusting on a steady state basis as of the initial installation of the unit as specified by the manufacturer of the unit.
      Monitoring system means any monitoring system that meets the requirements of this subpart, including a continuous emission monitoring system, an alternative monitoring system, or an excepted monitoring system under part 75 of this chapter.
      Nameplate capacity means, starting from the initial installation of a generator, the maximum electrical generating output (in MWe, rounded to the nearest tenth) that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings) as of such installation as specified by the manufacturer of the generator or, starting from the completion of any subsequent physical change in the generator resulting in an increase in the maximum electrical generating output that the generator is capable of producing on a steady state basis and during continuous operation (when not restricted by seasonal or other deratings), such increased maximum amount (in MWe, rounded to the nearest tenth) as of such completion as specified by the person conducting the physical change.
      Natural gas means "natural gas" as defined in § 72.2 of this chapter.
      Newly affected CSAPR NOX Annual unit means a unit that was not a CSAPR NOX Annual unit when it began operating but that thereafter becomes a CSAPR NOX Annual unit.
      Nitrogen oxides means all oxides of nitrogen except nitrous oxide (N2O), reported on an equivalent molecular weight basis as nitrogen dioxide (NO2).
      Operate or operation means, with regard to a unit, to combust fuel.
      Operator means, for a CSAPR NOX Annual source or a CSAPR NOX Annual unit at a source respectively, any person who operates, controls, or supervises a CSAPR NOX Annual unit at the source or the CSAPR NOX Annual unit and shall include, but not be limited to, any holding company, utility system, or plant manager of such source or unit.
      Owner means, for a CSAPR NOX Annual source or a CSAPR NOX Annual unit at a source respectively, any of the following persons:
         (1) Any holder of any portion of the legal or equitable title in a CSAPR NOX Annual unit at the source or the CSAPR NOX Annual unit;
         (2) Any holder of a leasehold interest in a CSAPR NOX Annual unit at the source or the CSAPR NOX Annual unit, provided that, unless expressly provided for in a leasehold agreement, "owner" shall not include a passive lessor, or a person who has an equitable interest through such lessor, whose rental payments are not based (either directly or indirectly) on the revenues or income from such CSAPR NOX Annual unit; and
         (3) Any purchaser of power from a CSAPR NOX Annual unit at the source or the CSAPR NOX Annual unit under a life-of-the-unit, firm power contractual arrangement.
      Permanently retired means, with regard to a unit, a unit that is unavailable for service and that the unit's owners and operators do not expect to return to service in the future.
      Permitting authority means "permitting authority" as defined in §§ 70.2 and 71.2 of this chapter.
      Potential electrical output capacity means, for a unit (in MWh/yr), 33 percent of the unit's maximum design heat input rate (in Btu/hr), divided by 3,413 Btu/kWh, divided by 1,000 kWh/MWh, and multiplied by 8,760 hr/yr.
      Receive or receipt of means, when referring to the Administrator, to come into possession of a document, information, or correspondence (whether sent in hard copy or by authorized electronic transmission), as indicated in an official log, or by a notation made on the document, information, or correspondence, by the Administrator in the regular course of business.
      Recordation, record, or recorded means, with regard to CSAPR NOX Annual allowances, the moving of CSAPR NOX Annual allowances by the Administrator into, out of, or between Allowance Management System accounts, for purposes of allocation, auction, transfer, or deduction.
      Reference method means any direct test method of sampling and analyzing for an air pollutant as specified in § 75.22 of this chapter.
      Replacement, replace, or replaced means, with regard to a unit, the demolishing of a unit, or the permanent retirement and permanent disabling of a unit, and the construction of another unit (the replacement unit) to be used instead of the demolished or retired unit (the replaced unit).
      Sequential use of energy means:
         (1) The use of reject heat from electricity production in a useful thermal energy application or process; or
         (2) The use of reject heat from a useful thermal energy application or process in electricity production.
      Serial number means, for a CSAPR NOX Annual allowance, the unique identification number assigned to each CSAPR NOX Annual allowance by the Administrator.
      Solid waste incineration unit means a stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine that is a "solid waste incineration unit" as defined in section 129(g)(1) of the Clean Air Act.
      Source means all buildings, structures, or installations located in one or more contiguous or adjacent properties under common control of the same person or persons. This definition does not change or otherwise affect the definition of "major source", "stationary source", or "source" as set forth and implemented in a title V operating permit program or any other program under the Clean Air Act.
      State means one of the States that is subject to the CSAPR NOX Annual Trading Program pursuant to § 52.38(a) of this chapter.
      Submit or serve means to send or transmit a document, information, or correspondence to the person specified in accordance with the applicable regulation:
         (1) In person;
         (2) By United States Postal Service; or
         (3) By other means of dispatch or transmission and delivery;
         (4) Provided that compliance with any "submission" or "service" deadline shall be determined by the date of dispatch, transmission, or mailing and not the date of receipt.
      Topping-cycle unit means a unit in which the energy input to the unit is first used to produce useful power, including electricity, where at least some of the reject heat from the electricity production is then used to provide useful thermal energy.
      Total energy input means, for a unit, total energy of all forms supplied to the unit, excluding energy produced by the unit. Each form of energy supplied shall be measured by the lower heating value of that form of energy calculated as follows:
         LHV = HHV − 10.55(W + 9H)
         where:
            LHV = lower heating value of the form of energy in Btu/lb,
            HHV = higher heating value of the form of energy in Btu/lb,
            W = weight % of moisture in the form of energy, and
            H = weight % of hydrogen in the form of energy.
      Total energy output means, for a unit, the sum of useful power and useful thermal energy produced by the unit.
      Unit means a stationary, fossil-fuel-fired boiler, stationary, fossil-fuel-fired combustion turbine, or other stationary, fossil-fuel-fired combustion device. A unit that undergoes a physical change or is moved to a different location or source shall continue to be treated as the same unit. A unit (the replaced unit) that is replaced by another unit (the replacement unit) at the same or a different source shall continue to be treated as the same unit, and the replacement unit shall be treated as a separate unit.
      Unit operating day means, with regard to a unit, a calendar day in which the unit combusts any fuel.
      Unit operating hour or hour of unit operation means, with regard to a unit, an hour in which the unit combusts any fuel.
      Useful power means, with regard to a unit, electricity or mechanical energy that the unit makes available for use, excluding any such energy used in the power production process (which process includes, but is not limited to, any on-site processing or treatment of fuel combusted at the unit and any on-site emission controls).
      Useful thermal energy means thermal energy that is:
         (1) Made available to an industrial or commercial process (not a power production process), excluding any heat contained in condensate return or makeup water;
         (2) Used in a heating application (e.g., space heating or domestic hot water heating); or
         (3) Used in a space cooling application (i.e., in an absorption chiller).
      Utility power distribution system means the portion of an electricity grid owned or operated by a utility and dedicated to delivering electricity to customers.
§ 97.403   Measurements, abbreviations, and acronyms.
   Measurements, abbreviations, and acronyms used in this subpart are defined as follows:
      Btu -- British thermal unit
      CO2 -- carbon dioxide
      CSAPR -- Cross-State Air Pollution Rule
      H2O -- water
      hr -- hour
      kWh -- kilowatt-hour
      lb -- pound
      mmBtu -- million Btu
      MWe -- megawatt electrical
      MWh -- megawatt-hour
      NOX -- nitrogen oxides
      O2 -- oxygen
      ppm -- parts per million
      scfh -- standard cubic feet per hour
      SIP -- State implementation plan
      SO2 -- sulfur dioxide
      TR -- Transport Rule
      yr -- year
§ 97.404   Applicability.
   (a) Except as provided in paragraph (b) of this section:
      (1) The following units in a State (and Indian country within the borders of such State) shall be CSAPR NOX Annual units, and any source that includes one or more such units shall be a CSAPR NOX Annual source, subject to the requirements of this subpart:
         Any stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine serving at any time, on or after January 1, 2005, a generator with nameplate capacity of more than 25 MWe producing electricity for sale.
      (2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a CSAPR NOX Annual unit begins to combust fossil fuel or to serve a generator with nameplate capacity of more than 25 MWe producing electricity for sale, the unit shall become a CSAPR NOX Annual unit as provided in paragraph (a)(1) of this section on the first date on which it both combusts fossil fuel and serves such generator.
   (b) Any unit in a State (and Indian country within the borders of such State) that otherwise is a CSAPR NOX Annual unit under paragraph (a) of this section and that meets the requirements set forth in paragraph (b)(1)(i) or (b)(2)(i) of this section shall not be a CSAPR NOX Annual unit:
      (1)
         (i) Any unit:
            (A) Qualifying as a cogeneration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
            (B) Not supplying in 2005 or any calendar year thereafter more than one-third of the unit's potential electrical output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale.
         (ii) If, after qualifying under paragraph (b)(1)(i) of this section as not being a CSAPR NOX Annual unit, a unit subsequently no longer meets all the requirements of paragraph (b)(1)(i) of this section, the unit shall become a CSAPR NOX Annual unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a cogeneration unit or January 1 after the first calendar year during which the unit no longer meets the requirements of paragraph (b)(1)(i)(B) of this section. The unit shall thereafter continue to be a CSAPR NOX Annual unit.
      (2)
         (i) Any unit:
            (A) Qualifying as a solid waste incineration unit throughout the later of 2005 or the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a solid waste incineration unit throughout each calendar year ending after the later of 2005 or such 12-month period; and
            (B) With an average annual fuel consumption of fossil fuel for the first 3 consecutive calendar years of operation starting no earlier than 2005 of less than 20 percent (on a Btu basis) and an average annual fuel consumption of fossil fuel for any 3 consecutive calendar years thereafter of less than 20 percent (on a Btu basis).
         (ii) If, after qualifying under paragraph (b)(2)(i) of this section as not being a CSAPR NOX Annual unit, a unit subsequently no longer meets all the requirements of paragraph (b)(2)(i) of this section, the unit shall become a CSAPR NOX Annual unit starting on the earlier of January 1 after the first calendar year during which the unit first no longer qualifies as a solid waste incineration unit or January 1 after the first 3 consecutive calendar years after 2005 for which the unit has an average annual fuel consumption of fossil fuel of 20 percent or more. The unit shall thereafter continue to be a CSAPR NOX Annual unit.
   (c) A certifying official of an owner or operator of any unit or other equipment may submit a petition (including any supporting documents) to the Administrator at any time for a determination concerning the applicability, under paragraphs (a) and (b) of this section or a SIP revision approved under § 52.38(a)(4) or (5) of this chapter, of the CSAPR NOX Annual Trading Program to the unit or other equipment.
      (1) Petition content.
         The petition shall be in writing and include the identification of the unit or other equipment and the relevant facts about the unit or other equipment. The petition and any other documents provided to the Administrator in connection with the petition shall include the following certification statement, signed by the certifying official:
            "I am authorized to make this submission on behalf of the owners and operators of the unit or other equipment for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
      (2) Response.
         The Administrator will issue a written response to the petition and may request supplemental information determined by the Administrator to be relevant to such petition. The Administrator's determination concerning the applicability, under paragraphs (a) and (b) of this section, of the CSAPR NOX Annual Trading Program to the unit or other equipment shall be binding on any State or permitting authority unless the Administrator determines that the petition or other documents or information provided in connection with the petition contained significant, relevant errors or omissions.
§ 97.405   Retired unit exemption.
   (a)
      (1) Any CSAPR NOX Annual unit that is permanently retired shall be exempt from § 97.406(b) and (c)(1), § 97.424, and §§ 97.430 through 97.435.
      (2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the CSAPR NOX Annual unit is permanently retired. Within 30 days of the unit's permanent retirement, the designated representative shall submit a statement to the Administrator. The statement shall state, in a format prescribed by the Administrator, that the unit was permanently retired on a specified date and will comply with the requirements of paragraph (b) of this section.
   (b)
      (1) A unit exempt under paragraph (a) of this section shall not emit any NOX, starting on the date that the exemption takes effect.
      (2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under paragraph (a) of this section shall retain, at the source that includes the unit, records demonstrating that the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period, in writing by the Administrator. The owners and operators bear the burden of proof that the unit is permanently retired.
      (3) The owners and operators and, to the extent applicable, the designated representative of a unit exempt under paragraph (a) of this section shall comply with the requirements of the CSAPR NOX Annual Trading Program concerning all periods for which the exemption is not in effect, even if such requirements arise, or must be complied with, after the exemption takes effect.
      (4) A unit exempt under paragraph (a) of this section shall lose its exemption on the first date on which the unit resumes operation. Such unit shall be treated, for purposes of applying allocation, monitoring, reporting, and recordkeeping requirements under this subpart, as a unit that commences commercial operation on the first date on which the unit resumes operation.
§ 97.406   Standard requirements.
   (a) Designated representative requirements.
      The owners and operators shall comply with the requirement to have a designated representative, and may have an alternate designated representative, in accordance with §§ 97.413 through 97.418.
   (b) Emissions monitoring, reporting, and recordkeeping requirements.
      (1) The owners and operators, and the designated representative, of each CSAPR NOX Annual source and each CSAPR NOX Annual unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of §§ 97.430 through 97.435.
      (2) The emissions data determined in accordance with §§ 97.430 through 97.435 shall be used to calculate allocations of CSAPR NOX Annual allowances under §§ 97.411(a)(2) and (b) and 97.412 and to determine compliance with the CSAPR NOX Annual emissions limitation and assurance provisions under paragraph (c) of this section, provided that, for each monitoring location from which mass emissions are reported, the mass emissions amount used in calculating such allocations and determining such compliance shall be the mass emissions amount for the monitoring location determined in accordance with §§ 97.430 through 97.435 and rounded to the nearest ton, with any fraction of a ton less than 0.50 being deemed to be zero.
   (c) NOX emissions requirements --
      (1) CSAPR NOX Annual emissions limitation.
         (i) As of the allowance transfer deadline for a control period in a given year, the owners and operators of each CSAPR NOX Annual source and each CSAPR NOX Annual unit at the source shall hold, in the source's compliance account, CSAPR NOX Annual allowances available for deduction for such control period under § 97.424(a) in an amount not less than the tons of total NOX emissions for such control period from all CSAPR NOX Annual units at the source.
         (ii) If total NOX emissions during a control period in a given year from the CSAPR NOX Annual units at a CSAPR NOX Annual source are in excess of the CSAPR NOX Annual emissions limitation set forth in paragraph (c)(1)(i) of this section, then:
            (A) The owners and operators of the source and each CSAPR NOX Annual unit at the source shall hold the CSAPR NOX Annual allowances required for deduction under § 97.424(d); and
            (B) The owners and operators of the source and each CSAPR NOX Annual unit at the source shall pay any fine, penalty, or assessment or comply with any other remedy imposed, for the same violations, under the Clean Air Act, and each ton of such excess emissions and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
      (2) CSAPR NOX Annual assurance provisions.
         (i) If total NOX emissions during a control period in a given year from all CSAPR NOX Annual units at CSAPR NOX Annual sources in a State (and Indian country within the borders of such State) exceed the State assurance level, then the owners and operators of such sources and units in each group of one or more sources and units having a common designated representative for such control period, where the common designated representative's share of such NOX emissions during such control period exceeds the common designated representative's assurance level for the State and such control period, shall hold (in the assurance account established for the owners and operators of such group) CSAPR NOX Annual allowances available for deduction for such control period under § 97.425(a) in an amount equal to two times the product (rounded to the nearest whole number), as determined by the Administrator in accordance with § 97.425(b), of multiplying --
            (A) The quotient of the amount by which the common designated representative's share of such NOX emissions exceeds the common designated representative's assurance level divided by the sum of the amounts, determined for all common designated representatives for such sources and units in the State (and Indian country within the borders of such State) for such control period, by which each common designated representative's share of such NOX emissions exceeds the respective common designated representative's assurance level; and
            (B) The amount by which total NOX emissions from all CSAPR NOX Annual units at CSAPR NOX Annual sources in the State (and Indian country within the borders of such State) for such control period exceed the State assurance level.
         (ii) The owners and operators shall hold the CSAPR NOX Annual allowances required under paragraph (c)(2)(i) of this section, as of midnight of November 1 (if it is a business day), or midnight of the first business day thereafter (if November 1 is not a business day), immediately after the year of such control period.
         (iii) Total NOX emissions from all CSAPR NOX Annual units at CSAPR NOX Annual sources in a State (and Indian country within the borders of such State) during a control period in a given year exceed the State assurance level if such total NOX emissions exceed the sum, for such control period, of the State NOX Annual trading budget under § 97.410(a) and the State's variability limit under § 97.410(b).
