7610-6 Allowance Transfer Form

Instructions for the Allowance
Transfer Form
The Acid Rain Program CAIR Trading Programs (CAIR NOX Annual, CAIR SO2, and CAIR NOX Ozone
Season), and Transport Rule Programs (TR NOX Annual, TRSO2 Groups I and II SO2, and TR NOX
Ozone Season) regulations allow for the transfer of emissions allowances between Allowance Tracking
System (ATS) accounts. Upon receipt of a complete Allowance Transfer Form, EPA will move the
allowances from the transferor's account to the transferee's account. For the Acid Rain Program and the
CAIR SO2 Trading Program only, you may transfer a portion of your allowance allocation or the entire
allocation in perpetuity from a facility account to another account in the ATS, unless the allocation is
made to an Acid Rain or CAIR SO2 opt-in unit.
You are encouraged to use the CAMD Business System (CBS) to submit allowance transfers online. To
register for CBS, go to https://camd.epa.gov/loginrequest/index.cfm.
If you need more space, photocopy page three. When you have completed the form, indicate the page
order and total number of pages (e.g., 1 of 4, 2 of 4, etc.) in the spaces provided in the upper right hand
corner of each page.
Remember, for the Acid Rain Program (under 40 CFR 72.21(d)), you must notify the persons you
represent in this transaction, (i.e., the owners or operators of the affected source and units).
Either the authorized account representative (AAR) or the alternate AAR may sign this form. For facility
accounts, the designated representative (DR) is the AAR and the alternate DR is the alternate AAR.
If you need assistance, call the Clean Air Markets Hotline at 202-343-9620.
Make sure you select the correct allowance program. Only check one box. If you want to transfer
allowances under more than one program, submit a separate form for each program.
STEP 4

For the Acid Rain, CAIR SO2, and TR SO2 programs, the AAR or alternate AAR from the
transferee account must sign the form or have a signature on file authorizing acceptance of
allowances transferred into his or her accounts.

STEP 5

If you are transferring SO2 allowances (under the Acid Rain Program or CAIR SO2 Trading
Program only), you may elect to transfer "in perpetuity" (i.e., specific blocks of allowances for
all years following a specified year) unless the allowances are allocated to an Acid Rain optin unit or a CAIR SO2 opt-in unit. To transfer an SO2 allowance in perpetuity, check the
Perpetuity box. "In perpetuity" allows you, for years beginning in 2010, to select only the first
year you would like to transfer. For all years thereafter, the same transfers are recorded.

STEP 6

Enter the vintage year and serial numbers of the allowances to be transferred. Enter the
number of allowances to be transferred in the "Total" column. Verify the accuracy of your
entries by computing one of the following simple equations reflecting the equivalent
relationships:
Start Number = End Number  Total + 1
or
End Number = Start Number + Total  1
Allowances with different vintage years must be entered on separate lines.

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Submission Deadline
If you are transferring allowances for purposes of compliance with Acid Rain, CAIR SO2, CAIR NOX,
TRSO2 Group I, TRSO2 Group II, or TR NOX annual, allowance holding requirements for a given year, this
form must be post marked no later than the Allowance Transfer Deadline (midnight of March 1 of the next
year.) For CAIR NOX ozone season, the deadline is midnight of November 30 of the compliance year.
For TR NOX Ozone season, the deadline is midnight of December 1 of the compliance year. This is
general information; see the rule citation for complete details.
For more information see the applicable rule:
Acid Rain: 40 CFR 73.50
CAIR NOX Annual: 40 CFR 96.160 or 97.160 or the applicable State rule
CAIR SO2: 40 CFR 96.260 or 97.260 or the applicable State rule
CAIR NOX Ozone Season: 40 CFR 96.360 or 97.360 or the applicable State rule
Transport Rule NOX Annual: 40 CFR 97.422
Transport Rule NOX Ozone Season: 40 CFR 97.522
Transport Rule SO2 Annual: 40 CFR 97.622 or 97.722
Paperwork Burden Estimate
The public reporting and recordkeeping burden for this collection of information is estimated to average 2
hours per response annually. Burden means the total time, effort, or financial resources expended by
persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This
includes the time needed to review instructions; develop, acquire, install, and utilize technology and
systems for the purposes of collecting, validating, and verifying information, processing and maintaining
information, and disclosing and providing information; adjust the existing ways to comply with any
previously applicable instructions and requirements; train personnel to be able to respond to a collection
of information; search data sources; complete and review the collection of information; and transmit or
otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a currently valid OMB control number.
Send comments on the Agency's need for this information, the accuracy of the provided burden
estimates, and any suggested methods for minimizing respondent burden, including through the use of
automated collection techniques to the Director, Collection Strategies Division, U.S. Environmental
Protection Agency (2822T), 1200 Pennsylvania Ave., NW., Washington, D.C. 20460. Include the OMB
control number in any correspondence. Do not send the completed form to this address.

