GADS DRI Complete Version 010111

Generating Availability Data System
Data Reporting Instructions
Effective January 2011
Table of Contents
Table of Contents
Section I: Introduction
Industry Development of GADS .................................................................................................. I-2 Unit Boundaries and Problems Outside Plant Control ................................................................. I-2 Arrangement of Data Reporting Instructions ................................................................................ I-3
Section II: Data Scope and Transmittal

Scope ............................................................................................................................................II-1 Transmittal and Format ................................................................................................................II-3
Section III: Event Reporting

Event Report (07 format)........................................................................................................ III-2
A.
Event Identification
Record Code ....................................................................................................................... III-3 Utility (Company) Code ..................................................................................................... III-3 Unit Code ........................................................................................................................... III-3 Year .................................................................................................................................... III-3 Event Number..................................................................................................................... III-3 Report Revision Code ........................................................................................................ III-4 Event Type ......................................................................................................................... III-5
Inactive States ............................................................................................................. III-6
IR MB RU -
Inactive Reserve Mothballed Retired
Active States ............................................................................................................. III-7 1. Outages................................................................................................................ III-7
PO MO PE ME SF U1 U2 U3
Planned Outage Maintenance Outage Planned Outage Extension Maintenance Outage Extension Startup Failure Unplanned (Forced) Outage Immediate Unplanned (Forced) Outage Delayed Unplanned (Forced) Outage Postponed
GADS Data Reporting Instructions January 2011
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Interpretation of Outages and their Reporting ................................................ III-11

Scenario Scenario Scenario Scenario Scenario #1: #2: #3: #4: #5:
Forced Outage to Planned Outage. Forced Outage that can wait for repairs until the end of the next weekend. Forced Outage that cannot wait for repairs until the end of the next weekend. Forced Outage to Reserve Shutdown with economic repairs. Extending a Planned/Maintenance Outage when work is part of original Extending a Planned/Maintenance Outage when work is not part of original
scope of work.
Scenario #6:
scope of work.
Scenario #7:
Unexpected Repairs during Planned/Maintenance Outage but completed within the scheduled outage time.
Notes on Reporting Outages ........................................................................III-13
Testing Following Outages a. On-line testing (synchronized) b. Off-line testing (not synchronized) Outside Management Control Outages Special Comment Regarding the Reporting Pumped Storage Units to GADS
2. Deratings ................................................................................................................. III-15
PD D4 DP DM D1 D2 D3
Planned Derating Maintenance Derating Planned Derating Extension Maintenance Derating Extension Unplanned (Forced) Derating Immediate Unplanned (Forced) Derating Delayed Unplanned (Forced) Derating Postponed
Notes on Reporting Deratings ..................................................................................... III-18
Ambient-related Losses System Dispatch Requirements Ramping Up at Unit Startup and Down at Unit Shutdown Overlapping Deratings Deratings that Vary in Magnitude with Time Dominant Derating Reporting
3. Reserve Shutdowns - RS ..................................................................................................III-22 4. Noncurtailing Event - NC ..................................................................................................III-22
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B. Event Magnitude ................................................................................................................. III-23
Start of Event Event Transitions End of Event Gross Available Capacity (GAC) as a Result of the Event, and Net Available Capacity (NAC) as a Result of the Event Dominant Derating Code
C. Primary Cause of Event; and................................................................................ III-28 D. Additional Cause of Event or Components Worked During Event
System/Component Cause Code Cause Code Amplification Code Time: Work Started Time: Work Ended Event Contribution Code Problem Alert Man-hours Worked Verbal Description
Expanded Data Reporting .............................................................................................. III-36
Failure Mechanism Code Trip Mechanism (manual or automatic) Cumulative Fired Hours at Time of Event Cumulative Engine Starts at Time of Event
Section IV: Performance Reporting

Performance Report (05 format) ...........................................................................IV-1
A. Unit Identification
Record Code ....................................................................................................................... IV-2 Utility (Company) Code ..................................................................................................... IV-2 Unit Code ........................................................................................................................... IV-2 Year .................................................................................................................................... IV-2 Report Period ...................................................................................................................... IV-2 Report Revision Code ........................................................................................................ IV-3
B. Unit Generation Performance
Gross Maximum Capacity (GMC) ..................................................................................... IV-4 Gross Dependable Capacity (GDC) ................................................................................... IV-4 Gross Actual Generation (GAG) ........................................................................................ IV-5 Net Maximum Capacity (NMC)......................................................................................... IV-5 Net Dependable Capacity (NDC) ....................................................................................... IV-5 Net Actual Generation (NAG) ........................................................................................... IV-5 Special Note on Gas Turbine and Jet Engines ................................................................... IV-6
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C. Unit Starting Characteristics
Typical Unit Loading Characteristics ................................................................................. IV-7 Attempted Unit Starts ......................................................................................................... IV-8 Actual Unit Starts ............................................................................................................... IV-8 Verbal Description ............................................................................................................. IV-8
D. Unit Time Information
Unit Service Hours ............................................................................................................. IV-9 Reserve Shutdown Hours ................................................................................................... IV-9 Pumping Hours ................................................................................................................... IV-9 Synchronous Condensing Hours ...................................................................................... IV-10 Available Hours ................................................................................................................ IV-10 Planned Outage Hours ...................................................................................................... IV-10 Unplanned (Forced) Outage Hours and Startup Failure Hours ........................................ IV-10 Maintenance Outage Hours .............................................................................................. IV-10 Extensions of Scheduled Outages .................................................................................... IV-10 Unavailable Hours ............................................................................................................ IV-10 Computing Hours from the Event Report (07) ................................................................. IV-11 Period Hours ..................................................................................................................... IV-11 Inactive Hours .................................................................................................................. IV-11
E. Primary Fuel; and F. Secondary Fuel
Fuel Code ......................................................................................................................... IV-13 Quantity Burned ............................................................................................................... IV-14 Average Heat Content ...................................................................................................... IV-14 % Ash ............................................................................................................................... IV-14 % Moisture ....................................................................................................................... IV-14 % Sulfur ............................................................................................................................ IV-14 % Alkalies ........................................................................................................................ IV-14 Grindability Index ............................................................................................................ IV-15 % Vanadium and Phosphorous......................................................................................... IV-15 Ash Softening Temperature.............................................................................................. IV-15
Section V: Design Data Reporting............................................................ V-1
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Appendix A: Change in Unit Status Report Form

Change in Unit Status Report Form ............................................................................................ A-2
Appendix B: Index to System/Component Cause Codes

Using This Appendix ...................................................................................................................B-1 Guide for Code Selection .............................................................................................................B-1 Fossil Steam Units ................................................................................................................. B-FS-3 Fluidized Bed Combustion Units .......................................................................................... B-FB-1 Nuclear Units ....................................................................................................................... B-NU-1 Diesel Units ............................................................................................................................ B-DI-1 Hydro/Pumped Storage Units .............................................................................................. B-HY-1 Gas Turbine Units ................................................................................................................. B-GT-1 Jet Engine Units ..................................................................................................................... B-JE-1 Combined Cycle Units or Co-generation Blocks.................................................................. B-CC-1 Geothermal Units .................................................................................................................. B-GE-1 Concentrated Solar Power Units ........................................................................................... B-CS-1
Appendix C: Utility and Unit Identification Codes

Utility Identification Code ...........................................................................................................C-1 Unit Identification Code ..............................................................................................................C-1 List of Participating Utilities (by Region) ...................................................................................C-2
Appendix D: List of Major Components

Major Components for Fossil Steam Units................................................................................. D-1 Major Components for Nuclear Units......................................................................................... D-1 Major Components for Gas Turbines and Jet Engines ............................................................... D-1 Major Components for Pumped Storage and Hydro Units ......................................................... D-2 Major Components for Combined Cycle & Co-Generation Units and Block ............................ D-2
Appendix E: Unit Design Data Forms

Manufacturers .............................................................................................................................. E-2 Fuel Codes ................................................................................................................................... E-3 Fossil Steam Units ................................................................................................................. E-FS-1 Fluidized Bed Combustion Units ...........................................................................................E-FB-1 Nuclear Units ........................................................................................................................ E-NU-1 Diesel Units ............................................................................................................................ E-DI-1 Hydro/Pumped Storage Units ...............................................................................................E-HY-1 Gas Turbine or Jet Engine Units ........................................................................................... E-GT-1 Combined Cycle Units or Co-generation Blocks.................................................................. E-CC-1 Miscellaneous Units (Geothermal) .......................................................................................E-MS-1
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Appendix F: Performance Indexes and Equations

General Information ..................................................................................................................... F-1 Summary of Various Time and Energy Factors Used by Indexes ............................................... F-1 Performance Indexes .................................................................................................................... F-7 Unweighted (time-based) methods for calculating single unit statistics ..................................... F-8 Unweighted (time-based) methods for calculating pooled (grouping) unit statistics ................ F-14 Weighted (capacity-based) methods for calculating pooling (grouping) unit statistics ............ F-22 Unweighted (time-based) methods for calculating statistics excluding probems OMC for single unit and pooling unit statistics ......................................................................................... F-28 Weighted (capacity-based) methods for calculating statistics excluding problems OMC for pooling unit statistics ................................................................................................................. F-31 Notes .......................................................................................................................................... F-34
Appendix G: Examples and Recommended Methods

Introduction............................................................................................................................ G-1 Index of Examples
Example 1 - Simple Outage ....................................................................................................... G-2 Example 2 - Simple Derating ..................................................................................................... G-4 Example 3 - Overlapping Deratings........................................................................................... G-6 A - Second Derating Begins and Ends During First Derating B - Second Derating Begins and Ends During First Derating Second is Partially Shadowed C - First Derating Ends Before Second Derating Causing Capability of Unit Changes D - First Derating Ends Before Second Derating But Capability of Unit Does Not Change Example 4 - Derating During a Derating of Greater Reduction .............................................. G-18 Example 5 - Derating During a Reserve Shutdown ................................................................. G-20 Example 6 - Derating Overlapped by a Full Outage ................................................................ G-22 A - Derating Ends Before Full Outage B - Full Outage Begins and Ends During Derating Example 7 - Startup Failure ..................................................................................................... G-26 Example 8 - Fuel Conservation................................................................................................ G-28 Example 9 - Event Transitions: U2 to RS to SF ..................................................................... G-30
Appendix H: Failure Mechanism Codes .................................H-1 Appendix I: GADS Data Release Guidelines ..................................... I-1 Appendix J: Cause Code Amplication Codes ....................................J-1 Appendix K: Outside Management Control ...................................... K-1
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Appendix L-1: Calculating Combined Cycle and Co-generation Block Data

Using the Synthesis Event and Perfomance Method ............................................................... L-1-1
Appendix L-2: Calculating Combined Cycle and Co-generation Block Data

Using the Fleet-type Rollup Method........................................................................................ L-2-1
Appendix M: Differences Between GADS and ISO Data Collection System ...................................................................................................... M-1
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Figures
I-I I-2 SECTION I Applications of GADS Data ......................................................................................... I-1 Regional Entities........................................................................................................... I-3 SECTION II Reporting Requirements vs. Unit Type/Size ...............................................................II-2 Data Reporting Formats...............................................................................................II-3 SECTION III Event Reporting Requirements vs. Unit Type/Size ................................................... III-1 Record Layout of Section A Event Identification .................................................. III-3 Unit States Diagram................................................................................................... III-5 Possible Derating Situations .................................................................................... III-19 Record Layout of Section B Event Magnitude ..................................................... III-23 Allowable Event Type Changes .............................................................................. III-24 Example of Dominant Derating Code Reporting .................................................... III-27 Record Layout of Section C Primary Cause of Event .......................................... III-29 Record Layout of Section D Additional Work During Event .............................. III-30 Allowable Cause Codes ........................................................................................... III-31 Record Layout of Event Records Using Failure Codes ........................................... III-37 SECTION IV Record Layout of Section A Unit Identification .................................................... IV-2 Record Layout of Section B Unit Generation Performance ................................... IV-4 Effects of Ambient Temperature on Gas Turbines/Jet Engines ................................ IV-6 Record Layout of Section C Unit Starting Characteristics ..................................... IV-7 Record Layout of Section D Unit Time Information ............................................. IV-9 Record Layout of Section E Primary Fuel; and F Secondary Fuel ................... IV-12 SECTION V Location of Design Data Forms.................................................................................. V-1
II-1 II-2
III-1 III-2 III-3 III-4 III-5 III-6 III-7 III-8 III-9 III-10 III-11
IV-1 IV-2 IV-3 IV-4 IV-5 IV-6
V-1
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Section I - Introduction
These Data Reporting Instructions were developed to assist utility personnel in reporting information to the North American Electric Reliability Corporations (NERC) Generating Availability Data System (GADS). This reporting system, initiated by the electric utility industry in 1982, expands and extends the data collection procedures begun by the industry in 1963. NERC GADS is recognized today as a valuable source of reliability, availability, and maintainability (RAM) information. This information, collected for both total unit and major equipment groups, is used by analysts industry-wide in numerous applications. (See Figure I-1.) GADS maintains complete operating histories on more than 5,800 generating units representing 71% of the installed generating capacity of the United States and Canada. GADS is a voluntary industry program, open to all participants in the Regional Entities (shown in Figure I-2) and any other organization (domestic or international) that operate electric generating facilities.
Figure I-1 Applications of GADS Data New Plants Design Procurement Construction System Strategies Dispatch Maintenance Plant Strategies Load following Power reductions Goals/Benchmarking High Impact Outages Plant Modifications Replacement Reconfiguration Maintenance Strategies Preventive/predictive Inspection scheduling Surveillance Outage Planning Critical items Resource allocation
GADS was developed by utility designers, operating engineers, and system planners to meet the information needs of the electric utility industry. For this purpose, specific objectives for the GADS program were established: compilation and maintenance of an accurate, dependable, and comprehensive database capable of monitoring the performance of electric generating units and major pieces of equipment. GADS is not a substitute for the detailed, often unique, data systems typically found at power plants, or for maintenance data programs that record detailed equipment failures and repair techniques. Through the collective effort of participating GADS members the cooperation in reporting to GADS and sharing information with the industry the objectives of the GADS program can be met. Although GADS is a voluntary program, participating organizations must be prepared to commit the necessary effort needed to provide timely, accurate, and complete data. These Reporting Instructions detail the data elements collected by GADS, identified by the industry as being vital to the understanding and interpretation of generating unit and major equipment performance. By following the strict guidelines set forth in these Reporting Instructions, we have found that the industry analysts can best apply these data in the most beneficial manner.
GADS Data Reporting Instructions January 2011 Page 1-1
Industry Development of GADS Before any data element was included in GADS, an industry committee to determine its applicability to utility operation and RAM analyses scrutinized it. A series of industry meetings were held to discuss the analytical usefulness of each element and to determine if utilities could reasonably provide that data to GADS. Consequently, the only data requested in these Reporting Instructions meet industry-prescribed needs. In reviewing this document, you will find that most, if not all, of the requested data elements are already being collected in your utilitys plantspecific data system. The industry also realized a need to include standardized terminology in the GADS program if it were to function on an international scale. As a result, the definitions promulgated by The Institute of Electrical and Electronic Engineers (IEEE) Standard 762, Definitions for Reporting Electric Generating Unit Reliability, Availability and Productivity were incorporated. Utilities started their reporting using the GADS guidelines on January 1, 1982. GADS superseded the earlier data collection procedures begun by the Edison Electric Institute (EEI), a program started in the mid-1960s. GADS contains many of the same elements previously collected by EEI in addition to the many new data items. This seeming duplication of data was done intentionally: the EEI information can be derived from GADS so analyses that include data from earlier than 1982 can be completed. Unit Boundaries and Problems Outside Plant Control A number of generating companies have been deregulated over the last several years. As a result, part of the GADS database contains deregulated units and part regulated units. As more and more electric utilities divide into generating companies (GENCO), transmission companies (TRANSCO) and distribution companies (DISCO), GADS must also make changes to accommodate the needs. To do so, we must determine where the GENCO responsibilities end and the TRANSCO take over. Based on research by the IEEE 762 committee, the boundary between the GENCO and TRANSCO is as follows: A generating unit includes all equipment up to (in preferred order) (1) the high-voltage terminals of the generator step-up (GSU) transformer and the station service transformers; (2) the GSU transformer (load) side of the generator-voltage circuit breakers; or (3) at such equipment boundary as may be reasonable considering the design and configuration of the generating unit. Not all plants have the high-voltage terminals of the generator step-up (GSU) transformer and the station service transformers as shown in (1) above. Therefore, the boundaries are shown in preferred order based on unit design. If (1) is not applicable, then (2); if not (2) then (3). GADS will continue to collect all problems that prevent the generating facility from providing electrical power to the customer. However, there are additional guidelines provided by IEEE 762. In Appendix K of this manual Outside Plant Management Control are guidelines to determine what is and is not with the plant management responsibilities. As a result, new equations are introduced for measuring plant performance. See Appendix F of this manual.
Page 1-2 GADS Data Reporting Instructions January 2011
Figure I-2 Regional Entities FRCC Florida Reliability Coordinating Council MRO Midwest Reliability Organization NPCC Northeast Power Coordinating Council RFC ReliabilityFirst Corporation SERC SERC Reliability Corporation SPP Southwest Power Pool TRE Texas Regional Entity WECC Western Electricity Coordinating Council
Arrangement of Data Reporting Instructions These GADS Data Reporting Instructions detail the procedures, format, and frequency to follow when reporting data to GADS.
This document is divided into several different sections. Each section treats a particular area of data to be reported to GADS. Section II describes the three general types of data to be reported to GADS, event, performance, and design as well as the frequency and transmittal specifications. Sections III and IV provides the details for the event and performance reporting requirements, respectively. Section V describes the format and procedure to follow when reporting design data to GADS. To further assist you, the GADS staff holds a reporting workshop annually. During this workshop, all the GADS data reporting requirements and procedures are thoroughly reviewed. To learn more about the reporting workshop, contact a NERC GADS staff member or look for information on the NERC web site: http://www.nerc.com/page.php?cid=4|43|52. Remember, the GADS staff is always available to answer any questions you may have. Utah office: G. Michael Curley mike.curley@nerc.net Manager of GADS Services 801-756-0972 Normal business hours are 8:00 a.m. 4:30 p.m. MST, Monday through Friday. Princeton office: Joanne M. Rura joanne.rura@nerc.net GADS Services Coordinator 609-524-0613 Normal business hours are 8:00 a.m. 4:30 p.m. EST, Monday through Friday.
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Section II Data Scope and Transmittal

Scope Three types of data are reported to GADS: 1. 2. 3. Event (07 format) Performance (05 format) Design
Event and performance data are described in detail in Sections III and IV of these Data Reporting Instructions. Design data, detailed in Section V, must be submitted before reporting any event or performance data to NERC. For the purposes of data reporting, the term unit is defined as follows: Nuclear and fossil (steam) units those units consisting of a single reactor or boiler and a single turbine-generator. In cases where multiple boilers and/or multiple turbine-generators are headered together, the entire ensemble is considered a single unit and reported using the Miscellaneous Unit design data forms found in Appendix E, Pages E-MS-1 to E-MS-6. Hydro, pumped storage, gas turbine, jet engine, and diesel units those units consisting of the unique prime mover and a single generator. In cases where multiple combinations of turbines/engines and generators exist, either physically or because of operating philosophy, the entire ensemble may be considered as a single unit or reported as individual units. Your specific reporting criteria should be noted on the design data forms. Combined cycle units (or blocks) By definition, a combined cycle is a process for generating energy (either electricity or steam) constituted by the marriage of a Rankine Cycle (use heat to boil water to make steam to turn a steam turbine) with a Brayton Cycle (expand hot gas to turn a gas turbine). The combined cycle consisting of one or more gas turbines/jet engines and one or more heat recovery boilers. The steam from the heat recovery boiler is sent to a steam turbine for generating electricity. Each gas turbine/jet engine and each steam turbine is a unit. The entire ensemble is considered block. Units where the gas turbines/jet engines can generate independent of the heat recovery boilers and steam turbine are also combined cycle blocks. Report design data using the Combined Cycle Block design data forms found in Appendix E, Pages E-CC-1 to E-CC-24. Co-generation units those units consisting of one or more gas turbines/jet engines and one or more heat recovery boilers. Co-generation is similar to the combined cycle block except part of the steam from the heat recovery boiler is used for other purposes (process steam), not the generating electricity. The entire ensemble is considered a single block. Report design data using the Combined Cycle Block design data forms found in Appendix E, E-CC-1 to E-CC-24.
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Fluidized bed combustion units those units consist of one or more bubbling, circulating or pressurized bed boilers or steam turbines. Consider the entire group as a single unit. Reporting data to NERC GADS begins when either one of the two following conditions is met: 1. The unit first enters the active state. This is termed the service date and occurs when the unit is first declared available for the dispatch of power at some level of its capability; or, 2. The unit first operates at 50% of its generator nameplate megawatt capability. For purposes of determining reporting requirements, the generator nameplate capability can be calculated by multiplying the MVA (megavoltamperes) by the rated power factor found on the nameplate affixed to the generator (nameplates in the case of multiple generator units). Reporting event and performance data prior to either of the above dates is required for those organizations who wish to report data to GADS. GADS is still a voluntary database and it is not required by the industry or by law to report unit data to GADS. However, it is required to report to GADS if your organization owns generating facilities and wants information from GADS (special reports, pc-GAR, etc. See Appendix I GADS Data Release Guidelines for details). Figure II-1 indicates the type of data each utility should report for its conventional, nonrenewable generating units depending on the type and size of those units. For renewable generating plants (wind), please see the GADS Wind Turbine Generation Data Reporting Instructions.
Figure II-1 Reporting Requirements vs. Unit Type/Size
Unit Type Nuclear Fossil (Steam) Hydro & Pumped Storage Gas Turbines/Jet Engines Combined Cycle/Cogeneration Diesel Fluidized Bed Combustion Miscellaneous Size (MW) All All All All All All All All Reporting Requirements Event (07 format) Required Required Required Required Required Required Required Required Performance (05 format) Required Required Required Required Required Required Required Required Design Required Required Required Required Required Required Required Required
We encourage all generating organizations to report all data elements currently collected for their units and any additional information they can reasonably provide.
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Transmittal and Format Submit event and performance data to GADS within 30 days after the end of every calendar quarter throughout the life of each unit. If a unit is deactivated (retired), continue to report that unit for the remainder of the calendar year using the instructions shown on Page III-6 of these reporting instructions. If a unit is deactivated, please complete the Change in Unit Status form found in Appendix A. The completed Change in Unit Status form should be submitted to Joanne Rura at joanne.rura@nerc.net. Data should be submitted electronically as shown in Figure II-2. When submitting data, please indicate the number of records being submitted in your transmittal letter to assure all data is properly retrieved.
Figure II-2 Data Reporting Formats Media E-mail: Specifications Text format (.txt). To improve transmission times your data files may be submitted as compressed (.zip) files. Submit your data within 30-days after the end of every calendar quarter. E-mail your data to: joanne.rura@nerc.net
All questions regarding data transmittals and reporting procedures should be directed to: Utah office: G. Michael Curley Manager of GADS Services mike.curley@nerc.net 801-756-0972 801-756-0973 Fax Princeton office: Joanne M. Rura GADS Services Coordinator joanne.rura@nerc.net 609-524-0613 609-452-9550 Fax
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Section III Event Reporting

An event occurs any time a generating units operating status or capability changes. Four general classifications of events are reported to GADS: outages, deratings, reserve shutdowns, and noncurtailing events. Reporting event data, in addition to performance and design data, provides all the information needed to evaluate generating unit availability. Event data are especially useful since they are often used to do specialized unit and equipment operation and design analyses. Participation in the GADS program is voluntary, but once committed, each utility should report as much detailed information as it can. Reporting the level of detail requested in these GADS Data Reporting Instructions enables you and other industry analysts to perform detailed, useful analyses. Figure III-1, below, suggests the classes of events utilities should report for different types and sizes of conventional, non-renewable generating units. For renewable generating plants (wind), please see the GADS Wind Turbine Generation Data Reporting Instructions.
Figure III-1 Event Reporting Requirements vs. Unit Type/Size
Unit Type Fossil (Steam) Nuclear Hydro & Pumped Storage (with automatic data recording equipment) Hydro & Pumped Storage (without automatic data recording equipment) Gas Turbines/Jet Engines Combined Cycle/Co-generators Diesel Fluidized Bed Combustion Miscellaneous Size (MW) All All All Outage Required Required Required Event Classifications Reserve Derating Shutdown Required Required Required Required Required Required
Noncurtailing Optional Optional Optional
All All All All All All
Required Required Required Required Required Required
Required Required Required Required Required Required
Optional Required Required Required Required Required
Optional Optional Optional Optional Optional Optional
Detailed event data reporting for larger units is suggested and is indicated by the term required. The term optional implies that each utility must determine if it can reasonably provide the detailed data. We encourage all electric generating organizations to report all event data information currently collected for their units and any additional information they can reasonably provide.
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All units except hydro and pumped storage units without automatic data recording equipment, no matter its size or technology, are required to report reserve shutdown events. GADS encourages that all events (forced, maintenance, and planned) for all units be reported for providing complete reporting. GADS interprets this as 1 MW or larger with other sizes optional.
Event Report (07 Format)

