Completing the TCEQ Core Data Form

What is the Core Data Form? Example

The following Customers own or are responsible for
The Core Data Form (CDF) collects core data about
the corresponding Regulated Entities.
the people, businesses, and institutions that TCEQ
regulates. Customer Regulated Entity
Worlds Inc Roads Landfill
“Core Data” refers to names, addresses, phone Duke Energy Field Services LP Englewood Compression Station
numbers, business types and other information that is Exxon Mobil Corporation Tiger Mart 791
shared across the agency.
What are CN and RN Numbers?
When to complete this form?
CN and RN numbers are used to identify Customers
and Regulated Entities in Central Registry. These
Only under the following circumstances should a Core numbers do not replace other numbers (ex. Permit,
Data Form be submitted: Registration, Account, etc.) They can be used to
easily access your information in the Central Registry
• Your Core information is not yet in the Central database. Located at http://www4.tceq.state.tx.us/crpub/
Registry database or is incomplete
Each Customer is issued a unique 11 digit
• Your information has changed from what is identification number called a Customer Reference
currently in the Central Registry database Number (CN). These identifiers will be referred to as
“CN numbers” because they start with “CN” and end
• It is requested by the agency with a 9 digit number (ex. CN123456789). Each
Customer should have only one CN number.
You can check the status of your data in Central
Registry on-line at http://www4.tceq.state.tx.us/crpub/. Each Regulated Entity is also issued a unique 11 digit
identification number called a Regulated Entity
Note: If you are processing a new permit, change of Reference Number (RN). These identifiers will be
ownership or termination additional forms besides the referred to as “RN numbers” because they begin with
Core Data Form may be required. Please contact “RN” and end with a 9 digit number (ex.
Central Registry for assistance at (512) 239-5175. RN123456789). Each Regulated Entity should have
only one RN number.
Where do I send this form?
Do I receive a new CN or RN
• To the address on the other TCEQ forms the Number each time I submit a
Core Data Form is accompanying
form?
• To the location requested by TCEQ staff
No. A new CN or RN number is assigned only if the
• For an update to Core Data submit the Core Data following conditions are met.
Form to the address below:
• The Customer has not yet been issued a CN
TCEQ Number in Central Registry
Central Registry Program MC 144
A Customer may be involved with many sites and/or
PO Box 13087
Austin, TX 78711-3087 licenses but should only be issued a single CN
Number in Central Registry.

What is a Customer? • The Regulated Entity does not already have a

What is a Regulated Entity? Regulated Entity Number (RN) in Central
Registry
Customer - An Individual or Organization responsible A Regulated Entity is located at the actual physical
for one or more Regulated Entities. Examples include address where the regulated activity is occurring with
owners and operators of a site or an individual who the exception of portable Regulated Entities and
holds a license. licenses. There should be only one RN number
issued for each location. Once a site has an RN
Regulated Entity – This is the activity, site or thing number, that number will stay with the site regardless
that TCEQ regulates. The Regulated Entity is located of how many times it changes Customers (owners /
at the actual physical address of where the regulated operators).
activity is occurring. Examples are a site, facility or
license.
Examples
1. Getting New CN & RN Numbers
3. Change in ownership of a Regulated Entity
Worlds Inc owns and operates Roads Landfill.
Neither have CN or RN numbers in the Central (Contact the Program Areas before attempting to use
Registry Database (search Central Registry first to this form to process a change of ownership, other
confirm these numbers do not already exist). forms may be required)

Worlds Inc = Customer (owner & operator) James Enterprises Co. owns and operates Maverick
WITHOUT A CN NUMBER Electroplating. Each of these is in Central Registry
Roads Landfill = Regulated Entity and has a CN and RN number.
WITHOUT AN RN NUMBER
James Enterprises Co = Customer with a CN
Process to get new RN and CN Numbers Maverick Electroplating = Regulated Entity with RN

