May 03, 2013 Abt Associates | List of Rulemaking Cost and Economic Impact Files | Page 1 

Date May 3, 2013 

To Record 

From Isabelle Morin and Rob Chew

Subject List of Rulemaking Cost and Economic Impact Files: Steam Electric Effluent 

Guidelines Rulemaking

This memorandum describes analytic files used for the Regulatory Impact Analysis (RIA) of the proposed 

rulemaking of the Steam Electric Power Generating Effluent Guidelines. The analytic files contain data 

classified by Industry as Confidential Business Information. The list in Table 1 describes the content of 

the files to allow review and comment by the public without potentially releasing proprietary information. 

Table 1: List of Cost Files Developed for the Regulatory Impact Analysis (RIA) 

File Name Description/Purpose 

2010Pop.xlsx Contains 2010 "Race and Hispanic or Latino: 2010 - State -- Place and (in selected 

states) County Subdivision" data (Table GCT-PL1). This information is used for entity 

size determination of municipalities and political subdivisions. Used in the RFA 

analysis. 

AEO_2011.xlsx Contains adjustment factors based on Annual Energy Outlook 2009 (AEO2009). 

AEO2010_sup_elec.xlsx Contains data used for the electricity rate impact analysis. 

CCI.xlsx Contains adjustment factors based on Construction Cost Index (CCI). CCI-based 

adjustment factors are used to bring compliance costs to a given year. 

ComplYrs.xlsx Determines the first year when each analyzed plant would install a compliance 

technology based on its NPDES permit expiration year. 

CostControl.xlsx Contains the following: plant-level cost estimates for all cost options, facility sample 

weights, compliance-year sets, and plant-universe sets. This file specifies the specific 

option, sample weights, plant universe, and compliance-year set to be analyzed. 

ECI.xlsx Contains adjustment factors based on Employment Cost Index (ECI). 

EIA860_09.xlsx Data pull from the EIA-860 databases. These data are used for determination of total 

and steam capacity, NERC regions, and ownership type. 

EIA861_09.xlsx Utility-level data pull from the EIA-861 database. These data are used for revenue 

calculations, household impact analysis, and NERC region determination for utilities. 

EIA906_920_09.xlsx Data pull from the EIA-906/920 database. These data are used for determination of total 

and steam generation. 

ElPricesDisp.xlsx Contains calculations of electricity prices and percent of total generated electricity sold 

based on EIA data. These estimates are used to calculate revenue. 

ElRateImp.xlsx Estimates electricity price increases by consumer group due to regulatory requirements. 

EmplImp_MrgnstrnOnly

_$1987.xlsx 

Contains employment impact analysis. 

Facil_CTR.xlsx Contains calculations of facility-level cost-to-revenue ratios for analyzed plants. 

Final_FuelType_Classifi

cation_11_09_11.xlsx 

Contains final fuel classifications and sample weights for Steam Electric plants. 

Firm_CTR_RFA - 

OrigUniv_Ftr_RIA.xlsx 

Contains parent-level CTR and RFA analyses. This analysis is conducted for the future 

universe of plants. 

Memorandum 

Environment and Resources 
May 03, 2013 Abt Associates | List of Rulemaking Cost and Economic Impact Files | Page 2 

File Name Description/Purpose 

Firm_CTR_RFA - 

OrigUniv_RIA.xlsx 

Contains parent-level CTR and RFA analyses. This analysis is conducted for the current 

universe of plants. 

GDP_Deflator.xlsx Contains adjustment factors based on GDP Deflator (downloaded 6/25/2010). 

GDP_Deflator_2010.xls

x 

Contains adjustment factors based on GDP Deflator (downloaded 2/2/2012). 

HHImp.xlsx Estimates an average impact of regulatory requirements on households. 

IndProf.xlsx Charts and tables developed for the electric power industry profile. 

Nameplate_Capacity_6.1

6.11.xlsx 

Contains plant capacity reported in the Steam Electric survey. 

NERCRgns.xlsx Determines NERC regions for various analyses. 

PlantData.xlsx Contains plant-level information is used in the cost and economic impact analysis 

model. 

PlantGen.xlsx Calculates total and steam electricity generation for each in-scope plant using EIA data. 

PlantOwn.xlsx Determines parent entities of Steam Electric plants and the size of these entities. 

PlantRev.xlsx Calculates facility-level revenue. 

PlantTypeCap.xlsx Determines facility type, total and steam capacity for in-scope facilities based on IPM 

and EIA data. 

