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 CSection
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.
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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
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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
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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.
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Appendix A
Examples of SDF Data
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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
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