Application for Transfer of Discrete Emission Credits

Texas Commission on Environmental Quality

Form DEC-4 Instructions

Application for Transfer of Discrete Emission Credits

(Title 30 Texas Administrative Code §§ 101.370- 101.379)

General:

In accordance with Title 30 Texas Administrative Code § 101.378 Part (c) [30 TAC § 101.378(c)], an owner or an operator of a facility may elect to transfer discrete emission credits which have been certified and have not been used by submission of a completed Form DEC-4 entitled, “Application for Transfer of Discrete Emission Credits.” The completed Form DEC-4 shall include the price paid per credit and shall be submitted to the executive director at least 30 days prior to the credits being deposited into the transferee’s broker or compliance account. The seller of the credits is responsible for completing the Form DEC-4 and mailing it to Texas Commission on Environmental Quality, Air Quality Division, Emission Banking and Trading Program MC-206, P.O. Box 13087, Austin, Texas78711-3087. All information regarding the quantity and sales price of allowances will be immediately made available to the public.

Specific:

I.Seller’s Company Information

A. Company Name: Enter the legal name of the company or corporation and mailing address, telephone number, and fax number of the seller of the credits. The company name on this form and the Texas Commission on Environmental Quality (TCEQ) Core Data Form should match.

B. TCEQ Customer Number (CN): Enter the TCEQ assigned number of the owner or operator of the site. This number is a nine digit number preceded by the letters CN and is assigned by the TCEQ to the company. A typical example of a CN is CN600123456. If your company has not been assigned a CN, you will need to submit a core data form. You may find a copy of the core data form on the TCEQ website at or you may call (512) 239-5160 for assistance to obtain or verify the CN.

C. Site Name: Provide the site name and street address for the site to which the credits are being held. If no street address is available, provide driving directions in writing. Identify the location by distance and direction from well-known landmarks such as highway intersections. Enter the city or town where the site is located. If the address is not located in a city or town enter the city or town closest to the site even if it not located in the same county as the site. Enter the county where the site is physically located. Also include the zip code for the physical location of the site and not the zip code of the mailing address.

D. TCEQ Regulated Entity Number (RN): Enter the TCEQ assigned number of the site identified on the Form DEC-4. This number is a nine digit number, preceded by the letters RN and is assigned by the TCEQ to the entire property owned or controlled by the applicant at a specific location. A typical example of a regulated entity number is RN100123456. If your site has not been assigned a RN, you will need to submit a core data form located on the TCEQ website at

or you may call (512) 239-5160 for assistance to obtain or verify the RN.

E. TCEQ Air Account Number (if available): The TCEQ issued Air Quality Account Number prior to the RN identification system. A typical example of an Air Account Number is XX-0000-X. The first two letters of this number alphabetically identifies the location of each site.

II.Seller’s Technical Contact Information

A. Technical Contact Name and Title: Provide the name, title, address, telephone number, fax number and e-mail address of the person the TCEQ should contact for technical questions and who has the authority to make binding agreements and representations on behalf of the applicant. This technical contact may be a consultant.

TCEQ - 10394 (Revised- 12/07) Form DEC-4 Instructions and Form

This form is for use by sources participating in the

Emission Banking and Trading Programs and may be revised periodically.Page 1 of 3

Form DEC-4 Instructions

III.Seller’s Account Representative Information

A. Account Representative Name and Title: Enter the name, title, mailing address city, state, zip code, telephone number, fax number, and e-mail address of the person the TCEQ should contact for transfer of allowance questions, and who has the authority to make binding agreements and representations on behalf of the company or corporation. This account representative must be a company official (owner, plant manager, president, vice president, etc). This person cannot be an outside consultant.

IV. Buyer’s Company Information

A. Company Name: Enter the legal name of the company or corporation, mailing address, telephone number, and fax number of the buyer of the credits. The company name on this form and the Texas Commission on Environmental Quality (TCEQ) Core Data Form should match.

B.TCEQ Customer Number (CN): Enter the TCEQ assigned number of the owner or operator of the site. This number is a nine digit number preceded by the letters CN and is assigned by the TCEQ to the company. A typical example of a CN is CN600123456. If your company has not been assigned a CN, you will need to submit a core data form. You may find a copy of the core data form on the TCEQ website at or you may call (512) 239-5160 for assistance to obtain or verify the CN.

C. Site Name: Provide the site name and street address for the site to which the credits will be transferred. If no street address is available, provide driving directions in writing. Identify the location by distance and direction from well-known landmarks such as highway intersections. Enter the city or town where the site is located. If the address is not located in a city or town enter the city or town closest to the site even if it not located in the same county as the site. Enter the county where the site is physically located. Also include the zip code for the physical location of the site and not the zip code of the mailing address.

D. TCEQ Regulated Entity Number (RN): Enter the TCEQ assigned number of the site identified on the Form DEC-4. This number is a nine digit number, preceded by the letters RN and is assigned by the TCEQ to the entire property owned or controlled by the applicant at a specific location. A typical example of a regulated entity number is RN100123456. If your site has not been assigned a RN, you will need to submit a core data form located on the TCEQ website at or you may call (512) 239-5160 for assistance to obtain or verify the RN.

