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Pulp and Paper Sector Survey

Instructions for Part II: NEI Update

11/16/10

This document provides instructions for completing Part II of the pulp and paper sector survey. This document is 

organized as follows:

A. Part II Introduction ..........................................................................................................................................2

B. How to Submit Your NEI Update ...................................................................................................................3

C. How to Complete the NEI Update...................................................................................................................4

C1. Updating pre-populated NEI data ...................................................................................................11

C2. Completing the NEI update if not pre-populated by EPA...............................................................14

PART II - ATTACHMENT 1 Emission Units to Include in the NEI Update

PART II - ATTACHMENT 2 Resources for Estimating Emissions

PART II - ATTACHMENT 3 Instructions for Accessing the Pulp and Paper NEI Update FTP Site
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A. Part II Introduction

Part II of the pulp and paper sector information request applies for pulp and/or paper/paperboard mills that are a 

“major source” or “synthetic area source” of hazardous air pollutant (HAP) emissions that:

(a) Perform chemical wood pulping (kraft, sulfite, soda, or semi-chemical), or

(b) Perform mechanical, groundwood (e.g., thermomechanical pulping (TMP), refiner mechanical pulping 

(RMP)), secondary fiber, and non-wood pulping, or

(c) Perform bleaching, or

(d) Manufacture paper or paperboard products.

As defined in 40 CFR Part 63, subpart A,

“Major source” means any stationary source or group of stationary sources located within a contiguous 

area and under common control that emits or has the potential to emit considering controls, in the 

aggregate, 10 tons per year or more of any hazardous air pollutant or 25 tons per year or more of any 

combination of hazardous air pollutants, unless the Administrator establishes a lesser quantity, or in the 

case of radionuclides, different criteria from those specified in this sentence.

A “synthetic area source” is a stationary source which is subject to federally-enforceable conditions that limit its 

potential to emit to below major source thresholds.

Certain mills are not required to complete the pulp and paper sector survey. If your mill meets one of the following 

conditions, then you should complete the form in Attachment 1 of the Survey Overview document and email (or fax) 

it to Bill Schrock at the U.S. Environmental Protection Agency (EPA) (contact information is provided on the form). 

Conditions for exemption from all parts of the pulp and paper sector survey are as follows: 

 Your mill is not a “major source” or “synthetic area source” of HAP emissions, or

 Your mill was not operational in 2009 (and remains closed), or 

 Your mill does not produce pulp, perform bleaching, or serve as a primary manufacturer of paper or 

paperboard products.

You are required to complete Part II of the pulp and paper sector survey unless you meet one of the three criteria 

listed above for exemption from the survey.

Please complete the survey for the facility listed in the Section 114 letter you received in the mail. If you received

more than one Section 114 letter for multiple facilities, you must create a separate survey response for each facility.

If you have not already received or downloaded a copy of the survey spreadsheets, they can be downloaded here: 

https://icr2010.rti.org/Industries/PulpPaper.aspx

Use the 2009 calendar year as the base year for your National Emissions Inventory (NEI) update, except as 

described in section C1 for those mills that already recently provided NEI updates to EPA.

Part II of this survey asks questions about the emission units listed in Attachment 1 to this document. All of the 

emission units included in both Parts I and III of the pulp and paper sector survey are listed in Attachment 1 for 

inclusion in your Part II NEI update. Section C of this document, How to Complete the NEI Update, explains how

to treat various configurations of emission units. Attachment 2 to this document identifies resources that might be 

useful for estimating emissions for your NEI update. For convenience, a spreadsheet file entitled Lookups for P&P 

survey.xls accompanies Part II of the survey. This spreadsheet file consolidates and provides the various codes 

associated with the NEI data set you are requested to update. 

 

Use the following attachments to the Survey Overview document for reference:

Attachment 2: Regulatory definitions from the kraft pulp mill new source performance standards (NSPS) 

(40 CFR Part 60, subpart BB), chemical recovery combustion source national emissions 

standards for hazardous air pollutants (NESHAP) (40 CFR Part 63, subpart MM), the pulp 

and paper processing NESHAP (40 CFR Part 63, subpart S), and selected definitions from 

the NSPS and NESHAP General Provisions. 

Attachment 3: Acronyms and abbreviations used throughout the survey and associated spreadsheets. 
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B. How to Submit Your NEI Update 

Submit your NEI update on or before the date specified in the section 114 letter accompanying these instructions. 

After you have completed and reviewed your NEI update, sign and date the certification form in Attachment 4 of the 

Survey Overview document. Save your NEI update file as “P&P NEI update_______.xls” or “P&P NEI 

blank________.xls” where the blank is your NEI Site ID number (so your file will be submitted to EPA with a 

unique filename that identifies your facility). Then, transmit your certification form and NEI update file to EPA 

using one of the following methods:

(1) Email it to: ppsurvey@rti.org

(2) Post it to the pulp and paper survey FTP site (ftp.rti.org). Abbreviated instructions for accessing the FTP are as 

follows. More detailed instructions with screen shots are included in Attachment 3 of this document.

a. In Internet Explorer go to: ftp.rti.org

b. Click “Page” and then “Open FTP Site in Windows Explorer”

c. Once it is open in Windows Explorer, Click on “File” and then “Login As...”

d. Enter: username: pulppaper

password: part2NEI

e. Once you're logged in, you will be automatically redirected to the Pulp_Paper_NEI_Update folder where 

you will save your file under the unique file name you specify (as described above).

