Texas Commission on Environmental Quality
FORM EC-1
APPLICATION FOR CERTIFICATION OF EMISSION CREDITS
FORM AND INSTRUCTIONS
General:
In accordance with Title 30 Texas Administrative Code § 101.303 Part (c) (30 TAC § 101.303(c) ), an owner or an
operator of a facility may elect to generate emission reduction credits (ERCs) by reducing emissions beyond the level
required by any local, state, and federal regulations and by submitting a completed Form EC-1 entitled, “Application for
Certification of Emission Credits.” Form EC-1 must be submitted within 180 days of the implementation of the emission
reduction strategy, along with all supporting documentation. The owner or operator of the facility which has generated
ERCs is responsible for completing the Form EC-1 and mailing it to the Texas Commission on Environmental Quality
(TCEQ), Air Quality Division, Emission Banking and Trading Program MC-206, P.O. Box 13087, Austin, Texas 787113087. All information regarding the nature of the ERC certification and the amount of ERCs credited will be immediately
made available to the public.
Specific:
I.
Company Identifying Information
A.
Company Name: Enter the legal name of the company or corporation and mailing address, telephone number,
and fax number of the owner or operator of the site. The company name provided should match the TCEQ
Core Data Form.
B.
TCEQ Customer Number (CN): Enter the TCEQ assigned number of the owner or operator of the site. The
CN is a unique number assigned to the company or corporation and applies to all facilities and sites owned or
operated by this company or corporation. A typical example of a CN is CN600123456. These identification
numbers have recently been assigned by the TCEQ, replacing the air quality account number. If you have not
been officially notified by the TCEQ Central Registry Program of your Customer Number, or have any
questions about your Customer Number, you may call (512) 239-5160 for assistance to obtain or verify the
account number.
C.
Site Name: Provide the site name and street address for the facility which has generated ERCs. If no street
address is available, provide written driving directions. 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. Include the zip code for the
physical location of the site.
D.
TCEQ Regulated Entity Number (RN): Enter the TCEQ assigned number of the site identified in Section C.
The RN replaces the former TCEQ account number for the facility or site. A typical example of a RN
is RN100123456. These identification numbers have recently been assigned by the TCEQ, replacing the air
quality account number. If you have not been officially notified by the TCEQ Central Registry Program of
the Regulated Entity Number, or have any questions about your Regulated Entity Number, you may call (512)
239-5160 for assistance to obtain or verify the account number.
E.
Other Site Information: Enter the primary Standard Industry Classification (SIC) code for the site as well as
the current air permit number under which the facility or facilities which have generated ERCs are operating.
TCEQ 10387 (Revised 12/07) Form EC-1 Instructions
This form is for use by facilities subject to air quality
permit requirements and may be revised periodically. [APDG 5067v3]
Page 3 of 3
EC-1 Instructions and Form
II.
Technical Contact Information
A.
III.
Contact for Sale of Certificate
A.
IV.
Technical Contact Name and Title: Provide the name, title, address, telephone number, fax number and email address of the person the TCEQ should contact for technical questions. This contact must have the
authority to make binding agreements and representations on behalf of the applicant. The technical contact
may be a consultant.
Business Contact Name and Title: Provide the name, title, address, telephone number, fax number and e-mail
address of the business contact the TCEQ should contact regarding issuance of the certificate. This contact
must have the authority to make binding agreements and representations on behalf of the applicant. The
business contact will also be listed in the ERC registry so interested parties may inquire about purchase or
transfer of the certificate.
Generation Activity
Identify the type of generation activity; shutdown, additional control, or other. Provide a brief description of the
generation activity. If the strategy is a facility shutdown, please provide the shutdown date. If the strategy is a
reduction in overall emissions, provide the date the reduction went into effect. Indicate whether production has
shifted to another facility in the same nonattainment area. Note: If production has shifted to another facility within
the same site, the facility is not eligible to receive ERCs.
V.
Emissions Rate Data
List emissions activity for each specific facility generating ERCs. For VOC emissions, attach a separate table listing
all species of VOC reduced and their respective amounts. Enter the information in each column as described below:
Emission Point Number (EPN) and Facility Identification Number (FIN): Enter the Emission Point Number
(EPN) and Facility Identification Number (FIN) for each facility. This information should match previous
information submitted to the TCEQ Air Quality Division regarding emissions inventory or a permit
application.
Pollutant: List the criteria pollutant, either NOx or VOC. Use a separate row for each criteria pollutant
produced from the same facility.
Year: Enter the baseline years for each facility. Baseline years must be two consecutive years including
and/or following the year of the most recent State Implementation Plan (SIP) for the generation area.