         (iv) It shall not be a violation of this subpart or of the Clean Air Act if total NOX emissions from all CSAPR NOX Annual units at CSAPR NOX Annual sources in a State (and Indian country within the borders of such State) during a control period exceed the State assurance level or if a common designated representative's share of total NOX emissions from the CSAPR NOX Annual units at CSAPR NOX Annual sources in a State (and Indian country within the borders of such State) during a control period exceeds the common designated representative's assurance level.
         (v) To the extent the owners and operators fail to hold CSAPR NOX Annual allowances for a control period in a given year in accordance with paragraphs (c)(2)(i) through (iii) of this section,
            (A) The owners and operators shall pay any fine, penalty, or assessment or comply with any other remedy imposed under the Clean Air Act; and
            (B) Each CSAPR NOX Annual allowance that the owners and operators fail to hold for such control period in accordance with paragraphs (c)(2)(i) through (iii) of this section and each day of such control period shall constitute a separate violation of this subpart and the Clean Air Act.
      (3) Compliance periods.
         (i) A CSAPR NOX Annual unit shall be subject to the requirements under paragraph (c)(1) of this section for the control period starting on the later of January 1, 2015 or the deadline for meeting the unit's monitor certification requirements under § 97.430(b) and for each control period thereafter.
         (ii) A CSAPR NOX Annual unit shall be subject to the requirements under paragraph (c)(2) of this section for the control period starting on the later of January 1, 2017 or the deadline for meeting the unit's monitor certification requirements under § 97.430(b) and for each control period thereafter.
      (4) Vintage of CSAPR NOX Annual allowances held for compliance.
         (i) A CSAPR NOX Annual allowance held for compliance with the requirements under paragraph (c)(1)(i) of this section for a control period in a given year must be a CSAPR NOX Annual allowance that was allocated or auctioned for such control period or a control period in a prior year.
         (ii) A CSAPR NOX Annual allowance held for compliance with the requirements under paragraphs (c)(1)(ii)(A) and (c)(2)(i) through (iii) of this section for a control period in a given year must be a CSAPR NOX Annual allowance that was allocated or auctioned for a control period in a prior year or the control period in the given year or in the immediately following year.
      (5) Allowance Management System requirements.
         Each CSAPR NOX Annual allowance shall be held in, deducted from, or transferred into, out of, or between Allowance Management System accounts in accordance with this subpart.
      (6) Limited authorization.
         A CSAPR NOX Annual allowance is a limited authorization to emit one ton of NOX during the control period in one year. Such authorization is limited in its use and duration as follows:
            (i) Such authorization shall only be used in accordance with the CSAPR NOX Annual Trading Program; and
            (ii) Notwithstanding any other provision of this subpart, the Administrator has the authority to terminate or limit the use and duration of such authorization to the extent the Administrator determines is necessary or appropriate to implement any provision of the Clean Air Act.
      (7) Property right.
      A CSAPR NOX Annual allowance does not constitute a property right.
   (d) Title V permit requirements.
      (1) No title V permit revision shall be required for any allocation, holding, deduction, or transfer of CSAPR NOX Annual allowances in accordance with this subpart.
      (2) A description of whether a unit is required to monitor and report NOX emissions using a continuous emission monitoring system (under subpart H of part 75 of this chapter), an excepted monitoring system (under appendices D and E to part 75 of this chapter), a low mass emissions excepted monitoring methodology (under § 75.19 of this chapter), or an alternative monitoring system (under subpart E of part 75 of this chapter) in accordance with §§ 97.430 through 97.435 may be added to, or changed in, a title V permit using minor permit modification procedures in accordance with §§ 70.7(e)(2) and 71.7(e)(1) of this chapter, provided that the requirements applicable to the described monitoring and reporting (as added or changed, respectively) are already incorporated in such permit. This paragraph explicitly provides that the addition of, or change to, a unit's description as described in the prior sentence is eligible for minor permit modification procedures in accordance with §§ 70.7(e)(2)(i)(B) and 71.7(e)(1)(i)(B) of this chapter.
   (e) Additional recordkeeping and reporting requirements.
      (1) Unless otherwise provided, the owners and operators of each CSAPR NOX Annual source and each CSAPR NOX Annual unit at the source shall keep on site at the source each of the following documents (in hardcopy or electronic format) for a period of 5 years from the date the document is created. This period may be extended for cause, at any time before the end of 5 years, in writing by the Administrator.
         (i) The certificate of representation under § 97.416 for the designated representative for the source and each CSAPR NOX Annual unit at the source and all documents that demonstrate the truth of the statements in the certificate of representation; provided that the certificate and documents shall be retained on site at the source beyond such 5-year period until such certificate of representation and documents are superseded because of the submission of a new certificate of representation under § 97.416 changing the designated representative.
         (ii) All emissions monitoring information, in accordance with this subpart.
         (iii) Copies of all reports, compliance certifications, and other submissions and all records made or required under, or to demonstrate compliance with the requirements of, the CSAPR NOX Annual Trading Program.
      (2) The designated representative of a CSAPR NOX Annual source and each CSAPR NOX Annual unit at the source shall make all submissions required under the CSAPR NOX Annual Trading Program, except as provided in § 97.418. This requirement does not change, create an exemption from, or otherwise affect the responsible official submission requirements under a title V operating permit program in parts 70 and 71 of this chapter.
   (f) Liability.
      (1) Any provision of the CSAPR NOX Annual Trading Program that applies to a CSAPR NOX Annual source or the designated representative of a CSAPR NOX Annual source shall also apply to the owners and operators of such source and of the CSAPR NOX Annual units at the source.
      (2) Any provision of the CSAPR NOX Annual Trading Program that applies to a CSAPR NOX Annual unit or the designated representative of a CSAPR NOX Annual unit shall also apply to the owners and operators of such unit.
   (g) Effect on other authorities.
      No provision of the CSAPR NOX Annual Trading Program or exemption under § 97.405 shall be construed as exempting or excluding the owners and operators, and the designated representative, of a CSAPR NOX Annual source or CSAPR NOX Annual unit from compliance with any other provision of the applicable, approved State implementation plan, a federally enforceable permit, or the Clean Air Act.
§ 97.407   Computation of time.
   (a) Unless otherwise stated, any time period scheduled, under the CSAPR NOX Annual Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs.
   (b) Unless otherwise stated, any time period scheduled, under the CSAPR NOX Annual Trading Program, to begin before the occurrence of an act or event shall be computed so that the period ends the day before the act or event occurs.
   (c) Unless otherwise stated, if the final day of any time period, under the CSAPR NOX Annual Trading Program, is not a business day, the time period shall be extended to the next business day.
§ 97.408   Administrative appeal procedures.
   The administrative appeal procedures for decisions of the Administrator under the CSAPR NOX Annual Trading Program are set forth in part 78 of this chapter.
§ 97.409   [Reserved]
§ 97.410   State NOX Annual trading budgets, new unit set-asides, Indian country new unit set-asides, and variability limits.
   (a) The State NOX Annual trading budgets, new unit set-asides, and Indian country new unit set-asides for allocations of CSAPR NOX Annual allowances for the control periods in 2015 and thereafter are as follows:
      (1) Alabama.
         (i) The NOX Annual trading budget for 2015 and 2016 is 72,691 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 1,454 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 71,962 tons.
         (v) The new unit set-aside for 2017 and thereafter is 1,441 tons.
         (vi) [Reserved]
      (2) Georgia.
         (i) The NOX Annual trading budget for 2015 and 2016 is 62,010 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 1,240 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 53,738 tons.
         (v) The new unit set-aside for 2017 and thereafter is 1,074 tons.
         (vi) [Reserved]
      (3) Illinois.
         (i) The NOX Annual trading budget for 2015 and 2016 is 47,872 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 3,830 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 47,872 tons.
         (v) The new unit set-aside for 2017 and thereafter is 3,831 tons.
         (vi) [Reserved]
      (4) Indiana.
         (i) The NOX Annual trading budget for 2015 and 2016 is 109,726 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 3,292 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 108,424 tons.
         (v) The new unit set-aside for 2017 and thereafter is 3,256 tons.
         (vi) [Reserved]
      (5) Iowa.
         (i) The NOX Annual trading budget for 2015 and 2016 is 38,335 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 729 tons.
         (iii) The Indian country new unit set-aside for 2015 and 2016 is 38 tons.
         (iv) The NOX Annual trading budget for 2017 and thereafter is 37,498 tons.
         (v) The new unit set-aside for 2017 and thereafter is 715 tons.
