APPENDIX F: NEI QA/QC PROCESS
nei_plan.wpd A - 3 2/22/01

I. Quality Checks for File Format 

The logic for these checks is based primarily on the NEI Input Format (NIF) specifications (NIF

V1.2), the use conventions described in the NIF User Instructions and its Appendix A, and the

NIF Codes Tables. All of these are presently located on the Emission Factor and Inventory

Group (EFIG) Web site at www.epa.gov/ttn/chief/ under Emission Inventories, Emission

Inventory Data, Submitting Data to EPA. [Note: Additional checks are being developed to

correspond to changes made in NIF V2.0. These additional data checks will be described in an

addendum to this plan and will be posted by EFIG on the same web site by Spring 2001.]

Steps 1 - 3

1. Query routines are applied to each data file to check for proper file format (NIF V1.2). The

data files MUST pass these checks in order for the files to be further processed for incorporation

into the NEI.

POINT SOURCES

A Data format and field widths

File Field Check For: Consequence How Found 

All All > max length blanks in

mandatory

fields

import error if NIF file type - .txt or .dbf;

length query for numerics and table

design for text if NIF file type - .mdb

All Any

numeric

value

scientific

notation

blank in

numeric field

import error if NIF file type - .tat or .dbf, 

B Mandatory fields must be filled

File Field (V1.2) Consequence How Found

All Record Type Can’t Analyze, referential

integrity compromised

null querys

All State FIPS, County FIPS Can’t QC, analyze, or map without

locational data ref. int. comp.

null querys

TR Organization name Can’t track back emissions to

source

null querys 

 

TR Transaction Type data not replaced null querys
File Field (V1.2) Consequence How Found

nei_plan.wpd A - 4 2/22/01

TR Inventory Year Can’t QC, analyze, or trend w/o

temporal data

null querys

TR Contact name, phone,

creation date, submission

number

NEED if questions null querys

TR, AC,

EM

Start Date, End Date, Day

Type

Can’t QC, analyze, or trend w/o

temporal data

null querys

TR source type Need to QC and categorize null querys

TR format version format for import null querys

SI, ER,

EP, CE,

AC, EM

AFS/NEDS Plant ID, SIC Can’t QC, analyze, or map without

locational data or track back

emissions to source, ref. int. comp.

null querys

SI Facility Name, street, city,

state, zip

Can’t QC, analyze, or map without

locational data

null querys

EU, ER,

EP, CE,

AC, EM

AIRS Point ID Can’t QC, analyze, or map without

locational data or track back

emissions to source, ref. int. comp.

null querys

ER, EP Stack ID Can’t QC, analyze, or map without

locational data or track back

emissions to source, ref. int. comp.

null querys

ER x & y coordinate, xy

coordinate type

Can’t QC, analyze, or map without

locational data

null querys

EP, CE,

AC, EM

Segment ID, SCC Can’t QC, analyze, or map without

locational data or track back

emissions to source, ref. int. comp.

null querys

CE, EM Pollutant code Can’t QC if missing, can’t analyze

by pollutant, ref. int. comp.

null querys

EM Inventory Type Code null querys

EM Emission numeric value can’t do anything w/o null querys

EM emission unit numerator need to analyze null querys

EM Emission Type need to QC, gives dates null querys
nei_plan.wpd A - 5 2/22/01

C Compare with State provided Submittal Form

I. geographic coverage

Submittal Form TR EM Comment

coverage on SF query unique

counties

query # records/cty compare cty info to

SF 

ii. pollutant coverage

Submittal Form EM Comment

coverage on SF query # records/pollutant compare pollutant info to SF

iii. source category coverage

EM Historical Comment

query # records/1st 3 digits of

SCC

query # records/1st 3 digits of

SCC

compare current to historical

iv. temporal coverage

Submittal Form TR EM Comment

coverage on SF query unique start

and end dates

query unique start and

end dates, inventory type,

and emission type

compare temporal

coverage to SF

D Referential Integrity

The NEI is a relational database. The following one to many relationships between files/tables

must be created and enforced. For example, the relationship between the TR file/table and the SI

file/table is a one to many relationship, i.e. there is one TR record for many SI records or one

unique county record for possibly many sites. A relationship is created unless one of the

following two errors occurs:

1- orphan records (For example, a record in the site table exists without a record in the TR table

for that county).

2- records not unique for key fields (A county was listed twice in the TR table).

TR-SI SI-EU EU-ER EU-EP EP-AC AC-EM
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All of the above are strict 1 to many relationships. The CE table has a conditional 1 to many

relationship with the EM table because not every emission is controlled, yet one control record

can connect with several EM records which occurred during different periods. Therefore, if there

is a CE record there should be a 1 to many relationship between that record and many

corresponding EM records.