PrivateCosts.xlsx Calculates private discounted and annualized compliance cost estimates used in various 

economic analyses. Original costs are discounted to either promulgation year (2014), 

facility-specific compliance year, or analysis year (2014), annualized over appropriate 

number of years, and adjusted for taxes. 

SocialCosts.xlsx Contains analysis of social costs. Calculates costs to use in the UMRA analysis. 

TaxRts.xlsx Contains total tax rate (total tax = state tax + federal tax - state tax * federal tax). Used 

for estimation of after-tax compliance costs. 

UMRA_OrigUniv.xlsx Contains UMRA analysis. 

CBI_Bio.xlsx Provides compliance costs for the ORCR/OW Incremental Costs and Pollutant 

Reductions sensitivity analysis. These costs are associated with the treatment of FGD 

wastewater by a chemical precipitation and biological treatment system (FGD_B). 

These costs are associated with Regulatory Option 3. Groups plant-level costs by time 

of incurrence and duration and by industry sector expected to provide 

technology/services to Steam Electric plants. These are exactly same costs as those 

included in the CBI_Bio_Costs_09052012_Exclude 50MW.xlsx file. 

CBI_Bio_Costs_08_06_

12.xlsx 

Provides plant-level compliance costs associated with treatment of FGD wastewater by 

a chemical precipitation and biological treatment system (FGD_B); these costs are for 

all units. Groups plant-level costs by time of incurrence and duration and by industry 

sector expected to provide technology/services to Steam Electric plants. 

CBI_Bio_Costs_08_06_

12_50MW.xlsx 

Provides plant-level compliance costs associated with the treatment of FGD wastewater 

by a chemical precipitation and biological treatment system (FGD_B); these costs are 

for units with capacity exceeding 50 MW only. Groups plant-level costs by time of 

incurrence and duration and by industry sector expected to provide technology/services 

to Steam Electric plants. 

CBI_BottomAsh.xlsx Provides compliance costs for the ORCR/OW Incremental Costs and Pollutant 

Reductions sensitivity analysis. These costs are associated with converting wet bottom 

ash handling systems to a dry bottom ash handling system (Bottom Ash). These costs 

are associated with Regulatory Option 4 for this analysis. Groups plant-level costs by 

time of incurrence and duration and by industry sector expected to provide 

technology/services to Steam Electric plants. These are the same costs as those included 

in the CBI_BottomAsh_Costs_09052012_Exclude 50MW.xlsx file. 

CBI_BottomAsh_Costs_

08_06_12.xlsx 

Provides plant-level compliance costs associated with converting wet bottom ash 

handling systems to a dry bottom ash handling system (Bottom Ash); these costs are for 

all units. Groups plant-level costs by time of incurrence and duration and by industry 

sector expected to provide technology/services to Steam Electric plants. 
May 03, 2013 Abt Associates | List of Rulemaking Cost and Economic Impact Files | Page 3 

File Name Description/Purpose 

CBI_BottomAsh_Costs_

08_06_12_50 MW.xlsx 

Provides plant-level compliance costs associated with converting wet bottom ash 

handling systems to a dry bottom ash handling system (Bottom Ash); these costs are for 

units with capacity exceeding 50 MW only. Groups plant-level costs by time of 

incurrence and duration and by industry sector expected to provide technology/services 

to Steam Electric plants. 

CBI_CP_Costs_08_06_1

2.xlsx 

Provides plant-level compliance costs associated with the treatment of FGD wastewater 

by a chemical precipitation (FGD_C); these costs are for all units. Groups plant-level 

costs by time of incurrence and duration and by industry sector expected to provide 

technology/services to Steam Electric plants. 

CBI_CP_Costs_08_06_1

2_50MW.xlsx 

Provides plant-level compliance costs associated with the treatment of FGD wastewater 

by a chemical precipitation (FGD_C); these costs are for units with capacity exceeding 

50 MW only. Groups plant-level costs by time of incurrence and duration and by 

industry sector expected to provide technology/services to Steam Electric plants. 

CBI_FGD_MVC_&_Le

achate_CP_Costs_08_06

_12.xlsx 

Provides plant-level compliance costs associated with (1) leachate chemical 

precipitation alone (Leach_C) and (2) FGD chemical precipitation with mechanical 

vapor compression (not used); these costs are for all units. Groups plant-level costs by 

time of incurrence and duration and by industry sector expected to provide 

technology/services to Steam Electric plants. 

CBI_FGD_MVC_&_Le

achate_CP_Costs_08_06

_12_50MW.xlsx 

Provides plant-level compliance costs associated with (1) leachate chemical 

precipitation alone (Leach_C) and (2) FGD chemical precipitation with mechanical 

vapor compression (not used); these costs are for units with capacity exceeding 50 MW 

only. Groups plant-level costs by time of incurrence and duration and by industry sector 

expected to provide technology/services to Steam Electric plants. 

CBI_FlyAsh.xlsx Provides compliance costs for the ORCR/OW Incremental Costs and Pollutant 

Reductions sensitivity analysis. These costs are associated with converting wet fly ash 

handling systems to a dry fly ash handling system (Fly Ash). These costs are associated 

with both Regulatory Options 3 and 4 for this analysis. Groups plant-level costs by time 

of incurrence and duration and by industry sector expected to provide 

technology/services to Steam Electric plants. These are the same costs as those included 

in the CBI_FlyAsh_Costs_09052012_Exclude 50MW.xlsx file. 

CBI_FlyAsh_Costs_08_

06_12.xlsx 

Provides plant-level compliance costs associated with converting wet fly ash handling 

systems to a dry fly ash handling system (Fly Ash); these costs are for all units. Groups 

plant-level costs by time of incurrence and duration and by industry sector expected to 

provide technology/services to Steam Electric plants. 

CBI_FlyAsh_Costs_08_

06_12_50MW.xlsx 

Provides plant-level compliance costs associated with converting wet fly ash handling 

systems to a dry fly ash handling system (Fly Ash); these costs are for units with 

capacity exceeding 50 MW only. Groups plant-level costs by time of incurrence and 

duration and by industry sector expected to provide technology/services to Steam 

Electric plants. 

CBI_Future_Profile_Bio

_Costs_08_07_12.xlsx 

To account for upgrades some plants would make to their operations and treatment 

systems over the next few years, notably to comply with new air emission standards, 

EPA conducted a sensitivity analysis (i.e., denoted as the “future profile”) for the 

selected BAT and PSES options that incorporates projected FGD installations in 

addition to FGD systems present in the baseline. This file includes "raw" plant-level 

compliance costs associated with treatment of FGD wastewater by a chemical 

precipitation and biological treatment system (FGD_B) for the future profile sensitivity 

analysis. Groups plant-level costs by time of incurrence and duration and by industry 

sector expected to provide technology/services to Steam Electric plants. 
May 03, 2013 Abt Associates | List of Rulemaking Cost and Economic Impact Files | Page 4 

File Name Description/Purpose 

CBI_Future_Profile_CP

_Costs_08_07_12.xlsx 

To account for upgrades some plants would make to their operations and treatment 

systems over the next few years, notably to comply with new air emission standards, 

EPA conducted a sensitivity analysis (i.e., denoted as the “future profile”) for the 

selected BAT and PSES options that incorporates projected FGD installations in 

addition to FGD systems present in the baseline. This file includes "raw" plant-level 

compliance costs associated with treating FGD wastewater with a chemical precipitation 

(FGD_C) for the future profile sensitivity analysis. Groups plant-level costs by time of 

incurrence and duration and by industry sector expected to provide technology/services 

to Steam Electric plants. 

CBI_Future_Profile_MV

C_Costs_08_07_12.xlsx 

To account for upgrades some plants would make to their operations and treatment 

systems over the next few years, notably to comply with new air emission standards, 

EPA conducted a sensitivity analysis (i.e., denoted as the “future profile”) for the 

selected BAT and PSES options that incorporates projected FGD installations in 

addition to FGD systems present in the baseline. This file includes "raw" plant-level 

compliance costs associated with the treatment of FGD wastewater by a chemical 

precipitation and mechanical vapor compression (FGD_M) for the future profile 

sensitivity analysis. Groups plant-level costs by time of incurrence and duration and by 

industry sector expected to provide technology/services to Steam Electric plants. 

CBI_Leachate&FGD_08

_06_12_NoRET.xlsx 

Provides plant-level compliance costs associated with FGD & Leachate (1) chemical 

precipitation (LeachFGD_C) and (2) chemical precipitation with biological treatment 

(LeachFGD_B): without retired landfills; these costs are for all units. Groups plant-level 

costs by time of incurrence and duration and by industry sector expected to provide 

technology/services to Steam Electric plants. 

CBI_Leachate&FGD_08

_06_12_NoRET_50MW

.xlsx 

Provides plant-level compliance costs associated with FGD & Leachate (1) chemical 

precipitation (LeachFGD_C) and (2) chemical precipitation with biological treatment 

(LeachFGD_B): without retired landfills; these costs are for units with capacity 

exceeding 50 MW only. Groups plant-level costs by time of incurrence and duration and 

by industry sector expected to provide technology/services to Steam Electric plants. 