         (vi) The Indian country new unit set-aside for 2017 and thereafter is 38 tons.
      (6) Kansas.
         (i) The NOX Annual trading budget for 2015 and 2016 is 31,354 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 596 tons.
         (iii) The Indian country new unit set-aside for 2015 and 2016 is 31 tons.
         (iv) The NOX Annual trading budget for 2017 and thereafter is 31,354 tons.
         (v) The new unit set-aside for 2017 and thereafter is 596 tons.
         (vi) The Indian country new unit set-aside for 2017 and thereafter is 31 tons.
      (7) Kentucky.
         (i) The NOX Annual trading budget for 2015 and 2016 is 85,086 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 3,403 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 77,238 tons.
         (v) The new unit set-aside for 2017 and thereafter is 3,090 tons.
         (vi) [Reserved]
      (8) Maryland.
         (i) The NOX Annual trading budget for 2015 and 2016 is 16,633 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 333 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 16,574 tons.
         (v) The new unit set-aside for 2017 and thereafter is 333 tons.
         (vi) [Reserved]
      (9) Michigan.
         (i) The NOX Annual trading budget for 2015 and 2016 is 65,421 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 1,243 tons.
         (iii) The Indian country new unit set-aside for 2015 and 2016 is 65 tons.
         (iv) The NOX Annual trading budget for 2017 and thereafter is 63,040 tons.
         (v) The new unit set-aside for 2017 and thereafter is 1,201 tons.
         (vi) The Indian country new unit set-aside for 2017 and thereafter is 63 tons.
      (10) Minnesota.
         (i) The NOX Annual trading budget for 2015 and 2016 is 29,572 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 561 tons.
         (iii) The Indian country new unit set-aside for 2015 and 2016 is 30 tons.
         (iv) The NOX Annual trading budget for 2017 and thereafter is 29,572 tons.
         (v) The new unit set-aside for 2017 and thereafter is 565 tons.
         (vi) The Indian country new unit set-aside for 2017 and thereafter is 30 tons.
      (11) Missouri.
         (i) The NOX Annual trading budget for 2015 and 2016 is 52,400 tons.
         (ii) The new unit set-aside for 2015 is 1,572 tons and for 2016 is 3,144 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 48,743 tons.
         (v) The new unit set-aside for 2017 and thereafter is 2,929 tons.
         (vi) [Reserved]
      (12) Nebraska.
         (i) The NOX Annual trading budget for 2015 and 2016 is 30,039 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 1,772 tons.
         (iii) The Indian country new unit set-aside for 2015 and 2016 is 30 tons.
         (iv) The NOX Annual trading budget for 2017 and thereafter is 30,039 tons.
         (v) The new unit set-aside for 2017 and thereafter is 1,771 tons.
         (vi) The Indian country new unit set-aside for 2017 and thereafter is 30 tons.
      (13) New Jersey.
         (i) The NOX Annual trading budget for 2015 and 2016 is 8,218 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 164 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 7,945 tons.
         (v) The new unit set-aside for 2017 and thereafter is 155 tons.
         (vi) [Reserved]
      (14) New York.
         (i) The NOX Annual trading budget for 2015 and 2016 is 21,722 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 412 tons.
         (iii) The Indian country new unit set-aside for 2015 and 2016 is 22 tons.
         (iv) The NOX Annual trading budget for 2017 and thereafter is 21,722 tons.
         (v) The new unit set-aside for 2017 and thereafter is 410 tons.
         (vi) The Indian country new unit set-aside for 2017 and thereafter is 22 tons.
      (15) North Carolina.
         (i) The NOX Annual trading budget for 2015 and 2016 is 50,587 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 2,984 tons.
         (iii) The Indian country new unit set-aside for 2015 and 2016 is 51 tons.
         (iv) The NOX Annual trading budget for 2017 and thereafter is 41,553 tons.
         (v) The new unit set-aside for 2017 and thereafter is 2,451 tons.
         (vi) The Indian country new unit set-aside for 2017 and thereafter is 42 tons.
      (16) Ohio.
         (i) The NOX Annual trading budget for 2015 and 2016 is 95,468 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 1,909 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 90,258 tons.
         (v) The new unit set-aside for 2017 and thereafter is 1,805 tons.
         (vi) [Reserved]
      (17) Pennsylvania.
         (i) The NOX Annual trading budget for 2015 and 2016 is 119,986 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 2,400 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 119,194 tons.
         (v) The new unit set-aside for 2017 and thereafter is 2,383 tons.
         (vi) [Reserved]
      (18) South Carolina.
         (i) The NOX Annual trading budget for 2015 and 2016 is 32,498 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 617 tons.
         (iii) The Indian country new unit set-aside for 2015 and 2016 is 33 tons.
         (iv) The NOX Annual trading budget for 2017 and thereafter is 32,498 tons.
         (v) The new unit set-aside for 2017 and thereafter is 620 tons.
         (vi) The Indian country new unit set-aside for 2017 and thereafter is 33 tons.
      (19) Tennessee.
         (i) The NOX Annual trading budget for 2015 and 2016 is 35,703 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 714 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 19,337 tons.
         (v) The new unit set-aside for 2017 and thereafter is 381 tons.
         (vi) [Reserved]
      (20) Texas.
         (i) The NOX Annual trading budget for 2015 and 2016 is 137,701 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 5,370 tons.
         (iii) The Indian country new unit set-aside for 2015 and 2016 is 138 tons.
         (iv) The NOX Annual trading budget for 2017 and thereafter is 137,701 tons.
         (v) The new unit set-aside for 2017 and thereafter is 5,370 tons.
         (vi) The Indian country new unit set-aside for 2017 and thereafter is 138 tons.
      (21) Virginia.
         (i) The NOX Annual trading budget for 2015 and 2016 is 33,242 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 1,662 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 33,242 tons.
         (v) The new unit set-aside for 2017 and thereafter is 1,663 tons.
         (vi) [Reserved]
      (22) West Virginia.
         (i) The NOX Annual trading budget for 2015 and 2016 is 59,472 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 2,974 tons.
         (iii) [Reserved]
         (iv) The NOX Annual trading budget for 2017 and thereafter is 54,582 tons.
         (v) The new unit set-aside for 2017 and thereafter is 2,730 tons.
         (vi) [Reserved]
      (23) Wisconsin.
         (i) The NOX Annual trading budget for 2015 and 2016 is 34,101 tons.
         (ii) The new unit set-aside for 2015 and 2016 is 2,012 tons.
         (iii) The Indian country new unit set-aside for 2015 and 2016 is 34 tons.
         (iv) The NOX Annual trading budget for 2017 and thereafter is 32,871 tons.
         (v) The new unit set-aside for 2017 and thereafter is 1,939 tons.
         (vi) The Indian country new unit set-aside for 2017 and thereafter is 33 tons.
   (b) The States' variability limits for the State NOX Annual trading budgets for the control periods in 2017 and thereafter are as follows:
      (1) The variability limit for Alabama is 12,953 tons.
      (2) The variability limit for Georgia is 9,673 tons.
      (3) The variability limit for Illinois is 8,617 tons.
      (4) The variability limit for Indiana is 19,516 tons.
      (5) The variability limit for Iowa is 6,750 tons.
      (6) The variability limit for Kansas is 5,644 tons.
      (7) The variability limit for Kentucky is 13,903 tons.
      (8) The variability limit for Maryland is 2,983 tons.
      (9) The variability limit for Michigan is 11,347 tons.
      (10) The variability limit for Minnesota is 5,323 tons.
      (11) The variability limit for Missouri is 8,774 tons.
      (12) The variability limit for Nebraska is 5,407 tons.
      (13) The variability limit for New Jersey is 1,430 tons.
      (14) The variability limit for New York is 3,910 tons.
      (15) The variability limit for North Carolina is 7,480 tons.
      (16) The variability limit for Ohio is 16,246 tons.
      (17) The variability limit for Pennsylvania is 21,455 tons.
      (18) The variability limit for South Carolina is 5,850 tons.
      (19) The variability limit for Tennessee is 3,481 tons.
      (20) The variability limit for Texas is 24,786 tons.
      (21) The variability limit for Virginia is 5,984 tons.
      (22) The variability limit for West Virginia is 9,825 tons.
      (23) The variability limit for Wisconsin is 5,917 tons.
   (c) Each State NOX Annual trading budget in this section includes any tons in a new unit set-aside or Indian country new unit set-aside but does not include any tons in a variability limit.