2. Notify data submitter by e-mail of completion / results of Format checks. 

e-mail to include:

A the Microsoft Access Database created or .mdb file;

B table summary identifying problems and the querys used to find them;

C written summary identifying what we can fix here and how, what they need to fix and

how, and if necessary to resubmit.

3. Repeat 1 and 2 until Format checks are error free.

Note: File/Table Abbreviations:

• TR = Transmittal

• SI = Site

• EU = Emission Unit

• ER = Emission Release Point

• EP = Emission Process

• CE = Control Equipment

• AC = Activity

• EM = Emission
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II. Quality Checks for Data Content

Steps 1 - 3

1. Query routines applied to each data file (NIF V1.2): 

A Acceptable Codes

File Field (V1.2) Correct Found Consequence

All Record Type TR, SI, EU, ER, EP, CE,

AC, EM

unique code

query

Can’t Analyze,

referential integrity

All State, County

FIPS

See AIRS GeoCommon

Code Table

unique code

query

locational QC and

analysis

TR Transaction

Type

00 - original, 05 - replace unique code

query

data not replaced

TR, AC,

EM

Day Type 0-8 See Appendix A unique code

query

TR Source Type See source Type Code

Table

unique code

query

can’t categorize

analysis by source

TR Contact Type 0-5 See contact Type Code

Table

unique code

query

can’t back track for

QC

SI Facility

Category

0-3 See facility category

Code Table

unique code

query

can’t categorize

analysis by fac type

SI ORIS facility

code

DOE unique identifier for

electric generating units

see www.eia.doe.gov

unique code

query

can’t categorize

analysis by fac type

SI, EU SIC Standard Industrial

Classification Code. See

www.census.gov/epcd/ww

w/sic.html

unique code

query

can’t categorize

analysis by SIC

SI, EU NAICS N. Amer. Industry

Classification System. See

www.census.gov/epcd/ww

w/sic.html

unique code

query

can’t categorize

analysis by NAICS

SI Address Type

Code

0-6 See address type code

table

unique code

query

can’t back track for

QC
File Field (V1.2) Correct Found Consequence

nei_plan.wpd A - 8 2/22/01

EU ORIS boiler

Code

DOE unique identifier for

electric generating units

see www.eia.doe.gov

unique code

query

can’t categorize

analysis by boiler

EU Emission Unit

Type

0-18 See Emission Unit

Code Table (v1.2 only)

unique code

query

can’t categorize

analysis by unit type

EU Design

Capacity Unit

Numerator and

Denominator

See Units Code Table unique code

query

can’t analyze unit

capacity

ER Emission

Release Point

Type

0-6 See Emission Release

Point Type Code Table

unique code

query

can’t categorize

analysis by ERP

type

ER XY

Coordinate

Type

LATLON or UTM See XY

coordinate Type Code

Table

unique code

query

locational QC and

analysis

EP, CE,

AC, EM

SCC - Source

Category

Classification

Code

See

http://www.epa.gov/ttn/chi

ef/codes/index.html

unique code

query

can’t categorize

analysis by SCC

CE, EM Pollutant Code See Pollutant Code Table unique code

query

can’t stratify by

pollutant

CE Primary and

Secondary

Device Code

See Control Device Type

Code

unique code

query

Can’t analyze CE

AC Throughput

Unit

Numerator

See Units Code Table unique code

query

can’t analyze

activity data

AC, EM Material See Material Code Table unique code

query

can’t analyze

activity data

AC, EM Material I/O 3 possible- See Material

I/O Code Table

unique code

query

can’t analyze

activity data

EM Inventory Type 7 possible - See Inventory

Type Code Table

EM Emission Unit

Numerator

See Units Code Table unique code

query

can’t analyze

emission data
File Field (V1.2) Correct Found Consequence

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EM Emission Type See Emission Type Code

Table

unique code

query

Can’t QC, gives

dates

EM Factor Unit

Numerator and

denominator

See Units Code Table unique code

query

can’t analyze factor

data

EM Factor Type

code

See Factor Type Code

Table

unique code

query

can’t analyze by

factor type

EM Calculation

Method code

See Factor Calculation

Method Code Table

unique code

query

can’t analyze by

factor calc method

EM EF Reliability

Indicator

A - F: See Reliability

Indicator Code Table

unique code

query

can’t analyze/utilize

by quality rating

EM Rule

Effectiveness

Method

11 possible - See Rule

Effectiveness Method

Code Table

unique code

query

can’t analyze by rule

effect meth

B Numeric Values In Acceptable Range

File Field (V1.2) Acceptable Found Consequence

TR, AC, EM End Date - last

month and day of

season being

inventoried

(YYYYMMDD)