Report event data to GADS in the Event Report (07) format, described in this section. Submit the data to GADS within 30 days after the end of each calendar quarter. There are four distinct sections of the Event Report: A) Event Identification; B) Event Magnitude; C) Primary Cause of Event; and, D) Additional Cause of Event or Components Worked During Event. Together, these sections provide a complete description of each event experienced by a unit. The Event Report (07) format is based on a series of 82-character images called records. The different sections of the Event Report are on different records: Sections A and B on Record 01, Section C on Records 02 and 03, and Section D on Records 04 and 05 through 98 and 99. Unless otherwise stated, it is not necessary to zero-fill or asterisk-fill unused data fields of any section of the Event Report (07 format). Note: As of January 1, 2010, GADS will only accept the new (07) format. There was a need by several Independent System Operators (ISO) groups to collect derating data on units smaller than 1 MW in size. Therefore, the GADS database expanded the Gross Available Capacity (GAC) and Net Available Capacity (NAC) to include two decimal places. We are not asking for generating units of 0.01 MW size to report to GADS. Historically speaking, the smallest units reported to GADS are 1 MW. With the introduction of the 07 format, GADS can accept deratings smaller than 1 MW for units less than 1 MW in size. A description of each section and the data elements within it follows. Included are detailed instructions for reporting each event data element.
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A. Event Identification
There are seven data elements, referred to as fields, in this section (see Figure III-2). These elements form a key an identifier that makes each event card unique from all others in the database. This key is referenced at the beginning of every event record.
Figure III-2 Record Layout of Section A Event Identification
All Records Number of Columns 2 3 3 4 4 1 2
Column ID A Event Identification Record Code Utility (Company) Code Unit Code Year Event Number Report Revision Code Event Type
Starting Position 1 3 6 9 13 17 18
Record Code (columns 1-2) The 07 code uniquely identifies these data as an Event Report. Utility (Company) Code (columns 3-5) Enter the three-digit code NERC assigned to your utility. Appendix C contains a complete list of the utilities participating in GADS and their assigned utility codes. Unit Code (columns 6-8) Enter the three-digit code your utility assigned to the unit that you are reporting. This code distinguishes one unit from another in your utility. Appendix C, Page C-1, contains a guide for selecting unit codes. Year (columns 9-12) Enter the four-digit year in which the event occurred. Note, this is not necessarily the year you reported the event to GADS, as demonstrated in the following example: An event occurred on December 2, 1999 and was reported to GADS on January 31, 2000. Complete columns 9-12 as 1999. (Refer to Page III-25 for instructions on reporting events that begin in one year and continue into the next.) Event Number (columns 13-16) Each time a unit experiences an event, assign it a unique event number and enter it in this field. Two events occurring in the same year cannot have the same event number.
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You do not have to assign event numbers sequentially, although it is preferred. If, after gathering all the events to submit for a quarter, you find you have omitted one, do not renumber all the events for the year. Simply assign the next available event number to the omitted event. An event that continues through multiple months during the same year keeps the originally assigned event number. An event that continues from one year into the next is assigned a new event number in the new year. Refer to Page III-25 for further instructions. Report Revision Code (column 17) This one-character data field signals that a change must be made to an event already submitted to GADS. Changes can be corrections, additions, or deletions of existing events. The first time you submit an event to GADS it is called an original event. All original events have a revision code of zero (0). Use the following codes when making changes to an original event: 1, 2, . . . 9 Use these codes when making corrections or additions to original events. Each time you make a change, you must increase the revision code by one. Up to nine corrections and additions to an original event can be made. When making corrections or additions to an original event, you need to send NERC all records relating to that event on which the changes are to be made. On the record: 1. Complete columns 1-16, repeating the information from the original event; and, 2. Increase the revision code in column 17 by one; and, 3. Make sure the same record number used in the original report is in columns 81-82. DO NOT LEAVE THE RECORD NUMBER BLANK; and, 4. Enter the correct or additional information in the appropriate field. To delete data from one or more data fields, GADS RECOMMENDS that you resubmit the entire data set year-to-date for that unit (or all units you report) to GADS. This procedure will insure that both you and the GADS database have the same records on file. You have the option to find the record that has the highest revision code and then increase this number by one or set all revision codes back to zero.
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Event Type (columns 18-19) There are two Unit States defined by IEEE 762: Inactive and Active. Inactive States are shown on Page III-6; Active States on Pages III-7-10 and Pages III-15-17. Enter the twocharacter code which best describes the event (inactive, outage, derating, reserve shutdown, or noncurtailing) experienced by the unit. For outages and deratings, the event type codes also define the urgency (or postponability) of the event.
Figure III-3 Unit States Diagram
Page III-5
Inactive States
The two most general unit states are shown at the top of the diagram: active and inactive. Inactive State is called Deactivated Shutdown in IEEE 762 and is defined as The State in which a unit is unavailable for service for an extended period of time for reasons not related to the equipment. GADS interprets this to include:
IR Inactive Reserve
IR is defined by IEEE 762 and GADS as the State in which a unit is unavailable for service but can be brought back into service after some repairs in a relatively short duration of time, typically measured in days. GADS added after some repairs and defines the phrase after some repairs to mean that some action may be needed to prepare the unit for service because it had been sitting idle for a period of time and some equipment parts have deteriorated or need replacing before the unit can be operated. The unit should be operable at the time the IR begins. This does not include units that may be idle because of a failure and dispatch did not call for operation. A unit that is not operable or is not capable of operation at a moments notice should be on a forced, maintenance or planned outage and remain on that outage until the proper repairs are completed and the unit can operate. The unit must be on RS a minimum of 60 days before it can move to IR status. Use Cause Code 0002 (three zeros plus 2) for these events.
MB Mothballed
MB is defined by IEEE 762 and GADS as the State in which a unit is unavailable for service but can be brought back into service after some repairs with appropriate amount of notification, typically weeks or months. GADS added after some repairs and defines the phrase after some repairs to mean that some action may be needed to prepare the unit for service because it had been sitting idle for a period of time and some equipment parts have deteriorated or need replacing before the unit can be operated. The unit may have also experienced a series of mechanical problems for which management may wish to wait for a period of time to determine if the unit should be repaired or retired. A unit that is not operable or is not capable of operation at a moments notice must be on a forced, maintenance or planned outage and remain on that outage for at least 60 days before it is moved to the MB state. If repairs are being made on the unit in order to restore the unit to operating status before the 60-day period expires, then the outage must remain a forced, maintenance or planned outage and not MB. If unit repairs for restoring the unit to operation are made after the 60-day period, then the first 60 days must be a forced, maintenance or planned outage and the time after the 60-days including the repair time on the unit up to operation shall be the MB event. Use Cause Code 9991 for these events. RU Retired RU is defined by IEEE 762 and GADS as the State in which a unit is unavailable for service and not expected to return to service in the future. RU should be the last event for the remainder of the year (up through December 31 at 2400). The unit must not be reported to GADS in any future submittals. Use Cause Code 9990 for these events.
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Active States
Tracing down the diagram, more detail is added to more precisely describe the operating state of a unit at any given time. The fourth level shows the most detailed operating states. This is the level of detail incorporated into the GADS program. The codes in the blocks are the GADS event types. Notice on the diagram that D4 (maintenance derating) and MO (maintenance outage) are classified as both unplanned and scheduled. Standard 762 classifies these types of events as unplanned. GADS recognizes that, historically, many utilities referred to these events as scheduled and continue to do so. Both classifications are shown here to illustrate the relationship between unplanned and scheduled events. The evaluation of unit availability is not affected by the difference in terminology. 1. Outages An outage exists whenever a unit is not synchronized to the grid system and not in a Reserve Shutdown state. The general outage event classification is divided into seven distinct event types. Special instructions for reporting testing during and following outages can be found on Page III-13. An outage starts when the unit is either desynchronized from the grid or when it moves from one unit state to another (for example, goes from a reserve shutdown to a maintenance outage.) The outage ends when the unit is synchronized to the grid or moves to another unit state. When a unit moves from one unit state to another, the exact date and time that one outage ends will be the same as when the next outage starts. The unit state can only be changed if the first outage ends. For example, if the unit is forced off line due to a water wall tube leak (just before it was to come off line for a planned outage), then the forced outage leak repair must be completed before the unit state can be changed from a U1 to a PO. The maintenance crew can start the PO work, but it will not be a PO until the U1 outage work is complete and the unit could be put back in service. PO Planned Outage An outage that is scheduled well in advance and is of a predetermined duration, lasts for several weeks, and occurs only once or twice a year. Turbine and boiler overhauls or inspections, testing, and nuclear refueling are typical Planned Outages. MO Maintenance Outage An outage that can be deferred beyond the end of the next weekend (Sunday at 2400 hours), but requires that the unit be removed from service, another outage state, or Reserve Shutdown state before the next Planned Outage (PO). Characteristically, a MO can occur any time during the year, has a flexible start date, may or may not have a predetermined duration, and is usually much shorter than a PO. Note: If an outage occurs before Friday at 2400 hours, the above definition applies. But if the outage occurs after Friday at 2400 hours and before Sunday at 2400 hours, the MO will only apply if the outage can be delayed passed the next, not current, weekend. If the outage can not be deferred, the outage shall be a forced event.
GADS Data Reporting Instructions January 2011 Page III-7
PE Planned Outage Extension GADS defines a planned outage extension as an extension of a Planned Outage (PO) beyond its estimated completion date. This means that at the start of the PO, the outage had an estimated duration (time period) for the work and a date set for the unit to return to service. All work during the PO is scheduled (part of the original scope of work) and all repair times are determined before the outage started. For more information on PE rules and regulations see below. ME Maintenance Outage Extension GADS defines a maintenance outage extension as an extension of a Maintenance Outage (MO) beyond its estimated completion date. This means that at the start of the MO, the outage had an estimated duration (time period) for the work and a date set for the unit to return to service. All work during the MO is scheduled (part of the original scope of work) and all repair times are determined before the outage started. For more information on ME rules and regulations see below. PE and ME Rules and Regulations The predetermined duration of an outage also determines the estimated completion date of the PO or MO. If the unit is scheduled for four weeks of repairs, then the unit is expected back in service at a certain date four weeks after the start of the outage. In cases where the outage is moved up or back according to the needs of the operating company, ISO or power pool, then the start of the outage plus duration of the outage determines the new completion date. As long as the outage is not longer than planned, the expected completion date is moved to coincide with the predetermined duration period. If the unit is on outage (for example, U1 outage due to a boiler tube leak) at the time the unit is scheduled to start the PO or MO work, then the work on the cause of the outage (tube repairs) must be completed before changing from the U1 outage to the PO or MO outage. PO and MO work can start but not counted as PO or MO work until the U1 repairs are complete. All work during PO and MO events are determined in advance and is referred to as the original scope of work. Use ME and PE only in instances where the original scope of work requires more time to complete than originally scheduled. Where applicable, the extension of the planned or maintenance outage may be required to be approved in advance by your power pool or ISO. Advance warning of an extension is very important! However, GADS is not dispatch orientated but equipment-orientated database. The reporting of the PE and ME is based on IEEE 762GADS rules, not ISO requirements. Therefore, if the extension meets the GADS rules, then report it as an ME or PE and not a U1 when reporting to GADS only. Do not use ME and PE in those instances where unexpected problems or conditions discovered during the outage which render the unit out of service beyond the estimated end date of the PO or MO. Report these delays as Unplanned (Forced) Outage-Immediate (U1). Do not use ME and PE if unexpected problems occur during unit startup. If a unit completes a PO or MO before the original estimated completion date, then any problems causing outages or deratings up until that date are not usually considered to be part of the PO or MO.
Page III-8 GADS Data Reporting Instructions January 2011
ME, PE or U1 must start at the same time (month/day/hour/minute) that the PO or MO ended. See Appendix G, Example 7, Pages G-26 to G-27. Please Note: SE events are still accepted by GADS. Therefore, if a reporting companys internal programs can not or will not be modified to follow the new event types, then GADS will continue to accept the SE event types. However, the SE event types will be converted internally by GADS into the new event types for use in unplanned outage calculations and will be stored as a new event type. Historical data will be converted into the new event types for use in pc-GAR and other research work. SF Startup Failure An outage that results when a unit is unable to synchronize within a specified startup time following an outage or Reserve Shutdown. The startup period for each unit is determined by the operating utility. It is unique for each unit, and depends on the condition of the unit at the time of startup (hot, cold, standby, etc.). A startup period begins with the command to start and ends when the unit is synchronized. SF begins when the problem preventing the unit from synchronizing occurs. The SF ends when the unit is synchronized, another SF occurs, or the unit enters another permissible state. U1 Unplanned (Forced) Outage Immediate An outage that requires immediate removal of a unit from service, another Outage State, or a Reserve Shutdown state. This type of outage usually results from immediate mechanical/electrical/hydraulic control systems trips and operator-initiated trips in response to unit alarms. There is a need by a number of the NERC Planning Committee working groups and subcommittees to collect the various types of trips experienced by generating units. They are most interested in automatic grid separation trips caused by many things, including transmission. We ask that during the 2010 reporting period, data reporters volunteer to report amplification codes to mark these events as shown below. In order to maintain the historical meanings of the existing component trip codes 82 and 83, we will create 2 new amplification codes T1 and T2 to be used for complete, 100% unit trips: T1 - Tripped/shutdown grid separation --- automatic. A full outage that suddenly trips the unit from some loading to zero loading without operator initiation. This is an unexpected grid separation event where the unit is in normal operation when the mechanical, electrical, or hydraulic control or protective systems automatically trip the generating unit(s). This trip is not where the unit is manually tripped or the unit is operator assisted to lower loadings then automatically tripped. The unit must be in service (breakers closed) before a grid separation trip event is accepted by GADS. No other unit outage condition can precede this event. T2 - Tripped/shutdown grid separation --- manual. The unit is gradually but quickly removed from service with operator assistance. This type of outage includes operator-initiated trips in response to unit alarms.
If the cause of the trip is not known, then you can use amplification code 84 but it must be changed to the appropriate amplification code before the end of the year to be acceptable by GADS. 84 - Unknown investigation underway (change this code once failure mechanism is determined) If the U1 is not a trip but the result of a change of state (from planned outage to U1, for example), then the amplification code can be any other amplification code. There should be an amplification code reported for each U1 event. Starting January 1, 2011, the need to report T1, T2 or other amplification codes will be mandatory to pass GADS edits. For a complete list of the amplification codes see Appendix J of these data reporting instructions. U2 Unplanned (Forced) Outage Delayed An outage that does not require immediate removal of a unit from the in-service state but requires removal within six hours. This type of outage can only occur while the unit is in service. U3 Unplanned (Forced) Outage Postponed An outage that can be postponed beyond six hours but requires that a unit be removed from the in-service state before the end of the next weekend. This type of outage can only occur while the unit is in service.
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Interpretation of Outages and Their Reporting

The IEEE 762 defines the outage types and when the appropriate outage should be reported. However, the experiences of the industry also dictate interpretations of which outage type is most appropriate for a situation. The following are interpretations of when certain full outages should be reported and the reason for the apparent difference to the IEEE 762 rules. In these examples, we will illustrate the points using fictitious generating units but real life situations.
Scenario #1: Forced Outage to Planned Outage
Riverglenn #1, a fossil unit, is four days away from its scheduled planned outage when it experiences a boiler tube leak. The unit must come off line within 6 hours for repairs. Since the unit is scheduled for a planned outage, the dispatch (or ISO) allowed the unit to go into its planned outage early. It normally takes 36 hours to repair a tube leak. Therefore, the first 36 hours of the outage would be forced (U2) outage. After the 36-hour period, the PO outage starts.
Scenario #2: Forced Outage that can wait for repairs until the end of the next weekend.
On a Thursday, Riverglenn #1 experiences a sudden increase in vibration in its ID Fan. The vibration is not severe enough to trip the unit but there are signs that the unit must be removed from service soon to check the problem and make repairs. After some discussion, management decides Riverglenn can be removed from service next week without further damage to the unit or endangering the safety for personnel. On Friday, dispatch (or ISO) allows Riverglenn to come down for repairs because another unit out for maintenance is now available for operation. Even though Riverglenn came off line the same week as its problem started, the outage is a Maintenance Outage because it could have remained on line until the end of the next weekend.
Scenario #3: Forced Outage that cannot wait for repairs until the end of the next weekend.
On Friday, Jumbo #1, a gas turbine, began to vibrate. At first the vibrations were not severe but over the following 4 hours, the mils of vibration increased to where the unit must be removed from serviced. The unit continued to generate until after the peak period was over. Jumbo was not needed again until the following Monday afternoon. Shortly after the peak period, the operator tripped the unit. Even though the unit was not needed until Monday, the unit could not have operated through the weekend because of vibration problems. Therefore, the outage is a Forced Outage and the FO is enforced until the vibration problem is solved.
Page III-11
Scenario #4: Forced Outage to Reserve Shutdown with economic repairs.
High Top #3, a small fossil unit, experienced a Forced Outage failure in its boiler. However, the unit will not be needed the remainder of the week. It was decided by management to repair the unit on standard work time, no overtime or weekend pay. Working standard 8-hour days, the repairs were completed with 12 hours over a day and a half (36-hour) period. Although the unit was not needed, by management decision, the unit was not available for the full 36 hours and so the forced outage is reported from the time the unit came off line until the unit was available for operation (36 hours later). No part of the 36 hours is RS time. The RS time starts after the repairs and unit is available for operation.
Scenario #5: Extending a Planned/Maintenance Outage when work is part of original scope of work.
During the Planned Overhaul of Riverglenn #1, the planned repairs to the electrostatic precipitator were more extensive then expected. More parts were ordered and then arrived to complete the repairs. However, unexpected longer repairs to the ESP delayed the return to service for 3 additional days. Since the ESP repairs were part of the original scope of work and the unit receives the okay for extension from its ISO, the additional 3-day delay is the reason for the Planned Outage Extension.
Scenario #6: Extending a Planned/Maintenance Outage when work is not part of original scope of work.
Part way through the maintenance outage of Riverglenn #1, the mechanics checked the packing on the boiler startup feed pump and decided it best to replace the packing now. It was not part of the original scope of maintenance work but was determined important to prevent a future unit outage. As a result of the repairs and no packing on site, the MO was delayed from returning to service on time for 12 hours. All hours of the outage except the last 12 hours are MO. The last 12 hours is a Forced Outage because it 1) delayed the startup of the unit and 2) was not part of the original work scheduled during the outage.
Scenario #7: Unexpected Repairs during Planned/Maintenance Outage but completed within the scheduled outage time.
Riverglenn #1 was in its annual overhaul when it was discovered that several blades on its ID Fan needed replacement. It was not part of the original scope of work to repair the blades but parts were available through the OEM and repairs to the fan were completed during the allotted Planned Outage time. There were no delays in unit startup caused by the ID Fan repairs. Since the unit was not delayed from scheduled startup due to the fan repairs, there is not penalty to the unit because of the surprise repairs. The ID Fan repair was reported as part of the work completed during the outage section to GADS.
Page III-12
Notes on Reporting Outages

Testing Following Outages Typically following outages, equipment that was repaired or replaced is tested. These testing periods must be reported to GADS. The reporting procedure to follow depends on whether or not the unit was synchronized during the testing period:
a. On-line testing (synchronized)
If the unit must be on line and in service at some reduced load to perform testing following a Planned Outage (PO), Maintenance Outage (MO), or Unplanned (Forced) Outage (U1, U2, U3, SF), report the testing as a Planned Derating (PD), Maintenance Derating (D4), or Unplanned (Forced) Derating (D1), respectively. The PD, D4, or D1 starts when the testing begins, and ends when testing is completed. Report any generation produced while the unit was on line during the testing period on the Performance Report (see Page IV-4).
b. Off-line testing (not synchronized)
In cases where the unit does not have to be synchronized after the outage to perform testing, you can report the testing as part of the outage event using Section D of the Event Report. The outage ends when the testing is completed and the unit is placed in service or enters another state. If you wish, you may report this type of testing separate from the outage event. In this case, the testing period becomes a new event, the outage ending when the testing period begins. You must use the same event type for the testing event as you did for the original outage (a PE or ME is not considered an original outage use the PO or MO event type, as appropriate). The testing event ends when the unit is synchronized or placed in another Unit State. Outside Management Control Outages There are outages from outside sources that result in generating units restricted in generating capabilities or in full outages. Such outages include (but are not limited to) ice storms, hurricanes, tornados, poor fuels, interruption of fuel supplies, etc. A list of causes and their cause codes are presented in Appendix K of these Instructions. Appendix K also sets special limits to the Outside Management Control (OMC) uses of the cause codes. REPORT ALL OMC events to GADS. They should not be classified as reserve shutdown or non-curtailing events. The GADS software in Appendix F will allow calculations of events with and without OMC events. The use of equations without OMC events is left to the decision of plant and corporate management.
Page III-13
Special Comment Regarding the Reporting Pumped Storage Units to GADS GADS collects data on all unit types, including pumped storage units. Pumped storage units provide two types of service: generating and non-generating. In the generating mode, the unit acts like a generator to provide electric power. In the non-generating mode, the pumped storage unit acts as a motor and pump to move water back into the reservoir for reuse in the future. The 2006 version of IEEE 762 credits pumped storage units in several statistics whether the unit is in the generating or non-generating mode. In reporting pumped storage units to GADS, GADS is interested in the generating aspect of pumped storage units more than the non-generating mode. Therefore, if the unit is prevented for generating power, then those events must be reported to GADS using the standard procedures. In the case where the pumped storage unit cannot operate in the non-generating mode but can operate in the generating mode, then the operator can report the problem in either one of two ways: 1) report the non-generating mode equipment failure as a non-curtailing (NC) event, or 2) dont report the problem to GADS. GADS prefers option #1 but it is up to the reporter to choose to report the NC events or not. If the case where the pumped storage unit cannot operate in the generating mode but either can or cannot operating in the non-generating mode, then the event must be reported using the normal outage procedure. NC event types are not appropriate in this case. The event should describe the reason why it cannot generate electricity. All outages that limit or prevent generating power must be reported to GADS.
Page III-14
2.
Deratings
A derating exists whenever a unit is limited to some power level less than the units Net Maximum Capacity. Similar to outages, the general derating event classification is divided into distinct event types, based on IEEE Standard 762. A derating starts when the unit is not capable of reaching 100% capacity. The available capacity is based on the output of the unit and not on dispatch requirements. The derating ends when the equipment that caused the derating is returned to service, whether it is used at that time by the operators or not. More than one derate can occur at one time. The reporter chooses the order of reporting. Events are sorted on the date and time the event starts. If a derating is less than 2% of the units Net Maximum Capacity (NMC) and less than 30 minutes in duration, then the derating can be reported at your discretion (optional). Otherwise, all other deratings (greater/less than 2% NMC or shorter/longer than 30 minutes) shall be reported to GADS. For example, a derate that is 10% of the NMC but last 10 minutes should be reported to GADS; a derate that is 1% of the NMC but last 6 hours should be reported to GADS. Do not report deratings caused by ambient-related conditions or system dispatch requirements (see Notes on Reporting Deratings, Page III-18). PD Planned Derating A derating that is scheduled well in advance and is of a predetermined duration. Periodic deratings for tests, such as weekly turbine valve tests, should not be reported as PDs. Report deratings of these types as Maintenance Deratings (D4). D4 Maintenance Derating A derating that can be deferred beyond the end of the next weekend but requires a reduction in capacity before the next Planned Outage (PO). A D4 can have a flexible start date and may or may not have a predetermined duration. Note: If an derating occurs before Friday at 2400 hours, the above definition applies. But if the derating occurs after Friday at 2400 hours and before Sunday at 2400 hours, the D4 will only apply if the derating can be delayed passed the next, not current, weekend. If the derating can not be deferred, the derating shall be a forced derating event.
Page III-15
DP Planned Derating Extension GADS defines a planned outage extension as an extension of a Planned Derate (PD) beyond its estimated completion date. This means that at the start of the PD, the derate had an estimated duration (time period) for the work and a date set for the unit to return to service. All work during the PD is scheduled (part of the original scope of work) and all repair times are determined before the outage started. Use a DP only in instances where the original scope of work requires more time to complete than originally scheduled. Do not use a DP in those instances where unexpected problems or delays outside the scope of work are encountered which render the unit incapable of full load beyond the estimated end date of the PD. The DP must start at the same time (month/day/hour/minute) that the PD ended. Please Note: DE events are still accepted by GADS. Therefore, if a reporting companys internal programs can not or will not be modified to follow the new event types, then GADS will continue to accept the DE event types. However, the DE event types will be converted internally by GADS into the new event types for use in unplanned outage calculations and will be stored as a new event type. Historical data will be converted into the new event types for use in pc-GAR and other research work. DM Maintenance Derating Extension GADS defines a maintenance derating extension as an extension of a maintenance derate (D4) beyond its estimated completion date. This means that at the start of the D4 event, the derate has an estimated work time and a set date for the unit for returning to service. All work during the D4 is scheduled (part of the original scope of work) and all repair times are determined before the outage started. Use a DM only in instances where the original scope of work requires more time to complete than originally scheduled. Do not use a DM in those instances where unexpected problems or delays outside the scope of work are encountered which render the unit incapable of full load beyond the estimated end date of the D4. The DM must start at the same time (month/day/hour/minute) that the D4 ended. Please Note: DE events are still accepted by GADS. Therefore, if a reporting companys internal programs can not or will not be modified to follow the new event types, then GADS will continue to accept the DE event types. However, the DE event types will be converted internally by GADS into the new event types for use in unplanned outage calculations and will be stored as a new event type. Historical data will be converted into the new event types for use in pc-GAR and other research work.
Page III-16
D1 Unplanned (Forced) Derating Immediate A derating that requires an immediate reduction in capacity. Just like the modifications to U1 on Page III-9, GADS will collect automatic component trips. It will be collected using D1 with the existing amplifications codes 82 and 83. The description of amplification codes 82 and 83 focus on derating, not outages. The same general description is used to separate automatic component trips from manual, operator initiated component trips. 82 - Tripped/shutdown component --- automatic controls 83 - Tripped/shutdown component --- manual If the cause of the trip is not known, then you can use amplification code 84 but it must be changed to the appropriate amplification code before the end of the year to be acceptable by GADS. 84 - Unknown investigation underway (change this code once failure mechanism is determined) If the D1 is not a trip but the result of a change of state (from planned derate to D1, for example), then the amplification code can be any other amplification code. There should be an amplification code reported for each D1 event. Starting January 1, 2011, the need to report 82, 83 or other amplification codes will be mandatory to pass GADS edits. For a complete list of the amplification codes see Appendix J of these data reporting instructions. D2 Unplanned (Forced) Derating Delayed A derating that does not require an immediate reduction in capacity but requires a reduction within six hours. D3 Unplanned (Forced) Derating Postponed A derating that can be postponed beyond six hours but requires a reduction in capacity before the end of the next weekend.
Page III-17
Notes on Reporting Deratings