• Use only one Core Data Form A few months later Silicon Electroplating Inc buys
• Enter Worlds Inc’s information in Section II Maverick Electroplating and becomes its sole owner
• Enter Roads Landfill’s information in Section III and operator. James Enterprises Co is no longer
• Enter the preparer’s information in Section IV associated with the site. Silicon Electroplating Inc is
• Always fill out Sections I, IV and V. (In this NOT in the Central Registry Database yet.
example, a CN and RN number have not been
issued , so leave the CN and RN fields blank in Silicon Electroplating Inc = Customer
Section I) WITHOUT A CN NUMBER
• It may be necessary to submit a program Maverick Electroplating = Regulated Entity
application when getting new CN and RN WITH AN RN NUMBER
numbers
Process for Change in Ownership

• Fill out a single Core Data Form for Silicon

2. Updating Customer and/or Regulated
Electroplating Inc (new Customer) and Maverick
Entity Information Electroplating (Regulated Entity). In Section I,
Hyper Global Net Incorporated is in Central Registry leave the CN blank because it has not been
as the owner/operator of the Regulated Entity – issued yet and use Maverick Electroplating’s RN
Global Net Services. A few months later Hyper Number. In Section II check “New Customer”
Global Net Incorporated goes through a and “Change in Regulated Entity Ownership” for
reorganization which results in changes to the field 7. Enter Silicon Electroplating Inc as the
information the company originally submitted to TCEQ Customer Legal Name in field 9. Enter James
on the Core Data Form. The changes include a Enterprises Co as the previous name and put the
company name change to Mega Hyper Global Net date they stopped being associated with the site.
Inc., a company mailing address change, and a • After the first Core Data Form has been
change in the Regulated Entity name to Mega Global submitted the prior owner (James Enterprises
Net Services. Co) should submit a letter to all interested
program areas at TCEQ stating that they are no
Hyper Global Net Incorporated = Customer longer the Customer for the Regulated Entity that
WITH A CN NUMBER they sold. (Maverick Electroplating)
Global Net Services = Regulated Entity
WITH AN RN NUMBER Note: If the change of ownership is for specific
permits at a site and not the whole site, fill in the
Process for updating CN/RN information permit/registration numbers that are changing hands
in the TCEQ Programs and ID Numbers field 39.
• Fill out a single Core Data Form. Put the
Customer’s and Regulated Entity’s CN and RN
numbers in for fields 3 and 4. Line-By-Line Instructions
• Mark “Update to Customer Information” for field 7
and fill in only the fields that are being updated Section I: General Information
for Section II. In this example it would be the
Customer’s new name and new mailing address. 1. Reason for Submission
• Mark “Update to Regulated Entity information” on
field 22 and fill out only the fields that are being • If the Core Data Form is being submitted in
updated in Section III. In this example it would conjunction with a new Permit, Registration or
be the Regulated Entity’s new name. Authorization application check the box indicating
• Make sure to always fill out Section IV and V. this and attach the Core Data Form to the
program application.

TCEQ – 10400 Instructions (09/07) 2

• If the Core Data Form is being submitted in 7. General Customer Information
conjunction with a renewal application check the Check ALL boxes that apply.
box indicating this and attach the Core Data
Form to the renewal form. • New Customer
The Customer does not have a CN Number.
• If the Core Data form is being submitted for In this case complete all items in Section II.
another reason than those listed above check the
Other box and briefly state why the form is being • Update to Customer Information
submitted. The Customer has a CN but some of the
information in Section II (Customer
Example: Updating Customer Information Information – ex. Mailing Address,
Updating Regulated Entity Information Telephone Number, etc.) has changed and
needs to be updated. In this case only
2. Attachments fill in the items that have changed.