>= Start Date

beginning month

and day of

season being

inventoried

range

query

Can’t QC or Analyze

TR, AC, EM End Time (HHMM) >= Start Time range

query

Can’t QC or Analyze

TR, AC, EM Start Date and End

Date

within Inventory

Year

range

query

Can’t QC or Analyze

SI city, state, and zip within St,

County if

address type

code is Physical

range

query
File Field (V1.2) Acceptable Found Consequence

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ER Stack Height (in

feet)

[0-100] if ER

Point Type =

fugitive or 01,

(0-700] if ER

Point Type =

non fugitive or

02-06

range

query

ER Stack Diameter (in

feet)

(0-50] range

query

ER Exit Gas

Temperature

(degrees Fahrenheit)

(50-1500] range

query

ER Exit Gas Velocity

(in feet per second)

(0-100] range

query

ER Exit gas Flow Rate

(in cubic feet per

second)

(0-200,000) range

query

ER computational check Exit gas Flow

Rate = (J*Stack

Diameter ^

2*Exit Gas

Velocity) /4

ER x coordinate (in

decimal degrees or

UTM Easting Km)

Should fall w/I

range for state

range

query

ER y coordinate (in

decimal degrees or

UTM Northing Km)

Should fall w/I

range for state

range

query

EP winter, spring,

summer, fall

throughput PCT

Sum should =

100 PCT

range

query

Print out list if <

98%

EP (annual

average),

AC (period)

annual average or

period days/week

(0-7] range

query

EP (annual

average),

AC (period)

annual average or

period weeks/year

(0-52] range

query
File Field (V1.2) Acceptable Found Consequence

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EP (annual

average),

AC (period)

annual average or

period hours/day

(0-24] range

query

EP (annual

average),

AC (period)

annual average or

period hours/year

(0-8760] or

8784 if leap year

range

query

CE PCT Capture

Efficiency

<= 100 range

query

CE Primary PCT

Control Efficiency

and Total Capture

Control Efficiency

<100 range

query

EM Emission Numeric

Value

>=0 range

query

EM Emission Numeric

Value - depends on

pollutant code 

see emission

range table at

www.epa.gov/tt

n/chief/eidocs/in

dex.html#pack

with NIF v 2.0

user package (to

be provided)

range

query

EM Emission Numeric

Value

For PM, PM2.5

< or = PM 10

range

query

EM Emission Numeric

Value

Depending on

Inventory type,

Seasonal < or =

Annual

range

query

2. Notify data submitter by e-mail of completion / results of Content checks.

e-mail to include:

A the Microsoft Access Database created or .mdb file;

B table summary identifying problems and the querys used to find them;

C Summary identifying what we can fix here and how, what they need to fix and how, and

if necessary to resubmit.

3. Repeat 1 and 2 until Content checks are error free.
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III. Final QC

Repeat steps in I-II above.
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I. Methodology For Blending / Merging Records

Point Sources

The methodology for compiling the point source data in the 1999 National Emission Inventory

uses the following hierarchy:

1) Obtain HAP and criteria emissions data from the S/Ls.* 

2) Supplement S/L data for electric generating utilities with MACT and CEM data.

3) Supplement S/L HAP data with MACT inventory data.

4) Supplement S/L and MACT HAP data with TRI data.

5) Supplement S/L, MACT and TRI HAP and criteria data with EPA preliminary emission

estimates (based on projections from previous year emissions) where necessary.

*Note: Facility-specific MACT inventory information for two MACT source categories - electric

utility mercury emissions and HAP emissions from municipal waste combustors will be used

directly and will not be replaced with S/L data because the MACT data sets are highly accurate

and the result of extensive source testing. Likewise, data from the Acid Rain CEM data base for

electric utility NOx and SO2 emissions will be used directly and will not be replaced with S/L

data because of the high level of accuracy.

As described in the list above, HAP data for the same source category could come from multiple

information sources (e.g., S/Ls, MACT, etc.). With the exception of mercury from utilities and

municipal waste combustors noted above, EFIG will use the following criteria to determine

which source of HAP data to use for a facility in multiple data sets:

• Base year 1999.

• Actual emissions reported rather than potential, allowable, maximum.

• Contains location data (Latitude/Longitude coordinates, UTM coordinates).

• Has SCCs associated with emissions.

• Has stack data.

Potential facility data gaps in S/L emission inventories will likely include:

• Entire counties missing, and

• Missing facilities.

To assess the completeness of S/L-submitted emission inventories for facility coverage within a

geographic area, EFIG will use the 1996 NTI and NET inventories, MACT inventory data and

TRI. If S/Ls are aware of facilities in the 1996 NTI and NET that have closed, are duplicate

facilities, or changed their names, the S/Ls should notify EFIG of this information in order to

reflect these changes in the 1999 National Emission Inventory. This information can be

summarized in a memo or spreadsheet format but would not be part of the NEI Input Format

submittal. For facilities in geographic areas that are not submitted to EFIG and for missing

individual facilities, EFIG will fill point source facility gaps using the steps 3 - 5 of the hierarchy

presented above.

