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[[pp. 57505-57538]] Finding of Significant Contribution and Rulemaking for Certain
Note: EPA no longer updates this information, but it may be useful as a reference or resource.
[Federal Register: October 27, 1998 (Volume 63, Number 207)]
[Rules and Regulations]
[Page 57505-57538]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr27oc98-17]
[[pp. 57505-57538]] Finding of Significant Contribution and Rulemaking for Certain
States in the Ozone Transport Assessment Group Region for Purposes of
Reducing Regional Transport of Ozone
[[Continued from page 57504]]
[[Page 57505]]
quarterly NOX mass emissions, as determined under paragraph
(c)(4)(ii)(B) of this section, for all of the calendar quarters in the
year to date.
(iii) CO2 Mass Emissions. (A) The hourly CO2
mass emissions (tons) for the affected low mass emission unit shall be
determined using Equation LM-11 and the appropriate fuel-based
CO2 emission factor from Table 3 of this section for the
fuel being combusted in that hour. If more than one fuel is combusted
in the hour, use the highest emission factor for all of the fuels
combusted in the hour. If records are missing as to which fuel was
combusted in the hour, use the highest emission factor for all of the
fuels capable of being combusted in the unit.
WCO2 = EFCO2 x HIhr (Eq. LM-11)
Where:
WCO2 = Hourly CO mass emissions (tons).
EFCO2 = Fuel-based CO2 emission factor from Table
3 of this section (ton/mmBtu).
HIhr = Either the maximum rated hourly heat input from
paragraph (c)(3)(i)(A) of this section or the hourly heat input as
determined under paragraph (c)(3)(ii) of this section (mmBtu).
(B) The quarterly CO2 mass emissions (tons) for the low
mass emission unit shall be the sum of all of the hourly CO2
mass emissions in the quarter, as determined under paragraph
(c)(4)(iii)(A)of this section.
(C) The year-to-date cumulative CO2 mass emissions
(tons) for the low mass emission unit shall be the sum of all of the
quarterly CO2 mass emissions, as determined under paragraph
(c)(4)(iii)(B) of this section, for all of the calendar quarters in the
year to date.
(d) Each unit that qualifies under this section to use the low mass
emissions methodology must follow the recordkeeping and reporting
requirements pertaining to low mass emissions units in subparts F and G
of this part.
(e) The quality control and quality assurance requirements in
Sec. 75.21 are not applicable to a low mass emissions unit for which
the low mass emissions excepted methodology under paragraph (c) of this
section is being used in lieu of a continuous emission monitoring
system or an excepted monitoring system under appendix D or E to this
part, except for fuel flowmeters used to meet the provisions in
paragraph (c)(3)(ii) of this section. However, the owner or operator of
a low mass emissions unit shall implement the following quality
assurance and quality control provisions:
(1) For low mass emission units or groups of units which use the
long term fuel flow methodology under paragraph (c)(3)(ii) of this
section and which use fuel billing records to determine fuel usage, the
owner or operator shall keep, at the facility, for three years, the
records of the fuel billing statements used for long term fuel flow
determinations.
(2) For low mass emission units or groups of units which use the
long term fuel flow methodology under paragraph (c)(3)(ii) of this
section and which use American Petroleum Institute (API) standard,
American Petroleum Institute (API) Petroleum Measurement Standards,
Chapter 3, Tank Gauging: Section 1A, Standard Practice for the Manual
Gauging of Petroleum and Petroleum Products, December 1994; Section 1B,
Standard Practice for Level Measurement of Liquid Hydrocarbons in
Stationary Tanks by Automatic Tank Gauging, April 1992 (reaffirmed
January 1997); Section 2, Standard Practice for Gauging Petroleum and
Petroleum Products in Tank Cars, September 1995; Section 3, Standard
Practice for Level Measurement of Liquid Hydrocarbons in Stationary
Pressurized Storage Tanks by Automatic Tank Gauging, June 1996; Section
4, Standard Practice for Level Measurement of Liquid Hydrocarbons on
Marine Vessels by Automatic Tank Gauging, April 1995; and Section 5,
Standard Practice for Level Measurement of Light Hydrocarbon Liquids
Onboard Marine Vessels by Automatic Tank Gauging, March 1997, Shop
Testing of Automatic Liquid Level Gages, Bulletin 2509 B, December 1961
(Reaffirmed August 1987, October 1992) (incorporated by reference under
Sec. 75.6), to determine fuel usage, the owner or operator shall keep,
at the facility, a copy of the standard used and shall keep records,
for three years, of all measurements obtained for each quarter using
the methodology.
(3) For low mass emission units or groups of units which use the
long term fuel flow methodology under paragraph (c)(3)(ii) of this
section and which use a certified fuel flow meter to determine fuel
usage, the owner or operator shall comply with the quality control
quality assurance requirements for a fuel flow meter under section
2.1.6 of appendix D of this part.
(4) For each low mass emission unit for which fuel-and-unit-
specific NOX emission rates are determined in accordance
with paragraph (c)(1)(iv) of this section, the owner or operator shall
keep, at the facility, records which document the results of all
NOX emission rate tests conducted according to appendix E to
this part. If CEMS data are used to determine the fuel-and-unit-
specific NOX emission rates under paragraph (c)(1)(iv)(G) of
this section, the owner or operator shall keep, at the facility,
records of the CEMS data and the data analysis performed to determine a
fuel-and-unit-specific NOX emission rate. The appendix E
test records and historical CEMS data records shall be kept until the
fuel and unit specific NOX emission rates are re-determined.
(5) For each low mass emission unit for which fuel-and-unit-
specific NOX emission rates are determined in accordance
with paragraph (c)(1)(iv) of this section and which have NOX
emission controls of any kind, the owner or operator shall develop and
keep on-site a quality assurance plan which explains the procedures
used to document proper operation of the NOX emission
controls. The plan shall include the parameters monitored (e.g., water-
to-fuel ratio) and the acceptable ranges for each parameter used to
determine proper operation of the unit's NOX controls.
Table 1 of Sec. 75.19: SO2 Emission Factors (lb/mmBtu) for Various Fuel
Types
------------------------------------------------------------------------
Fuel type SO2 emission factors
------------------------------------------------------------------------
Pipeline Natural Gas...................... 0.0006 lb/mmBtu.
Other Natural Gas......................... 0.06 lb/mmBtu.
Residual Oil.............................. 2.1 lb/mmBtu.
Diesel Fuel............................... 0.5 lb/mmBtu.
------------------------------------------------------------------------
Table 2 of Sec. 75.19: NOX Emission Rates (lb/mmBtu) for Various Boiler/
Fuel Types
------------------------------------------------------------------------
NOX
Boiler type Fuel type emission
rate
------------------------------------------------------------------------
Turbine................................ Gas................. 0.7
Turbine................................ Oil................. 1.2
Boiler................................. Gas................. 1.5
Boiler................................. Oil................. 2
------------------------------------------------------------------------
Table 3 of Sec. 75.19: CO2 Emission Factors (ton/mmBtu) for Gas and Oil
------------------------------------------------------------------------
Fuel type CO2 emission factors
------------------------------------------------------------------------
Natural Gas............................... 0.059 ton/mmBtu.
Oil....................................... 0.081 ton/mmBtu.
------------------------------------------------------------------------
Table 4 of Sec. 75.19: Identical Unit Testing Requirements
------------------------------------------------------------------------
Number of appendix E tests
Number of identical units in the group required
------------------------------------------------------------------------
2......................................... 1
3 to 6.................................... 2
[[Page 57506]]
7......................................... 3
> 7....................................... n tests; wheren n = number
of units divided by 3 and
rounded to nearest integer.
------------------------------------------------------------------------
Table 5 of Sec. 75.19: Default Gross Calorific Values (GCVs) for
Various Fuels
------------------------------------------------------------------------
GCV for use in equation LM-2
Fuel or LM-3
------------------------------------------------------------------------
Pipeline Natural Gas...................... 1051 Btu/scf.
Natural Gas............................... 1118 Btu/scf.
Residual Oil.............................. 19,708 Btu/gallon.
Diesel Fuel............................... 20,500 Btu/gallon.
------------------------------------------------------------------------
Table 6 of Sec. 75.19: Default Specific Gravity Values for Fuel Oil
------------------------------------------------------------------------
Specific
Fuel gravity
(lb/gal)
------------------------------------------------------------------------
Residual Oil................................................ 8.5
Diesel Fuel................................................. 7.4
------------------------------------------------------------------------
13. Section 75.20 is amended by adding new paragraph (h) to read as
follows:
Sec. 75.20 Certification and recertification procedures.
* * * * *
(h) Initial certification and recertification procedures for low
mass emission units using the excepted methodologies under Sec. 75.19.
The owner or operator of a gas-fired or oil-fired unit using the low
mass emissions excepted methodology under Sec. 75.19 shall meet the
applicable general operating requirements of Sec. 75.10, the applicable
requirements of Sec. 75.19, and the applicable certification
requirements of this paragraph.
(1) Monitoring plan. The designated representative shall submit a
monitoring plan in accordance with Secs. 75.53 and 75.62. The
designated representative for an owner or operator who wishes to use
fuel-and unit-specific NOX emission rate testing for units
with NOX controls under Sec. 75.19(c)(1)(iv) must submit in
the monitoring plan the parameters monitored which will be used to
determine operation of the NOX emission controls. For units
using water or steam injection to control NOX, the water-to-
fuel or steam-to-fuel range of values must be documented.
(2) Certification application. [reserved]
(3) Approval of certification applications. The provisions for the
certification application formal approval process in the introductory
text of paragraph (a)(4) and in paragraphs (a)(4)(i), (ii), and (iv) of
this section shall apply, except that ``continuous emission or opacity
monitoring system'' shall be replaced with ``excepted methodology.''
The excepted methodology shall be deemed provisionally certified for
use under the Acid Rain Program, as of the following dates:
(i) For a unit that commenced operation on or before January 1,
1997, from January 1 of the year following submission of the
certification application until the completion of the period for the
Administrator's review; or
(ii) For a unit that commenced operation after January 1, 1997,
from the date of submission of a certification application for approval
to use the low mass emissions excepted methodology under Sec. 75.19
until the completion of the period for the Administrator's review,
except that the methodology may be used retrospectively until the date
and hour that the unit commenced operation for purposes of
demonstrating that the unit qualified to use the methodology under
Sec. 75.19(b)(4)(iii).
(4) Disapproval of certification applications. If the Administrator
determines that the certification application does not demonstrate that
the unit meets the requirements of Secs. 75.19(a) and (b), the
Administrator shall issue a written notice of disapproval of the
certification application within 120 days of receipt. By issuing the
notice of disapproval, the provisional certification is invalidated by
the Administrator, and the data recorded under the excepted methodology
shall not be considered valid. The owner or operator shall follow the
procedures for loss of certification:
(i) The owner or operator shall substitute the following values, as
applicable, for each hour of unit operation during the period of
invalid data specified in paragraph (a)(4)(iii) of this section or in
Secs. 75.21(e) (introductory paragraph) and 75.21(e)(1): the maximum
potential concentration of SO2, as defined in section
2.1.1.1 of appendix A to this part to report SO2
concentration; the maximum potential NOX emission rate, as
defined in Sec. 72.2 of this chapter to report NOX emission
rate; the maximum potential flow rate, as defined in section 2.1 of
appendix A to this part to report volumetric flow; or the maximum
CO2 concentration used to determine the maximum potential
concentration of SO2 in section 2.1.1.1 of appendix A to
this part to report CO2 concentration data. For a unit
subject to a State or federal NOX mass reduction program
where the owner or operator intends to monitor NOX mass
emissions with a NOX pollutant concentration monitor and a
flow monitoring system, substitute for NOX concentration
using the maximum potential concentration of NOX, as defined
in section 2.1.2.1 of appendix A to this part, and substitute for
volumetric flow using the maximum potential flow rate, as defined in
section 2.1 of appendix A to this part. The owner or operator shall
substitute these values until such time, date, and hour as a continuous
emission monitoring system or excepted monitoring system, where
applicable, is installed and provisionally certified;
(ii) The designated representative shall submit a notification of
certification test dates, as specified in Sec. 75.61(a)(1)(ii), and a
new certification application according to the procedures in paragraph
(a)(2) of this section; and
(iii) The owner or operator shall install and provisionally certify
continuous emission monitoring systems or excepted monitoring systems,
where applicable, two calendar quarters from the end of the quarter in
which the unit no longer qualifies as a low mass emissions unit.
14. Section 75.24 is amended by revising paragraph (d) to read as
follows:
Sec. 75.24 Out-of-control periods.
* * * * *
(d) When the bias test indicates that an SO2 monitor, a
volumetric flow monitor, a NOX continuous emission
monitoring system or a NOX concentration monitoring system
used to determine NOX mass emissions, as defined in
Sec. 75.71(a)(2), is biased low (i.e., the arithmetic mean of the
differences between the reference method value and the monitor or
monitoring system measurements in a relative accuracy test audit exceed
the bias statistic in section 7 of appendix A to this part), the owner
or operator shall adjust the monitor or continuous emission monitoring
system to eliminate the cause of bias such that it passes the bias
test, or calculate and use the bias adjustment factor as specified in
section 2.3.3 of appendix B to this part and in accordance with Sec. 75.7.
* * * * *
16. Subpart H is added to part 75 to read as follows:
[[Page 57507]]
Subpart H--NOX Mass Emissions Provisions
Sec.
75.70 NOX mass emissions provisions.
75.71 Specific provisions for monitoring NOX emission
rate and heat input for the purpose of calculating NOX
mass emissions.
75.72 Determination of NOX mass emissions.
75.73 Recordkeeping and reporting [Reserved].
75.74 Annual and ozone season monitoring and reporting requirements.
75.75 Additional ozone season calculation procedures for special
circumstances.
Subpart H--NOX Mass Emissions Provisions
Sec. 75.70 NOX mass emissions provisions.
(a) Applicability. The owner or operator of a unit shall comply
with the requirements of this subpart to the extent that compliance is
required by an applicable State or federal NOX mass emission
reduction program that incorporates by reference, or otherwise adopts
the provisions of, this subpart.
(1) For purposes of this subpart, the term ``affected unit'' shall
mean any unit that is subject to a State or federal NOX mass
emission reduction program requiring compliance with this subpart, the
term ``nonaffected unit'' shall mean any unit that is not subject to
such a program, the term ``permitting authority'' shall mean the
permitting authority under an applicable State or federal
NOX mass emission reduction program that adopts the
requirements of this subpart, and the term ``designated
representative'' shall mean the responsible party under the applicable
State or federal NOX mass emission reduction program that
adopts the requirements of this subpart.
(2) In addition, the provisions of subparts A, C, D, E, F, and G
and appendices A through G of this part applicable to NOX
concentration, flow rate, NOX emission rate and heat input,
as set forth and referenced in this subpart, shall apply to the owner
or operator of a unit required to meet the requirements of this subpart
by a State or federal NOX mass emission reduction program.
When applying these requirements, the term ``affected unit'' shall mean
any unit that is subject to a State or federal NOX mass
emission reduction program requiring compliance with this subpart, the
term ``permitting authority'' shall mean the permitting authority under
an applicable State or federal NOX mass emission reduction
program that adopts the requirements of this subpart, and the term
``designated representative'' shall mean the responsible party under
the applicable State or federal NOX mass emission reduction
program that adopts the requirements of this subpart. The requirements
of this part for SO2, CO2 and opacity monitoring,
recordkeeping and reporting do not apply to units that are subject to a
State or federal NOX mass emission reduction program only
and are not affected units with an Acid Rain emission limitation.
(b) Compliance dates. The owner or operator of an affected unit
shall meet the compliance deadlines established by an applicable State
or federal NOX mass emission reduction program that adopts
the requirements of this subpart.
(c) Prohibitions. (1) No owner or operator of an affected unit or a
non-affected unit under Sec. 75.72(b)(2)(ii) shall use any alternative
monitoring system, alternative reference method, or any other
alternative for the required continuous emission monitoring system
without having obtained prior written approval in accordance with
paragraph (h) of this section.
(2) No owner or operator of an affected unit or a non-affected unit
under Sec. 75.72(b)(2)(ii) shall operate the unit so as to discharge,
or allow to be discharged emissions of NOX to the atmosphere
without accounting for all such emissions in accordance with the
applicable provisions of this part, except as provided in Sec. 75.74.
(3) No owner or operator of an affected unit or a non-affected unit
under Sec. 75.72(b)(2)(ii) shall disrupt the continuous emission
monitoring system, any portion thereof, or any other approved emission
monitoring method, and thereby avoid monitoring and recording
NOX mass emissions discharged into the atmosphere, except
for periods of recertification or periods when calibration, quality
assurance testing, or maintenance is performed in accordance with the
provisions of this part applicable to monitoring systems under
Sec. 75.71, except as provided in Sec. 75.74.
(4) No owner or operator of an affected unit or a non-affected unit
under Sec. 75.72(b)(2)(ii) shall retire or permanently discontinue use
of the continuous emission monitoring system, any component thereof, or
any other approved emission monitoring system under this part, except
under any one of the following circumstances:
(i) During the period that the unit is covered by a retired unit
exemption that is in effect under the State or federal NOX
mass emission reduction program that adopts the requirements of this
subpart;
(ii) The owner or operator is monitoring NOX mass
emissions from the affected unit with another certified monitoring
system approved, in accordance with the provisions of paragraph (d) of
this section; or
(iii) The designated representative submits notification of the
date of certification testing of a replacement monitoring system in
accordance with Sec. 75.61.
(d) Initial certification and recertification procedures. (1) The
owner or operator of an affected unit that is subject to an Acid Rain
emissions limitation shall comply with the initial certification and
recertification procedures of this part, except that the owner or
operator shall meet any additional requirements set forth in an
applicable State or federal NOX mass emission reduction
program that adopts the requirements of this subpart.
(2) The owner or operator of an affected unit that is not subject
to an Acid Rain emissions limitation shall comply with the initial
certification and recertification procedures established by an
applicable State or federal NOX mass emission reduction
program that adopts the requirements of this subpart. The owner or
operator of an affected unit that is subject to an Acid Rain emissions
limitation shall comply with the initial certification and
recertification procedures established by an applicable State or
federal NOX mass emission reduction program that adopts the
requirements of this subpart for any additional NOX-diluent
CEMS, flow monitors, diluent monitors or NOX concentration
monitoring system required under the NOX mass emissions
provisions of Sec. 75.71 or the common stack provisions in Sec. 75.72.
(e) Quality assurance and quality control requirements. For units
that use continuous emission monitoring systems to account for
NOX mass emissions, the owner or operator shall meet the
quality assurance and quality control requirements in Sec. 75.21 that
apply to NOX-diluent continuous emission monitoring systems,
flow monitoring systems, NOX concentration monitoring
systems, and diluent monitors under Sec. 75.71. A NOX
concentration monitoring system for determining NOX mass
emissions in accordance with Sec. 75.71 shall meet the same
certification testing requirements, quality assurance requirements, and
bias test requirements as are specified in this part for an
SO2 pollutant concentration monitor. Units using excepted
methods under Sec. 75.19 shall meet the applicable quality assurance
requirements of that section, and units using excepted monitoring
methods under appendix D and E to this part shall meet the applicable
quality
[[Page 57508]]
assurance requirements of those appendices.
(f) Missing data procedures. Except as provided in Sec. 75.34 and
paragraph (g) of this section, the owner or operator shall provide
substitute data from monitoring systems required under Sec. 75.71 for
each affected unit as follows:
(1) For an owner or operator using a continuous emissions
monitoring system, substitute for missing data in accordance with the
missing data procedures in subpart D of this part whenever the unit
combusts fuel and:
(i) A valid quality assured hour of NOX emission rate
data (in lb/mmBtu) has not been measured and recorded for a unit by a
certified NOX-diluent continuous emission monitoring system
or by an approved monitoring system under subpart E of this part;
(ii) A valid quality assured hour of flow data (in scfh) has not
been measured and recorded for a unit from a certified flow monitor or
by an approved alternative monitoring system under subpart E of this
part; or
(iii) A valid quality assured hour of heat input data (in mmBtu)
has not been measured and recorded for a unit from a certified flow
monitor and a certified diluent (CO2 or O2)
monitor or by an approved alternative monitoring system under subpart E
of this part or by an accepted monitoring system under appendix D to
this part, where heat input is required either for calculating
NOX mass or allocating allowances under the applicable State
or federal NOX mass emission reduction program that adopts
the requirements of this subpart; or
(iv) A valid, quality-assured hour of NOX concentration
data (in ppm) has not been measured and recorded by a certified
NOX concentration monitoring system, or by an approved
alternative monitoring method under subpart E of this part, where the
owner or operator chooses to use a NOX concentration
monitoring system with a volumetric flow monitor, and without a diluent
monitor, to calculate NOX mass emissions. The initial
missing data procedures for determining monitor data availability and
the standard missing data procedures for a NOX concentration
monitoring system shall be the same as the procedures specified for a
NOX-diluent continuous emission monitoring system under
Secs. 75.31, 75.32 and 75.33, except that the phrase ``NOX
concentration monitoring system'' shall be substituted for the phrase
``NOX continuous emission monitoring system'', the phrase
``NOX concentration'' shall be substituted for
``NOX emission rate'; and the phrase ``maximum potential
NOX concentration, as defined in section 2.1.2.1 of appendix
A of this part'' shall be substituted for the phrase ``maximum
potential NOX emission rate, as defined in Sec. 72.2 of this
chapter''.
(2) For an owner or operator using an excepted monitoring system
under appendix D or E of this part, substitute for missing data in
accordance with the missing data procedures in section 2.4 of appendix
D to this part or in section 2.5 of appendix E to this part whenever
the unit combusts fuel and:
(i) A valid, quality-assured hour of fuel flow rate data has not
been measured and recorded by a certified fuel flowmeter that is part
of an excepted monitoring system under appendix D or E of this part; or
(ii) A fuel sample value for gross calorific value, or if
necessary, density or specific gravity, from a sample taken an analyzed
in accordance with appendix D of this part is not available; or
(iii) A valid, quality-assured hour of NOX emission rate
data has not been obtained according to the procedures and
specifications of appendix E to this part.
(g) Reporting data prior to initial certification. If the owner or
operator of an affected unit has not successfully completed all
certification tests required by the State or federal NOX
mass emission reduction program that adopts the requirements of this
subpart by the applicable date required by that program, he or she
shall determine, record and report hourly data prior to initial
certification using one of the following procedures, consistent with
the monitoring equipment to be certified:
(1) For units that the owner or operator intends to monitor for
NOX mass emissions using NOX emission rate and
heat input, the maximum potential NOX emission rate and the
maximum potential hourly heat input of the unit, as defined in
Sec. 72.2 of this chapter.
(2) For units that the owner or operator intends to monitor for
NOX mass emissions using a NOX concentration
monitoring system and a flow monitoring system, the maximum potential
concentration of NOX and the maximum potential flow rate of
the unit under section 2.1 of Appendix A of this part;
(3) For any unit, the reference methods under Sec. 75.22 of this part.
(4) For any unit using the low mass emission excepted monitoring
methodology under Sec. 75.19, the procedures in paragraphs (g)(1) or
(2) of this section.
(5) Any unit using the procedures in paragraph (g)(2) of this
section that is required to report heat input for purposes of
allocating allowances shall also report the maximum potential hourly
heat input of the unit, as defined in Sec. 72.2 of this chapter.
(h) Petitions. (1) The designated representative of an affected
unit that is subject to an Acid Rain emissions limitation may submit a
petition to the Administrator requesting an alternative to any
requirement of this subpart. Such a petition shall meet the
requirements of Sec. 75.66 and any additional requirements established
by an applicable State or federal NOX mass emission
reduction program that adopts the requirements of this subpart. Use of
an alternative to any requirement of this subpart is in accordance with
this subpart and with such State or federal NOX mass
emission reduction program only to the extent that the petition is
approved by the Administrator, in consultation with the permitting
authority.
(2) Notwithstanding paragraph (h)(1) of this section, petitions
requesting an alternative to a requirement concerning any additional
CEMS required solely to meet the common stack provisions of Sec. 75.72
shall be submitted to the permitting authority and the Administrator
and shall be governed by paragraph (h)(3)(ii) of this section. Such a
petition shall meet the requirements of Sec. 75.66 and any additional
requirements established by an applicable State or federal
NOX mass emission reduction program that adopts the
requirements of this subpart.
(3)(i) The designated representative of an affected unit that is
not subject to an Acid Rain emissions limitation may submit a petition
to the permitting authority and the Administrator requesting an
alternative to any requirement of this subpart. Such a petition shall
meet the requirements of Sec. 75.66 and any additional requirements
established by an applicable State or federal NOX mass
emission reduction program that adopts the requirements of this subpart.