• If you are including other forms or information • Change in Regulated Entity Ownership
check “Yes” and BRIEFLY describe them. The Customer (permittee) for this Regulated
Entity (listed in field 4) has changed (ex.
Facility has been sold or is now under
Example: Sludge Transporter Registration operational control of another entity). In this
EPA Notification Form case complete all items in Section II and fill
Notice of Change Letter in the previous owner’s name and end date
next to field 9.
• If the Core Data Form is being submitted by itself,
check “No” Note: See the instructions for Field 39 for
partial changes of ownership. Also, not all
3. Customer Reference Number (CN) permits/authorizations are transferable to a
new owner. Check with the program area(s)
If you have been issued a CN Number, enter it here. before attempting a change of ownership
If this is the first time you or your company have with this form.
completed this form, you will not have this number, so
you should leave this space blank. • Change in Legal Name
It may be necessary to verify with the
This number always begins with CN. Regardless of Secretary of State that a change in name
how many Regulated Entities this Customer is alone has occurred before a change to a
affiliated with, you will have only one Customer Customer name can be processed.
reference number. Call TX SOS at 512-463-5555 for more
information related to your company.
4. Regulated Entity Reference Number (RN)
If the Customer is changing Tax IDs or
This unique number identifies the Regulated Entity Secretary of State Filing number, a new
and always begins with RN. CN may be needed. Please contact a
Central Registry representative if you are
If the Regulated Entity has an 11-digit RN, list it here. uncertain at 512-239-5175
(ex. RN123456789) If no regulated activity has
occurred at this site before you will not have this • No Change
number yet, so you should leave this space blank. No Customer information is changing
(including the Customer’s relationship with
the Regulated Entity). In this case skip to
Section II: Customer Information Section III.

5. Effective Date for Customer Information (TCEQ withholds the right to request that all
Changes information on the CDF be filled out)
This is the date the changes submitted on this form
8. Type of Customer
took effect or the date that the new Customer took
over ownership of the facility. There is no effective
Check only ONE box
date for initial applications.

6. Customer Role • Individual

An individual is a person who is regulated
Check ONE box that best indicates the Customer’s by TCEQ but has not established a
relationship to the Regulated Entity. If none of the business.
boxes fit your situation, check “Other” and write in the
relationship.

TCEQ – 10400 Instructions (09/07) 3

• Sole Proprietorship – D.B.A. • Government – Other
The Customer in this case is a business that is The Customer is a utility district, water district,
owned by only one person and has not been tribal government, college district, council of
incorporated. This business may: governments or river authority.
• Be under the person’s name (ex. Lower Colorado River Authority).
• Have its own name (“doing business as, or
DBA) • Other
• Have any number of employees Fits none of the above descriptions. Some
• Customers must register assumed names examples may be a joint venture, trust or an
with the county estate. Enter a short description of the type of
• On the form please provide the first name, Customer in the blank provided.
last name and dba name in this format.
(ex. Bryan Smith dba Cool Cleaners) 9. Customer Name

• Limited Partnership (LP & LLP) A Texas limited Enter the complete legal name of the Customer.
partnership is a partnership formed by two or Please verify that you are using the correct legal
more persons, having one or more general name for your company by searching for it using the
partners and one or more limited partners. The Secretary of State and Texas Comptroller Websites or
limited partnership operates in accordance with a by calling their help lines.
partnership agreement, written or oral, of the
Secretary of State 512-463-5555
partners as to the affairs of the limited
http://direct.sos.state.tx.us/acct/acct-login.asp
partnership and the conduct of its business.
While the partnership agreement is not filed for Texas Comptroller 1-800-252-1386
public record, the limited partnership must file a http://ecpa.cpa.state.tx.us/vendor/tpsearch1.html
certificate of limited partnership with the Texas
Secretary of State (SOS). The Secretary of State Previous Name and End Date
provides a form for the certificate of limited If the Customer name has changed due to a change
partnership which meets minimum state law in legal name please enter the prior name of the
requirements. Customer and the date the name was changed in the
Secretary of State. If the Customer name is changing
• General Partnership A general partnership is because of a change in ownership of the Regulated
created when two or more persons associate to Entity enter the name of the previous owner and the
carry on a business for profit. A partnership date the ownership changed hands.
generally operates in accordance with a
partnership agreement, but there is no 10. Mailing Address
requirement that the agreement be in writing and
no state-filing requirement. General partnerships Enter the mailing address to which TCEQ can send
are required to file with the county in which they general correspondence (ex. The Customer’s
operate. Please submit a tax ID if you have a Headquarters). This address must be recognized for
sales tax permit. delivery by the United States Parcel Service. You can
check the validity of your address at www.usps.com
• Corporation
The Customer meets all of the following: Do NOT put the mailing address for the Customer’s
• Is legally incorporated under the laws of any contact for individual programs (ex. New Source
state or country Review Contact, Petroleum Storage Contact,
• Is recognized as a corporation by the Texas Stormwater Contact, etc.), unless they are also the
Secretary of State overall contact for TCEQ.
• Has proper operating authority to operate in
If this address is outside the USA: Enter the
Texas
mailing address and city if applicable. Enter all other
mailing information under “Country” (field 11).
Examples of Corporations
• General corporations 11. Country Mailing Information
• Subchapter S corporations
• Limited liability companies (LLC) If the address is in the USA, leave blank. If not, enter
• Water supply corporations the country name, mailing zone, non-ZIP mailing
codes and non-USA Postal Service features.