One of the goals of the 1999 National Emission Inventory is to compile a comprehensive

inventory of emissions of the 188 HAPs. In the process of merging point source data from the 3
nei_plan.wpd B - 4 2/22/01

HAP data sources (S/L, MACT, and TRI data), EFIG will include all HAPs emitted from a

facility. If a facility is duplicated in one or more data sources, EFIG will evaluate the HAPs

emitted from the processes and emission units at the duplicate facilities. EFIG will retain

process, emission unit and individual stack emissions of HAPs. If HAPs emitted from stacks,

emission units, processes or at the facility level are duplicated, S/L data will be used and

duplicate data from MACT or TRI data will be deleted. If only a subset of HAPs are included for

duplicate facilities, EFIG will retain the subset of HAPs from S/L data and then merge the

remaining HAPs from the duplicate sites to create a unique site with a unique set of HAPs. 

Similarly EFIG will evaluate data at the process, emission unit, and individual stack level. Data

will be retained at the most refined level. For example, MACT data are available for two

petroleum refinery MACT standards - catalytic cracking units and vents, and TRI data are

available at the facility level. The more refined MACT data for the two categories would be

compiled in the National Emission Inventory rather than total facility data from the TRI.

For criteria pollutants, because the data generally come from a single source (S/L), we do not fill

in missing pollutant emissions by merging data from other information sources. Instead, we

estimate the missing pollutant emissions based on projections from previous year emissions. 

This methodology is described in Section II, Methodology For Data Completion.

Area Sources

To begin compiling the area source data, EFIG will first identify area source categories that emit

HAPs and criteria pollutants. The 1996 NTI and NET will be the starting point for area source

category identification. The methodology for compiling the area source data in the 1999 National

Emission Inventory uses the following hierarchy.

1. Obtain emissions data from the S/Ls (HAPs and criteria)

2. Supplement S/L data with MACT inventory data (HAPs)

3. Supplement S/L and MACT inventory data with EFIG generated data using emission factors

and activity data (HAPs and criteria)

Emissions from a limited number of area source categories in the 1999 National Emission

Inventory will be estimated using national data sets and AP-42 factors for those areas for which

S/Ls do not provide data. These source categories include:

• Fuel Combustion

• Solvent Usage

• Storage and Transport

• Waste Disposal

• Fugitive Dust

• Other Combustion (wildfires, prescribed burning, agricultural burning)

• Animal Husbandry

• Fertilizer Application

Each of these categories may be made up of multiple processes. EFIG may estimate emissions

for certain processes within these categories on a case by case basis where emission estimates are
nei_plan.wpd B - 5 2/22/01

not provided by S/Ls. EFIG will evaluate emission factors for these categories for their

completeness, representativeness, and overall quality. In some cases, EFIG will use emission

factors from published documents such as AP-42. For other source categories, more recent

emission factors based on recent test data gathered from the MACT program, S/Ls, or industry

will be used. EFIG will obtain most source activity data from published sources such as

government statistical documents and databases (e.g., Energy Information Administration fuel

consumption reports, U.S. Forest Service reports on fires and burned acreage, and waste disposal

reports published by EPA), industry trade publications, and commercially published business

directories and journals. Census data from the U.S. Department of Commerce will be used to

estimate emissions using per capita and per employee emission factors. Similar to the

development of the 1996 NTI and NET, EFIG will use information about raw material usage and

production levels supplied by industry and trade groups. These data will be extrapolated as

needed to represent emissions on a county, state and national scale. EFIG will also use available

S/L activity data. Wherever possible, EFIG will estimate area source emissions for HAPs and

criteria pollutants in an integrated fashion (i.e., will use the same activity data and methodology).

Mobile Sources

The methodology for compiling the on-road and non-road mobile source data in the 1999 NTI

uses the following hierarchy:

1. Obtain HAP and criteria emissions data from the S/Ls. 

2. Supplement S/L’s inventory data with data from OTAQ and the Federal Highway

Administration (Highway Performance Monitoring System - vehicle miles traveled)

For on-road mobile sources, EFIG will require the following from S/Ls:

• average daily or annual VMT,

• mobile model input files, and 

• average daily and/or annual emissions

All three of these data sets are useful in preparing the National Emission Inventory and preparing

specific data sets for air dispersion modeling. S/L should compare their onroad VMT estimates

at the State or Local level with VMT from HPMS to confirm that they are within 10%. When

submitting VMT and emissions data to EPA, S/L’s should inform EPA about the findings of

their comparison. If outside 10%, EFIG will use our discretion as to whether or not to use the

S/L-provided VMT. In such a case, EFIG will hold discussions where possible with the S/L,

OTAQ and FHWA to determine the best approach.

