Form ECT-2 Instructions

Texas Commission on Environmental Quality Application for Transfer of Allowances Form ECT-2 Instructions

General: The Form ECT-2 allows a company to transfer Regulated Entity Reference Number (RN) allowances available for the present control period if Enter this TCEQ-assigned number. This identifier is a the form is submitted within that same control period nine-digit number preceded by “RN” (ex. or submitted 30 days (at the latest) after the control RN123456789) and is assigned by the TCEQ to the period. For example, a company with allowances entire property owned or controlled by the company available for compliance with the 2013 control period at a specific location. This RN must match the RN can submit a Form ECT-2 between January 1, 2013, associated with the portfolio number. If your site and January 30, 2014, to transfer allowances to does not have an RN, submit a Core Data Form. Call another company that can use these allowances for (512) 239-5175 for assistance regarding the RN. compliance with the 2013 control period. Air Account Number Transferred allowances will be deposited in the Enter the TCEQ-assigned number for each site, if buyer’s broker or compliance account (i.e., portfolio) available. A typical example of an air account immediately; therefore, the allowances must be in number is JB-1234-R. For broker accounts, enter the the seller’s portfolio at the time of the trade. All broker account number (ex. BKR1234). information regarding the quantity and sales price of Portfolio Number allowances will be made available to the public. The Enter this Emissions Banking and Trading Program- seller of the allowances is responsible for completing assigned number. This identifier starts with “P” and and mailing the Form ECT-2 to: ends with a four-digit number (ex. P1234). Each Emissions Banking and Trading Program, MC-206 portfolio number is associated with either a broker or Air Quality Division one site owned by a specific company (i.e., each site Texas Commission on Environmental Quality has a different portfolio number, and the number PO Box 13087 changes if there is a new owner or company name Austin, Texas 78711-3087 change). If you do not know the correct portfolio number, call (512) 239-4900 for assistance or visit Detailed Instructions: the Credit and Allowance Registry online at Company Information http://www2.tceq.texas.gov/airperm/index.cfm? For each of the selling and buying companies, enter fuseaction=banking.start. the legal name of the company, mailing address, and Technical Contact Information telephone number. The company name on this form For each of the selling and buying companies, should match the name on the Texas Commission on provide the name, title, mailing address, telephone Environmental Quality (TCEQ) Core Data Form. number, and e-mail address of the person the TCEQ Customer Reference Number (CN) should contact for technical questions. This person Enter this TCEQ-assigned number. This identifier may be a consultant who is authorized by the starts with “CN” and ends with a nine-digit number company to make binding agreements and (ex. CN123456789). This CN must match the CN representations on behalf of the company. associated with the portfolio number. If your Contact Information company does not have a CN, submit a Core Data Form, available online at For each of the selling and buying www.tceq.texas.gov/goto/coredata. Call (512) 239- companies, provide the name, title, mailing 5175 for assistance regarding the CN. address, telephone number, and e-mail Site Information address of a company official (president, For each site, enter the site name and physical street plant manager, environmental engineer, address. If no street address is available, provide etc.) who is authorized by the company to directions of how to reach the site. make binding agreements and Enter the city (or the nearest city), county, and ZIP representations on behalf of the company. code where the site is located. This person cannot be a consultant.

TCEQ-10384 (Rev. 11/12) This form is subject to revision Page 1 of 2 Texas Commission on Environmental Quality

Allowances to be Transferred Enter the seller’s and buyer’s portfolio numbers.

Enter the pollutant type (“NOX” or “HRVOC”), the year that the allowances were allocated, the control period that the traded allowances are available for use, the traded amount to the tenth of a ton, and the purchase price. The purchase price must be reported except for sites that are owned or operated by the same company. Note: When the TCEQ deducts allowances from a site’s portfolio for a control period, current allowances are used before vintage allowances. Vintage allowances that are not used for compliance expire. The terms “current” and “vintage” differentiate between allowances that were allocated in the current control period (i.e., “current”) versus allowances that were allocated in the previous control period (i.e., “vintage”). Authorized Signature The Form ECT-2 must be certified with an original signature, in ink, by a company official with the authority to make binding agreements and representations on behalf of the company. A consultant cannot sign the form. If the form is faxed or e-mailed, the hard copy with the original signature must be mailed as well. Mail application to: Emissions Banking and Trading Program, MC-206 Air Quality Division Texas Commission on Environmental Quality PO Box 13087 Austin, TX 78711-3087

TCEQ-10384 (Rev 1/11) Page 2 of 3 This form is subject to revision. TCEQ-10384 (Rev 1/11) Page 3 of 3 This form is subject to revision Texas Commission on Environmental Quality Application for Transfer of Allowances Form ECT-2 (Page 1)

Seller’s Company Information

Company Name: Mailing Address: City: State: ZIP Code: Telephone Number: TCEQ Customer Reference Number (CN): Seller’s Site Information

Site Name: Street Address: Nearest City: County: ZIP Code : TCEQ Regulated Entity Reference Number (RN): TCEQ Air Account Number (if applicable): Portfolio Number: Seller’s Technical Contact Information

(Mr. Ms. Dr. ) Technical Contact Name: Title: Mailing Address: City: State: ZIP Code: Telephone Number: E-Mail Address: Seller’s Contact Information

(Mr. Ms. Dr. ) Company Contact Name: Title: Mailing Address: City: State: ZIP Code: Telephone Number: E-Mail Address: Buyer’s Company Information

Company Name: Mailing Address: City: State: ZIP Code: Telephone Number: TCEQ Customer Reference Number (CN):

TCEQ-10384 (Rev. 11/12) This form is subject to revision Application for Transfer of Allowances Form ECT-2 (Page 2)

Buyer’s Site Information

Site Name: Street Address: Nearest City: County: ZIP Code: TCEQ Regulated Entity Reference Number (RN): TCEQ Air Account Number (if applicable): Portfolio Number: Buyer’s Technical Contact Information

(Mr. Ms. Dr. ) Technical Contact Name: Title: Mailing Address: City: State: ZIP Code: Telephone Number: E-Mail Address: Buyer’s Contact Information

(Mr. Ms. Dr. ) Company Contact Name: Title: Mailing Address: City: State: ZIP Code: Telephone Number: E-Mail Address: Allowances to be Transferred

Seller’s Portfolio Number: Buyer’s Portfolio Number: For Use in Amount Traded Purchase Price Pollutant Allocation Year Control Period (tons) ($/ton)

Authorized Signature

I,(Enter Name of Company Official), hereby certify that (Enter Seller's Company Name) is the owner of the above listed allowances, these allowances may be transferred to the listed buyer, and that information entered in this application is correct to the best of my knowledge and belief.

Signature Title Date

TCEQ-10384 (Rev 1/11) Page 3 of 3 This form is subject to revision