Fillable Form 401: Application For Emission Reduction Credit (ERC) (SCAQMD)

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Form 401: Application For Emission Reduction Credit (ERC) (SCAQMD)

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South Coast Air Quality Management District, Form 401 (2014.07)
Mail To:
SCAQMD
P.O. Box 4944
Diamond Bar, CA 91765-0944
Tel: (909) 396-3385
www.aqmd.gov
South Coast Air Quality Management District
Form 401
Application For Emission Reduction Credit (ERC)
Certificate Of Title
Section A - Certificate Information
ERC Application Type New Change of Title Alteration Inter-District Interpollutant Re-Issuance
New ERCs
Emission Reduction Achieved By:
Equipment Alteration Equipment Removal Facility Out of Business Process Change
New APC Device Other, Explain:
Equipment Description:
Permit/Application No.: Date of Reduction:
(mo/day/yr)
Existing ERC Certificate
Information
Name on Existing ERC Certificate: ERC Certificate No.:
Price Information
(Change of Title and Inter-
District Only)
Sale Price of ERC Certificate: (Dollars per pound)
Applicant Information
(All Transactions)
Legal Name of Applicant: AQMD Facility ID:
Business Mailing Address:
Street Address
City State Zip
Name(s) of Owner/Principal Partners
Contact Person and Title Phone No. Ext.
Do you claim confidentiality of data? Yes No (See “Confidential Information,” Bottom of P.2)
If Yes, state nature of data:
ROG NOx SOx CO
PM
10
PM
2.5
All Applications:
Existing Emittant Amount (lbs/day)
For Alterations Only:
Altered Amount (lbs/day)
For Alterations Only:
Remaining Amount (lbs/day)
ROG NOx SOx CO
PM
10
PM
2.5
Requested Credits (lbs/day):
Page 1 of 4
South Coast Air Quality Management District, Form 401 (2014.07)
CONFIDENTIAL INFORMATION
Under the California Public Records Act, all information in your permit application will be considered a matter of public record and may be disclosed to a third party. If you wish to keep
certain items as confidential, please complete the following steps:
(a) Make a copy of any page containing confidential information blanked out. Label this page “public copy.”
(b) Label the original page “confidential.” Circle all confidential items on the page.
(c) Prepare a written justification for the confidentiality of each confidential item. Append this to the confidential copy.
South Coast Air Quality Management District
Form 401
Application For Emission Reduction Credit (ERC)
Certificate Of Title
THIS IS A PUBLIC DOCUMENT
Pursuant to the California Public Records Act, your permit application and any supplemental documentation are public records and may be disclosed to a third party. If you wish to
claim certain limited information as exempt from disclosure because it qualifies as a trade secret, as defined in the District’s Guidelines for Implementing the California Public Records
Act, you must make such claim at the time of submittal to the District.
Check here if you claim that this form or its attachments contain confidential trade secret information.
Seller Information
(Change of Title and Inter-
District Only)
Legal Name of Seller: AQMD Facility ID:
Business Mailing Address:
Street Address
City State Zip
Name(s) of Owner/Principal Partners
Contact Person and Title Phone No. Ext.
Do you claim confidentiality of data? Yes No
If Yes, state nature of data:
Intended ERC Use
ERC Will Be Used For:
Emission Offset (Rule 1303) Variance/Order of Abatement Broker/Auction
Rideshare Program (Rule 2202) AOC (Rule 518.2) Investment
Retire Other:
Location of Emission Reduction:
Street Address
City State Zip
Sensitive Zone
Requirements
Rule 1303(b)(3)
Location of ERC Use:
Street Address
City State Zip
Page 2 of 4
Section B - Applicant/Seller Certification Statement
I hereby certify that all information contained herein and information submitted with this application is true and correct.
Applicant Signature: Title:
Type or Print Name of Signer (Applicant):
Phone #: Fax#:
Email:
Date Signed:
Seller Signature: Title:
Type or Print Name of Signer (Seller):
Phone #: Fax#:
Email:
Date Signed:
CA
CA
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South Coast Air Quality Management District, Form 401 (2014.07)
South Coast Air Quality Management District
Form 401
Application For Emission Reduction Credit (ERC)
Certificate Of Title
General Instructions
1. Form Uses - The following ERC actions require use of Form 401:
New emission reduction credits (New ERC) - one application required per Permit Unit
A Change of Title of an existing ERC Certificate
An Alteration of an existing ERC Certificate (two certificates issued from and totaling the amount of the original)
An Inter-District Transfer request of an existing ERC Certificate (Rule 1309(i))
An Interpollutant Transfer request of an existing ERC Certificate (Rule 1309(h))
Re-Issuance of a previously used ERC certificate (Rule 1309(g)) - One application per ERC certificate
2. Fees - Per District Rule 301(c)(4), every applicant filing an application for banking, change of title or alteration/