For non-road mobile sources, EFIG will accept from S/Ls, emission estimates created using the

latest version of the NONROAD Model. EFIG is planning on running the NONROAD Model at

the county level for the entire U.S. for 1999. These emissions, as well as the NONROAD Model

inputs used to create them (esp. temperature, RVP, and activity) will be supplied to S/Ls for

review. S/Ls may use these emissions as their nonroad submission to the NEI if they do not wish

to change any of the inputs. These emissions will be used in the NEI for all areas for which S/Ls

do not submit alternative nonroad data.
nei_plan.wpd B - 6 2/22/01

EPA’s Office of Transportation and Air Quality will provide direction on how emission

estimates should be developed and advice on which emission factors and speciation profiles (for

HAP emission estimates) should be used.
nei_plan.wpd B - 7 2/22/01

II. Solve for Missing Data Elements

Point Sources

After an inventory of facilities and associated emissions is compiled by EFIG, missing data

elements will be defaulted by EFIG. Missing data elements may include:

1. Stack parameters;

2. Facility location data [address, county FIPS and names, latitude/longitude or Universal

Transverse Mercator (UTM) coordinates)]; and

3. MACT codes (The NTI associates MACT codes with every MACT source category to the

major and area source data. The tagging of data with MACT codes allows EPA to determine

reductions attributable to the MACT program.).

Because the NET and NTI will be used for modeling, the association of stack parameters and

location data to each facility emission estimate of major sources is required. EFIG will obtain

default stack parameters from the following sources in the hierarchy presented.

1. Facility specific stack data in 1996 NTI, and NET inventories

2. Derived stack data (derive velocity, diameter, and flow rate if 2 of 3 variables are provided)

3. Default stack data associated to SCCs (file provided by ORD)

4. Default stack data associated to SIC codes (file provided by OP)

5. Model plant defaults provided by MACT engineers

EFIG will assume that the release point is a stack for facilities with no information on the types

of release (stack vs. fugitive). The NEI Input Format contains flags to identify data fields that

use defaults.

The NET and NTI requires that point sources include facility location data. If latitude/longitude

coordinate problems exist (missing or incorrect), EFIG will fill location data gaps using the

following hierarchy of methods.

1. Using existing inventories - 1996 NTI, TRI, NET inventory

2. Using zip codes to identify latitude/longitude coordinates

3. Prioritizing remaining facilities based on the size of emissions. Small facilities (e.g., 

emissions of total HAPs less than 10 tons/year of HAPs) will be defaulted to the county

centroid

The NET and NTI also requires that county FIPS codes be associated with point source facilities. 

EFIG will not accept any data that does not have an associated county FIPS code.

MACT codes are 4-digit codes that are assigned to all MACT categories and sub-categories. The

MACT code is assigned to all facilities and processes within a MACT category. The MACT

implementation code is then used to indicate control due to 112/129 standards. EFIG will assign

MACT code and MACT implementation codes to facilities if codes are not assigned by S/Ls. 

The MACT codes will be assigned using the following methodology.

1. Facility lists provided by MACT engineers
nei_plan.wpd B - 8 2/22/01

2. SCCs that are applicable to MACT processes within a facility provided by MACT engineers

3. SIC codes that are applicable to specific MACT categories provided by MACT engineers

Table B-1 lists the data elements in the NEI Input Format. Each mandatory data element is

coded “mandatory submission” (MS) or “data solvable” (DS). Data elements coded MS must be

supplied by the S/L agency for EFIG to process the data. Data elements coded DS are elements

that EFIG will add to the S/L data if they are not supplied by the S/Ls. Table B-1 also includes a

brief description of the method EFIG will use to complete the necessary DS data elements. A

more detailed description of how EFIG will solve for missing criteria emissions data and

temporally allocate emissions follows Table B-1.