2

United States
Environmental Protection Agency

OMB Nos. 2060-0258, 2060-0570 and 2060-0667
Approval expires 07/31/2014

Allowance Transfer Form
Choose one only:
STEP 1
Select the type of
allowances to be
transferred.

STEP 2
Enter account
information about
the transferor (in
whose account the
allowances
currently reside).

Acid Rain/CAIR SO2 Allowances
CAIR NOX Ozone Season Allowances
CAIR NOX Allowances
Transport Rule NOX Annual Allowances
Transport Rule NOX Ozone Season Allowances
Transport Rule SO2 Group I Allowances
Transport Rule SO2 Group II Allowances

Transferor:
Account #

Authorized Account Representative (AAR) Name

AAR Phone Number

AAR Fax Number

AAR E-mail Address

STEP 3
Enter account
information about
the transferee (into
whose account the
allowances are
being transferred).

Transferee:
Account #

Authorized Account Representative (AAR) Name

AAR Phone Number

AAR Fax Number

AAR E-mail Address

EPA Form 7610-6 (Revised 8-2011)

(Page 1 of 3 in this submission)

Transferor Account # (from page 1)

STEP 4
Complete Steps 5
and 6. Read the
certification, print
name, and sign
and date.

(Page 2 of 3 in this submission)

For Designated or Alternate Designated Representatives
I am authorized to make this submission on behalf of the owners and operators of the
source or units for which the submission is made. I certify under penalty of law that I
have personally examined, and am familiar with, the statements and information
submitted in this document and all its attachments. Based on my inquiry of those
individuals with primary responsibility for obtaining the information, I certify that the
statements and information are to the best of my knowledge and belief true, accurate, and
complete. I am aware that there are significant penalties for submitting false statements
and information or omitting required statements and information, including the possibility
of fine or imprisonment.
For Authorized or Alternate Authorized Representatives (For General Accounts)
I am authorized to make this submission on behalf of the persons with an ownership
interest with respect to the Acid Rain Program, CAIR SO2, CAIR NOX CAIR NOX Ozone
Season, Transport Rule SO2 Group I, Transport Rule Group II, Transport Rule NOX
Annual, or Transport Rule NOX Ozone Season (as designated in Step 1 above) held in
the general account. I certify under penalty of law that I have personally examined, and
am familiar with, the statements and information submitted in this document and all its
attachments. Based on my inquiry of those individuals with primary responsibility for
obtaining the information, I certify that the statements and information are to the best of
my knowledge and belief true, accurate, and complete. I am aware that there are
significant penalties for submitting false statements and information or omitting material
information, including the possibility of fine or imprisonment for violations.

Transferor:
Name
Signature

Transferee (Acid Rain/CAIR SO2 allowances only):

Date

Check if signature on file
(see instructions)

Name
Signature

STEP 5
Mark the box if all
allowances listed
below are to be
transferred in
perpetuity. To
correctly list the
allowances in
perpetuity, refer to
the instructions
for this form.

Date

The allowances listed at Step 6 and the allowances with corresponding serial
numbers in successive future year subaccounts will be transferred in perpetuity to the
Transferee's account. This applies for Acid Rain Program/CAIR SO2 allowance
transfers (but does not apply for transfers of Acid Rain allowances allocated to Acid
Rain opt-in units or CAIR SO2 allowances allocated to CAIR SO2 opt-in units).

EPA Form 7610-6 (Revised 8-2011)

(Page 3 of 3 in this submission)

Transferor Account # (from page 1)

Start Number

End Number

Start

End

Total

0 │ 5 │ 2 │ 5 │ 1 │ 9 │ 9 │ 3

0 │ 5 │ 2 │ 5 │ 2 │ 0 │ 1 │ 0

22

Year
STEP 6
List the
allowances to
be transferred
by serial
number (see
example).
You may specify
single
allowances or a
series of
allowances. In
the total
column, enter
the total number
of allowances to
be transferred.
Enter separate
series or series
with a different
use date on a
separate line.

Submission
Information

2 │ 0 │ 1 │ 5
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Mail to the following address:
By regular/certified mail:

Or overnight mail:

U.S. Environmental Protection Agency
Clean Air Markets Division (6204J)
Attn: Allowance Tracking System
1200 Pennsylvania Avenue, NW
Washington, D.C. 20460

U.S. Environmental Protection Agency
Clean Air Markets Division (6204J)
Attn: Allowance Tracking System
1310 L Street, NW
Second Floor, Office 202B
Washington, DC 20005
(202) 343-9168

EPA Form 7610-6 (Revised 8-2011)