§ 97.411   Timing requirements for CSAPR NOX Annual allowance allocations.
   (a) Existing units.
      (1) CSAPR NOX Annual allowances are allocated, for the control periods in 2015 and each year thereafter, as provided in a notice of data availability issued by the Administrator. Providing an allocation to a unit in such notice does not constitute a determination that the unit is a CSAPR NOX Annual unit, and not providing an allocation to a unit in such notice does not constitute a determination that the unit is not a CSAPR NOX Annual 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 2014, during the control period in two consecutive years, such unit will not be allocated the CSAPR NOX Annual allowances provided in such notice for the unit for the control periods in the fifth year after the first such year and in each year after that fifth year. All CSAPR NOX Annual allowances that would otherwise have been allocated to such unit will be allocated to the new unit set-aside for the State where such unit is located and for the respective years involved. If such unit resumes operation, the Administrator will allocate CSAPR NOX Annual allowances to the unit in accordance with paragraph (b) of this section.
   (b) New units --
      (1) New unit set-asides.
         (i)
            (A) By June 1 of each year from 2015 through 2022, the Administrator will calculate the CSAPR NOX Annual allowance allocation to each CSAPR NOX Annual unit in a State, in accordance with § 97.412(a)(2) through (7) and (12), for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
            (B) By March 1, 2024 and March 1 of each year thereafter, the Administrator will calculate the CSAPR NOX Annual allowance allocation to each CSAPR NOX Annual unit in a State, in accordance with § 97.412(a)(2) through (7), (10), and (12), for the control period in the year before the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
         (ii) For each notice of data availability required in paragraph (b)(1)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.
            (A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(1)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the CSAPR NOX Annual units) are in accordance with § 97.412(a)(2) through (7) and (12) for a control period before 2023, or § 97.412(a)(2) through (7), (10), and (12) for a control period in 2023 or thereafter, and §§ 97.406(b)(2) and 97.430 through 97.435.
            (B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the applicable provisions referenced in paragraph (b)(1)(ii)(A) of this section. By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(i)(A) of this section for a control period before 2023, or by May 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(i)(B) of this section for a control period in 2023 or thereafter, the Administrator will promulgate a notice of data availability of the calculations incorporating any adjustments that the Administrator determines to be necessary with regard to allocations under such applicable provisions and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(ii)(A) of this section.
         (iii) If the new unit set-aside for a control period before 2023 contains any CSAPR NOX Annual allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(1)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any CSAPR NOX Annual units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of the year of such control period.
         (iv) For each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of CSAPR NOX 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 CSAPR NOX Annual units in such notice is in accordance with paragraph (b)(1)(iii) of this section.
            (B) The Administrator will adjust the identification of CSAPR NOX Annual units in each notice of data availability required in paragraph (b)(1)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(1)(iii) of this section and will calculate the CSAPR NOX Annual allowance allocation to each CSAPR NOX Annual unit in accordance with § 97.412(a)(9), (10), and (12) and §§ 97.406(b)(2) and 97.430 through 97.435. By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(1)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of CSAPR NOX Annual units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(1)(iv)(A) of this section, and the results of such calculations.
         (v) To the extent any CSAPR NOX Annual allowances are added to the new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(1)(iv) of this section for a control period before 2023, or in paragraph (b)(1)(ii) of this section for a control period in 2023 or thereafter, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such CSAPR NOX Annual allowances in accordance with § 97.412(a)(10).
      (2) Indian country new unit set-asides.
         (i)
            (A) By June 1 of each year from 2015 through 2022, the Administrator will calculate the CSAPR NOX Annual allowance allocation to each CSAPR NOX Annual unit in Indian country within the borders of a State, in accordance with § 97.412(b)(2) through (7) and (12), for the control period in the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
            (B) By March 1, 2024 and March 1 of each year thereafter, the Administrator will calculate the CSAPR NOX Annual allowance allocation to each CSAPR NOX Annual unit in Indian country within the borders of a State, in accordance with § 97.412(b)(2) through (7), (10), and (12), for the control period in the year before the year of the applicable calculation deadline under this paragraph and will promulgate a notice of data availability of the results of the calculations.
         (ii) For each notice of data availability required in paragraph (b)(2)(i) of this section, the Administrator will provide an opportunity for submission of objections to the calculations referenced in such notice.
            (A) Objections shall be submitted by the deadline specified in each notice of data availability required in paragraph (b)(2)(i) of this section and shall be limited to addressing whether the calculations (including the identification of the CSAPR NOX Annual units) are in accordance with § 97.412(b)(2) through (7) and (12) for a control period before 2023, or § 97.412(b)(2) through (7), (10), and (12) for a control period in 2023 or thereafter, and §§ 97.406(b)(2) and 97.430 through 97.435.
            (B) The Administrator will adjust the calculations to the extent necessary to ensure that they are in accordance with the applicable provisions referenced in paragraph (b)(2)(ii)(A) of this section. By August 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(i)(A) of this section for a control period before 2023, or by May 1 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(i)(B) of this section for a control period in 2023 or thereafter, the Administrator will promulgate a notice of data availability of the calculations incorporating any adjustments that the Administrator determines to be necessary with regard to allocations under such applicable provisions and the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(ii)(A) of this section.
         (iii) If the Indian country new unit set-aside for a control period before 2023 contains any CSAPR NOX Annual allowances that have not been allocated in the applicable notice of data availability required in paragraph (b)(2)(ii) of this section, the Administrator will promulgate, by December 15 immediately after such notice, a notice of data availability that identifies any CSAPR NOX Annual units that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of the year of such control period.
         (iv) For each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will provide an opportunity for submission of objections to the identification of CSAPR NOX 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 CSAPR NOX Annual units in such notice is in accordance with paragraph (b)(2)(iii) of this section.
            (B) The Administrator will adjust the identification of CSAPR NOX Annual units in each notice of data availability required in paragraph (b)(2)(iii) of this section to the extent necessary to ensure that it is in accordance with paragraph (b)(2)(iii) of this section and will calculate the CSAPR NOX Annual allowance allocation to each CSAPR NOX Annual unit in accordance with § 97.412(b)(9), (10), and (12) and §§ 97.406(b)(2) and 97.430 through 97.435. By February 15 immediately after the promulgation of each notice of data availability required in paragraph (b)(2)(iii) of this section, the Administrator will promulgate a notice of data availability of any adjustments of the identification of CSAPR NOX Annual units that the Administrator determines to be necessary, the reasons for accepting or rejecting any objections submitted in accordance with paragraph (b)(2)(iv)(A) of this section, and the results of such calculations.
         (v) To the extent any CSAPR NOX Annual allowances are added to the Indian country new unit set-aside after promulgation of each notice of data availability required in paragraph (b)(2)(iv) of this section for a control period before 2023, or in paragraph (b)(2)(ii) of this section for a control period in 2023 or thereafter, the Administrator will promulgate additional notices of data availability, as deemed appropriate, of the allocation of such CSAPR NOX Annual allowances in accordance with § 97.412(b)(10).
   (c) Units incorrectly allocated CSAPR NOX Annual allowances.
      (1) For each control period in 2015 and thereafter, if the Administrator determines that CSAPR NOX Annual allowances were allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under § 52.38(a)(3), (4), or (5) 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 § 97.412(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 § 52.38(a)(4) or (5) of this chapter, where such control period and the recipient are covered by the provisions of paragraph (c)(1)(ii) of this section, then the Administrator will notify the designated representative of the recipient and will act in accordance with the procedures set forth in paragraphs (c)(2) through (5) of this section:
         (i)
            (A) The recipient is not actually a CSAPR NOX Annual unit under § 97.404 as of January 1, 2015 and is allocated CSAPR NOX Annual allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under § 52.38(a)(3), (4), or (5) of this chapter, the recipient is not actually a CSAPR NOX Annual unit as of January 1, 2015 and is allocated CSAPR NOX Annual allowances for such control period that the SIP revision provides should be allocated only to recipients that are CSAPR NOX Annual units as of January 1, 2015; or
            (B) The recipient is not located as of January 1 of the control period in the State from whose NOX Annual trading budget the CSAPR NOX Annual allowances allocated under paragraph (a) of this section, or under a provision of a SIP revision approved under § 52.38(a)(3), (4), or (5) of this chapter, were allocated for such control period.
