EPA430-R-92-005
         Technical Documentation
                     for the
          Supplemental Data
Prepared for:

U.S. Environmental Protection Agency
Office of Atmospheric and Indoor Air Programs
Washington, DC 20460
Prepared by:

ICF Resources Incorporated


May 1992

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                                           NOTICES
      This document has been reviewed by the Acid Rain Division, Office of Atmospheric and Indoor Air
Programs, U.S. Environmental Protection Agency, and approved for distribution.

      This document is available to the public through the Acid Rain Division, Office of Atmospheric and
Indoor Air Pollution, U.S. Environmental Protection Agency.

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                                  TABLE  OF CONTENTS
      Chapter One:  Introduction	  1

      Chapter Two: Structure of the Supplemental Data File	  2
             Introduction	  2
             Variable Types	  2
             List of Fields in Supplemental Data File	  2
             Structure of the Supplemental Data File	  5

      Chapter Three: Provision Descriptions	  6
             Introduction	  6
             Section 404(h)	  6
             Section 405(b)(3)	  8
             Section 405(b)(4)	9
             Section 405(c)(3)	  11
             Section 405(c)(5)	  11
             Section 405(d)(5)  	  13
             Section 405(f)(2)	  14
             Section 405(g)(4)	  15
             Section 405(g)(5)	  16
             Section 405(i)(l)	  17
             Section 405(i)(2)	  18
             Special Multi-Headers	  21

      Appendix A: Examples of SDF Data	  23
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                          CHAPTER  ONE:   INTRODUCTION
             The Supplemental Data File (SDF) was developed as an extension of Version 2.1 of the
       National Allowance Data Base (NADB v.2.1) to provide additional data which was needed to
       determine Phase n allowance allocations but was not included in the NADB.  The NADB was
       developed to provide data which could be used to calculate SO2 emission allowances under Title
       IV of the Clean Air Act (CAA) for all units which are "affected" as defined by §405(a)(l) of the
       CAA.1  The NADB was based primarily upon the 1985 National Utility Reference File (NURF)
       which was  developed by the National Acid Precipitation Assessment Program, Version 2
       (NAPAP) and EIA data on file. The 1985 NURF was primarily based upon the 1985 NAPAP
       Emissions Inventory, which received its data from the National Emissions Data System (NEDS).

             While the NADB contains sufficient information to properly calculate Phase n allowance
       allocations for the vast majority of affected units, there are some provisions in the CAA which
       require additional data not contained in the NADB.  These data were not included in the NADB
       because typically they were only needed for a few units in order to calculate :SO2 allowances.
       Accordingly, the Supplemental Data File (SDF) was created for these additional data items.

             In order to ensure consistency and ease of overall calculations, the SDF is structured
       similarly to the NADB. Each record (or unit) in the SDF corresponds exactly to a record in the
       NADB.   The SDF contains  several data elements  from  the  NADB v.2.1, referred to as
       "identification fields," which  are included to ease the task of matching information for specific
       units from the two files.  In  addition to the identification field, the SDF, like the NADB, also
       contains three other types of fields: data, calculated and flag.

             This  report is presented in two chapters and one appendix.  The first chapter describes
       the four different types of variables used in the SDF and includes a summary table showing the
       content, source and type of element for each SDF data item. This chapter also includes a table
       showing the dBase ni+ format file structure of the SDF. The second  chapter describes each
       provision which requires data from the SDF for allowance calculations, the sjrecific eligibility
       requirements for each of the  applicable provisions, and the sources of the data. The appendix
       included in this report, Appendix A, presents sample data for all the fields in the SDF.

       Note:   All  interpretations in this document regarding definitions of statutory terms and
       provisions, unit eligibility and the  suitability of data sources  were made by EPA and are
       consistent with the proposed rule.
             Title IV-Acid Deposition Control," 42 U.S.C. 7651. For a more detailed description of "affected" units,
             please refer to the proposed regulations of 40 CFR 72.7, December 3,1991,56 FR 63002. For more
             information regarding the methods of calculating Phase n allowances, including preliminary allowance
             allocations, please refer to Technical Documentation for Phase n Allowance Allocations, prepared for the
             VS. Environmental Protection Agency by ICF Resources Incorporated.
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                       CHAPTER Two: STRUCTURE OF THE
                             SUPPLEMENTAL DATA FILE
      Introduction

            As noted in the Introduction, the SDF is structured similarly to the NADB, with one
      record for each boiler-generator combination at "affected" units.  Each record in the SDF
      corresponds exactly to a record in the NADB, facilitating the matching of data between the two
      files. This chapter describes the structure of the SDF in three ways. First, the four SDF variable
      types are described, and examples of each type are  given.   Second, an alphabetical list of
      variables is presented, including the field name, a brief description, the source of the data, and
      the variable type. Finally, the actual dBase m+ format file structure is listed.


      Variable Types

            There are four types of data elements or variables included in the SDF - identification,
      data, calculated and flag variables:

            •      Identification variables are fields from the NADB which are used to identify
                   units in the SDF. These fields are mostly intended to ease the identification and
                   selection of records during the allowance allocation calculations.  Examples of
                   identification variables  are SEQNUM (boiler-generator sequence number) and
                   PNAME (plant name).

            •      Data variables contain information collected by EIA and ICF from forms, reports
                   or other documentation. These also include variables which EIA calculated from
                   data supplied by utilities  on various forms. Examples include CMIN80 (1980
                   utility commercial/industrial sales in BKWH) and SPOP8088 (state population
                   percentage increase, 1980 to 1988).

            •      Calculated variables contain information calculated by ICF using the values in
                   other NADB and SDF fields, for example SMCOPCT (utility percent of capacity
                   as small coal units).