CBI_LeachateCP_&_FGDBio_Alternate Cost 

Output_08_06_12.xlsx 

Provides plant-level compliance costs associated with leachate & FGD chemical 

precipitation with biological treatment: without retired landfills (FGD_LeachB_C); 

these costs are for all units. Groups plant-level costs by time of incurrence and duration 

and by industry sector expected to provide technology/services to Steam Electric plants. 

CBI_LeachateCP_&_FGDBio_Alternate Cost 

Output_08_06_12_50.xl

sx 

Provides plant-level compliance costs associated with leachate & FGD chemical 

precipitation with biological treatment: without retired landfills (FGD_LeachB_C); 

these costs are for units with capacity exceeding 50 MW only. Groups plant-level costs 

by time of incurrence and duration and by industry sector expected to provide 

technology/services to Steam Electric plants. 

CBI_LeachateCP_FGD-Bio.xlsx Provides compliance costs for the ORCR/OW Incremental Costs and Pollutant 

Reductions sensitivity analysis. These costs are associated with treating FGD 

wastewater with a chemical precipitation and biological treatment system and leachate 

using a chemical precipitation system (FGD_LeachB_C). For some plants, ERG 

assumed that the FGD wastewater and leachate would be combined into a single system 

for treatment. These costs are associated with Regulatory Option 4 for this analysis. 

Groups plant-level costs by time of incurrence and duration and by industry sector 

expected to provide technology/services to Steam Electric plants. These are the costs 

included in the CBI_Leachate-CP_FGD-Bio_Alternate Cost 

Output_09052012_Excl.xlsx file. 

CBI_MVC_Costs_08_0

6_12.xlsx 

Provides plant-level compliance costs associated with the treatment of FGD wastewater 

by a chemical precipitation and mechanical vapor compression (FGD_M); these costs 

are for all units. Groups plant-level costs by time of incurrence and duration and by 

industry sector expected to provide technology/services to Steam Electric plants. 

CBI_MVC_Costs_08_0

6_12_50MW.xlsx 

Provides plant-level compliance costs associated with the treatment of FGD wastewater 

by a chemical precipitation and mechanical vapor compression (FGD_M); these costs 

are for units with capacity exceeding 50 MW only. Groups plant-level costs by time of 

incurrence and duration and by industry sector expected to provide technology/services 

to Steam Electric plants. 
May 03, 2013 Abt Associates | List of Rulemaking Cost and Economic Impact Files | Page 5 

File Name Description/Purpose 

Costs_08.14.12.xlsx Contains "raw" plant-level costs for each waste stream/technology for all units. 

Costs_08.14.12_50MW.

xlsx 

Contains "raw" plant-level costs for each waste stream/technology for units with 

capacity exceeding 50 MW. 

410_Abt_SER_1 NERC 

Region Level Prices_04-

09-12 ToAbt.xls 

Contains NERC-level electricity prices for Option 3 based on IPM projections for the 

2015, 2020, and 2030 run years. These runs use IPMv4.10_MATS platform. 

CBI_IPM_Units_Incurri

ng_Costs_02.06.12_v1.x

lsx 

Contains information on what generating units at Steam Electric plants get costs 

associated with a specific waste stream. This information is used for IPM analysis of 

Option 3. 

CBI_IPM_Units_Incurri

ng_Costs_08.21.12_v1.x

lsx 

Contains information on what generating units at Steam Electric plants get costs 

associated with a specific waste stream. This information is used for IPM analysis of 

Option 4. 

CBI_Second Round 

NSPS 

Costs_02_13_12.xlsx 

Contains new-unit compliance costs. It also calculates unit cost per MW and MWh to be 

used in the IPM analysis of Option 3. 

CBI_Third Round NSPS 

Costs_08062012_CalcFi

le.xlsx 

Contains new-unit compliance costs for the NSPS options and comparison of these costs 

to construction costs for new generation capacity. It also calculates unit cost per MW 

and MWh to be used in the IPM analysis of Option 4. 

InScopeFacilityImpact_2

030_v3.xlsx 

Contains Market Model Analysis of individual in-scope plants and in-scope plants as a 

group for the 2030 IPM run year (steady-state analysis). 

IPM_03.05.12.xlsx Contains "raw" Option 3 cost estimates for IPM analysis for each of the relevant waste 

streams. 

IPM_08.17.12.xlsx Contains "raw" Option 4 cost estimates for IPM analysis for each of the relevant waste 

streams. 

IPM_Costs_OptionF_Cu

rrent_3YrDelay_03.09.1

2.xlsx 

Contains IPM cost inputs for Option 3. 

IPM_Costs_OptionICmb

_Current_3YrDelay_08.

23.2012_v1.xlsx 

Contains IPM cost inputs for Option 4. 

IPMCosts_OptionF_Det

ails_v2.xlsx 

Contains generator-level cost estimates used for IPM analysis of Option 3. This file 

compares these costs to those used for the non-IPM analysis of Option 3. 

IPMCosts_OptionF_v2.x

lsx 

Contains generator-level cost estimates for IPM Option 3. These are IPM inputs. 

IPMCosts_OptionICmb_

Details_v2.xlsx 

Contains generator-level cost estimates used for IPM analysis of Option 4. This file 

compares these costs to those used for the non-IPM analysis of Option 4. 

IPMCosts_OptionICmb_

v2.xlsx 

Contains generator-level cost estimates for IPM Option 4. These are IPM inputs. 

MarketImpact_v3.xlsx Contains Market Model Analysis of the electric power market based on the pre-policy 

and policy (Options 3 and 4) IPM runs for 2030. 

MstrParsedFile_EPA410

FINAL_BC_244_2015_(

To Abt)_02-08-12.xls 

Contains parsed (generator/boiler-level) base case (pre-policy) IPM projections for the 

2015 run year. This run uses IPMv4.10_MATS platform. Indicates what units belong to 

in-scope plants. 

NEEDSv410_MATS_ad

j.xlsx 

Contains NEEDS database underlying IPMv4.10_MATS. Indicates what units belong to 

in-scope plants. 

ParsedFile_410_ABT_B

C_2015_2020_2030_(To 

Abt)_02-08-2012.xlsx 

Contains parsed (generator/boiler-level) base case (pre-policy) IPM projections for the 

2015, 2020, and 2030 run years. These runs use the IPMv4.10_MATS platform. 

Indicates what units belong to in-scope plants. 

ParsedFile_410_ABT_S

ER_1_2015_(To 

Abt)_04-09-2012.xlsx 

Contains parsed (generator/boiler-level) policy (Option 3) IPM projections for the 2015, 

2020, and 2030 run years. These runs use IPMv4.10_MATS platform. Indicates what 

units belong to in-scope plants. 

ParsedFile_410_ABT_S

ER_2_(To Abt)_10-01-

2012.xlsx 

Contains parsed (generator/boiler-level) policy (Option 4) IPM projections for the 2015, 

2020, and 2030 run years. These runs use IPMv4.10_MATS platform. Indicates what 

units belong to in-scope plants. 
May 03, 2013 Abt Associates | List of Rulemaking Cost and Economic Impact Files | Page 6 

File Name Description/Purpose 

ParsedFile_EPA410FIN

AL_BC_244_2020_(To 

Abt)_02-08-12.xls 

Contains parsed (generator/boiler-level) base case (pre-policy) IPM projections for the 

2020 run year. This run uses IPMv4.10_MATS platform. Indicates what units belong to 

in-scope plants. 

ParsedFile_EPA410FIN

AL_BC_244_2030_(To 

Abt)_02-08-12.xlsx 

Contains parsed (generator/boiler-level) base case (pre-policy) IPM projections for the 

2030 run year. This run uses IPMv4.10_MATS platform. Indicates what units belong to 

in-scope plants. 

Plant-Level Bottom Ash 

Adjustment 

Factors_04102013.xlsx 

Contains plant-level adjustment factors to be applied to each plant's bottom ash costs to 

calculate the individual cost components for each plant for using in the cost and 

economic impact model. These factors represent the percent of plant's costs for units 

greater than 400 MW and 500 MW. 

Run 244 NERC Region 

Level Prices_02-11-11 

ToAbt.xls 

Contains NERC-level electricity prices for the base case (i.e., pre-policy) scenario based 

on IPM projections for the 2015, 2020, and 2030 run years. These runs use 

IPMv4.10_MATS platform. 

v410_Abt_SER_2 

NERC Region Level 

Prices_10-02-12 

ToAbt.xls 

Contains NERC-level electricity prices for Option 4 based on IPM projections for the 

2015, 2020, and 2030 run years. These runs use IPMv4.10_MATS platform. 

CBI_WA4-

17_T7_UnitswImpactsD

etails_02102012.xlsx 

Contains information on the majority owners of each surveyed facility. 

EJ_Analysis_8-27-

12.xlsx 

Contains the Environmental Justice analysis.