         (ii) The recipient is not actually a CSAPR NOX Annual unit under § 97.404 as of January 1 of such control period and is allocated CSAPR NOX Annual allowances for such control period or, in the case of an allocation under a provision of a SIP revision approved under § 52.38(a)(4) or (5) of this chapter, the recipient is not actually a CSAPR NOX Annual unit as of January 1 of such control period and is allocated CSAPR NOX Annual allowances for such control period that the SIP revision provides should be allocated only to recipients that are CSAPR NOX Annual 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 CSAPR NOX Annual allowances under § 97.421.
      (3) If the Administrator already recorded such CSAPR NOX Annual allowances under § 97.421 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 § 97.424(b) for such control period, then the Administrator will deduct from the account in which such CSAPR NOX Annual allowances were recorded an amount of CSAPR NOX Annual allowances allocated for the same or a prior control period equal to the amount of such already recorded CSAPR NOX Annual allowances. The authorized account representative shall ensure that there are sufficient CSAPR NOX Annual allowances in such account for completion of the deduction.
      (4) If the Administrator already recorded such CSAPR NOX Annual allowances under § 97.421 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 § 97.424(b) for such control period, then the Administrator will not make any deduction to take account of such already recorded CSAPR NOX Annual allowances.
      (5)
         (i) With regard to the CSAPR NOX Annual allowances that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(i) of this section, the Administrator will:
            (A) Transfer such CSAPR NOX Annual allowances to the new unit set-aside for such control period (or a subsequent control period) for the State from whose NOX Annual trading budget the CSAPR NOX Annual allowances were allocated; or
            (B) If the State has a SIP revision approved under § 52.38(a)(4) or (5) of this chapter covering such control period, include such CSAPR NOX Annual allowances in the portion of the State NOX Annual trading budget that may be allocated for such control period (or a subsequent control period) in accordance with such SIP revision.
         (ii) With regard to the CSAPR NOX Annual allowances that were not allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this section, the Administrator will:
            (A) Transfer such CSAPR NOX Annual allowances to the new unit set-aside for such control period (or a subsequent control period); or
            (B) If the State has a SIP revision approved under § 52.38(a)(4) or (5) of this chapter covering such control period, include such CSAPR NOX Annual allowances in the portion of the State NOX Annual trading budget that may be allocated for such control period (or a subsequent control period) in accordance with such SIP revision.
         (iii) With regard to the CSAPR NOX Annual allowances that were allocated from the Indian country new unit set-aside for such control period and that are not recorded, or that are deducted as an incorrect allocation, in accordance with paragraphs (c)(2) and (3) of this section for a recipient under paragraph (c)(1)(ii) of this section, the Administrator will transfer such CSAPR NOX Annual allowances to the Indian country new unit set-aside for such control period (or a subsequent control period).
§ 97.412   CSAPR NOX Annual allowance allocations to new units.
   (a) Allocations from new unit set-asides.
      For each control period in 2015 and thereafter and for the CSAPR NOX Annual units in each State, the Administrator will allocate CSAPR NOX Annual allowances to the CSAPR NOX Annual units as follows:
         (1) The CSAPR NOX Annual allowances will be allocated to the following CSAPR NOX Annual units, except as provided in paragraph (a)(10) of this section:
            (i) CSAPR NOX Annual units that are not allocated an amount of CSAPR NOX Annual allowances in the notice of data availability issued under § 97.411(a)(1) and that have deadlines for certification of monitoring systems under § 97.430(b) not later than December 31 of the year of the control period;
            (ii) CSAPR NOX Annual units whose allocation of an amount of CSAPR NOX Annual allowances for such control period in the notice of data availability issued under § 97.411(a)(1) is covered by § 97.411(c)(2) or (3);
            (iii) CSAPR NOX Annual units that are allocated an amount of CSAPR NOX Annual allowances for such control period in the notice of data availability issued under § 97.411(a)(1), which allocation is terminated for such control period pursuant to § 97.411(a)(2), and that operate during the control period immediately preceding such control period, for a control period before 2023, or that operate during such control period, for a control period in 2023 or thereafter; or
            (iv) For purposes of paragraph (a)(9) of this section, CSAPR NOX Annual units under § 97.411(c)(1)(ii) whose allocation of an amount of CSAPR NOX Annual allowances for such control period in the notice of data availability issued under § 97.411(b)(1)(ii)(B) is covered by § 97.411(c)(2) or (3).
         (2) The Administrator will establish a separate new unit set-aside for the State for each such control period. Each such new unit set-aside will be allocated CSAPR NOX Annual allowances in an amount equal to the applicable amount of tons of NOX emissions as set forth in § 97.410(a) and will be allocated additional CSAPR NOX Annual allowances (if any) in accordance with § 97.411(a)(2) and (c)(5) and paragraph (b)(10) of this section.
         (3) The Administrator will determine, for each CSAPR NOX Annual unit described in paragraph (a)(1) of this section, an allocation of CSAPR NOX Annual allowances for the latest of the following control periods and for each subsequent control period:
            (i) The control period in 2015;
            (ii) The first control period after the control period containing the deadline for certification of the CSAPR NOX Annual unit's monitoring systems under § 97.430(b), for allocations for a control period before 2023, or the control period containing such deadline, for allocations for a control period in 2023 or thereafter;
            (iii) For a unit described in paragraph (a)(1)(ii) of this section, the first control period in which the CSAPR NOX Annual unit operates in the State after operating in another jurisdiction and for which the unit is not already allocated one or more CSAPR NOX Annual allowances; and
            (iv) For a unit described in paragraph (a)(1)(iii) of this section, the first control period after the control period in which the unit resumes operation, for allocations for a control period before 2023, or the control period in which the unit resumes operation, for allocations for a control period in 2023 or thereafter.
         (4)
            (i) The allocation to each CSAPR NOX Annual unit described in paragraphs (a)(1)(i) through (iii) of this section and for each control period described in paragraph (a)(3) of this section will be an amount equal to the unit's total tons of NOX emissions during the immediately preceding control period, for a control period before 2023, or the unit's total tons of NOX emissions during the control period, for a control period in 2023 or thereafter.
            (ii) The Administrator will adjust the allocation amount in paragraph (a)(4)(i) of this section in accordance with paragraphs (a)(5) through (7) and (12) of this section.
         (5) The Administrator will calculate the sum of the allocation amounts of CSAPR NOX Annual allowances determined for all such CSAPR NOX Annual units under paragraph (a)(4)(i) of this section in the State for such control period.
         (6) If the amount of CSAPR NOX Annual allowances in the new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (a)(5) of this section, then the Administrator will allocate the amount of CSAPR NOX Annual allowances determined for each such CSAPR NOX Annual unit under paragraph (a)(4)(i) of this section.
         (7) If the amount of CSAPR NOX Annual allowances in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(5) of this section, then the Administrator will allocate to each such CSAPR NOX Annual unit the amount of the CSAPR NOX Annual allowances determined under paragraph (a)(4)(i) of this section for the unit, multiplied by the amount of CSAPR NOX Annual allowances in the new unit set-aside for such control period, divided by the sum under paragraph (a)(5) of this section, and rounded to the nearest allowance.
         (8) For a control period before 2023 only, the Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.411(b)(1)(i) and (ii), of the amount of CSAPR NOX Annual allowances allocated under paragraphs (a)(2) through (7) and (12) of this section for such control period to each CSAPR NOX Annual unit eligible for such allocation.
         (9) For a control period before 2023 only, if, after completion of the procedures under paragraphs (a)(5) through (8) of this section for such control period, any unallocated CSAPR NOX Annual allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate such CSAPR NOX Annual allowances as follows --
            (i) The Administrator will determine, for each unit described in paragraph (a)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of the year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of CSAPR NOX Annual allowances referenced in the notice of data availability required under § 97.411(b)(1)(ii) for the unit for such control period;
            (ii) The Administrator will determine the sum of the positive differences determined under paragraph (a)(9)(i) of this section;
            (iii) If the amount of unallocated CSAPR NOX Annual allowances remaining in the new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (a)(9)(ii) of this section, then the Administrator will allocate the amount of CSAPR NOX Annual allowances determined for each such CSAPR NOX Annual unit under paragraph (a)(9)(i) of this section; and
            (iv) If the amount of unallocated CSAPR NOX Annual allowances remaining in the new unit set-aside for the State for such control period is less than the sum under paragraph (a)(9)(ii) of this section, then the Administrator will allocate to each such CSAPR NOX Annual unit the amount of the CSAPR NOX Annual allowances determined under paragraph (a)(9)(i) of this section for the unit, multiplied by the amount of unallocated CSAPR NOX Annual allowances remaining in the new unit set-aside for such control period, divided by the sum under paragraph (a)(9)(ii) of this section, and rounded to the nearest allowance.