(ii) Use of an alternative to any requirement of this subpart is in
accordance with this subpart only to the extent that it is approved by
the Administrator and by the permitting authority if required by an
applicable State or federal NOX mass emission reduction
program that adopts the requirements of this subpart.
Sec. 75.71 Specific provisions for monitoring NOX emission
rate and heat input for the purpose of calculating NOX mass
emissions.
(a) Coal-fired units. The owner or operator of a coal-fired
affected unit shall either:
[[Page 57509]]
(1) Meet the general operating requirements in Sec. 75.10 for a
NOX-diluent continuous emission monitoring system
(consisting of a NOX pollutant concentration monitor, an
O2- or CO2-diluent gas monitor, and a data
acquisition and handling system) to measure NOX emission
rate and for a flow monitoring system and an O2- or
CO2-diluent gas monitor to measure heat input, except as
provided in accordance with subpart E of this part; or
(2) Meet the general operating requirements in Sec. 75.10 for a
NOX concentration monitoring system (consisting of a
NOX pollutant concentration monitor and a data acquisition
and handling system) to measure NOX concentration and for a
flow monitoring system. In addition, if heat input is required to be
reported under the applicable State or federal NOX mass
emission reduction program that adopts the requirements of this
subpart, the owner or operator also must meet the general operating
requirements for a flow monitoring system and an O2- or
CO2-diluent gas monitor to measure heat input, or, if
applicable, use the procedures in appendix D to this part. These
requirements must be met, except as provided in accordance with subpart
E of this part.
(b) Moisture correction. If a correction for the stack gas moisture
content is needed to properly calculate the NOX emission
rate in lb/mmBtu (i.e., if the NOX pollutant concentration
monitor measures on a different moisture basis from the diluent
monitor) or NOX mass emissions in tons (i.e., if the
NOX concentration monitoring system or diluent monitor
measures on a different moisture basis from the flow rate monitor), the
owner or operator of an affected unit shall account for the moisture
content of the flue gas on a continuous basis in accordance with
Sec. 75.11(b) except that the term ``SO2'' shall be replaced
by the term ``NOX'.
(c) Gas-fired nonpeaking units or oil-fired nonpeaking units. The
owner or operator of an affected unit that, based on information
submitted by the designated representative in the monitoring plan,
qualifies as a gas-fired or oil-fired unit but not as a peaking unit,
as defined in Sec. 72.2 of this chapter, shall either:
(1) Meet the requirements of paragraph (a) of this section and, if
applicable, paragraph (b) of this section; or
(2) Meet the general operating requirements in Sec. 75.10 for a
NOX-diluent continuous emission monitoring system, except as
provided in accordance with subpart E of this part, and use the
procedures specified in appendix D to this part for determining hourly
heat input. However, the heat input apportionment provisions in section
2.1.2 of appendix D to this part shall not be used to meet the
NOX mass reporting provisions of this subpart, except as
provided in Sec. 75.72(a); or
(3) Meet the requirements of the low mass emission excepted
methodology under paragraph (e)(2) of this section and under
Sec. 75.19, if applicable.
(d) Gas-fired or oil-fired peaking units. The owner or operator of
an affected unit that qualifies as a peaking unit and as either gas-
fired or oil-fired, as defined in Sec. 72.2 of this chapter, based on
information submitted by the designated representative in the
monitoring plan, shall either:
(1) Meet the requirements of paragraph (c) of this section; or
(2) Use the procedures in appendix D to this part for determining
hourly heat input and the procedures specified in appendix E to this
part for estimating hourly NOX emission rate. However, the
heat input apportionment provisions in section 2.1.2 of appendix D to
this part shall not be used to meet the NOX mass reporting
provisions of this subpart except for units using an excepted
monitoring system under appendix E to this part and except as provided
in Sec. 75.72(a). In addition, if after certification of an excepted
monitoring system under appendix E to this part, a unit's operations
exceed a capacity factor of 20.0 percent in any calender year or exceed
a capacity factor of 10.0 percent averaged over three years, the owner
or operator shall meet the requirements of paragraph (c) of this
section or, if applicable, paragraph (e) of this section, by no later
than December 31 of the following calender year.
(e) Low mass emissions units. Notwithstanding the requirements of
paragraphs (c) and (d) of this section, the owner or operator of an
affected unit that qualifies as a low mass emissions unit under
Sec. 75.19(a) shall comply with one of the following:
(1) Meet the applicable requirements specified in paragraphs (c) or
(d) of this section; or
(2) Use the low mass emissions excepted methodology in
Sec. 75.19(c) for estimating hourly emission rate, hourly heat input,
and hourly NOX mass emissions.
(f) Other units. The owner or operator of an affected unit that
combusts wood, refuse, or other materials shall comply with the
monitoring provisions specified in paragraph (a) of this section and,
where applicable, paragraph (b) of this section.
Sec. 75.72 Determination of NOX mass emissions.
Except as provided in paragraphs (e) and (f) of this section, the
owner or operator of an affected unit shall calculate hourly
NOX mass emissions (in lbs) by multiplying the hourly
NOX emission rate (in lbs/mmBtu) by the hourly heat input
(in mmBtu/hr) and the hourly operating time (in hr). The owner or
operator shall also calculate quarterly and cumulative year-to-date
NOX mass emissions and cumulative NOX mass
emissions for the ozone season (in tons) by summing the hourly
NOX mass emissions according to the procedures in section 8
of appendix F to this part.
(a) Unit utilizing common stack with other affected unit(s). When
an affected unit utilizes a common stack with one or more affected
units, but no nonaffected units, the owner or operator shall either:
(1) Record the combined NOX mass emissions for the units
exhausting to the common stack, install, certify, operate, and maintain
a NOX-diluent continuous emissions monitoring system in the
common stack, and either:
(i) Install, certify, operate, and maintain a flow monitoring
system at the common stack. The owner or operator also shall provide
heat input values for each unit, either by monitoring each unit
individually using a flow monitor and a diluent monitor or by
apportioning heat input according to the procedures in
Sec. 75.16(e)(5); or
(ii) If any of the units using the common stack are eligible to use
the procedures in appendix D to this part,
(A) Use the procedures in appendix D to this part to determine heat
input for that unit; and
(B) Install, certify, operate, and maintain a flow monitoring
system in the duct to the common stack for each remaining unit; or
(2) Install, certify, operate, and maintain a NOX-
diluent continuous emissions monitoring system in the duct to the
common stack from each unit and either:
(i) Install, certify, operate, and maintain a flow monitoring
system in the duct to the common stack from each unit; or
(ii) For any unit using the common stack and eligible to use the
procedures in appendix D to this part,
(A) Use the procedures in appendix D to determine heat input for
that unit; and
(B) Install, certify, operate, and maintain a flow monitoring
system in the duct to the common stack for each remaining unit.
[[Page 57510]]
(b) Unit utilizing common stack with nonaffected unit(s). When one
or more affected units utilizes a common stack with one or more
nonaffected units, the owner or operator shall either:
(1) Install, certify, operate, and maintain a NOX-
diluent continuous emission monitoring system in the duct to the common
stack from each affected unit; and
(i) Install, certify, operate, and maintain a flow monitoring
system in the duct to the common stack from each affected unit; or
(ii) For any affected unit using the common stack and eligible to
use the procedures in appendix D to this part,
(A) Use the procedures in appendix D to determine heat input for
that unit; however, the heat input apportionment provisions in section
2.1.2 of appendix D to this part shall not be used to meet the
NOX mass reporting provisions of this subpart; and
(B) Install, certify, operate, and maintain a flow monitoring
system in the duct to the common stack for each remaining affected unit
that exhausts to the common stack; or
(2) Install, certify, operate, and maintain a NOX-
diluent continuous emission monitoring system in the common stack; and
(i) Designate the nonaffected units as affected units in accordance
with the applicable State or federal NOX mass emissions
reduction program and meet the requirements of paragraph (a)(1) of this
section; or
(ii) Install, certify, operate, and maintain a flow monitoring
system in the common stack and a NOX-diluent continuous
emission monitoring system in the duct to the common stack from each
nonaffected unit. The designated representative shall submit a petition
to the permitting authority and the Administrator to allow a method of
calculating and reporting the NOX mass emissions from the
affected units as the difference between NOX mass emissions
measured in the common stack and NOX mass emissions measured
in the ducts of the nonaffected units, not to be reported as an hourly
value less than zero. The permitting authority and the Administrator
may approve such a method whenever the designated representative
demonstrates, to the satisfaction of the permitting authority and the
Administrator, that the method ensures that the NOX mass
emissions from the affected units are not underestimated. In addition,
the owner or operator shall also either:
(A) Install, certify, operate, and maintain a flow monitoring
system in the duct from each nonaffected unit or,
(B) For any nonaffected unit exhausting to the common stack and
otherwise eligible to use the procedures in appendix D to this part,
determine heat input using the procedures in appendix D for that unit.
However, the heat input apportionment provisions in section 2.1.2 of
appendix D to this part shall not be used to meet the NOX
mass reporting provisions of this subpart. For any remaining
nonaffected unit that exhausts to the common stack, install, certify,
operate, and maintain a flow monitoring system in the duct to the
common stack; or
(iii) Install a flow monitoring system in the common stack and
record the combined emissions from all units as the combined
NOX mass emissions for the affected units for recordkeeping
and compliance purposes; or
(iv) Submit a petition to the permitting authority and the
Administrator to allow use of a method for apportioning NOX
mass emissions measured in the common stack to each of the units using
the common stack and for reporting the NOX mass emissions.
The permitting authority and the Administrator may approve such a
method whenever the designated representative demonstrates, to the
satisfaction of the permitting authority and the Administrator, that
the method ensures that the NOX mass emissions from the
affected units are not underestimated.
(c) Unit with bypass stack. Whenever any portion of the flue gases
from an affected unit can be routed to avoid the installed
NOX-diluent continuous emissions monitoring system or
NOX concentration monitoring system, the owner and operator
shall either:
(1) Install, certify, operate, and maintain a NOX-
diluent continuous emissions monitoring system and a flow monitoring
system on the bypass flue, duct, or stack gas stream and calculate
NOX mass emissions for the unit as the sum of the emissions
recorded by all required monitoring systems; or
(2) Monitor NOX mass emissions on the bypass flue, duct,
or stack gas stream using the reference methods in Sec. 75.22(b) for
NOX concentration, flow, and diluent, or NOX
concentration and flow, and calculate NOX mass emissions for
the unit as the sum of the emissions recorded by the installed
monitoring systems on the main stack and the emissions measured by the
reference method monitoring systems.
(d) Unit with multiple stacks. Notwithstanding Sec. 75.17(c), when
the flue gases from a affected unit discharge to the atmosphere through
more than one stack, or when the flue gases from a unit subject to a
NOX mass emission reduction program utilize two or more
ducts feeding into two or more stacks (which may include flue gases
from other affected or nonaffected unit(s)), or when the flue gases
from an affected unit utilize two or more ducts feeding into a single
stack and the owner or operator chooses to monitor in the ducts rather
than in the stack, the owner or operator shall either:
(1) Install, certify, operate, and maintain a NOX-
diluent continuous emission monitoring system and a flow monitoring
system in each duct feeding into the stack or stacks and determine
NOX mass emissions from each affected unit using the stack
or stacks as the sum of the NOX mass emissions recorded for
each duct; or
(2) Install, certify, operate, and maintain a NOX-
diluent continuous emissions monitoring system and a flow monitoring
system in each stack, and determine NOX mass emissions from
the affected unit using the sum of the NOX mass emissions
recorded for each stack, except that where another unit also exhausts
flue gases to one or more of the stacks, the owner or operator shall
also comply with the applicable requirements of paragraphs (a) and (b)
of this section to determine and record NOX mass emissions
from the units using that stack; or
(3) If the unit is eligible to use the procedures in appendix D to
this part, install, certify, operate, and maintain a NOX-
diluent continuous emissions monitoring system in one of the ducts
feeding into the stack or stacks and use the procedures in appendix D
to this part to determine heat input for the unit, provided that:
(i) There are no add-on NOX controls at the unit;
(ii) The unit is not capable of emitting solely through an
unmonitored stack (e.g., has no dampers); and
(iii) The owner or operator of the unit demonstrates to the
satisfaction of the permitting authority and the Administrator that the
NOX emission rate in the monitored duct or stack is
representative of the NOX emission rate in each duct or stack.
(e) Units using a NOX concentration monitoring system
and a flow monitoring system to determine NOX mass. The
owner or operator may use a NOX concentration monitoring
system and a flow monitoring system to determine NOX mass
emissions in paragraphs (a) through (d) of this section (in place of a
NOX-diluent continuous emission monitoring system and a flow
monitoring system). When using this approach, calculate NOX
mass according to sections 8.2 and 8.3 in appendix F of this part. In
addition, if an applicable
[[Page 57511]]
State or federal NOX mass reduction program requires
determination of a unit's heat input, the owner or operator must either:
(1) Install, certify, operate, and maintain a CO2 or
O2 diluent monitor in the same location as each flow
monitoring system. In addition, the owner or operator must provide heat
input values for each unit utilizing a common stack by either:
(i) Apportion heat input from the common stack to each unit
according to Sec. 75.16(e)(5), where all units utilizing the common
stack are affected units, or
(ii) Measure heat input from each affected unit, using a flow
monitor and a CO2 or O2 diluent monitor in the
duct from each affected unit; or
(2) For units that are eligible to use appendix D to this part, use
the procedures in appendix D to this part to determine heat input for
the unit. However, the use of a fuel flowmeter in a common pipe header
and the provisions of sections 2.1.2.1 and 2.1.2.2 of appendix D of
this part are not applicable to any unit that is using the provisions
of this subpart to monitor, record, and report NOX mass
emissions under a State or federal NOX mass emission
reduction program and that shares a common pipe or a common stack with
a nonaffected unit.
(f) Units using the low mass emitter excepted methodology under
Sec. 75.19. For units that are using the low mass emitter excepted
methodology under Sec. 75.19, calculate ozone season NOX
mass emissions by summing all of the hourly NOX mass
emissions in the ozone season, as determined under paragraph
Sec. 75.19(c)(4)(ii)(A) of this section, divided by 2000 lb/ton.
(g) Procedures for apportioning heat input to the unit level. If
the owner or operator of a unit using the common stack monitoring
provisions in paragraphs (a) or (b) of this section does not monitor
and record heat input at the unit level and the owner or operator is
required to do so under an applicable State or federal NOX
mass emission reduction program, the owner or operator should apportion
heat input from the common stack to each unit according to Sec. 75.16(e)(5).
Sec. 75.73 Recordkeeping and reporting. [Reserved]
Sec. 75.74 Annual and ozone season monitoring and reporting requirements.
(a) Annual monitoring requirement. (1) The owner or operator of an
affected unit subject both to an Acid Rain emission limitation and to a
State or federal NOX mass reduction program that adopts the
provisions of this part must meet the requirements of this part during
the entire calendar year.
(2) The owner or operator of an affected unit subject to a State or
federal NOX mass reduction program that adopts the
provisions of this part and that requires monitoring and reporting of
hourly emissions on an annual basis must meet the requirements of this
part during the entire calendar year.
(b) Ozone season monitoring requirements. The owner or operator of
an affected unit that is not required to meet the requirements of this
subpart on an annual basis under paragraph (a) of this section may either:
(1) Meet the requirements of this subpart on an annual basis; or
(2) Meet the requirements of this part during the ozone season,
except as specified in paragraph (c) of this section.
(c) If the owner or operator of an affected unit chooses to meet
the requirements of this subpart on less than an annual basis in
accordance with paragraph (b)(2) of this section, then:
(1) The owner or operator of a unit that uses continuous emissions
monitoring systems to meet any of the requirements of this subpart must
perform recertification testing of all continuous emission monitoring
systems under Sec. 75.20(b). If the owner or operator has not
successfully completed all recertification tests by the first hour of
unit operation during the ozone season each year, the owner or operator
must substitute for data following the procedures of Sec. 75.20(b).
(2) The owner or operator is required to operate and maintain
continuous emission monitoring systems and perform quality assurance
and quality control procedures under Sec. 75.21 and appendix B of this
part each year from the time the continuous emission monitoring system
is initially certified or is recertified under paragraph (c)(1) of this
section through September 30. Records related to the quality assurance/
quality control program must be kept in a form suitable for inspection
on a year-round basis.
(3) The owner or operator of a unit using the procedures in
appendix D of this part to determine heat input is required to operate
or maintain fuel flowmeters only during the ozone season, except that
for purposes of determining the deadline for the next periodic quality
assurance test on the fuel flowmeter, the owner or operator shall count
all quarters during the year when the fuel flowmeter is used, not just
quarters in the ozone season. The owner or operator shall record and
the designated representative shall report the number of quarters when
a fuel is combusted for each fuel flowmeter.
(4) The owner or operator of a unit using the procedures in
appendix D of this part to determine heat input is only required to
sample fuel during the ozone season, except that:
(i) The owner or operator of a diesel-fired unit that performs
sampling from the fuel storage tank upon delivery must sample the tank
between the date and hour of the most recent delivery before the first
date and hour that the unit operates in the ozone season and the first
date and hour that the unit operates in the ozone season.
(ii) The owner or operator of a diesel-fired unit that performs
sampling upon delivery from the delivery vehicle must ensure that all
shipments received during the calendar year are sampled.
(iii) The owner or operator of a unit that performs sampling on
each day the unit combusts fuel oil or that performs oil sampling
continuously must sample the fuel oil starting on the first day the
unit operates during the ozone season. The owner or operator then shall
use that sampled value for all hours of combustion during the first day
of unit operation, continuing until the date and hour of the next sample.
(5) The owner or operator is required to record and report the
hourly data required by this subpart for the longer of:
(i) The period of time that the owner or operator of the unit is
required to perform the quality assurance and quality control
procedures of Sec. 75.21 and appendix B of this part under paragraph
(c)(2) of this section; or
(ii) The period of time of May 1 through September 30.
(6) The owner or operator shall use quality-assured data, in
accordance with paragraph (c)(2) or (c)(3) of this section, in the
substitute data procedures under subpart D of this part and section 2.4
of appendix D of this part.
(i) The lookback periods (e.g., 2160 quality-assured monitor
operating hours for a NOX-diluent continuous emission
monitoring system, a NOX concentration monitoring system, or
a flow monitoring system) used to calculate missing data must include
only data from periods when the monitors were quality assured under
paragraph (c)(2) or (c)(3) of this section.
(ii) If the NOX emission rate or NOX
concentration of the unit was consistently lower in the previous ozone
season because the unit combusted a fuel that produces less
NOX than the fuel currently being combusted or because the
unit's add-on emission controls are not operating properly, then the
owner or operator shall not use the
[[Page 57512]]
missing data procedures of Secs. 75.31 through 75.33. Instead, the
owner or operator shall substitute the maximum potential NOX
emission rate, as defined in Sec. 72.2 of this chapter, from a
NOX-diluent continuous emission monitoring system, or the
maximum potential concentration of NOX, as defined in
section 2.1.2.1 of appendix A to this part, from a NOX
concentration monitoring system. The owner or operator shall substitute
these maximum potential values for each hour of missing NOX
data, from completion of recertification testing until the earliest of:
(A) 720 quality-assured monitor operating hours after the
completion of recertification testing (not to go beyond September 30 of
that ozone season), or
(B) For a unit that changed fuels, the first hour when the unit
combusts a fuel that produces the same or less NOX than the
fuel combusted in the previous ozone season, or
(C) For a unit with add-on emission controls that are not operating
properly, the first hour when the add-on emission controls operate
properly.
(7) The owner or operator of a unit with NOX add-on
emission controls or a unit capable of combusting more than one fuel
shall keep records during ozone season in a form suitable for
inspection to demonstrate that the typical NOX emission rate
or NOX concentration during the prior ozone season(s)
included in the missing data lookback period is representative of the
ozone season in which missing data are substituted and that use of the
missing data procedures will not systematically underestimate
NOX mass emissions. These records shall include:
(i) For units that can combust more than one fuel, the fuel or
fuels combusted each hour; and
(ii) For units with add-on emission controls, the range of
operating parameters for add-on emission controls, as described in
Sec. 75.34(a) and information for verifying proper operation of the
add-on emission controls, as described in Sec. 75.34(d).
(8) The designated representative shall certify with each quarterly
report that NOX emission rate values or NOX
concentration values substituted for missing data under subpart D of
this part are calculated using only values from an ozone season, that
substitute values measured during the prior ozone season(s) included in
the missing data lookback period are representative of the ozone season
in which missing data are substituted, and that NOX
emissions are not systematically underestimated.
(9) Units may qualify to use the low mass emission excepted
monitoring methodology in Sec. 75.19 on an ozone season basis. In order
to be allowed to use this methodology, a unit may not emit more than 25
tons of NOX per ozone season. The owner or operator of the
unit shall meet the requirements of Sec. 75.19, with the following
exceptions:
(i) The phrase ``50 tons of NOX annually'' shall be
replaced by the phrase ``25 tons of NOX during the ozone
season.''
(ii) If any low mass emission unit fails to provide a demonstration
that its ozone season NOX mass emissions are less than 25
tons, than the unit is disqualified from using the methodology. The
owner or operator must install and certify any equipment needed to
ensure that the unit is monitoring using an acceptable methodology by
May 1 of the following year.
(10) Units may qualify to use the optional NOX mass
emissions estimation protocol for gas-fired peaking units and oil-fired
peaking units in appendix E to this part on an ozone season basis. In
order to be allowed to use this methodology, the unit must meet the
definition of peaking unit in Sec. 72.2 of this part, except that the
word ``calender year'' shall be replaced by the word ``ozone season''
and the word annual in the definition of the term ``capacity factor''
in Sec. 72.2 of this part, shall be replaced by the word ``ozone
season''.
Sec. 75.75 Additional ozone season calculation procedures for special
circumstances.
(a) The owner or operator of a unit that is required to calculate
ozone season heat input for purposes of providing data needed for
determining allocations, shall do so by summing the unit's hourly heat
input determined according to the procedures in this part for all hours
in which the unit operated during the ozone season.
(b) The owner or operator of a unit that is required to determine
ozone season NOX emission rate (in lbs/mmBtu) shall do so by
dividing ozone season NOX mass emissions(in lbs) determined
in accordance with this subpart, by heat input determined in accordance
with paragraph (a) of this section.
17. Section 3 of appendix A to part 75 is amended by revising the
title of section 3.3.2 and by adding and reserving section 3.3.6, by
adding new section 3.3.7 and by revising section 3.4.1 to read as follows:
APPENDIX A TO PART 75--SPECIFICATIONS AND TEST PROCEDURES
* * * * *
3. PERFORMANCE SPECIFICATIONS
* * * * *
3.3.2 RELATIVE ACCURACY FOR NOX DILUENT CONTINUOUS
EMISSION MONITORING SYSTEMS
* * * * *
3.3.6 [Reserved]
3.3.7 RELATIVE ACCURACY FOR NOX CONCENTRATION
MONITORING SYSTEMS
The following requirement applies only to NOX
concentration monitoring systems (i.e., NOX pollutant
concentration monitors) that are used to determine NOX
mass emissions, where the owner or operator elects to monitor and
report NOX mass emissions using a NOX
concentration monitoring system and a flow monitoring system.
The relative accuracy for NOX concentration
monitoring systems shall not exceed 10.0 percent.
* * * * *
3.4.1 SO2 POLLUTANT CONCENTRATION MONITORS,
NOX CONCENTRATION MONITORING SYSTEMS AND NOX-
DILUENT CONTINUOUS EMISSION MONITORING SYSTEMS
SO2 pollutant concentration monitors and
NOX emission rate continuous emissions monitoring systems
shall not be biased low as determined by the test procedure in
section 7.6 of this appendix. NOX concentration
monitoring systems used to determine NOX mass emissions,
as defined in Sec. 75.71, shall not be biased low as determined by
the test procedure in section 7.6 of this appendix. The bias
specification applies to all SO2 pollutant concentration
monitors, including those measuring an average SO2
concentration of 250.0 ppm or less, and to all NOX-
diluent continuous emission monitoring systems, including those
measuring an average NOX emission rate of 0.20 lb/mmBtu
or less.