Ambient-related Losses Do not report ambient-related losses, such as those caused by high cooling water intake temperatures (other than regulatory-imposed discharge limits cause code 9660, etc.), as derating events to GADS. There are two reasons for this. First, the level of record keeping required to track these types of losses as events is excessive. Second, ambient-related losses are easily computed using the information you supply to GADS on the Performance Report, specifically Maximum Capacity and Dependable Capacity. The difference in these two values reflects losses due to ambient conditions only (see Page IV-4). To determine ambient losses in megawatthours (MWh), simply multiply the difference between Maximum Capacity and Dependable Capacity by the total number of hours in the study period. System Dispatch Requirements Sometimes units operate at less than full capacity for reasons other than ambient-related conditions or equipment failures. This operating mode, imposed by system dispatch requirements, is referred to as load following. Load following is not reported to GADS. These data are not relevant to unit availability and, therefore, are beyond the scope of the GADS program. Although load following is not reported to GADS, any maintenance, testing, etc. done during the load following period should be reported as an event. Under certain conditions, this work can be reported as a noncurtailing event (NC). See Page III-22 for details. Figure III-4 describes the relationships between Maximum Capacity, Dependable Capacity, and Available Capacity as a result of deratings, and system dispatch requirements. Ramping Up at Unit Startup and Down at Unit Shutdown Each unit has a standard or normal time for reaching full load capabilities after a full outage or ramping down (coming off line) to a full outage state. GADS doesnt set time periods for each unit; the operators know the units and can judge if a unit is taking longer than normal to ramp up after an outage or coast down for removal from service. If a unit ramps up to the full load level OR up to the level of required load within the normal time period set by the operators of the unit following a full outage, there is no derating on the unit from the time of synchronization to the load point. If the unit takes longer than normal ramp up time to the full load level OR up to the required load, then there is a derating. The generating capacity of the unit at the end of the normal period will be the level of the derate and the derate will last until the unit can either reach full load capability or level of required load. FOR ALL UNITS EXCEPT NUCLEAR: There is no derating for unit shutdown. Each unit must be shutdown safely, with damaging equipment or posing a safety hazard to personnel. Some shutdowns are quick as in a unit trip; others are slower such as coast down to unit planned outages. In either case, the unit is not derated.
Page III-18
FOR NUCLEAR UNITS: Coast down to refueling may take weeks, depending on the operation of the unit. If the unit can recover from coast down and can still produce 100% capability during coast down, there is no derating. If the unit is not capable of 100% capacity, the derate is at the level of capability until the unit is taken off line.
Figure III-4 Possible Derating Situations
Overlapping Deratings Deratings often overlap each other in duration. GADS considers all deratings additive except those which are masked (shadowed) by an outage or a larger derating for their entire duration. This means the derating that started first is assumed to be the primary cause of the load reduction until it terminates or a full outage begins. Follow the criteria described below when reporting overlapping deratings: a) Deratings that are masked (shadowed) for their full duration by outages or larger deratings are considered noncurtailing in nature; that is, they do not affect the available capacity of the unit. Report these situations using one of the two options shown below:
Page III-19
Report deratings of this type as derating events. If you choose this option, the available capacity resulting from the derating (see below) must be estimated, since it cannot be readily observed. The calculation of equivalent derated hours will not be affected if shadowed deratings are reported in this manner. Instead of reporting these kinds of deratings as events, you may report them on Section D of the Event Report that describes the outage or larger derating. See Appendix G, Example 4, Pages G-18 to G-19. b) Deratings that are masked (shadowed) due to operation in a load-following mode must be reported as individual events. The available capacity (see below and Page III-20) must be estimated, because it cannot be readily observed. c) Because of the additive assumption, GADS computer programs automatically increase the available capacity of a unit when one derating ends while another is still in progress. See Appendix G, Example 3C, Pages G-12 to G-14. If the available capacity of the unit cannot be increased because of the severity of the derating still in progress, you must indicate this by artificially ending the derating in progress and reporting a new derating. For further discussion, see Appendix G, Example 3D, Pages G-15 to G-17. Occasionally, two or more individual components will fail at the same time month/day/hour/minute). There are two ways to report occurrences like these: 1. Report each component failure as a separate derating. Use engineering judgment to determine the available capacity as a result of each. NERC processes the data first sorting by start date then event number. This means that when start dates are identical, the derating with the lower event number will be processed first. 2. Report one derating, showing one component as the primary cause of event and the other(s) using Section D of the Event Report. Deratings that Vary in Magnitude with Time Certain deratings vary in magnitude over time, such as those caused by stack emission, thermal discharge, and fuel limitations. You may use one of two methods to report these types of deratings to GADS. 1. Report a new derating to GADS each time the available capacity of the unit changes. 2. Determine the units average available capacity during the entire restricted period and reporting only one continuous averaged derating event to GADS. The start and end dates of the averaged derating event would be the start and end of the overall restricted period. The averaging technique used to determine the units available capacity involves first calculating the megawatthours (MWh) lost at each level of the derating, summing them, and then dividing by the number of hours in the overall derating period. This calculation yields the average megawatts (MW) lost during the period, from which the average available capacity of the unit during the period is determined. This is the only number you report in Section B of the Event Report (see Page III-23).
Page III-20 GADS Data Reporting Instructions January 2011
The following example demonstrates this averaging technique: A 1000 MW unit experienced a derating, caused by a stack emission limitation, over a ten day period (240 hours). During this period, the magnitude of the derating varied as follows: 1) 40 hours at 30 MW; 2) 10 hours at 50 MW; 3) 110 hours at 20 MW; and 4) 80 hours at 40 MW. During this time, the unit also experienced an Unplanned (Forced) Outage- Immediate (U1) event for 90 hours and a Reserve Shutdown (RS) event for 20 hours. First, the total megawatthours (MWh) lost at each derating level are calculated and summed: (40 hours x 30 MW) + (10 hours x 50 MW) + (110 hours x 20 MW) + (80 hours x 40 MW) = 7100 total MWh lost. Next, the average megawatts (MW) lost over the 10-day period is calculated by dividing the total MWh lost by the number of hours in the entire derating period: 7100/240 = 30 average MW lost Finally, the available capacity for the unit over the 10-day derating period is calculated by subtracting the average MW lost from the units Dependable Capacity. 1000 MW - 30 MW = 970 MW Available Capacity Again, the start and end dates of this derating would be the start and end dates of the entire period. The Available Capacity as a Result of the Event to be reported on the Event Report is 970. Notice in the example that one outage and one Reserve Shutdown event also occurred during the period of the stack emission limitation. As a data reporter, you must realize that deratings of the type described above exist even if the unit is shut down, limited by a more severe derating, or masked by a Reserve Shutdown. For this reason, in the example, the average megawatts lost over the 10-day period is calculated based on the total number of hours in the period (240), not just the number of hours the unit was synchronized. NERC computer programs recognize any full power outages that occur during a continuous derating period and do not double-count the overlapping periods when calculating performance indexes. Dominant Derating Reporting (See Page III-26 for details)
Page III-21
3. Reserve Shutdown - RS An event that exists whenever a unit is available for load but is not synchronized due to lack of demand. This type of event is sometimes referred to as an economy outage or economy shutdown. If a unit is shut down due to any equipment-related problems, whether or not the unit was needed by the system, report an Unplanned (Forced) Outage, Maintenance Outage, or Planned Outage, not a Reserve Shutdown. While a unit is on RS, maintenance work is often performed that would have resulted in a unit outage or derating had the unit been on line. This work can be reported as part of the RS event if, at anytime, the work can be stopped or completed without preventing the unit from: a) Synchronizing after a normal startup cycle; and, b) Reaching its available capacity after a normal loading cycle. This criterion remains the same whether or not the unit was needed by the system. If the above criterion is met, report maintenance work done during the RS on the Event Report, Section D (beginning with Record 04), using an Event Contribution Code 3-Other Components Worked During Event. If maintenance work cannot be stopped or completed the Reserve Shutdown condition of the unit is altered and an outage or derating must be reported. If the unit cannot be synchronized while the work is being performed, an outage exists and the RS must end. If the unit cannot attain its available capacity while the work is being performed, a derating exists. The RS event does not end, but report the derating too. Estimate the available capacity as a result of the derating. 4. Noncurtailing Event - NC An event that exists whenever equipment or a major component is removed from service for maintenance, testing, or other purposes that does not result in a unit outage or derating. An NC also can exist when a generating unit is operating at less than full capacity due to system dispatch requirements. During this period, equipment can be removed from service for maintenance, testing, or other reasons and be reported as an NC if both the following conditions are met: a) The available capacity of the unit is not reduced below that required by system dispatch; and, b) Maintenance work can be stopped or completed and the units reach its net dependable capacity (NDC) level within its normal ramp-up time, if and when the unit was needed by the system. If the conditions cannot be met, report an outage or derating event rather than an NC.
Page III-22
B. Event Magnitude
The information in this section is used to determine the impact of the event identified in Section A on the unit. This section is located on Record 01 of the Event Report. See Figure III-5.
Figure III-5 Record Layout of Section B Event Magnitude
Record 01 Number of Columns 8 20 8 4 + 2 decimals 4 + 2 decimals 1 1 11 2
Column ID B Event Magnitude Start of Event (Blank Columns) End of Event Gross Available Capacity Net Available Capacity (Blank Columns) Dominant Derating Code (Blank Columns) Record Number
Starting Position 20 28 48 56 62 68 69 70 81
Start of Event (Record 01, columns 20-27) Enter the time (month/day/hour/minute) the event began: Outages time the unit was desynchronized (either operator or equipment initiated) or entered the outage state from another state. Deratings time the system, major component, or piece of equipment became unavailable for service affecting an actual or potential loss of unit capacity. Reserve Shutdowns time the unit was desynchronized or entered the reserve Shutdown State from another state. Noncurtailing Events time the system, major component, or piece of equipment became unavailable for service (either operator or equipment initiated). Use a 24-hour clock to record time. Midnight is recorded as 2400 and the beginning of a new day is recorded as 0000. For an event that began on July 31 at 3:26 p.m., the start of event is recorded as:
07 31 15 26
Page III-23
Event Transitions
Sometimes events occur in succession with no intervening unit synchronization. These events are considered related, even though they must be reported separately. The matrix below describes the relationships between events and details permissible event type changes, see Example 9 in Appendix G. Figure III-6 Allowable Event Type Changes
FROM
U1 Immediate U2 Delayed U3 Postponed SF - Startup Failure MO Maintenance PO Planned ME Maintenance Extension PE Planned Extension RS Reserve Shutdown D1 Immediate D2 Delayed D3 Postponed D4 Maintenance PD Planned DM Maintenance Derating Extension DP Planned Derating Extension
TO
U1
Yes Yes Yes Yes Yes Yes Yes Yes Yes
U2
No No No No No No No No No
U3
No No No No No No No No No
SF
MO
Yes Yes Yes Yes Yes No No No Yes
PO
Yes Yes Yes Yes Yes Yes No No Yes
ME
No No No No Yes No Yes No No
PE
No No No No No Yes No Yes No
RS
DM
DP
No No
No No No No Yes No Yes
IEEE Standard 762 does not recognize transition to/of deratings from/to other event types except as shown.
No Yes No Yes No
YES denotes that a change from one event type to another without intervening synchronization is permissible and the end date of the first event can be the same as the start date of the successive event. NO indicates that there is no relationship between the event types and individual events separated by some period of time must be reported. When there is no intervening synchronization between events, the start time of one event is the same as the end time of the immediately preceding event.
Note: Effective January 1, 2005, the section When to Adjust for Startups (formally Figure III-7) was removed from the GADS DRI. The rule for artificially adding start up times to events moving from one event type to another could not be tested or enforced. The mass majority of reporters were not following the rules and only a few (as surveyed at annual workshops) were. Therefore, to allow equal reporting rules, the section was dropped.
Page III-24
End of Event (Record 01, columns 48-55) Enter the time (month/day/hour/minute) the event ended: Outages time the unit was synchronized or placed in another appropriate unit state. Deratings time the system, major component, or piece of equipment became available for service affecting an actual or potential increase in unit capacity. Reserve Shutdowns time the unit was synchronized or placed in another appropriate Unit State. Noncurtailing Events time the system, major component, or piece of equipment became available for service. For events that extend through multiple quarters within the same year, DO NOT WAIT until the event is over before reporting it to GADS. Instead, report the event leaving the end date blank. When the event does end, submit the end date as a revision, following the instructions on Pages III-4. Every event must have an end date at the end of every year. For events that continue into the new year, enter the end date as 12312400. Restart the event in the new year with a start date of 01010000. Take care to change the Year (Section A, columns 9-12) to reflect the current year, and assign a new Event Number (Section A, columns 13-16). In addition to the year, event number, and start date, the new event being carried into the new year must: have a revision code of zero (0); have the same event type as the previous years report; include all the system/component cause codes used in the previous year, except for those components that were repaired within the previous year; include man-hours worked during the current year only.
Page III-25
Gross Available Capacity (GAC) as a Result of the Event (Record 01, columns 56-61); and Net Available Capacity (NAC) as a Result of the Event (Record 01, columns 62-67) Enter the capacity that is available from the unit given the restriction imposed by the derating event being reported. This is the capacity after the reduction has been taken into account. Complete these fields only when the event type is a derating. The GAC is the greatest capacity at which the unit can operate during the period of restriction caused by the derating. The NAC is the GAC less any capacity utilized for station service or auxiliary loads. Either the GAC, the NAC, or both must be completed when the event type is a derating. Net data is preferred, but gross data must be reported if it is the only value available. If you report the Gross Available Capacity (GAC) then you must report, Gross Maximum Capacity (GMC), Gross Dependable Capacity (GDC), and Gross Actual Generation (GAG) on the Performance Report (95). Data consistency is necessary to calculate availability statistics. See Notes on Reporting Deratings, Pages III-18 to III-21, for more information concerning the reporting of deratings. Dominant Derating Code (Record 01, column 69) All deratings reported to GADS are considered additive unless reported in a more complex manner. When reported in the complex manner, the same events are reported more than once in order to emphasize which derating is more dominate of the two. It thus creates a problem with the frequency and duration of the derate because the same derate is reported more than once. The purpose of the Dominant Derating Code is to mark the dominate derating if more than two deratings are occurring at the same time. By marking the dominate derate, the computer program will process the cause code for that dominate derating for its full impact and not hide part of the impact credited to other derates. Unit performance statistics will not be affected. Cause code statistics will be more accurate by recording the true frequency and impact of the dominate derate. The Dominant Derating Code will be in the unused column 69 of record 01. A dominate derate will be identified by a D. See example G-3D for an example of dominant derates. One example of how two derates would be reported to GADS one without the Dominant Derating Code and one with the Dominant Derating Code is shown in Figure III-7.
Page III-26
Figure III-7 Example of Dominant Derating Code Reporting
Capacity (MW) 700 600
Event #1
Event #3 Event #2
D4-CC 3112
500 400 300

D1-CC 3410
Without Dominant Derating Code
3 events to cover 2 incidents
Capacity (MW) 700
Event #1
600 500 400 300
Event #2 Event #2
D4CC 3112
D1-CC 3410
With Dominant Derating Code
2 events to cover 2 incidents
Page III-27
C. D.
Primary Cause of Event; and Additional Cause of Event or Components Worked during Event
The data elements reported in Sections C and D are the same and will be discussed together. Section C is used to detail the system, major component, or piece of equipment primarily responsible for causing the event. Section C is located on Records 02 and 03 of the Event Report (refer to Figure III-8 on Page III-29). You must complete one Section C for every event submitted to GADS with the exception of Reserve Shutdown events. Because the only cause of a reserve shutdown is economic considerations, reporting Section C is optional. Only one Section C may be reported for each event. Section D of the Event Report is used to report factors contributing to the cause of the event (but are not primarily responsible); additional components worked on while the event was in progress; factors significantly affecting the startup/ramping of the unit; or, problems that extended the event. Section D begin with Records 04 and 05 of the Event Report (refer to Figure III-9 on Page III-30). Section D is used for several different reasons, as described above, so multiple Section D cards are allowed. Only one Section D can be used for each system, component, or piece of equipment you are describing. Up to 46 sets of Section D records (numbers 04-99) are allowed, so you can describe up to 46 different items. Both Sections C and D consist of two cards each, one even-numbered and one odd-numbered. The even-numbered record is used to begin the description of the cause or the contributing factors of the event and contains information like man-hours worked. The odd-numbered record is used only to continue the description begun on the even-numbered card. If additional space is not needed for a description, omit the odd-numbered record rather than submit a blank one to GADS. The first 19 characters (A Event Identification) of each record (02-99) are identical to that of Record 01. These 19 characters link the records together. Note: Never begin describing a new system, major component, or piece of equipment on an oddnumbered card.
Page III-28
Figure III-8 Record Layout of Section C Primary Cause of Event (Records 02 and 03)
Record 02 Column ID A Event Identification Record Code Utility Code Unit Code Year Event Number Report Revision Code Event Type C Primary Cause of Event System/Component Cause Code Cause Code Amplification Code Time Work Started Time Work Ended (Blank Columns) Event Contribution Code Problem Alert Man-hours Worked Verbal Description Record Number 4 2 8 8 2 1 1 4 31 2 20 24 26 34 42 44 45 46 50 81 2 3 3 4 4 1 2 1 3 6 9 13 17 18 Number of Columns Starting Position
Record 03 Column ID A Event Identification Record Code Utility Code Unit Code Year Event Number Report Revision Code Event Type C Primary Cause of Event System/Component Cause Code (Blank Columns) Verbal Description Record Number 4 2 55 2 20 24 26 81 2 3 3 4 4 1 2 1 3 6 9 13 17 18 Number of Columns Starting Position
Page III-29
Figure III-9 Record Layout of Section D Additional Work During Event (Records 4+ and 5+)
Records 04+ (Even Numbered) Column ID A Event Identification Record Code Utility Code Unit Code Year Event Number Report Revision Code Event Type Column ID D Additional Work During Event System/Component Cause Code Cause Code Amplification Code Time Work Started Time Work Ended (Blank Columns) Event Contribution Code Problem Alert Man-hours Worked Verbal Description Record Number 4 2 8 8 2 1 1 4 31 2 20 24 26 34 42 44 45 46 50 81 2 3 3 4 4 1 2 Number of Columns 1 3 6 9 13 17 18 Starting Position Number of Columns Starting Position
Records 05+ (Odd Numbered) Column ID A Event Identification Record Code Utility Code Unit Code Year Event Number Report Revision Code Event Type D Additional Work During Event System/Component Cause Code (Blank Columns) Verbal Description Record Number 4 2 55 2 20 24 26 81 2 3 3 4 4 1 2 1 3 6 9 13 17 18 Number of Columns Starting Position
Page III-30
Figure III-10 Allowable Cause Codes