• Government – Federal, State, County or City 12-15. E-mail, Phone and Fax Information
The Customer is either an agency of one of these
levels of government or the governmental body Enter the communication information that would allow
itself (ex. Blanco County, City of Houston, Texas TCEQ to contact the Customer. Leave field 13 blank
Department of Transportation) if your phone system does not use extensions or
codes.

TCEQ – 10400 Instructions (09/07) 4

16. Federal Tax ID • Update to Regulated Entity Information
The Regulated Entity has an RN but some of the
All businesses, except some small sole proprietors information in Section III (Regulated Entity
and individuals should have a federal taxpayer Information – ex. Mailing Address, Telephone
identification number (FEIN). Enter this number here; Number, etc.) has changed and needs to be
do NOT use prefixes, dashes or hyphens. For more updated. In this case only complete those items
information on Federal Tax IDs please visit ____ that have changed.
http://www.irs.gov/businesses/small/article/0,,id=9787 Note: If you are changing the street address of
2,00.html your RN you will need to contact a Central
Registry representative to determine if you
17. TX State Franchise Tax ID Number need a new RN number and/or new
permits/authorizations. This does not apply
If the Customer is a corporation or limited liability to portable Regulated Entities. Central
company, enter their state franchise tax ID here. Registry can be contacted at 512-239-5175.
Otherwise, leave this field blank. Check the State
Comptroller’s website at • No Change
http://ecpa.cpa.state.tx.us/vendor/tpsearch1.html
for a listing of your tax ID. No Regulated Entity information is changing.

18. DUNS Number Note: If you have entered the Regulated Entity’s
RN Number in Section I and there is No
If the Customer has a Data Universal Numbering Change to the Regulated Entity in Section
System number issued by Dun and Bradstreet Corp, III, you may skip to Section IV.
enter it here (usually larger companies). If not, leave
blank. (TCEQ withholds the right to request that all
information on the CDF be filled out)
19. TX SOS Filing Number