* * * * *
18. Section 6 of appendix A to part 75 is amended by revising the
first sentence of the introductory text of section 6.5 and by adding a
new sentence after the first sentence, to read as follows:
* * * * *
6.5 Relative Accuracy and Bias Tests
Perform relative accuracy test audits for each CO2
and SO2 pollutant concentration monitor; each
NOX concentration monitoring system used to determine
NOX mass emissions; each O2 monitor used to
calculate heat input or CO2 concentration; each
SO2-diluent continuous emission monitoring system (lb/
mmBtu) used by units with a qualifying Phase I technology for the
period during which the units are required to monitor SO2
emission removal efficiency, from January 1, 1997 through December
31, 1999; each flow monitor; and each NOX-diluent
continuous emission monitoring system. Perform relative accuracy
test audits for each NOX concentration monitoring system
used to determine NOX mass emissions, as defined in
Sec. 75.71(a)(2), using the same general procedures as for
CO2 and
[[Page 57513]]
SO2 pollutant concentration monitors; however, use the
reference methods for NOX concentration listed in section
6.5.10 of this appendix. * * *
* * * * *
19. Section 7 of appendix A is amended by revising the introductory
text of section 7.6 and by adding three sentences to the end of section
7.6.5 to read as follows:
* * * * *
7.6 Bias Test and Adjustment Factor
Test the relative accuracy test audit data sets for bias for
SO2 pollutant concentration monitors; flow monitors;
NOX concentration monitoring systems used to determine
NOX mass emissions, as defined in Sec. 75.71(a)(2); and
NOX-diluent continuous emission monitoring systems using
the procedures outlined below.
* * * * *
7.6.5 Bias Adjustment
* * * In addition, use the adjusted NOX
concentration and flow rate values in computing substitution values
in the missing data procedure, as specified in subpart D of this
part, and in reporting the NOX concentration and the flow
rate when used to calculate NOX mass emissions, as
specified in subpart H of this part. Do not use an adjusted
NOX concentration value to calculate NOX
emission rate using Equations F-5 or F-6 of Appendix F of this part.
When monitoring NOX emission rate and heat input, use the
adjusted NOX emission rate and flow rate values in
computing substitution values in the missing data procedure, as
specified in subpart D of this part, and in reporting the
NOX emission rate and the heat input.
* * * * *
20. Appendix C to part 75 is amended by revising sections 2.1,
2.2.2, 2.2.3, 2.2.5, and 2.2.6 to read as follows:
APPENDIX C TO PART 75--MISSING DATA ESTIMATION PROCEDURES
* * * * *
2.1 Applicability
This procedure is applicable for data from all affected units
for use in accordance with the provisions of this part to provide
substitute data for volumetric flow rate (scfh), NOX
emission rate (in lb/mmBtu), and NOX concentration data
(in ppm) from NOX concentration monitoring systems used
to determine NOX mass emissions.
2.2 Procedure
2.2.1 * * *
2.2.2 Beginning with the first hour of unit operation after
installation and certification of the flow monitor or the
NOX continuous emission monitoring system (or a
NOX concentration monitoring system used to determine
NOX mass emissions, as defined in Sec. 75.71, for each
hour of unit operation record a number, 1 through 10 (or 1 through
20 for flow at common stacks), that identifies the operating load
range corresponding to the integrated hourly gross load of the
unit(s) recorded for each unit operating hour.
2.2.3 Beginning with the first hour of unit operation after
installation and certification of the flow monitor or the
NOX continuous emission monitoring system (or a
NOX concentration monitoring system used to determine
NOX mass emissions, as defined in Sec. 75.71 and
continuing thereafter, the data acquisition and handling system must
be capable of calculating and recording the following information
for each unit operating hour of missing flow or NOX data
within each identified load range during the shorter of: (1) the
previous 2,160 quality assured monitor operating hours (on a rolling
basis), or (2) all previous quality assured monitor operating hours.
2.2.3.1 Average of the hourly flow rates reported by a flow
monitor, in scfh.
2.2.3.2 The 90th percentile value of hourly flow rates, in scfh.
2.2.3.3 The 95th percentile value of hourly flow rates, in scfh.
2.2.3.4 The maximum value of hourly flow rates, in scfh.
2.2.3.5 Average of the hourly NOX emission rate, in
lb/mmBtu, reported by a NOX continuous emission
monitoring system.
2.2.3.6 The 90th percentile value of hourly NOX
emission rates, in lb/mmBtu.
2.2.3.7 The 95th percentile value of hourly NOX
emission rates, in lb/mmBtu.
2.2.3.8 The maximum value of hourly NOX emission
rates, in lb/mmBtu.
2.2.3.9 Average of the hourly NOX pollutant
concentration, in ppm, reported by a NOX concentration
monitoring system used to determine NOX mass emissions,
as defined in Sec. 75.71.
2.2.3.10 The 90th percentile value of hourly NOX
pollutant concentration, in ppm.
2.2.3.11 The 95th percentile value of hourly NOX
pollutant concentration, in ppm.
2.2.3.12 The maximum value of hourly NOX pollutant
concentration, in ppm.
2.2.4 * * *
2.2.5 When a bias adjustment is necessary for the flow monitor
or the NOX continuous emission monitoring system (or the
NOX concentration monitoring system used to determine
NOX mass emissions, as defined in Sec. 75.71), apply the
adjustment factor to all monitor or continuous emission monitoring
system data values placed in the load ranges.
2.2.6 Use the calculated monitor or monitoring system data
averages, maximum values, and percentile values to substitute for
missing flow rate and NOX emission rate data (and where
applicable, NOX concentration data) according to the
procedures in subpart D of this part.
* * * * *
21. Section 2 of appendix D to part 75 is amended by revising the
introductory text of section 2.1.2 to read as follows:
APPENDIX D TO PART 75--OPTIONAL SO2 EMISSIONS DATA PROTOCOL
FOR GAS-FIRED AND OIL-FIRED UNITS
* * * * *
2.1.2 Install and use fuel flowmeters meeting the requirements
of this appendix in a pipe going to each unit, or install and use a
fuel flowmeter in a common pipe header (i.e., a pipe carrying fuel
for multiple units). However, the use of a fuel flowmeter in a
common pipe header and the provisions of sections 2.1.2.1 and
2.1.2.2 of this appendix are not applicable to any unit that is
using the provisions of subpart H of this part to monitor, record,
and report NOX mass emissions under a State or federal
NOX mass emission reduction program, except as provided
in Sec. 75.72(a) for units with a NOX CEMS installed in a
common stack or except as provided for units monitored with an
excepted monitoring system under appendix E to this part. For all
other units, if the fuel flowmeter is installed in a common pipe
header, do one of the following:
* * * * *
22. Section 8 of appendix F to part 75 is added to read as follows:
APPENDIX F TO PART 75--CONVERSION PROCEDURES
* * * * *
8. Procedures for NOX Mass Emissions
The owner or operator of a unit that is required to monitor,
record, and report NOX mass emissions under a State or
federal NOX mass emission reduction program must use the
procedures in section 8.1 to account for hourly NOX mass
emissions, and the procedures in section 8.2 to account for
quarterly, seasonal, and annual NOX mass emissions to the
extent that the provisions of subpart H of this part are adopted as
requirements under such a program.
8.1 Use the following procedures to calculate hourly
NOX mass emissions in lbs for the hour using hourly
NOX emission rate and heat input.
8.1.1 If both NOX emission rate and heat input are
monitored at the same unit or stack level (e.g, the NOX
emission rate value and heat input value both represent all of the
units exhausting to the common stack), use the following equation:
[GRAPHIC] [TIFF OMITTED] TR27OC98.011
where:
M(NOx)h = NOX mass emissions in lbs for the
hour.
E(NOx)h = Hourly average NOX emission rate for
hour h, lb/mmBtu, from section 3 of this appendix, from method 19 of
appendix A to part 60 of this chapter, or from section 3.3 of
appendix E to this part. (Include bias-adjusted NOX
emission rate values, where the bias-test procedures in appendix A
to this part shows a bias-adjustment factor is necessary.)
HIh = Hourly average heat input rate for hour h, mmBtu/
hr. (Include bias-adjusted flow rate values, where the bias-test
procedures in appendix A to this part shows a bias-adjustment factor
is necessary.)
[[Page 57514]]
th = Monitoring location operating time for hour h, in
hours or fraction of an hour (in equal increments that can range
from one hundredth to one quarter of an hour, at the option of the
owner or operator). If the combined NOX emission rate and
heat input are monitored for all of the units in a common stack, the
monitoring location operating time is equal to the total time when
any of those units was exhausting through the common stack.
8.1.2 If NOX emission rate is measured at a common
stack and heat input is measured at the unit level, sum the hourly
heat inputs at the unit level according to the following formula:
[GRAPHIC] [TIFF OMITTED] TR27OC98.012
where:
HICS = Hourly average heat input rate for hour h for the
units at the common stack, mmBtu/hr.
tCS = Common stack operating time for hour h, in hours or
fraction of an hour (in equal increments that can range from one
hundredth to one quarter of an hour, at the option of the owner or
operator)(e.g., total time when any of the units which exhaust
through the common stack are operating).
HIu = Hourly average heat input rate for hour h for the
unit, mmBtu/hr.
tu = Unit operating time for hour h, in hours or fraction
of an hour (in equal increments that can range from one hundredth to
one quarter of an hour, at the option of the owner or operator).
Use the hourly heat input rate at the common stack level and the
hourly average NOX emission rate at the common stack
level and the procedures in section 8.1.1 of this appendix to
determine the hourly NOX mass emissions at the common stack.
8.1.3 If a unit has multiple ducts and NOX emission
rate is only measured at one duct, use the NOX emission
rate measured at the duct, the heat input measured for the unit, and
the procedures in section 8.1.1 of this appendix to determine
NOX mass emissions.
8.1.4 If a unit has multiple ducts and NOX emission
rate is measured in each duct, heat input shall also be measured in
each duct and the procedures in section 8.1.1 of this appendix shall
be used to determine NOX mass emissions.
8.2 If a unit calculates NOX mass emissions using a
NOX concentration monitoring system and a flow monitoring
system, calculate hourly NOX mass rate during unit (or
stack) operation, in lb/hr, using Equation F-1 or F-2 in this
appendix (as applicable to the moisture basis of the monitors). When
using Equation F-1 or F-2, replace ``SO2'' with
``NOX'' and replace the value of K with 1.194 x
10<SUP>-</SUP><SUP>7</SUP> (lb NOX /scf)/ppm. (Include
bias-adjusted flow rate or NOX concentration values,
where the bias-test procedures in appendix A to this part shows a
bias-adjustment factor is necessary.)
8.3 If a unit calculates NOX mass emissions using a
NOX concentration monitoring system and a flow monitoring
system, calculate NOX mass emissions for the hour (lb) by
multiplying the hourly NOX mass emission rate during unit
operation (lb/hr) by the unit operating time during the hour, as follows:
[GRAPHIC] [TIFF OMITTED] TR27OC98.013
Where:
M(NOx)h = NOX mass emissions in lbs for the hour.
Eh = Hourly NOX mass emission rate during unit
(or stack) operation, lb/hr, from section 8.2 of this appendix.
th = Monitoring location operating time for hour h, in
hours or fraction of an hour (in equal increments that can range
from one hundredth to one quarter of an hour, at the option of the
owner or operator). If the NOX mass emission rate is
monitored for all of the units in a common stack, the monitoring
location operating time is equal to the total time when any of those
units was exhausting through the common stack.
8.4 Use the following procedures to calculate quarterly,
cumulative ozone season, and cumulative yearly NOX mass
emissions, in tons:
[GRAPHIC] [TIFF OMITTED] TR27OC98.014
Where:
M(NOx) time period = NOX mass emissions in
tons for the given time period (quarter, cumulative ozone season,
cumulative year-to-date).
M(NOx)h = NOX mass emissions in lbs for the
hour. p = The number of hours in the given time period (quarter,
cumulative ozone season, cumulative year-to-date).
8.5 Specific provisions for monitoring NOX mass
emissions from common stacks. The owner or operator of a unit
utilizing a common stack may account for NOX mass
emissions using either of the following methodologies, if the
provisions of subpart H are adopted as requirements of a State or
federal NOX mass reduction program:
8.5.1 The owner or operator may determine both NOX
emission rate and heat input at the common stack and use the
procedures in section 8.1.1 of this appendix to determine hourly
NOX mass emissions at the common stack.
8.5.2 The owner or operator may determine the NOX
emission rate at the common stack and the heat input at each of the
units and use the procedures in section 8.1.2 of this appendix to
determine the hourly NOX mass emissions at each unit.
23. Part 96 is added to read as follows:
PART 96--NOX Budget Trading Program for State
Implementation Plans
Subpart A--NOX Budget Trading Program General Provisions
Sec.
96.1 Purpose.
96.2 Definitions.
96.3 Measurements, abbreviations, and acronyms.
96.4 Applicability.
96.5 Retired unit exemption.
96.6 Standard requirements.
96.7 Computation of time.
Subpart B--Authorized Account Representative for NOX Budget
Sources
96.10 Authorization and responsibilities of the NOX
authorized account representative.
96.11 Alternate NOX authorized account representative.
96.12 Changing the NOX authorized account representative
and the alternate NOX authorized account representative;
changes in the owners and operators.
96.13 Account certificate of representation.
96.14 Objections concerning the NOX authorized account
representative.
Subpart C--Permits
96.20 General NOX Budget permit requirements.
96.21 Submission of NOX Budget permit applications.
96.22 Information requirements for NOX Budget permit
applications.
96.23 NOX Budget permit contents.
96.24 Effective date of initial NOX Budget permit.
96.25 NOX Budget permit revisions.
Subpart D--Compliance Certification
96.30 Compliance certification report.
96.31 Permitting authority's and Administrator's action on
compliance certifications.
Subpart E--NOX Allowance Allocations
96.40 State trading program budget.
96.41 Timing requirements for NOX allowance allocations.
96.42 NOX allowance allocations.
Subpart F--NOX Allowance Tracking System
96.50 NOX Allowance Tracking System accounts.
96.51 Establishment of accounts.
96.52 NOX Allowance Tracking System responsibilities of
NOX authorized account representative.
96.53 Recordation of NOX allowance allocations.
96.54 Compliance.
96.55 Banking.
96.56 Account error.
96.57 Closing of general accounts.
[[Page 57515]]
Subpart G--NOX Allowance Transfers
96.60 Scope and submission of NOX allowance transfers.
96.61 EPA recordation.
96.62 Notification.
Subpart H--Monitoring and Reporting
96.70 General requirements.
96.71 Initial certification and recertification procedures.
96.72 Out of control periods.
96.73 Notifications.
96.74 Recordkeeping and reporting.
96.75 Petitions.
96.76 Additional requirements to provide heat input data for
allocations purposes.
Subpart I--Individual Unit Opt-ins
96.80 Applicability.
96.81 General.
96.82 NOX authorized account representative.
96.83 Applying for NOX Budget opt-in permit.
96.84 Opt-in process.
96.85 NOX Budget opt-in permit contents.
96.86 Withdrawal from NOX Budget Trading Program.
96.87 Change in regulatory status.
96.88 NOX allowance allocations to opt-in units.
Subpart J--Mobile and Area Sources [Reserved]
Authority: 42 U.S.C. 7401, 7403, 7410, and 7601
Subpart A--NOX Budget Trading Program General Provisions
Sec. 96.1 Purpose.
This part establishes general provisions and the applicability,
permitting, allowance, excess emissions, monitoring, and opt-in
provisions for the NOX Budget Trading Program for State
implementation plans as a means of mitigating the interstate transport
of ozone and nitrogen oxides, an ozone precursor. The owner or operator
of a unit, or any other person, shall comply with requirements of this
part as a matter of federal law only to the extent a State that has
jurisdiction over the unit incorporates by reference provisions of this
part, or otherwise adopts such requirements of this part, and requires
compliance, the State submits to the Administrator a State
implementation plan including such adoption and such compliance
requirement, and the Administrator approves the portion of the State
implementation plan including such adoption and such compliance
requirement. To the extent a State adopts requirements of this part,
including at a minimum the requirements of subpart A (except for
Sec. 96.4(b)), subparts B through D, subpart F (except for
Sec. 96.55(c)), and subparts G and H of this part, the State authorizes
the Administrator to assist the State in implementing the
NOX Budget Trading Program by carrying out the functions set
forth for the Administrator in such requirements.
Sec. 96.2 Definitions.
The terms used in this part shall have the meanings set forth in
this section as follows:
Account certificate of representation means the completed and
signed submission required by subpart B of this part for certifying the
designation of a NOX authorized account representative for a
NOX Budget source or a group of identified NOX
Budget sources who is authorized to represent the owners and operators
of such source or sources and of the NOX Budget units at
such source or sources with regard to matters under the NOX
Budget Trading Program.
Account number means the identification number given by the
Administrator to each NOX Allowance Tracking System account.
Acid Rain emissions limitation means, as defined in Sec. 72.2 of
this chapter, a limitation on emissions of sulfur dioxide or nitrogen
oxides under the Acid Rain Program under title IV of the CAA.
Administrator means the Administrator of the United States
Environmental Protection Agency or the Administrator's duly authorized
representative.
Allocate or allocation means the determination by the permitting
authority or the Administrator of the number of NOX
allowances to be initially credited to a NOX Budget unit or
an allocation set-aside.
Automated data acquisition and handling system or DAHS means that
component of the CEMS, or other emissions monitoring system approved
for use under subpart H of this part, 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 subpart H of this part.
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.
CAA means the CAA, 42 U.S.C. 7401, et seq., as amended by Pub. L.
No. 101-549 (November 15, 1990).
Combined cycle system means a system comprised of one or more
combustion turbines, heat recovery steam generators, and steam turbines
configured to improve overall efficiency of electricity generation or
steam production.
Combustion turbine means an enclosed fossil or other fuel-fired
device that is comprised of 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.
Commence commercial operation means, with regard to a unit that
serves a generator, to have begun to produce steam, gas, or other
heated medium used to generate electricity for sale or use, including
test generation. Except as provided in Sec. 96.5, for a unit that is a
NOX Budget unit under Sec. 96.4 on the date the unit
commences commercial operation, such date shall remain the unit's date
of commencement of commercial operation even if the unit is
subsequently modified, reconstructed, or repowered. Except as provided
in Sec. 96.5 or subpart I of this part, for a unit that is not a
NOX Budget unit under Sec. 96.4 on the date the unit
commences commercial operation, the date the unit becomes a
NOX Budget unit under Sec. 96.4 shall be the unit's date of
commencement of commercial operation.
Commence operation means to have begun any mechanical, chemical, or
electronic process, including, with regard to a unit, start-up of a
unit's combustion chamber. Except as provided in Sec. 96.5, for a unit
that is a NOX Budget unit under Sec. 96.4 on the date of
commencement of operation, such date shall remain the unit's date of
commencement of operation even if the unit is subsequently modified,
reconstructed, or repowered. Except as provided in Sec. 96.5 or subpart
I of this part, for a unit that is not a NOX Budget unit
under Sec. 96.4 on the date of commencement of operation, the date the
unit becomes a NOX Budget unit under Sec. 96.4 shall be the
unit's date of commencement of operation.
Common stack means a single flue through which emissions from two
or more units are exhausted.
Compliance account means a NOX Allowance Tracking System
account, established by the Administrator for a NOX Budget
unit under subpart F of this part, in which the NOX
allowance allocations for the unit are initially recorded and in which
are held NOX allowances available for use by the unit for a
control period for the purpose of meeting the unit's NOX
Budget emissions limitation.
Compliance certification means a submission to the permitting
authority
[[Page 57516]]
or the Administrator, as appropriate, that is required under subpart D
of this part to report a NOX Budget source's or a
NOX Budget unit's compliance or noncompliance with this part
and that is signed by the NOX authorized account
representative in accordance with subpart B of this part.
Continuous emission monitoring system or CEMS means the equipment
required under subpart H of this part to sample, analyze, measure, and
provide, by readings taken at least once every 15 minutes of the
measured parameters, a permanent record of nitrogen oxides emissions,
expressed in tons per hour for nitrogen oxides. The following systems
are component parts included, consistent with part 75 of this chapter,
in a continuous emission monitoring system:
(1) Flow monitor;
(2) Nitrogen oxides pollutant concentration monitors;
(3) Diluent gas monitor (oxygen or carbon dioxide) when such
monitoring is required by subpart H of this part;
(4) A continuous moisture monitor when such monitoring is required
by subpart H of this part; and
(5) An automated data acquisition and handling system.
Control period means the period beginning May 1 of a year and
ending on September 30 of the same year, inclusive.
Emissions means air pollutants exhausted from a unit or source into
the atmosphere, as measured, recorded, and reported to the
Administrator by the NOX authorized account representative
and as determined by the Administrator in accordance with subpart H of
this part.
Energy Information Administration means the Energy Information
Administration of the United States Department of Energy.
Excess emissions means any tonnage of nitrogen oxides emitted by a
NOX Budget unit during a control period that exceeds the
NOX Budget emissions limitation for the unit.
Fossil fuel means natural gas, petroleum, coal, or any form of
solid, liquid, or gaseous fuel derived from such material.
Fossil fuel-fired means, with regard to a unit:
(1) The combustion of fossil fuel, alone or in combination with any
other fuel, where fossil fuel actually combusted comprises more than 50
percent of the annual heat input on a Btu basis during any year
starting in 1995 or, if a unit had no heat input starting in 1995,
during the last year of operation of the unit prior to 1995; or
(2) The combustion of fossil fuel, alone or in combination with any
other fuel, where fossil fuel is projected to comprise more than 50
percent of the annual heat input on a Btu basis during any year;
provided that the unit shall be ``fossil fuel-fired'' as of the date,
during such year, on which the unit begins combusting fossil fuel.
General account means a NOX Allowance Tracking System
account, established under subpart F of this part, that is not a
compliance account or an overdraft account.
Generator means a device that produces electricity.
Heat input means the product (in mmBtu/time) of the gross calorific
value of the fuel (in Btu/lb) and the fuel feed rate into a combustion
device (in mass of fuel/time), as measured, recorded, and reported to
the Administrator by the NOX authorized account
representative and as determined by the Administrator in accordance
with subpart H of this part, and does not include the heat derived from
preheated combustion air, recirculated flue gases, or exhaust from
other sources.
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 from 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 equal to or greater than 25 years or 70 percent of
the economic useful life of the unit determined as of the time the unit
is built, with option rights to purchase or release some portion of the
nameplate capacity and associated energy generated by the unit at the
end of the period.
Maximum design heat input means the ability of a unit to combust a
stated maximum amount of fuel per hour on a steady state basis, as
determined by the physical design and physical characteristics of the unit.
Maximum potential hourly heat input means an hourly heat input used
for reporting purposes when a unit lacks certified monitors to report
heat input. If the unit intends to use appendix D of part 75 of this
chapter to report heat input, this value should be calculated, in
accordance with part 75 of this chapter, using the maximum fuel flow
rate and the maximum gross calorific value. If the unit intends to use
a flow monitor and a diluent gas monitor, this value should be
reported, in accordance with part 75 of this chapter, using the maximum
potential flowrate and either the maximum carbon dioxide concentration
(in percent CO2) or the minimum oxygen concentration (in
percent O2).
Maximum potential NOX emission rate means the emission
rate of nitrogen oxides (in lb/mmBtu) calculated in accordance with
section 3 of appendix F of part 75 of this chapter, using the maximum
potential nitrogen oxides concentration as defined in section 2 of
appendix A of part 75 of this chapter, and either the maximum oxygen
concentration (in percent O2) or the minimum carbon dioxide
concentration (in percent CO2), under all operating
conditions of the unit except for unit start up, shutdown, and upsets.
Maximum rated hourly heat input means a unit-specific maximum
hourly heat input (mmBtu) which is the higher of the manufacturer's
maximum rated hourly heat input or the highest observed hourly heat input.
Monitoring system means any monitoring system that meets the
requirements of subpart H of this part, including a continuous
emissions monitoring system, an excepted monitoring system, or an
alternative monitoring system.
Most stringent State or Federal NOX emissions limitation
means, with regard to a NOX Budget opt-in source, the lowest
NOX emissions limitation (in terms of lb/mmBtu) that is
applicable to the unit under State or Federal law, regardless of the
averaging period to which the emissions limitation applies.
Nameplate capacity means the maximum electrical generating output
(in MWe) that a generator can sustain over a specified period of time
when not restricted by seasonal or other deratings as measured in
accordance with the United States Department of Energy standards.
Non-title V permit means a federally enforceable permit
administered by the permitting authority pursuant to the CAA and
regulatory authority under the CAA, other than title V of the CAA and
part 70 or 71 of this chapter.
NOX allowance means an authorization by the permitting
authority or the Administrator under the NOX Budget Trading
Program to emit up to one ton of nitrogen oxides during the control
period of the specified year or of any year thereafter.
NOX allowance deduction or deduct NOX
allowances means the permanent withdrawal of NOX allowances
by the
[[Page 57517]]
Administrator from a NOX Allowance Tracking System
compliance account or overdraft account to account for the number of
tons of NOX emissions from a NOX Budget unit for
a control period, determined in accordance with subpart H of this part,
or for any other allowance surrender obligation under this part.