            •      Flag variables are numeric fields of width 1, which hold one of two possible
                   values. A value of 1 indicates "Yes" or "the unit/utility meets the condition,"
                   while a value of 0 indicates 'No" or "the unit/utility does not meet the condition."
                   For example, in the CONTUTTL field, a value of 1 indicates "the unit is owned by
                   a utility which furnishes electricity, electric energy, steam, and natural gas within
                   an area consisting of a city and one contiguous county as stipulated under
                   §405(f)(2)". A value of 0 indicates that the unit is not owned by such a utility.


      List of Fields in Supplemental Data File

            The table below shows a list of fields in the SDF, listed alphabetically by field name.  For



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       each field, the field name, a brief description (including the applicable CAA provisions), the
       source of the data, and the type of variable are listed.
Field
ATTAIN
BIGUHARD
BLRID
CCTGRNT
CMIN80
CMIN90
CONSTYR
CONTAUTH
CONTUTIL
G2C8587
GENID
LIGNTPCT
02C8085
ORISPL
PNAME
PROHIB.O
PROPIFUA
SEQNUM
SMCOPCT
S022000
S02LIM80
S02LIM87
S02UM90
S02RTE80
S02RTE89
S02RTE90
S02SYS80
S02SYS88
Description
§405(b)(3): States With no Nonattaimnent Areas
§405(c)(5): 'System' with big, hard to scrub units.
Boiler ID
§405(d)(5): Oil/Gas unit awarded CCT Grant
§405(0(2): 1980 Utility Commercial/Industrial Sales
§40S(i)(2): 1990 Utility Commercial/Industrial Sates
§405(g)(4): Construction Start Year
§405(0(2): State Authority serving contiguous area
§405(0(2): Utility serving contiguous area
§405(g)(5): Units converting gas to coal, 1/85-12/87
Generator ID
§405(b)(3): Unit fuel use, 198547 Lignite % share
§405(b)(4): Units converting oil to coal, 1/80-12/85
DOE ORIS Plant Code
Plant Name
§405(b)(4): Units issued prohibition order from burning oil
§405(g)(5): Units received proposed or final prohibition
order
Record Sequence Number (Link to NADB)
§405(c)(5): Utility % of capacity as coal units <75 MW
§405(i)(2): S02 Emissions rate as of 1/1/2000
§405{i)(2): 1980 S02 Limit
§405(g)(5): 1987 S02 Limit
§405(0(2): 1990 S02 Limit
§404{h)4405(i)(2): 1980 S02 Rate
§404(h): 1989 S02 Rate
§404(h)&405(i)(2): 1990 S02 Rate
§405(i)(2): 1 960 'System' S02 Rate
§404(i)(2): 1988 'System* S02 Rate
Source
40CFRPart81,SubpartC
EVA Report on FGD Retrofit Cost Factors
NADB
Office ol Clean Coal Tech.
Form EIA-412, FERC-1
FonnEIA-«61
Utffity-Supplied Equipment and/or
Construction Contracts
Form EIA-767, Directory of Electric
Utilities
Directory of Electric Utilities
Inventory of Power Plants, 1985 & 1987 /
Utility-Supplied Documentation
NADB
Calculated by EIA from Form EIA-767
Inventory of Power Plants, 1980 & 1985
NADB
NADB
Office of Coal and Electricity Prohibition
Order Database
Office of Coal and Electricity Prohibition
Order Database
NADB
Calculated from NADB Data
Assumed <1.2, per EPA's interpretation
Utility-Supplied Documentation of
Regulations/Permits
Utility-Supplied Documentation of
Regulations/Permits

Regulations/Permits
Calculated by EIA from Form FPC-67
Calculated by EIA from Form EIA-767
Calculated by El A from Form EIA-767
Calculated by EIA from Form FPO67
Calculated by EIA from Form EIA-767
Type of Variable
Flag
Flag
Identification
Flag
Data
Data
Data
Flag
Flag
Flag
Identification
Data
Rag •
Identification
Identification
Ftag
nag
Identification
Calculated
Data
Data
data
data
Data
Cata
Data
Data
Data
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Field
S02SYS90
SPECMULT
SPOP8088
STATNAM
STCAPB8
UCODE
UCUST90
UPCTSCRB
UTILNAME
UTILSYS
Description
§404(h): 1990 Weighted Average 'System' S02 Rate
Flag: boiler feeding <25 MW generator that also feeds >25
MW generator
§405{i)(1): State Population Increase, 198048
State Name
§405(b)(4)i(i}(1): State gen. capacity, 1988
Operating Utility Code from Form EIA-861
§405(c)(3): Utility's Ultimate Consumers, 1990
§405(c)(5): Utility Percentage Scrubbed
Utility Name
Utility 'System'
Source
Calculated by EIA from Form EtA-767
Calculated from NADB Data
DepL of Commerce Census Report
NADB
Form EIA-660
NADB
Form EIA-861,
Calculated from NADB Data
NADB
Directory of Electric Utilities
Type of Variable
Data
Rag
Data
Identification
Data
Identification
Data
Calculated
Identification
Data
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      Structure of the Supplemental Data File
           ..  The following table shows the structure of the SDF in dBase in+format. For each field,
      the order of the field in the SDF, the field name, field type (character or numeric), width, and
      number of decimal places (if any) are given.  The name of the file is SDF.dbf
      Piald  Field Kama   Typa
Width
Dec
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23.
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
STATNAM
PNAME
BLRID
GENID
UCODE
ORISPL
SEQNUM
UTILNAME
S02SYS80
S02SYS90
UCUST90
CMIN80
CMIN90
S02SYS88
STCAP88
SPOP8088
LIGNTPCT
S02RTE80
S02RTE89
S02RTE90
S022000
SMCOPCT
SPECMULT
UTILSYS
UPCTSCRB
ATTAIN
BIGUHARD
CCTGRNT
CONTUTIL
CONTAUTH
PROHIB_0
02C8085
G2C8587
PROPIFUA
S02LIM80
S02LIM90
S02LIM87
CONSTYR
Character
Character
Character
Character
Numeric
Numeric
Numeric
Character
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Character
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
Numeric
20
20
6
4
5
4
4
30
7
7
10
7
7
7
12
4
4
7
7
7
7
4
1
30
4
1
1
1
1
1
1
1
1
1
7
7
7
4