(3) Save it on a CD or DVD and mail it to: 

U.S. Environmental Protection Agency

Office of Air Quality Planning and Standards 

U.S. EPA Mailroom (E143-03)

Attn: Mr. Bill Schrock

109 TW Alexander Drive

Research Triangle Park, NC 27711

If you mail your certification form and NEI update, EPA recommends using Registered U.S. Mail with return 

receipt requested, Federal Express, or other method for which someone must provide a signature upon receipt.
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C. How to Complete the NEI Update

The U.S. EPA is working to fulfill its obligation under Clean Air Act (CAA) sections 112(f)(2) and 112(d)(6) to 

review residual risk and perform a technology review of the pulp and paper industry NESHAP subparts S and MM. 

Data sets derived from the EPA’s 2005 National Scale Air Toxics Assessment (NATA) National Emissions 

Inventory (NEI) will be used for EPA’s residual risk and technology review (RTR). The RTR data sets have been 

developed for mills in the 2005 NATA NEI identified as having emission units with the following NEI maximum 

achievable control technology (MACT) codes:

1626-1 Pulp & Paper Production - Pulping and Bleaching Systems at Kraft, Soda, Sulfite, and 

Semichemical Pulping Mills (Subpart S) and Papermaking Systems at all mills.

1626-2 Pulp & Paper Production - Chemical Recovery Combustion Sources at Kraft, Soda, Sulfite, 

and Stand-alone Semichemical Pulping Mills (Subpart MM)

1626-3 Pulp and Paper Production - NonMACT Facilities

The 2005 NATA NEI data sets were compiled based on prior versions of the NEI, updated with data collected by 

EPA’s Office of Air Quality Planning and Standards.

1

 Many pulp and paper mills have voluntarily updated their 

NEI data sets for RTR purposes, and few additional refinements are needed for those mills. However, there remain 

a number of pulp and paper mills for which substantial updates to their NEI data sets are requested in order for EPA 

to more accurately conduct RTR for the pulp and paper NESHAP standards. In addition, there may be some mills 

for which no prior pulp and paper MACT category NEI data are available.

If 2005 NATA NEI data exist for your mill, then the two spreadsheet tabs in P&P NEI update.xls (Facility tab and 

Inventory tab) have been pre-populated with your mill’s NEI data set. You will need to review and revise the NEI 

data in these two tabs as necessary following the instructions provided below in section C1 for “Updating prepopulated NEI data.”

If NEI data do not already exist for your major or synthetic area source mill, then you will need to provide a full NEI 

update using the P&P NEI blank.xls spreadsheet file (New Facility and New Inventory tabs). See the instructions in 

section C2 below for “Completing the NEI update if not pre-populated by EPA.”

General instructions that apply to your NEI update regardless of whether you are asked to revise pre-populated NEI 

data (in P&P NEI update.xls), or supply new NEI data (in P&P NEI blank.xls) are provided in the paragraphs below. 

Additional specific instructions are provided in sections C1 and C2 (where needed). “Instruction” rows are provided 

in the NEI update spreadsheets.

Emission units and MACT codes to include in your NEI update. Part II of this survey asks questions about the 

emission units listed in Attachment 1 to this document. Attachment 1 lists all of the emission units included in both 

Parts I and III of the pulp and paper sector survey that should also be included in your Part II NEI update. Updates 

to the list of emission units, descriptions, and SCC codes in your NEI update would improve the accuracy and 

completeness of the NEI data for use in EPA’s HAP residual risk efforts. Updated information will allow EPA to 

focus residual risk regulatory analyses on the specific types of emission units with questionable risk.

Regardless of whether you are updating a pre-populated data set or providing new inventory information, you must 

review and supply, at a minimum, HAP emissions inventory data for emission units falling within the three pulp and 

paper MACT source categories (MACT codes 1626-1, 1626-2, and 1626-3). Note that in some cases, certain 

emission units may fall within a MACT source category but not have any applicable MACT requirements. The pulp 

and paper MACT codes applicable to the emission units in Attachment 1 of this document have been identified to 

assist you with determining the appropriate MACT code to use in your NEI update (see Attachment 1). Additional 

 

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MACT codes for equipment outside of the pulp and paper MACT source categories are included in the spreadsheet 

entitled Lookups for P&P survey.xls (MACT Codes tab).

Pollutants to include in your NEI update. The NEI currently includes both HAP and criteria air pollutant (CAP)

emissions data. Criteria air pollutants include particulate matter (PM), sulfur dioxide (SO2), nitrogen oxides (NOx), 

carbon monoxide (CO), and volatile organic compounds (VOC). Total reduced sulfur (TRS) emissions generally 

have not been included in the NEI to date. 

The NEI data solicited through this pulp and paper survey will be used by EPA for NESHAP RTR purposes. 

Therefore, at a minimum, you must review and supply HAP emissions data in your NEI update. 

Although we are focused on HAP for RTR purposes, EPA would also like to receive any voluntary updates to CAP 

data and any new TRS emissions data that you wish to provide. Updated CAP and TRS data would be used in 

determining the magnitude of emissions for purposes of reviewing the subpart BB NSPS for kraft pulp mills. 

Updates to the CAP data and inclusion of TRS data in your NEI update are optional. However, should you 

substantially revise the configuration of emission units in your pre-populated NEI for purposes of updating HAP 

emissions, you are strongly encouraged to update the corresponding CAP emissions as well. 

Base year for your NEI update. Use the 2009 calendar year as the base year for your NEI update, except as 

described in section C1 for those mills that have already recently provided NEI updates to EPA for RTR purposes.

Emission Unit ID. Emission units must be identified with an Emission Unit ID in your NEI update. To the extent 

possible, this same Emission Unit ID should also be used throughout all parts of this pulp and paper survey (Part I, 

Part II, and Part III).

A Note About Identification Numbers (IDs)

The different parts of the pulp and paper survey include the following IDs: 

 NEI Site ID

 Emission Unit ID

 Collection system ID 

 APCD_ID

It is imperative that you use the same IDs to describe the same facility, equipment/emission unit, and 

emission release point throughout all parts of this survey. These ID codes will be used to link the 

various pulp and paper data base tables together into a functional and informative data base to be 

used for regulatory analyses. You may choose your own IDs (e.g., based on Emission Unit IDs 

already included in the NEI, IDs from existing process flow diagrams, IDs in your air permit, etc.), 

but the IDs you choose must be consistent throughout your survey response. If you wish to avoid 

follow-up calls regarding your survey data, please make every effort to ensure that your IDs match 

throughout the spreadsheet(s) and in each part of your survey response. For example, any Emission 

Unit ID or APCD_ID you create/specify in Part I should also be used when referring to the same 

piece of equipment in Parts II and III for this survey response.

Also, please be sure that no extra spaces or characters are included in the ID cells. For example, 

Emission Unit ID “DIG1” is not read the same as “DIG-1” or “DIG-1_” by data base software.
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Emission Release Point ID. There may be one or more emission release points for a given Emission Unit ID. 

Methods for including various configurations of emission units and release points are discussed in the paragraphs 

below. For each Emission Unit ID and Emission Release Point ID, you will specify emission rates for each 

pollutant, emission release parameters (e.g., stack gas parameters or fugitive release parameters), and 

longitude/latitude coordinates. 

Multiple emission units ducted to a single release point. It is very common for multiple emission units (or 

for multiple emission points from a single emission unit) to be ducted to a common conveyance for 

purposes of emissions capture and control. The NEI provides parameters associated with releases to the 

atmosphere (e.g., tpy emitted, stack parameters) so it is acceptable to include each common emission 

release point in the NEI (rather than listing each emission unit ducted to the common release point 

separately). For example, an LVHC collection system may collect emissions from multiple emission points 

associated with digesters 1, 2, and 3 and an evaporator. You could either list digesters 1, 2, and 3 and the 

evaporator separately in the NEI (and provide data for each associated emission point), or you could 

simply list the LVHC collection system emission point in the NEI.

A similar approach can be taken for reporting emissions from two distinct emission units that are vented 

through a common stack for purposes other than capture and control. In this scenario, you could apportion 

the emissions to each process and insert a separate row or rows for each distinct process. Identify and enter 

the SCC code associated with each emission unit and note the appropriate stack parameters on each row. 

Note the common stack in the "Emission Unit Description2” column. For example, indicate the following 

where 2 recovery furnaces share a common release point: Row 1 – emission unit ID 001 (EU001) No. 1 

Recovery Furnace vents to emission release point ID 01 (ERP01) and indicate in the “Emission Unit 

Description” column “No. 1 Recovery Furnace shares common stack with No. 2 Recovery Furnace.” On 

Row 2 – emission unit ID 002 (EU002) No. 2 Recovery Furnace vents to emission release point ID 01 

(ERP01) and indicate in the “Emission Unit Description” column “No. 2 Recovery Furnace shares 

common stack with No. 1 Recovery Furnace.”

Single emission unit with multiple emission release points. Pulp and paper emission units may have 

multiple emission points (e.g., paper machines, digester blow gases and relief gases, boilers with two 

stacks) that for various reasons may not be consolidated into a single emission point before release to the 

atmosphere. In these situations, the emission unit should be repeated in the NEI and emissions data and 

stack parameters provided for every emission point. You may use the “Emission Unit Description2” 

column to distinguish among emission points for each emission unit. 

Paper machine example: For paper machines, it is recommended (at a minimum) that different 

emission points be specified for the wet and dry ends of the machine where discernable emission 

points exist. However, it may be necessary to depict paper machine emissions as fugitive 

emissions as described below. An accurate representation of paper machine vent configurations 

will lead to more representative risk modeling results. For example, depicting paper machine 

emissions as exiting from one vent will provide different (higher) risk modeling results than would 

adding additional vent details that show more accurately how paper machine emissions are 

dispersed. 

Emission units vented into the building. Do not include emissions units that vent into the building in your 

NEI update unless these emission units are permitted units in your Title V permit. For example, if your 

paper machine vents into the building housing the machine and the emission limits contained in your 

permit are applicable to the building vents, then you would include the paper machine building vents in 

your inventory.

Bypass stacks used only during certain times. If your facility operates an emission unit with a bypass stack 

that allows for emissions to bypass the control system, then you can indicate the emissions associated with 

 

2

For pre-populated NEI inventories, you would use the "REVISED Emission Unit Description” column for updates.
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use of the bypass stacks by entering the appropriate data in a new row (see previous instructions for 

“adding a row”). If you enter data for bypass stacks, please indicate these emissions as “bypass” emissions 

in the “Emission Unit Description2” column. Please also indicate in the “Emission Unit Description2” 

column the release point associated with “normal” operations.

Emission Release Point Type. In the NEI, each emission release point is characterized by an emissions release 

point type code that you will either assign or revise. Emission release point type code 1 applies for fugitive emission 

sources, while other emission release point type codes (2 through 6) apply for point source (e.g., stack) releases. 

The following emission release parameters apply for fugitive and point source emission releases:

Emission Release Point Type3 Applicable NEI emission release parameter columns

Fugitive Multiple emission rate columns

(code = 1) Stack height (ft)

Fugitive Length (E-W) (ft)

Fugitive Width (N-S) (ft)

Fugitive Angle (degrees)

Latitude and Longitude columns

Point Multiple emission rate columns

(code = 2, 3, 4, 5, 6, or 99) Stack height (ft)

Exit Gas Temperature (f)

Stack Diameter (ft)

Exit Gas Velocity (ft/sec)

Exit Gas Flow rate (cuft/sec)

Latitude and Longitude columns

Note that the emission rate columns, stack height, and latitude and longitude columns are the same for fugitive and 

point sources. These parameters are discussed further in the paragraphs below.

 

3 The Emission Release Point Type codes are: 1 – Fugitive; 2 – Vertical; 3 – Horizontal; 4 - Goose Neck; 5 -

Vertical with Rain Cap; 6 - Downward-facing Vent; 99 - Unknown

A Note About Emission Release Parameters

Please pay particular attention when entering emission release point stack parameters and locations 

(latitude/longitude). These data are critical inputs to the modeling files that EPA will use to determine 

the risk profile for the residual risk review process.
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Emission rates (TPY and lb/hr). The “Routine Emissions (TPY)” column should reflect ACTUAL routine 

emissions measured or estimated for the reported calendar year. Routine emissions reflect emissions exiting the air 

pollution control system (for emission units with air pollution controls). The “Routine Emissions Max hourly rate 

(lbs per hour)” column should reflect the ACTUAL maximum hourly (lb/hr) emission rate measured or estimated 

for the reported calendar year. In addition to the routine emissions, columns are included for startup and shutdown 

emissions (tpy and max hourly rate in lb/hr), if available. 

Both the TPY and lb/hr data columns are requested because EPA is modeling both short- and long-term risks. 

Long-term risks would be based on the annual routine emissions (tpy). The routine emissions (tpy) can be used in 

determining an average hourly emission rate for the year (e.g., tpy divided by operating hours) for purposes of risk 

modeling. Short-term risks would be based on the maximum hourly emission rate(s) (e.g., lb/hr data).

For routine emissions, the average hourly emission rate (e.g., tpy divided by operating hours) can differ from the 

maximum hourly emission rate due to fluctuations in production rates or other changes in other routine operating 

conditions. In the absence of site- or process-specific information, it has been EPA’s practice to conservatively 

assume that maximum hourly emissions are 10 times the routine hourly emissions for purposes of risk modeling. 

EPA would prefer to have site-specific emissions measurements or estimates (where available) than to apply this

default factor-of-10 approach. If these data are unavailable and are not provided in the “Routine Emissions Max 

hourly rate (lbs per hour)” column, then EPA will apply a default approach (e.g., the factor-of-10 or similar 

approach derived for pulp and paper processes). 

Startup and shutdown are conditions of operation that can occur throughout the year (with the number of startups 

and shutdowns depending on the type of process and equipment involved). We understand that emissions may 

differ (e.g., be higher or lower than routine emissions) during periods of startup/shutdown, and that mills are 

unlikely to have measured emissions during startup/shutdown. Responses to the startup/shutdown emission rate 

questions are OPTIONAL but are requested from mills that may have previously measured (e.g., with CEMS) or 

estimated such emissions. 

Stack height and fugitive release height. Although labeled “Stack height (ft),” this column applies more 

generically as the release height for either stack or fugitive emission sources. Therefore, you should specify “stack”

heights for emission sources that vent though stacks, or the fugitive release height for fugitive emission sources. 

Generally, the higher the stack or fugitive release height, the greater the dispersion of air emissions, which in turn 

leads to reduced risk to the surrounding population. The EPA will specify conservative default release height

parameters if you do not supply this information. 

Latitude/longitude coordinates. In your NEI update, you are asked to provide (or revise) the latitude/longitude for 

each emission release point. The latitude/longitude coordinates should correspond with the actual location of each 

emission point (e.g., the location of each stack–not the general street address of the mill). For point sources, 

latitude/longitude is specified at the center of the emission source. For fugitive sources, latitude/longitude is 

specified at the southwest corner of the emission source if the fugitive angle is zero or the western most corner if the 

fugitive angle is greater than zero. EPA requires latitude/longitude for each emission point provided in North 

American Datum (NAD) 83 with 6 digits to the right of the decimal point. 4 

 

4Latitude is a measure in decimal degrees of the angular distance on a meridian north or south of the equator. 

Latitude is a positive (+) data point for North America (Example: +78.123456). Longitude is a measure in decimal 

degrees of the angular distance on a meridian east or west of the prime meridian. Longitude is a negative (-) data 

point for North America (Example: -123.234561). For point sources this represents the center of the source; for 

fugitive sources, this is the southwest corner if the fugitive angle is zero, or the western most corner if the fugitive 

angle is greater than zero. 
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Fugitive emission release parameters. Quantified sources of fugitive emissions are to be included in your NEI 

update (e.g., fugitive emissions from wastewater handling/treatment units that have been modeled for permitting 

purposes). Fugitive emission release parameters are to be provided in the “Emission Release Point Type” column 

and other columns related to the fugitive length, width, and angle of the fugitive emissions. Examples of the 

fugitive length, width, and angle are below:

The latitude and longitude for fugitive emission units are depicted in the figures above. When the fugitive angle is 

zero, the latitude/ longitude coordinates are specified at the southwest corner of the fugitive emission unit. If the 

fugitive angle is greater than zero, then the coordinates are specified at the western most corner of the emission unit.

Exit gas temperature, velocity, and flow rate. For point sources (e.g., stacks or vents), you are asked to provide 

typical or representative values for the exit gas temperature, exit gas velocity, and exit gas flow rate based on 

information you have in hand. For example, if you have a one-time measurement of these parameters (e.g., from a 

stack test), then you could use that measurement. If you have continuous monitoring data, then you may choose to 

use the annual average for the parameter. If you have periodic monitoring data (e.g., quarterly data), then you could 

average the quarterly data for the year. The exit gas temperature, velocity, and flow rate influence dispersion of air 

emissions and the risk modeling results (e.g., higher temperatures and velocity/flow rates lead to greater dispersion, 

which in turn leads to reduced risk to the surrounding population). If you do not supply this information, then EPA 

will specify conservative default parameters. 

Emission Unit Description. Every emission unit listed in your NEI inventory should have an informative 

“Emission Unit Description” that adequately describes the equipment or type of emission unit. You may find it 

helpful if the Emission Unit Description column relates your emission unit/process to your permit or process flow

diagram. Your “Emission Unit Description” will be used as a check for SCC code assignment.