NOX allowances held or hold NOX allowances
means the NOX allowances recorded by the Administrator, or
submitted to the Administrator for recordation, in accordance with
subparts F and G of this part, in a NOX Allowance Tracking
System account.
NOX Allowance Tracking System means the system by which
the Administrator records allocations, deductions, and transfers of
NOX allowances under the NOX Budget Trading Program.
NOX Allowance Tracking System account means an account
in the NOX Allowance Tracking System established by the
Administrator for purposes of recording the allocation, holding,
transferring, or deducting of NOX allowances.
NOX allowance transfer deadline means midnight of
November 30 or, if November 30 is not a business day, midnight of the
first business day thereafter and is the deadline by which
NOX allowances may be submitted for recordation in a
NOX Budget unit's compliance account, or the overdraft
account of the source where the unit is located, in order to meet the
unit's NOX Budget emissions limitation for the control
period immediately preceding such deadline.
NOX authorized account representative means, for a
NOX Budget source or NOX Budget unit at the
source, the natural person who is authorized by the owners and
operators of the source and all NOX Budget units at the
source, in accordance with subpart B of this part, to represent and
legally bind each owner and operator in matters pertaining to the
NOX Budget Trading Program or, for a general account, the
natural person who is authorized, in accordance with subpart F of this
part, to transfer or otherwise dispose of NOX allowances
held in the general account.
NOX Budget emissions limitation means, for a
NOX Budget unit, the tonnage equivalent of the
NOX allowances available for compliance deduction for the
unit and for a control period under Sec. 96.54(a) and (b), adjusted by
any deductions of such NOX allowances to account for actual
utilization under Sec. 96.42(e) for the control period or to account
for excess emissions for a prior control period under Sec. 96.54(d) or
to account for withdrawal from the NOX Budget Program, or
for a change in regulatory status, for a NOX Budget opt-in
source under Sec. 96.86 or Sec. 96.87.
NOX Budget opt-in permit means a NOX Budget
permit covering a NOX Budget opt-in source.
NOX Budget opt-in source means a unit that has been
elected to become a NOX Budget unit under the NOX
Budget Trading Program and whose NOX Budget opt-in permit
has been issued and is in effect under subpart I of this part.
NOX Budget permit means the legally binding and
federally enforceable written document, or portion of such document,
issued by the permitting authority under this part, including any
permit revisions, specifying the NOX Budget Trading Program
requirements applicable to a NOX Budget source, to each
NOX Budget unit at the NOX Budget source, and to
the owners and operators and the NOX authorized account
representative of the NOX Budget source and each
NOX Budget unit.
NOX Budget source means a source that includes one or
more NOX Budget units.
NOX Budget Trading Program means a multi-state nitrogen
oxides air pollution control and emission reduction program established
in accordance with this part and pursuant to Sec. 51.121 of this
chapter, as a means of mitigating the interstate transport of ozone and
nitrogen oxides, an ozone precursor.
NOX Budget unit means a unit that is subject to the
NOX Budget Trading Program emissions limitation under
Sec. 96.4 or Sec. 96.80.
Operating means, with regard to a unit under Secs. 96.22(d)(2) and
96.80, having documented heat input for more than 876 hours in the 6
months immediately preceding the submission of an application for an
initial NOX Budget permit under Sec. 96.83(a).
Operator means any person who operates, controls, or supervises a
NOX Budget unit, a NOX Budget source, or unit for
which an application for a NOX Budget opt-in permit under
Sec. 96.83 is submitted and not denied or withdrawn and shall include,
but not be limited to, any holding company, utility system, or plant
manager of such a unit or source.
Opt-in means to be elected to become a NOX Budget unit
under the NOX Budget Trading Program through a final,
effective NOX Budget opt-in permit under subpart I of this part.
Overdraft account means the NOX Allowance Tracking
System account, established by the Administrator under subpart F of
this part, for each NOX Budget source where there are two or
more NOX Budget units.
Owner means any of the following persons:
(1) Any holder of any portion of the legal or equitable title in a
NOX Budget unit or in a unit for which an application for a
NOX Budget opt-in permit under Sec. 96.83 is submitted and
not denied or withdrawn; or
(2) Any holder of a leasehold interest in a NOX Budget
unit or in a unit for which an application for a NOX Budget
opt-in permit under Sec. 96.83 is submitted and not denied or withdrawn; or
(3) Any purchaser of power from a NOX Budget unit or
from a unit for which an application for a NOX Budget opt-in
permit under Sec. 96.83 is submitted and not denied or withdrawn under
a life-of-the-unit, firm power contractual arrangement. However, 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, upon the revenues or income from the
NOX Budget unit or the unit for which an application for a
NOX Budget opt-in permit under Sec. 96.83 is submitted and
not denied or withdrawn; or
(4) With respect to any general account, any person who has an
ownership interest with respect to the NOX allowances held
in the general account and who is subject to the binding agreement for
the NOX authorized account representative to represent that
person's ownership interest with respect to NOX allowances.
Permitting authority means the State air pollution control agency,
local agency, other State agency, or other agency authorized by the
Administrator to issue or revise permits to meet the requirements of
the NOX Budget Trading Program in accordance with subpart C
of this part.
Receive or receipt of means, when referring to the permitting
authority or the Administrator, to come into possession of a document,
information, or correspondence (whether sent in writing or by
authorized electronic transmission), as indicated in an official
correspondence log, or by a notation made on the document, information,
or correspondence, by the permitting authority or the Administrator in
the regular course of business.
Recordation, record, or recorded means, with regard to
NOX allowances, the movement of NOX allowances by
the Administrator from one NOX Allowance Tracking System
account to another, for purposes of allocation, transfer, or deduction.
[[Page 57518]]
Reference method means any direct test method of sampling and
analyzing for an air pollutant as specified in appendix A of part 60 of
this chapter.
Serial number means, when referring to NOX allowances,
the unique identification number assigned to each NOX
allowance by the Administrator, under Sec. 96.53(c).
Source means any governmental, institutional, commercial, or
industrial structure, installation, plant, building, or facility that
emits or has the potential to emit any regulated air pollutant under
the CAA. For purposes of section 502(c) of the CAA, a ``source,''
including a ``source'' with multiple units, shall be considered a
single ``facility.''
State means one of the 48 contiguous States and the District of
Columbia specified in Sec. 51.121 of this chapter, or any non-federal
authority in or including such States or the District of Columbia
(including local agencies, and Statewide agencies) or any eligible
Indian tribe in an area of such State or the District of Columbia, that
adopts a NOX Budget Trading Program pursuant to Sec. 51.121
of this chapter. To the extent a State incorporates by reference the
provisions of this part, the term ``State'' shall mean the
incorporating State. The term ``State'' shall have its conventional
meaning where such meaning is clear from the context.
State trading program budget means the total number of
NOX tons apportioned to all NOX Budget units in a
given State, in accordance with the NOX Budget Trading
Program, for use in a given control period.
Submit or serve means to send or transmit a document, information,
or correspondence to the person specified in accordance with the
applicable regulation:
(1) In person;
(2) By United States Postal Service; or
(3) By other means of dispatch or transmission and delivery.
Compliance with any ``submission,'' ``service,'' or ``mailing''
deadline shall be determined by the date of dispatch, transmission, or
mailing and not the date of receipt.
Title V operating permit means a permit issued under title V of the
CAA and part 70 or part 71 of this chapter.
Title V operating permit regulations means the regulations that the
Administrator has approved or issued as meeting the requirements of
title V of the CAA and part 70 or 71 of this chapter.
Ton or tonnage means any ``short ton'' (i.e., 2,000 pounds). For
the purpose of determining compliance with the NOX Budget
emissions limitation, total tons for a control period shall be
calculated as the sum of all recorded hourly emissions (or the tonnage
equivalent of the recorded hourly emissions rates) in accordance with
subpart H of this part, with any remaining fraction of a ton equal to
or greater than 0.50 ton deemed to equal one ton and any fraction of a
ton less than 0.50 ton deemed to equal zero tons.
Unit means a fossil fuel-fired stationary boiler, combustion
turbine, or combined cycle system.
Unit load means the total (i.e., gross) output of a unit in any
control period (or other specified time period) produced by combusting
a given heat input of fuel, expressed in terms of:
(1) The total electrical generation (MWe) produced by the unit,
including generation for use within the plant; or
(2) In the case of a unit that uses heat input for purposes other
than electrical generation, the total steam pressure (psia) produced by
the unit, including steam for use by the unit.
Unit operating day means a calendar day in which a unit combusts
any fuel.
Unit operating hour or hour of unit operation means any hour (or
fraction of an hour) during which a unit combusts any fuel.
Utilization means the heat input (expressed in mmBtu/time) for a
unit. The unit's total heat input for the control period in each year
will be determined in accordance with part 75 of this chapter if the
NOX Budget unit was otherwise subject to the requirements of
part 75 of this chapter for the year, or will be based on the best
available data reported to the Administrator for the unit if the unit
was not otherwise subject to the requirements of part 75 of this
chapter for the year.
Sec. 96.3 Measurements, abbreviations, and acronyms.
Measurements, abbreviations, and acronyms used in this part are
defined as follows:
Btu--British thermal unit.
hr--hour.
Kwh--kilowatt hour.
lb--pounds.
mmBtu--million Btu.
MWe--megawatt electrical.
ton--2000 pounds.
CO2--carbon dioxide.
NOX--nitrogen oxides.
O2--oxygen.
Sec. 96.4 Applicability.
(a) The following units in a State shall be NOX Budget
units, and any source that includes one or more such units shall be a
NOX Budget source, subject to the requirements of this part:
(1) Any unit that, any time on or after January 1, 1995, serves a
generator with a nameplate capacity greater than 25 MWe and sells any
amount of electricity; or
(2) Any unit that is not a unit under paragraph (a) of this section
and that has a maximum design heat input greater than 250 mmBtu/hr.
(b) Notwithstanding paragraph (a) of this section, a unit under
paragraph (a) of this section shall be subject only to the requirements
of this paragraph (b) if the unit has a federally enforceable permit
that meets the requirements of paragraph (b)(1) of this section and
restricts the unit to burning only natural gas or fuel oil during a
control period in 2003 or later and each control period thereafter and
restricts the unit's operating hours during each such control period to
the number of hours (determined in accordance with paragraph (b)(1)(ii)
and (iii) of this section) that limits the unit's potential
NOX mass emissions for the control period to 25 tons or
less. Notwithstanding paragraph (a) of this section, starting with the
effective date of such federally enforceable permit, the unit shall not
be a NOX Budget unit.
(1) For each control period under paragraph (b) of this section,
the federally enforceable permit must:
(i) Restrict the unit to burning only natural gas or fuel oil.
(ii) Restrict the unit's operating hours to the number calculated
by dividing 25 tons of potential NOX mass emissions by the
unit's maximum potential hourly NOX mass emissions.
(iii) Require that the unit's potential NOX mass
emissions shall be calculated as follows:
(A) Select the default NOX emission rate in Table 2 of
Sec. 75.19 of this chapter that would otherwise be applicable assuming
that the unit burns only the type of fuel (i.e., only natural gas or
only fuel oil) that has the highest default NOX emission
factor of any type of fuel that the unit is allowed to burn under the
fuel use restriction in paragraph (b)(1)(i) of this section; and
(B) Multiply the default NOX emission rate under
paragraph (b)(1)(iii)(A) of this section by the unit's maximum rated
hourly heat input. The owner or operator of the unit may petition the
permitting authority to use a lower value for the unit's maximum rated
hourly heat input than the value as defined under Sec. 96.2. The
permitting authority may approve such lower value if the owner or
operator demonstrates that the maximum hourly heat input specified by
the manufacturer or the highest observed hourly heat input, or both,
are not representative, and that such lower value is representative, of
the unit's current capabilities because
[[Page 57519]]
modifications have been made to the unit, limiting its capacity
permanently.
(iv) Require that the owner or operator of the unit shall retain at
the source that includes the unit, for 5 years, records demonstrating
that the operating hours restriction, the fuel use restriction, and the
other requirements of the permit related to these restrictions were met.
(v) Require that the owner or operator of the unit shall report the
unit's hours of operation (treating any partial hour of operation as a
whole hour of operation) during each control period to the permitting
authority by November 1 of each year for which the unit is subject to
the federally enforceable permit.
(2) The permitting authority that issues the federally enforceable
permit with the fuel use restriction under paragraph (b)(1)(i) and the
operating hours restriction under paragraphs (b)(1)(ii) and (iii) of
this section will notify the Administrator in writing of each unit
under paragraph (a) of this section whose federally enforceable permit
issued by the permitting authority includes such restrictions. The
permitting authority will also notify the Administrator in writing of
each unit under paragraph (a) of this section whose federally
enforceable permit issued by the permitting authority is revised to
remove any such restriction, whose federally enforceable permit issued
by the permitting authority includes any such restriction that is no
longer applicable, or which does not comply with any such restriction.
(3) If, for any control period under paragraph (b) of this section,
the fuel use restriction under paragraph (b)(1)(i) of this section or
the operating hours restriction under paragraphs (b)(1)(ii) and (iii)
of this section is removed from the unit's federally enforceable permit
or otherwise becomes no longer applicable or if, for any such control
period, the unit does not comply with the fuel use restriction under
paragraph (b)(1)(i) of this section or the operating hours restriction
under paragraphs (b)(1)(ii) and (iii) of this section, the unit shall
be a NOX Budget unit, subject to the requirements of this
part. Such unit shall be treated as commencing operation and, for a
unit under paragraph (a)(1) of this section, commencing commercial
operation on September 30 of the control period for which the fuel use
restriction or the operating hours restriction is no longer applicable
or during which the unit does not comply with the fuel use restriction
or the operating hours restriction.
Sec. 96.5 Retired unit exemption.
(a) This section applies to any NOX Budget unit, other
than a NOX Budget opt-in source, that is permanently
retired.
(b)(1) Any NOX Budget unit, other than a NOX
Budget opt-in source, that is permanently retired shall be exempt from
the NOX Budget Trading Program, except for the provisions of
this section, Secs. 96.2, 96.3, 96.4, 96.7 and subparts E, F, and G of
this part.
(2) The exemption under paragraph (b)(1) of this section shall
become effective the day on which the unit is permanently retired.
Within 30 days of permanent retirement, the NOX authorized
account representative (authorized in accordance with subpart B of this
part) shall submit a statement to the permitting authority otherwise
responsible for administering any NOX Budget permit for the
unit. A copy of the statement shall be submitted to the Administrator.
The statement shall state (in a format prescribed by the permitting
authority) that the unit is permanently retired and will comply with
the requirements of paragraph (c) of this section.
(3) After receipt of the notice under paragraph (b)(2) of this
section, the permitting authority will amend any permit covering the
source at which the unit is located to add the provisions and
requirements of the exemption under paragraphs (b)(1) and (c) of this
section.
(c) Special provisions. (1) A unit exempt under this section shall
not emit any nitrogen oxides, starting on the date that the exemption
takes effect. The owners and operators of the unit will be allocated
allowances in accordance with subpart E of this part.
(2)(i) A unit exempt under this section and located at a source
that is required, or but for this exemption would be required, to have
a title V operating permit shall not resume operation unless the
NOX authorized account representative of the source submits
a complete NOX Budget permit application under Sec. 96.22
for the unit not less than 18 months (or such lesser time provided
under the permitting authority's title V operating permits regulations
for final action on a permit application) prior to the later of May 1,
2003 or the date on which the unit is to first resume operation.
(ii) A unit exempt under this section and located at a source that
is required, or but for this exemption would be required, to have a
non-title V permit shall not resume operation unless the NOX
authorized account representative of the source submits a complete
NOX Budget permit application under Sec. 96.22 for the unit
not less than 18 months (or such lesser time provided under the
permitting authority's non-title V permits regulations for final action
on a permit application) prior to the later of May 1, 2003 or the date
on which the unit is to first resume operation.
(3) The owners and operators and, to the extent applicable, the
NOX authorized account representative of a unit exempt under
this section shall comply with the requirements of the NOX
Budget 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 that is exempt under this section is not eligible to be
a NOX Budget opt-in source under subpart I of this part.
(5) For a period of 5 years from the date the records are created,
the owners and operators of a unit exempt under 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 prior to the end of the period,
in writing by the permitting authority or the Administrator. The owners
and operators bear the burden of proof that the unit is permanently
retired.
(6) Loss of exemption. (i) On the earlier of the following dates, a
unit exempt under paragraph (b) of this section shall lose its
exemption:
(A) The date on which the NOX authorized account
representative submits a NOX Budget permit application under
paragraph (c)(2) of this section; or
(B) The date on which the NOX authorized account
representative is required under paragraph (c)(2) of this section to
submit a NOX Budget permit application.
(ii) For the purpose of applying monitoring requirements under
subpart H of this part, a unit that loses its exemption under this
section shall be treated as a unit that commences operation or
commercial operation on the first date on which the unit resumes operation.
Sec. 96.6 Standard requirements.
(a) Permit Requirements. (1) The NOX authorized account
representative of each NOX Budget source required to have a
federally enforceable permit and each NOX Budget unit
required to have a federally enforceable permit at the source shall:
(i) Submit to the permitting authority a complete NOX
Budget permit application under Sec. 96.22 in accordance
[[Page 57520]]
with the deadlines specified in Sec. 96.21(b) and (c);
(ii) Submit in a timely manner any supplemental information that
the permitting authority determines is necessary in order to review a
NOX Budget permit application and issue or deny a
NOX Budget permit.
(2) The owners and operators of each NOX Budget source
required to have a federally enforceable permit and each NOX
Budget unit required to have a federally enforceable permit at the
source shall have a NOX Budget permit issued by the
permitting authority and operate the unit in compliance with such
NOX Budget permit.
(3) The owners and operators of a NOX Budget source that
is not otherwise required to have a federally enforceable permit are
not required to submit a NOX Budget permit application, and
to have a NOX Budget permit, under subpart C of this part
for such NOX Budget source.
(b) Monitoring requirements. (1) The owners and operators and, to
the extent applicable, the NOX authorized account
representative of each NOX Budget source and each
NOX Budget unit at the source shall comply with the
monitoring requirements of subpart H of this part.
(2) The emissions measurements recorded and reported in accordance
with subpart H of this part shall be used to determine compliance by
the unit with the NOX Budget emissions limitation under
paragraph (c) of this section.
(c) Nitrogen oxides requirements. (1) The owners and operators of
each NOX Budget source and each NOX Budget unit
at the source shall hold NOX allowances available for
compliance deductions under Sec. 96.54, as of the NOX
allowance transfer deadline, in the unit's compliance account and the
source's overdraft account in an amount not less than the total
NOX emissions for the control period from the unit, as
determined in accordance with subpart H of this part, plus any amount
necessary to account for actual utilization under Sec. 96.42(e) for the
control period.
(2) Each ton of nitrogen oxides emitted in excess of the
NOX Budget emissions limitation shall constitute a separate
violation of this part, the CAA, and applicable State law.
(3) A NOX Budget unit shall be subject to the
requirements under paragraph (c)(1) of this section starting on the
later of May 1, 2003 or the date on which the unit commences operation.
(4) NOX allowances shall be held in, deducted from, or
transferred among NOX Allowance Tracking System accounts in
accordance with subparts E, F, G, and I of this part.
(5) A NOX allowance shall not be deducted, in order to
comply with the requirements under paragraph (c)(1) of this section,
for a control period in a year prior to the year for which the
NOX allowance was allocated.
(6) A NOX allowance allocated by the permitting
authority or the Administrator under the NOX Budget Trading
Program is a limited authorization to emit one ton of nitrogen oxides
in accordance with the NOX Budget Trading Program. No
provision of the NOX Budget Trading Program, the
NOX Budget permit application, the NOX Budget
permit, or an exemption under Sec. 96.5 and no provision of law shall
be construed to limit the authority of the United States or the State
to terminate or limit such authorization.
(7) A NOX allowance allocated by the permitting
authority or the Administrator under the NOX Budget Trading
Program does not constitute a property right.
(8) Upon recordation by the Administrator under subpart F, G, or I
of this part, every allocation, transfer, or deduction of a
NOX allowance to or from a NOX Budget unit's
compliance account or the overdraft account of the source where the
unit is located is deemed to amend automatically, and become a part of,
any NOX Budget permit of the NOX Budget unit by
operation of law without any further review.
(d) Excess emissions requirements. (1) The owners and operators of
a NOX Budget unit that has excess emissions in any control
period shall:
(i) Surrender the NOX allowances required for deduction
under Sec. 96.54(d)(1); and
(ii) Pay any fine, penalty, or assessment or comply with any other
remedy imposed under Sec. 96.54(d)(3).
(e) Recordkeeping and Reporting requirements.
(1) Unless otherwise provided, the owners and operators of the
NOX Budget source and each NOX Budget unit at the
source shall keep on site at the source each of the following documents
for a period of 5 years from the date the document is created. This
period may be extended for cause, at any time prior to the end of 5
years, in writing by the permitting authority or the Administrator.
(i) The account certificate of representation for the
NOX authorized account representative for the source and
each NOX Budget unit at the source and all documents that
demonstrate the truth of the statements in the account certificate of
representation, in accordance with Sec. 96.13; provided that the
certificate and documents shall be retained on site at the source
beyond such 5-year period until such documents are superseded because
of the submission of a new account certificate of representation
changing the NOX authorized account representative.
(ii) All emissions monitoring information, in accordance with
subpart H of this part; provided that to the extent that subpart H of
this part provides for a 3-year period for recordkeeping, the 3-year
period shall apply.
(iii) Copies of all reports, compliance certifications, and other
submissions and all records made or required under the NOX
Budget Trading Program.
(iv) Copies of all documents used to complete a NOX
Budget permit application and any other submission under the
NOX Budget Trading Program or to demonstrate compliance with
the requirements of the NOX Budget Trading Program.
(2) The NOX authorized account representative of a
NOX Budget source and each NOX Budget unit at the
source shall submit the reports and compliance certifications required
under the NOX Budget Trading Program, including those under
subparts D, H, or I of this part.
(f) Liability. (1) Any person who knowingly violates any
requirement or prohibition of the NOX Budget Trading
Program, a NOX Budget permit, or an exemption under
Sec. 96.5 shall be subject to enforcement pursuant to applicable State
or Federal law.
(2) Any person who knowingly makes a false material statement in
any record, submission, or report under the NOX Budget
Trading Program shall be subject to criminal enforcement pursuant to
the applicable State or Federal law.
(3) No permit revision shall excuse any violation of the
requirements of the NOX Budget Trading Program that occurs
prior to the date that the revision takes effect.
(4) Each NOX Budget source and each NOX
Budget unit shall meet the requirements of the NOX Budget
Trading Program.
(5) Any provision of the NOX Budget Trading Program that
applies to a NOX Budget source (including a provision
applicable to the NOX authorized account representative of a
NOX Budget source) shall also apply to the owners and
operators of such source and of the NOX Budget units at the
source.
(6) Any provision of the NOX Budget Trading Program that
applies to a NOX Budget unit (including a provision
applicable to the NOX authorized
[[Page 57521]]
account representative of a NOX budget unit) shall also
apply to the owners and operators of such unit. Except with regard to
the requirements applicable to units with a common stack under subpart
H of this part, the owners and operators and the NOX
authorized account representative of one NOX Budget unit
shall not be liable for any violation by any other NOX
Budget unit of which they are not owners or operators or the
NOX authorized account representative and that is located at
a source of which they are not owners or operators or the
NOX authorized account representative.
(g) Effect on other authorities. No provision of the NOX
Budget Trading Program, a NOX Budget permit application, a
NOX Budget permit, or an exemption under Sec. 96.5 shall be
construed as exempting or excluding the owners and operators and, to
the extent applicable, the NOX authorized account
representative of a NOX Budget source or NOX
Budget unit from compliance with any other provision of the applicable,
approved State implementation plan, a federally enforceable permit, or
the CAA.
Sec. 96.7 Computation of time.
(a) Unless otherwise stated, any time period scheduled, under the
NOX Budget 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
NOX Budget 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 NOX Budget Trading Program, falls on a weekend or
a State or Federal holiday, the time period shall be extended to the
next business day.
Subpart B--NOX Authorized Account Representative for
NOX Budget Sources
Sec. 96.10 Authorization and responsibilities of the NOX
authorized account representative.
(a) Except as provided under Sec. 96.11, each NOX Budget
source, including all NOX Budget units at the source, shall
have one and only one NOX authorized account representative,
with regard to all matters under the NOX Budget Trading
Program concerning the source or any NOX Budget unit at the
source.
