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 ------- 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. ------- 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 file: 06C1083 Page i ------- 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. file: 06C1083 Page 1 ------- 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 file: 06C1083 Page 2 ------- 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 file: 06C1083 Page 3 ------- 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 file: 06C1083 Page 4 ------- 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 file: 06C1083 PageS ------- 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. file: 06C1083 Page 6 ------- 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. file: 06C1083 Page 7 ------- (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. file: 06C1083 Page 8 ------- 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. file: 06C1083 Page 9 ------- 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. file: 06C1083 Page 10 ------- 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 file: 06C1083 Page 11 ------- 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 ------- 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. file: 06C1083 Page 13 ------- 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. £le: 06C1083 Page 14 ------- 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. file: 06C1083 Page 15 ------- 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 file: 06C1083 Page 16 ------- 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 Page 17 ------- 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 Page 18 ------- 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 ffle: 06C1083 Page 19 ------- 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. file: 06C1083 Page 20 ------- (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 Page 21 ------- Appendix A Examples of SDF Data file: 06C1083 Page 22 ------- 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 Page 23 ------- |