SCC and other NEI codes (Lookups for P&P survey.xls). For convenience, the spreadsheet entitled Lookups for 

P&P survey.xls consolidates and provides the various codes associated with the NEI data set you are requested to 

update. These codes were extracted from the NEI data base lookup tables at

http://www.epa.gov/ttn/chief/net/2005inventory.html. 

This Lookups for P&P survey.xls spreadsheet contains source classification codes (SCCs). The SCCs in the NEI 

will be used by EPA to group similar emission units and draw conclusions regarding the emission levels and 

residual risk associated with each type of emission unit. Proper assignment of SCCs will allow EPA to pinpoint 

emission unit types that need to be examined in more detail for residual risk rulemaking. The SCC codes for pulp 

and paper manufacturing were updated in late 2009 to include more descriptive codes and to provide some guidance 

on which codes should be used for certain equipment types. The process of revising the SCC list in 2009 involved 

both the addition and the removal of pulp and paper-related SCCs.

For example, the SCC list previously included the SCC: 30700118 Sulfate (Kraft) Pulping / Liquor 

Clarifiers. This SCC is now obsolete and has been replaced with the more specific SCCs: 30700132 

Latitude/longitude

specified at SW corner 

(when fugitive angle = 0)

L=10 ft

Angle = 0 W=4 ft

Latitude/longitude

specified at western most 

corner (when fugitive 

angle > 0)

L=10 ft

W=4 ft

Angle = 45 degrees
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Sulfate (Kraft) Pulping / Green Liquor Processing and 30700133 Sulfate (Kraft) Pulping / White Liquor 

Processing. Please use the most appropriate SCC from the provided lookup table. 

A crosswalk of the available SCC codes with the types of equipment listed in Attachment 1 is included in the P&P 

Att1 with SCC tab of Lookups for P&P survey.xls. The full list of SCC codes used for EPA’s Emissions Inventory 

System (EIS)/NEI is included in the All 11575 SCC tab of Lookups for P&P survey.xls (and is also available in data 

base form at http://www.epa.gov/ttn/chief/net/2005inventory.html).

Revised SCCs are available for common collection systems (e.g., LVHC, HVLC) and for various systems that are 

commonly comprised of multiple emission points (e.g., 30700114 for bleach plants includes emissions from the 

bleaching towers, washer hoods, filtrate tanks, and vacuum pump exhausts). 

Use the SCC that best describes your process and avoid using generic not-elsewhere-classified (NEC) SCCs 

whenever possible. Please make every attempt to use SCCs specific to the pulp and paper sector (e.g., use SCC 

30700106 for pulp and paper lime kilns as opposed to SCC 30501619 for the lime manufacturing sector). If you do 

not find an SCC that matches your emission unit, then be sure to include an accurate “Emission Unit Description”.

Please do not use generic NEC SCCs unless you absolutely cannot find a specific SCC that resembles your emission 

unit. A detailed “Emission Unit Description” is required if you choose a NEC SCC.

Updates (i.e., both additions and deletions) may have been made to some of the other NEI code lookup tables (other 

than SCCs). Codes that are being phased out are shaded green in some of the lookup tables (along with a note in the 

lookup table explaining how to treat the green-shaded codes in your inventory update). If a code that you have used 

in the past no longer appears in the appropriate lookup table, please select the most appropriate code from those 

listed. You may clarify your entry by adding text in the “Comment – Process” column. 

Emission Process Group column. The P&P Att1 with SCC tab of the Lookups for P&P survey.xls spreadsheet file 

contains an “Emission Process Group” column that is associated with each SCC. You are asked to identify the 

“Emission Process Group” listed in the P&P Att1 with SCC tab for any new emission units you add to your NEI. 

These emissions process groupings will be used in modeling risk and identifying general areas of the mill for focus 

of the residual risk rulemaking effort. For existing NEI entries, if the “Emission Unit Description” or “REVISED 

Emission Unit Description” adequately describes your emission unit, it is not necessary to include additional or 

revised text in the “Emission Process Group” column.

Control measures. For EPA to better understand current control measures that are in operation, we are requesting 

that you indicate the type of control measure associated with each emission unit. A list of control measure codes and 

control measure descriptions is provided in Lookups for P&P survey.xls. If you do not provide control measure 

information in your update, the emission unit will be considered uncontrolled. 

Backup controls. Some facilities may have backup control system configurations that provide flexible operating 

scenarios. For example, LVHC system gases may normally be collected and burned in a lime kiln, but if the lime 

kiln that controls these emissions is shut down, the facility has the flexibility to send these same collected LVHC 

gases to a power boiler. For this type of scenario, a facility would indicate in the “Control Measure” fields that the 

lime kiln is the primary control device, but would also note in the “Control Measure Comment” field that the power 

boiler serves as a backup control. 
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C1. Updating pre-populated NEI data 

You will need to review and revise the NEI data contained in the “Facility” and “Inventory” tabs of the P&P NEI 

update.xls spreadsheet file as necessary. The instructions for updating the pre-populated NEI data in the Facility

and Inventory tabs are provided below and in “Instruction” rows in the spreadsheet.

NEI data are generally requested for the 2009 calendar year. However, EPA is sensitive to the time and effort 

required to update your NEI inventory. Thus, if you have previously reviewed and revised your NEI data within the 

past 3 years and/or you believe the 2005 NATA NEI data in the pre-populated data set provided by EPA is a 

reasonably complete and accurate representation of your mill configuration and emissions, then you do not need to 

update your NEI data for the sole purpose of changing the emission estimates to reflect the 2009 calendar year. 

However, if you must substantially revise or add to your pre-populated NEI data set to make it complete and 

reflective of the current mill configuration, then it is requested that you use the 2009 calendar year for your 

inventory update.