(b) The NOX authorized account representative of the
NOX Budget source shall be selected by an agreement binding
on the owners and operators of the source and all NOX Budget
units at the source.
(c) Upon receipt by the Administrator of a complete account
certificate of representation under Sec. 96.13, the NOX
authorized account representative of the source shall represent and, by
his or her representations, actions, inactions, or submissions, legally
bind each owner and operator of the NOX Budget source
represented and each NOX Budget unit at the source in all
matters pertaining to the NOX Budget Trading Program, not
withstanding any agreement between the NOX authorized
account representative and such owners and operators. The owners and
operators shall be bound by any decision or order issued to the
NOX authorized account representative by the permitting
authority, the Administrator, or a court regarding the source or unit.
(d) No NOX Budget permit shall be issued, and no
NOX Allowance Tracking System account shall be established
for a NOX Budget unit at a source, until the Administrator
has received a complete account certificate of representation under
Sec. 96.13 for a NOX authorized account representative of
the source and the NOX Budget units at the source.
(e)(1) Each submission under the NOX Budget Trading
Program shall be submitted, signed, and certified by the NOX
authorized account representative for each NOX Budget source
on behalf of which the submission is made. Each such submission shall
include the following certification statement by the NOX
authorized account representative: ``I am authorized to make this
submission on behalf of the owners and operators of the NOX
Budget sources or NOX Budget units for which the submission
is made. I certify under penalty of law that I have personally
examined, and am familiar with, the statements and information
submitted in this document and all its attachments. Based on my inquiry
of those individuals with primary responsibility for obtaining the
information, I certify that the statements and information are to the
best of my knowledge and belief true, accurate, and complete. I am
aware that there are significant penalties for submitting false
statements and information or omitting required statements and
information, including the possibility of fine or imprisonment.''
(2) The permitting authority and the Administrator will accept or
act on a submission made on behalf of owner or operators of a
NOX Budget source or a NOX Budget unit only if
the submission has been made, signed, and certified in accordance with
paragraph (e)(1) of this section.
Sec. 96.11 Alternate NOX authorized account representative.
(a) An account certificate of representation may designate one and
only one alternate NOX authorized account representative who
may act on behalf of the NOX authorized account
representative. The agreement by which the alternate NOX
authorized account representative is selected shall include a procedure
for authorizing the alternate NOX authorized account
representative to act in lieu of the NOX authorized account
representative.
(b) Upon receipt by the Administrator of a complete account
certificate of representation under Sec. 96.13, any representation,
action, inaction, or submission by the alternate NOX
authorized account representative shall be deemed to be a
representation, action, inaction, or submission by the NOX
authorized account representative.
(c) Except in this section and Secs. 96.10(a), 96.12, 96.13, and
96.51, whenever the term ``NOX authorized account
representative'' is used in this part, the term shall be construed to
include the alternate NOX authorized account representative.
Sec. 96.12 Changing the NOX authorized account
representative and the alternate NOX authorized account
representative; changes in the owners and operators.
(a) Changing the NOX authorized account representative.
The NOX authorized account representative may be changed at
any time upon receipt by the Administrator of a superseding complete
account certificate of representation under Sec. 96.13. Notwithstanding
any such change, all representations, actions, inactions, and
submissions by the previous NOX authorized account
representative prior to the time and date when the Administrator
receives the superseding account certificate of representation shall be
binding on the new NOX authorized account representative and
the owners and operators of the NOX Budget source and the
NOX Budget units at the source.
(b) Changing the alternate NOX authorized account
representative. The alternate NOX authorized account
representative may be changed at any time upon receipt by the
Administrator of a superseding complete account certificate of
representation under Sec. 96.13. Notwithstanding any such change, all
representations, actions, inactions, and submissions by the previous
alternate NOX authorized account representative prior to the
time and date when the Administrator receives the superseding account
certificate of representation shall be
[[Page 57522]]
binding on the new alternate NOX authorized account
representative and the owners and operators of the NOX
Budget source and the NOX Budget units at the source.
(c) Changes in the owners and operators. (1) In the event a new
owner or operator of a NOX Budget source or a NOX
Budget unit is not included in the list of owners and operators
submitted in the account certificate of representation, such new owner
or operator shall be deemed to be subject to and bound by the account
certificate of representation, the representations, actions, inactions,
and submissions of the NOX authorized account representative
and any alternate NOX authorized account representative of
the source or unit, and the decisions, orders, actions, and inactions
of the permitting authority or the Administrator, as if the new owner
or operator were included in such list.
(2) Within 30 days following any change in the owners and operators
of a NOX Budget source or a NOX Budget unit,
including the addition of a new owner or operator, the NOX
authorized account representative or alternate NOX
authorized account representative shall submit a revision to the
account certificate of representation amending the list of owners and
operators to include the change.
Sec. 96.13 Account certificate of representation.
(a) A complete account certificate of representation for a
NOX authorized account representative or an alternate
NOX authorized account representative shall include the
following elements in a format prescribed by the Administrator:
(1) Identification of the NOX Budget source and each
NOX Budget unit at the source for which the account
certificate of representation is submitted.
(2) The name, address, e-mail address (if any), telephone number,
and facsimile transmission number (if any) of the NOX
authorized account representative and any alternate NOX
authorized account representative.
(3) A list of the owners and operators of the NOX Budget
source and of each NOX Budget unit at the source.
(4) The following certification statement by the NOX
authorized account representative and any alternate NOX
authorized account representative: ``I certify that I was selected as
the NOX authorized account representative or alternate
NOX authorized account representative, as applicable, by an
agreement binding on the owners and operators of the NOX
Budget source and each NOX Budget unit at the source. I
certify that I have all the necessary authority to carry out my duties
and responsibilities under the NOX Budget Trading Program on
behalf of the owners and operators of the NOX Budget source
and of each NOX Budget 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 permitting authority, the Administrator, or a court regarding the
source or unit.''
(5) The signature of the NOX authorized account
representative and any alternate NOX authorized account
representative and the dates signed.
(b) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the account
certificate of representation shall not be submitted to the permitting
authority or the Administrator. Neither the permitting authority nor
the Administrator shall be under any obligation to review or evaluate
the sufficiency of such documents, if submitted.
Sec. 96.14 Objections concerning the NOX authorized account
representative.
(a) Once a complete account certificate of representation under
Sec. 96.13 has been submitted and received, the permitting authority
and the Administrator will rely on the account certificate of
representation unless and until a superseding complete account
certificate of representation under Sec. 96.13 is received by the
Administrator.
(b) Except as provided in Sec. 96.12(a) or (b), no objection or
other communication submitted to the permitting authority or the
Administrator concerning the authorization, or any representation,
action, inaction, or submission of the NOX authorized
account representative shall affect any representation, action,
inaction, or submission of the NOX authorized account
representative or the finality of any decision or order by the
permitting authority or the Administrator under the NOX
Budget Trading Program.
(c) Neither the permitting authority nor the Administrator will
adjudicate any private legal dispute concerning the authorization or
any representation, action, inaction, or submission of any
NOX authorized account representative, including private
legal disputes concerning the proceeds of NOX allowance
transfers.
Subpart C--Permits
Sec. 96.20 General NOX Budget trading program permit
requirements.
(a) For each NOX Budget source required to have a
federally enforceable permit, such permit shall include a
NOX Budget permit administered by the permitting authority.
(1) For NOX Budget sources required to have a title V
operating permit, the NOX Budget portion of the title V
permit shall be administered in accordance with the permitting
authority's title V operating permits regulations promulgated under
part 70 or 71 of this chapter, except as provided otherwise by this
subpart or subpart I of this part. The applicable provisions of such
title V operating permits regulations shall include, but are not
limited to, those provisions addressing operating permit applications,
operating permit application shield, operating permit duration,
operating permit shield, operating permit issuance, operating permit
revision and reopening, public participation, State review, and review
by the Administrator.
(2) For NOX Budget sources required to have a non-title
V permit, the NOX Budget portion of the non-title V permit
shall be administered in accordance with the permitting authority's
regulations promulgated to administer non-title V permits, except as
provided otherwise by this subpart or subpart I of this part. The
applicable provisions of such non-title V permits regulations may
include, but are not limited to, provisions addressing permit
applications, permit application shield, permit duration, permit
shield, permit issuance, permit revision and reopening, public
participation, State review, and review by the Administrator.
(b) Each NOX Budget permit (including a draft or
proposed NOX Budget permit, if applicable) shall contain all
applicable NOX Budget Trading Program requirements and shall
be a complete and segregable portion of the permit under paragraph (a)
of this section.
Sec. 96.21 Submission of NOX Budget permit applications.
(a) Duty to apply. The NOX authorized account
representative of any NOX Budget source required to have a
federally enforceable permit shall submit to the permitting authority a
complete NOX Budget permit application under Sec. 96.22 by
the applicable deadline in paragraph (b) of this section.
[[Page 57523]]
(b)(1) For NOX Budget sources required to have a title V
operating permit:
(i) For any source, with one or more NOX Budget units
under Sec. 96.4 that commence operation before January 1, 2000, the
NOX authorized account representative shall submit a
complete NOX Budget permit application under Sec. 96.22
covering such NOX Budget units to the permitting authority
at least 18 months (or such lesser time provided under the permitting
authority's title V operating permits regulations for final action on a
permit application) before May 1, 2003.
(ii) For any source, with any NOX Budget unit under
Sec. 96.4 that commences operation on or after January 1, 2000, the
NOX authorized account representative shall submit a
complete NOX Budget permit application under Sec. 96.22
covering such NOX Budget unit to the permitting authority at
least 18 months (or such lesser time provided under the permitting
authority's title V operating permits regulations for final action on a
permit application) before the later of May 1, 2003 or the date on
which the NOX Budget unit commences operation.
(2) For NOX Budget sources required to have a non-title
V permit:
(i) For any source, with one or more NOX Budget units
under Sec. 96.4 that commence operation before January 1, 2000, the
NOX authorized account representative shall submit a
complete NOX Budget permit application under Sec. 96.22
covering such NOX Budget units to the permitting authority
at least 18 months (or such lesser time provided under the permitting
authority's non-title V permits regulations for final action on a
permit application) before May 1, 2003.
(ii) For any source, with any NOX Budget unit under
Sec. 96.4 that commences operation on or after January 1, 2000, the
NOX authorized account representative shall submit a
complete NOX Budget permit application under Sec. 96.22
covering such NOX Budget unit to the permitting authority at
least 18 months (or such lesser time provided under the permitting
authority's non-title V permits regulations for final action on a
permit application) before the later of May 1, 2003 or the date on
which the NOX Budget unit commences operation.
(c) Duty to reapply. (1) For a NOX Budget source
required to have a title V operating permit, the NOX
authorized account representative shall submit a complete
NOX Budget permit application under Sec. 96.22 for the
NOX Budget source covering the NOX Budget units
at the source in accordance with the permitting authority's title V
operating permits regulations addressing operating permit renewal.
(2) For a NOX Budget source required to have a non-title
V permit, the NOX authorized account representative shall
submit a complete NOX Budget permit application under
Sec. 96.22 for the NOX Budget source covering the
NOX Budget units at the source in accordance with the
permitting authority's non-title V permits regulations addressing
permit renewal.
Sec. 96.22 Information requirements for NOX Budget permit
applications.
A complete NOX Budget permit application shall include
the following elements concerning the NOX Budget source for
which the application is submitted, in a format prescribed by the
permitting authority:
(a) Identification of the NOX Budget source, including
plant name and the ORIS (Office of Regulatory Information Systems) or
facility code assigned to the source by the Energy Information
Administration, if applicable;
(b) Identification of each NOX Budget unit at the
NOX Budget source and whether it is a NOX Budget
unit under Sec. 96.4 or under subpart I of this part;
(c) The standard requirements under Sec. 96.6; and
(d) For each NOX Budget opt-in unit at the
NOX Budget source, the following certification statements by
the NOX authorized account representative:
(1) ``I certify that each unit for which this permit application is
submitted under subpart I of this part is not a NOX Budget
unit under 40 CFR 96.4 and is not covered by a retired unit exemption
under 40 CFR 96.5 that is in effect.''
(2) If the application is for an initial NOX Budget opt-
in permit, ``I certify that each unit for which this permit application
is submitted under subpart I is currently operating, as that term is
defined under 40 CFR 96.2.''
Sec. 96.23 NOX Budget permit contents.
(a) Each NOX Budget permit (including any draft or
proposed NOX Budget permit, if applicable) will contain, in
a format prescribed by the permitting authority, all elements required
for a complete NOX Budget permit application under
Sec. 96.22 as approved or adjusted by the permitting authority.
(b) Each NOX Budget permit is deemed to incorporate
automatically the definitions of terms under Sec. 96.2 and, upon
recordation by the Administrator under subparts F, G, or I of this
part, every allocation, transfer, or deduction of a NOX
allowance to or from the compliance accounts of the NOX
Budget units covered by the permit or the overdraft account of the
NOX Budget source covered by the permit.
Sec. 96.24 Effective date of initial NOX Budget permit.
The initial NOX Budget permit covering a NOX
Budget unit for which a complete NOX Budget permit
application is timely submitted under Sec. 96.21(b) shall become
effective by the later of:
(a) May 1, 2003;
(b) May 1 of the year in which the NOX Budget unit
commences operation, if the unit commences operation on or before May 1
of that year;
(c) The date on which the NOX Budget unit commences
operation, if the unit commences operation during a control period; or
(d) May 1 of the year following the year in which the
NOX Budget unit commences operation, if the unit commences
operation on or after October 1 of the year.
Sec. 96.25 NOX Budget permit revisions.
(a) For a NOX Budget source with a title V operating
permit, except as provided in Sec. 96.23(b), the permitting authority
will revise the NOX Budget permit, as necessary, in
accordance with the permitting authority's title V operating permits
regulations addressing permit revisions.
(b) For a NOX Budget source with a non-title V permit,
except as provided in Sec. 96.23(b), the permitting authority will
revise the NOX Budget permit, as necessary, in accordance
with the permitting authority's non-title V permits regulations
addressing permit revisions.
Subpart D--Compliance Certification
Sec. 96.30 Compliance certification report.
(a) Applicability and deadline. For each control period in which
one or more NOX Budget units at a source are subject to the
NOX Budget emissions limitation, the NOX
authorized account representative of the source shall submit to the
permitting authority and the Administrator by November 30 of that year,
a compliance certification report for each source covering all such units.
(b) Contents of report. The NOX authorized account
representative shall include in the compliance certification report
under paragraph (a) of this section the following elements, in a format
prescribed by the Administrator, concerning each unit at the source and
subject to the NOX Budget emissions limitation for the
control period covered by the report:
(1) Identification of each NOX Budget unit;
[[Page 57524]]
(2) At the NOX authorized account representative's
option, the serial numbers of the NOX allowances that are to
be deducted from each unit's compliance account under Sec. 96.54 for
the control period;
(3) At the NOX authorized account representative's
option, for units sharing a common stack and having NOX
emissions that are not monitored separately or apportioned in
accordance with subpart H of this part, the percentage of allowances
that is to be deducted from each unit's compliance account under
Sec. 96.54(e); and
(4) The compliance certification under paragraph (c) of this section.
(c) Compliance certification. In the compliance certification
report under paragraph (a) of this section, the NOX
authorized account representative shall certify, based on reasonable
inquiry of those persons with primary responsibility for operating the
source and the NOX Budget units at the source in compliance
with the NOX Budget Trading Program, whether each
NOX Budget unit for which the compliance certification is
submitted was operated during the calendar year covered by the report
in compliance with the requirements of the NOX Budget
Trading Program applicable to the unit, including:
(1) Whether the unit was operated in compliance with the
NOX Budget emissions limitation;
(2) Whether the monitoring plan that governs the unit has been
maintained to reflect the actual operation and monitoring of the unit,
and contains all information necessary to attribute NOX
emissions to the unit, in accordance with subpart H of this part;
(3) Whether all the NOX emissions from the unit, or a
group of units (including the unit) using a common stack, were
monitored or accounted for through the missing data procedures and
reported in the quarterly monitoring reports, including whether
conditional data were reported in the quarterly reports in accordance
with subpart H of this part. If conditional data were reported, the
owner or operator shall indicate whether the status of all conditional
data has been resolved and all necessary quarterly report resubmissions
has been made;
(4) Whether the facts that form the basis for certification under
subpart H of this part of each monitor at the unit or a group of units
(including the unit) using a common stack, or for using an excepted
monitoring method or alternative monitoring method approved under
subpart H of this part, if any, has changed; and
(5) If a change is required to be reported under paragraph (c)(4)
of this section, specify the nature of the change, the reason for the
change, when the change occurred, and how the unit's compliance status
was determined subsequent to the change, including what method was used
to determine emissions when a change mandated the need for monitor
recertification.
Sec. 96.31 Permitting authority's and Administrator's action on
compliance certifications.
(a) The permitting authority or the Administrator may review and
conduct independent audits concerning any compliance certification or
any other submission under the NOX Budget Trading Program
and make appropriate adjustments of the information in the compliance
certifications or other submissions.
(b) The Administrator may deduct NOX allowances from or
transfer NOX allowances to a unit's compliance account or a
source's overdraft account based on the information in the compliance
certifications or other submissions, as adjusted under paragraph (a) of
this section.
Subpart E--NOX Allowance Allocations
Sec. 96.40 State trading program budget.
The State trading program budget allocated by the permitting
authority under Sec. 96.42 for a control period will equal the total
number of tons of NOX emissions apportioned to the
NOX Budget units under Sec. 96.4 in the State for the
control period, as determined by the applicable, approved State
implementation plan.
Sec. 96.41 Timing requirements for NOX allowance allocations.
(a) By September 30, 1999, the permitting authority will submit to
the Administrator the NOX allowance allocations, in
accordance with Sec. 96.42, for the control periods in 2003, 2004, and
2005.
(b) By April 1, 2003 and April 1 of each year thereafter, the
permitting authority will submit to the Administrator the
NOX allowance allocations, in accordance with Sec. 96.42,
for the control period in the year that is three years after the year
of the applicable deadline for submission under this paragraph (b). If
the permitting authority fails to submit to the Administrator the
NOX allowance allocations in accordance with this paragraph
(b), the Administrator will allocate, for the applicable control
period, the same number of NOX allowances as were allocated
for the preceding control period.
(c) By April 1, 2004 and April 1 of each year thereafter, the
permitting authority will submit to the Administrator the
NOX allowance allocations, in accordance with Sec. 96.42,
for any NOX allowances remaining in the allocation set-aside
for the prior control period.
Sec. 96.42 NOX allowance allocations.
(a)(1) The heat input (in mmBtu) used for calculating
NOX allowance allocations for each NOX Budget
unit under Sec. 96.4 will be:
(i) For a NOX allowance allocation under Sec. 96.41(a),
the average of the two highest amounts of the unit's heat input for the
control periods in 1995, 1996, and 1997 if the unit is under
Sec. 96.4(a)(1) or the control period in 1995 if the unit is under
Sec. 96.4(a)(2); and
(ii) For a NOX allowance allocation under Sec. 96.41(b),
the unit's heat input for the control period in the year that is four
years before the year for which the NOX allocation is being
calculated.
(2) The unit's total heat input for the control period in each year
specified under paragraph (a)(1) of this section will be determined in
accordance with part 75 of this chapter if the NOX Budget
unit was otherwise subject to the requirements of part 75 of this
chapter for the year, or will be based on the best available data
reported to the permitting authority for the unit if the unit was not
otherwise subject to the requirements of part 75 of this chapter for
the year.
(b) For each control period under Sec. 96.41, the permitting
authority will allocate to all NOX Budget units under
Sec. 96.4(a)(1) in the State that commenced operation before May 1 of
the period used to calculate heat input under paragraph (a)(1) of this
section, a total number of NOX allowances equal to 95
percent in 2003, 2004, and 2005, or 98 percent thereafter, of the tons
of NOX emissions in the State trading program budget
apportioned to electric generating units under Sec. 96.40 in accordance
with the following procedures:
(1) The permitting authority will allocate NOX
allowances to each NOX Budget unit under Sec. 96.4(a)(1) in
an amount equaling 0.15 lb/mmBtu multiplied by the heat input
determined under paragraph (a) of this section, rounded to the nearest
whole NOX allowance as appropriate.
(2) If the initial total number of NOX allowances
allocated to all NOX Budget units under Sec. 96.4(a)(1) in
the State for a control period under paragraph (b)(1) of this section
does not equal 95 percent in 2003, 2004, and 2005, or 98 percent
thereafter, of the number of tons of NOX emissions in the
State trading program
[[Page 57525]]
budget apportioned to electric generating units, the permitting
authority will adjust the total number of NOX allowances
allocated to all such NOX Budget units for the control
period under paragraph (b)(1) of this section so that the total number
of NOX allowances allocated equals 95 percent in 2003, 2004,
and 2005, or 98 percent thereafter, of the number of tons of
NOX emissions in the State trading program budget
apportioned to electric generating units. This adjustment will be made
by: multiplying each unit's allocation by 95 percent in 2003, 2004, and
2005, or 98 percent thereafter, of the number of tons of NOX
emissions in the State trading program budget apportioned to electric
generating units divided by the total number of NOX
allowances allocated under paragraph (b)(1) of this section, and
rounding to the nearest whole NOX allowance as appropriate.
(c) For each control period under Sec. 96.41, the permitting
authority will allocate to all NOX Budget units under
Sec. 96.4(a)(2) in the State that commenced operation before May 1 of
the period used to calculate heat input under paragraph (a)(1) of this
section, a total number of NOX allowances equal to 95
percent in 2003, 2004, and 2005, or 98 percent thereafter, of the tons
of NOX emissions in the State trading program budget
apportioned to non-electric generating units under Sec. 96.40 in
accordance with the following procedures:
(1) The permitting authority will allocate NOX
allowances to each NOX Budget unit under Sec. 96.4(a)(2) in
an amount equaling 0.17 lb/mmBtu multiplied by the heat input
determined under paragraph (a) of this section, rounded to the nearest
whole NOX allowance as appropriate.
(2) If the initial total number of NOX allowances
allocated to all NOX Budget units under Sec. 96.4(a)(2) in
the State for a control period under paragraph (c)(1) of this section
does not equal 95 percent in 2003, 2004, and 2005, or 98 percent
thereafter, of the number of tons of NOX emissions in the
State trading program budget apportioned to non-electric generating
units, the permitting authority will adjust the total number of
NOX allowances allocated to all such NOX Budget
units for the control period under paragraph (c)(1) of this section so
that the total number of NOX allowances allocated equals 95
percent in 2003, 2004, and 2005, or 98 percent thereafter, of the
number of tons of NOX emissions in the State trading program
budget apportioned to non-electric generating units. This adjustment
will be made by: multiplying each unit's allocation by 95 percent in
2003, 2004, and 2005, or 98 percent thereafter, of the number of tons
of NOX emissions in the State trading program budget
apportioned to non-electric generating units divided by the total
number of NOX allowances allocated under paragraph (c)(1) of
this section, and rounding to the nearest whole NOX
allowance as appropriate.
(d) For each control period under Sec. 96.41, the permitting
authority will allocate NOX allowances to NOX
Budget units under Sec. 96.4 in the State that commenced operation, or
is projected to commence operation, on or after May 1 of the period
used to calculate heat input under paragraph (a)(1) of this section, in
accordance with the following procedures:
(1) The permitting authority will establish one allocation set-
aside for each control period. Each allocation set-aside will be
allocated NOX allowances equal to 5 percent in 2003, 2004,
and 2005, or 2 percent thereafter, of the tons of NOX
emissions in the State trading program budget under Sec. 96.40, rounded
to the nearest whole NOX allowance as appropriate.
(2) The NOX authorized account representative of a
NOX Budget unit under paragraph (d) of this section may
submit to the permitting authority a request, in writing or in a format
specified by the permitting authority, to be allocated NOX
allowances for no more than five consecutive control periods under
Sec. 96.41, starting with the control period during which the
NOX Budget unit commenced, or is projected to commence,
operation and ending with the control period preceding the control
period for which it will receive an allocation under paragraph (b) or
(c) of this section. The NOX allowance allocation request
must be submitted prior to May 1 of the first control period for which
the NOX allowance allocation is requested and after the date
on which the permitting authority issues a permit to construct the
NOX Budget unit.
(3) In a NOX allowance allocation request under
paragraph (d)(2) of this section, the NOX authorized account
representative for units under Sec. 96.4(a)(1) may request for a
control period NOX allowances in an amount that does not
exceed 0.15 lb/mmBtu multiplied by the NOX Budget unit's
maximum design heat input (in mmBtu/hr) multiplied by the number of
hours remaining in the control period starting with the first day in
the control period on which the unit operated or is projected to operate.