Table B-1: Point Source Data Completion Methods

NIF Table Data Element Element Type Data Completion Method

(all) Record Type MS

Activity Process rate throughput

Activity Start date time MS Use 1/1/99 for annual data

Activity End date time MS Use 12/31/99 for annual data

Activity Throughput method

Activity Unit of measure for

throughput

Activity Period average days per

week

Activity Period average weeks per

period

Activity Period average hours per

day

Activity Period hours per period

Control Equipment Measurement type for

total capture control

efficiency

Control Equipment Control device type MS if controls reported

Control Equipment Total capture control

efficiency

Emission Process S/L Process ID MS (for HAPS, MS if

reporting data at

process level)

Emission Process Process MACT

implementation code

DS ESD default
NIF Table Data Element Element Type Data Completion Method

nei_plan.wpd B - 9 2/22/01

Emission Process SCC MS (criteria)

Emission Process Process MACT code DS ESD default

Emission Process Process description

Emission Process Winter Throughput Pct DS(criteria) Default Temporal Allocation

File

Emission Process Spring Throughput Pct DS(criteria) Default Temporal Allocation

File

Emission Process Summer Throughput Pct DS(criteria) Default Temporal Allocation

File

Emission Process Fall Throughput Pct DS(criteria) Default Temporal Allocation

File

Emission Process Annual average days per

week

DS(criteria) Default to 7

Emission Process Annual average weeks per

year

Emission Process Annual average hours per

day

DS(criteria) Default to 24

Emission Process Annual average hours per

year

Emission Release Point S/L Stack ID MS

Emission Release Point Exit gas velocity DS Default using existing

inventories, SCC defaults,

SIC defaults, model plant

parameters, calculate if

diameter and flow rate

known

Emission Release Point Exit gas temperature DS Default using existing

inventories, SCC defaults,

SIC defaults, model plant

parameters

Emission Release Point Exit gas flow rate DS Default using existing

inventories, SCC defaults,

SIC defaults, model plant

parameters, calculate if

velocity and diameter known

Emission Release Point Nonstack vertical

dimension
NIF Table Data Element Element Type Data Completion Method

nei_plan.wpd B - 10 2/22/01

Emission Release Point Stack diameter DS Default using existing

inventories, SCC defaults,

SIC defaults, model plant

parameters, calculate if

velocity and flow rate known

Emission Release Point Nonstack horizontal

dimension

Emission Release Point Stack height DS Default using existing

inventories, SCC defaults,

SIC defaults, model plant

parameters

Emission Release Point Nonstack dimensional

units

Emission Release Point Emission release point

description

Emission Release Point Emission release point

type

DS Default to fugitive

Emission Release Point Latitude or UTM

Northing

DS Match to current NTI, TRI

or NET

 Emission Release Point Longitude or UTM

Easting

DS Match to current NTI, TRI,

or NET

Emission Release Point UTM Zone MS if UTM coordinates

supplied

Emission Release Point XY coordinate type

(lat/long or UTM)

MS if coordinates

supplied

Emission Release Point Stack fenceline distance

Emission Unit S/L Emission Unit ID MS (for HAPS, MS if

reporting data at unit

level)

Emission Unit Emission unit description

Emission Unit Emission unit type

Emission Unit ORIS ID for boiler DS (for electric

utilities)

From NET and Hg Utility

Study

Emissions Numerical value of

emission estimate

MS

Emissions Control status MS (HAPS) If control device reported,

assign controlled

Assign unknown if blank

Emissions Units of emission estimate MS
NIF Table Data Element Element Type Data Completion Method

nei_plan.wpd B - 11 2/22/01

Emissions Pollutant Code (CAS# or

NTI pollutant code)

MS

Emissions Emission estimate type

(actual, potential, etc.)

DS For HAPS, assign unknown

if blank. For criteria assign

actual if blank

Emissions Emission data level

(facility, unit, process,

stack)

MS

Emissions Emission estimate method

code

Emissions Emission time period MS

Emissions Rule effectiveness method

Emissions Rule effectiveness DS Default to 100

Site S/L site ID MS

Site Site Address Zip Code

Site NTI Site ID MS (HAPS, Mandatory

for facilities in 1996

NTI)

Site Source type (major,area,

mobile)

MS Assign using CAA

definition

Site Country FIPS DS Assume US

Site SIC code MS

Site Site MACT code DS ESD

Site Site name MS

Site Site description

Site Site MACT

Implementation code

DS ESD

Site Contact name MS

Site NAICS code DS Use SIC/NAICS lookup

Site County FIPS MS

Site State FIPS MS

Site Site Address Street Line 1 MS

Site Site Address Street Line 2

Site Site Address Street Line 3

Site Site Address City MS
NIF Table Data Element Element Type Data Completion Method

nei_plan.wpd B - 12 2/22/01

Site NTI Unique Facility ID DS Use 1996 NTI

Site Address type (corporate,

site)

MS

Site Dun & Bradstreet # none

Site ORIS ID DS From NET and Hg Utility

Study

Site TRI ID DS (HAPS)

Site Zip code MS

Transmittal Contact alternate phone

number

Transmittal Organization submitting

data (S/L, ESD, TRI)

MS

Transmittal Contact name MS

Transmittal Contact phone number MS

Transmittal Contact fax number

Transmittal Contact email address MS

Transmittal Transaction date DS Assume date of receipt if

blank

Transmittal Incremental submission # MS

Transmittal Transaction comments

Transmittal Transaction type MS

Transmittal Inventory year DS Assume 1999 if blank

Emissions (Criteria)

1. Solve for Pollutants - Repeat Process for Each Pollutant Not Present

A. If annual emissions are known, solve annual emissions for other pollutants

Or

 If daily emissions are known, solve daily emissions for other pollutants.