Baseline Activity: List the level of activity for the facility (i.e., MMBtu/yr, hp-hrs, etc.), the Baseline
Emission Rate (BER) of the facility (i.e., lbs/MMBtu, g/hp-hr, etc.), and the Regulatory Emission Rate
(RER), if any, for the facility. (The RER is the most stringent value of any state or federal emission limit
applying to the facility during the generation period.)
Allowable Emissions: Enter the maximum permitted allowable Emission Rate (ER) or maximum permitted
allowable emissions per year (Tons) for the facility. ERCs can not be credited for any emissions over permit
allowables.
BE Baseline Emissions: In the Tons column, enter the lower of the actual emissions (Baseline activity x
[lower of BER or RER]) or allowable emissions. Enter the average of the two baseline years in the “Avg”
column.
TCEQ 10387 (Revised 12/07) Form EC-1 Instructions
This form is for use by facilities subject to air quality
permit requirements and may be revised periodically. [APDG 5067v3]
Page 2 of 3
EC-1 Instructions and Form
Strategy Activity: Enter the level of activity during the generation period. For shutdown facilities, enter zero
for strategy level of activity. Enter the emission rate during the strategy period. For shutdown facilities, enter
zero for the strategy emission rate.
SIP EI: Enter the year of the Emissions Inventory (EI) used in the most recent SIP demonstration for the
criteria pollutant for the generation area. Enter the values reported to the EI for total emissions, level of
activity, and emission rate.
Creditable ERCs: ERCs can be calculated following the guidelines in 30 TAC §101.303(b). For facility
shutdown, the amount of creditable ERCs would be the lower of the BE average or EI SIP. For permanent
emission reductions, the lower of the BE average or EI SIP will be compared to the strategic emission to
determine creditable ERCs using the following equation:
{[(BA1 x BER1) + (BA2 x BER2)] / 2} - SE = reduction
Where;
BA is the baseline activity (for years 1 and 2).
BER is the baseline emission rate (for years 1 and 2).
SE is the strategic emissions.
TCEQ 10387 (Revised 12/07) Form EC-1 Instructions
This form is for use by facilities subject to air quality
permit requirements and may be revised periodically. [APDG 5067v3]
Page 3 of 3
VI.
Most Stringent Emission Rate
Enter the emission rate or other regulated emission level (state, federal, or permit requirement) the facilities
generating ERCs must meet.
VII. Protocol
Indicate the method used to determine emission rates, level of activity, and total emissions. Examples of emission
rate protocols include CEMS, stack testing, AP-42, or other approved methods. Examples of level of activity
protocols include CEMS, monthly fuel meter readings, operating hours, or other approved methods. All generators
or users of emission credits must use a protocol which has been approved by the EPA and is appropriate to the
emission reduction, as identified in 30 TAC chapters 115, 116, or 117. Please attach all calculations used to
determine the amount of ERCs generated during the generation period.
VIII. Certification by Responsible Official
Please print or type the name and title of the representative of the company which owns or operates the site. This
representative must have the authority to make binding agreements and representations on behalf of the applicant.
Form EC-1 must be submitted to the TCEQ with an original signature and date, in ink, by the representative
identified in this section.
Note: Attachment A, Checklist for DERC Certification, is for use by facility representatives and does not need to be
submitted to the TCEQ.
4
5
TCEQ 10387 (Revised 03/05) Form EC-1 Instructions
This form is for use by facilities subject to air quality
permit requirements and may be revised periodically. [APDG 5067v3]
Page _____ of _____
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Form EC-1 (Page 1)
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Form EC-1 (Page 1)
Application for Certification of Emission Credits
(Title 30 Texas Administrative Code § 101.300 - § 101.311)
I. Company Identifying Information
A.
Company Name:
Mailing Address:
City:
State:
Zip Code:
Telephone:
Fax:
B. TCEQ Customer Number (CN):
C. Site Name:
Street Address: (if no street address, give driving directions to site)
Nearest City:
Zip Code:
County:
D. TCEQ Regulated Entity Number (RN):
E. Primary SIC:
II.
Air Permit Number:
Technical Contact Identifying Information
A. Technical Contact Name: (
Mr.
Mrs.
Ms.
Dr.)
Technical Contact Title:
Mailing Address:
City:
State:
Telephone:
Zip Code:
Fax:
E-mail:
III. Contact for Sale of Certificate
A.
Business Contact Name: (
Mr.
Mrs.
Ms.
Dr.)
Business Contact Title:
Mailing Address:
City:
Telephone:
State:
Fax:
Zip Code:
E-mail:
IV. Generation Activity
 Shutdown  Additional Control
 Other:
Describe reduction activity:
Date of Shutdown:
/ /
Date of Reduction:
/ /
Has production shifted from the shutdown facility to another facility in the same site?
 Yes  No
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Form EC-1 (Page 2)
Application for Certification of Emission Credits
(Title 30 Texas Administrative Code § 101.300 - § 101.311)
V.