•




4
4

4
4
4
5
0
0
4
4
4
4
0


0









4
4
4

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      	CHAPTER THREE: PROVISION DESCRIPTIONS	


      Introduction

             This chapter describes each provision of the CAA which requires additional information
      not included in the NADB in order to calculated Phase D allowance allocations.2  For each of
      the applicable provisions (or subsections in Title IV), the following information is provided:

             •     A summary of the provision,

             •     A section listing and describing the supplemental data elements required (in
                   addition to those elements already in the NADB), including the field name and
                   the purpose of the field (i.e. whether the data element is needed to determine
                   eligibility for the provision or to calculate allowances under the provision),

             •     A table summarizing the data elements and the source of the data, and

             •     The methods used to determine which units satisfy the eligibility criteria.
             In some cases, the number of potentially eligible units was narrowed by taking each
      separate eligibility requirement for a given provision in turn, starting with the most easily-
      identifiable requirements and moving to the more specific criteria as the number of potentially
      eligible units was reduced. This "winnowing" process, which was conducted in order to limit
      the amount of additional information required, is described more fully in each of these cases,
      where applicable.
      Section 404(h)

      Provision Summary

      S404(h)(l):   Phase I affected units with an SO2 emission rate below 1.0 Ibs/mmBtu as of
      enactment, whose SO2 rate declined by 60 percent or more between 1980 and enactment, and
      which are part of a "utility system" whose weighted average SO2 emission rate as of enactment
      for all  fossil units is less  than 1.0 Ibs/mmBtu, may use an alternate baseline  (i.e., fuel
      consumption at a 60 percent capacity factor) in determining their Phase n allowance allocations.

      S404(h)(2):  Units eligible for §404(h)(l) which choose the alternate baseline described therein
      must use the lesser of a 1.0 Ib/mmBtu rate or their actual 1989 SO2 emission rate, in determining
      their Phase II allowance allocations.
             For a complete description of the NADB elements, please refer to The National
             Allowance Data Base Version 2.1: Technical Support Document, prepared for the U.S.
             Environmental Protection Agency by E.H. Pechan and Associates.
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      Supplemental Data Elements Required
             •     SO, Emission Rate As of Enactment - The boiler's SO2 rate as of enactment,
                   which EPA has interpreted to mean the boiler's annual average SO2 rate for 1990.
                   This information was calculated by EIA from Form EIA-767.

             •     1980 SO2 Emission Rate - The boiler's annual average 1980 SO2 emission rate,
                   calculated by EIA from Form FPC-67.

             •     Utility System Weighted Average SO2 Emission Rate for All Fossil Units As of
                   Enactment - The  weighted  average SO2 rate for all fossil units owned by the
                   utility system as of enactment, which EPA has interpreted to mean the annual
                   weighted average SO2 rate as of 1990, where the units' SO2 rates are weighted by
                   1990 fuel consumption using the following formula:
             Utility System's
             Weighted Average
                  SO2 Rate
                                    • Onita
(SO2 Rate^t. Fuel Consumption^  (MMBtu))
                                                Fuel Consumption^ (MMBtu)
                   Per EPA's interpretation, "utility system" has been defined as the operating utility,
                   identified by the utility name (UTILNAME) field in the NADB.  Boiler-level
                   emissions data for these units were calculated by EIA from Forms FPC-67 and
                   EIA-767.

                   1989 SOo Emission Rate - The boiler's annual average 1989 SO2 emission rate,
                   calculated by EIA from Form EIA-767.
      Summary of Supplemental Data Elements
Data Element
1980 Unit SO2 emission rate
(Ibs/mmBtu)
1989 Unit SO2 emission rate
(Ibs/mmBtu)
1990 Unit SO2 emission rate
Gbs/mmBtu)
1990 Utility weighted average
SO2 emission rate (Ibs/mmBtu)
Held Name
SO2RTE80
SO2RTE89
SO2RTE90
SO2SYS90
Source
Calculated by EIA from Form FPC-
67
Calculated by EIA from Form EIA-
767
Calculated by EIA from Form EIA-
767
Calculated by EIA from SO2RTE90
and 1990 Fuel Consumption
Purpose of Held
Eligibility
Calculation
Eligibility
Eligibility
      Determination of Eligibility

             The following process was used to narrow the list of potentially eligible units:

             (1) First, units must have Phase I allowances greater than 0 according to the NADB v.2.1.
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             (2) Next, units must have a 1990 boiler SO2 emission rate below 1.0 Ib/mmBtu.

             (3) An eligible unit's SO2 emission rate also must have declined by at least 60 percent
       between 1980 and enactment; that is/ the quotient


                                      Unit's Actual 1990
                                      SO2 Emission Rate
                                      Unit's Actual 1980
                                      S02  Emission Rate

      must be less than 0.4.

             (4) Finally, eligible units must be part of a utility system whose weighted average SO2
      emission rate as of enactment (i.e., 1990) is less than 1.0 Ib/mmBtu.
      Section 405(b)(3)

      Provision Summary

      S405fb)(3):  An existing unit subject to §405(b)(l) and/or §405(b)(2), whose "annual average fuel
      consumption during 1985, 1986, and 1987 on a Btu basis exceeded 90 percent in the form of
      lignite coal which is located in a state in which, as of July 1,1989, no county or portion of a
      county was designated nonattainment under §107" of the CAA, receives allowances based on the
      lesser of their actual or allowable 1985 SO2 rate.

      Supplemental Data Elements Required

             •     States With No County or Portion of a County Designated Nonattainment —
                   States of which no part was listed as a nonattainment area in Subpart C—Section
                   107 Attainment Status Designations. 40 CFR, Part 81, Subpart C, §81.301-§81.351,
                   July 1,1989. The states satisfying this criterion were North Dakota, Arkansas and
                   Mississippi.