         (10) If, after completion of the procedures under paragraphs (a)(9) and (12) of this section for a control period before 2023, or under paragraphs (a)(2) through (7) and (12) of this section for a control period in 2023 or thereafter, any unallocated CSAPR NOX Annual allowances remain in the new unit set-aside for the State for such control period, the Administrator will allocate to each CSAPR NOX Annual unit that is in the State, is allocated an amount of CSAPR NOX Annual allowances in the notice of data availability issued under § 97.411(a)(1), and continues to be allocated CSAPR NOX Annual allowances for such control period in accordance with § 97.411(a)(2), an amount of CSAPR NOX Annual allowances equal to the following:
            The total amount of such remaining unallocated CSAPR NOX Annual allowances in such new unit set-aside, multiplied by the unit's allocation under § 97.411(a) for such control period, divided by the remainder of the amount of tons in the applicable State NOX Annual trading budget minus the sum of the amounts of tons in such new unit set-aside and the Indian country new unit set-aside for the State for such control period, and rounded to the nearest allowance.
         (11)
            (i) For a control period before 2023, the Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.411(b)(1)(iii), (iv), and (v), of the amount of CSAPR NOX Annual allowances allocated under paragraphs (a)(9), (10), and (12) of this section for such control period to each CSAPR NOX Annual unit eligible for such allocation.
            (ii) For a control period in 2023 or thereafter, the Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.411(b)(1)(i), (ii), and (v), of the amount of CSAPR NOX Annual allowances allocated under paragraphs (a)(2) through (7), (10), and (12) of this section for such control period to each CSAPR NOX Annual unit eligible for such allocation.
         (12)
            Notwithstanding the requirements of paragraphs (a)(2) through (11) of this section, if the calculations of allocations from a new unit set-aside for a control period before 2023 under paragraph (a)(7) of this section, paragraphs (a)(6) and (a)(9)(iv) of this section, or paragraphs (a)(6), (a)(9)(iii), and (a)(10) of this section, or for a control period in 2023 or thereafter under paragraph (a)(7) of this section or paragraphs (a)(6) and (10) of this section, would otherwise result in total allocations from such new unit set-aside unequal to the total amount of such new unit set-aside, then the Administrator will adjust the results of such calculations as follows. The Administrator will list the CSAPR NOX Annual units in descending order based on such units' allocation amounts under paragraph (a)(7), (a)(9)(iv), or (a)(10) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant sources' names and numerical order of the relevant units' identification numbers, and will adjust each unit's allocation amount under such paragraph upward or downward by one CSAPR NOX Annual allowance (but not below zero) in the order in which the units are listed, and will repeat this adjustment process as necessary, until the total allocations from such new unit set-aside equal the total amount of such new unit set-aside.

   (b) Allocations from Indian country new unit set-asides.
      For each control period in 2015 and thereafter and for the CSAPR NOX Annual units located in Indian country within the borders of each State, the Administrator will allocate CSAPR NOX Annual allowances to the CSAPR NOX Annual units as follows:
         (1) The CSAPR NOX Annual allowances will be allocated to the following CSAPR NOX Annual units, except as provided in paragraph (b)(10) of this section:
            (i) CSAPR NOX Annual units that are not allocated an amount of CSAPR NOX Annual allowances in the notice of data availability issued under § 97.411(a)(1) and that have deadlines for certification of monitoring systems under § 97.430(b) not later than December 31 of the year of the control period; or
            (ii) For purposes of paragraph (b)(9) of this section, CSAPR NOX Annual units under § 97.411(c)(1)(ii) whose allocation of an amount of CSAPR NOX Annual allowances for such control period in the notice of data availability issued under § 97.411(b)(2)(ii)(B) is covered by § 97.411(c)(2) or (3).
         (2) The Administrator will establish a separate Indian country new unit set-aside for the State for each such control period. Each such Indian country new unit set-aside will be allocated CSAPR NOX Annual allowances in an amount equal to the applicable amount of tons of NOX emissions as set forth in § 97.410(a) and will be allocated additional CSAPR NOX Annual allowances (if any) in accordance with § 97.411(c)(5).
         (3) The Administrator will determine, for each CSAPR NOX Annual unit described in paragraph (b)(1) of this section, an allocation of CSAPR NOX Annual allowances for the later of the following control periods and for each subsequent control period:
            (i) The control period in 2015; and
            (ii) The first control period after the control period containing the deadline for certification of the CSAPR NOX Annual unit's monitoring systems under § 97.430(b), for allocations for a control period before 2023, or the control period containing such deadline, for allocations for a control period in 2023 or thereafter.
         (4)
            (i) The allocation to each CSAPR NOX 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 NOX emissions during the immediately preceding control period, for a control period before 2023, or the unit's total tons of NOX emissions during the control period, for a control period in 2023 or thereafter.
            (ii) The Administrator will adjust the allocation amount in paragraph (b)(4)(i) of this section in accordance with paragraphs (b)(5) through (7) and (12) of this section.
         (5) The Administrator will calculate the sum of the allocation amounts of CSAPR NOX Annual allowances determined for all such CSAPR NOX Annual units under paragraph (b)(4)(i) of this section in Indian country within the borders of the State for such control period.
         (6) If the amount of CSAPR NOX Annual allowances in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum under paragraph (b)(5) of this section, then the Administrator will allocate the amount of CSAPR NOX Annual allowances determined for each such CSAPR NOX Annual unit under paragraph (b)(4)(i) of this section.
         (7) If the amount of CSAPR NOX Annual allowances in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(5) of this section, then the Administrator will allocate to each such CSAPR NOX Annual unit the amount of the CSAPR NOX Annual allowances determined under paragraph (b)(4)(i) of this section for the unit, multiplied by the amount of CSAPR NOX Annual allowances in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(5) of this section, and rounded to the nearest allowance.
         (8) For a control period before 2023 only, the Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.411(b)(2)(i) and (ii), of the amount of CSAPR NOX Annual allowances allocated under paragraphs (b)(2) through (7) and (12) of this section for such control period to each CSAPR NOX Annual unit eligible for such allocation.
         (9) For a control period before 2023 only, if, after completion of the procedures under paragraphs (b)(5) through (8) of this section for such control period, any unallocated CSAPR NOX Annual allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will allocate such CSAPR NOX Annual allowances as follows --
            (i) The Administrator will determine, for each unit described in paragraph (b)(1) of this section that commenced commercial operation during the period starting January 1 of the year before the year of such control period and ending November 30 of the year of such control period, the positive difference (if any) between the unit's emissions during such control period and the amount of CSAPR NOX Annual allowances referenced in the notice of data availability required under § 97.411(b)(2)(ii) for the unit for such control period;
            (ii) The Administrator will determine the sum of the positive differences determined under paragraph (b)(9)(i) of this section;
            (iii) If the amount of unallocated CSAPR NOX Annual allowances remaining in the Indian country new unit set-aside for the State for such control period is greater than or equal to the sum determined under paragraph (b)(9)(ii) of this section, then the Administrator will allocate the amount of CSAPR NOX Annual allowances determined for each such CSAPR NOX Annual unit under paragraph (b)(9)(i) of this section; and
            (iv) If the amount of unallocated CSAPR NOX Annual allowances remaining in the Indian country new unit set-aside for the State for such control period is less than the sum under paragraph (b)(9)(ii) of this section, then the Administrator will allocate to each such CSAPR NOX Annual unit the amount of the CSAPR NOX Annual allowances determined under paragraph (b)(9)(i) of this section for the unit, multiplied by the amount of unallocated CSAPR NOX Annual allowances remaining in the Indian country new unit set-aside for such control period, divided by the sum under paragraph (b)(9)(ii) of this section, and rounded to the nearest allowance.
         (10) If, after completion of the procedures under paragraphs (b)(9) and (12) of this section for a control period before 2023, or under paragraphs (b)(2) through (7) and (12) of this section for a control period in 2023 or thereafter, any unallocated CSAPR NOX Annual allowances remain in the Indian country new unit set-aside for the State for such control period, the Administrator will:
            (i) Transfer such unallocated CSAPR NOX Annual 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 § 52.38(a)(4) or (5) of this chapter covering such control period, include such unallocated CSAPR NOX Annual allowances in the portion of the State NOX Annual trading budget that may be allocated for such control period in accordance with such SIP revision.