You will update one row of data in the Facility tab, and multiple rows of data in the Inventory tab. The Inventory

tab contains separate rows of data for each emission unit, emission point, and pollutant. An “Instruction” row

appears that the top of each spreadsheet tab to provide a brief instruction for fields requiring some description. 

More detailed instructions appear in this document where needed. When updating the NEI data in the Facility and 

Inventory tabs, please indicate changes only in the unshaded columns. Do not overwrite data in the gray shaded 

columns. Guidance for revising specific blocks of data in the Inventory tab is as follows:

Gray shaded columns. The gray shaded columns have been locked to prevent information in these columns 

from being overwritten. If you wish to change information in these gray columns, then you will need to 

follow the instructions for adding and deleting a row. Copy the entire row with the locked cells and paste it 

below the existing, pre-populated NEI inventory to add and update it. Then mark the old row for deletion

by indicating your intent with an "X" in the “Delete” column.

Adding a row. If you need to add a new emission unit or pollutant that is not currently in the inventory,

you should scroll to the last row and enter any missing data. You can copy any useful information from 

other inventory rows and state in the "Comment Process" field "Adding new process." For additions, 

information does NOT need to be in a revised field. Specify “RTR09” in the “Data Source Code” column.

Deleting a row. If you need to delete a row, indicate your intent with an "X" in the “Delete” column and 

indicate your reason for deletion in the “Delete Comment” column. You may wish to delete rows, for 

example, because an emission unit was decommissioned or is now collected as part of the LVHC system; 

or because you cannot identify the source.

To revise or replace a whole row. Add your new row and delete the old row using the instructions for 

adding and deleting rows above.

To replace the whole inventory. You may choose to submit a complete NEI replacement. To completely 

replace your NEI data, mark all existing NEI rows for deletion with an "X" in the “Delete” column and note 

“complete inventory replacement” in the “Delete Comment” column. Add your new inventory below the 

NEI data being replaced.

To indicate that no revisions needed. If you review the data in the Inventory tab and conclude that no 

revisions are needed, then mark all existing NEI rows in the “Is Reviewed With No Changes” column in 

the Inventory tab accordingly.
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General steps for updating your pre-populated NEI data are as follows:

STEP 1. Review and update the single row of NEI data in the Facility tab as needed following the instructions 

above and that appear in each column of the spreadsheet.

STEP 2. Review the pre-populated data in the Inventory tab, and the specific instructions for updating prepopulated data in this document. You may find the following questions helpful for guiding your review:

 Are all of required emission units included in the inventory?

 Are the emission unit configurations depicted correctly (e.g., single unit with multiple vents; common 

collection systems and stacks, etc.)

 Is the Emission Release Point Type specified correctly for each emission unit?

 Are all of the known pollutants (particularly HAP) that are emitted from each emission unit included in the 

inventory?

 Considering the inventory year (Start Date and End Date columns), are the emissions of each pollutant 

included in the inventory representative of the 2009 operating year?

 Is the Emission Unit Description adequately filled in?

 Is the SCC assignment correct, and Emission Process Group assigned?

 Are MACT codes properly assigned for each emission unit?

 Are the stack or fugitive release parameters correct?

 Are latitude/longitude specified correctly for the location of each emission point?

 Are the control measures specified correctly?

 What data do you have for specifying the Routine Emissions Max Hourly Rate (lbs per hour) and for 

populating the startup/shutdown emissions columns?

 Are there other revisions that need to be made (e.g., SIC or NAICS code, facility name changes, etc)?

STEP 3. After you have reviewed the NEI data and assessed what changes need to be made, proceed with making 

the changes following the instructions in this document and the instructions that appear in each column of the 

spreadsheet. 

STEP 4. Submit your revised inventory following the instructions in Section B of this document.

Additional detailed instructions for updating your pre-populated NEI data are provided in the following paragraphs.

Emission units unrelated to the pulp and paper NESHAP (or NSPS) source categories. Please note that the 

pre-populated NEI data sets contain all emissions data for a facility identified as having any equipment 

belonging to the pulp and paper MACT categories (e.g., equipment with MACT codes 1626-1, 1626-2, or 

1626-3). Some of the emissions may be from processes NOT associated with the pulp and paper MACT 

category. The column labeled “MACT Code” indicates if the HAP pollutant emissions are associated with 

the pulp and paper MACT category or another MACT category at the facility (e.g., MACT code 0107-2

associated with Industrial/Commercial/Institutional Boilers & Process Heaters – gas.). A full list of MACT 

Why can’t I over-write existing data? 

EPA maintains a record of all changes and "matches" existing NEI entries (i.e., those in the 

attached spreadsheet) to new entries (your revisions). So if a line (record) in the 

spreadsheet/database does not match our existing files, both the old and the new records are 

incorporated into the NEI, which can result in double counting. For these reasons, any changes 

must be recorded in one of the unshaded fields and you cannot (successfully) change data 

by over-writing existing data in a field. 
Part II Form Approved __/__/__

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codes is included in the spreadsheet file Lookups for P&P survey.xls. Data from MACT categories other 

than the pulp and paper NESHAP categories are shown in the pre-populated spreadsheets to provide a 

complete dataset for the facility and/or help you spot additional processes which should be assigned to the 

pulp and paper MACT category.

In this survey, we are seeking updates to the equipment used for pulp and paper manufacturing (i.e., 

pulping processes, pulping byproduct recovery, bleaching, papermaking, etc). A list of the types of 

equipment of interest for pulp and paper production is provided in Attachment 1 to this document. We are 

not seeking updates to collocated operations that are not associated with pulp and paper manufacture (e.g., 

a lumber mill, chemical plant, or wood products mill) at this time, but would accept voluntary updates to 

these data since the data could be considered in determining residual risk for the entire facility. 