(4) In a NOX allowance allocation request under
paragraph (d)(2) of this section, the NOX authorized account
representative for units under Sec. 96.4(a)(2) may request for a
control period NOX allowances in an amount that does not
exceed 0.17 lb/mmBtu multiplied by the NOX Budget unit's
maximum design heat input (in mmBtu/hr) multiplied by the number of
hours remaining in the control period starting with the first day in
the control period on which the unit operated or is projected to operate.
(5) The permitting authority will review, and allocate
NOX allowances pursuant to, each NOX allowance
allocation request under paragraph (d)(2) of this section in the order
that the request is received by the permitting authority.
(i) Upon receipt of the NOX allowance allocation
request, the permitting authority will determine whether, and will make
any necessary adjustments to the request to ensure that, for units
under Sec. 96.4(a)(1), the control period and the number of allowances
specified are consistent with the requirements of paragraphs (d)(2) and
(3) of this section and, for units under Sec. 96.4(a)(2), the control
period and the number of allowances specified are consistent with the
requirements of paragraphs (d)(2) and (4) of this section.
(ii) If the allocation set-aside for the control period for which
NOX allowances are requested has an amount of NOX
allowances not less than the number requested (as adjusted under
paragraph (d)(5)(i) of this section), the permitting authority will
allocate the amount of the NOX allowances requested (as
adjusted under paragraph (d)(5)(i) of this section) to the
NOX Budget unit.
(iii) If the allocation set-aside for the control period for which
NOX allowances are requested has a smaller amount of
NOX allowances than the number requested (as adjusted under
paragraph (d)(5)(i) of this section), the permitting authority will
deny in part the request and allocate only the remaining number of
NOX allowances in the allocation set-aside to the
NOX Budget unit.
(iv) Once an allocation set-aside for a control period has been
depleted of all NOX allowances, the permitting authority
will deny, and will not allocate any NOX allowances pursuant
to, any NOX allowance allocation request under which
NOX allowances have not already been allocated for the
control period.
(6) Within 60 days of receipt of a NOX allowance
allocation request, the permitting authority will take appropriate
action under paragraph (d)(5) of this section and notify the
NOX authorized account representative that submitted the
request and the Administrator of the number of NOX
[[Page 57526]]
allowances (if any) allocated for the control period to the
NOX Budget unit.
(e) For a NOX Budget unit that is allocated
NOX allowances under paragraph (d) of this section for a
control period, the Administrator will deduct NOX allowances
under Sec. 96.54(b) or (e) to account for the actual utilization of the
unit during the control period. The Administrator will calculate the
number of NOX allowances to be deducted to account for the
unit's actual utilization using the following formulas and rounding to
the nearest whole NOX allowance as appropriate, provided
that the number of NOX allowances to be deducted shall be
zero if the number calculated is less than zero:
NOX allowances deducted for actual utilization for units
under Sec. 96.4(a)(1) = (Unit's NOX allowances allocated
for control period)-(Unit's actual control period utilization x
0.15 lb/mmBtu); and
NOX allowances deducted for actual utilization for units
under Sec. 96.4(a)(2) = (Unit's NOX allowances allocated
for control period)-(Unit's actual control period utilization x
0.17 lb/mmBtu)
Where:
``Unit's NOX allowances allocated for control
period'' is the number of NOX allowances allocated to the
unit for the control period under paragraph (d) of this section; and
``Unit's actual control period utilization'' is the utilization
(in mmBtu), as defined in Sec. 96.2, of the unit during the control period.
(f) After making the deductions for compliance under Sec. 96.54(b)
or (e) for a control period, the Administrator will notify the
permitting authority whether any NOX allowances remain in
the allocation set-aside for the control period. The permitting
authority will allocate any such NOX allowances to the
NOX Budget units in the State using the following formula
and rounding to the nearest whole NOX allowance as appropriate:
Unit's share of NOX allowances remaining in allocation
set-aside = Total NOX allowances remaining in allocation
set-aside x (Unit's NOX allowance allocation <divide>
(State trading program budget excluding allocation set-aside)
Where:
``Total NOX allowances remaining in allocation set-
aside'' is the total number of NOX allowances remaining
in the allocation set-aside for the control period to which the
allocation set-aside applies;
``Unit's NOX allowance allocation'' is the number of
NOX allowances allocated under paragraph (b) or (c) of
this section to the unit for the control period to which the
allocation set-aside applies; and
``State trading program budget excluding allocation set-aside''
is the State trading program budget under Sec. 96.40 for the control
period to which the allocation set-aside applies multiplied by 95
percent if the control period is in 2003, 2004, or 2005 or 98
percent if the control period is in any year thereafter, rounded to
the nearest whole NOX allowance as appropriate.
Subpart F--NOX Allowance Tracking System
Sec. 96.50 NOX Allowance Tracking System accounts.
(a) Nature and function of compliance accounts and overdraft
accounts. Consistent with Sec. 96.51(a), the Administrator will
establish one compliance account for each NOX Budget unit
and one overdraft account for each source with one or more
NOX Budget units. Allocations of NOX allowances
pursuant to subpart E of this part or Sec. 96.88 and deductions or
transfers of NOX allowances pursuant to Sec. 96.31,
Sec. 96.54, Sec. 96.56, subpart G of this part, or subpart I of this
part will be recorded in the compliance accounts or overdraft accounts
in accordance with this subpart.
(b) Nature and function of general accounts. Consistent with
Sec. 96.51(b), the Administrator will establish, upon request, a
general account for any person. Transfers of allowances pursuant to
subpart G of this part will be recorded in the general account in
accordance with this subpart.
Sec. 96.51 Establishment of accounts.
(a) Compliance accounts and overdraft accounts. Upon receipt of a
complete account certificate of representation under Sec. 96.13, the
Administrator will establish:
(1) A compliance account for each NOX Budget unit for
which the account certificate of representation was submitted; and
(2) An overdraft account for each source for which the account
certificate of representation was submitted and that has two or more
NOX Budget units.
(b) General accounts. (1) Any person may apply to open a general
account for the purpose of holding and transferring allowances. A
complete application for a general account shall be submitted to the
Administrator and shall include the following elements in a format
prescribed by the Administrator:
(i) Name, mailing address, e-mail address (if any), telephone
number, and facsimile transmission number (if any) of the
NOX authorized account representative and any alternate
NOX authorized account representative;
(ii) At the option of the NOX authorized account
representative, organization name and type of organization;
(iii) A list of all persons subject to a binding agreement for the
NOX authorized account representative or any alternate
NOX authorized account representative to represent their
ownership interest with respect to the allowances held in the general
account;
(iv) The following certification statement by the NOX
authorized account representative and any alternate NOX
authorized account representative: ``I certify that I was selected as
the NOX authorized account representative or the
NOX alternate authorized account representative, as
applicable, by an agreement that is binding on all persons who have an
ownership interest with respect to allowances held in the general
account. I certify that I have all the necessary authority to carry out
my duties and responsibilities under the NOX Budget Trading
Program on behalf of such persons and that each such person shall be
fully bound by my representations, actions, inactions, or submissions
and by any order or decision issued to me by the Administrator or a
court regarding the general account.''
(v) The signature of the NOX authorized account
representative and any alternate NOX authorized account
representative and the dates signed.
(vi) Unless otherwise required by the permitting authority or the
Administrator, documents of agreement referred to in the account
certificate of representation shall not be submitted to the permitting
authority or the Administrator. Neither the permitting authority nor
the Administrator shall be under any obligation to review or evaluate
the sufficiency of such documents, if submitted.
(2) Upon receipt by the Administrator of a complete application for
a general account under paragraph (b)(1) of this section:
(i) The Administrator will establish a general account for the
person or persons for whom the application is submitted.
(ii) The NOX authorized account representative and any
alternate NOX authorized account representative for the
general account shall represent and, by his or her representations,
actions, inactions, or submissions, legally bind each person who has an
ownership interest with respect to NOX allowances held in
the general account in all matters pertaining to the NOX
Budget Trading Program, not withstanding any agreement between the
NOX authorized account representative or any alternate
NOX authorized account representative and such person. Any
such person shall be bound by any order or decision issued to the
NOX authorized account representative or any alternate
NOX authorized account representative by
[[Page 57527]]
the Administrator or a court regarding the general account.
(iii) Each submission concerning the general account shall be
submitted, signed, and certified by the NOX authorized
account representative or any alternate NOX authorized
account representative for the persons having an ownership interest
with respect to NOX allowances held in the general account.
Each such submission shall include the following certification
statement by the NOX authorized account representative or
any alternate NOX authorized account representative any: ``I
am authorized to make this submission on behalf of the persons having
an ownership interest with respect to the NOX allowances
held in the general account. I certify under penalty of law that I have
personally examined, and am familiar with, the statements and
information submitted in this document and all its attachments. Based
on my inquiry of those individuals with primary responsibility for
obtaining the information, I certify that the statements and
information are to the best of my knowledge and belief true, accurate,
and complete. I am aware that there are significant penalties for
submitting false statements and information or omitting required
statements and information, including the possibility of fine or
imprisonment.''
(iv) The Administrator will accept or act on a submission
concerning the general account only if the submission has been made,
signed, and certified in accordance with paragraph (b)(2)(iii) of this
section.
(3)(i) An application for a general account may designate one and
only one NOX authorized account representative and one and
only one alternate NOX authorized account representative who
may act on behalf of the NOX authorized account
representative. The agreement by which the alternate NOX
authorized account representative is selected shall include a procedure
for authorizing the alternate NOX authorized account
representative to act in lieu of the NOX authorized account
representative.
(ii) Upon receipt by the Administrator of a complete application
for a general account under paragraph (b)(1) of this section, any
representation, action, inaction, or submission by any alternate
NOX authorized account representative shall be deemed to be
a representation, action, inaction, or submission by the NOX
authorized account representative.
(4)(i) The NOX authorized account representative for a
general account may be changed at any time upon receipt by the
Administrator of a superseding complete application for a general
account under paragraph (b)(1) of this section. Notwithstanding any
such change, all representations, actions, inactions, and submissions
by the previous NOX authorized account representative prior
to the time and date when the Administrator receives the superseding
application for a general account shall be binding on the new
NOX authorized account representative and the persons with
an ownership interest with respect to the allowances in the general
account.
(ii) The alternate NOX authorized account representative
for a general account may be changed at any time upon receipt by the
Administrator of a superseding complete application for a general
account under paragraph (b)(1) of this section. Notwithstanding any
such change, all representations, actions, inactions, and submissions
by the previous alternate NOX authorized account
representative prior to the time and date when the Administrator
receives the superseding application for a general account shall be
binding on the new alternate NOX authorized account
representative and the persons with an ownership interest with respect
to the allowances in the general account.
(iii)(A) In the event a new person having an ownership interest
with respect to NOX allowances in the general account is not
included in the list of such persons in the account certificate of
representation, such new person shall be deemed to be subject to and
bound by the account certificate of representation, the representation,
actions, inactions, and submissions of the NOX authorized
account representative and any alternate NOX authorized
account representative of the source or unit, and the decisions,
orders, actions, and inactions of the Administrator, as if the new
person were included in such list.
(B) Within 30 days following any change in the persons having an
ownership interest with respect to NOX allowances in the
general account, including the addition of persons, the NOX
authorized account representative or any alternate NOX
authorized account representative shall submit a revision to the
application for a general account amending the list of persons having
an ownership interest with respect to the NOX allowances in
the general account to include the change.
(5)(i) Once a complete application for a general account under
paragraph (b)(1) of this section has been submitted and received, the
Administrator will rely on the application unless and until a
superseding complete application for a general account under paragraph
(b)(1) of this section is received by the Administrator.
(ii) Except as provided in paragraph (b)(4) of this section, no
objection or other communication submitted to the Administrator
concerning the authorization, or any representation, action, inaction,
or submission of the NOX authorized account representative
or any alternate NOX authorized account representative for a
general account shall affect any representation, action, inaction, or
submission of the NOX authorized account representative or
any alternate NOX authorized account representative or the
finality of any decision or order by the Administrator under the
NOX Budget Trading Program.
(iii) The Administrator will not adjudicate any private legal
dispute concerning the authorization or any representation, action,
inaction, or submission of the NOX authorized account
representative or any alternate NOX authorized account
representative for a general account, including private legal disputes
concerning the proceeds of NOX allowance transfers.
(c) Account identification. The Administrator will assign a unique
identifying number to each account established under paragraph (a) or
(b) of this section.
Sec. 96.52 NOX Allowance Tracking System responsibilities
of NOX authorized account representative.
(a) Following the establishment of a NOX Allowance
Tracking System account, all submissions to the Administrator
pertaining to the account, including, but not limited to, submissions
concerning the deduction or transfer of NOX allowances in
the account, shall be made only by the NOX authorized
account representative for the account.
(b) Authorized account representative identification. The
Administrator will assign a unique identifying number to each
NOX authorized account representative.
Sec. 96.53 Recordation of NOX allowance allocations.
(a) The Administrator will record the NOX allowances for
2003 in the NOX Budget units' compliance accounts and the
allocation set-asides, as allocated under subpart E of this part. The
Administrator will also record the NOX allowances allocated
under Sec. 96.88(a)(1) for each NOX Budget opt-in source in
its compliance account.
(b) Each year, after the Administrator has made all deductions from
a NOX Budget unit's compliance account and the overdraft
account pursuant to Sec. 96.54, the Administrator will record
[[Page 57528]]
NOX allowances, as allocated to the unit under subpart E of
this part or under Sec. 96.88(a)(2), in the compliance account for the
year after the last year for which allowances were previously allocated
to the compliance account. Each year, the Administrator will also
record NOX allowances, as allocated under subpart E of this
part, in the allocation set-aside for the year after the last year for
which allowances were previously allocated to an allocation set-aside.
(c) Serial numbers for allocated NOX allowances. When
allocating NOX allowances to and recording them in an
account, the Administrator will assign each NOX allowance a
unique identification number that will include digits identifying the
year for which the NOX allowance is allocated.
Sec. 96.54 Compliance.
(a) NOX allowance transfer deadline. The NOX
allowances are available to be deducted for compliance with a unit's
NOX Budget emissions limitation for a control period in a
given year only if the NOX allowances:
(1) Were allocated for a control period in a prior year or the same
year; and
(2) Are held in the unit's compliance account, or the overdraft
account of the source where the unit is located, as of the
NOX allowance transfer deadline for that control period or
are transferred into the compliance account or overdraft account by a
NOX allowance transfer correctly submitted for recordation
under Sec. 96.60 by the NOX allowance transfer deadline for
that control period.
(b) Deductions for compliance. (1) Following the recordation, in
accordance with Sec. 96.61, of NOX allowance transfers
submitted for recordation in the unit's compliance account or the
overdraft account of the source where the unit is located by the
NOX allowance transfer deadline for a control period, the
Administrator will deduct NOX allowances available under
paragraph (a) of this section to cover the unit's NOX
emissions (as determined in accordance with subpart H of this part), or
to account for actual utilization under Sec. 96.42(e), for the control
period:
(i) From the compliance account; and
(ii) Only if no more NOX allowances available under
paragraph (a) of this section remain in the compliance account, from
the overdraft account. In deducting allowances for units at the source
from the overdraft account, the Administrator will begin with the unit
having the compliance account with the lowest NOX Allowance
Tracking System account number and end with the unit having the
compliance account with the highest NOX Allowance Tracking
System account number (with account numbers sorted beginning with the
left-most character and ending with the right-most character and the
letter characters assigned values in alphabetical order and less than
all numeric characters).
(2) The Administrator will deduct NOX allowances first
under paragraph (b)(1)(i) of this section and then under paragraph
(b)(1)(ii) of this section:
(i) Until the number of NOX allowances deducted for the
control period equals the number of tons of NOX emissions,
determined in accordance with subpart H of this part, from the unit for
the control period for which compliance is being determined, plus the
number of NOX allowances required for deduction to account
for actual utilization under Sec. 96.42(e) for the control period; or
(ii) Until no more NOX allowances available under
paragraph (a) of this section remain in the respective account.
(c)(1) Identification of NOX allowances by serial
number. The NOX authorized account representative for each
compliance account may identify by serial number the NOX
allowances to be deducted from the unit's compliance account under
paragraph (b), (d), or (e) of this section. Such identification shall
be made in the compliance certification report submitted in accordance
with Sec. 96.30.
(2) First-in, first-out. The Administrator will deduct
NOX allowances for a control period from the compliance
account, in the absence of an identification or in the case of a
partial identification of NOX allowances by serial number
under paragraph (c)(1) of this section, or the overdraft account on a
first-in, first-out (FIFO) accounting basis in the following order:
(i) Those NOX allowances that were allocated for the
control period to the unit under subpart E or I of this part;
(ii) Those NOX allowances that were allocated for the
control period to any unit and transferred and recorded in the account
pursuant to subpart G of this part, in order of their date of
recordation;
(iii) Those NOX allowances that were allocated for a
prior control period to the unit under subpart E or I of this part; and
(iv) Those NOX allowances that were allocated for a
prior control period to any unit and transferred and recorded in the
account pursuant to subpart G of this part, in order of their date of
recordation.
(d) Deductions for excess emissions. (1) After making the
deductions for compliance under paragraph (b) of this section, the
Administrator will deduct from the unit's compliance account or the
overdraft account of the source where the unit is located a number of
NOX allowances, allocated for a control period after the
control period in which the unit has excess emissions, equal to three
times the number of the unit's excess emissions.
(2) If the compliance account or overdraft account does not contain
sufficient NOX allowances, the Administrator will deduct the
required number of NOX allowances, regardless of the control
period for which they were allocated, whenever NOX
allowances are recorded in either account.
(3) Any allowance deduction required under paragraph (d) of this
section shall not affect the liability of the owners and operators of
the NOX Budget unit for any fine, penalty, or assessment, or
their obligation to comply with any other remedy, for the same
violation, as ordered under the CAA or applicable State law. The
following guidelines will be followed in assessing fines, penalties or
other obligations:
(i) For purposes of determining the number of days of violation, if
a NOX Budget unit has excess emissions for a control period,
each day in the control period (153 days) constitutes a day in
violation unless the owners and operators of the unit demonstrate that
a lesser number of days should be considered.
(ii) Each ton of excess emissions is a separate violation.
(e) Deductions for units sharing a common stack. In the case of
units sharing a common stack and having emissions that are not
separately monitored or apportioned in accordance with subpart H of
this part:
(1) The NOX authorized account representative of the
units may identify the percentage of NOX allowances to be
deducted from each such unit's compliance account to cover the unit's
share of NOX emissions from the common stack for a control
period. Such identification shall be made in the compliance
certification report submitted in accordance with Sec. 96.30.
(2) Notwithstanding paragraph (b)(2)(i) of this section, the
Administrator will deduct NOX allowances for each such unit
until the number of NOX allowances deducted equals the
unit's identified percentage (under paragraph (e)(1) of this section)
of the number of tons of NOX emissions, as determined in
accordance with subpart H of this part, from the common stack for the
control period for which compliance is being determined or, if no
percentage is identified, an equal
[[Page 57529]]
percentage for each such unit, plus the number of allowances required
for deduction to account for actual utilization under Sec. 96.42(e) for
the control period.
(f) The Administrator will record in the appropriate compliance
account or overdraft account all deductions from such an account
pursuant to paragraphs (b), (d), or (e) of this section.
Sec. 96.55 Banking.
(a) NOX allowances may be banked for future use or
transfer in a compliance account, an overdraft account, or a general
account, as follows:
(1) Any NOX allowance that is held in a compliance
account, an overdraft account, or a general account will remain in such
account unless and until the NOX allowance is deducted or
transferred under Sec. 96.31, Sec. 96.54, Sec. 96.56, subpart G of this
part, or subpart I of this part.
(2) The Administrator will designate, as a ``banked''
NOX allowance, any NOX allowance that remains in
a compliance account, an overdraft account, or a general account after
the Administrator has made all deductions for a given control period
from the compliance account or overdraft account pursuant to Sec. 96.54.
(b) Each year starting in 2004, after the Administrator has
completed the designation of banked NOX allowances under
paragraph (a)(2) of this section and before May 1 of the year, the
Administrator will determine the extent to which banked NOX
allowances may be used for compliance in the control period for the
current year, as follows:
(1) The Administrator will determine the total number of banked
NOX allowances held in compliance accounts, overdraft
accounts, or general accounts.
(2) If the total number of banked NOX allowances
determined, under paragraph (b)(1) of this section, to be held in
compliance accounts, overdraft accounts, or general accounts is less
than or equal to 10% of the sum of the State trading program budgets
for the control period for the States in which NOX Budget
units are located, any banked NOX allowance may be deducted
for compliance in accordance with Sec. 96.54.
(3) If the total number of banked NOX allowances
determined, under paragraph (b)(1) of this section, to be held in
compliance accounts, overdraft accounts, or general accounts exceeds
10% of the sum of the State trading program budgets for the control
period for the States in which NOX Budget units are located,
any banked allowance may be deducted for compliance in accordance with
Sec. 96.54, except as follows:
(i) The Administrator will determine the following ratio: 0.10
multiplied by the sum of the State trading program budgets for the
control period for the States in which NOX Budget units are
located and divided by the total number of banked NOX
allowances determined, under paragraph (b)(1) of this section, to be
held in compliance accounts, overdraft accounts, or general accounts.
(ii) The Administrator will multiply the number of banked
NOX allowances in each compliance account or overdraft
account. The resulting product is the number of banked NOX
allowances in the account that may be deducted for compliance in
accordance with Sec. 96.54. Any banked NOX allowances in
excess of the resulting product may be deducted for compliance in
accordance with Sec. 96.54, except that, if such NOX
allowances are used to make a deduction, two such NOX
allowances must be deducted for each deduction of one NOX
allowance required under Sec. 96.54.
(c) Any NOX Budget unit may reduce its NOX
emission rate in the 2001 or 2002 control period, the owner or operator
of the unit may request early reduction credits, and the permitting
authority may allocate NOX allowances in 2003 to the unit in
accordance with the following requirements.
(1) Each NOX Budget unit for which the owner or operator
requests any early reduction credits under paragraph (c)(4) of this
section shall monitor NOX emissions in accordance with
subpart H of this part starting in the 2000 control period and for each
control period for which such early reduction credits are requested.
The unit's monitoring system availability shall be not less than 90
percent during the 2000 control period, and the unit must be in
compliance with any applicable State or Federal emissions or emissions-
related requirements.
(2) NOX emission rate and heat input under paragraphs
(c)(3) through (5) of this section shall be determined in accordance
with subpart H of this part.
(3) Each NOX Budget unit for which the owner or operator
requests any early reduction credits under paragraph (c)(4) of this
section shall reduce its NOX emission rate, for each control
period for which early reduction credits are requested, to less than
both 0.25 lb/mmBtu and 80 percent of the unit's NOX emission
rate in the 2000 control period.
(4) The NOX authorized account representative of a
NOX Budget unit that meets the requirements of paragraphs
(c)(1)and (3) of this section may submit to the permitting authority a
request for early reduction credits for the unit based on
NOX emission rate reductions made by the unit in the control
period for 2001 or 2002 in accordance with paragraph (c)(3) of this
section.
(i) In the early reduction credit request, the NOX
authorized account may request early reduction credits for such control
period in an amount equal to the unit's heat input for such control
period multiplied by the difference between 0.25 lb/mmBtu and the
unit's NOX emission rate for such control period, divided by
2000 lb/ton, and rounded to the nearest ton.
(ii) The early reduction credit request must be submitted, in a
format specified by the permitting authority, by October 31 of the year
in which the NOX emission rate reductions on which the
request is based are made or such later date approved by the permitting
authority.
(5) The permitting authority will allocate NOX
allowances, to NOX Budget units meeting the requirements of
paragraphs (c)(1) and (3) of this section and covered by early
reduction requests meeting the requirements of paragraph (c)(4)(ii) of
this section, in accordance with the following procedures:
(i) Upon receipt of each early reduction credit request, the
permitting authority will accept the request only if the requirements
of paragraphs (c)(1), (c)(3), and (c)(4)(ii) of this section are met
and, if the request is accepted, will make any necessary adjustments to
the request to ensure that the amount of the early reduction credits
requested meets the requirement of paragraphs (c)(2) and (4) of this
section.
(ii) If the State's compliance supplement pool has an amount of
NOX allowances not less than the number of early reduction
credits in all accepted early reduction credit requests for 2001 and
2002 (as adjusted under paragraph (c)(5)(i) of this section), the
permitting authority will allocate to each NOX Budget unit
covered by such accepted requests one allowance for each early
reduction credit requested (as adjusted under paragraph (c)(5)(i) of
this section).