             •     Percentage of Average Annual Fuel Consumption in the Form of Lignite Coal —
                   The percentage  of  average annual fuel consumption (in Btus) which was
                   consumed in the form of lignite coal. This percentage is calculated using the
                   following formula:
                        0»c,i987  \(Lignite\  (Heat Con ten t\
                                 Consumed  xl  of Ligni te
                                    Month±)  \  inMonthj  )
. i»«s [^
    \(TrSiS!     "*** Content o
         '
                                          \ I"*** Content of\]
                                          TV Fuelin Month^
                                        s ) \               * /J
                                                                x 100
                   Fuel consumption and heat content data were calculated by ELA from Form EIA-
                   767.
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       Summary of Supplemental Data Elements
Data Element
Units In states with no nonattalnment
areas as of July 1, 1989 (Rag Field)
1985-87 average unit level
proportion of lignite to total fuel
used (Percentage, 0 to 100)
Held Name
ATTAIN
LIGNTPCT
Source
40CFRPart81,SubpartC
Calculated by EIA from
Form EIA-767
Purpose of flold
Eligibility
Eligibility
       Determination of Eligibility

             The following process was used to narrow the list of potentially eligible units:

             (1) First, units must be located in states of which no portion was designated as
             nonattainment.

             (2) Next, a unit must satisfy the following criteria for §405(b)(l):

                    (a) The unit must serve a generator with a nameplate capacity 75 MW or larger,
                    and

                    (b) The unit's actual 1985 SO2 emission rate must be greater than or equal to 1.2
                    Ib/mmBtu.
             (3) Finally, units must have consumed more than 90 percent of their fuel in the form of
       lignite coal in the  1985 to 1987 period.
       Section 405(b)(4)

       Provision Summary

       S405fb)(4):  Any unit subject to §405(b)(l), 'located in a State with an installed. electrical
       generating capacity of more than 30,000,000 KW in 1988 and for which was issued a prohibition
       order or proposed prohibition order (from burning oil), which unit subsequently converted to
       coal between January 1,1980 and December 31,1985," is allocated additional basic allowances
       based on  the  difference between allowances calculated under §405(b)(l) zind  allowances
       calculated based on the unit's fuel consumption at a 65 percent capacity factor, up to a maximum
       of 5,000 additional basic allowances.

       Supplemental Data Elements Required

             •      State's Installed Electrical Generatine Capacity in 1988 - EPA has denned this as
                    the sum of nameplate capacities reported on Form EIA-860 for all generators
                    physically located in the state in 1988.
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                    Issued a Prohibition Order from Burning Oil - Units which were issued a
                    proposed and/or final prohibition order from burning oil, as identified by the
                    Department of Energy's Office of Coal and Electricity..

                    Converted from  Oil-burning to  Coal-buminc Between 1980 and 1985 - Units
                    which burned oil as their primary energy source in 1980 and then converted to
                    using coal as their primary energy source by the end of 1985. A unit's "primary
                    energy source" is defined for this section as the fuel reported as such on Form EIA-
                    860, "Annual  Electric Generator  Report," according to the "Inventory of Power
                    Plants in the United States, 1980 Annual," DOE/EIA-0095(80), U.S. Department
                    of Energy,  1980; and "Inventory of Power Plants in  the United States: 1985,"
                    DOE/EIA-0095(85), Energy Information Administration, 1986.
       Summary of Supplemental Data Elements
Data Element
1988 State installed electric
generating capacity (MW)
Unit Issued a prohibition order from
burning oil (Rag Reid)
Unit converted from oil to coal. 1980-85
(Rag Reid)
Hold Name
STCAP88
PROHIB.O
O2C8085
Source
FormEIA-860
DOE. Office of Coal &
Electricity
Inventory of Power
Plants, 1980 & 1985
Purpose of field
Eligibility
Eligibility
Eligibility
       Determination of Eligibility

             The following process was used to narrow the list of potentially eligible units:

             (1) First, a unit must satisfy the following criteria for §405(b)(l):

                    (a) The unit must serve a generator with a nameplate capacity 75 MW or larger,
                    and

                    (b) The unit's actual 1985 SO2 emission rate must be greater than or equal to 1.2
                    Ib/mmBtu.

             (2) Next, units must be located in a state which had installed generating capacity greater
       than 30 million KW in 1988.
       oil.
             (3) Potentially eligible units also must have been issued a prohibition order from burning
             (4) Finally, units must have switched their primary fuel from oil to coal between the years
       1980 and 1985, inclusive.
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       Section 405(c)(3)

       Provision Summary

       S405(c)(3): An existing unit serving a generator "with a nameplate capacity below 75 MW and
       an actual 1985 emissions rate equal to, or greater than, 1.2 Ibs/mmBtu which becsime operational
       on or before December 31, 1965, which is owned by a utility operating company with, as of
       December 31,1989, a total fossil steam-electric generating capacity greater than 250 MW, and less
       than 450 MW which serves fewer than 78,000 electrical customers" as of enactment, receives basic
       allowances calculated based on the lesser of the unit's actual 1985 SO2 rate or allowable 1985 SO2
       limit, times baseline, for the 2000-2009 period only.

       Supplemental Data Element Required

             •      Utility Customers as of Enactment - EPA has interpreted this to be the number
                    of  ultimate  consumers (i.e. end-users, as opposed to distribution and/or
                    transmission entities) served by each utility in 1990, according to Form EIA-861.
       Summary of Supplemental Data Element
Data Boment
Utility customers, 1990 (number In thousands)
Reid Name
UCUST90
Source
Form EIA-861
Purpose of field
Eligibility
       Determination of Eligibility

             The following procedure was used to narrow the list of potentially eligible units:
             (1) First, units must have become operational on or before December 31,1965.

             (2) Next, they must have a nameplate capacity less than 75 MW.

             (3) Units must also have an actual 1985 SO2 emission rate greater than or equal to 1.2
       Ibs/mmBtu.

