Code of Maine Rules
06 - DEPARTMENT OF ENVIRONMENTAL PROTECTION
096 - DEPARTMENT OF ENVIRONMENTAL PROTECTION - GENERAL
Chapter 156 - CO[2] BUDGET TRADING PROGRAM
Section 096-156-5 - Compliance Requirements

(a) identification of the source and each CO2 budget unit at the source;

(b) at the CO2 authorized account representative's option, the serial numbers of the CO2 allowances that are to be deducted from the source's compliance account under subsection 5(D) of this Chapter for the control period, including the serial numbers of any CO2 offset allowances that are to be deducted subject to the limitations of subsection 5(D)(1)(c) of this Chapter; and

(c) the compliance certification under subsection 5(A)(3) of this Chapter.

(a) whether the source was operated in compliance with the CO2 budget emissions limitation;

(b) whether the monitoring plan applicable to each unit at the source has been maintained to reflect the actual operation and monitoring of the unit, and contains all information necessary to attribute CO2 emissions to the unit, in accordance with section 4 of this Chapter;

(c) whether all the CO2 emissions from the units at the source 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 section 4 of this Chapter. 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 have been made;

(d) whether the facts that form the basis for certification under section 4 of this Chapter of each monitor at each unit at the source, or for using an excepted monitoring method or alternative monitoring method approved under section 4 of this Chapter, if any, have changed; and

(e) if a change is required to be reported under subsection 5(A)(3)(d) of this Chapter, 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 required monitor recertification.

(a) The CO2 allowances, other than CO2 offset allowances, are of allocation years that fall within a prior control period, the same control period, or the same interim control period for which the allowances will be deducted. Allowances from allocation years that fall after an interim control period may not be used for compliance deduction for that interim control period.

(b) The CO2 allowances are held in the CO2 budget source's compliance account as of the CO2 allowance transfer deadline for that control period or interim control period, or are transferred into the compliance account by a CO2 allowance transfer correctly submitted for recordation under subsection 8(A) of this Chapter by the CO2 allowance transfer deadline for that control period or interim control period.

(c) For CO2 offset allowances, the number of CO2 offset allowances that are available to be deducted for compliance with a CO2 budget source's CO2 budget emissions limitation for a control period or interim control period may not exceed 3.3 percent of the CO2 budget source's CO2 emissions for that control period, or 3.3 percent of one half of the CO2 budget source's CO2 emissions for an interim control period, as determined in accordance with sections 4 and 7 of this Chapter.

(d) The CO2 allowances are not necessary for deductions for excess emissions for a prior control period under subsection 5(D)(4) of this Chapter.

(a) until the amount of CO2 allowances deducted equals the number of tons of total CO2 emissions (or 0.50 times the number of tons of total CO2 emissions for an interim control period), as determined in accordance with section 4 of this Chapter, from all CO2 budget units at the CO2 budget source for the control period or interim control period; or

(b) if there are insufficient CO2 allowances to complete the deductions in subsection 5(D)(2)(a) of this Chapter, until no more CO2 allowances available under subsection 5(D)(1) of this Chapter remain in the compliance account.

(a) The CO2 authorized account representative for a source's compliance account may request that specific CO2 allowances, identified by serial number, in the compliance account be deducted for emissions or excess emissions for a control period or interim control period in accordance with either subsection 5(D)(2) or 5(D)(4) of this Chapter. Such identification shall be made in the compliance certification report submitted in accordance with subsection 5(A) of this Chapter.

(b) The Department or its agent will deduct CO2 allowances for a control period or interim control period from the CO2 budget source's compliance account, in the absence of an identification or in the case of a partial identification of available CO2 allowances by serial number under subsection 5(D)(3)(a) of this Chapter, in the following descending order:

(a) After making the deductions for compliance under subsection 5(D)(2) of this Chapter, the Department or its agent will deduct from the CO2 budget source's compliance account a number of CO2 allowances equal to three times the number of the source's excess emissions in tons of CO2.In the event that the source's compliance account has insufficient CO2 allowances to cover three times the number of tons of excess emissions, the source shall be required immediately to transfer sufficient allowances into its compliance account. No CO2 offset allowances may be deducted to account for the source's excess emissions.

(b) Any CO2 allowance deductions required under subsection 5(D)(4)(a) of this Chapter shall not affect the liability of the owners and operators of the CO2 budget source or the CO2 units at the source for any fine, penalty, or assessment, or their obligation to comply with any other remedy for the same violation, as ordered under applicable State law. The following guidelines will be followed in assessing fines, penalties, or other obligations:

(c) The propriety of the Department's determination that a CO2 budget source had excess emissions and the concomitant deduction of CO2 allowances from that CO2 budget source's compliance account may be later challenged in the context of the initial administrative enforcement or any civil or criminal judicial action arising from or encompassing that excess emissions violation. The commencement or pendency of any administrative enforcement or civil or criminal judicial action arising from or encompassing that excess emissions violation will not act to prevent the Department or its agent from initially deducting the CO2 allowances resulting from the Department's original determination that the relevant CO2 budget source has had excess emissions. Should the Department's determination of the existence or extent of the CO2 budget source's excess emissions be revised either by a settlement or final conclusion of any administrative or judicial action, the Department will act as follows: