Technical Support Document

for the

Final Notice of Data Availability for EGU NOx Annual and NOx Ozone
Season Allocations for the Clean Air Interstate Rule Federal
Implementation Plan Trading Programs.  

Data Field Description for the CAIR FIP NOx Annual and NOx Ozone Season
Allocation Tables (2009 through 2014 allowance allocations)

EPA Docket number:  OAR-2004-0076

November 2007

U.S. Environmental Protection Agency

Office of Air and Radiation

Data Fields in the CAIR FIP NOx Annual and 

NOx Ozone Season Allocation Tables

	The electric generating unit (EGU) NOx allocation file "Final Data for
EGU NOx Annual and NOx Ozone Season Allocations for the Clean Air
Interstate Rule Federal Implementation Plan Trading Programs" is
available on the Clean Air Markets Division (CAMD) website and in the
CAIR FIP docket.  Section 8 of the final Notice of Data Availability
(NODA) describes how to locate this file.  This technical support
document (TSD) describes data fields in the tables of that allocation
file.

	The EGU NOx allocations file contains nine worksheets, one table per
worksheet, labeled T1 through T9.  Worksheets T1 and T2 provide,
respectively, the unit annual and ozone season NOx allocations. 
Worksheets T3 through T9 provide the Energy Information Administration
(EIA), CAMD, and August 4, 2006 NODA objector heat input data used to
determine the unit allocations in T1 and T2.  

Each table in this TSD corresponds to one of the nine tables in the EGU
NOx allocations file and describes the field names and data given in
each allocation table.  Table 1 of the TSD describes the data fields in
worksheet T1, Table 2 describes the data fields in worksheet T2, Table 3
describes the data fields in worksheet T3, and so on.  Some units use
heat input data available from both EIA and CAMD to compile the baseline
year heat input.  This approach applies for those units that were not
subject to the Acid Rain Program (ARP), Ozone Transport Commission (OTC)
trading program, or the NOx Budget Trading Program (NBP) throughout the
baseline period.  For allocations under the CAIR FIP NOx annual trading
program, EIA data (Table 3) were used until the first full year of ARP
data (Table 4) or non-ARP unit 12-month reported OTC/NBP data (Table 5)
were available.  Ozone season heat input data in the CAIR FIP NOx ozone
season allocation (Table 2) are always from the data reported under the
ARP, OTC, or NBP, if available. 

Objector data (Tables 6 and 9) replace all other data.  The objector
data in Tables 6 and 9 represent the subset of heat input objections
that EPA has accepted.  For a full discussion of EPA's response to
objectives submitted in response to the August 2006 NODA, please refer
to the "NODA Response to Objections" document which is also available on
EPA's website and in the CAIR FIP docket.

Table 1

Annual Unit NOx Allocation 

Field Name	Description

State	Only states affected by the CAIR annual NOx control program.  

Facility Name	Facility name from EIA or CAMD database.  

CAMD ORIS Code	Facility ORIS code in CAMD database.  Blank if the unit
is not subject to the ARP or NBP.

CAMD UNITID	Unit ID in CAMD database.  Blank if the unit is not subject
to ARP or NBP.

EIA ORIS Code	Facility code in EIA database.  Blank if ARP data are used
for all baseline years.

EIA Unit ID	Boiler code from EIA 767 or generator code from EIA 860. 
Blank if ARP data are used for all baseline years.

2000 Data Source	EIA, ARP, OTC, NBP, OBJ - Source for the annual
adjusted heat input used in the data year.  EIA data (Table 3) used if
heat input data for the year are available in both EIA and ARP (Table 4)
tables.  (EIA data are present only if full annual ARP data not
available.)  12-month reported OTC/NBP data are used in place of EIA
data.  EPA-accepted objector data (OBJ) are used over any other data
source.  

2001 Data Source

	2002 Data Source

	2003 Data Source

	2004 Data Source

	Retirement Year 	Data entered only if unit retired during or after
2000.

2000 Adjusted Heat Input 	CAIR fuel-adjusted annual heat input (mmBtu)
from data table based on data source (EIA, ARP, OTC, NBP, OBJ).  

2001 Adjusted Heat Input 

	2002 Adjusted Heat Input 

	2003 Adjusted Heat Input 

	2004 Adjusted Heat Input 

	Average HI over 3 Highest Years 

(Baseline Heat Input)	Calculated by averaging highest three annual heat
inputs from 2000-2004.  If less than three years of data available, all
years with heat input were averaged.

State Total HI	Calculated by summing "Average HI over 3 Highest Years
for all units" in the state.

Unit Fraction of State Total HI 	Calculation:  (Average HI over 3
Highest Years)/(State Total HI).

State NOx Budget 	95% of the State's 2009 Annual Allocation Budget.  

Unit NOx Allocation 	Calculation:  Unit NOx Allocation in Tons = (Unit
Fraction of State Total HI) x (State NOx Budget).

Table 2

Ozone Season Unit NOx Allocation 

Field Name	Description

State	Only states affected by CAIR ozone season NOx control program.  

Facility Name	Facility name from EIA or CAMD database.  

CAMD ORIS Code	Facility ORIS code in CAMD database.  Blank if the unit
is not subject to the ARP or NBP.

CAMD UNITID	Unit ID in CAMD database.  Blank if the unit is not subject
to ARP or NBP.

EIA ORIS Code	Facility code in EIA database.  Blank if ARP data are used
for all baseline years.

EIA Unit ID	Boiler code from EIA 767 or generator code from EIA 860. 
Blank if ARP data are used for all baseline years.

2000 Data Source	EIA, ARP, OTC, NBP, OBJ - Source for the ozone season
adjusted heat input used in the data year.  CAMD data (ARP, OTC, NBP)
used if heat input for the year are available in both EIA and CAMD.  

EPA-accepted objector data (OBJ) are used over all other data.

2001 Data Source

	2002 Data Source

	2003 Data Source

	2004 Data Source

	Retirement Year 	Data entered only if unit retired during or after
2000.

2000 Adjusted Heat Input 	CAIR fuel-adjusted ozone season heat input
(mmBtu) from data table based on data source (EIA, CAMD, ARP, OTC, NBP,
or OBJ).



2001 Adjusted Heat Input 

	2002 Adjusted Heat Input 

	2003 Adjusted Heat Input 

	2004 Adjusted Heat Input 

	Average HI over 3 Highest Years 	Calculated by averaging highest three
annual heat inputs from 2000 - 2004.  If less than three years of data
available, all years with heat input were averaged.

State Total HI	Calculated by summing "Average HI over 3 Highest Years
for all units" in the state.

Unit Fraction of State Total HI 	Calculation:  (Average HI over 3
Highest Years)/(State Total HI).

State NOx Budget 	95% of the State's 2009 Ozone Season Allocation
Budget.  

Unit NOx Allocation 	Calculation:  Unit NOx Allocation in Tons = (Unit
Fraction of State Total HI) x (State NOx Budget).



Table 3

EIA Annual Heat Input 

Field Name	Description

State	State.

Facility Name	Facility name from EIA form 860.

EIA ORIS Code	Facility ORIS code in EIA form 860.

EIA UNIT ID	Boiler code in EIA form 767 or generator code in EIA form
860.

CAMD ORIS Code	Facility ORIS code in CAMD database.  Blank if the
facility is not in the CAMD database.

CAMD UNITID	Unit ID in CAMD database.  Blank if the unit is not in the
CAMD database.

Unit Type	Steam Turbine (ST), Combustion Turbine (CT), or Gas Turbine
(GT).

CAIR INSV Status	Denotes whether CAIR unit is "New" or "Existing."  New
units have in-service date of January 1, 2001, or later.  Date reflects
commercial on-line date in EIA form 860.  Remaining units are Existing. 


Retirement Year	Entry appears only if unit is retired during or after
baseline period, otherwise blank.  

Data Year	Heat input data year.  

Annual Heat Input	Annual heat input (mmBtu).  Total of annual heat input
from coal, gas, oil, and other fuel types.  

Annual Heat Input Note	Annual heat input = plant total CT and GT heat
input.

CAIR Fuel 	CAIR fuel type:  Coal, Oil, Gas, or Other.  

Annual CAIR Heat Input	Annual fuel-adjusted heat input.  Calculation: 
Annual Heat Input x CAIR Fuel Factor (Coal = 1.0, Oil = 0.6, Gas or
Other = 0.4).



Table 4

CAMD ARP Annual Heat Input 

Field Name	Description

State	State.

ORIS Code	Facility ORIS code in CAMD database.  

Facility Name	Facility name in CAMD database.

UNITID	Unique CAMD database unit ID.

Unit_ID	Unit ID in CAMD database.

Commenced Operation Date 	Date unit commenced operation.  

Commercial Operation  Date	Date unit commenced commercial operation.

Retirement Year	Unit retirement year.

Data Year	Heat input data year.

Program	ARP for all units.  

Primary Fuel 	Monitoring plan primary fuel.

Annual Heat Input	Annual heat input (mmBtu).

Annual NOx Mass	Annual NOx mass emissions (tons).

Annual SO2 Mass	Annual SO2 mass emissions (tons).

CAIR Fuel Category	Coal, Oil, Gas, or Other based on primary fuel type. 


CAIR Fuel Adjusted Annual Heat Input	Calculation:  Annual Heat Input x
CAIR Fuel Factor (Coal = 1.0, Oil = 0.6, Gas or Other = 0.4).



Table 5

CAMD NBP/OTC Annual Heat Input (12-Month Reporters) 

Field Name	Description

State	State.

ORIS Code	Facility ORIS code in CAMD database.  

Facility Name	Facility name in CAMD database.

UNITID	Unique CAMD database unit ID.

Unit_ID	Unit ID in CAMD database.

Data Year	Heat input data year.

Program Code	NBP, OTC.

Number of Months Reported	Months Reported to CAMD (12).

Operating Time	Annual operating time (sum).

Primary Fuel 	Monitoring plan primary fuel.

Annual Heat Input	Annual heat input (mmBtu).

CAIR Fuel Category	Coal, Oil, Gas, or Other based on primary fuel type. 


CAIR Fuel Adjusted Annual Heat Input	Calculation:  Annual Heat Input x
CAIR Fuel Factor (Coal = 1.0, Oil = 0.6, Gas or Other = 0.4).

Table 6

Objector (OBJ) Annual Heat Input  

Field Name	Description

State	State.

Facility Name	Facility name from EIA form 860.

EIA ORIS Code	Facility ORIS code in EIA form 860.

EIA UNIT ID	Boiler code in EIA form 767 or generator code in EIA form
860.

CAMD ORIS Code	Facility ORIS code in CAMD database.  Blank if the
facility is not in the CAMD database.

CAMD UNITID	Unit ID in CAMD database.  Blank if the unit is not in the
CAMD database.

Data Year	Heat input data year.  

Objection CAIR Fuel Category	NODA Objection - Coal, Oil, Gas, or Other. 


Objection Annual Heat Input	NODA Objection annual heat input (mmBtu).

Objection Fuel Adjusted Annual Heat Input	NODA Objection (mmBtu) - The
calculation is:  Annual Heat Input x CAIR Fuel Factor (Coal = 1.0, Oil =
0.6, Gas or Other = 0.4).

NODA Data Source	Identifies the data source in T1 of the August 2006
NODA draft allocation heat input.

NODA CAIR Fuel Category	Identifies the CAIR Fuel Category in the August
2006 NODA.

NODA Annual Heat Input	Identifies the annual heat input in the August
2006 NODA.

NODA Annual Fuel Adjusted Heat Input	Identifies the fuel-adjusted annual
heat input in the August 2006 NODA.

Objection Docket ID  OAR-2004-0076-	Identifies the last four digits of
the objection document docket ID number or full docket ID if other than
OAR-2004-0076.

Objection Type	Objection type category.  

Objector 	Identifies Objector.



Table 7

EIA Ozone Season Heat Input

Field Name	Description

State	State.

Facility Name	Facility name from EIA form 860.

EIA ORIS Code	Facility ORIS code in EIA form 860.

EIA UNIT ID	Boiler code in EIA form 767 or generator code in EIA form
860.

CAMD ORIS Code	Facility ORIS code in CAMD database.  Blank if the
facility is not in the CAMD database.

CAMD UNITID	Unit ID in CAMD database.  Blank if the unit is not in the
CAMD database.

Unit Type	Steam Turbine (ST), Combustion Turbine (CT), or Gas Turbine
(GT).

CAIR INSV Status	Denotes whether CAIR unit is "New" or "Existing."  New
units have in-service date of January 1, 2001, or later.  Date reflects
commercial on-line date in EIA form 860.  Remaining units are Existing. 


Retirement Year	Entry appears only if unit is retired during or after
baseline period, otherwise blank.  

Data Year	Heat input data year.

Ozone Season Heat Input	Ozone Season heat input (mmBtu).  Total of ozone
season heat input from coal, gas, oil and other fuel types.  

Ozone Season Heat Input Note	Ozone Season heat input = plant total GT
and CT heat input.

CAIR Fuel 	CAIR fuel type:  Coal, Oil, Gas, or Other.

Ozone Season CAIR Heat Input	Ozone Season fuel-adjusted heat input. 
Calculation:  Ozone Season Heat Input x CAIR Fuel Factor (Coal = 1.0,
Oil = 0.6, Gas or Other = 0.4).



Table 8

CAMD (ARP, NBP, OTC) Ozone Season Heat Input

Field Name	Description

State	State.

ORIS Code	Facility ORIS code in CAMD database.  

Facility Name	Facility name in CAMD database.

Unit_ID	Unit ID in CAMD database.

UNITID	Unique CAMD database unit ID.

Commenced Operation Date 	Date unit commenced operation.

Commercial Operation  Date	Date unit commenced commercial operation.

Retirement Year	Unit retirement year.

Data Year	Heat input data year.

Program	ARP, OTC, or NBP.  

Primary Fuel 	Monitoring plan primary fuel.

Ozone Season Heat Input	Ozone season heat input (mmBtu).

Ozone Season NOx Mass	Ozone season NOx mass emissions (tons).

Ozone Season SO2 Mass	Ozone season SO2 mass emissions (tons).

CAIR Fuel Category	Coal, Oil, Gas, or Other based on primary fuel type.

CAIR Fuel Adjusted Ozone Season Heat Input	Calculation:  Ozone Season
Heat Input x CAIR Fuel Factor (Coal = 1.0, Oil = 0.6, Gas or Other =
0.4).



Table 9

Objector (OBJ) Ozone Season Heat Input  

Field Name	Description

State	State.

Facility Name	Facility name from EIA form 860.

EIA ORIS Code	Facility ORIS code in EIA form 860.

EIA UNIT ID	Boiler code in EIA form 767 or generator code in EIA form
860.

CAMD ORIS Code	Facility ORIS code in CAMD database.  Blank if the
facility is not in the CAMD database.

CAMD UNITID	Unit ID in CAMD database.  Blank if the unit is not in the
CAMD database.

Data Year	Heat input data year.  

Objection CAIR Fuel	NODA Objection - Coal, Oil, Gas, or Other.  

Objection Ozone Season Heat Input	NODA Objection ozone season heat input
(mmBtu).

Objection Ozone Season Fuel Adjusted Heat Input	NODA Objection
fuel-adjusted ozone season heat input (mmBTu).  The calculation is: 
Annual Heat Input x CAIR Fuel Factor (Coal = 1.0, Oil = 0.6, Gas or
Other = 0.4).

NODA Data Source	Identifies the data source in T1 of the August 2006
NODA draft allocation heat input.

NODA CAIR Fuel	Identifies the CAIR Fuel Category in the August 2006
NODA.

NODA Ozone Season Heat Input	Identifies the ozone season heat input in
the August 2006 NODA.

NODA Ozone Season Fuel Adjusted Heat Input	Identifies the fuel-adjusted
ozone season heat input in the August 2006 NODA.

Docket ID  OAR-2004-0076-	Identifies the last four digits of the
objection document docket ID number or full Docket ID if other than
OAR-2004-0076.

Objection Type	Objection type category.  

Objector 	Identifies Objector.



Diagram 1

Inventory Development of Potential Existing CAIR Units included in 

CAIR FIP NOx Allocations NODA

				

Yes	yes								No 

					

	

G				      yes		

						      Yes

							

						     

      No

			

											No 

						

							Yes   

							Yes

1) EPA excluded generators which did not sell electricity to a utility
in 1999 or 2000 based on EIA form 860b.  However, under CAIR, a unit
serving a generator greater than 25 MWe, and producing electricity for
sale on or after 11/15/90 is subject to CAIR.  Sales data were only
available for 1999 and 2000.  However, if a generator was selling
electricity at anytime on or after 1990, a unit serving the generator
may be affected and were asked to provide data to EPA in the period for
objections.

2) The solid waste incinerator exemption was determined by identifying
generators located at municipal solid waste combustors according to EIA
form 860.  There may be several solid waste incinerators which are not
located at municipal waste combustors, but would qualify for the
exemption.  Unit owners and operators were asked to review and comment
on this exemption status.

3)  EPA excluded generators which were located at FERC qualifying
cogeneration facilities that had annual plant wide sales of 1/3 or less
of the potential generating capacity, or that had annual sales less than
219,000 MW-hrs, to an electric utility based on EIA form 860b (1999 and
2000).  Sales and efficiency data used to determine whether a unit
qualifies for a cogeneration exemption under CAIR was insufficient. 
Unit owner and operators were asked to review their historic sales and
efficiency data to determine whether their units qualify for the
cogeneration exemption under CAIR.  

 PAGE   

 PAGE   2 

An existing unit reporting monitoring data under the Acid Rain Program
in a CAIR State

Unit is an Acid Rain Program opt-in unit.

P

O

T

E

N

T

I

A

L

C

A

I

R

U

N

I

T

S

Generator at a non-Acid Rain plant with a fossil fuel energy source and
a nameplate capacity greater than 25 MW and commenced operation before
1/01/2001.

Generator is selling electricity1

Generator qualifies for a solid waste incinerator exemption2

Generator qualifies for cogeneration exemption3

Unit owner/operator supplied EPA with data and information demonstrating
status as a CAIR unit.

Unit is non-Acid Rain pre-1991 combined cycle combustion turbine at Acid
Rain plant and meets other CAIR applicability criteria.