Combine Cycle/Co-Gen Concentrated Solar
0000-0002 0358-0480 0670-0859 1300-1350 1400-1450 1590-1850 1900-1999 3100-3889 3950-4580 4600-4899 6005-6090 6110-6183 6299 6399 6500-6599 9000-9040 9130-9340 9504-9694 9700-9999
Gas Turbine
0000-0002 0010-0129 0200-0480 0500-0920 1000-1090 1100-1210 1300-1360 1400-1599 1700-1820 1850 1900-1910 1980-1999 3110-3199 3210-3299 3300-3399 3401-3499 3501-3509 3520-3549 3600-3690 3700-3730 3800-3899 3950-3999 4000-4899 8000-8590 8600-8790 8800-8845 9000-9040 9130-9160 9180-9291 9300-9340 9504-9590 9600-9656 9660-9690 9700-9720 9900-9999
0000-0002 0010-0129 0130-0156 0160-0174 0200-0480 0500-0920 0930-1090 1100-1200 1300-1360 1400-1599 1700-1820 1850 1900-1910 1980-1999 3110-3199 3210-3299 3300-3399 3401-3499 3501-3509 3520-3549 3600-3690 3700-3730 3800-3899 3950-3999 4000-4899 8000-8590 8600-8790 8800-8845 9000-9040 9130-9160 9180-9291 9300-9340 9504-9590 9600-9656 9660-9690 9700-9720 9900-9999
0000-0002 2010-2090 2110-2160 2170-2799 2805-2890 2900-2999 3110-3199 3210-3299 3300-3399 3401-3499 3501-3509 3520-3529 3600-3690 3700-3730 3800-3899 3950-3999 4000-4899 9000-9040 9110-9160 9180-9199 9300-9340 9500-9590 9660-9690 9700-9720 9900-9999
0000-0002 3600-3690 3700-3730 4500-4899 5700-5880 5890-5999 9000-9040 9130-9160 9180-9199 9220-9291 9300-9340 9504-9590 9605-9655 9665-9695 9700-9720 9900-9999
0000-0002 3600-3690 3700-3730 3810-3899 3950-3999 4500-4899 5000-5039 5040-5190 5200-5299 7800-7960 8656 8700-8790 8800-8835 8840-8845 9000-9040 9130-9160 9180-9291 9300-9340 9504-9590 9603-9653 9663-9693 9700-9720 9900-9999
0000-0002 3600-3689 3700-3730 3810-3899 3950-3999 4500-4899 7000-7299 9000-9040 9135-9160 9180-9199 9300-9340 9504-9590 9676-9696 9700-9720 9900-9999
0000-0002 3600-3690 3700-3730 3810-3899 3950-3999 4500-4899 5400-5439 5440-5590 5600-5699 7800-7960 8656 8700-8790 8800-8835 8840-8845 9000-9040 9130-9160 9180-9291 9300-9340 9504-9590 9604-9658 9664-9694 9700-9720 9900-9999
0000-0002 0358-0480 0540-0570 0670-0859 1300-1599 1700-1820 1850 & 1900-1910 1980-1999 3110-3199 3210-3285 3290-3295 3299 & 3300-3399 3401-3499 3501-3509 3520-3549 3600-3690 3700-3730 3800-3899 3950-3999 4000-4899 5000-5299 5400-5699 6000 & 6005-6090 6100 & 6110-6184 6299 & 6399 7800-7960 8700-8790 8800-8835 8840-8845 9000-9040 9130-9160 9180-9199 9200-9291 9300-9340 9504-9590 9600-9658 9660-9694 9700-9720 9900-9999
0000-0002 0500-0620 3110-3199 3210-3299 3300-3399 3600-3690 3700-3730 3810-3899 3950-3999 4200-4250 4260-4314 4400-4580 4600-4650 4700-4750 4800-4899 6410-6499 8000-8499 8700-8790 9000-9040 9130-9160 9180-9199 9300-9340 9504-9590 9700-9720 9900-9999
0000-1999 3110-3999 4000-4899 5000-5299 5400-5699 7800-7960 8000-9999
Miscellaneous
Jet Engine
Hydro/ Pumped Storage
Geothermal
Fluidized Bed
Nuclear
Diesel
Fossil
Page III-31
System/Component Cause Code (Record 02, columns 20-23) Enter the four-digit code from Appendix B that best identifies the system, major component, or piece of equipment you are describing. Appendix B is divided into several sections for easily locating the appropriate cause codes for each unit type. Figure III-10 on Page III-31, identifies the allowable range of System/Component Cause Codes for each type of unit. Cause Code Amplification Code (Record 02, columns 24-25) The purpose of the amplification code is to further identify the cause of an outage by describing the failure mode. The amplification code is two alpha-numeric characters following the cause code. Failure modes are leaks, corrosion, personnel error, fire, etc. They are almost identical to the GADS Failure Mechanism Codes (see Appendix H) except the Cause Code Amplification Code is just two-characters. Some existing cause codes contain these amplification codes as part of their description. The Cause Code Amplification Code allows all cause codes to be described with the set of failure modes without increasing the number of cause codes. It will also allow analyst to further explore the common causes of outages. A list of the Cause Code Amplification Codes can be found in Appendix J. Time: Work Started (Record 02, columns 26-33) Enter the date (month/day/hour/minute) the system or component became unavailable for service. This time can be before the start of the event but should not consider time spent during preparatory work before the system or component was physically taken out of service. This field may be left blank, but if you do not provide this information, it is assumed that the work started when the event began. Time: Work Ended (Record 02, columns 34-41) Enter the date (month/day/hour/minute) the system or component became available for service. Although this time is normally before or the same as the end of the event, it can be after. This field can be left blank, but if you do not provide this information, it is assumed that the work ended when the event ended. Event Contribution Code (Record 02, column 44) Enter the one-digit code that best describes how the system, major component, or piece of equipment identified in columns 20-23 contributed to the event. Choose the appropriate code from the following list:
Page III-32
Codes 1 Primary cause of event The contribution code 1 must always appear in Section C: Primary Cause of Event. A 1 can only be used on Section D -Additional Cause of Event for a Planned Outage (PO) or a Maintenance Outage (MO) when work on multiple components is scheduled. Contributed to primary cause of event Use this code to describe other systems, components, external conditions, or human factors that contributed to cause the event but were not primarily responsible for the event. Work done during the event Use this code to identify systems or components that were worked on during the event but did not contribute to the initiation of the event or cause a delay in startup. After startup, delayed unit from reaching load point
Note: Event Contribution Codes 2, 3, and 5 can be reported on Section D cards, and may be used more than once. Never leave this field blank. Problem Alert (Record 02, column 45) Enter an X in this field if you believe the problem with the system or component is generic to its design or operation practices. Because this information may be helpful to others using similar equipment, an X alerts the NERC staff to initiate an investigation. Man-hours Worked (Record 02, columns 46-49) Enter the number of man-hours spent correcting the cause of the event or making repairs. Include those hours expended for on-site repairs as well as any off-site work. If man-hours exceed four digits, enter 9999 in this field and describe the actual number of man-hours expended in the Verbal Description. If this situation occurs, consider reporting more detailed cause codes, and subdividing the man-hours into segments associated with each system or component. Verbal Description (Record 02, columns 50-80; Record 03, columns 26-80) This space is provided to give a more detailed explanation of the event and the cause(s) you identified by system/component cause code(s). It can also be used to report the expanded data format as described beginning on Page III-36. Use only two sequential records (02-03, 04-05, etc.) to provide the description for each cause code you report. Your narrative should include a balanced description of the major aspects of the event, focusing on these key areas: 1) failure description and appearance; 2) cause of immediate failure and contributing factors; and, 3) corrective actions. There is limited space available for your description, so we suggest you abbreviate as much as possible. Following the guidelines below will help you to develop a complete, concise description encompassing the key areas noted below.
1. Failure Description and Appearance Describe the manner in which the failure occurred. Identify the failure mode in generic terms, not in terms of the failure mechanism or failure effect(s). The following key words may be useful in describing the type and mode of the failure. These lists are by no means comprehensive. You may use these words as well as any others you feel appropriate.
Types of Failure Typical Failure Modes
Erosion Corrosion Electrical Electronic Mechanical Hydraulic Instruments Operational
Leak Crack Breach Physical Distortion Physical Displacement Collapse Fracture/Break Wont Start/Move Wont Stop Wont Close Wont Open Wont Hold Wont Release Out of Limits Out of Adjustment Spurious Operation, False Response
2. Cause of Immediate Failure and Contributing Factors The cause code already specifically identifies the primary system/component that caused the failure. It is advantageous, however, to describe other observed factors which contributed to the failure such as non-operational or physical factors (e.g., Engineering, Design, Human Error, etc.). Key words that are useful in describing immediate and contributing factors are shown below. This list is by no means comprehensive. You may use these words as well as any others you feel appropriate.
Typical Contributing Factors
Foreign/Wrong Part Foreign/Incorrect Material Particulate Contamination Normal Wear Abnormal Wear Lubrication Problem Weld Related Abnormal Load Abnormal Temperature Abnormal Pressure Abnormal Flow Set Point Drift Improper Previous Repair Incorrect Procedure/Instruction
Page III-34
Instrument/Switch Miscalibration Insulation Breakdown Short/Grounded Open Circuit Contacts Burned/Pitted/Corroded Connection Defective Circuit Defective Burned/Burned Out Electrical Overload Material Defect Excess Vibration Fire/Explosion Natural Catastrophe Cyclic Fatigue
3. Corrective Actions Record the actions taken to repair and correct the failure problem. If tests or recalibration are made to verify that repairs are successful, they should be noted as well. Key words that can be used to describe corrective actions include the following. This list is by no means comprehensive. You may use these words as well as any others you feel appropriate.
Typical Corrective Actions
Recalibrate Adjust Temporary Repair Temporary Bypass Redesign Modify Repair Part(s)
Replace Part(s) Repair Component(s) Replace Component(s) Reseal Repack Request License Revision
As an example, a relay coil wire burns open because of electrical overload and has to be replaced. The failure description would be relay coil wire, the appearance is burned open and the cause is electrical overload. Corrective action would be replaced. The verbal description would be completed as follows: RELAY COIL WIRE BURNED OPENELECTRICAL OVERLOAD REPLACED WIRE
Page III-35
Expanded Data Reporting

Some utilities have expressed an interest in reporting more detailed operating and maintenance data to GADS, which will allow them to perform more detailed reliability analyses. Also, by including these new data elements, duplicate reporting to other industry databases can be eliminated. To accommodate this request several new data elements have been added to GADS. Reporting of this additional information is optional, although strongly encouraged. We believe reporting of these data will enhance the usefulness of our database and benefit the entire utility industry. If you choose to report these data to GADS, follow the instructions below (see Figure III-11 on Page III-37). If you choose not to supply the additional data, report the verbal description as described on Page III-33. Failure Mechanism Code* (Record 02, columns 50-53) From the list provided in Appendix H, enter the code that best describes the manner in which the component failed. The failure mechanism code must be reported in columns 50-53 on all evennumbered records containing a system/component cause code. Trip Mechanism (manual or automatic)* (Record 02 column 54) Enter the code that describes how the unit was shutdown. Use A for automatically (control system initiated), or M for manually (operator initiated). The trip mechanism must be reported in column 54 of all even-numbered cards containing a contribution code of 1 in column 44. Cumulative Fired Hours at Time of Event* (Record 02, columns 55-60) Enter the cumulative number of fired hours experienced by the unit at the time the event began. This data is taken directly from the fired hours meter typically located on the units control panel. This meter clocks cumulative operating hours since unit start-up. The fired hours must be reported in columns 55-60 of all even-numbered cards containing a contribution code of 1 in column 44. Cumulative Engine Starts at Time of Event* (Record 02, columns 61-65) Enter the cumulative number of engine starts experienced by the unit at the time the event began. This data is taken directly from the engine starts counter typically located on the units control panel. This counter clocks cumulative engine starts since unit start-up. The engine starts must be reported in columns 61-65 of all even-numbered cards containing a contribution code of 1 in column 44.
Page III-36
Figure III-11 Record Layout of Event Records Using Failure Codes

Record 02 Column ID A Event Identification Record Code Utility Code Unit Code Year Event Number Report Revision Code Event Type C Primary Cause of Event System/Component Cause Code Cause Code Amplification Code Time Work Started Time Work Ended (Blank Columns) Event Contribution Code Problem Alert Man-hours Worked Failure Mechanism Code* Trip Mechanism* Cumulative Fired Hours at Time of Event* Cumulative Engine Starts at Time of Event* Verbal Description Record Number 4 2 8 8 2 1 1 4 4 1 6 5 15 2 20 24 26 34 42 44 45 46 50 54 55 61 66 81 2 3 3 4 4 1 2 1 3 6 9 13 17 18 Number of Columns Starting Position
Record 03 Column ID A Event Identification Repeat columns 1-19 from record numbers 01 and 02 C Primary Cause of Event System/Component Cause Code (Blank Columns) Verbal Description Record Number 4 2 55 2 20 24 26 81 Number of Columns Starting Position
*Gas turbine and jet engine units only.
Page III-37
Note: There are number of differences between the GADS national database and those databases collected by the different Independent System Operators (ISO) organizations. Some are minor changes and some are not. Since GADS is still a voluntary database, there are no obligations for the ISOs to follow GADS rules and procedures 100%. For more information see Appendix M.
Page III-38
Section IV Performance Reporting

Performance data provide information, in a summarized format, pertaining to overall unit operation during a particular month in a given year. These data are needed to calculate unit performance, reliability, and availability statistics. Performance data are required for all unit types and sizes reported to the GADS program.
Performance Report (05 Format)

Report performance data to GADS in the Performance Report (05) format, as described in this section. Submit the data to GADS within 30 days after the end of each quarter. Performance data must be submitted even if a unit was off-line during the entire quarter. It is preferred to report year-to-date information each quarter rather than four, single quarterly submittals. There are six distinct sections of the Performance Report: A) Event Identification; B) Unit Generation Performance; C) Unit Starting Characteristics; D) Unit Time Information; E) Primary Fuel; and, F) Secondary Fuel. Together, these sections provide an overall summary of the operating status of a unit. The Performance Report (05) is divided into several sections. The different sections of the Performance Report are on different records: Sections A, B, and C on Record 01, Section D on Record 02, and Sections E and F on Records 03 and 04. Unless otherwise stated, do not zero-fill or asterisk-fill unused data fields in any section of the Performance Report. Note: As of January 1, 2010, GADS only accepts the new (05) format. There was a need by several Independent System Operators (ISO) groups to collect data on units smaller than 1 MW in size. There is also a need to collect and report generation smaller than 1 MWh. Therefore, the GADS database expanded the Gross Maximum Capacity (GMC), Gross Dependable Capacity (GDC), Net Maximum Capacity (NMC) and Net Dependable Capacity (NDC) to include two decimal places. GADS also expanded the Gross Actual Generation (GAG) and Net Actual Generation (NAG) to allow two decimal places. We are not asking for generating units of 0.01 MW size to report to GADS. Historically speaking, the smallest units reported to GADS are 1 MW. With the introduction of the 05 format, GADS can accept smaller units but units less than 1 MW are optional reporting. A description of each section and the data elements within it follows. Included are detailed instructions for reporting each performance data element.
Page IV-1
A. Unit Identification
There are six data elements, referred to as fields, in this section. See Figure IV-1. These elements form a key an identifier that makes each performance record unique from all others in the database. This key is referenced at the beginning of every record used to report performance data.
Figure IV-1 Record Layout of Section A Unit Identification
All Records Column ID A Unit Identification Record Code Utility (Company) Code Unit Code Year Report Period Report Revision Code 2 3 3 4 2 1 1 3 6 9 13 15 Number of Columns Starting Position
Record Code (columns 1-2) This 05 code uniquely identifies these data as a Performance Report. Utility (Company) Code (columns 3-5) Enter the three-digit code NERC assigned to your utility. Appendix C contains a complete list of the utilities participating in GADS and their assigned utility codes. Unit Code (columns 6-8) Enter the three-digit code your utility assigned for the unit that you are reporting. This code distinguishes one unit from another in your utility. Appendix C, Page C-1, contains a guide for selecting unit codes. Year (columns 9-12) Enter the year (YYYY) for which data are being summarized. Report Period (columns 13-14) Enter the month of the year for which data are being summarized:
Monthly Summaries 01 02 03 04 January February March April 05 06 07 08 May June July August 09 10 11 12 September October November December
Page IV-2
Report Revision Code (column 15) This one-character data field signals that a change must be made to a performance report already submitted to GADS. Changes can be corrections, additions, or deletions of existing reports. The first time you submit a performance report to GADS it is called an original. All original reports have a revision code of zero (0). Use the following codes when making changes to an original performance report:
1, 2, . . . 9
Use these codes when making corrections or additions to original performance reports. Each time you make a change, you must increase the revision code by one. Up to nine corrections and additions to an original report can be made. When making corrections or additions to an original report, you need to send GADS all records relating to the performance report on which the change are to be made. On the record: 1. Complete columns 1-14, repeating the information from the original report; and, 2. Increase the revision code in column 15 by one; and, 3. Make sure the same record number used in the original report is in columns 124-125. DO NOT LEAVE THE RECORD NUMBER BLANK; and, 4. Enter the correct or additional information in the appropriate field. To delete data from one or more data fields, GADS RECOMMENDS that you resubmit the entire data set year-to-date for that unit (or all units you report) to GADS. This procedure will insure that both you and the GADS database have the same records on file. You have the option to find the record that has the highest revision code and then increase this number by one or set all revision codes back to zero.
Page IV-3
B.
Unit Generation Performance
The data provided in this section are used to calculate performance statistics. Both gross and net values are requested. Net values are preferred but reporting gross data only is acceptable. Reporting (either) gross and (or) net data depends on how the unit is electrically metered. Some units are metered on a single basis (gross or net). Enter your units data on the basis of how your unit is actually metered. If you meter both gross and net, enter both values. If you meter on a single basis, but can estimate the other, do so and enter the estimated value in the appropriate field. The elements to be completed in Section B are detailed below. The value you report, GROSS or NET, must be consistent with the available capacity as a result of deratings reported on the Event Reports (07).
Figure IV-2 Record Layout of Section B Unit Generation Performance*
Record 01 Column ID B Unit Generation Performance Gross Maximum Capacity Gross Dependable Capacity Gross Actual Generation Net Maximum Capacity Net Dependable Capacity Net Actual Generation 4 + 2 decimals 4 + 2 decimals 7 + 2 decimals 4 + 2 decimals 4 + 2 decimals 7 + 2 decimals 16 22 28 37 43 49 Number of Columns Starting Position
Gross Maximum Capacity (GMC) (Record 01, columns 16-21) Enter the maximum capacity the unit can sustain over a specified period of time when not restricted by ambient conditions or deratings. To establish this capacity, formal demonstration is required. No standard demonstration test method or test duration exists at this time but many of the NERC regions have their own criteria that all utilities in that region follow. If your utility has not set demonstration test requirements, contact your regional manager listed in Appendix C. The GMC of a unit should change only as a result of a new performance test or permanent unit modification. GMC is never changed due to equipment problems, even if they persist for a lengthy period of time unless the unit is permanently modified as a result. If the unit is permanently modified, note changes in the units design on a new design data form and submit it to NERC GADS for updating. Gross Dependable Capacity (GDC) (Record 01, columns 22-27) Enter the gross power level that the unit can sustain during a given period if there are no equipment, operating, or regulatory restrictions. By definition, therefore, the GDC is the GMC modified for ambient limitations. The GDC is the same in intent and purpose as the historically reported Maximum Dependable Capacity (MDC).
Page IV-4
Gross Actual Generation (GAG) (Record 01, columns 28-36) Enter the actual number of gross electrical megawatthours (MWh) generated by the unit during the month. If you report both Service Hours and Gross Actual Generation (one to 9999999), GMC or GDC must also be reported. Similarly, if both service hours and a gross capacity value are reported, Gross Actual Generation must also be reported. This provides consistency when calculating performance statistics. Net Maximum Capacity (NMC) (Record 01, columns 37-42) NMC is the units GMC less any capacity (MW) utilized for that units station service or auxiliary load. Net Dependable Capacity (NDC) (Record 01, columns 43-48) NDC is the units GDC less any capacity (MW) utilized for that units station service or auxiliary loads. Net Actual Generation (NAG) (Record 01, columns 49-57) NAG is the units GAG less any generation (MWh) utilized for that units station service or auxiliary loads. If NAG is negative during the month being reported, enter a minus sign in the column immediately before the reported value. For consistency in calculating statistics, if Net Actual Generation is reported (negative integer or positive integer), NMC or NDC must also be reported. Similarly, if a net capacity value is reported, Net Actual Generation must also be reported. Please note: If you only report either the gross or the net capacities, the GADS editing program will calculate any missing GMC, GDC, NMC, or NDC using the following criteria:
Fossil, Nuclear, and Fluidized Bed: Gas Turbine/Jet Engine: Diesel: Hydro/Pumped Storage: Miscellaneous: 5.0% difference between gross and net values 2.0% difference between gross and net values No difference between gross and net values 2.0% difference between gross and net values 4.0% difference between gross and net values
Page IV-5
For example, if you report only NMC and NDC, then the program will take your NMC and multiply it by 1.05 to determine the new GMC. The same operation would occur for determining the GDC from the NDC number. If you report only one capacity (for example NMC), then the program will assume the NMC and NDC are equal and will record the unit as such. It will then calculate the GMC and GDC using the calculation stated above. If you think the differences between gross and net are different than those numbers stated above, then complete all capacities (maximum and dependable) with the correct numbers. The computer will accept entered numbers and will only calculate new numbers if the fields are blank, zerofielded, or have an asterisk (*). Special Note on Gas Turbine and Jet Engines Gas turbine and jet engine capacities are very sensitive to outside temperatures and their capacities are not as constant as fossil or nuclear plants. See Figure IV-3 below as an example. Therefore, the GMC and NMC capacities of these units should be based on the International Organization of Standardization (ISO) charts (at standard temperatures and pressures) for each individual Gas Turbine and Jet Engine unit. Once the GMC and NMC are determined, any nonequipment restriction that lessens the capacity would be the GDC and NDC numbers. Report the monthly average GMC, GDC, NMC and NDC to GADS.
Figure IV-3 Effects of Ambient Temperature on Gas Turbines/Jet Engines
Page IV-6
C. Unit Starting Characteristics

The data elements in this section are used to establish the manner in which the unit was operated during the month. This information is needed when sorting data for use in special availability and reliability applications. Section C is located on Record 01; refer to Figure IV-4 below.
Figure IV-4 Record Layout of Section C Unit Starting Characteristics
Record 01 Column ID C Unit Starting Characteristics Typical Unit Loading Characteristics Attempted Unit Starts Actual Unit Starts (Blank Columns) Verbal Description Record Number 1 3 3 34 25 2 58 59 62 65 99 124 Number of Columns Starting Position
Typical Unit Loading Characteristics (Record 01, column 58) Enter the code from the list below that best describes how the unit was operated or loaded during the month being reported.
Code 1 2 3 4 5 6 7 Description Base loaded with minor load following at night and on weekends Periodic startups with daily load-following and reduced load nightly Weekly startup with daily load-following and reduced load nightly Daily startup with daily load-following and taken off-line nightly Startup chiefly to meet daily peaks Other (describe in verbal description) Seasonal Operation
If the unit was off-line during the entire period, describe how the unit typically would have been loaded had it been on-line. Never zero-fill, asterisk-fill, or leave this field blank.
Page IV-7
Attempted Unit Starts (Record 01, columns 59-61) Enter the number of attempts made to start the unit during the month to either generate, pump or synchronous condense where the unit goes from a stopped position to generate, pump or synchronous condensing mode. Repeated initiations of the starting sequence without accomplishing corrective repairs are counted as a single attempt. If startup attempts are abandoned and the unit is shut down for repairs and then started at a future time, report two startup attempts. Actual Unit Starts (Record 01, columns 62-64) Enter the number of times the unit actually starts during the month to generate, pump or condense where the unit goes from a stopped position to generate, pump or synchronous condensing mode. The number of actual unit starts must be less than or equal to the number of attempted unit starts. Verbal Description (Record 01, columns 99-123) If you enter Code 6 (Other) for the Typical Unit Loading Characteristics, as noted in column 58 in Figures IV-4, describe how the unit actually was operated during the month. Unlike the verbal description field on the Event Report (07), your description must be abbreviated to fit in columns 99-123. No additional records may be used.
D. Unit Time Information

The data reported in Section D (see Figure IV-5) summarize information reported on the Event Report (07). The technique for summarizing event data is described on Page IV-11. If event data are not reported (see Figure II-1, Page II-2), the data needed to complete Section D must be computed from your own station records. The first 15 characters of Record 02 (A Unit Identification) are identical to that of Record 01. These 15 characters link the records together.
Page IV-8
Figure IV-5 Record Layout of Section D Unit Time Information

Record 02 Column ID A Unit Identification Record Code Utility (Company) Code Unit Code Year Report Period Report Revision Code D Unit Time Information Unit Service Hours Reserve Shutdown Hours Pumping Hours Synchronous Condensing Hours Available Hours Planned Outage Hours Forced Outage Hours Maintenance Outage Hours Extensions of Scheduled Outages Unavailable Hours Period Hours Inactive Hours (Blank Columns) Record Number 3 + 2 decimals 3 + 2 decimals 3 + 2 decimals 3 + 2 decimals 3 + 2 decimals 3 + 2 decimals 3 + 2 decimals 3 + 2 decimals 3 + 2 decimals 3 + 2 decimals 3 + 2 decimals 3 + 2 decimals 48 2 16 21 26 31 36 41 46 51 56 61 66 71 76 124 2 3 3 4 2 1 1 3 6 9 13 15 Number of Columns Starting Position
Unit Service Hours (Record 02, columns 16-20) Enter the number of hours the unit was synchronized to the system. For units equipped with multiple generators, count only those hours when at least one of the generators was synchronized, whether or not one or more generators were actually in service. Reserve Shutdown Hours (Record 02, columns 21-25) Enter the sum of all hours the unit was available to the system but not synchronized for economy reasons. For information regarding work done during Reserve Shutdowns, see Section III, Page III-22. Pumping Hours (Record 02, columns 26-30) Enter the number of hours the hydro turbine/generator operated as a pump/motor.
Page IV-9
Synchronous Condensing Hours (Record 02, columns 31-35) Enter the number of hours the unit operated in the synchronous condensing mode (applies primarily to hydro/pumped storage and some combustion turbine units). Do not report these hours as Unit Service Hours. Available Hours (Record 02, columns 36-40) Enter the sum of the Unit Service Hours, Reserve Shutdown Hours, Pumping Hours (if applicable), and Synchronous Condensing Hours (if applicable), as entered in columns 16-35 above. Planned Outage Hours (Record 02, columns 41-45) Enter the sum of all hours the unit was off-line due to Planned Outages (PO) as detailed on the Event Reports completed for this unit. The technique used to compute hours from the Event Reports is described on Page IV-11. Unplanned (Forced) Outage Hours and Startup Failure Hours (Record 02, columns 46-50) Enter the sum of all hours the unit was off-line due to immediate, delayed, and postponed outages (U1, U2, and U3) and Startup Failures (SF) outages as detailed on the Event Reports completed for this unit. The technique used to compute hours from the Event Reports is described on Page IV-11. Maintenance Outage Hours (Record 02, columns 51-55) Enter the sum of all hours the unit was off-line due to Maintenance Outages (MO) as detailed on the Event Reports completed for this unit. The technique used to compute hours from the Event Reports is described on Page IV-11. When calculating statistics involving Maintenance Outage Hours, note that IEEE Standard 762 considers these hours as unplanned. The use of Maintenance Outage Hours in the GADS statistics is described in detail in Appendix F. Extensions of Scheduled Outages (Record 02, columns 56-60) Enter the sum of all hours the unit was off-line due to Extensions of Scheduled Outages (ME and PE) as detailed on the Event Reports completed for this unit. The technique used to compute hours from the Event Reports is described on Page IV-11. Unavailable Hours (Record 02, columns 61-65) Enter the sum of Planned Outage Hours (PO), Unplanned (Forced) Outage Hours (U1, U2, U3 + SF), Maintenance Outage Hours (MO), and Extensions of Scheduled Outages (ME and PE), as entered in columns 41-60 above.
Page IV-10
Computing Hours from the Event Report (07) 1. Calculate the duration of each outage (PO, MO, ME, PE, U1, U2, U3, and SF) and Reserve Shutdown (RS) reported as an event to the GADS database by subtracting the START OF EVENT from the END OF EVENT. Convert this to hours. Add the total number of hours during the month spent in each outage category (PO, MO, ME, PE, U1, U2, U3, and SF) and the Reserve Shutdown category (RS). Round the resultant values to two decimal places and enter in the appropriate fields in Section D of the Performance Report.
2.
Period Hours (Record 02, columns 66-70) Enter the number of hours in the month being reported that the unit was in the active state (see Page III-5). The sum of Available Hours and Unavailable Hours must equal Period Hours. The period hours in each month or year are as follows:
Month* January February March April May June July August September October November December Year Hours 744 672* 719 or 744** for 2007 and beyond 719 or 720** before 2007 744 720 744 744 720 744 or 745** before 2007 719 or 720** for 2007 and beyond 744 8760*
* Add 24 hours during a leap year. ** May be adjusted one hour as appropriate for daylight saving time. Inactive Hours (Record 02, columns 71-75) Enter the number of hours in the month being reported that the unit was in the inactive state. (See Page III-6 for details of inactive states.)
Page IV-11
E. Primary Fuel; and F. Secondary Fuel