Emissions Rate Data
Attach documentation which demonstrates the basis for each value represented in this table.
Calculation of ERCs
EPN
FIN
Pollutant Year
Baseline Activity
Activity
TCEQ 10387 (Revised 12/07) Form EC-1 Instructions
This form is for use by facilities subject to air quality
permit requirements and may be revised periodically. [APDG 5067v3]
BER
Allowable
Emissions
RER
ER
Tons
BE Baseline
Emissions
Tons
Avg
Strategy Activity
Activity
SER
SIP EI
Year
Tons
Activity
Creditable
ERCs
ER
Page _____ of _____
TCEQ 10387 (Revised 12/07) Form EC-1 Instructions
This form is for use by facilities subject to air quality
permit requirements and may be revised periodically. [APDG 5067v3]
Page _____ of _____
Form EC-1 (Page 3)
Application for Certification of Emission Credits
(Title 30 Texas Administrative Code § 101.300 - § 101.311)
VI.
Most Stringent Emission Rate
Describe basis for most stringent emission rate:  Permit
Notes:
 RACT
 Other:
VII. Protocol
Protocol used to calculate ERC:
Note: Please attach complete calculations used in the generation of ERCs
VIII. Certification by Responsible Official
I,
, hereby certify that the emission reductions claimed on this notice meet
the requirements of 30 TAC Chapter 101, Subchapter H, Division 1 and are not based on an emission strategy
prohibited in 30 TAC Chapter 101, Subchapter H, Division 1 to the best of my knowledge and belief and that the
information entered in this application is correct to the best of my knowledge and belief.
Signature
Signature Date _______________
Title ___________________________________________________________________________________________
Mail application to:
Texas Commission on Environmental Quality
Emission Banking and Trading Program MC 206
PO BOX 13087
AUSTIN, TX 78711-3087
TCEQ 10387 (Revised 12/07) Form EC-1 Instructions
This form is for use by facilities subject to air quality
permit requirements and may be revised periodically. [APDG 5067v3]
Page _____ of _____
TCEQ 10387 (Revised 12/07) Form EC-1 Instructions
This form is for use by facilities subject to air quality
permit requirements and may be revised periodically. [APDG 5067v3]
Page _____ of _____
Attachment A - Checklist for DERC Certification
Please check the appropriate box.
Applicant
Administrative Information - This information is provided, but not required to be submitted to the TCEQ.
Is the Form EC-1 being submitted within 180 days from the end of the generation period?
Have you provided verification as to whether production shifted from the facility receiving credit to another
facility on the same site?
Emission reduction strategy emission rate (unless credit will be generated from a shutdown)
Is information showing the enforceable mechanism for each EPN/FIN included?
Is a list of all applicable Permit and Permit by Rule numbers for each EPN/FIN included?
Is a copy of the Emissions Inventory from the most recent year of emissions inventory used for SIP
determinations for each EPN/FIN included?
Is a copy of the Emissions Inventory for the two consecutive calendar years used for the baseline period for each
EPN/FIN included?
Is a complete description of the calculation protocols used to determine the amount of credit requested included?
Is a statement containing an explanation of how the credit is real, surplus, and quantifiable included?
Is a list all rule citations for any applicable local, state or federal requirements included? a tank may have a state
and a federal requirement. Therefore, listing the TCEQ Chapter 115 rule citation that applies along with the EPA
NSPS K, Ka, or Kb should all be listed. This should be done for each EPN/FIN.
State whether or not each EPN/FIN is subject to the Mass Emissions Cap and Trade program or any other cap and
trade program. If yes, have you taken a permanent reduction in your allowances?
Technical Review Requirements
Is the reduction strategy or shutdown description included?
If VOC reduction, is a speciated VOC and HAP list and amounts included?
Is the baseline emission activity (ex. fuel usage records, production, use, throughput, and hours of operation)
included?
Is the baseline emission rate (ex. emission rate from CEMS or PEMS, guaranteed by vendor,
NSR calculation protocol, AP-42) included?
The most stringent emission rate or standard applicable to each EPN/FIN considering all local, state and federal
requirements (ex. RACT, ESAD, NSPS, NESHAPS, MACT, etc.)
Is the backup documentation for the two consecutive calendar years of baseline activity such as production
records, or use records, operating logs, or heat input included?
Are calculations for each EPN/FIN to show how each credit generation amount was determined using the
equation in §101.303(b)(1) included?
Is backup documentation for the baseline emission rate or factor such as CEMS, PEMS, stack test data, or vendor
guarantee included?
Is NSPS applicable? If yes, note the part(s)?
Is NESHAPS applicable? If yes, what part(s)?
Is there a MACT standard for these facilities? If yes, what part(s)?
Does RACT apply? If yes, what part(s)?
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