V.Buyers Technical Contact Information

A. Technical Contact Name and Title: Provide the name, title, address, telephone number, fax number and e-mail address of the person the TCEQ should contact for technical questions and who has the authority to make binding agreements and representations on behalf of the applicant. This technical contact may be a consultant.

VI.Buyer’s Account Representative Information

A.Account Representative Name and Title: Enter the name, title, mailing address city, state, zip code, telephone number, fax number, and e-mail address of the person the TCEQ should contact for transfer of allowance questions, and who has the authority to make binding agreements and representations on behalf of the company or corporation. This account representative must be a company official (owner, plant manager, president, vice president, etc). This person cannot be an outside consultant.

VII.Credits to be Transferred.

Please identify the certificate, pollutant and amount of credits associated with the transfer and retained amount (if applicable). Please identify the associated Seller and Buyer RN listed on page 1 of the Form DEC-4. If an RN has not assigned to the buyer or seller, please enter the company name.

VIII.Purchase Price

Please disclose the price of the credits acquired or the expected price of the allowances to be acquired. This must be listed on all transfers at the time the transfer is submitted. The only time a price is not required is if it is an internal transfer between the same company.

IX.Signature

Application for authority to transfer credits must be made by the owner of the credits. The appropriate company official (owner, plant manager, president, vice president, or environmental director) must sign all copies of the application. It is not appropriate for the applicant to have a consultant sign the application. Please ensure to have the seller and buy of credits sign the form.

Note:Signatures must be original in ink, not reproduced by photocopy, fax, or other means, and must be received by the TCEQ prior to any allowances being transferred.

Mail application to:

Texas Commission on Environmental Quality

Emission Banking and Trading Program MC 206

POBOX 13087

AUSTIN, TX78711-3087

TCEQ - 10394(rev. 12/07) These forms are for use by the sources

Page 3 of 3

participating in the Emission Banking and Trading of Allowances

Program and are subject to revision.(NSRG 7117v2)

Texas Commission for Environmental Quality

Form DEC-4 (Page 1)

Application for Transfer of Discrete Emission Credits

(Title 30 Texas Administrative Code §§ 101.370 - 101.379)

I. SELLER’S COMPANY IDENTIFYING INFORMATION
A.Company Name:
Mailing Address:
City: / State: / Zip Code:
Telephone: / Fax: / E-mail:
B. TCEQ Customer Identification Number (CN):
C. Plant/Site Name:
Street Address (If no street address, give driving directions in writing.):
Nearest City: / Zip Code: / County:
D.TCEQ Regulated Entity Number (RN):
E.TCEQ Account Number (if applicable):
II. SELLER’S TECHNICAL CONTACT IDENTIFYING INFORMATION
A.Contact Name: ( Mr. Mrs. Ms. Dr.)
Contact Title:
Telephone: / Fax: / E-Mail:
Mailing Address:
City: / State: / Zip Code:
III. SELLER’S CONTACT FOR SALE OF CERTIFICATE
A.Contact Name: ( Mr. Mrs. Ms. Dr.)
Contact Title:
Telephone: / Fax: / E-Mail:
Mailing Address:
City: / State: / Zip Code:
IV. BUYER’S COMPANY IDENTIFYING INFORMATION
A.Company Name:
Mailing Address:
City: / State: / Zip Code:
Telephone: / Fax: / E-Mail:
B.TCEQ Customer Identification Number (CN):
C.Plant/Site Name:
Street Address (If no street address, give driving directions in writing.):
Nearest City: / Zip Code: / County:
D.TCEQ Regulated Entity Number (RN):
E.TCEQ Account Number (if applicable):
V. BUYER’S TECHNICAL CONTACT IDENTIFYING INFORMATION
A.Contact Name: (Mr.Mrs. Ms. Dr.)
Contact Title:
Telephone: / Fax: / E-Mail:
Mailing Address:
City: / State: / Zip Code:
VI. BUYER’S CONTACT FOR SALE OF CERTIFICATE
A.Contact Name: (Mr. Mrs. Ms. Dr.)
Contact Title:
Telephone: / Fax: / E-Mail:
Mailing Address:
City: / State: / Zip Code:
VII. DERCs TO BE TRANSFERRED
Seller RN / Buyer RN
DERC Certificate / Pollutant
(NOX, VOC, HAP , CO, SO2, PM10) / Transferred Amount
(tons) / Retained Amount
(tons)
VIII. PURCHASE PRICE
*Price of the DERCs acquired or the expected price of the DERCs to be acquired: $ . per ton (Required)
*Chapter 101 requires the price of DERCs to be publicly disclosed immediately after the transaction is finalized*
IX. CERTIFICATION BY RESPONSIBLE OFFICIAL
I, , hereby certify as owner of the above listed discrete emission credits, these credits may be transferred to the listed buyer and that the information entered in this application is correct to the best of my knowledge and belief.
Seller’s Signature Signature Date
Title
Buyer’s Signature Signature Date
Title

TCEQ - 10394 (Revised- 12/07) Form DEC-4 Instructions and Form

This form is for use by sources participating in the

Emission Banking and Trading Programs and may be revised periodically.Page _____ of _____