Sections E and F, shown in Figures IV-6, detail the type, amount, and quality of fuels burned in the unit during the reporting period. These sections are used to report primary and secondary fuels burned and are located on Record 03 of the Performance Report. Tertiary and quaternary fuels may be reported; however, no unique sections of the Performance Report exist for this purpose. Instead, use another Section E and another Section F, changing the record number from 03 to 04. Enter the tertiary fuel data in Section E on the 04 record and the quaternary fuel data in Section F on the 04 record. Reporting E. Primary Fuel is required for all units except hydro/pumped storage units (optional for these units only). If a unit was not operated during the reporting period, enter the type of fuel that would have been burned in the unit had it been on-line. Secondary, tertiary, and quaternary fuel sections are not used for hydro/pumped storage units, wind- or solar-powered units, or nuclear units. The first 15 characters of Records 03 and 04 (A Unit Identification) are identical to that of Records 01 and 02. These 15 characters link the records together.
Figure IV-6 Record Layout of Section E Primary Fuel; and F Secondary Fuel
Records 03 and 04 Column ID A Unit Identification Record Code Utility (Company) Code Unit Code Year Report Period Report Revision Code E Primary Fuel Fuel Code Quantity Burned Average Heat Content % Ash % Moisture % Sulfur % Alkalines Grindability Index / % Vanadium Ash Softening Temperature (Blank columns) 2 5 + 2 decimals 6 2 + 1 decimal 2 + 1 decimal 1 + 1 decimal 2 + 1 decimal 2 + 1 decimal 4 21 16 18 25 31 34 37 39 42 45 49 2 3 3 4 2 1 1 3 6 9 13 15 Number of Columns Starting Position
Page IV-12
F Secondary Fuel Fuel Code Quantity Burned Average Heat Content % Ash % Moisture % Sulfur % Alkalines Grindability Index / % Vanadium Ash Softening Temperature (Blank columns) Record Number 2 5 + 2 decimals 6 2 + 1 decimal 2 + 1 decimal 1 + 1 decimal 2 + 1 decimal 2 + 1 decimal 4 21 2 70 72 79 85 88 91 93 96 99 103 124
Please Note: Performance record 04 for the tertiary and quaternary fuels is identical to performance Record 03 except record number 04 not 03. Fuel Code (Records 03 & 04, columns 16-17 and 70-71) Enter the two-character code from the list below that identifies the fuels burned in the unit during the reporting period.
Code BM CC LI PE WD OO DI KE JP WA GG Description Biomass Coal Lignite Peat Wood Oil Distillate Oil (No. 2) Kerosene JP4 or JP5 Water Gas Code PC PR SL GE NU WM SO WH OS OL OG Description Petroleum Coke Propane Sludge Gas Geothermal Nuclear Wind Solar Waste Heat Other-Solid (Tons) Other-Liquid (BBL) Other-Gas (Cu. Ft.)
Report in E. Primary Fuel the code for that fuel which made the greatest contribution to thermal generation during the period. In F. Secondary Fuel, enter the code for that fuel which made the second greatest contribution to generation. Fuels used for ignition or warm-up can be reported in this section only if there was no more important secondary fuel. Tertiary and quaternary fuels, reported in Sections E and F on Record 04 of the Performance Report, are those which made the third and fourth greatest contribution to generation, respectively.
Page IV-13
Quantity Burned (Record 03 & 04, columns 18-24 and 72-78) Enter the quantity of fuel consumed during the reporting period. Note, a decimal place indicator appears in the Performance Report format and is recognized by NERC GADS computer programs. Therefore, enter a factor of the actual quantity burned in this field. Use the following factors to determine the correct number to enter: 1,000 short tons (2,000 pounds) for coal; 1,000 barrels (42 gallons/barrel) for oil; and, 1,000,000 cubic feet for gas. Do not attempt to manually enter a decimal place. Example: If coal is your primary fuel and 900 tons of coal was burned in the unit during the reporting period, enter 0000090 in columns 18-24 of Record 03. If oil is your primary fuel and the unit burned 900,000 barrels of oil, enter 0090000 in columns 18-24 of Record 03. When reporting data for geothermal units, enter in this field the quantity of steam brought into the plant from the geothermal wells. The factor used to determine the number to enter is 1,000,000. Thus, 1,234,500,000 pounds of steam is entered as 0123450 in columns 18-24 of Record 03. Leave columns 18-24 blank when reporting data for nuclear units. Average Heat Content (Records 03 & 04, columns 25-30 and 79-84) Enter the average heat content for the fuel, to the nearest Btu/lb. of coal, Btu/gal. of oil or Btu/cu. ft. of gas. Enter a weighted average if the heat content of the fuel varied. When reporting data for geothermal units, enter the heat content calculated using the following equation: Steam Consumption (lbs) x 1195.5 (Btu/lb) Net Generation (kWh) For nuclear units, enter the Net Plant Heat Rate (Btu/kWh) in this field. % Ash (Records 03 & 04, columns 31-33 and 85-87)* Enter the average ash content of the fuel, to the nearest 0.1% (by weight). Obtain this factor from an ultimate analysis of the fuel. % Moisture (Records 03 & 04, columns 34-36 and 88-90)* Enter the average moisture content of the fuel, to the nearest 0.1% (by weight). Obtain this factor from an ultimate analysis of the fuel. % Sulfur (Records 03 & 04, columns 37-38 and 91-92)* Enter the average sulfur content of the fuel, to the nearest 0.1% (by weight). Obtain this factor from an ultimate analysis of the fuel. % Alkalies (Records 03 & 04, columns 39-41 and 93-95)* Enter the sum of the average sodium and potassium contents of the fuel, to the nearest 0.1% (by weight), as obtained from an ash analysis.
Page IV-14
Coal Units Only: Grindability Index (Records 03 & 04, columns 42-44 and 96-98)* If the fuel type has been identified as coal (CC) or lignite (LI), enter the weighted average grindability index of the fuel burned during the period. When entering the grindability index, disregard the decimal point. Oil Units Only: % Vanadium and Phosphorus (Records 03 & 04, columns 42-44 and 96-98)* If the fuel type has been identified as oil (OO), kerosene (KE), JP4/5 (JP), or distillate oil (DI), enter the sum of the average vanadium and phosphorus contents of the fuel, to the nearest 0.1% (by weight), as obtained from an ash analysis. Ash Softening Temperature (Records 03 & 04, columns 45-48 and 99102)* Enter the average ash softening temperature (oF) of the fuel. This temperature should be determined under reducing atmosphere conditions. * Because the average heat content (Btu), ash, moisture, sulfur, alkalies, grindability index, vanadium and phosphorus, and softening temperature values may change during a month due to new fuel supplies, etc., these values should be weighted averages. Example: (15,000 Btu x 10 tons of coal + 18,000 Btu x 20 tons of coal)/30 tons of coal = Weighted Average Heat Content. The shown on these sections indicates a computer-inserted decimal point. Do not manually insert a decimal point. For example, a value of 6.8% would be entered as 068 in columns 45-48.
Page IV-15
Page IV-16
Section V Design Data Reporting

Design data must be submitted for all units being reported to the GADS database. These data provide information regarding installed equipment design and operating characteristics of a unit and are used in special analyses as sorting criteria. In addition, event and performance data cannot be verified without design data; therefore, design data must be submitted before you report any event and performance data. Complete the design data forms, which apply to the type of unit you are reporting, as detailed in Figure V-1. The appropriate design data forms for each unit type are found in Appendix E.
Figure V-1 Location of Design Data Forms
Unit Type Fossil (Steam) Fluidized Bed Combustion Nuclear Diesel Hydro/Pumped Storage Gas Turbine or Jet Engine Combined Cycle and Co-generation Blocks Miscellaneous Pages E-FS-1 38 E-FB-1 48 E-NU-1 8 E-DI-1 4 E-HY-1 6 E-GT-1 6 E-CC-1 24 E-MS-1 6
When completing the design data forms, only fill in the fields for which you have data. Do not zero-fill or asterisk-fill any unused fields. In many cases, you will be asked to complete a data field by choosing one answer from a list of alternatives. If none or all of the alternatives apply, enter a 9 in the data field. When you enter a 9, you must detail the correct information for that field on the reverse side of the design data form or attach an addendum sheet. To make a change to the design data after it has been submitted to GADS, follow the procedure described below: 1. 2. 3. Select the appropriate design data form from Appendix E; Fill in the utility and unit identification data in the appropriate fields; and, Enter the new data in the appropriate fields on the design data form. If the change being referenced defines a change in the unit's design, then also note the day, month, and year the change was completed in the margin on the new form.
Page V-1
Page V-2
Appendix A Change in Unit Status Report Form

The following Change in Unit Status form should be completed whenever a unit is deactivated or reactivated from service. If a unit is deactivated (retired), continue to report that unit for the remainder of the calendar year using the instructions shown on Page III-6 of these data reporting instructions. The completed Change in Unit Status form should be submitted to Joanne Rura at joanne.rura@nerc.net.
Page A-1
Change in Unit Status Report Form

Utility Code: Unit Code:
Unit Deactivation Information:

Month Deactivation date: Reason(s) for deactivation: Day Hour Year
Do you plan on reactivating the unit and if so, when (month/year)? No Yes Month Year
What major equipment work, if any, will be done while the unit is inactive?
Unit Reactivation Information:

Month Reactivation date: Reason(s) for reactivation: Day Hour Year
What major equipment work, if any, was done while the unit was inactive?
(Submit new design data as needed)
Page A-2
Guide for Code Selection
Appendix B System/Component Cause Codes
Appendix B Index to System/Component Cause Codes

Using This Appendix This appendix contains system/component cause codes to use when completing GADS Event Report (97). For ease of use, it is divided into sections based on type of generating unit. Each section contains all the codes that can be used for each unit type. For example, the section for fossil steam units includes codes for the boiler, steam turbine, generator, balance of plant, pollution control equipment, external, regulatory, safety, and environmental, personnel errors, and performance testing. The section for hydro/pumped storage units contains the codes needed to report the electrical systems, generator, the hydro turbine/pump, external, regulatory, safety, and environmental, personnel errors, and performance testing. (Figure III-10, Page III-31, is a convenient reference that lists the appropriate system/component cause codes applicable to each type of generating unit.) When copying the GADS Data Reporting Instructions for distribution to individual plants, copy only the section(s) of this appendix that are appropriate for the type(s) of unit(s) at each plant. This way, the plant data reporter will have only the codes needed to report events, and therefore, may avoid some data reporting errors. Please note, a separate section is not included for Miscellaneous units. Additional cause codes for combined cycle and co-generation units are shown on Pages B-CC-1 to B-CC-34. There is also a section for geothermal units on Pages B-GE-1 to B-GE-20. Guide for Code Selection The intent of this appendix is not to provide a code for all possible causes or all components, but to provide, in general terms, the cause or component. The details concerning a more specific cause/component, the type of failure, method of repair/nature of work, repair effort and/or combination of preceding events are to be included in the Verbal Description on the event report. Also, utilities have the option of reporting more detailed information concerning the manner in which a system or component failed using the Failure Mechanism Code. See Page III-36 and Appendix H for more information. When reporting an event, select the code which best describes the cause or component responsible for the event. The following criteria are to be used in selecting a code: Assign the cause of the event to the major component or system that was responsible for the event, not to an auxiliary component or operation that triggered the failure of a major component or system. For instance, failure of an air line to one feedwater regulating valve may cause closure of that valve, resulting in a boiler trip on low level. In this case, the
Page B-FS-1
Guide for Code Selection
cause code for the feedwater regulating valve would be reported, not the code for the service air system. Note the fact that the valve closure was triggered by an air line failure in the verbal description. On the other hand, if the feedwater regulating valve closure had resulted from a complete loss of station air, the cause code for the station air system would be reported as the primary cause of the event. In this case, the station air system problem causes malfunctions of numerous valves and instruments throughout the plant, and no one major component or system could be uniquely identified as causing the outage. Report power supplies (motor control centers, breakers, etc.) which serve a particular component using the code for that component. Report power supply systems that serve multiple components using the code for the power supply system. For instance, if a breaker failure results in the loss of an FD fan, the code for the FD fan would be used. However, if a problem in the AC power distribution caused not only the loss of the FD fan but also several other major components, then use the code for AC power distribution. Report instruments or controls (such as pressure switches, pressure regulators, position indicators, etc.) which are part of a particular fan, pump, or valve, using the code for that component. Codes have been assigned to some control systems, such as feedwater control. Report all instruments, transmitters, logic modules, etc., associated with these systems using the code for that control system. Use the codes for major overhaul only for non-specific overhaul work. Major repairs conducted during a major overhaul are to be reported separately using the appropriate code(s). For example, consider the case where a general turbine overhaul is conducted during which reblading of a high pressure turbine wheel is required. Use the code 4400 to report the overhaul and include such things as opening and closing of the turbine, cleaning, and minor repairs as man-hours worked. Use the code 4012 to report the reblading of the HP turbine wheel and include only the man-hours worked on the reblading in the man-hours worked field. Use the codes for External and Safety, Regulatory, and Environmental only when no other system/component cause code applies. For instance, if stack emission limits are exceeded because of a fault in the flue gas scrubber, use a scrubber code. However, if a new limit on emissions is imposed and is exceeded even though the scrubber is functioning properly, then use an environmental code.
Page B-FS-2
Fossil Steam Units
FOSSIL STEAM UNITS INDEX TO SYSTEM/COMPONENT CAUSE CODES

(Unit Codes 100-199 and 600-649)
Cause Code Ranges
BOILER
Boiler Fuel Supply to Bunker Boiler Fuel Supply from Bunkers to Boiler Boiler Piping System Boiler Internals and Structures Slag and Ash Removal Boiler Tube Leaks Boiler Tube Fireside Slagging or Fouling Miscellaneous Boiler Tube Problems Boiler Air and Gas Systems Boiler Control Systems Boiler Overhaul and Inspections Boiler Water Condition Boiler Design Limitations Miscellaneous (Boiler)
Page No.
0010-0129 0200-0480 0500-0799 0800-0859 0860-0920 1000-1090 1100-1210 1300-1360 1400-1599 1700-1799 1800-1820 1850 1900-1910 1980-1999
B-FS-5 B-FS-6 B-FS-7 B-FS-9 B-FS-9 B-FS-9 B-FS-10 B-FS-10 B-FS-10 B-FS-12 B-FS-12 B-FS-12 B-FS-12 B-FS-12
BALANCE OF PLANT
Condensing System Circulating Water Systems Waste Water (zero discharge) Condensate System Feedwater System Heater Drain Systems Extraction Steam Electrical Power Station Switchyard Auxiliary Systems Miscellaneous (Balance of Plant) 3110-3199 3210-3285 3290-3299 3300-3399 3401-3499 3501-3509 3520-3549 3600-3690 3700-3730 3800-3899 3950-3999 B-FS-13 B-FS-14 B-FS-15 B-FS-15 B-FS-16 B-FS-16 B-FS-17 B-FS-17 B-FS-18 B-FS-18 B-FS-20
STEAM TURBINE
High Pressure Turbine Intermediate Pressure Turbine Low Pressure Turbine Valves Piping Lube Oil Controls Miscellaneous (Steam Turbine) 4000-4099 4100-4199 4200-4250 4260-4269 4270-4279 4280-4289 4290-4314 4400-4499 B-FS-21 B-FS-21 B-FS-21 B-FS-22 B-FS-22 B-FS-22 B-FS-22 B-FS-23
Page B-FS-3
Appendix B System/Component Cause Codes Cause Code Ranges
Fossil Steam Units
GENERATOR
Generator Exciter Cooling System Controls Miscellaneous (Generator)
Page No.
4500-4580 4600-4609 4610-4650 4700-4750 4800-4899
B-FS-24 B-FS-24 B-FS-24 B-FS-24 B-FS-25
POLLUTION CONTROL EQUIPMENT

Wet Scrubbers Dry Scrubbers Precipitators Miscellaneous (Pollution Control Equipment) Continued Emissions Monitoring Systems (CEMS) NOx Reduction Systems CO Reduction 8000-8499 8500-8549 8550-8590 8600-8699 8700-8790 8800-8835 8840-8845 B-FS-26 B-FS-28 B-FS-29 B-FS-29 B-FS-29 B-FS-30 B-FS-30
EXTERNAL
Catastrophe Economic Economic (for internal use at plants only) Fuel Quality Miscellaneous (External) 9000-9040 0000, 9130-9160 9180-9199 9200-9291 9300-9340 B-FS-31 B-FS-31 B-FS-31 B-FS-32 B-FS-32
REGULATORY, SAFETY, ENVIRONMENTAL