(iii) If the State's compliance supplement pool has a smaller
amount of NOX allowances than the number of early reduction
credits in all accepted early reduction credit requests for 2001 and
2002 (as adjusted under paragraph (c)(5)(i) of this section), the
permitting authority will allocate NOX allowances to each
NOX Budget unit covered by
[[Page 57530]]
such accepted requests according to the following formula:
Unit's allocated early reduction credits = [(Unit's adjusted early
reduction credits) / (Total adjusted early reduction credits
requested by all units)] x (Available NOX allowances from
the State's compliance supplement pool)
where:
``Unit's adjusted early reduction credits'' is the number of
early reduction credits for the unit for 2001 and 2002 in accepted
early reduction credit requests, as adjusted under paragraph
(c)(5)(i) of this section.
``Total adjusted early reduction credits requested by all
units'' is the number of early reduction credits for all units for
2001 and 2002 in accepted early reduction credit requests, as
adjusted under paragraph (c)(5)(i) of this section.
``Available NOX allowances from the State's
compliance supplement pool'' is the number of NOX
allowances in the State's compliance supplement pool and available
for early reduction credits for 2001 and 2002.
(6) By May 1, 2003, the permitting authority will submit to the
Administrator the allocations of NOX allowances determined
under paragraph (c)(5) of this section. The Administrator will record
such allocations to the extent that they are consistent with the
requirements of paragraphs (c)(1) through (5) of this section.
(7) NOX allowances recorded under paragraph (c)(6) of
this section may be deducted for compliance under Sec. 96.54 for the
control periods in 2003 or 2004. Notwithstanding paragraph (a) of this
section, the Administrator will deduct as retired any NOX
allowance that is recorded under paragraph (c)(6) of this section and
is not deducted for compliance in accordance with Sec. 96.54 for the
control period in 2003 or 2004.
(8) NOX allowances recorded under paragraph (c)(6) of
this section are treated as banked allowances in 2004 for the purposes
of paragraphs (a) and (b) of this section.
Sec. 96.56 Account error.
The Administrator may, at his or her sole discretion and on his or
her own motion, correct any error in any NOX Allowance
Tracking System account. Within 10 business days of making such
correction, the Administrator will notify the NOX authorized
account representative for the account.
Sec. 96.57 Closing of general accounts.
(a) The NOX authorized account representative of a
general account may instruct the Administrator to close the account by
submitting a statement requesting deletion of the account from the
NOX Allowance Tracking System and by correctly submitting
for recordation under Sec. 96.60 an allowance transfer of all
NOX allowances in the account to one or more other
NOX Allowance Tracking System accounts.
(b) If a general account shows no activity for a period of a year
or more and does not contain any NOX allowances, the
Administrator may notify the NOX authorized account
representative for the account that the account will be closed and
deleted from the NOX Allowance Tracking System following 20
business days after the notice is sent. The account will be closed
after the 20-day period unless before the end of the 20-day period the
Administrator receives a correctly submitted transfer of NOX
allowances into the account under Sec. 96.60 or a statement submitted
by the NOX authorized account representative demonstrating
to the satisfaction of the Administrator good cause as to why the
account should not be closed.
Subpart G--NOX Allowance Transfers
Sec. 96.60 Submission of NOX allowance transfers.
The NOX authorized account representatives seeking
recordation of a NOX allowance transfer shall submit the
transfer to the Administrator. To be considered correctly submitted,
the NOX allowance transfer shall include the following
elements in a format specified by the Administrator:
(a) The numbers identifying both the transferor and transferee
accounts;
(b) A specification by serial number of each NOX
allowance to be transferred; and
(c) The printed name and signature of the NOX authorized
account representative of the transferor account and the date signed.
Sec. 96.61 EPA recordation.
(a) Within 5 business days of receiving a NOX allowance
transfer, except as provided in paragraph (b) of this section, the
Administrator will record a NOX allowance transfer by moving
each NOX allowance from the transferor account to the
transferee account as specified by the request, provided that:
(1) The transfer is correctly submitted under Sec. 96.60;
(2) The transferor account includes each NOX allowance
identified by serial number in the transfer; and
(3) The transfer meets all other requirements of this part.
(b) A NOX allowance transfer that is submitted for
recordation following the NOX allowance transfer deadline
and that includes any NOX allowances allocated for a control
period prior to or the same as the control period to which the
NOX allowance transfer deadline applies will not be recorded
until after completion of the process of recordation of NOX
allowance allocations in Sec. 96.53(b).
(c) Where a NOX allowance transfer submitted for
recordation fails to meet the requirements of paragraph (a) of this
section, the Administrator will not record such transfer.
Sec. 96.62 Notification.
(a) Notification of recordation. Within 5 business days of
recordation of a NOX allowance transfer under Sec. 96.61,
the Administrator will notify each party to the transfer. Notice will
be given to the NOX authorized account representatives of
both the transferror and transferee accounts.
(b) Notification of non-recordation. Within 10 business days of
receipt of a NOX allowance transfer that fails to meet the
requirements of Sec. 96.61(a), the Administrator will notify the
NOX authorized account representatives of both accounts
subject to the transfer of:
(1) A decision not to record the transfer, and (2) The reasons for
such non-recordation.
(c) Nothing in this section shall preclude the submission of a
NOX allowance transfer for recordation following
notification of non-recordation.
Subpart H--Monitoring and Reporting
Sec. 96.70 General requirements.
The owners and operators, and to the extent applicable, the
NOX authorized account representative of a NOX
Budget unit, shall comply with the monitoring and reporting
requirements as provided in this subpart and in subpart H of part 75 of
this chapter. For purposes of complying with such requirements, the
definitions in Sec. 96.2 and in Sec. 72.2 of this chapter shall apply,
and the terms ``affected unit,'' ``designated representative,'' and
``continuous emission monitoring system'' (or ``CEMS'') in part 75 of
this chapter shall be replaced by the terms ``NOX Budget
unit,'' ``NOX authorized account representative,'' and
``continuous emission monitoring system'' (or ``CEMS''), respectively,
as defined in Sec. 96.2.
(a) Requirements for installation, certification, and data
accounting. The owner or operator of each NOX Budget unit
must meet the following requirements. These provisions also apply to a
unit for which an application for a NOX Budget opt-in permit
is submitted and not denied or withdrawn, as provided in subpart I of
this part:
(1) Install all monitoring systems required under this subpart for
[[Page 57531]]
monitoring NOX mass. This includes all systems required to
monitor NOX emission rate, NOX concentration,
heat input, and flow, in accordance with Secs. 75.72 and 75.76.
(2) Install all monitoring systems for monitoring heat input, if
required under Sec. 96.76 for developing NOX allowance
allocations.
(3) Successfully complete all certification tests required under
Sec. 96.71 and meet all other provisions of this subpart and part 75 of
this chapter applicable to the monitoring systems under paragraphs
(a)(1) and (2) of this section.
(4) Record, and report data from the monitoring systems under
paragraphs (a)(1) and (2) of this section.
(b) Compliance dates. The owner or operator must meet the
requirements of paragraphs (a)(1) through (a)(3) of this section on or
before the following dates and must record and report data on and after
the following dates:
(1) NOX Budget units for which the owner or operator
intends to apply for early reduction credits under Sec. 96.55(d) must
comply with the requirements of this subpart by May 1, 2000.
(2) Except for NOX Budget units under paragraph (b)(1)
of this section, NOX Budget units under Sec. 96.4 that
commence operation before January 1, 2002, must comply with the
requirements of this subpart by May 1, 2002.
(3) NOX Budget units under Sec. 96.4 that commence
operation on or after January 1, 2002 and that report on an annual
basis under Sec. 96.74(d) must comply with the requirements of this
subpart by the later of the following dates:
(i) May 1, 2002; or
(ii) The earlier of:
(A) 180 days after the date on which the unit commences operation
or, (B) For units under Sec. 96.4(a)(1), 90 days after the date on
which the unit commences commercial operation.
(4) NOX Budget units under Sec. 96.4 that commence
operation on or after January 1, 2002 and that report on a control
season basis under Sec. 96.74(d) must comply with the requirements of
this subpart by the later of the following dates:
(i) The earlier of:
(A) 180 days after the date on which the unit commences operation
or,
(B) For units under Sec. 96.4(a)(1), 90 days after the date on
which the unit commences commercial operation.
(ii) However, if the applicable deadline under paragraph (b)(4)(i)
section does not occur during a control period, May 1; immediately
following the date determined in accordance with paragraph (b)(4)(i) of
this section.
(5) For a NOX Budget unit with a new stack or flue for
which construction is completed after the applicable deadline under
paragraph ( b)(1), (b)(2) or (b)(3) of this section or subpart I of
this part:
(i) 90 days after the date on which emissions first exit to the
atmosphere through the new stack or flue;
(ii) However, if the unit reports on a control season basis under
Sec. 96.74(d) and the applicable deadline under paragraph (b)(5)(i) of
this section does not occur during the control period, May 1
immediately following the applicable deadline in paragraph (b)(5)(i) of
this section.
(6) For a unit for which an application for a NOX Budget
opt in permit is submitted and not denied or withdrawn, the compliance
dates specified under subpart I of this part.
(c) Reporting data prior to initial certification. (1) The owner or
operator of a NOX Budget unit that misses the certification
deadline under paragraph (b)(1) of this section is not eligible to
apply for early reduction credits. The owner or operator of the unit
becomes subject to the certification deadline under paragraph (b)(2) of
this section.
(2) The owner or operator of a NOX Budget under
paragraphs (b)(3) or (b)(4) of this section must determine, record and
report NOX mass, heat input (if required for purposes of
allocations) and any other values required to determine NOX
Mass (e.g. NOX emission rate and heat input or
NOX concentration and stack flow) using the provisions of
Sec. 75.70(g) of this chapter, from the date and hour that the unit
starts operating until all required certification tests are
successfully completed.
(d) Prohibitions. (1) No owner or operator of a NOX
Budget unit or a non-NOX Budget unit monitored under
Sec. 75.72(b)(2)(ii) shall use any alternative monitoring system,
alternative reference method, or any other alternative for the required
continuous emission monitoring system without having obtained prior
written approval in accordance with Sec. 96.75.
(2) No owner or operator of a NOX Budget unit or a non-
NOX Budget unit monitored under Sec. 75.72(b)(2)(ii) shall
operate the unit so as to discharge, or allow to be discharged,
NOX emissions to the atmosphere without accounting for all
such emissions in accordance with the applicable provisions of this
subpart and part 75 of this chapter except as provided for in
Sec. 75.74 of this chapter.
(3) No owner or operator of a NOX Budget unit or a non-
NOX Budget unit monitored under Sec. 75.72(b)(2)(ii) shall
disrupt the continuous emission monitoring system, any portion thereof,
or any other approved emission monitoring method, and thereby avoid
monitoring and recording NOX mass emissions discharged into
the atmosphere, except for periods of recertification or periods when
calibration, quality assurance testing, or maintenance is performed in
accordance with the applicable provisions of this subpart and part 75
of this chapter except as provided for in Sec. 75.74 of this chapter.
(4) No owner or operator of a NOX Budget unit or a non-
NOX Budget unit monitored under Sec. 75.72(b)(2)(ii) shall
retire or permanently discontinue use of the continuous emission
monitoring system, any component thereof, or any other approved
emission monitoring system under this subpart, except under any one of
the following circumstances:
(i) During the period that the unit is covered by a retired unit
exemption under Sec. 96.5 that is in effect;
(ii) The owner or operator is monitoring emissions from the unit
with another certified monitoring system approved, in accordance with
the applicable provisions of this subpart and part 75 of this chapter,
by the permitting authority for use at that unit that provides emission
data for the same pollutant or parameter as the retired or discontinued
monitoring system; or
(iii) The NOX authorized account representative submits
notification of the date of certification testing of a replacement
monitoring system in accordance with Sec. 96.71(b)(2).
Sec. 96.71 Initial certification and recertification procedures
(a) The owner or operator of a NOX Budget unit that is
subject to an Acid Rain emissions limitation shall comply with the
initial certification and recertification procedures of part 75 of this
chapter, except that:
(1) If, prior to January 1, 1998, the Administrator approved a
petition under Sec. 75.17(a) or (b) of this chapter for apportioning
the NOX emission rate measured in a common stack or a
petition under Sec. 75.66 of this chapter for an alternative to a
requirement in Sec. 75.17 of this chapter, the NOX
authorized account representative shall resubmit the petition to the
Administrator under Sec. 96.75(a) to determine if the approval applies
under the NOX Budget Trading Program.
(2) For any additional CEMS required under the common stack
provisions in Sec. 75.72 of this chapter, or for any NOX
concentration CEMS used under the provisions of Sec. 75.71(a)(2) of
this chapter, the owner or operator shall
[[Page 57532]]
meet the requirements of paragraph (b) of this section.
(b) The owner or operator of a NOX Budget unit that is
not subject to an Acid Rain emissions limitation shall comply with the
following initial certification and recertification procedures, except
that the owner or operator of a unit that qualifies to use the low mass
emissions excepted monitoring methodology under Sec. 75.19 shall also
meet the requirements of paragraph (c) of this section and the owner or
operator of a unit that qualifies to use an alternative monitoring
system under subpart E of part 75 of this chapter shall also meet the
requirements of paragraph (d) of this section. The owner or operator of
a NOX Budget unit that is subject to an Acid Rain emissions
limitation, but requires additional CEMS under the common stack
provisions in Sec. 75.72 of this chapter, or that uses a NOX
concentration CEMS under Sec. 75.71(a)(2) of this chapter also shall
comply with the following initial certification and recertification
procedures.
(1) Requirements for initial certification. The owner or operator
shall ensure that each monitoring system required by subpart H of part
75 of this chapter (which includes the automated data acquisition and
handling system) successfully completes all of the initial
certification testing required under Sec. 75.20 of this chapter. The
owner or operator shall ensure that all applicable certification tests
are successfully completed by the deadlines specified in Sec. 96.70(b).
In addition, whenever the owner or operator installs a monitoring
system in order to meet the requirements of this part in a location
where no such monitoring system was previously installed, initial
certification according to Sec. 75.20 is required.
(2) Requirements for recertification. Whenever the owner or
operator makes a replacement, modification, or change in a certified
monitoring system that the Administrator or the permitting authority
determines significantly affects the ability of the system to
accurately measure or record NOX mass emissions or heat
input or to meet the requirements of Sec. 75.21 of this chapter or
appendix B to part 75 of this chapter, the owner or operator shall
recertify the monitoring system according to Sec. 75.20(b) of this
chapter. Furthermore, whenever the owner or operator makes a
replacement, modification, or change to the flue gas handling system or
the unit's operation that the Administrator or the permitting authority
determines to significantly change the flow or concentration profile,
the owner or operator shall recertify the continuous emissions
monitoring system according to Sec. 75.20(b) of this chapter. Examples
of changes which require recertification include: replacement of the
analyzer, change in location or orientation of the sampling probe or
site, or changing of flow rate monitor polynomial coefficients.
(3) Certification approval process for initial certifications and
recertification. (i) Notification of certification. The NOX
authorized account representative shall submit to the permitting
authority, the appropriate EPA Regional Office and the permitting
authority a written notice of the dates of certification in accordance
with Sec. 96.73.
(ii) Certification application. The NOX authorized
account representative shall submit to the permitting authority a
certification application for each monitoring system required under
subpart H of part 75 of this chapter. A complete certification
application shall include the information specified in subpart H of
part 75 of this chapter.
(iii) Except for units using the low mass emission excepted
methodology under Sec. 75.19 of this chapter, the provisional
certification date for a monitor shall be determined using the
procedures set forth in Sec. 75.20(a)(3) of this chapter. A
provisionally certified monitor may be used under the NOX
Budget Trading Program for a period not to exceed 120 days after
receipt by the permitting authority of the complete certification
application for the monitoring system or component thereof under
paragraph (b)(3)(ii) of this section. Data measured and recorded by the
provisionally certified monitoring system or component thereof, in
accordance with the requirements of part 75 of this chapter, will be
considered valid quality-assured data (retroactive to the date and time
of provisional certification), provided that the permitting authority
does not invalidate the provisional certification by issuing a notice
of disapproval within 120 days of receipt of the complete certification
application by the permitting authority.
(iv) Certification application formal approval process. The
permitting authority will issue a written notice of approval or
disapproval of the certification application to the owner or operator
within 120 days of receipt of the complete certification application
under paragraph (b)(3)(ii) of this section. In the event the permitting
authority does not issue such a notice within such 120-day period, each
monitoring system which meets the applicable performance requirements
of part 75 of this chapter and is included in the certification
application will be deemed certified for use under the NOX
Budget Trading Program.
(A) Approval notice. If the certification application is complete
and shows that each monitoring system meets the applicable performance
requirements of part 75 of this chapter, then the permitting authority
will issue a written notice of approval of the certification
application within 120 days of receipt.
(B) Incomplete application notice. A certification application will
be considered complete when all of the applicable information required
to be submitted under paragraph (b)(3)(ii) of this section has been
received by the permitting authority. If the certification application
is not complete, then the permitting authority will issue a written
notice of incompleteness that sets a reasonable date by which the
NOX authorized account representative must submit the
additional information required to complete the certification
application. If the NOX authorized account representative
does not comply with the notice of incompleteness by the specified
date, then the permitting authority may issue a notice of disapproval
under paragraph (b)(3)(iv)(C) of this section.
(C) Disapproval notice. If the certification application shows that
any monitoring system or component thereof does not meet the
performance requirements of this part, or if the certification
application is incomplete and the requirement for disapproval under
paragraph (b)(3)(iv)(B) of this section has been met, the permitting
authority will issue a written notice of disapproval of the
certification application. Upon issuance of such notice of disapproval,
the provisional certification is invalidated by the permitting
authority and the data measured and recorded by each uncertified
monitoring system or component thereof shall not be considered valid
quality-assured data beginning with the date and hour of provisional
certification. The owner or operator shall follow the procedures for
loss of certification in paragraph (b)(3)(v) of this section for each
monitoring system or component thereof which is disapproved for initial
certification.
(D) Audit decertification. The permitting authority may issue a
notice of disapproval of the certification status of a monitor in
accordance with Sec. 96.72(b).
(v) Procedures for loss of certification. If the permitting
authority issues a notice of disapproval of a certification application
under paragraph
[[Page 57533]]
(b)(3)(iv)(C) of this section or a notice of disapproval of
certification status under paragraph (b)(3)(iv)(D) of this section, then:
(A) The owner or operator shall substitute the following values,
for each hour of unit operation during the period of invalid data
beginning with the date and hour of provisional certification and
continuing until the time, date, and hour specified under
Sec. 75.20(a)(5)(i) of this chapter:
(1) For units using or intending to monitor for NOX
emission rate and heat input or for units using the low mass emission
excepted methodology under Sec. 75.19 of this chapter, the maximum
potential NOX emission rate and the maximum potential hourly
heat input of the unit.
(2) For units intending to monitor for NOX mass
emissions using a NOX pollutant concentration monitor and a
flow monitor, the maximum potential concentration of NOX and
the maximum potential flow rate of the unit under section 2.1 of
appendix A of part 75 of this chapter;
(B) The NOX authorized account representative shall
submit a notification of certification retest dates and a new
certification application in accordance with paragraphs (b)(3)(i) and
(ii) of this section; and
(C) The owner or operator shall repeat all certification tests or
other requirements that were failed by the monitoring system, as
indicated in the permitting authority's notice of disapproval, no later
than 30 unit operating days after the date of issuance of the notice of
disapproval.
(c) Initial certification and recertification procedures for low
mass emission units using the excepted methodologies under Sec. 75.19
of this chapter. The owner or operator of a gas-fired or oil-fired unit
using the low mass emissions excepted methodology under Sec. 75.19 of
this chapter shall meet the applicable general operating requirements
of Sec. 75.10 of this chapter, the applicable requirements of
Sec. 75.19 of this chapter, and the applicable certification
requirements of Sec. 96.71 of this chapter, except that the excepted
methodology shall be deemed provisionally certified for use under the
NOX Budget Trading Program, as of the following dates:
(1) For units that are reporting on an annual basis under
Sec. 96.74(d);
(i) For a unit that has commences operation before its compliance
deadline under Sec. 96.71(b), from January 1 of the year following
submission of the certification application for approval to use the low
mass emissions excepted methodology under Sec. 75.19 of this chapter
until the completion of the period for the permitting authority review;
or
(ii) For a unit that commences operation after its compliance
deadline under Sec. 96.71(b), the date of submission of the
certification application for approval to use the low mass emissions
excepted methodology under Sec. 75.19 of this chapter until the
completion of the period for permitting authority review, or
(2) For units that are reporting on a control period basis under
Sec. 96.74(b)(3)(ii) of this part:
(i) For a unit that commenced operation before its compliance
deadline under Sec. 96.71(b), where the certification application is
submitted before May 1, from May 1 of the year of the submission of the
certification application for approval to use the low mass emissions
excepted methodology under Sec. 75.19 of this chapter until the
completion of the period for the permitting authority review; or
(ii) For a unit that commenced operation before its compliance
deadline under Sec. 96.71(b), where the certification application is
submitted after May 1, from May 1 of the year following submission of
the certification application for approval to use the low mass
emissions excepted methodology under Sec. 75.19 of this chapter until
the completion of the period for the permitting authority review; or
(iii) For a unit that commences operation after its compliance
deadline under Sec. 96.71(b), where the unit commences operation before
May 1, from May 1 of the year that the unit commenced operation, until
the completion of the period for the permitting authority's review.
(iv) For a unit that has not operated after its compliance deadline
under Sec. 96.71(b), where the certification application is submitted
after May 1, but before October 1st, from the date of submission of a
certification application for approval to use the low mass emissions
excepted methodology under Sec. 75.19 of this chapter until the
completion of the period for the permitting authority's review.
(d) Certification/recertification procedures for alternative
monitoring systems. The NOX authorized account
representative representing the owner or operator of each unit applying
to monitor using an alternative monitoring system approved by the
Administrator and, if applicable, the permitting authority under
subpart E of part 75 of this chapter shall apply for certification to
the permitting authority prior to use of the system under the
NOX Trading Program. The NOX authorized account
representative shall apply for recertification following a replacement,
modification or change according to the procedures in paragraph (b) of
this section. The owner or operator of an alternative monitoring system
shall comply with the notification and application requirements for
certification according to the procedures specified in paragraph (b)(3)
of this section and Sec. 75.20(f) of this chapter .
Sec. 96.72 Out of control periods.
(a) Whenever any monitoring system fails to meet the quality
assurance requirements of appendix B of part 75 of this chapter, data
shall be substituted using the applicable procedures in subpart D,
appendix D, or appendix E of part 75 of this chapter.
(b) Audit decertification. Whenever both an audit of a monitoring
system and a review of the initial certification or recertification
application reveal that any system or component should not have been
certified or recertified because it did not meet a particular
performance specification or other requirement under Sec. 96.71 or the
applicable provisions of part 75 of this chapter, both at the time of
the initial certification or recertification application submission and
at the time of the audit, the permitting authority will issue a notice
of disapproval of the certification status of such system or component.
For the purposes of this paragraph, an audit shall be either a field
audit or an audit of any information submitted to the permitting
authority or the Administrator. By issuing the notice of disapproval,
the permitting authority revokes prospectively the certification status
of the system or component. The data measured and recorded by the
system or component shall not be considered valid quality-assured data
from the date of issuance of the notification of the revoked
certification status until the date and time that the owner or operator
completes subsequently approved initial certification or
recertification tests. The owner or operator shall follow the initial
certification or recertification procedures in Sec. 96.71 for each
disapproved system.
Sec. 96.73 Notifications.
The NOX authorized account representative for a
NOX Budget unit shall submit written notice to the
permitting authority and the Administrator in accordance with
Sec. 75.61 of this chapter, except that if the unit is not subject to
an Acid Rain emissions limitation, the notification is only required to
be sent to the permitting authority.
[[Page 57534]]
Sec. 96.74 Recordkeeping and reporting.
(a) General provisions. (1) The NOX authorized account
representative shall comply with all recordkeeping and reporting
requirements in this section and with the requirements of
Sec. 96.10(e).
(2) If the NOX authorized account representative for a
NOX Budget unit subject to an Acid Rain Emission limitation
who signed and certified any submission that is made under subpart F or
G of part 75 of this chapter and which includes data and information
required under this subpart or subpart H of part 75 of this chapter is
not the same person as the designated representative or the alternative
designated representative for the unit under part 72 of this chapter,
the submission must also be signed by the designated representative or
the alternative designated representative.
(b) Monitoring plans. (1) The owner or operator of a unit subject
to an Acid Rain emissions limitation shall comply with requirements of
Sec. 75.62 of this chapter, except that the monitoring plan shall also
include all of the information required by subpart H of part 75 of this
chapter.
(2) The owner or operator of a unit that is not subject to an Acid
Rain emissions limitation shall comply with requirements of Sec. 75.62
of this chapter, except that the monitoring plan is only required to
include the information required by subpart H of part 75 of this chapter.
(c) Certification applications. The NOX authorized
account representative shall submit an application to the permitting
authority within 45 days after completing all initial certification or
recertification tests required under Sec. 96.71 including the
information required under subpart H of part 75 of this chapter.
(d) Quarterly reports. The NOX authorized account
representative shall submit quarterly reports, as follows:
(1) If a unit is subject to an Acid Rain emission limitation or if
the owner or operator of the NOX budget unit chooses to meet
the annual reporting requirements of this subpart H, the NOX
authorized account representative shall submit a quarterly report for
each calendar quarter beginning with:
(i) For units that elect to comply with the early reduction credit
provisions under Sec. 96.55 of this part, the calender quarter that
includes the date of initial provisional certification under
Sec. 96.71(b)(3)(iii). Data shall be reported from the date and hour
corresponding to the date and hour of provisional certification; or
(ii) For units commencing operation prior to May 1, 2002 that are
not required to certify monitors by May 1, 2000 under Sec. 96.70(b)(1),
the earlier of the calender quarter that includes the date of initial
provisional certification under Sec. 96.71(b)(3)(iii) or, if the
certification tests are not completed by May 1, 2002, the partial
calender quarter from May 1, 2002 through June 30, 2002. Data shall be
recorded and reported from the earlier of the date and hour
corresponding to the date and hour of provisional certification or the
first hour on May 1, 2002; or
(iii) For a unit that commences operation after May 1, 2002, the
calendar quarter in which the unit commences operation, Data shall be
reported from the date and hour corresponding to when the unit
commenced operation.
(2) If a NOX budget unit is not subject to an Acid Rain
emission limitation, then the NOX authorized account
representative shall either:
(i) Meet all of the requirements of part 75 related to monitoring
and reporting NOX mass emissions during the entire year and
meet the reporting deadlines specified in paragraph (d)(1) of this
section; or
(ii) Submit quarterly reports only for the periods from the earlier
of May 1 or the date and hour that the owner or operator successfully
completes all of the recertification tests required under
Sec. 75.74(d)(3) through September 30 of each year in accordance with
the provisions of Sec. 75.74(b) of this chapter. The NOX
authorized account representative shall submit a quarterly report for
each calendar quarter, beginning with:
(A) For units that elect to comply with the early reduction credit
provisions under Sec. 96.55, the calender quarter that includes the
date of initial provisional certification under Sec. 96.71(b)(3)(iii).
Data shall be reported from the date and hour corresponding to the date
and hour of provisional certification; or
(B) For units commencing operation prior to May 1, 2002 that are
not required to certify monitors by May 1, 2000 under Sec. 96.70(b)(1),
the earlier of the calender quarter that includes the date of initial
provisional certification under Sec. 96.71(b)(3)(iii), or if the
certification tests are not completed by May 1, 2002, the partial
calender quarter from May 1, 2002 through June 30, 2002. Data shall be
reported from the earlier of the date and hour corresponding to the
date and hour of provisional certification or the first hour of May 1,
2002; or
(C) For units that commence operation after May 1, 2002 during the
control period, the calender quarter in which the unit commences
operation. Data shall be reported from the date and hour corresponding
to when the unit commenced operation; or
(D) For units that commence operation after May 1, 2002 and before
May 1 of the year in which the unit commences operation, the earlier of
the calender quarter that includes the date of initial provisional
certification under Sec. 96.71(b)(3)(iii) or, if the certification
tests are not completed by May 1 of the year in which the unit
commences operation, May 1 of the year in which the unit commences
operation. Data shall be reported from the earlier of the date and hour
corresponding to the date and hour of provisional certification or the
first hour of May 1 of the year after the unit commences operation.
(E) For units that commence operation after May 1, 2002 and after
September 30 of the year in which the unit commences operation, the
earlier of the calender quarter that includes the date of initial
provisional certification under Sec. 96.71(b)(3)(iii) or, if the
certification tests are not completed by May 1 of the year after the
unit commences operation, May 1 of the year after the unit commences
operation. Data shall be reported from the earlier of the date and hour
corresponding to the date and hour of provisional certification or the
first hour of May 1 of the year after the unit commences operation.
(3) The NOX authorized account representative shall
submit each quarterly report to the Administrator within 30 days
following the end of the calendar quarter covered by the report.
Quarterly reports shall be submitted in the manner specified in subpart
H of part 75 of this chapter and Sec. 75.64 of this chapter.
(i) For units subject to an Acid Rain Emissions limitation,
quarterly reports shall include all of the data and information
required in subpart H of part 75 of this chapter for each
NOX Budget unit (or group of units using a common stack) as
well as information required in subpart G of part 75 of this chapter.
(ii) For units not subject to an Acid Rain Emissions limitation,
quarterly reports are only required to include all of the data and
information required in subpart H of part 75 of this chapter for each
NOX Budget unit (or group of units using a common stack).
(4) Compliance certification. The NOX authorized account
representative shall submit to the Administrator a compliance
certification in support of each quarterly report based on reasonable
inquiry of those persons with primary responsibility for ensuring that
all of the unit's emissions are correctly
[[Page 57535]]
and fully monitored. The certification shall state that:
(i) The monitoring data submitted were recorded in accordance with
the applicable requirements of this subpart and part 75 of this
chapter, including the quality assurance procedures and specifications;
and
(ii) For a unit with add-on NOX emission controls and
for all hours where data are substituted in accordance with
Sec. 75.34(a)(1) of this chapter, the add-on emission controls were
operating within the range of parameters listed in the monitoring plan
and the substitute values do not systematically underestimate
NOX emissions; and
(iii) For a unit that is reporting on a control period basis under
Sec. 96.74(d) the NOX emission rate and NOX
concentration values substituted for missing data under subpart D of
part 75 of this chapter are calculated using only values from a control
period and do not systematically underestimate NOX emissions.
Sec. 96.75 Petitions.
(a) The NOX authorized account representative of a
NOX Budget unit that is subject to an Acid Rain emissions
limitation may submit a petition under Sec. 75.66 of this chapter to
the Administrator requesting approval to apply an alternative to any
requirement of this subpart.
(1) Application of an alternative to any requirement of this
subpart is in accordance with this subpart only to the extent that the
petition is approved by the Administrator, in consultation with the
permitting authority.
(2) Notwithstanding paragraph (a)(1) of this section, if the
petition requests approval to apply an alternative to a requirement
concerning any additional CEMS required under the common stack
provisions of Sec. 75.72 of this chapter, the petition is governed by
paragraph (b) of this section.
(b) The NOX authorized account representative of a
NOX Budget unit that is not subject to an Acid Rain
emissions limitation may submit a petition under Sec. 75.66 of this
chapter to the permitting authority and the Administrator requesting
approval to apply an alternative to any requirement of this subpart.
(1) The NOX authorized account representative of a
NOX Budget unit that is subject to an Acid Rain emissions
limitation may submit a petition under Sec. 75.66 of this chapter to
the permitting authority and the Administrator requesting approval to
apply an alternative to a requirement concerning any additional CEMS
required under the common stack provisions of Sec. 75.72 of this
chapter or a NOX concentration CEMS used under 75.71(a)(2)
of this chapter.
(2) Application of an alternative to any requirement of this
subpart is in accordance with this subpart only to the extent the
petition under paragraph (b) of this section is approved by both the
permitting authority and the Administrator.
Sec. 96.76 Additional requirements to provide heat input data for
allocations purposes.
(a) The owner or operator of a unit that elects to monitor and
report NOX Mass emissions using a NOX
concentration system and a flow system shall also monitor and report
heat input at the unit level using the procedures set forth in part 75
of this chapter for any source located in a state developing source
allocations based upon heat input.
(b) The owner or operator of a unit that monitor and report
NOX Mass emissions using a NOX concentration
system and a flow system shall also monitor and report heat input at
the unit level using the procedures set forth in part 75 of this
chapter for any source that is applying for early reduction credits
under Sec. 96.55.
Subpart I--Individual Unit Opt-ins
Sec. 96.80 Applicability.
A unit that is in the State, is not a NOX Budget unit
under Sec. 96.4, vents all of its emissions to a stack, and is
operating, may qualify, under this subpart, to become a NOX
Budget opt-in source. A unit that is a NOX Budget unit, is
covered by a retired unit exemption under Sec. 96.5 that is in effect,
or is not operating is not eligible to become a NOX Budget
opt-in source.
Sec. 96.81 General.
Except otherwise as provided in this part, a NOX Budget
opt-in source shall be treated as a NOX Budget unit for
purposes of applying subparts A through H of this part.
Sec. 96.82 NOX authorized account representative.
A unit for which an application for a NOX Budget opt-in
permit is submitted and not denied or withdrawn, or a NOX
Budget opt-in source, located at the same source as one or more
NOX Budget units, shall have the same NOX
authorized account representative as such NOX Budget units.
Sec. 96.83 Applying for NOX Budget opt-in permit.
(a) Applying for initial NOX Budget opt-in permit. In
order to apply for an initial NOX Budget opt-in permit, the
NOX authorized account representative of a unit qualified
under Sec. 96.80 may submit to the permitting authority at any time,
except as provided under Sec. 96.86(g):
(1) A complete NOX Budget permit application under
Sec. 96.22;
(2) A monitoring plan submitted in accordance with subpart H of
this part; and
(3) A complete account certificate of representation under
Sec. 96.13, if no NOX authorized account representative has
been previously designated for the unit.
(b) Duty to reapply. The NOX authorized account
representative of a NOX Budget opt-in source shall submit a
complete NOX Budget permit application under Sec. 96.22 to
renew the NOX Budget opt-in permit in accordance with
Sec. 96.21(c) and, if applicable, an updated monitoring plan in
accordance with subpart H of this part.
Sec. 96.84 Opt-in process.
The permitting authority will issue or deny a NOX Budget
opt-in permit for a unit for which an initial application for a
NOX Budget opt-in permit under Sec. 96.83 is submitted, in
accordance with Sec. 96.20 and the following:
(a) Interim review of monitoring plan. The permitting authority
will determine, on an interim basis, the sufficiency of the monitoring
plan accompanying the initial application for a NOX Budget
opt-in permit under Sec. 96.83. A monitoring plan is sufficient, for
purposes of interim review, if the plan appears to contain information
demonstrating that the NOX emissions rate and heat input of
the unit are monitored and reported in accordance with subpart H of
this part. A determination of sufficiency shall not be construed as
acceptance or approval of the unit's monitoring plan.
(b) If the permitting authority determines that the unit's
monitoring plan is sufficient under paragraph (a) of this section and
after completion of monitoring system certification under subpart H of
this part, the NOX emissions rate and the heat input of the
unit shall be monitored and reported in accordance with subpart H of
this part for one full control period during which monitoring system
availability is not less than 90 percent and during which the unit is
in full compliance with any applicable State or Federal emissions or
emissions-related requirements. Solely for purposes of applying the
requirements in the prior sentence, the unit shall be treated as a
``NOX Budget unit'' prior to issuance of a NOX
Budget opt-in permit covering the unit.
[[Page 57536]]
(c) Based on the information monitored and reported under paragraph
(b) of this section, the unit's baseline heat rate shall be calculated
as the unit's total heat input (in mmBtu) for the control period and
the unit's baseline NOX emissions rate shall be calculated
as the unit's total NOX emissions (in lb) for the control
period divided by the unit's baseline heat rate.
(d) After calculating the baseline heat input and the baseline
NOX emissions rate for the unit under paragraph (c) of this
section, the permitting authority will serve a draft NOX
Budget opt-in permit on the NOX authorized account
representative of the unit.
(e) Confirmation of intention to opt-in. Within 20 days after the
issuance of the draft NOX Budget opt-in permit, the
NOX authorized account representative of the unit must
submit to the permitting authority a confirmation of the intention to
opt in the unit or a withdrawal of the application for a NOX
Budget opt-in permit under Sec. 96.83. The permitting authority will
treat the failure to make a timely submission as a withdrawal of the
NOX Budget opt-in permit application.
(f) Issuance of draft NOX Budget opt-in permit. If the
NOX authorized account representative confirms the intention
to opt-in the unit under paragraph (e) of this section, the permitting
authority will issue the draft NOX Budget opt-in permit in
accordance with Sec. 96.20.
(g) Notwithstanding paragraphs (a) through (f) of this section, if
at any time before issuance of a draft NOX Budget opt-in
permit for the unit, the permitting authority determines that the unit
does not qualify as a NOX Budget opt-in source under
Sec. 96.80, the permitting authority will issue a draft denial of a
NOX Budget opt-in permit for the unit in accordance with
Sec. 96.20.
(h) Withdrawal of application for NOX Budget opt-in
permit. A NOX authorized account representative of a unit
may withdraw its application for a NOX Budget opt-in permit
under Sec. 96.83 at any time prior to the issuance of the final
NOX Budget opt-in permit. Once the application for a
NOX Budget opt-in permit is withdrawn, a NOX
authorized account representative wanting to reapply must submit a new
application for a NOX Budget permit under Sec. 96.83.
(i) Effective date. The effective date of the initial
NOX Budget opt-in permit shall be May 1 of the first control
period starting after the issuance of the initial NOX Budget
opt-in permit by the permitting authority. The unit shall be a
NOX Budget opt-in source and a NOX Budget unit as
of the effective date of the initial NOX Budget opt-in permit.
Sec. 96.85 NOX Budget opt-in permit contents.
(a) Each NOX Budget opt-in permit (including any draft
or proposed NOX Budget opt-in permit, if applicable) will
contain all elements required for a complete NOX Budget opt-
in permit application under Sec. 96.22 as approved or adjusted by the
permitting authority.
(b) Each NOX Budget opt-in permit is deemed to
incorporate automatically the definitions of terms under Sec. 96.2 and,
upon recordation by the Administrator under subpart F, G, or I of this
part, every allocation, transfer, or deduction of NOX
allowances to or from the compliance accounts of each NOX
Budget opt-in source covered by the NOX Budget opt-in permit
or the overdraft account of the NOX Budget source where the
NOX Budget opt-in source is located.
Sec. 96.86 Withdrawal from NOX Budget Trading Program.
(a) Requesting withdrawal. To withdraw from the NOX
Budget Trading Program, the NOX authorized account
representative of a NOX Budget opt-in source shall submit to
the permitting authority a request to withdraw effective as of a
specified date prior to May 1 or after September 30. The submission
shall be made no later than 90 days prior to the requested effective
date of withdrawal.
(b) Conditions for withdrawal. Before a NOX Budget opt-
in source covered by a request under paragraph (a) of this section may
withdraw from the NOX Budget Trading Program and the
NOX Budget opt-in permit may be terminated under paragraph
(e) of this section, the following conditions must be met:
(1) For the control period immediately before the withdrawal is to
be effective, the NOX authorized account representative must
submit or must have submitted to the permitting authority an annual
compliance certification report in accordance with Sec. 96.30.
(2) If the NOX Budget opt-in source has excess emissions
for the control period immediately before the withdrawal is to be
effective, the Administrator will deduct or has deducted from the
NOX Budget opt-in source's compliance account, or the
overdraft account of the NOX Budget source where the
NOX Budget opt-in source is located, the full amount
required under Sec. 96.54(d) for the control period.
(3) After the requirements for withdrawal under paragraphs (b)(1)
and (2) of this section are met, the Administrator will deduct from the
NOX Budget opt-in source's compliance account, or the
overdraft account of the NOX Budget source where the
NOX Budget opt-in source is located, NOX
allowances equal in number to and allocated for the same or a prior
control period as any NOX allowances allocated to that
source under Sec. 96.88 for any control period for which the withdrawal
is to be effective. The Administrator will close the NOX
Budget opt-in source's compliance account and will establish, and
transfer any remaining allowances to, a new general account for the
owners and operators of the NOX Budget opt-in source. The
NOX authorized account representative for the NOX
Budget opt-in source shall become the NOX authorized account
representative for the general account.
(c) A NOX Budget opt-in source that withdraws from the
NOX Budget Trading Program shall comply with all
requirements under the NOX Budget Trading Program concerning
all years for which such NOX Budget opt-in source was a
NOX Budget opt-in source, even if such requirements arise or
must be complied with after the withdrawal takes effect.
(d) Notification. (1) After the requirements for withdrawal under
paragraphs (a) and (b) of this section are met (including deduction of
the full amount of NOX allowances required), the permitting
authority will issue a notification to the NOX authorized
account representative of the NOX Budget opt-in source of
the acceptance of the withdrawal of the NOX Budget opt-in
source as of a specified effective date that is after such requirements
have been met and that is prior to May 1 or after September 30.
(2) If the requirements for withdrawal under paragraphs (a) and (b)
of this section are not met, the permitting authority will issue a
notification to the NOX authorized account representative of
the NOX Budget opt-in source that the NOX Budget
opt-in source's request to withdraw is denied. If the NOX
Budget opt-in source's request to withdraw is denied, the
NOX Budget opt-in source shall remain subject to the
requirements for a NOX Budget opt-in source.
(e) Permit amendment. After the permitting authority issues a
notification under paragraph (d)(1) of this section that the
requirements for withdrawal have been met, the permitting authority
will revise the NOX Budget permit covering the
NOX Budget opt-in source to terminate the NOX
Budget opt-in permit as of the effective date specified under paragraph
(d)(1) of this section. A NOX Budget opt-in source shall
continue to be a NOX Budget opt-in source until the
effective date of the termination.
[[Page 57537]]
(f) Reapplication upon failure to meet conditions of withdrawal. If
the permitting authority denies the NOX Budget opt-in
source's request to withdraw, the NOX authorized account
representative may submit another request to withdraw in accordance
with paragraphs (a) and (b) of this section.
(g) Ability to return to the NOX Budget Trading Program.
Once a NOX Budget opt-in source withdraws from the
NOX Budget Trading Program and its NOX Budget
opt-in permit is terminated under this section, the NOX
authority account representative may not submit another application for
a NOX Budget opt-in permit under Sec. 96.83 for the unit
prior to the date that is 4 years after the date on which the
terminated NOX Budget opt-in permit became effective.
Sec. 96.87 Change in regulatory status.
(a) Notification. When a NOX Budget opt-in source
becomes a NOX Budget unit under Sec. 96.4, the
NOX authorized account representative shall notify in
writing the permitting authority and the Administrator of such change
in the NOX Budget opt-in source's regulatory status, within
30 days of such change.
(b) Permitting authority's and Administrator's action. (1)(i) When
the NOX Budget opt-in source becomes a NOX Budget
unit under Sec. 96.4, the permitting authority will revise the
NOX Budget opt-in source's NOX Budget opt-in
permit to meet the requirements of a NOX Budget permit under
Sec. 96.23 as of an effective date that is the date on which such
NOX Budget opt-in source becomes a NOX Budget
unit under Sec. 96.4.
(ii)(A) The Administrator will deduct from the compliance account
for the NOX Budget unit under paragraph (b)(1)(i) of this
section, or the overdraft account of the NOX Budget source
where the unit is located, NOX allowances equal in number to
and allocated for the same or a prior control period as:
(1) Any NOX allowances allocated to the NOX
Budget unit (as a NOX Budget opt-in source) under Sec. 96.88
for any control period after the last control period during which the
unit's NOX Budget opt-in permit was effective; and
(2) If the effective date of the NOX Budget permit
revision under paragraph (b)(1)(i) of this section is during a control
period, the NOX allowances allocated to the NOX
Budget unit (as a NOX Budget opt-in source) under Sec. 96.88
for the control period multiplied by the ratio of the number of days,
in the control period, starting with the effective date of the permit
revision under paragraph (b)(1)(i) of this section, divided by the
total number of days in the control period.
(B) The NOX authorized account representative shall
ensure that the compliance account of the NOX Budget unit
under paragraph (b)(1)(i) of this section, or the overdraft account of
the NOX Budget source where the unit is located, includes
the NOX allowances necessary for completion of the deduction
under paragraph (b)(1)(ii)(A) of this section. If the compliance
account or overdraft account does not contain sufficient NOX
allowances, the Administrator will deduct the required number of
NOX allowances, regardless of the control period for which
they were allocated, whenever NOX allowances are recorded in
either account.
(iii)(A) For every control period during which the NOX
Budget permit revised under paragraph (b)(1)(i) of this section is
effective, the NOX Budget unit under paragraph (b)(1)(i) of
this section will be treated, solely for purposes of NOX
allowance allocations under Sec. 96.42, as a unit that commenced
operation on the effective date of the NOX Budget permit
revision under paragraph (b)(1)(i) of this section and will be
allocated NOX allowances under Sec. 96.42.
(B) Notwithstanding paragraph (b)(1)(iii)(A) of this section, if
the effective date of the NOX Budget permit revision under
paragraph (b)(1)(i) of this section is during a control period, the
following number of NOX allowances will be allocated to the
NOX Budget unit under paragraph (b)(1)(i) of this section
under Sec. 96.42 for the control period: the number of NOX
allowances otherwise allocated to the NOX Budget unit under
Sec. 96.42 for the control period multiplied by the ratio of the number
of days, in the control period, starting with the effective date of the
permit revision under paragraph (b)(1)(i) of this section, divided by
the total number of days in the control period.
(2)(i) When the NOX authorized account representative of
a NOX Budget opt-in source does not renew its NOX
Budget opt-in permit under Sec. 96.83(b), the Administrator will deduct
from the NOX Budget opt-in unit's compliance account, or the
overdraft account of the NOX Budget source where the
NOX Budget opt-in source is located, NOX
allowances equal in number to and allocated for the same or a prior
control period as any NOX allowances allocated to the
NOX Budget opt-in source under Sec. 96.88 for any control
period after the last control period for which the NOX
Budget opt-in permit is effective. The NOX authorized
account representative shall ensure that the NOX Budget opt-
in source's compliance account or the overdraft account of the
NOX Budget source where the NOX Budget opt-in
source is located includes the NOX allowances necessary for
completion of such deduction. If the compliance account or overdraft
account does not contain sufficient NOX allowances, the
Administrator will deduct the required number of NOX
allowances, regardless of the control period for which they were
allocated, whenever NOX allowances are recorded in either
account.
(ii) After the deduction under paragraph (b)(2)(i) of this section
is completed, the Administrator will close the NOX Budget
opt-in source's compliance account. If any NOX allowances
remain in the compliance account after completion of such deduction and
any deduction under Sec. 96.54, the Administrator will close the
NOX Budget opt-in source's compliance account and will
establish, and transfer any remaining allowances to, a new general
account for the owners and operators of the NOX Budget opt-
in source. The NOX authorized account representative for the
NOX Budget opt-in source shall become the NOX
authorized account representative for the general account.
Sec. 96.88 NOX allowance allocations to opt-in units.
(a) NOX allowance allocation. (1) By December 31
immediately before the first control period for which the
NOX Budget opt-in permit is effective, the permitting
authority will allocate NOX allowances to the NOX
Budget opt-in source and submit to the Administrator the allocation for
the control period in accordance with paragraph (b) of this section.
(2) By no later than December 31, after the first control period
for which the NOX Budget opt-in permit is in effect, and
December 31 of each year thereafter, the permitting authority will
allocate NOX allowances to the NOX Budget opt-in
source, and submit to the Administrator allocations for the next
control period, in accordance with paragraph (b) of this section.
(b) For each control period for which the NOX Budget
opt-in source has an approved NOX Budget opt-in permit, the
NOX Budget opt-in source will be allocated NOX
allowances in accordance with the following procedures:
(1) The heat input (in mmBtu) used for calculating NOX
allowance allocations will be the lesser of:
(i) The NOX Budget opt-in source's baseline heat input
determined pursuant to Sec. 96.84(c); or
[[Page 57538]]
(ii) The NOX Budget opt-in source's heat input, as
determined in accordance with subpart H of this part, for the control
period in the year prior to the year of the control period for which
the NOX allocations are being calculated.
(2) The permitting authority will allocate NOX
allowances to the NOX Budget opt-in source in an amount
equaling the heat input (in mmBtu) determined under paragraph (b)(1) of
this section multiplied by the lesser of:
(i) The NOX Budget opt-in source's baseline
NOX emissions rate (in lb/mmBtu) determined pursuant to
Sec. 96.84(c); or
(ii) The most stringent State or Federal NOX emissions
limitation applicable to the NOX Budget opt-in source during
the control period.
Subpart J--Mobile and Area Sources [Reserved]
[FR Doc. 98-26773 Filed 10-26-98; 8:45 am]
BILLING CODE 6560-01-P