Emission Unit IDs. General instructions pertaining to Emission Unit IDs are provided above. Existing 

NEI Emission Unit IDs have been provided for you in a gray shaded column of your pre-populated 

inventory. These Emission Unit IDs may have originated from states or other entities that supplied data for 

the NEI. For existing emission units, please use the existing Emission Unit ID whenever possible to avoid 

confusion. You may create new Emission Unit IDs (text limited to 6 characters) for emission units that you 

add in your NEI update. 

“Emission Unit Description” and “REVISED Emission Unit Description” columns. General instructions 

pertaining to Emission Unit Descriptions are provided above. An “Emission Unit Description” column was 

included in prior drafts of the NEI that mills were asked to voluntarily review and update. If no “Emission 

Unit Description” is in the NEI for a given emission unit, then you will need to add one in the “REVISED 

Emission Unit Description” column. If you find that the “Emission Unit Description” in the NEI is not 

informative, then you may revise it using the “REVISED Emission Unit Description” column. 

“SCC” and “REVISED SCC” columns. General instructions pertaining to SCC assignments are provided 

above. In some cases, you may find that your pre-populated NEI data contains multiple SCCs for the same 

emission unit (e.g., a multifuel-fired boiler with separate SCCs indicated for each fuel type). In their NEI 

updates, some States split emission units by fuel type and specify separate SCCs for each fuel type. 

Although this is an option for reporting inventory data, for simplicity, EPA would prefer that you assign the 

single most relevant SCC to the emission unit (e.g., the SCC relating to the predominant fuel) and report 

the emissions rates for the emission unit only once (as opposed to attempting to apportion the emissions 

across different SCCs for different fuel types). You are not required to make revisions to your inventory 

solely to aggregate emissions already apportioned across multiple SCC codes for the same emission unit if 

you believe the emissions are reasonable. However, we suggest that you do not add any new emission 

units with multiple SCCs for each fuel type.

“Start Date” and “End Date” columns. The “Start Date” and “End Date” columns indicate the dates for 

which NEI data are provided. For example, Start Date = 20020101 and End Date = 20021231 indicates 

that the pre-populated NEI data cover emissions for the 2002 operating year (e.g., from 1-1-2002 until 12-

31-2002). You are asked to specify a “REVISED Start Date” and a “REVISED End Date.” For the 2009 

operating year, this would be REVISED Start Date = 20090101 and REVISED End Date = 20091231.
Part II Form Approved __/__/__

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C2. Completing the NEI update if not pre-populated by EPA 

A 2005 NATA NEI data set does not exist for your mill if you did not receive a version of the P&P NEI update.xls 

spreadsheet with pre-populated data in it. There are various reasons why the NEI data set may be unavailable. For 

example, some States have not supplied NEI data for major sources. Also, NEI data may be unavailable for nonmajor sources, or there may be no emission units in your NEI data set that correspond with the pulp and paper 

MACT codes. (Note: If your mill is not a major or synthetic area source of HAP emissions, then follow the 

instructions for notifying EPA of your status in section A of this document.) 

If your mill is a major (or synthetic area) source of HAP emissions, then you will need to develop and supply the 

NEI data set requested in the P&P NEI blank.xls spreadsheet of the pulp and paper sector survey. Useful starting 

points for providing the NEI data set may include your air operating permit or permit application, an inventory of 

emission sources for your mill developed for permitting purposes, or the emission calculations developed for the 

Toxics Release Inventory (TRI) for your mill. Additional resources useful for estimating emissions are listed in

Attachment 2 to this document. The spreadsheet file entitled Lookups for P&P survey.xls provides various codes 

associated with the NEI data (including SCCs).

General instructions for providing NEI data appear in section C of this document (above). The steps for providing a 

new NEI inventory are as follows:

STEP 1. Populate the NEI information in the New Facility tab of the P&P NEI blank.xls spreadsheet following the 

instructions in Section C above and that appear in each column of the spreadsheet. You will add a single row of data 

in the New Facility tab. 

NEI Site ID. Use an NEI Site ID of “NEW_____” where the blank is your mill’s zip code, as this will (in 

all likelihood) provide a unique identifier for your mill. 

STEP 2. Populate the NEI information in the New Inventory tab of the P&P NEI blank.xls spreadsheet following 

the instructions in Section C above and that appear in each column of the spreadsheet. You will add multiple rows of 

data in the New Inventory tab (one row for each pollutant emitted from each emission unit emission release point).

“Start Date” and “End Date” columns. You are asked to provide emissions data for the 2009 operating 

year. The “Start Date” and “End Date” columns indicate the dates for which NEI data are provided. For 

example, Start Date = 20090101 and End Date = 20091231 indicate that the NEI data cover emissions for 

the 2009 operating year (e.g., from 1-1-2009 until 12-31-2009). 

STEP 3. Submit your revised inventory following the instructions in Section B of this document.

 
Part II Form Approved __/__/__

OMB Control No. ____-____

Approval Expires __/__/__

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PART II - ATTACHMENT 1

Emission Units to Include in the NEI Update

Include the following types of equipment (emission units) in your NEI Update. You may not operate all of the 

emission units listed below. Only include equipment operated at your mill. 

The Lookups for P&P survey.xls file (P&P Att 1 with SCC tab) contains a crosswalk of the equipment listed in this 

attachment with the available source classification codes (SCCs). The relevant pulp and paper MACT codes are 

indicated in parentheses below. Other MACT codes can be found in the Lookups for P&P survey.xls file (MACT 

Code tab).