             (4) Potentially eligible units must also be owned by a utility whose fossil steam capacity
       is greater than 250 MW and less than 450 MW.

             (5) Finally, units  must also  be owned by a utility which served fewer than 78,000
       customers in 1990.
       Section 405(c)(5)

       Provision Summary

       S405fc)(5): An existing unit serving a generator "with a nameplate capacity below 75 MW and
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       an actual 1985 emissions rate equal to, or greater than 1.20 Ibs/mmBtu which is part of an
       electrical utility system which, as of the date of the enactment of the Clean Air Act Amendments
       of 1990, (A)has at least 20 percent of its fossil-fuel capacity controlled by flue gas desulfurization
       devices, (B) has more than 10 percent of its fossil-fuel capacity consisting of coal-fired units of
       less than 75 MW, and (C) has large units (greater than 400 MW) all of which have difficult or
       very difficult FGD Retrofit Cost Factors" receives basic allowances based on the unit's baseline
       times 2.5, for the period 2000-2009 only.

       Supplemental Data Elements Required

             •      Electric Utility System - Per EPA's interpretation, an "electric utility system" has
                    been defined for this section as one utility operating company and its wholly-
                    owned subsidiaries, as listed in Electrical World's Directory of Electric Utilities,
                    98th Edition, McGraw-Hill, Inc., New York, 1990.

             •      Electric Utility System Percent Scrubbed — The percent of  the electric utility
                    system's total electrical generating capacity which was scrubbed as of enactment
                    (which EPA has interpreted to mean as of 1990), as determined by the following
                    equation:


                              f Total Scrubbed Capacity ]
                              [of Electric Utility System]   100
                                [    Total Capacity of    ]
                                [Electric Utility System]
                   Small Coal Units As a Percent of Fossil Capacity - The percent of the electric
                   utility's fossil capacity which is made up of units which serve generators which
                   have nameplate capacity less than 75 MW (i.e. "small") and are coal-fired.  This
                   is calculated by the following equation:
                                    Total Capaci ty of    '>
                               Electric Utility System's
                                 Small Coal  Generators
                                F    Total Capacity of   1
                                [Electric Utility System]
                                                              x 100
                   System with Big, Hard-to-scrub Units - Electric utility systems which own units
                   serving generators with nameplate capacity greater than 400 MW, all of which (if
                   unscnibbed) are rated difficult or very difficult to scrub in the report, "Evaluation
                   of SO2 Emissions and the FGD Retrofit  Feasibility at the 200 Top Generating
                   Stations," prepared for EPA by Energy Ventures Analysis, Inc., 1985.
file: 06C1083                                                                                   Page 12

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       Summary of Supplemental Data Elements
Data Element
Electric utility system as defined for
§405(c)(5) (Name of System)
'System* >20% scrubbed
'System' with small coal units >10% of
capacity (Rag Reid)
'System' with big, hard-to-scrub units
(Flag Reid)
Hold Name
UTILSYS
UPCTSCRB
SMCOPCT
BIGUHARD
Source
Directory of Electric
Utilities
CALCULATED
CALCULATED
EVA Report on FGD
Retrofit Cost Factors
Purpose of field
Eligibility
Eligibility
Eligibility
Eligibility
       Determination of Eligibility

             The following criteria were used to narrow the list of potentially eligible units:

             (1) First, units must serve generators with nameplate capacity less than 75 MW.

             (2) Next, units must have an actual 1985 SO2 emission rate greater than or equal to 1.2
       Ibs/mmBtu.

             (3) Units must be part of an electric utility system which has big, hard-to-scrub units.

             (4) Potentially eligible units must also be part of an electric utility system which has more
       than 10 percent of its fossil capacity made up of small coal units.

             (5) Finally, units must be part of an electric utility system which was at least 20 percent
       scrubbed as of 1990.
       Section 405(d)(5)

       Provision Summary                  .

       S405(d)(5):  "An oil- and gas-fired unit which has been awarded a clean coal  technology
       demonstration grant as of January 1,1991," receives basic allowances based on its baseline times
       a 1.2 Ibs/mmBtu rate.

       Supplemental Data Element Required

             •      Awarded a Clean Coal Technology Grant - A unit which was aw;arded a Clean
                    Coal Technology grant as of January 1,1991. The Department of Energy's Office
                    of Clean Coal Technology supplied a list of clean coal technology programs
                    established as of January 1,1991.
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       Summary of Supplemental Data Element
Data Element
Unit awarded a CCT grant as of
1/1/91 (Flag Field)
Reid Name
CCTGRNT
Source
DOE, Office of Clean Coal
Technology
Purpose of field
Eligibility
       Determination of Elieibilitv

             The following criteria were used to narrow the list of potentially eligible units:

             (1) First, the unit must be an oil/gas unit.
       1,1991.
             (2) Next, the unit must have been awarded a Clean Coal Technology grant as of January
       Section 405(f) (2)

       Provision Summary

       S405(f)(2): Any unit "operated by a utility that furnishes electricity, electric energy, steam, and
       natural gas within an area consisting of a city and 1 contiguous county, and in the case of any
       unit owned by a State Authority, the output of which unit is furnished within that same area
       consisting  of a city and 1 contiguous county," receives 7,000  and 2,000 basic  allowances,
       respectively, allocated pro rata based on the total of basic and  bonus allowances otherwise
       received by such units.

       Supplemental Data Elements Required

             •     Utility Furnishing Electricity, Gas and Steam Within a City and One Contiguous
                   County - A utility which (a)  sold  steam in the period from  1985 to  1987
                    (according to Form EIA-767), (b) sold electricity  and gas during this period
                    (according to the Electrical World Directory of Electric Utilities. 98th Edition,
                   McGraw-Hill, Inc., New York, 1990), and (c) serves a city and one contiguous
                   county. The Directory was consulted to determine what geographic area each
                   eligible utility serves. The only utility which satisfies all the above criteria serves
                   New York City and Westchester County.