modification of ERCs shall pay a processing fee in accordance with Schedule I, Rule 301. Additionally, the applicant
shall pay a fee for publication of public notice if required by Rule 1309(f)(3), Rule 1309.2(D) or Rule 1310(c). Fees
for Inter-basin, Inter-district or Interpollutant Transfers of Emission Reduction Credits are found in District Rule 301(j)
(7). Fees for re-issuance of ERC are the same as Change of Title. Make check payable and send completed
application to:
South Coast AQMD
P.O. Box 4944
Diamond Bar, CA 91765-0944
3. Authorization - A signed letter from the seller on company letterhead authorizing the transaction is required for all
applications for change of title or inter-district transfer. This is in addition to the required seller’s signature on Form
401. Furthermore, for applicants represented by a third party, a letter from the applicant authorizing such third party
representation is required for all such applications.
4. Agreement for Purchase/Sale – A copy of the ERC title transfer agreement between buyer and seller is required
for all ERC Change of Title applications. At a minimum, the agreement must disclose the ERC number, amount,
pollutant and purchase/sale price in addition to the signature blocks identifying the parties and dates.
5. Canceling the Application – Cancellation of this application must be done in writing from the Applicant. If an
application is canceled prior to commencing processing, the filing fee less the application cancellation fee shall be
refunded (see Rule 313). The cancellation fee shall not apply when the application was filed based on an erroneous
District request (see Rule 313).
Form 401 Instructions
1. New ERC - one complete application (covering all pollutants) and filing fee is required per permit unit or source of
emission reduction and shall be submitted no more than 180 days after the emission reduction occurs (Rule 1309
(b)). ERCs are evaluated pursuant to Rules 1306 and 1309. ERC applications shall include the following information:
1) How the emission reduction was achieved;
2) When the reduction occurred (i.e., the last day a source was actually operated - this is not the day the
decision was made to cease operation);
3) The amount and method of quantifying each pollutant reduced;
4) Two years of operating records immediately preceding the date of application for ERCs (i.e., copies of daily
production logs - summary tables are not sufficient);
5) Surrender of the permit for the equipment that is the subject of the ERC application; and
6) The name of the legal owner of the emissions source.
Page 3 of 4
South Coast Air Quality Management District, Form 401 (2014.07)
South Coast Air Quality Management District
Form 401
Application For Emission Reduction Credit (ERC)
Certificate Of Title
2. Existing ERC Certificates – Any action performed on an existing ERC certificate must be authorized in writing by
the owner of the ERC certificate. Any person acting on behalf of the owner of the ERC must provide written
authorization from the ERC owner to that effect. The Non-Negotiable Copy of the ERC certificate must be
surrendered to perform an action with that ERC. One application is required per ERC certificate.
a) ERC Change of Title - the Buyer or recipient of an existing ERC shall file as the ―Applicant‖ for a Change of
Title. Rule 1309(e) - Transfer of ERCs by Registered Owner requires disclosing the sale price of the ERCs.
b) ERC Alteration - the owner of the existing ERC certificate shall file as the ―Applicant.‖
c) ERC Re-issuance—the owner of previously used ERC certificate shall file as the ―Applicant.‖
3. Price Information – The price of the ERC transaction must be reported in dollars per pound for all changes of title
and inter-district transfers.
4. Applicant Information
5. Seller Information
6. Sensitive Zone Requirement – applies to applicants intending to use the ERC to offset emission increases at their
facility. See Rule 1303(b)(3).
7. Signature Block – Applicant’s signature, name, title, telephone number and date of signature are required for all
applications. Seller’s signature, name, title, telephone number and date of signature are required for all change of
title and inter-district applications.
8. For assistance in completing Form 401, please call NSR Implementation at (909) 396-2468.
ERC Application Type Applicant
New Party responsible for emission reduction
Change of Title/Re-Issuance Party acquiring ERC certificate
Alteration Owner of existing ERC certificate
Inter-District Party acquiring ERC certificate
Interpollutant Owner of existing ERC certificate
ERC Application Type Seller
New Not applicable
Change of Title Owner of existing ERC certificate
Alteration Not applicable
Inter-District Owner of existing ERC certificate
Interpollutant Not applicable
Page 4 of 4
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Form 401: Application For Emission Reduction Credit (ERC) (SCAQMD)

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Completed 12 August 2020

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