If the Customer has filed with the Secretary of State 23. Regulated Entity Name
as a Corporation, Limited Partnership or non-profit
organization they will have been issued a SOS filing The name by which you want the Regulated Entity to
number which may be entered here. If the Customer be known or the name that it is known by. It will be
has not filed with SOS, leave blank. used by all TCEQ programs when referring to the
Search for your SOS Filing number at Regulated Entity. Make sure this name is consistent
http://www.sos.state.tx.us/corp/sosda/index.shtml or on all forms submitted to TCEQ. If the Regulated
call at 512-463-5555. Entity name is the same as an individual, please print
last name first followed by the first name.
20. Number of Employees
24. Street Address
Enter the number of employees for the Customer’s
entire company, including subsidiaries, at ALL Enter the physical street address of the Regulated
locations, not just the location of the Regulated Entity Entity. Do not provide a P.O. Box. If the Regulated
listed above. Entity has no street address, be sure to complete
fields 35 and 36.
21. Independently Owned and Operated
Example Entry: 123 Bloom Street
Check “No” if the Customer is a subsidiary or part of a Hometown, TX 78711
larger company. Otherwise, check “Yes”. 25. Mailing Address
Section III: Regulated Entity Information Enter the mailing address to which TCEQ can send
general correspondence (ex. Headquarters at the
22. General Regulated Entity Information Regulated Entities address). Do NOT put the mailing
address for the Regulated Entity’s program contacts
Check only ONE box (ex. Air Contact, Waste Contact, etc.), unless they are
also the Regulated Entity’s overall contact for TCEQ.
• New Regulated Entity This address must be recognized for delivery by the
The Regulated Entity does NOT yet have an RN United States Parcel Service. You can check the
Number in Central Registry. validity of your address at www.usps.com
In this case complete all of Section III
• Update to Regulated Entity Name 26-29. E-mail, Phone and Fax information
The name by which your Regulated Entity is
____known has changed and needs to be updated. Enter the communication information that would allow
____This name will be used by all program areas. TCEQ to contact the Regulated Entity.

TCEQ – 10400 Instructions (09/07) 5

30-33. SIC and NAICS Codes sure this form gets to the correct Program Areas as
well as ensuring that the appropriate permits /
All Regulated Entities except Occupational Licenses registrations are updated. Updates to some program
should have Standard Industrial Classification (SIC) and areas, including Water Quality, may only be made if
North American Industrial Classification System (NAICS) the appropriate ID numbers are filled out in this
codes. The codes should indicate the classification of section. If there are more ID numbers than space will
what the site will ultimately be used for. allow, list them on a separate sheet and attach it to
the Core Data Form.
For a list of SIC codes on the Web go to:
www.osha.gov/oshstats/sicser.html
Partial Changes of Ownership
For a list of NAICS codes on the Web go to: If you are submitting this form to process a change of
www.census.gov/epcd/www/naicscod.htm ownership, section 39 can be used to indicate a
partial ownership change of the permit/registrations
34. Primary Business of this Entity located at a Regulated Entity. For example, Maverick
Electroplating (Regulated Entity) is owned by James
In your own words, briefly describe the primary Enterprises Co (Customer). James Enterprises Co is
business of this Regulated Entity. (Gas Compression, regulated by TCEQ for having two petroleum storage
Fleet Refueling, Rubber Manufacturing, etc.) tanks at Maverick Electroplating. At some point
Maverick Electroplating sells part of its operation to
35. Description to Physical Location Silicon Electroplating, including one of the PST tanks.
When Silicon Electroplating submits a Core Data
Enter specific direction of how to reach the Regulated Form to inform us of the change of ownership they
Entity if the physical location of the Regulated Entity need to indicate the permit number(s) for the
has no street address. petroleum storage tank that they are taking over
Sample Entry: “E on County Road 101 ownership for in this section. If this is not done,
from US 83, turn left after 1.3 miles by TCEQ will assume that Silicon Electroplating is taking
the big oak tree, go 0.3 mile past the first over ownership of both of the petroleum storage tanks
tank on the left” at the Regulated Entity.