             •     State Authority Serving the Same Area as the Utility Identified Above — The state
                   authority which, according to the Directory, serves the same area as that served
                   by a utility satisfying the criteria above; that is, New York City and Westchester
                   County.
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       Summary of Supplemental Data Element
Data Element
Utility furnishing electricity, gas, and steam
within a city and one contiguous county
(Rag Reid)
State Authority serving the same area (Rag
Reid)
Reid Name
CONTUTIL
CONTAUTH
Source
Form EIA-767.
Directory of Electric
Utilities
Directory of Electric
Utilities
Purpose of field
Eligibility
Eligibility
       Determination of Eligibility

             The following process was used to narrow the list of potentially eligible units:

             (1) First, units must be owned by utilities which sold steam in the period from 1985 to
       1987.

             (2) Next, the unit must be owned by utilities which also sold electricity and gas in the
       period from 1985 to 1987.

             (3) Potentially eligible units must also be owned by

                   (a) a utility which serves a city and one contiguous county

                   OR

                   (b) a state authority which, according to the Directory, serves the .area identified
                   in (3)(a) above.



       Section 405(g)(4)

       Provision Summary

       S405(g)(4):   A  unit that has "commenced construction before December 31, 1990 and that
       commences commercial operation between January 1, 1993 and December 31, .1995" receives
       allowances based on the unit's fuel consumption at a  65 percent capacity factor, multiplied by
       the lesser of 0.3 or the unit's allowable SO2 emission limit.

       Supplemental Data Element Reouired

             •     Construction Start Year — The year in which a unit's construction commenced.
                   The utilities owning units that are scheduled to commence commercial operation
                   between January  1, 1993 and December 31,  1995 (according to the NADB)
                   provided copies of equipment and/or  construction contracts documenting, the
                   dates when they commenced construction.
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       Summary of Supplemental Data Elements
Data Element
Construction start year (Year - four digits)
Held Name
CONSTYR
Source
Equipment/Construction
Contracts
Purpose of field
Eligibility
       Determination of Eligibility

             The following process was used to narrow the list of potentially eligible units:

             (1) First, units must be scheduled to go on line between January 1,1993 and December
       31,1995.

             (2) Next, units must have commenced construction on or before December 31,1990.
       Section 405(g)(5)

       Provision Summary

       S405(g)(5):  A unit which "has completed conversion from predominantly gas fired existing
       operation to coal fired operation between January 1, 1985 and December 31, 1987, for which
       there has been allocated a proposed or final  prohibition order pursuant to §301 (b)  of the
       Powerplant and Industrial Fuel Use Act of 1978 (42 U.S.C. 8301 et seq, repealed 1987)," receives
       basic allowances based on fuel consumption at a 65 percent capacity factor and the lesser of 13.
       or the unit's 1987 SO2 limit.

       Supplemental Data Elements Required

             •     Units  Converting  from Gas to  Coal,  1985-87 — This includes units  which
                   converted from predominantly gas-fired operation in 1985 to coal-fired operation
                   by the end of 1987. "Predominantly gas-fired existing operation" means far this
                   section that natural gas is the fuel reported as "primary energy source" on Form
                   EIA-860, "Annual Electric Generator  Report," according  to utility-supplied
                   documentation, or is the primary fuel reported in the "Inventory of Power Plants
                   in   the  United  States,   1985,"  DOE/EIA-0095(85),   Energy   Information
                   Administration, 1986; and "Inventory of Power Plants in the United States: 1987,"
                   DOE/EIA-0095(87) Energy Information Administration, 1988.  A similar definition
                   was used for "coal-fired" operatioa

             •     Issued a Proposed and/or Final Prohibition Order under PIFUA — Units which
                   were issued a proposed or final prohibition order according to the Department
                   of Energy's Office of Coal and Electricity.

             •     1987 SO2 Emission Limit - The unit's allowable federally  enforceable emission
                   rate in 1987. In accordance with the proposed rule, this limit is not subject to
                   annuattzation.   Electric  utilities  with eligible units  supplied  information
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                    documenting the applicable federally-enforceable 1987 SO2 emissions limitation
                    regulations and/or permits for their units.
       Summary of Supplemental Data Elements
Data Dement
Units converting from gas to coal,
1985-87 (Rag Field)
Units Issued proposed or final
prohibition order under PIFUA (Rag
Reid)
1987 Unit SO2 emission limit (Ibs/mmBtu)
Reid Name
G2C8587
PROPIFUA
SO2LIM87
Source
Inventory of Power Plants,
1985 8c 1987 / Utility Letters
DOE, Office of Coal &
Electricity
Utility-Supplied
Documentation of
Regulations/Permits
Purpose of field
Eligibility
eligibility
Calculation
       Determination of Eligibility

             The following criteria were used to narrow the list of potentially eligible units:

             (1) First, units must have been issued a "proposed or final prohibition order."

             (2) Next, units must have used gas as their primary fuel in 1985 and then converted to
       using coal as their primary fuel by the end of 1987.



       Section 405(i)(l)

       Provision Summary

       S405(i)(l): A Phase D affected unit 'located in a State that (A) has experienced a growth in
       population in excess of 25 percent between 1980 and 1988... and (B) had an instilled electrical
       generating capacity of  more than 30,000,000  KW in 1988" receives up  to a  total of 40,000
       additional allowances, based on the difference between each eligible unit's baseline and its
       maximum fuel consumption in any consecutive three year period from 1980 to 1989.

       Supplemental Data Elements Required

             •      State Population Increase - The percentage increase in the state's population
                    between 1980 and 1988. Data concerning state level population growth rates were
                    taken from Table 9: Percent Change in the Resident Population of States, by Age;
                    April 1,1980 to July 1,1988, Current Population Reports. Populations. Estimates
                    and Projections. Series P-25 #1044, U.S. Department of Commerce, Bureau of the
                    Census, August 1989, as stipulated in §405(i)(l).