Chemical Recovery Combustion Equipment (1626-2)

Chemical recovery furnace

Chemical recovery combustion unit 

Black liquor oxidation system

Smelt or ash dissolving tank

Lime kiln or calciner 

Black liquor gasification system

Sulfur burner

Causticizing Equipment (1626-1)

Green liquor clarifier

Green liquor storage tank

Green liquor surge tank

Slaker

Causticizers

White liquor clarifier

White liquor storage tank

White liquor pressure filter tank

White liquor/weak wash pressure filter

Weak wash storage tank

Dregs washer

Dregs filter exhaust

Salt cake mix tank

Lime mud washer

Lime mud filter system

Digester Area Equipment (1626-1)

Digester

Chip bin

Chip steaming vessel

Flash tank

Blow tank

Condenser

Turpentine decanter

Pulp Washing, Thickening, and Storage Equipment

(1626-1)

Brown stock washers

Hoods

Filtrate tanks

Vacuum pumps

Screens

Knotters

Decker

Stock chests (including open stock chests)

Pulp storage tanks

Thickeners

Pulp dryers

Evaporators (1626-1)

Black liquor storage tanks

Evaporator hot wells

Condensers

Boilout tanks

Soap storage tanks

Soap skimmer tanks

Other emission points associated with the 

evaporators. 

Oxygen Delignification Equipment (1626-1)

Oxygen delignification reactor

Oxygen delignification blow tank

Oxygen delignification washer

Post-oxygen washer filtrate tank

Pulp storage tanks 

Other oxygen delignification system emission points.

Non-condensable Gas (NCG) Collection (1626-1)

LVHC system

HVLC system

Stripper System Equipment (1626-1)

Stripper feed tanks

Condensers

Heat exchangers
Part II Form Approved __/__/__

OMB Control No. ____-____

Approval Expires __/__/__

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Methanol Rectification Equipment (1626-1)

Rectifiers

Condensers

Decanters

Storage tanks 

Storage Tanks (1626-1)

Weak liquor storage tanks

Strong liquor storage tanks

Liquor storage ponds

Acid condensate storage tanks (at sulfite mills)

Tall Oil Production Equipment (1626-1)

Tall oil acidulation reactor

Storage tank

Dehydrator

Brine storage tank

Screen

Centrifuge tank

Other tall oil production vents 

Mechanical Pulping Equipment (1626-1)

Stone grinder

Refiner

Chip pre-steaming vessel

Chip cooker 

Screen 

Decker

Brightening/bleaching tower 

Non-wood Pulping Equipment (1626-1)

Secondary Fiber Pulping Equipment (1626-1)

Bleaching Equipment (1626-1)

Tower vents

Washer hoods

Seal tank vents

Chemical and steam mixers

Vacuum pumps

Paper Making Equipment (1626-1)

Paper machines

Pulp dryers

Machine chest

Repulpers

Stock blending and storage tanks

Broke tanks

Savealls

White water storage tanks

Wastewater Treatment System Units (1626-1)

Clarifiers

Settling ponds

Aerated stabilization basins

UNOX systems

Wastewater tanks

Other wastewater handling and treatment units 

Power Boilers (Including Small Package Boilers)

Thermal Oxidizers/Incinerators (1626-1 or 1626-3)

Woodyard Operations (1626-3)
Form Approved __/__/__

OMB Control No. ____-____

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PART II - ATTACHMENT 2

Resources for Estimating Emissions

Compilation of air pollution emission factors. Volume I: Stationary point and area sources (5th edition). AP-42. Section 

10.2, Chemical Wood Pulping. September 1990. Research Triangle Park, NC. U. S. Environmental Protection Agency, 

Office of Air Quality Planning and Standards. Available at http://www.epa.gov/ttn/chief/ap42/ch10/index.html.

Compilation of air pollutant emission factors. Volume I: Stationary point and area sources (Chapter 1, External 

Combustion Source). AP-42. 2001. Research Triangle Park, NC. U.S. Environmental Protection Agency, Office of Air 

Quality Planning and Standards. Available at http://www.epa.gov/ttn/chief/ap42/ch01/index.html.

National Council for Air and Stream Improvement, Inc. (NCASI). 2002. Compilation of speciated reduced sulfur 

compound and total reduced sulfur emissions data for kraft mill sources. Technical Bulletin No. 849. Research Triangle 

Park, NC. Available to NCASI members at www.ncasi.org.

National Council for Air and Stream Improvement, Inc. (NCASI). 2003. Compilation of ‘air toxic’ and total

hydrocarbon emissions data for sources at kraft, sulfite and non-chemical pulp mills – An update. Technical

Bulletin No. 858. Research Triangle Park, N.C. Available to NCASI members at www.ncasi.org.

National Council for Air and Stream Improvement, Inc. (NCASI). 2004. Compilation of criteria air pollutant emissions 

data for sources at pulp and paper mills including boilers. Technical Bulletin No. 884. Research Triangle Park, N.C. 

Available to NCASI members at www.ncasi.org.

National Council for Air and Stream Improvement, Inc. (NCASI). 2010. Compilation of ‘air toxic’ and total

hydrocarbon emissions data for sources at kraft, sulfite and non-chemical pulp mills – A Second update. Technical

Bulletin No. 973. Research Triangle Park, N.C. Available to NCASI members at www.ncasi.org.
Form Approved __/__/__

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Part II - Attachment 3

Instructions for Accessing the Pulp and Paper NEI Update FTP Site

In Internet Explorer go to: ftp.rti.org

Once you are there, to log into the FTP space:

Click “Page” (circled in red below) and then “Open FTP Site in Windows Explorer.”
Form Approved __/__/__

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Once it is open in Windows Explorer, Click on 'File' and then 'Login As...'

You should get this login request:
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Enter:

username: pulppaper

password: part2NEI

Once you're logged in, you'll be automatically redirected to the “Pulp_Paper_NEI_Update” folder.

Although you may be able to view files directly in your browser, you may find it easier to right click 

and save the documents locally, especially for large documents.