Regulatory Stack Emission Other Operating Environmental Limitations Safety 9504-9590 9600-9656 9660-9690 9700-9720 9900-9960 0002, 9990-9991 9997-9999 B-FS-33 B-FS-33 B-FS-33 B-FS-33 B-FS-33 B-FS-34 B-FS-34
PERSONNEL OR PROCEDURE ERRORS INACTIVE STATE PERFORMANCE
Page B-FS-4
Fossil Steam Units
BOILER
This set of codes contains the following: Boiler Boiler internals (tubes, refractory, supports, etc.) All the fuel handling, storage fuel preparation and burning equipment. The forced/induced draft air system. Slag and ash removal except for particulate and gas cleanup. These latter items are covered under pollution control equipment. The main steam and reheat steam systems up to but not including the turbine stop or isolation valves. The feedwater system downstream of the final valve prior to entry into the economizer or boiler. Boiler blowdown systems. The startup bypass system including drains up to the heaters or condenser. Boiler water chemistry problems not due to problems in the condensate/feedwater system, the chemical addition system, or the demineralizer/polisher system. The instruments and controls associated with the above equipment.
Boiler Fuel Supply to Bunker Coal Handling Equipment up Through Bunkers 0010 0020 0022 0024 0026 0028 0030 0035 0040 0050 0060 0070 0075 0080 0084 0085 0090 0095 0100 0105 0106 0107 0110 0125 0126 0127 0129 Thaw shed failure or fire Coal car dumpers, shakers, and unloaders Unloading/receiving hopper (train/truck) Rotary plow Dust suppression system Dust collection system Coal conveyors and feeders Metal detector/collector (including magnetic separator) Coal elevators Coal storage fires Coal crushers including motors Coal samplers Storage silos/hoppers Stackers/reclaimers Coal conveyor scales-storage coal pile Bunker feeder coal scales Bunker fires Bunker flow problems Bunker gates Bunker structures Coal drying system (see additional codes 0125-0127) Screen (prior to bunkers) Other coal fuel supply problems up through bunkers Coal crusher dryer hammers (see code 0106) Coal crusher lube oil system (see code 0106) Other coal crusher dryer problems (see code 0106) Other coal processing system problems
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Fossil Steam Units
Boiler Fuel Supply from Bunkers to Boiler Pulverizers, Primary Air Fans, and Associated Ducts 0200 0205 0210 0220 0230 0240 0250 0253 0255 0256 0260 0262 0263 0264 0265 0266 0267 0270 0280 0290 0300 0310 0312 0313 0314 0315 0320 0325 0330 0331 0335 0338 0339 0340 0341 0342 0344 0345 0346 0350 Pulverizer exhauster fan (for indirect firing) Pulverizer exhauster fan drive Pulverizer heater (for indirect firing) Pulverizer system cyclone separator Pulverizer bag filter Pulverized coal bin Pulverizer feeders Pulverizer feeder motor Pulverizer feeder coal scales Seal air system (air to pulverizers) Primary air fan Primary air fan lube oil system Primary air fan drives Other primary air fan problems Primary air heater Primary air heater fouling Primary air flow instrumentation Primary air duct and dampers Pulverizer fires Pulverizer reduced capacity due to wear Pulverizer motors and drives Pulverizer mills Pulverizer mill classifiers Pulverizer mill trunnion seals Pulverizer mill ball charger hopper (ball mills only) Pulverizer mill coal level controls Foreign object in Pulverizers mill Pulverizer skidding Pulverizer coal leak (pulverizers only) Pulverizer system coal leaks (other than pulverizers) Pulverizer lube oil system Pulverizer control systems (temperature and pressure) Pulverizer System Puff Other pulverizer problems Pulverizer deluge system Pulverizer Inert system Pulverizer inspection Pulverizer overhaul Pulverizer pyrite removal system Pulverized fuel and air piping (from pulverizer to wind box) (see code 0898 for pulverizer reject system problems)
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Fossil Steam Units
Boiler Fuel Supply from Bunkers to Boiler (Continued) Burners 0358 0359 0360 0362 0361 0370 0380 0385 0390 0400 0410 Oil burner piping and valves Gas burner piping and valves Burners Burner tilts Burner orfices Burner instruments and controls (except light-off) Light-off (igniter) systems (including fuel supply) Igniters Burner wind boxes and dampers Burner wind box fires Other burner problems Cyclone 0415 0420 0425 0426 0430 0435 Cyclone feeders Cyclone crusher Cyclone dampers Cyclone air ducts Cyclone furnace Other cyclone problems Oil and Gas Systems (except light-off) 0440 0441 0442 0443 0444 0450 0460 0470 0480 Fuel oil pumps (general) Fuel oil pumps (burner supply) Fuel oil pumps (forwarding/transfer) Fuel oil (burner supply) pump drives Fuel oil (forwarding/transfer) pump drives Fuel oil heaters Fuel oil atomizers Oil and gas fires Other oil and gas fuel supply problems (see codes 0360-0410 for burner problems)
Boiler Piping System Main Steam 0500 0510 0520 0530 Main steam piping up to turbine stop valves Main steam relief/safety valves off superheater Other main steam valves (including vent and drain valves but not including the turbine stop valves) Other main steam system problems
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Fossil Steam Units
Cold and Hot Reheat Steam 0540 0541 0550 0560 0561 0570 Hot reheat steam piping up to turbine stop valves Cold reheat steam piping up to boiler Reheat steam relief/safety valves Other hot reheat steam valves (not including turbine stop or intercept valves) Other cold reheat steam valves (not including turbine stop or intercept valves) Other reheat steam problems Desuperheaters/Attemperators 0580 0590 0600 0610 0620 Desuperheater/attemperator piping Desuperheater/attemperator valves Desuperheater/attemperator spray nozzles Desuperheater/attemperator drums Other desuperheater/attemperator problems Startup Bypass 0630 0640 0650 0655 0660 Startup bypass system piping (including drain lines up to heaters or condenser) Startup bypass system valves Startup bypass tanks or flash tanks Steam by-pass system instrumentation and controls Other startup bypass system problems Feedwater and Blowdown 0670 0680 0690 0700 0710 0720 0730 Feedwater piping downstream of feedwater regulating valve Feedwater valves (not feedwater regulating valve) Other feedwater problems downstream of feedwater regulating valve (use codes 3401 to 3499 for remainder of feedwater system) Blowdown system valves Blowdown system piping Blowdown system controls /instrumentation Other blowdown system problems Boiler Recirculation 0740 0741 0742 0750 0760 0770 Boiler recirculation pumps Boiler recirculation pumps - motors Boiler recirculation pumps motors cooling system Boiler recirculation piping (including downcomers) Boiler recirculation valves Other boiler recirculation problems Miscellaneous (Piping) 0775 0780 0782 0790 0799 Economizer piping Headers between tube bundles Headers and caps Pipe hangers, brackets, supports (general) Other miscellaneous piping system problems
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Fossil Steam Units
Boiler Internals and Structures 0800 0810 0820 0830 0840 0845 0847 0850 0855 0859 Drums and drum internals (single drum) Boiler supports and structures (use code 1320 for tube supports) Casing Doors Refractory and insulation Windbox expansion joints Other expansion joints Other internal or structural problems Drum relief/safety valves (single drum) Tube external fins/membranes
Slag and Ash Removal 0860 0870 0871 0872 0873 0876 0880 0885 0890 0891 0892 0893 0894 0895 0896 0897 0898 0899 0900 0910 0920 Soot blowers - air (see code 3844 for air delivery system) Soot blowers - steam Soot blowers - sonic Soot blowers - water Soot blower drives Soot blower controls Fly ash Removal System (not precipitators, scrubbers, mechanical collectors, or baghouses) Fly ash Removal System wet transport Bottom ash systems (wet or dry) Bottom ash hoppers (including gates) Bottom ash clinker grinders Bottom ash water pumps and motors Bottom ash piping and valves Ashpit trouble Bottom ash dewatering bin system, instruments and controls Bottom ash rotary (drag chain type) conveyor and motor Bottom ash pyrite hopper (pulverizer reject) system Bottom ash controls and instrumentation Slag-tap (cyclone furnace) Slag-tap (other than cyclone furnace) Other slag and ash removal problems
Boiler Tube Leaks (use code 0859 for tube/membrane failures) 1000 1003 1005 1010 1020 1030 1035 1040 1050 1055 1060 1070 1075 Waterwall (Furnace wall) Steam generating tubes between steam drum and mud drum Generating tubes Cyclone furnace (in cyclone area only) Convection pass wall (water tubes only) Boiler screen, wing wall, or slag screen (water tubes only) Platen superheater First superheater Second superheater External superheater link tubing First reheater Second reheater External reheater link tubing
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Fossil Steam Units
Boiler Tube Leaks (Continued) 1080 1090 Economizer Other boiler tube leaks
Boiler Tube Fireside Slagging or Fouling (use codes 0860 and 0870 for fouling or slagging due to unavailability of soot blowers or their air or steam supply) 1100 1103 1105 1110 1120 1130 1140 1150 1160 1170 1180 1190 1200 1210 Waterwall (Furnace wall) Steam generating tubes between steam drum and mud drum Generating tubes Cyclone furnace (in cyclone area only) Convection pass wall Boiler screen, wing wall, or slag screen (water tubes only) First superheater Second superheater First reheater Second reheater Economizer Other tube slagging or fouling Operation at reduced power to avoid slagging or fouling (use codes 1100 to 1190 to report power reductions for slag accumulation or slag removal) Operation at reduced power to avoid slagging or fouling on waterwalls (Furnace walls) (use codes 1100-1190 to report power reductions for slag accumulation or slag removal)
Miscellaneous Boiler Tube Problems 1300 1305 1310 1320 1330 1340 1350 1360 Water side fouling Fireside cleaning (which requires a full outage) Use code 1200 for cleanings that cause deratings. Water side cleaning (acid cleaning) Tube supports/attachments Slag fall damage Tube modifications (including addition and removal of tubes) Other miscellaneous boiler tube problems Boiler drains system
Boiler Air and Gas Systems (excluding burner pipes, wind boxes, primary air, or pulverizer exhausters) Air Supply 1400 1407 1410 1411 1412 1413 1415 1420 1421 1422 Forced draft fans Forced draft fan lubrication system Forced draft fan motors Forced draft fan motors - variable speed Forced draft fan drives (other than motor) Forced draft fan couplings Forced draft fan controls Other forced draft fan problems Secondary air fans/blowers Secondary air fan/blower motors - single speed
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Fossil Steam Units
Boiler Air and Gas Systems (Continued) 1423 1424 1430 1431 1432 1440 1450 Secondary air fan/blower motors - variable speed Secondary air fan/blower controls Air supply ducts from FD fan Air supply dampers from FD fan Air supply duct expansion joints Air supply dampers Other air supply problems Flue Gas 1455 1457 1460 1470 1471 1472 1475 1476 1480 1487 1488 1489 1492 1493 1495 1500 1510 1512 1520 1530 Induced draft fans Induced draft fan lubrication systems Induced draft fan fouling Induced draft fan motors and drives Induced draft fan motors - variable speed Inducted draft fan coupling Induced draft fan controls Induced draft fan speed changer Other induced draft fan problems Air heater (tubular) Air heater (regenerative) Air heater (heat pipe, plate-type) Air heater fouling (tubular) Air heater fouling (regenerative) Other air heater fouling (heat pipe, plate-type) Air heater soot blowers Flue gas ducts (except recirculation) Flue gas expansion joints Flue gas dampers (except recirculation) Other flue gas problems Flue Gas Recirculation 1535 1537 1540 1550 1555 1560 1570 1572 1580 Flue gas recirculating fan Flue gas recirculating fan lubrication systems Flue gas recirculation fan fouling Flue gas recirculation fan motors Flue gas recirculation fan controls Other flue gas recirculation fan problems Flue gas recirculation ducts Flue gas recirculation duct expansion joints Flue gas recirculation dampers
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Fossil Steam Units
Miscellaneous (Boiler Air and Gas Systems) 1590 1591 1592 1599 Stacks (use code 8430 for stack problems due to pollution control equipment) Stack damper and linkage Stack damper linkage motors Other miscellaneous boiler air and gas system problems
Boiler Control Systems (including instruments which input to the controls) 1700 1710 1720 1730 1740 1741 1750 1760 1761 1762 1799 Feedwater controls (report local controls --- feedwater pump, feedwater regulator valve, etc., -- with component or system) Combustion/steam condition controls (report local controls --- burners, pulverizers, etc., --with component or system) Desuperheater/attemperator controls (not local controls) Boiler explosion or implosion Boiler gage glasses /level indicator Furnace and water gauge television auxiliary system Burner management system Feedwater instrumentation (not local controls) Combustion /Steam condition instrumentation (not local controls) Desuperheater/attemperator instrumentation (not local controls) Other boiler instrumentation and control problems
Boiler Overhaul and Inspections 1800 1801 1810 1811 1812 1820 Major boiler overhaul (720 hours or more) (use for non-specific overhaul only; see page B1) Minor boiler overhaul (less than 720 hours) (use for non-specific overhaul only; see page B1) Other boiler inspections Boiler Inspections problem identification/investigation Boiler Inspections scheduled or routine Chemical cleaning/steam blows
Boiler Water Condition 1850 Boiler water condition (not feedwater water quality)
Boiler Design Limitations 1900 1910 Improper balance between tube sections not due to fouling or plugging Inadequate air not due to equipment problems
Miscellaneous (Boiler) (use more specific codes other slagging and fouling problems, other control problems, etc. whenever possible. Describe miscellaneous problems in the verbal description.) 1980 1990 1999 Boiler safety valve test Boiler performance testing (use code 9999 for total unit performance testing) Boiler, miscellaneous
Page B-FS-12
Fossil Steam Units
BALANCE OF PLANT
Condensing System Condenser Tubes and Support Equipment 3110 3111 3112 3113 3114 3115 3116 3117 3118 3119 Condenser tube leaks Condenser tube fouling shell side Condenser tube fouling tube side Condenser tube and water box cleaning (including circulating water flow reversal) Air-cooled condenser tubes Air-cooled condenser pumps Air-cooled condenser fans Air-cooled condenser fan motors Other Air-cooled condenser problems Other condenser tube casing or shell and internal problems Condenser Casing or Shell and Internals 3120 3121 3122 3123 3124 3129 Tube sheets Expansion joint Gaskets and seals Hot well Tube sheet fouling Other condenser casing or shell and internal problems Vacuum Equipment 3130 3131 3132 3133 3134 3135 3139 3149 Air ejectors Air ejector piping and valves Inter and after condensers Vacuum pumps Vacuum pump piping and valves Vacuum pump motor and auxiliaries Other air extraction system problems - general Loss of vacuum not attributable to a particular component such as air ejectors or valves; or, high back pressure not attributable to high circulating water temperature, or vacuum losses from a known cause. Condenser Controls 3150 3151 3152 3159 Hot well level controls Vacuum pump and air ejector controls Air-cooled condenser controls Other condensing system controls and instruments
Page B-FS-13
Fossil Steam Units
Miscellaneous (Condensing System) 3170 3171 3180 3185 3186 3190 3199 Condenser inspection (use code 3110 to report looking for tube leaks) Air-cooled condenser inspections Major condenser overhaul Water side cathodic protection Auxiliary condenser and associated equipment Air leakage (for losses not attributable to previously noted equipment related codes) Other miscellaneous condensing system problems
Circulating Water Systems 3210 3211 3220 3221 3230 3233 3235 3236 3238 3239 3240 3241 3242 3243 3244 3245 3246 3247 3250 3260 3261 3269 3270 3271 3272 3273 3274 3280 3281 3282 3285 Circulating water pumps Circulating water pump motors Circulating water piping Circulating water piping fouling Circulating water valves Circulating water priming system Cooling tower booster pump Cooling tower booster motor Cooling tower fan motors Cooling tower fan motors - variable speed Cooling tower fans Cooling tower efficiency below design Cooling tower fill damage Cooling tower icing Cooling tower fires Other cooling tower problems Cooling tower fouling Cooling tower instrumentation Circulating water system instruments and controls Traveling screens Traveling screen fouling Circulating water biological conditions (ie, zebra mussels) Intake system problems other than traveling screens Intake grating fouling Circulating water screenwash system Debris in circulating water from outside sources (leaves, mud, etc.) Ice blockages at intake structures including frazil ice, sheets, blocks of ice, etc. High circulating water temperature (not due to season, tower efficiency below design, or other listed equipment problem) Circulating water tempering system Circulating water cooling ponds Circulating water chemistry
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Fossil Steam Units
Waste Water (zero discharge) Systems 3290 3291 3292 3293 3294 3295 3299 Waste water (zero discharge) taks, pumps and motors Waste water (zero discharge) system fouling Waste water (zero discharge) piping Waste water (zero discharge) valves Waste water (zero discharge) controls and instrumentation Other waste water (zero discharge) problems Other circulating water system problems
Condensate System Pumps, Piping, and Valves 3300 3310 3311 3312 3313 3314 3315 3320 3330 Condensate water pre-treatment Condensate/hotwell pumps Condensate/hotwell pump motor Condensate booster pump Condensate booster pump motor Condensate booster pump motor - variable speed Condensate booster pump drive (other than 3313 and 3314) Condensate piping Condensate valves Low/Intermediate Pressure Heater and Deaerators 3339 3340 3341 3342 3343 3344 3345 3350 3351 3352 LP heater head leaks LP heater tube leaks Other LP heater general IP heater tube leaks Other IP heater general Deaerator (including level control) IP heater head leaks Polishers/Chemical Addition Condensate polishing and filtering systems Chemical addition systems Feedwater chemistry (not specific to condenser, polishers, or chemical addition) Miscellaneous (Condensate System) 3360 3370 3380 3399 Condensate makeup and return (including storage tanks) Condensate system controls and instrumentation (not hotwell level, heater level, or deaerator level controls: see codes 3150-3159, 3344, 3502). Condensate coolers Other miscellaneous condensate system problems
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Fossil Steam Units
Feedwater System (excluding extraction or drain systems) 3401 3402 3407 3408 3409 3410 3411 3412 3413 3414 3415 3416 3417 3418 3419 3420 3430 3431 3439 3440 3441 3451 3452 3453 3454 3455 3456 3457 3458 3459 3460 3461 3462 3463 3499 Startup feedwater pump Startup feedwater pump drives - all types Feedwater pump suction screens Feedwater pump drive local controls Feedwater pump drive motor - variable speed Feedwater pump Feedwater pump drive - motor Feedwater pump drive - steam turbine Feedwater pump coupling and drive shaft Feedwater pump local controls Feedwater pump/drive lube oil system Other feedwater pump problems Feedwater pump drive - main shaft Feedwater pump drive - other Feedwater pump drive - gear Feedwater piping and supports Feedwater regulating (boiler level control) valve Other feedwater valves HP heater head leaks High pressure heater tube leaks Other high pressure heater problems (see condensate system for LP and IP heater codes) Feedwater booster pump suction screens Feedwater booster pump drive - local controls Feedwater booster pump drive motor - variable speed Feedwater booster pump Feedwater booster pump drive - motor Feedwater booster pump drive - steam turbine Feedwater booster pump coupling and drive shaft Feedwater booster pump local controls Feedwater booster pump/drive lube oil system Other feedwater booster pump problems Feedwater booster pump drive - main shaft Feedwater booster pump drive - other Feedwater booster pump drive - gear Other feedwater system problems
Heater Drain Systems 3501 3502 3503 3504 3505 3509 Heater drain pumps Heater level control Heater drain piping Heater drain valves Heater drain pump drive Other heater drain system problems
Page B-FS-16
Fossil Steam Units
Extraction Steam 3520 3521 3522 3529 3530 3531 3532 3539 3540 3541 3542 3549 Electrical 3600 3601 3610 3611 3612 3613 3618 3619 3620 3621 3622 3623 3624 3629 3630 3631 3632 3633 3634 3639 3640 3641 3642 3643 3644 3649 3650 3651 3652 3653 3659 Switchyard transformers and associated cooling systems external (OMC) Switchyard transformers and associated cooling systems external (not OMC) Switchyard circuit breakers external (not OMC) Switchyard circuit breakers external (OMC) Switchyard system protection devices external (OMC) Switchyard system protection devices external (not OMC) Other switchyard equipment external (not OMC) Other switchyard equipment external (OMC) Main transformer Unit auxiliaries transformer Station service startup transformer Auxiliary generators Auxiliary generator voltage supply system Other switchyard or high voltage system problems - external 400-700-volt transformers 400-700-volt circuit breakers 400-700-volt conductors and buses 400-700-volt insulators 400-700-volt protection devices Other 400-700-volt problems AC instrument power transformers AC Circuit breakers AC Conductors and buses AC Inverters AC Protection devices Other AC instrument power problems DC instrument power battery chargers DC circuit breakers DC conductors and buses DC protection devices Other DC power problems HP Extraction steam piping HP Extraction steam valves HP Extraction steam instruments and controls Other HP extraction steam system problems IP Extraction steam piping IP Extraction steam valves IP Extraction steam instruments and controls Other IP extraction steam system problems LP Extraction steam piping LP Extraction steam valves LP Extraction steam instruments and controls Other LP extraction steam system problems
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Fossil Steam Units
Electrical (Continued) 3660 3661 3662 3663 3664 3669 3670 3671 3672 3673 3674 3679 3680 3681 3682 3683 3684 3689 3690 4000-7000-volt transformers 4000-7000-volt circuit breakers 4000-7000-volt conductors and buses 4000-7000-volt insulators 4000-7000-volt protection devices Other 4000-7000-volt problems 12-15kV transformers 12-15kV circuit breakers 12-15kV conductors and buses 12-15kV insulators 12-15kV protection devices Other 12-15kV problems Other voltage transformers Other voltage circuit breakers Other voltage conductors and buses Other voltage insulators Other voltage protection devices Other voltage problems Station Service Power Distribution System, General
Power Station Switchyard 3700 3710 3720 3730 Powerhouse switchyard (non generating unit equipment) Transmission line (connected to powerhouse switchyard to 1st Substation) Transmission equipment at the 1st substation) (see code 9300 if applicable) Transmission equipment beyond the 1st substation (see code 9300 if applicable)
Auxiliary Systems Open Cooling Water System 3800 3801 3802 3803 3804 3805 3806 3809 Open cooling water pumps and motors Open cooling water piping Open cooling water valves Open cooling water heat exchangers Open cooling water system fouling Open cooling water system instrumentation Open cooling water strainer Other open cooling water problems Service Water (Open System) 3810 3811 3812 3813 3814 3815 3819
Page B-FS-18
Service water pumps and motors Service water piping Service water valves Service water heat exchangers Service water system fouling Service water strainer Other service water problems
Fossil Steam Units
Closed Cooling Water Systems 3820 3821 3822 3823 3824 3825 3826 3829 Closed cooling water pumps Closed cooling water piping Closed cooling water valves Closed cooling water heat exchangers Closed cooling water system fouling Closed cooling water instrumentation Closed cooling water strainer Other closed cooling water system problems Auxiliary Steam 3830 3831 3832 3833 3834 3835 3836 3839 Auxiliary boiler Auxiliary steam piping Auxiliary steam valves Auxiliary steam controls and instruments Auxiliary boiler tube leaks Auxiliary boiler burner management system Steam transfer to other unit Other auxiliary steam problems (also see extraction steam codes 3520 to 3529; startup bypass codes 0630 to 0660; and soot blower steam code 0870) Service Air 3840 3841 3842 3843 3844 3849 Service air compressors Service air piping Service air valves Service air dryers Soot blowing air compressor and system Other service air problems Instrument Air 3850 3851 3852 3853 3854 3859 Instrument air compressors Instrument air piping Instrument air valves Instrument air dryers N2 backup to instrument air Other instrument air problems Fire Protection System 3860 3861 3862 3863 3864 3869 Fire protection system pumps Fire protection system piping Fire protection system valves Fire protection system fouling Fire protection system instruments and controls Other fire protection system problems
Page B-FS-19
Fossil Steam Units
Low-pressure Gas Compression System 3870 3871 3872 3873 3874 3875 3876 3879 Fuel Gas Compressor and Motors Fuel Gas Compressor Piping Fuel Gas Compressor Valves Fuel Gas Compressor Heat Exchangers Fuel Gas Compressor Controls and Instrumentation Fuel Gas Compressor Filters Fuel Gas Compressor Fire System Fuel Gas Compressor other Seal Air Fans Seal air fan Seal air fan drive - motor Seal air control dampers and drives Seal air filters Other seal air problems Miscellaneous (Auxiliary Systems) 3898 3899 Miscellaneous plant auxiliary process and services instrumentation and controls Other miscellaneous auxiliary system problems
3880 3881 3882 3883 3889
Miscellaneous (Balance of Plant) 3950 3960 3970 3971 3972 3973 3974 3975 3979 3980 3981 3982 3983 3984 3985 3989 3995 3996 3999 Process computer Thermal derating (thermal efficiency losses in balance of plant when specific cause(s) unknown) Distributive Control System (DCS) process computer DCS data highway DCS hardware problems (including card failure) DCS internal and termination wiring DCS logic problems DCS upgrades Other DCS problems Programmable Logic Controller (PLC) PLC data highway PLC hardware problems (including card failure) PLC internal and termination wiring PLC logic problems PLC upgrades Other PLC problems Powerhouse heating and ventilating systems Air conditioning systems rooms and areas Other miscellaneous balance of plant problems
Page B-FS-20
Fossil Steam Units
STEAM TURBINE
Besides the turbine, this set includes the steam stop/control valves, turbine control system, and the turbine auxiliaries. The extraction steam codes are contained in the Balance of Plant set. High Pressure Turbine 4000 4001 4009 4010 4011 4012 4013 4014 4015 4020 4021 4022 4030 4040 4041 4099 Outer casing Inner casing Nozzle bolting Nozzles and nozzle blocks Diaphragms Buckets or blades Diaphragms unit and shroud type Bucket or blade fouling Wheels or spindles Shaft seals Dummy rings Gland rings Rotor shaft Bearings Thrust bearings Other high pressure turbine problems
Intermediate Pressure Turbine 4100 4101 4109 4110 4111 4112 4113 4115 4120 4121 4122 4130 4140 4141 4199 Outer casing Inner casing Nozzle bolting Nozzles and nozzle blocks Diaphragms Buckets or blades Bucket or blade fouling Wheels or spindles Shaft seals Dummy rings Gland rings Rotor shaft Bearings Thrust bearings Other intermediate pressure turbine problems
Low Pressure Turbine 4200 4201 4209 4210 4211 4212 4213 Outer casing Inner casing Nozzle bolting Nozzles and nozzle blocks Diaphragms Buckets or blades Bucket or blade fouling
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Fossil Steam Units
Low Pressure Turbine (Continued) 4215 4220 4221 4222 4230 4240 4241 4250 Valves 4260 4261 4262 4263 4264 4265 4266 4267 4268 4269 Piping 4270 4279 Crossover or under piping Miscellaneous turbine piping Main stop valves Control valves Intercept valves Reheat stop valves Combined intercept valves Miscellaneous drain and vent valves Main stop valve testing Control valve testing Reheat/intercept valve testing Other turbine valves Wheels or spindles Shaft seals Dummy rings Gland rings Rotor shaft Bearings Thrust bearings Other low pressure turbine problems
Lube Oil (do not include bearing failures due to lube oil) 4280 4281 4282 4283 4284 4289 Controls 4290 4291 4292 4293 4299 4300 4301 4302 4303 4304 4305 4306 4307
Page B-FS-22
Lube oil pumps Lube oil coolers Lube oil conditioners Lube oil system valves and piping Lube oil pump drive Other lube oil system problems
Hydraulic system pumps Hydraulic system coolers Hydraulic system filters Hydraulic system pipes and valves Other hydraulic system problems Turbine supervisory system (use codes 4290 to 4299 for hydraulic oil) Turbine governing system Turbine trip devices (including instruments) Exhaust hood and spray controls Automatic turbine control systems - mechanical Automatic turbine control systems - mechanical - hydraulic Automatic turbine control systems - electro-hydraulic - analog Automatic turbine control systems - electro-hydraulic - digital
Fossil Steam Units
Controls (Continued) 4308 4309 4310 4311 4312 4313 4314 Automatic turbine control systems - digital control and monitoring Other turbine instrument and control problems Steam Turbine Control System - data highway Steam Turbine Control System - hardware problems (including card failure) Steam Turbine Control System - internal and termination wiring Steam Turbine Control System - logic problems Steam Turbine Control System - upgrades
Miscellaneous (Steam Turbine) 4400 4401 4402 4410 4411 4412 4415 4420 4430 4450 4460 4470 4490 4499 Major turbine overhaul (720 hours or longer) (use for non-specific overhaul only; see page B-1) Inspection Minor turbine overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-1) Turning gear and motor Steam turbine gear box (single shaft configuration) Steam turbine clutch (single shaft configuration) Shaft coupling mechanism Vibration of the turbine generator unit that cannot be attributed to a specific cause such as bearings or blades (use this code for balance moves) Gland seal system Water induction Turbine overspeed trip test Differential expansion Turbine performance testing (use code 9999 for total unit performance testing) Other miscellaneous steam turbine problems
Page B-FS-23
Fossil Steam Units
GENERATOR
This set of codes contains the generator, exciter, generator cooling systems, and generator controls. Note the main leads up to and including the generator output breaker are included in this set of codes. Generator 4500 4510 4511 4520 4530 4535 4540 4550 4551 4552 4555 4560 4570 4580 Exciter 4600 4601 4602 4603 4604 4605 4609 Exciter drive - motor Exciter field rheostat Exciter commutator and brushes Solid state exciter element Exciter drive - shaft Exciter transformer Other exciter problems Rotor windings Rotor collector rings Rotor, General Stator windings, bushings, and terminals Stator core iron Stator, General Brushes and brush rigging Generator bearings and lube oil system Generator bearings Generator lube oil system Bearing cooling system Generator vibration (excluding vibration due to failed bearing and other components) Generator casing Generator end bells and bolting
Cooling System (report failures caused by water leaks into generator as codes 4500, 4510, etc.) 4610 4611 4612 4613 4619 4620 4630 4640 4650 Controls 4700 4710 4720 4730 4740 4750 Generator voltage control Generator metering devices Generator synchronization equipment Generator current and potential transformers Emergency generator trip devices Other generator controls and metering problems Hydrogen cooling system piping and valves Hydrogen coolers Hydrogen storage system Hydrogen seals Other hydrogen system problems Air cooling system Liquid cooling system Seal oil system and seals Other cooling system problems
Page B-FS-24
Fossil Steam Units
Miscellaneous (Generator) 4800 4805 4810 4830 4831 4840 4841 4842 4850 4860 4899 Generator main leads Generator Bus Duct Cooling System Generator output breaker Major generator overhaul (720 hours or longer) (use for non-specific overhaul only; see page B-1) Minor generator overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-1) Inspection Generator doble testing Reactive and capability testing Core monitor alarm Generator neutral grounding equipment Other miscellaneous generator problems
Page B-FS-25
Fossil Steam Units
POLLUTION CONTROL EQUIPMENT*