             •      State's Installed Electrical Generating Capacity in 1988 - EPA has defined this as
                    the sum of the nameplate capacities reported on Form EIA-860 for all generators
file: 06C1083
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                    physically located in the state in 1988.
       Summary of Supplemental Data Elements
Data Element
State population Increase, 1980-88
(percentage. 0 to 100)
1988 state Installed generating
capacity (MW)
Held Name
SPOP8088
STCAP88
Source
Dept. of Commerce
Census Report
Form EIA-860
Purpose of field
Eligibility
Eligibility
       Determination of Eligibility

             The following criteria were used to narrow the list of potentially eligible units:

             (1) First, units must be located in states which had an installed generating capacity
       greater than 30 million KW in 1988.

             (2) Next, eligible units must be located in a state which had at least a 25 percent increase
       in population between 1980 and 1988.

             (3) Finally, the units must be Phase n affected.
       Section 405(i)(2)

       Provision Summary

       S405(i)(2):  A unit subject to §405(b)(l), "(A) the lesser of whose actual or allowable 1980
       emissions rate has declined by 50 percent or more as of the date of enactment of the Clean Air
       Act Amendments of 1990, (B) whose actual emissions rate is less than 1.2 Ibs/mmBtu as of
       January 1,2000, (C) which commenced [commercial] operation after January 1,1970, (D) which
       is owned by a utility company whose combined commercial and industrial kilowatt-hour sales
       have increased by more than 20 percent between calendar year 1980 and the date of enactment
       of the Clean Air Act Amendments of 1990, and (E) whose company-wide fossil-fuel SO2
       emissions rate has declined 40 percent or  more from 1980 to 1988,"  receives additional
       allowances equal to the difference between allowances calculated based on a baseline consisting
       of any three consecutive calendar years from 1980-1989 and allowances under §405(b)(l).

       Supplemental Data Elements Required

             •      1980 SC>2 Emission Rate' — The boiler's annual average 1980 SO2 emission rate,
                    calculated by EIA from Form FPC-67.

             •      1980 SO^ Emission Limit — The unit's allowable federally enforceable emission
                    rate  in  1980.   Electric  utilities with eligible units  supplied  information
file: 06C1083
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                    documenting the applicable federally-enforceable 1980 SO2 emissions limitation
                    regulations and/or permits for their units.  In accordance with the proposed rule,
                    this limit is not subject to annualization.

                    SO2 Emission Rate As of Enactment - The boiler's SO2 rate as; of enactment,
                    which EPA has interpreted to mean the boiler's annual average SO2 emission rate
                    in 1990. This information was calculated by EIA from Form  EIA-767.

                    SO2 Emission Limit as of Enactment - The unit's allowable fedenilly enforceable
                    emission rate as of enactment, which EPA has interpreted to mean the limit as of
                    1990.  Electric utilities with eligible units supplied information documenting the
                    applicable federally-enforceable 1990 SO2 emissions limitation regvilations and/or
                    permits for their units.  In accordance  with the proposed rule, this limit is not
                    subject to annualization.

                    2000 Actual SO2 Emission Rate - The boiler's annual average SO, emission rate
                    in 2000. According to EPA's interpretation, this value will be replaced by the
                    unit's 1997 actual SO2 emission rate, since the allowance allocations must be
                    finalized by the end of 1998, which is before the year specified in this provision.
                    For purposes of the draft allowance calculations, this value is assumed at EPA's
                    direction to be less than 1.2 Ib/mmBtu.

                    1980 Utility Commercial/Industrial Sales — The utility's combined commercial
                    and industrial sales in 1980, from Forms EIA-412 and FERC-1.

                    1990 Utility Commercial/Industrial Sales - The utility's combined commercial
                    and industrial sales in 1990, from Form EIA-861.

                    1980 Utility SO2 Emission Rate - The utility's average SO2 emission rate in 1980.
                    The utility-level SO2 rates were calculated by EIA from Form FPC-67.

                    1988 Utility SO2 Emission Rate - The utility's average SO2 emission rate in 1988.
                    The utility-level SO2 rates were calculated by EIA from Form EIA -767.
       Summary of Supplemental Data Elements
Data Dement
1980 Utility commercial/ Industrial sales (BKWH)
1990 Utility commercial/ Industrial sales (BKWH)
1980 Unit actual SO2 emission rate
Obs/mmBtu)
1980 Unit S02 emission limit Obs/mmBtu)
1980 Utility SO2 emission rate Obs/mmBtu)
Reid Name
CMIN80
CMIN90
SO2RTE80
S02LIM80
SO2SYS80
Source
Form EIA-412, FERC
Form 1
Form EIA-861
Calculated by EIA
from Form FPC-67
Utility-Supplied
Documentation of
Regulations/Permits
Calculated by EIA
from Form FPC-67
Purpose of field
Eligibility
Eligibility
Eligibility
Eligibility
Eligibility
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Data Element
1988 Utility SO2 emission rate (Ibs/mmBtu)
1990 Unit actual SO2 emission rate
(Ibs/mmBtu)
1990 Unit SO2 emission limit (Ibs/mmBtu)
2000 Unit actual SO2 emission rate
(Ibs/mmBtu)
Reid Name
SO2SYS88
SO2RTE90
S02LIM90
SO22000
Source
Calculated by EIA
from Form EIA-767
Form EIA-767
Utility-Supplied
Documentation of
Regulations/Permits
Currently Assumed
to be < 1.2
Purpose of field
Eligibility
Eligibility
Eligibility
Eligibility
       Determination of Eligibility                        **

             The following process was vised to narrow the list of potentially eligible units:

             (1) First, a unit must satisfy the following criteria for §405(b)(l):

                   (a) The unit must serve a generator with nameplate capacity 75 MW or larger,
                   and

                   (b) The unit's actual 1985 SO2 emission rate must be greater than or equal to 1.2
                   Ib/mmBtu.

             (2) Next, units must have come on line after January 1,1970.