36. Nearest City, County, State and Nearest ZIP Section IV: Preparer Information
If the Regulated Entity is in a city, that city will be the 40-45. Name, Title, Phone Numbers, E-mail
nearest city. If the nearest city is in another state or
country, please provide that information in this blank Give all information for the person who actually
as well completed the form. If TCEQ staff has questions they
will contact this person.
County: County in which the Regulated Entity is
located. Enter the county with the majority of the SECTION V: Authorized Signature
Regulated Entity if it extends into more than one
county. 46. Name and Signature
State: This will primarily be Texas. Depending on the updates requested and the
Program Areas involved, TCEQ rules and statutes
Nearest ZIP Code: Enter the ZIP code for the area may restrict who can sign this form. Please refer to
that includes this Regulated Entity. If not available, the reference regulation to determine signature
give the ZIP code that is closest to this Regulated authority. You can find the rule for your permit/reg
Entity—for example, the ZIP code for the city entered type at: http://www.sos.state.tx.us/tac/index.shtml.
in the Nearest City field. For further assistance, please see the program area
signature requirements and contact information list on
37-38. Latitude (N) and Longitude (W) the next page.
Enter this information if the Regulated Entity has a If the CDF is being filled out as a result of an
fixed location and the latitude and longitude are investigation, the CDF can be completed by the
known. For larger sites use the center point of the investigator but should be signed by the responsible
operation. You may enter this information in either party. In cases where there is no responsible party
decimal or degree format. This field is required for all (ex. abandoned sites, spills) or the responsible party
Water Quality programs. cannot be located (ex. off-site) the CDF should not be
signed.
39. TCEQ Programs and ID Numbers
For Water Quality authorizations (CAFO, Wastewater,
Use these fields to indicate the Programs and Storm Water, and Sludge permits and registration), by
Permit/Registrations affected by the updates on this signing the core data form, the person signing is
form. For example, when using this form to update a certifying that they are authorized under 30 Texas
Regulated Entity’s name make sure to list the Administrative Code '305.44 to sign and submit this
Programs and ID numbers linked to the Regulated document, and can provide documentation in proof of
Entity that you want updated. This will help us make such authorization upon request.

TCEQ – 10400 Instructions (09/07) 6

 Program Area Signature Requirements and Contact Information
Signatory Regulations Program Area
TCEQ Program Area
(who can sign this form) Phone Number
Air New Source (AIRNSR) Applicant (512) 239-1250
Air Operating Permits (AirOP) Applicant (512) 239-1250
Brownfields (BSA) Applicant (512) 239-5894
Concentrated Animal Feeding Operations (CAFO) 30 TAC Ch. 305.44(a) (512) 239-4671
Dam Safety Applicant (512) 239-0400
Districts/Utilities 30 TAC Ch. 213.4(d) (512) 239-4691
Dry Cleaners Owner or Operator (512) 239-2160
Edwards Aquifer (Austin) 30 TAC Ch. 213.4(d) / 213.23(d) (512) 339-2929
Edwards Aquifer (San Antonio) 30 TAC Ch. 213.4(d) / 213.23(d) (210) 490-3096
Enclosed Container Registration 30 TAC 335.6 (a,b,c) (512) 239-3696
Industrial Hazardous Waste Permits (IHW) Applicant / Preparer (512) 239-2334
Industrial Hazardous Waste Registrations (IHW) Applicant / Preparer (512) 239-6413
Industrial Hazardous Waste --Corrective Action Applicant (512) 239-2343
Innocent Operator Program (IOP) Applicant (512) 239-5894
Licensing Applicant (512) 239-6300
Medical Waste On-Site Treatment Registration Owner or Authorized Operator (512) 239-3969
Medical Waste Transporter Registration Owner or Authorized Operator (512) 239-3696
Municipal Solid Waste (MSW) Applicant / Permittee (512) 239-2334
On-Site Sewage Facilities Owner (512) 239-0914
Petroleum Storage Tank (PST) Owner or Operator (512) 239-2160
Public Water Supply (PWS) 30 TAC Ch. 305.44(a) / 290.469 (512) 239-4691
Sludge – Registration & Permits 30 TAC Ch. 305.44(a) (512) 239-4671
Sludge - Transporters 30 TAC Ch. 312.142 (512) 239-6001
Storm Water 30 TAC Ch. 305.44(a) (512) 239-4671
Tires Applicant (817) 588-5800
Underground Injection Control Applicant (512) 239-2334
Used Oil Registration Applicant (512) 239-3393
Waste Water 30 TAC Ch. 305.44(a) (512) 239-4671
Water Rights (WAM) Applicant (512) 239-4691
Water Quality (WQ) 30 TAC Ch. 305.44(a) (512) 239-4671
Voluntary Cleanup Program (VCP) Applicant (512) 239-5894

To provide comments and/or suggestions on how to improve Central Registry, please take a
quick survey.

TCEQ – 10400 Instructions (09/07) 7