B. Perform plant level match to current NET data

If there is a match, distribute plant level emissions to segments in New (S/L submitted)

NEI data based on segment level distribution of known pollutant (NOx) in New NEI Data

C. If there is no plant level match to current NET data

Develop emissions using uncontrolled emission factor ratios to calculate uncontrolled

emissions. This method applies SO2 or PM-10 ratios to NOx. NOx was the pollutant
nei_plan.wpd B - 13 2/22/01

utilized to calculate the ratio because (1) the types of sources likely to be important SO2

and PM-10 emitters are likely to be similar to important NOx sources and (2) the

generally high quality of the NOx emissions data. Ratios of SO2/NOx and PM-10/NOx

based on uncontrolled emission factors were developed. These ratios were multiplied by

uncontrolled NOx emissions to determine either uncontrolled SO2 or PM-10 emissions.

PM-2.5 emission estimates were developed based on the PM-10 estimates using sourcespecific uncontrolled particle size distributions and particle size specific control

efficiencies for sources with PM-10 controls. To estimate PM-2.5, uncontrolled PM-10

was first estimated by removing the impact of any PM-10 controls on sources in the

inventory. Next, the uncontrolled PM-2.5 was calculated by multiplying the uncontrolled

PM-10 emission estimates by the ratio of the PM-2.5 particle size multiplier to the PM-10

particle size multiplier. (These particle size multipliers represent the percentage to total

particulate below the specified size.) Finally, controls were reapplied to sources with

PM-10 controls by multiplying the uncontrolled PM-2.5 by source/control device particle

size specific control efficiencies.

All NH3 emission estimates remained unchanged from the estimates currently in the

NET.

2. Solve for Temporal Emissions

Annual or Daily Emissions (whichever) is not known will be calculated using the following

using operating schedule information (see equations 1a and 1b).

To calculate daily from annual - 

EMISASD = EMISANN * SUMTHRU *(1/13 * DPW ) [1a]

To calculate annual from daily -

EMISANN = EMISASD / ( SUMTHRU * (1 /(13 * DPW ))) [1b]

Where:

EMISANN = Annual Emissions

EMISASD = Typical Summer Day Emissions

SUMTHRU = Summer Throughput Percentage

DPW = Days Per Week in Operation

13 = Number of Weeks in Summer

Area Sources

Table B-2 lists the in the NEI Input Format. Each mandatory data element is coded “mandatory

submission” (MS) or “data solvable” (DS). Data elements coded MS must be supplied by the

S/L agency for EFIG to process the data. Data elements coded DS are elements that EFIG will

add to the S/Ls data if they are not supplied by the S/L. Table B-2 also includes a brief
nei_plan.wpd B - 14 2/22/01

description of the method EFIG will use to solve for the necessary DS data elements. A more

detailed description of how EFIG will solve for missing criteria emissions data and temporally

allocate emissions follows Table B-2.

Table B-2: Area and Nonroad Mobile Source Data Completion Methods

NIF Table Data Element Element Type Data Completion Method

all Record type MS

Activity Inventory Start

date

MS Use 1/1/99for annual data

Activity Inventory End

date

MS Use 12/31/99 for annual

data

Control equipment Control device

type

MS if controls reported

Control equipment Total capture

control

efficiency

Emissions CAS # or NTI

pollutant code

for HAPs

without CAS

#s

MS

Emissions Pollutant name DS Assign based on CAS# or

pollutant code

Emissions Control status MS

Emission Emission type

(actual,

potential, etc.)

DS For HAPS, assume actual

annual if blank. For criteria,

assume actual if blank

Emissions Numerical

value of

emission

estimate

MS

Emissions Units of

emission

estimate

(emission unit

numerator in

NIF)

MS

Emission process Category

MACT code

DS ESD
NIF Table Data Element Element Type Data Completion Method

nei_plan.wpd B - 15 2/22/01

Emission process Category

MACT

Implementatio

n code

DS ESD

Emission process Emission

process

description

Emission process NAICS code DS (if SIC supplied) Use SIC/NAICS lookup

Emission process SIC code

Emission Process SCC/AMS

code

MS

Transmittal Contact name MS

Transmittal Contact phone

number

MS

Transmittal Contact fax

number

Transmittal Contact email

address

MS

Transmittal Contact

alternate

phone number

Transmittal County FIPS MS

Transmittal County name DS Base on county FIPS

Transmittal Incremental

submission

number

MS

Transmittal Inventory year DS Assume 1999 if blank

Transmittal Organization

submitting

data

MS

Transmittal Source type

(major,area,

mobile)

