[Code of Federal Regulations]
[Title 40, Volume 18]
[Revised as of July 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 40CFR96.2]
[Page 667-672]
TITLE 40--PROTECTION OF ENVIRONMENT
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
PART 96--NOX Budget Trading Program for State Implementation
Plans--Table of Contents
Subpart A--NOX Budget Trading Program General Provisions
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
[[Page 668]]
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 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
[[Page 669]]
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 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.
[[Page 670]]
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.
[[Page 671]]
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.
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
[[Page 672]]
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.