         (11)
            (i) For a control period before 2023, the Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.411(b)(2)(iii), (iv), and (v), of the amount of CSAPR NOX Annual allowances allocated under paragraphs (b)(9), (10), and (12) of this section for such control period to each CSAPR NOX Annual unit eligible for such allocation.
            (ii) For a control period in 2023 or thereafter, the Administrator will notify the public, through the promulgation of the notices of data availability described in § 97.411(b)(2)(i), (ii), and (v), of the amount of CSAPR NOX Annual allowances allocated under paragraphs (b)(2) through (7), (10), and (12) of this section for such control period to each CSAPR NOX Annual unit eligible for such allocation.
         (12)
            Notwithstanding the requirements of paragraphs (b)(2) through (11) of this section, if the calculations of allocations from an Indian country new unit set-aside for a control period before 2023 under paragraph (b)(7) of this section or paragraphs (b)(6) and (b)(9)(iv) of this section, or for a control period in 2023 or thereafter under paragraph (b)(7) of this section, would otherwise result in total allocations from such Indian country new unit set-aside unequal to the total amount of such Indian country new unit set-aside, then the Administrator will adjust the results of such calculations as follows. The Administrator will list the CSAPR NOX Annual units in descending order based on such units' allocation amounts under paragraph (b)(7) or (b)(9)(iv) of this section, as applicable, and, in cases of equal allocation amounts, in alphabetical order of the relevant sources' names and numerical order of the relevant units' identification numbers, and will adjust each unit's allocation amount under such paragraph upward or downward by one CSAPR NOX Annual allowance (but not below zero) in the order in which the units are listed, and will repeat this adjustment process as necessary, until the total allocations from such Indian country new unit set-aside equal the total amount of such Indian country new unit set-aside.

§ 97.413   Authorization of designated representative and alternate designated representative.
   (a) Except as provided under § 97.415, each CSAPR NOX Annual source, including all CSAPR NOX Annual units at the source, shall have one and only one designated representative, with regard to all matters under the CSAPR NOX Annual Trading Program.
      (1) The designated representative shall be selected by an agreement binding on the owners and operators of the source and all CSAPR NOX Annual units at the source and shall act in accordance with the certification statement in § 97.416(a)(4)(iii).
      (2) Upon and after receipt by the Administrator of a complete certificate of representation under § 97.416:
         (i) The designated representative shall be authorized and shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each owner and operator of the source and each CSAPR NOX Annual unit at the source in all matters pertaining to the CSAPR NOX Annual Trading Program, notwithstanding any agreement between the designated representative and such owners and operators; and
         (ii) The owners and operators of the source and each CSAPR NOX Annual unit at the source shall be bound by any decision or order issued to the designated representative by the Administrator regarding the source or any such unit.
   (b) Except as provided under § 97.415, each CSAPR NOX Annual source may have one and only one alternate designated representative, who may act on behalf of the designated representative. The agreement by which the alternate designated representative is selected shall include a procedure for authorizing the alternate designated representative to act in lieu of the designated representative.
      (1) The alternate designated representative shall be selected by an agreement binding on the owners and operators of the source and all CSAPR NOX Annual units at the source and shall act in accordance with the certification statement in § 97.416(a)(4)(iii).
      (2) Upon and after receipt by the Administrator of a complete certificate of representation under § 97.416,
         (i) The alternate designated representative shall be authorized;
         (ii) Any representation, action, inaction, or submission by the alternate designated representative shall be deemed to be a representation, action, inaction, or submission by the designated representative; and
         (iii) The owners and operators of the source and each CSAPR NOX Annual unit at the source shall be bound by any decision or order issued to the alternate designated representative by the Administrator regarding the source or any such unit.
   (c) Except in this section, § 97.402, and §§ 97.414 through 97.418, 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.
§ 97.414   Responsibilities of designated representative and alternate designated representative.
   (a) Except as provided under § 97.418 concerning delegation of authority to make submissions, each submission under the CSAPR NOX Annual Trading Program shall be made, signed, and certified by the designated representative or alternate designated representative for each CSAPR NOX Annual source and CSAPR NOX Annual unit for which the submission is made. Each such submission shall include the following certification statement by the designated representative or alternate designated representative:
      "I am authorized to make this submission on behalf of the owners and operators of the source or units for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment."
   (b) The Administrator will accept or act on a submission made for a CSAPR NOX Annual source or a CSAPR NOX Annual unit only if the submission has been made, signed, and certified in accordance with paragraph (a) of this section and § 97.418.
§ 97.415   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 § 97.416. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new designated representative and the owners and operators of the CSAPR NOX Annual source and the CSAPR NOX Annual units at the source.
   (b) Changing alternate designated representative.
      The alternate designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under § 97.416. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new alternate designated representative, the designated representative, and the owners and operators of the CSAPR NOX Annual source and the CSAPR NOX Annual units at the source.
   (c) Changes in owners and operators.
      (1) In the event an owner or operator of a CSAPR NOX Annual source or a CSAPR NOX Annual unit at the source is not included in the list of owners and operators in the certificate of representation under § 97.416, such owner or operator shall be deemed to be subject to and bound by the certificate of representation, the representations, actions, inactions, and submissions of the designated representative and any alternate designated representative of the source or unit, and the decisions and orders of the Administrator, as if the owner or operator were included in such list.
      (2) Within 30 days after any change in the owners and operators of a CSAPR NOX Annual source or a CSAPR NOX Annual 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 § 97.416 amending the list of owners and operators to reflect the change.
   (d) Changes in units at the source.
      Within 30 days of any change in which units are located at a CSAPR NOX Annual source (including the addition or removal of a unit), the designated representative or any alternate designated representative shall submit a certificate of representation under § 97.416 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.
§ 97.416   Certificate of representation.
   (a) A complete certificate of representation for a designated representative or an alternate designated representative shall include the following elements in a format prescribed by the Administrator:
      (1) Identification of the CSAPR NOX Annual source, and each CSAPR NOX Annual unit at the source, for which the certificate of representation is submitted, including source name, source category and NAICS code (or, in the absence of a NAICS code, an equivalent code), State, plant code, county, latitude and longitude, unit identification number and type, identification number and nameplate capacity (in MWe, rounded to the nearest tenth) of each generator served by each such unit, 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 CSAPR NOX Annual source and of each CSAPR NOX Annual unit at the source.
      (4) The following certification statements by the designated representative and any alternate designated representative --
         (i) "I certify that I was selected as the designated representative or alternate designated representative, as applicable, by an agreement binding on the owners and operators of the source and each CSAPR NOX Annual unit at the source."
         (ii) "I certify that I have all the necessary authority to carry out my duties and responsibilities under the CSAPR NOX Annual Trading Program on behalf of the owners and operators of the source and of each CSAPR NOX Annual unit at the source and that each such owner and operator shall be fully bound by my representations, actions, inactions, or submissions and by any 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 CSAPR NOX Annual unit, or where a utility or industrial customer purchases power from a CSAPR NOX Annual unit under a life-of-the-unit, firm power contractual arrangement, I certify that: I have given a written notice of my selection as the `designated representative' or `alternate designated representative', as applicable, and of the agreement by which I was selected to each owner and operator of the source and of each CSAPR NOX Annual unit at the source; and CSAPR NOX Annual allowances and proceeds of transactions involving CSAPR NOX Annual allowances will be deemed to be held or distributed in proportion to each holder's legal, equitable, leasehold, or contractual reservation or entitlement, except that, if such multiple holders have expressly provided for a different distribution of CSAPR NOX Annual allowances by contract, CSAPR NOX Annual allowances and proceeds of transactions involving CSAPR NOX Annual allowances will be deemed to be held or distributed in accordance with the contract."
      (5) The signature of the designated representative and any alternate designated representative and the dates signed.
   (b) Unless otherwise required by the Administrator, documents of agreement referred to in the certificate of representation shall not be submitted to the Administrator. The Administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
   (c) A certificate of representation under this section that complies with the provisions of paragraph (a) of this section except that it contains the acronym "TR" in place of the acronym "CSAPR" in the required certification statements will be considered a complete certificate of representation under this section, and the certification statements included in such certificate of representation will be interpreted as if the acronym "CSAPR" appeared in place of the acronym "TR".
§ 97.417   Objections concerning designated representative and alternate designated representative.