MS Assign using CAA

definitions

Transmittal State FIPS MS

Transmittal Transaction

comments

none

Transmittal Transaction

date

DS Assume date of receipt if

blank
NIF Table Data Element Element Type Data Completion Method

nei_plan.wpd B - 16 2/22/01

Transmittal Transaction

type

MS

Transmittal Transmittal

source (S/L,

EPA)

DS Assign based on source of

data

Solving for Missing Data - Emissions

1. Solve for Pollutants - Repeat Process for Each Pollutant Not Present

A. If annual emissions are known, solve annual emissions for other pollutants.

Or

 If daily emissions are known, solve daily emissions for other pollutants.

B. Perform State/county/SCC level match to current NET data

If there is a match use emissions from current NET.

C. If there is State/county/SCC match to current NET data

Develop emissions using uncontrolled emission factor ratios to calculate uncontrolled

emissions. This method used SO2 or PM-10 ratios to NOx. NOx was the pollutant

utilized to calculate the ratio because (1) the types of sources likely to be important SO2

and PM-10 emitters are likely to be similar to important NOx sources and (2) the

generally high quality of the NOx emissions data. Ratios of SO2/NOx and PM-10/NOx

based on uncontrolled emission factors were developed. These ratios were multiplied by

uncontrolled NOx emissions to determine either uncontrolled SO2 or PM-10 emissions.

PM-2.5 emission estimates were developed based on the PM-10 estimates using sourcespecific uncontrolled particle size distributions and particle size specific control

efficiencies for sources with PM-10 controls. To estimate PM-2.5, uncontrolled PM-10

was first estimated by removing the impact of any PM-10 controls on sources in the

inventory. Next, the uncontrolled PM-2.5 was calculated by multiplying the uncontrolled

PM-10 emission estimates by the ratio of the PM-2.5 particle size multiplier to the PM-10

particle size multiplier. (These particle size multipliers represent the percentage to total

particulate below the specified size.) Finally, controls were reapplied to sources with

PM-10 controls by multiplying the uncontrolled PM-2.5 by source/control device particle

size specific control efficiencies.

All NH3 emission estimates remained unchanged from the estimates currently in the

NET.

2. Solve for Temporal Emissions
nei_plan.wpd B - 17 2/22/01

Annual or Daily Emissions (whichever) is not known will be calculated using the following

using EPA’s default temporal allocation factor file (TAFF) (see equations 2a and 2b). The TAFF

contains national default temporal factors by SCC.

To calculate daily from annual - 

EMISASD = EMISANN * (SUMFAC * WKDYFAC) [2a]

To calculate annual from daily -

EMISANN = EMISASD / ( SUMFAC * WKDTFAC) [2b]

Where:

EMISANN = Annual Emissions

EMISASD = Typical Summer Day Emissions

SUMFAC = Summer Season Factor from TAFF (by SCC)

WKDYFAC = Summer Weekday Factor from TAFF (by SCC)

Table B-3: Mobile Source Onroad Data Completion Methods

NIF Table Data

Element

Element Type Data Completion Method

all Record type MS

Activity Throughput

(vmt)

MS

Activity Throughput

Units

Numerator

MS

Emissions CAS # or

NTI

pollutant

code for

HAPs

without

CAS #s

MS

Emissions Emission

type

Nice to Have, DS Assume actual annual emissions if blank

Emissions Numerical

value of

emission

estimate

MS

 Emissions SCC/AMS

code

MS
NIF Table Data

Element

Element Type Data Completion Method

nei_plan.wpd B - 18 2/22/01

Emissions Units of

emission

estimate

(emission

unit

numerator

in NIF)

MS

Transmittal Contact

name

MS

Transmittal Contact

phone

number

MS

Transmittal Contact fax

number

Transmittal Contact

email

address

MS

Transmittal Contact

alternate

phone

number

Transmittal County

FIPS

MS

Transmittal Country

FIPS

DS Assume US

Transmittal Incremental

submission

number

MS

Transmittal Inventory

year

DS Assume 1999 if blank

Transmittal Organizatio

n submitting

data

MS

Transmittal Source type

(major,area,

mobile)

MS

Transmittal State FIPS MS

Transmittal Transaction

comments

none

Transmittal Transaction

date

DS Assume date of receipt if blank
NIF Table Data

Element

Element Type Data Completion Method

nei_plan.wpd B - 19 2/22/01

Transmittal Transaction

type

MS

Transmittal Transmittal

source (S/L,

OTAQ)

DS Assign based on source of data