Use this set of codes to report problems with flue gas desulphurization equipment and stack gas particulate removal equipment. If outages or deratings occur due to reasons other than equipment problems, use the set of codes for Regulatory, Safety, Environmental stack emission limits. Wet Scrubbers Chemical Supply 8000 8002 8003 8006 8010 8020 8030 8040 8050 8099 Chemical feed storage, mill feeders, and conveyors Screw conveyors Bucket elevators Weigh feeders Crushers/mills Mill slurry tanks supply problems Classifiers Slurry transfer pumps and motors Chemical unavailability Other chemical supply problems Wet Scrubber 8100 8110 8115 8120 8125 8127 8130 8140 8150 8160 8199 Scrubber/absorber tower or module Spray nozzles Disc scrubber throats Spray pumps and motors Scrubber recycle (liquid) pumps Scrubber recycle (liquid) pump motors Recirculation tanks including agitators Reaction tanks including agitators Tubes Mist eliminators/demisters and washdown Other scrubber problems Piping, Ducting, Dampers, and Fans 8200 8210 8220 8225 8230 8235 8240 8250 8260 8261 * Piping Valves Strainers or filters Drain pots Ducting Demister Bypass dampers Dampers other than bypass Scrubber booster I.D. fan (fan specific to the scrubber) Scrubber booster I.D. fan drive
Use code 9510 for outages or deratings required to install pollution control equipment. Use codes 9600 to 9650 only when the pollution control equipment problems are not responsible for exceeding emission limits.
Page B-FS-26
Fossil Steam Units
Piping, Ducting, Dampers, and Fans (Continued) 8262 8264 8270 8271 8272 8274 8280 8290 8299 Scrubber booster I.D. fan vibration (fan specific to the scrubber) Scrubber booster I.D. fan blades (fan specific to the scrubber) Scrubber booster F.D. fan (fan specific to the scrubber) Scrubber booster F.D. fan drive Scrubber booster F.D. fan vibration (fan specific to the scrubber) Scrubber booster F.D. fan blades (fan specific to the scrubber) Reagent feed piping Demister wash piping assembly Other piping, ducting, damper, and fan problems Waste Disposal and Recovery 8300 8310 8320 8325 8330 8335 8340 8345 8349 8399 Waste disposal/recovery tanks Waste disposal/recovery pumps Waste disposal ponds Ash disposal problems Dewatering equipment(thickener, centrifuge, etc.) Dryers Centrifuge/vacuum filter Calciners Other waste disposal and recovery problems Solids conveying and mixing system problems Miscellaneous (Wet Scrubber) 8400 8402 8404 8406 8410 8415 8420 8425 8426 8430 8440 8450 8460 8470 8499 Scrubber gas discharge reheaters - general Scrubber gas discharge reheaters - vibration Scrubber gas discharge reheaters - tube leaks Scrubber gas discharge reheaters - ducts Scrubber instruments and controls Liquid level controls Heat tracer Miscellaneous mechanical failures Miscellaneous electrical failures Stack damage related to scrubber system Major overhaul Inspection Testing SO2 monitor Other miscellaneous wet scrubber problems
Page B-FS-27
Fossil Steam Units
Dry Scrubbers Reagent\Slurry Supply 8500 8501 8502 8503 8504 8505 8506 8507 8508 8510 8520 8521 Slurry storage and feed tanks Reagent storage, feed bins, and conveyors Weigh feeders Screw conveyors Mills/slakers Scalping screens Slurry pipelines Reagent uploading and transfer systems Reagent unavailability Slurry mixers and agitators Slurry transfer pumps and motors Reagent/slurry problems Piping, Ducting, and Dampers 8522 8523 8524 8525 8526 8527 Piping Valves Strainers or filters Ducting Dampers Other piping, ducting, and damper problems Dry Scrubber 8528 8529 8530 8531 8532 8533 8534 Dry scrubber instruments and controls Gas dispersers Spray towers Spray machine/atomizer Spray machine/atomizer motors Spray machine/atomizer lubrication systems Spray machine/atomizer vibration problems Waste Disposal and Recovery 8535 8536 8537 8538 8539 8540 8541 8542 8543 Fly ash conveyors Bucket elevators Weigh hoppers Recycle storage and feed tanks including agitators Recycle slurry transfer pumps Waste disposal Recycle feed bins Recycle feed bins aeration systems Powder coolers
Page B-FS-28
Fossil Steam Units
Miscellaneous (Dry Scrubber) 8544 8545 8546 8547 8548 8549 Precipitators 8550 8551 8560 8570 8580 8590 Electrostatic precipitator fouling Electrostatic precipitator field out of service Electrostatic precipitator problems Mechanical precipitator fouling Mechanical precipitator problems Other precipitator problems Mechanical failures Electrical failures Major overhaul Inspection Testing Other dry scrubber problems
Miscellaneous (Pollution Control Equipment) 8600 8601 8650 8651 8652 8653 8654 8655 8656 8657 8658 8670 8699 Flue gas additives (furnace injection) SO3 mitigation Baghouse systems, general Bag failures and rebagging Shakers and rappers Inflation and deflation fans and motors Baghouse booster fans and motors Structural duct work and dampers Controls and instrumentation Ash handling system and hoppers Slurry system from precipitators Emission monitors (other than CEMS) Other miscellaneous pollution control equipment problems
Continuous Emissions Monitoring Systems (CEMS) 8700 8710 8720 8730 8740 8750 8760 8770 8780 8790 CEMS Certification and Recertification SO2 analyzer problems NOx analyzer problems CO analyzer problems CO2 analyzer problems O2 analyzer problems Opacity monitor problems Flow monitor problems Data acquisition system problems Miscellaneous CEMS problems
Page B-FS-29
Fossil Steam Units
NOx Reduction Systems (Use code 0360 for Low NOx Burners) Selective Non-Catalytic Reduction Systems 8800 8801 8802 8803 8809 Reagent Carrier gas Control system SNCR Performance testing Other SNCR problems Selective Catalytic Reduction Systems 8810 8811 8812 8813 8814 8815 8816 8817 8820 8821 8822 8823 8825 Reactor Reagent Catalyst Injection grid piping/valves Catalyst support material Soot blowers Plugging Control system SCR NOx Ammonia injection grid piping/valves" SCR NOx Ammonia tanks, piping and valves (not injection)" SCR NOx Ammonia air blowers" SCR NOx Other ammonia system problems" Other SCR problems Catalytic Air Heaters 8830 8831 8832 8835 Active catalyst Support materials Plugging Other CAH problems
CO Reduction 8840 8841 8842 8845 Active catalyst Support materials Plugging Other CO reduction problems
Page B-FS-30
Fossil Steam Units
EXTERNAL
Use this set of codes to report events caused by external factors (flood, lightning, etc); economic factors (lack of fuel, labor strikes, etc.); operator training; and, transmission system problems external to the plant. Catastrophe 9000 9010 9020 9025 9030 9035 9036 9040 Economic 0000 9130 9131 9134 9136 9137 9140 9150 9151 9160 9180 9181 9182 9183 9184 9185 9186 9187 9188 9189 9190 9191 9192 9193 9194 9195 9196 9197 9198 9199 Reserve shutdown Lack of fuel (water from rivers or lakes, coal mines, gas lines, etc) where the operator is not in control of contracts, supply lines, or delivery of fuels Lack of fuel (interruptible supply of fuel part of fuel contract) Fuel conservation Problems with Primary Fuel for Units with Secondary Fuel Operation Ground water or other water supply problems. Plant modifications to burn different fuel that are not regulatory mandated Labor strikes company-wide problems or strikes outside the companys jurisdiction such as manufacturers (delaying repairs) or transportation (fuel supply) problems. Labor strikes direct plant management grievances that result in a walkout or strike are under plant management control. Other economic problems Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Flood Fire, not related to a specific component Lightning Geomagnetic disturbance Earthquake Hurricane Storms (ice, snow, etc) Other catastrophe
Page B-FS-31
Fossil Steam Units
Fuel Quality (Use code 9600 to 9650 if the fuel quality results in excess stack emissions through no fault in the pollution control equipment. Use the appropriate equipment code to report fouling and slagging.) 9200 9201 9205 9210 9211 9220 9221 9230 9231 9240 9241 9250 9251 9260 9261 9270 9271 9280 9281 9290 9291 High ash content (OMC) High ash content (not OMC) Poor quality natural gas fuel, low heat content Low grindability (OMC) Low grindability (not OMC) High sulfur content (OMC) High sulfur content (not OMC) High vanadium content (OMC) High vanadium content (not OMC) High sodium content (OMC) High sodium content (not OMC) Low BTU coal (OMC) Low BTU coal (not OMC) Low BTU oil (OMC) Low BTU oil (not OMC) Wet coal (OMC) Wet coal (not OMC) Frozen coal (OMC) Frozen coal (not OMC) Other fuel quality problems (OMC) Other fuel quality problems (not OMC)
Miscellaneous (External) 9300 9305 9310 9320 9340 Transmission system problems other than catastrophes (do not include switchyard problems in this category; see codes 3600 to 3629, 3720 to 3730) Ash disposal problem Operator training Other miscellaneous external problems Synchronous Condenser Operation
Page B-FS-32
Fossil Steam Units

Use these codes only for events not directly attributable to equipment failures. Inspections or testing of certain equipment due to regulation are reported using the appropriate equipment cause codes, and the fact that it was a regulatory requirement noted in the verbal description section. Regulatory 9504 9506 9510 9520 9590 Regulatory (environmental) proceedings and hearings - regulatory agency initiated Regulatory (environmental) proceedings and hearings - intervener initiated Plant modifications strictly for compliance with new or changed regulatory requirements (scrubbers, cooling towers, etc.) Oil spill in Gulf of Mexico (OMC) Miscellaneous regulatory (this code is primarily intended for use with event contribution code 2 to indicate that a regulatory-related factor contributed to the primary cause of the event)
Stack Emission (include exhaust emissions) 9600 9610 9620 9630 9650 9656 SO2 stack emissions fossil NOx stack emissions - fossil Particulate stack emissions fossil Opacity - fossil Other stack or exhaust emissions - fossil (use codes 9200 to 9290 if fuel quality causes pollution control equipment problems that result in excess stack emissions) Other stack or exhaust emissions testing - fossil
Other Operating Environmental Limitations 9660 9670 9677 9680 9690 Safety 9700 9720 OSHA-related retrofit or inspection Other safety problems Thermal discharge limits fossil and nuclear Noise limits (not for personnel safety) - fossil Noise limits testing - fossil Fish kill fossil and nuclear Other miscellaneous operational environmental limits fossil and nuclear
PERSONNEL OR PROCEDURE ERRORS

9900 9910 9920 9930 9940 9950 9960 Operator error Maintenance personnel error Contractor error Operating procedure error Maintenance procedure error Contractor procedure error Staff shortage
Page B-FS-33
Fossil Steam Units
INACTIVE STATES
0002 9990 9991 Inactive Reserve Shutdown Retired unit Mothballed unit
PERFORMANCE
9997 9998 9999
NERC Reliability Standard Requirement Black start testing Total unit performance testing (use appropriate codes for individual component testing)
Page B-FS-34
Fluidized Bed Combustion Units
FLUIDIZED BED COMBUSTION UNITS INDEX TO SYSTEM/COMPONENT CAUSE CODES

(Unit Codes 650-699)
Cause Code Ranges
BOILER
Boiler Fuel Supply to Bunker Sorbent Supply (FBC) Bed Material Preparation System (FBC) Boiler Fuel Supply from Bunkers to Boiler Boiler Piping System Boiler Internals and Structures Slag and Ash Removal Bed Material Removal System (FBC) Bed Solids Recirculation (FBC) External Fluid Bed Heat Exchanger (FBC) Boiler Tube Leaks Boiler Tube Fireside Slagging or Fouling Miscellaneous Boiler Tube Problems Boiler Air and Gas Systems Boiler Control Systems Boiler Overhaul and Inspections Boiler Water Condition Boiler Design Limitations Miscellaneous (Boiler)
Page No.
0010-0129 0130-0156 0160-0174 0200-0480 0500-0799 0800-0859 0860-0920 0930-0950 0951-0989 0990-0999 1000-1090 1100-1200 1300-1360 1400-1599 1700-1799 1800-1820 1850 1900-1910 1980-1999
B-FB-3 B-FB-4 B-FB-4 B-FB-5 B-FB-6 B-FB-8 B-FB-8 B-FB-8 B-FB-9 B-FB-9 B-FB-9 B-FB-10 B-FB-10 B-FB-10 B-FB-11 B-FB-12 B-FB-12 B-FB-12 B-FB-12
BALANCE OF PLANT
Condensing System Circulating Water Systems Waste Water (zero discharge) Condensate System Feedwater System Heater Drain Systems Extraction Steam Electrical Power Station Switchyard Auxiliary Systems Miscellaneous (Balance of Plant) 3110-3199 3210-3285 3290-3299 3300-3399 3401-3499 3501-3509 3520-3549 3600-3690 3700-3730 3800-3899 3950-3999 B-FB-13 B-FB-14 B-FB-14 B-FB-15 B-FB-15 B-FB-16 B-FB-16 B-FB-17 B-FB-18 B-FB-18 B-FB-20
Page B-FB-1
STEAM TURBINE
High Pressure Turbine Intermediate Pressure Turbine Low Pressure Turbine Valve Piping Lube Oil Controls Miscellaneous (Steam Turbine)
Cause Code _Ranges
Page No.
4000-4099 4100-4199 4200-4250 4260-4269 4270-4279 4280-4289 4290-4314 4400-4499
B-FB-21 B-FB-21 B-FB-21 B-FB-22 B-FB-23 B-FB-22 B-FB-22 B-FB-23
GENERATOR
Generator Exciter Cooling System Controls Miscellaneous (Generator) 4500-4580 4600-4609 4610-4650 4700-4750 4800-4899 B-FB-24 B-FB-24 B-FB-24 B-FB-24 B-FB-25

Wet Scrubbers Dry Scrubbers Precipitators Miscellaneous (Pollution Control Equipment) Continuous Emissions Monitoring Systems (CEMS) NOx Reduction Systems CO Reduction
B B
8000-8499 8500-8549 8550-8590 8600-8699 8700-8790 8800-8835 8840-8845
B-FB-26 B-FB-28 B-FB-29 B-FB-29 B-FB-29 B-FB-30 B-FB-30
EXTERNAL
Catastrophe Economic Economic (for internal use at plants only) Fuel Quality Miscellaneous (External) 9000-9040 0000, 9130-9160 9180-9199 9200-9291 9300-9340 B-FB-31 B-FB-31 B-FB-31 B-FB-32 B-FB-32

Regulatory Stack Emission Other Operating Environmental Limitations Safety 9504-9590 9600-9656 9660-9690 9700-9720 9900-9960 0002, 9990-9991 9997-9999 B-FB-33 B-FB-33 B-FB-33 B-FB-33 B-FB-33 B-FB-34 B-FB-34
Page B-FB-2
BOILER
This set of codes contains the following: Boiler Boiler internals (tubes, refractory, supports, etc.) All the fuel handling, storage fuel preparation and burning equipment. The forced/induced draft air system. Slag and ash removal except for particulate and gas cleanup. These latter items are covered under pollution control equipment. The main steam and reheat steam systems up to but not including the turbine stop or isolation valves. The feedwater system downstream of the final valve prior to entry into the economizer or boiler. Boiler blowdown systems. The startup bypass system including drains up to the heaters or condenser. Boiler water chemistry problems not due to problems in the condensate/feedwater system, the chemical addition system, or the demineralizer/polisher system. The instruments and controls associated with the above equipment.
Boiler Fuel Supply to Bunker Coal Handling Equipment up Through Bunkers 0010 0020 0022 0024 0026 0028 0030 0035 0040 0050 0060 0070 0075 0080 0084 0085 0090 0095 0100 0105 0106 0107 0110 0125 0126 0127 Thaw shed failure or fire Coal car dumpers, shakers, and unloaders Unloading/receiving hopper (train/truck) Rotary plow Dust suppression system Dust collection system Coal conveyors and feeders Metal detector/collector (including magnetic separator) Coal elevators Coal storage fires Coal crushers including motors Coal samplers Storage silos/hoppers Stackers/reclaimers Coal conveyor scales-storage coal pile Bunker feeder coal scales Bunker fires Bunker flow problems Bunker gates Bunker structures Coal drying system Screen (prior to bunkers) Other coal fuel supply problems up through bunkers Coal crusher dryer hammers Coal crusher lube oil system Other coal crusher dryer problems
Page B-FB-3
Solid Fuel Feed Equipment from Bunkers to Boiler (FBC only) 0111 0112 0113 0114 0115 0116 0117 0118 0119 0120 0121 0129 Solid fuel feeder conveyors Solid fuel feed tanks/hoppers Solid fuel tank/hopper fires Solid fuel volumetric feeder Solid fuel gravimetric feeder Solid fuel feeder motors Solid fuel pneumatic transport system including piping and valves Solid fuel drying system including screens Solid fuel crushers Solid fuel crusher motors Other solid fuel feed problems Other coal processing system problems
Sorbent Supply (FBC only) Sorbent Handling System up Through Bunkers (FBC only) 0130 0131 0132 0133 0134 0135 0136 0137 0138 0139 0140 0141 Sorbent handling tanks/hoppers Sorbent handling conveyors Sorbent handling feeders Sorbent handling feeder motors Sorbent handling crushers Sorbent handling crusher motors Sorbent handling blowers/fans Sorbent handling blower/fan motors Sorbent handling baghouse Sorbent handling drying equipment Sorbent handling screens Other sorbent handling equipment problems Sorbent Feed Equipment from Bunkers to Boiler (FBC only) 0150 0151 0152 0153 0154 0155 0156 Sorbent feed conveyors Sorbent feed tanks/hoppers Sorbent feed volumetric feeder Sorbent feed gravimetric feeder Sorbent feed feeder motors Sorbent feed pneumatic transport system including piping and valves Other sorbent feed problems
Bed Material Preparation System (FBC only) 0160 0162 0163 0164 0165 0166 0167 0168 0169
Page B-FB-4
Bed material tanks/hoppers Bed material conveyors Bed material feeders Bed material feeder motors Bed material crushers Bed material crusher motors Bed material screens Bed material blowers/fans Bed material blower/fan motors
Bed Material Preparation System (FBC only) (Continued) 0170 0171 0172 0173 0174 Bed material cyclone Bed material baghouse Bed material drying equipment Bed material pneumatic transport system including piping and valves Other bed material handling equipment
Boiler Fuel Supply from Bunkers to Boiler Pulverizers, Primary Air Fans, and Associated Ducts 0200 0205 0210 0220 0230 0240 0250 0253 0255 0256 0260 0262 0263 0264 0265 0266 0267 0270 0280 0290 0300 0310 0312 0313 0314 0315 0320 0325 0330 0331 0335 0338 0340 0344 0345 0346 0350 Pulverizer exhauster fan (for indirect firing) Pulverizer exhauster fan drive Pulverizer heater (for indirect firing) Pulverizer system cyclone separator Pulverizer bag filter Pulverized coal bin Pulverizer feeders Pulverizer feeder motor Pulverizer feeder coal scales Seal air system (air to pulverizers) Primary air fan Primary air fan lube oil system Primary air fan drives Other primary air fan problems Primary air heater Primary air heater fouling Primary air flow instrumentation Primary air duct and dampers Pulverizer fires Pulverizer reduced capacity due to wear Pulverizer motors and drives Pulverizer mills Pulverizer classifiers Pulverizer trunnion seals Pulverizer mill ball charger hopper (ball mills only) Pulverizer coal level controls Foreign object in mill Pulverizer skidding Pulverizer coal leak (pulverizer only) Pulverizer system coal leaks (other than pulverizers, see code 0330) Pulverizer lube oil system Pulverizer control systems (temperature and pressure) Other pulverizer problems Pulverizer inspection Pulverizer overhaul Pulverizer pyrite removal system Pulverized fuel and air piping (from pulverizer to wind box) (see code 0898 for pulverizer reject system problems)
Page B-FB-5
Burners 0358 0359 0360 0361 0362 0365 0366 0370 0375 0380 0385 0390 0400 0410 Oil burner piping and valves Gas burner piping and valves Burners Burner orfices Burner tilts Bed warmup burners (FBC only) Duct burners (FBC only) Burner instruments and controls (except light-off) Burner instruments and controls (FBC light-off system) Light-off (igniter) systems (including fuel supply) Igniters Burner wind boxes and dampers Burner wind box fires Other burner problems Cyclone Cyclone feeders Cyclone crusher Cyclone dampers Cyclone air ducts Cyclone furnace Other cyclone problems Oil and Gas Systems (except light-off) 0440 0441 0442 0443 0444 0450 0460 0470 0475 0480 Fuel oil pumps (general) Fuel oil pumps (burner supply) Fuel oil pumps (forwarding/transfer) Fuel oil (burner supply) pump drives Fuel oil (forwarding/transfer) pump drives Fuel oil heaters Fuel oil atomizers Oil and gas fires Fuel lance (FBC only) Other oil and gas fuel supply problems (see codes 0360-0410 for burner problems)
0415 0420 0425 0426 0430 0435
Boiler Piping System Main Steam 0500 0510 0520 0530 Main steam piping up to turbine stop valves Main steam relief/safety valves Other main steam valves (including vent and drain valves but not including the turbine stop valves) Other main steam system problems
Page B-FB-6
Cold and Hot Reheat Steam 0540 0541 0550 0560 0561 0570 Hot reheat steam piping up to turbine stop valves Cold reheat steam piping up to boiler Reheat steam relief/safety valves Other hot reheat steam valves (not including turbine stop or intercept valves) Other cold reheat steam valves (not including turbine stop or intercept valves) Other reheat steam problems Desuperheaters/Attemperators 0580 0590 0600 0610 0620 Desuperheater/attemperator piping Desuperheater/attemperator valves Desuperheater/attemperator spray nozzles Desuperheater/attemperator drums Other desuperheater/attemperator problems Startup Bypass 0630 0640 0650 0655 0660 Startup bypass system piping (including drain lines up to heaters or condenser) Startup bypass system valves Startup bypass tanks or flash tanks Steam by-pass system instrumentation and controls Other startup bypass system problems Feedwater and Blowdown 0670 0680 0690 0700 0710 0720 0730 Feedwater piping downstream of feedwater regulating valve Feedwater valves (not feedwater regulating valve) Other feedwater problems downstream of feedwater regulating valve (use codes 3401 to 3499 for remainder of feedwater system) Blowdown system valves Blowdown system piping Blowdown system controls /instrumentation Other blowdown system problems Boiler Recirculation 0740 0741 0750 0760 0770 Boiler recirculation pumps Boiler recirculation pumps - motors Boiler recirculation piping (including downcomers) Boiler recirculation valves Other boiler recirculation problems Miscellaneous (Piping) 0775 0780 0782 0790 0799 Economizer piping Headers between tube bundles Headers and caps Pipe hangers, brackets, supports (general) Other miscellaneous piping system problems
Page B-FB-7
Boiler Internals and Structures 0800 0810 0811 0812 0813 0814 0820 0830 0840 0845 0846 0847 0850 0855 0859 Drums and drum internals (single drum) Boiler supports and structures (use code 1320 for tube supports) Convection pass enclosure (FBC only) Distribution plate (FBC only) Lower furnace (in-bed) tube supports (FBC only) In-bed bubble caps (FBC only) Casing Doors Refractory and insulation Windbox expansion joints Convection pass expansion joints (FBC only) Other expansion joints Other internal or structural problems Drum relief/safety valves (single drum) Tube external fins/membranes
Slag and Ash Removal 0860 0870 0871 0872 0873 0876 0880 0885 0890 0891 0892 0893 0894 0895 0896 0897 0898 0899 0900 0910 0920 Soot blowers - air (see code 3844 for air delivery system) Soot blowers - steam Soot blowers - sonic Soot blowers - water Soot blower drives Soot blower controls Fly ash Removal System (not precipitators, scrubbers, mechanical collectors, or baghouses) Fly ash Removal System wet transport Bottom ash systems (wet or dry) Bottom ash hoppers (including gates) Bottom ash clinker grinders Bottom ash water pumps and motors Bottom ash piping and valves Ashpit trouble Bottom ash dewatering bin system, instruments and controls Bottom ash rotary (drag chain type) conveyor and motor Bottom ash pyrite hopper (pulverizer reject) system Bottom ash controls and instrumentation Slag-tap (cyclone furnace) Slag-tap (other than cyclone furnace) Other slag and ash removal problems
Bed Material Removal System 0930 0931 0932 0933 0934 0935 0936 Bed material coolers Bed material transport piping/valves Bed material transport tanks/hoppers Bed material fans/blowers Bed material fan/blower motors Bed material disposal conditioner Bed material conveyors
Page B-FB-8
Bed Material Removal System (Continued) 0937 0950 Bed material mechanical separators and baghouse Other bed material system problems
Bed Solids Recirculation 0951 0952 0953 0959 0960 0961 0962 0969 0970 0971 0972 0973 0980 0981 0982 0989 Char reinjection feeders Char reinjection piping/valves Char reinjection controls Other char reinjection equipment problems Char transport piping and valves Char transfer tanks/hoppers Char conditioner Other char equipment problems Flue gas-solids separator Flue gas-solids separator piping and valves Flue gas-solids separator controls Flue gas-solids separator refractory High pressure loop seal recirculation fans/blowers High pressure loop seal recirculation fan/blower motors High pressure loop seal recirculation fan/blower controls Other bed solids recirculation problems
External Fluidized Bed Heat Exchanger 0990 0991 0992 0999 Refractory Tube leaks Tube supports Other heat exchanger problems
Boiler Tube Leaks (use code 0859 for tube/membrane failures)