             (3) Potentially eligible units must also be owned by a utility whose combined commercial
       and industrial sales (Mwh) increased by more than 20 percent between 1980 and 1990; that is,
       the quotient
                                  Utility's 1990  Commercial
                                     and Industrial Sales
                                  Utility's 1980  Commercial
                                     and Industrial Sales
      must be greater than 1.2.
             (4) Units must also be owned by a utility whose SO2 rate decreased by 40% or more from
      1980 to 1988; that is, the quotient


                                         Utility's 1988
                                       SOZ Emission Rate
                                         Utility's 1980
                                       SO2 Emission Rate

      must be less than or equal to 0.6.
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             (5) If an eligible unit's 1980 SO2 emission rate was less than its 1980 emission limit, then
      its rate must have decreased by at least 50 percent from 1980 to 1990; that is, the quotient


                                       Unit's Actual 1990
                                        S02 Emission Rate
                                       Unit's Actual 1980
                                        S02 Emission Rate
      must be less than or equal to 0.5.
             However, if the eligible unit's 1980 SO2 emission limit was less than its 1980 emission
       rate, then the unit's limit must have decreased by at least 50 percent from 1980 l:o 1990; that is,
       the quotient
                                          Unit's 1990 S02
                                          Emission Limit
                                          Unit's 1980 S02
                                          Emission Limit
      must be less than or equal to 0.5.
             (6) Finally, the units must have an actual SO2 emission rate as of 2000 which is less than
       1.2 Ib/mmBtu. As noted above, all units which satisfy conditions (l)-(5) were assumed by EPA
       for purposes of the draft allowance calculations to have a rate of less than 1.2 Ibs/MMBtu for
       2000.
       Special Multi-Headers

       Supplemental Data Elements Required
Data Element
Special Multt-Header Unit (Rag Field)
Held Name
SPECMULT
Source
CALCULATED
             While not called for by any specific provision, there is one additional calculated field
       required to identify boilers which serve existing generators with nameplate capacity greater than
       25 MW and also serve at least one generator with nameplate capacity less than or equal to 25
       MW. The addition of this field is necessary to ensure that boilers are not "partially affected" 'in
       accordance with the proposed rule.  In order to ensure that all boilers are either affected or
       unaffected, the flag variable SPECMULT will be created and set equal to 1 for these special
       multi-header boilers, indicating that the specified boiler-generator combination is classified as
       an "affected" unit, and is therefore subject to the SO2 emissions limitations as provided in Title
       IV §405.
file: 06C1083
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                               Appendix A




                           Examples of SDF Data
file: 06C1083
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                     APPENDIX A: EXAMPLES OF  SDF DATA
             The table below shows examples of SDF data taken from a draft version of the SDF.  It
      shows the complete data for the first five records in the file. Data for each field or variable is
      labeled with the appropriate field name, with the first value in each row representing the boiler-
      generator sequence number, SEQNUM. To find the value for a given variable for, say, the Barry
      plant's boiler 5, generator 5 record, look at the appropriate SEQNUM value in the first column,
      and follow that row to the appropriate variable. For example, to find the SPOP8088 value for
      the state in which the Barry 5,5 boiler-generator combination is located, find the SKQNUM value
      "5" in the first column of the third group of rows, and follow  that row (shaded in the table)
      across until you reach the SPOP8088 column (also shaded). There  you see the value "5.40"
      indicating a state population growth rate of  5.4 percent  during  the period 1980 to  1988 for
      Barry's state, Alabama.  Note that a value of  zero (0) is entered in a number of fields for the
      records shown, indicating either that the true value of the variable is in fact zero, or that the unit
      and/or its operating utility was not eligible for the applicable provision (see text for a complete
      description of each data element and its eligibility requirements).
       SEQNUM STATNAM
PNAME
                                                       BLRID
                                                                GENID
                                                                       UCODE
                                              ORISPL
• 1
2
3
4
5
ALABAMA
ALABAMA
ALABAMA
ALABAMA
ALABAMA
BARRY
BARRY
BARRY
BARRY
BARRY
1
2
3
4
5
1
2
3
4
5
195
195
195
195
195
3
3
3
3
3
       SEQNUM UTILNAME
                                        S02SYS80 S02SYS90
                         UCUST90 CMIN80  CMIN90 S02SYSB8
1
2
3
4
5
ALABAMA
ALABAMA
ALABAMA
ALABAMA
ALABAMA
POWER
POWER
POWER
POWER
POWER
CO
CO
CO
CO
CO
2
2
2
2
2
.3135
.3135
.3135
.3135
.3135
2
2
2
2
2
.1411
.1411
.1411
.1411
.1411
1127593
1127593
1127593
1127593
1127593
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
SEQNUM STCAP88 I
1 19910.00000
2 19910.00000
3 19910.00000
4 19910.00000-
; $ i99io,«oooo
tfoftw
$.49
6,40
S.40
$.40
                                LIGNTPCT S02RTE80 S02RTE89 S02RTE90 S022000 SMCOPCT SPECHULT
                                  0.00
                                  0.00
                                  0.00
                                  0.00
                                  e. ao
       0.0000
       0.0000
       0.0000
       0.0000
       fl.OOOO
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
e.eooo
0.0000
0.0000
0.0000
0.0000
2.34
2.34
2.34
2.34
       SEQNUM UTILSYS
                                        UPCTSCRB ATTAIN BIGUHARD CCTGRNT CONTUTIL CONTAIITH
1
2
3
4
5
ALABAMA
ALABAMA
ALABAMA
ALABAMA
ALABAMA
POWER
POWER
POWER
POWER
POWER
CO
CO
CO
CO
CO
0
0
0
0
0
.00
.00
.00
.00
.00
0
0
0
0
0
0
0
0
0
0 •
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
       SEQNUM PROHIB 0  02C8085   G2C8587   PROPIFUA   S02LIM80  S02LIH90   S02LIM87   CONSTYR
1
2
3
4
5
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
999!)
999!)
999!)
999!)
9999
file: 06C1083
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