1000 1005 1006 1010 1020 1030 1035 1040 1045 1050 1055 1060 1070 1075 1080 1085 1090 Waterwall (Furnace wall) Generating tubes between steam drum and mud drum In-bed reheat tubes (FBC only - includes external heat exchangers) Cyclone furnace (in cyclone area only) Convection pass wall (water tubes only) Boiler screen, wing wall, or slag screen (water tubes only) Platen superheater First superheater In-bed superheater tubes (FBC only - includes external heat exchangers) Second superheater External superheater link tubing First reheater Second reheater External reheater link tubing Economizer In-bed evaporative tubes (FBC only - includes external heat exchangers) Other boiler tube leaks
Page B-FB-9
Boiler Tube Fireside Slagging or Fouling (use codes 0860 and 0870 for fouling or slagging due to unavailability of soot blowers or their air or steam supply) 1100 1105 1110 1120 1130 1140 1150 1160 1170 1180 1190 1191 1200 Waterwall (Furnace wall) Generating tubes between steam drum and mud drum Cyclone furnace (in cyclone area only) Convection pass wall Boiler screen, wing wall, or slag screen (water tubes only) First superheater Second superheater First reheater Second reheater Economizer Other tube slagging or fouling Bed agglomeration (FBC only) Operation at reduced power to avoid slagging or fouling (use codes 1100 to 1190 to report power reductions for slag accumulation or slag removal)
Miscellaneous Boiler Tube Problems 1300 1305 1310 1320 1330 1340 1350 1360 Water side fouling Fireside cleaning (requires a full outage) Use code 1200 for cleanings that cause deratings. Water side cleaning (acid cleaning) Tube supports/attachments Slag fall damage Tube modifications (including addition and removal of tubes) Other miscellaneous boiler tube problems Boiler drains system
Boiler Air and Gas Systems (excluding burner pipes, wind boxes, primary air, or pulverizer exhausters) Air Supply 1400 1407 1410 1411 1412 1413 1415 1420 1421 1422 1423 1424 1430 1431 1432 1440 1450 Forced draft fans* Forced draft fan lubrication system* Forced draft fan motors* Forced draft fan motors - variable speed* Forced draft fan drives (other than motor)* Forced draft fan couplings Forced draft fan controls* Other forced draft fan problems* Secondary air fans/blowers Secondary air fan/blower motors - single speed Secondary air fan/blower motors - variable speed Secondary air fan/blower controls Air supply ducts from FD fan Air supply dampers from FD fan Air supply duct expansion joints Air supply dampers Other air supply problems
*For FBC units, this is the same as primary air fans and their motors.
Page B-FB-10
Flue Gas 1455 1457 1460 1470 1471 1472 1475 1476 1480 1487 1488 1489 1492 1493 1495 1500 1510 1512 1520 1530 Induced draft fans Induced draft fan lubrication systems Induced draft fan fouling Induced draft fan motors and drives Induced draft fan motors - variable speed Inducted draft fan coupling Induced draft fan controls Induced draft fan speed changer Other induced draft fan problems Air heater (tubular) Air heater (regenerative) Air heater (heat pipe, plate-type) Air heater fouling (tubular) Air heater fouling (regenerative) Other air heater fouling (heat pipe, plate-type) Air heater soot blowers Flue gas ducts (except recirculation) Flue gas expansion joints Flue gas dampers (except recirculation) Other flue gas problems Flue Gas Recirculation 1535 1537 1540 1550 1555 1560 1570 1572 1580 Flue gas recirculating fan Flue gas recirculating fan lubrication systems Flue gas recirculation fan fouling Flue gas recirculation fan motors Flue gas recirculation fan controls Other flue gas recirculation fan problems Flue gas recirculation ducts Flue gas recirculation duct expansion joints Flue gas recirculation dampers Miscellaneous (Boiler Air and Gas Systems) 1590 1591 1592 1599 Stacks (use code 8430 for stack problems due to pollution control equipment) Stack damper and linkage Stack damper linkage motor Other miscellaneous boiler air and gas system problems
Boiler Control Systems (including instruments which input to the controls) 1700 1710 1720 1730 1740 Feedwater controls (report local controls feedwater pump, feedwater regulator valve, etc., with component or system) Combustion/steam condition controls (report local controls burners, pulverizers, etc., with component or system) Desuperheater/attemperator controls Boiler explosion or implosion Gage glasses
Page B-FB-11
Boiler Control Systems (including instruments which input to the controls) (Continued) 1741 1750 1760 1761 1762 1799 Furnace and water gauge television auxiliary system Burner management system Feedwater instrumentation (not local controls) Combustion /Steam condition instrumentation (not local controls) Desuperheater/attemperator instrumentation (not local controls) Other boiler instrumentation and control problems
Boiler Overhaul and Inspections 1800 1801 1810 1811 1812 1820 Major boiler overhaul (720 hours or longer) (use for non-specific overhaul only; see page B1) Minor boiler overhaul (less than 720 hours) (use for non-specific overhaul only; see page B1) Other boiler inspections Boiler Inspections problem identification/investigation Boiler Inspections scheduled or routine Chemical cleaning/steam blows
Boiler Water Condition 1850 Boiler water condition (not feedwater water quality)
Boiler Design Limitations 1900 1910 Improper balance between tube sections not due to fouling or plugging Inadequate air not due to equipment problems
Miscellaneous (Boiler) (use more specific codes other slagging and fouling problems, other control problems, etc. whenever possible. Describe miscellaneous problems in the verbal description.) 1980 1990 1999 Boiler safety valve test Boiler performance testing (use code 9999 for total unit performance testing) Boiler, miscellaneous
Page B-FB-12
BALANCE OF PLANT
Condensing System Condenser Tubes 3110 3111 3112 3113 3114 3115 3116 3117 3118 3119 Condenser tube leaks Condenser tube fouling shell side Condenser tube fouling tube side Condenser tube and water box cleaning (including circulating water flow reversal) Air-cooled condenser tubes Air-cooled condenser pumps Air-cooled condenser fans Air-cooled condenser fan motors Other Air-cooled condenser problems Other condenser tube casing or shell and internal problems Condenser Casing or Shell and Internals 3120 3121 3122 3123 3124 3129 Tube sheets Expansion joint Gaskets and seals Hot well Tube sheet fouling Other condenser casing or shell and internal problems Vacuum Equipment 3130 3131 3132 3133 3134 3135 3139 3149 Air ejectors Air ejector piping and valves Inter and after condensers Vacuum pumps Vacuum pump piping and valves Vacuum pump motor and auxiliaries Other air extraction system problems - general Loss of vacuum not attributable to a particular component such as air ejectors or valves; or, high back pressure not attributable to high circulating water temperature, or vacuum losses from a known cause. Condenser Controls 3150 3151 3152 3159 Hot well level controls Vacuum pump and air ejector controls Air-cooled condenser controls Other condensing system controls and instruments Miscellaneous (Condensing System) 3170 3171 3180 Condenser inspection (use code 3110 to report looking for tube leaks) Air-cooled condenser inspections Major condenser overhaul
Page B-FB-13
Condensing System (Continued) 3185 3186 3190 3199 Water side cathodic protection Auxiliary condenser and associated equipment Air leakage (for losses not attributable to previously noted equipment related codes) Other miscellaneous condensing system problems
Page B-FB-14
Condensate System Pumps, Piping, and Valves 3300 3310 3311 3312 3313 3314 3315 3320 3330 Condensate water pre-treatment Condensate/hotwell pumps Condensate/hotwell pump motor Condensate booster pump Condensate booster pump motor Condensate booster pump motor - variable speed Condensate booster pump drive (other than 3313 and 3314) Condensate piping Condensate valves Low/Intermediate Pressure Heater and Deaerators 3339 3340 3341 3342 3343 3344 3345 LP heater head leaks LP heater tube leaks Other LP heater general IP heater tube leaks Other IP heater general Deaerator (including level control) IP heater head leaks Polishers/Chemical Addition 3350 3351 3352 Condensate polishing and filtering systems Chemical addition systems Feedwater chemistry (not specific to condenser, polishers, or chemical addition) Miscellaneous (Condensate System) 3360 3370 3380 3399 Condensate makeup and return (including storage tanks) Condensate system controls and instrumentation (not hotwell level, heater level, or deaerator level controls: see codes 3150-3159, 3344, 3502. Condensate coolers Other miscellaneous condensate system problems
Feedwater System (excluding extraction or drain systems) 3401 3402 3407 3408 3409 3410 3411 3412 3413 3414 3415 3416 3417 3418 Startup feedwater pump Startup feedwater pump drives - all types Feedwater pump suction screens Feedwater pump drive local controls Feedwater pump drive motor - variable speed Feedwater pump Feedwater pump drive - motor Feedwater pump drive - steam turbine Feedwater pump coupling and drive shaft Feedwater pump local controls Feedwater pump/drive lube oil system Other feedwater pump problems Feedwater pump drive - main shaft Feedwater pump drive - other
Page B-FB-15
Feedwater System (excluding extraction or drain systems) (Continued) 3419 3420 3430 3431 3439 3440 3441 3451 3452 3453 3454 3455 3456 3457 3458 3459 3460 3461 3462 3463 3499 Feedwater pump drive - gear Feedwater piping and supports Feedwater regulating (boiler level control) valve Other feedwater valves HP heater head leaks High pressure heater tube leaks Other high pressure heater problems (see condensate system for LP and IP heater codes) Feedwater booster pump suction screens Feedwater booster pump drive - local controls Feedwater booster pump drive motor - variable speed Feedwater booster pump Feedwater booster pump drive - motor Feedwater booster pump drive - steam turbine Feedwater booster pump coupling and drive shaft Feedwater booster pump local controls Feedwater booster pump/drive lube oil system Other feedwater booster pump problems Feedwater booster pump drive - main shaft Feedwater booster pump drive - other Feedwater booster pump drive - gear Other feedwater system problems
Extraction Steam 3520 3521 3522 3529 3530 3531 3532 3539 3540 3541 3542 3549 HP Extraction steam piping HP Extraction steam valves HP Extraction steam instruments and controls Other HP extraction steam system problems IP Extraction steam piping IP Extraction steam valves IP Extraction steam instruments and controls Other IP extraction steam system problems LP Extraction steam piping LP Extraction steam valves LP Extraction steam instruments and controls Other LP extraction steam system problems
Page B-FB-16
Electrical 3600 3601 3610 3611 3612 3613 3618 3619 3620 3621 3622 3623 3624 3629 3630 3631 3632 3633 3634 3639 3640 3641 3642 3643 3644 3649 3650 3651 3652 3653 3659 3660 3661 3662 3663 3664 3669 3670 3671 3672 3673 3674 3679 Switchyard transformers and associated cooling systems external (OMC) Switchyard transformers and associated cooling systems external (not OMC) Switchyard circuit breakers external (not OMC) Switchyard circuit breakers external (OMC) Switchyard system protection devices external (OMC) Switchyard system protection devices external (not OMC) Other switchyard equipment external (not OMC) Other switchyard equipment external (OMC) Main transformer Unit auxiliaries transformer Station service startup transformer Auxiliary generators Auxiliary generator voltage supply system Other switchyard or high voltage system problems - external 400-700-volt transformers 400-700-volt circuit breakers 400-700-volt conductors and buses 400-700-volt insulators 400-700-volt protection devices Other 400-700-volt problems AC instrument power transformers AC Circuit breakers AC Conductors and buses AC Inverters AC Protection devices Other AC instrument power problems DC instrument power battery chargers DC circuit breakers DC conductors and buses DC protection devices Other DC power problems 4000-7000-volt transformers 4000-7000-volt circuit breakers 4000-7000-volt conductors and buses 4000-7000-volt insulators 4000-7000-volt protection devices Other 4000-7000-volt problems 12-15kV transformers 12-15kV circuit breakers 12-15kV conductors and buses 12-15kV insulators 12-15kV protection devices Other 12-15kV problems
Page B-FB-17
Electrical (Continued) 3680 3681 3682 3683 3684 3689 3690 other voltage transformers other voltage circuit breakers other voltage conductors and buses other voltage insulators other voltage protection devices Other voltage problems Station Service Power Distribution System, General
Auxiliary Systems Open Cooling Water System 3800 3801 3802 3803 3804 3805 3806 3809 Open cooling water pumps and motors Open cooling water piping Open cooling water valves Open cooling water heat exchangers Open cooling water system fouling Open cooling water system instrumentation Open cooling water strainer Other open cooling water problems Service Water (Open System) 3810 3811 3812 3813 3814 3815 3819 Service water pumps and motors Service water piping Service water valves Service water heat exchangers Service water system fouling Service water strainer Other service water problems Closed Cooling Water Systems 3820 3821 3822 3823 3824 3825 3826 3829 Closed cooling water pumps and motors Closed cooling water piping Closed cooling water valves Closed cooling water heat exchangers Closed cooling water system fouling Closed cooling water instrumentation Closed cooling water strainer Other closed cooling water system problems
Page B-FB-18
Auxiliary Steam 3830 3831 3832 3833 3834 3835 3836 3839 Auxiliary boiler Auxiliary steam piping Auxiliary steam valves Auxiliary steam controls and instruments Auxiliary boiler tube leaks Auxiliary boiler burner management system Steam transfer to other unit Other auxiliary steam problems (also see extraction steam codes 3520 to 3529; startup bypass codes 0630 to 0660; and soot blower steam code 0870) Service Air 3840 3841 3842 3843 3844 3849 Service air compressors Service air piping Service air valves Service air dryers Soot blowing air compressor and system Other service air problems Instrument Air 3850 3851 3852 3853 3854 3859 Instrument air compressors Instrument air piping Instrument air valves Instrument air dryers N2 backup to instrument air Other instrument air problems
B B
Fire Protection System 3860 3861 3862 3863 3864 3869 Fire protection system pumps Fire protection system piping Fire protection system valves Fire protection system fouling Fire protection system instrumentation and controls Other fire protection system problems Low-pressure Gas Compression System 3870 3871 3872 3873 3874 3875 3876 3879 Fuel Gas Compressor and Motors Fuel Gas Compressor Piping Fuel Gas Compressor Valves Fuel Gas Compressor Heat Exchangers Fuel Gas Compressor Controls and Instrumentation Fuel Gas Compressor Filters Fuel Gas Compressor Fire System Fuel Gas Compressor Other
Page B-FB-19
Seal Air Fans 3880 3881 3882 3883 3889 Seal air fan Seal air fan drive - motor Seal air control dampers and drives Seal air filters Other seal air fan problems Miscellaneous (Auxiliary Systems) 3898 3899 Miscellaneous plant auxiliary process and services instrumentation and controls Other miscellaneous auxiliary system problems
Page B-FB-20
STEAM TURBINE
Low Pressure Turbine 4200 4201 4209 4210 4211 4212 Outer casing Inner casing Nozzle bolting Nozzles and nozzle blocks Diaphragms Buckets or blades
Page B-FB-21
Low Pressure Turbine (Continued) 4213 4215 4220 4221 4222 4230 4240 4241 4250 Valves 4260 4261 4262 4263 4264 4265 4266 4267 4268 4269 Piping 4270 4279 Crossover or under piping Miscellaneous turbine piping Main stop valves Control valves Intercept valves Reheat stop valves Combined intercept valves Miscellaneous drain and vent valves Main stop valve testing Control valve testing Reheat/intercept valve testing Other turbine valves Bucket or blade fouling Wheels or spindles Shaft seals Dummy rings Gland rings Rotor shaft Bearings Thrust bearings Other low pressure turbine problems
Lube Oil (do not include bearing failures due to lube oil) 4280 4281 4282 4283 4284 4289 Controls 4290 4291 4292 4293 4299 4300 4301 4302 4303 4304 4305 4306 Hydraulic system pumps Hydraulic system coolers Hydraulic system filters Hydraulic system pipes and valves Other hydraulic system problems Turbine supervisory system (use codes 4290 to 4299 for hydraulic oil) Turbine governing system Turbine trip devices (including instruments) Exhaust hood and spray controls Automatic turbine control systems - mechanical Automatic turbine control systems - mechanical - hydraulic Automatic turbine control systems - electro-hydraulic - analog Lube oil pumps Lube oil coolers Lube oil conditioners Lube oil system valves and piping Lube oil pump drive Other lube oil system problems
Page B-FB-22
Controls (Continued) 4307 4308 4309 4310 4311 4312 4313 4314 Automatic turbine control systems - electro-hydraulic - digital Automatic turbine control systems - digital control and monitoring Other turbine instrument and control problems Steam Turbine Control System - data highway Steam Turbine Control System - hardware problems (including card failure) Steam Turbine Control System - internal and termination wiring Steam Turbine Control System - logic problems Steam Turbine Control System - upgrades
Miscellaneous (Steam Turbine) 4400 4401 4402 4410 4411 4412 4415 4420 4430 4450 4460 4470 4490 4499 Major turbine overhaul (720 hrs or longer) (use for non-specific overhaul only; see page B1) Inspection Minor turbine overhaul (less than 720 hrs) (use for non-specific overhaul only; see page B1) Turning gear and motor Steam turbine gear box (single shaft configuration) Steam turbine clutch (single shaft configuration) Shaft coupling mechanism Vibration of the turbine generator unit that cannot be attributed to a specific cause such as bearings or blades (use this code for balance moves) Gland seal system Water induction Turbine overspeed trip test Differential expansion Turbine performance testing (use code 9999 for total unit performance testing) Other miscellaneous steam turbine problems
Page B-FB-23
GENERATOR
Cooling System (report failures caused by water leaks into generator as codes 4500, 4510, etc.) 4610 4611 4612 4613 4619 4620 4630 4640 4650 Hydrogen cooling system piping and valves Hydrogen coolers Hydrogen storage system Hydrogen seals Other hydrogen system problems Air cooling system Liquid cooling system Seal oil system and seals Other cooling system problems
Page B-FB-24
Controls 4700 4710 4720 4730 4740 4750 Generator voltage control Generator metering devices Generator synchronization equipment Generator current and potential transformers Emergency generator trip devices Other generator controls and metering problems
Miscellaneous (Generator) 4800 4805 4810 4830 4831 4840 4841 4842 4850 4860 4899 Generator main leads Generator Bus Duct Cooling System Generator output breaker Major overhaul (720 hrs or longer) (use for non-specific overhaul only; see page B-1) Minor overhaul (less than 720 hrs.) (use for non-specific overhaul only; see page B-1) Inspection Generator doble testing Reactive and capability testing Core monitor alarm Generator neutral grounding equipment Other miscellaneous generator problems
Page B-FB-25

Use this set of codes to report problems with flue gas desulphurization equipment and stack gas particulate removal equipment. If outages or deratings occur due to reasons other than equipment problems, use the set of codes for Regulatory, Safety, Environmental stack emission limits. Wet Scrubbers Chemical Supply 8000 8002 8003 8006 8010 8020 8030 8040 8050 8099 Chemical feed storage, mill feeders, and conveyors Screw conveyors Bucket elevators Weigh feeders Crushers/mills Mill slurry tanks supply problems Classifiers Slurry transfer pumps and motors Chemical unavailability Other chemical supply problems Wet Scrubber 8100 8110 8115 8120 8125 8127 8130 8140 8150 8160 8199 Scrubber/absorber tower or module Spray nozzles Disc scrubber throats Spray pumps and motors Scrubber recycle (liquid) pumps Scrubber recycle (liquid) pump motors Recirculation tanks including agitators Reaction tanks including agitators Tubes Mist eliminators/demisters and washdown Other scrubber problems Piping, Ducting, Dampers, and Fans 8200 8210 8220 8225 8230 8235 8240 8250 8260 * Piping Valves Strainers or filters Drain pots Ducting Demister Bypass dampers Dampers other than bypass Scrubber booster I.D. fan (fan specific to the scrubber)
Use code 9510 for outages or deratings required to install pollution control equipment. Use codes 9600 to 9650 only when the pollution control equipment problems are not responsible for exceeding emission limits.
Page B-FB-26
Piping, Ducting, Dampers, and Fans (Continued) 8261 8262 8264 8270 8271 8272 8274 8280 8290 8299 Scrubber booster I.D. fan drive Scrubber booster I.D. fan vibration (fan specific to the scrubber) Scrubber booster I.D. fan blades (fan specific to the scrubber) Scrubber booster F.D. fan (fan specific to the scrubber) Scrubber booster F.D. fan drive Scrubber booster F.D. fan vibration (fan specific to the scrubber) Scrubber booster F.D. fan blades (fan specific to the scrubber) Reagent feed piping Demister wash piping assembly Other piping, ducting, damper, and fan problems Waste Disposal and Recovery 8300 8310 8320 8325 8330 8335 8340 8345 8349 8399 Waste disposal/recovery tanks Waste disposal/recovery pumps Waste disposal ponds Ash disposal problems Dewatering equipment (thickener, centrifuge, etc.) Dryers Centrifuge/vacuum filter Calciners Other waste disposal and recovery problems Solids conveying and mixing system problems Miscellaneous (Wet Scrubbers) 8400 8402 8404 8406 8410 8415 8420 8425 8426 8430 8440 8450 8460 8470 8499 Scrubber gas discharge reheaters - general Scrubber gas discharge reheaters - vibration Scrubber gas discharge reheaters - tube leaks Scrubber gas discharge reheaters - ducts Scrubber instruments and controls Liquid level controls Heat tracer Miscellaneous mechanical failures Miscellaneous electrical failures Stack damage related to scrubber system Major overhaul Inspection Testing SO2 monitor Other miscellaneous wet scrubber problems
B B
Page B-FB-27
Dry Scrubbers Reagent\Slurry Supply 8500 8501 8502 8503 8504 8505 8506 8507 8508 8510 8520 8521 Slurry storage and feed tanks Reagent storage, feed bins, and conveyors Weigh feeders Screw conveyors Mills/slakers Scalping screens Slurry pipelines Reagent uploading and transfer systems Reagent unavailability Slurry mixers and agitators Slurry transfer pumps and motors Reagent/slurry problems Piping, Ducting, and Dampers 8522 8523 8524 8525 8526 8527 Piping Valves Strainers or filters Ducting Dampers Other piping, ducting, and damper problems Dry Scrubber 8528 8529 8530 8531 8532 8533 8534 Dry scrubber instruments and controls Gas dispersers Spray towers Spray machine/atomizer Spray machine/atomizer motors Spray machine/atomizer lubrication systems Spray machine/atomizer vibration problems Waste Disposal and Recovery 8535 8536 8537 8538 8539 8540 8541 8542 8543 Fly ash conveyors Bucket elevators Weigh hoppers Recycle storage and feed tanks including agitators Recycle slurry transfer pumps Waste disposal Recycle feed bins Recycle feed bins aeration systems Powder coolers
Page B-FB-28
Miscellaneous (Dry Scrubber) 8544 8545 8546 8547 8548 8549 Precipitators 8550 8551 8560 8570 8580 8590 Electrostatic precipitator fouling Electrostatic precipitator field out of service Electrostatic precipitator problems Mechanical precipitator fouling Mechanical precipitator problems Other precipitator problems Mechanical failures Electrical failures Major overhaul Inspection Testing Other dry scrubber problem
Miscellaneous (Pollution Control Equipment) 8600 8601 8650 8651 8652 8653 8654 8655 8656 8657 8658 8670 8699 Flue gas additives (furnace injection) SO3 mitigation Baghouse systems, general Bag failures and rebagging Shakers and rappers Inflation and deflation fans and motors Baghouse booster fans and motors Structural duct work and dampers Controls and instrumentation Ash handling system and hoppers Slurry system from precipitators Emission monitors (other than CEMS) Other miscellaneous pollution control equipment problems
B B B B B B B B
Page B-FB-29
NOx Reduction Systems

B B
Selective Non-Catalytic Reduction Systems 8800 8801 8802 8803 8809 Reagent Carrier gas Control system SNCR Performance testing Other SNCR problems Selective Catalytic Reduction Systems 8810 8811 8812 8813 8814 8815 8816 8817 8820 8821 8822 8823 8825 Reactor Reagent Catalyst Injection grid piping/valves Catalyst support material Soot blowers Plugging Control system SCR NOx Ammonia injection grid piping/valves" SCR NOx Ammonia tanks, piping and valves (not injection)" SCR NOx Ammonia air blowers" SCR NOx Other ammonia system problems" Other SCR problems Catalytic Air Heaters 8830 8831 8832 8835 Active catalyst Support materials Plugging Other CAH problems
Page B-FB-30
EXTERNAL
Use this set of codes to report events caused by external factors (flood, lightning, etc.); economic factors (lack of fuel, labor strikes, etc.); operator training; and, transmission system problems external to the plant. Catastrophe 9000 9010 9020 9025 9030 9035 9036 9040 Economic 0000 9130 9131 9134 9130 9131 9134 9136 9137 9140 9150 9151 9160 9180 9181 9182 9183 9184 9185 9186 9187 9188 9189 9190 9191 9192 9193 9194 Reserve shutdown Lack of fuel (water from rivers or lakes, coal mines, gas lines, etc) where the operator is not in control of contracts, supply lines, or delivery of fuels Lack of fuel (interruptible supply of fuel part of fuel contract) Fuel conservation Lack of fuel (water from rivers or lakes, coal mines, gas lines, etc) where the operator is not in control of contracts, supply lines, or delivery of fuels Lack of fuel (interruptible supply of fuel part of fuel contract) Fuel conservation Problems with Primary Fuel for Units with Secondary Fuel Operation Ground water or other water supply problems. Plant modifications to burn different fuel that are not regulatory mandated Labor strikes company-wide problems or strikes outside the companys jurisdiction such as manufacturers (delaying repairs) or transportation (fuel supply) problems. Labor strikes direct plant management grievances that result in a walkout or strike are under plant management control Other economic problems Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Flood Fire, not related to a specific component Lightning Geomagnetic disturbance Earthquake Hurricane Storms (ice, snow, etc) Other catastrophe
Page B-FB-31
Economic (Continued) 9195 9196 9197 9198 9199 Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only)
Page B-FB-32

Stack Emission (include exhaust emissions) 9600 9610 9620 9630 9650 9656 SO2 stack emissions fossil NOx stack emissions fossil Particulate stack emissions - fossil Opacity - fossil Other stack or exhaust emissions fossil (use codes 9200 to 9290 if fuel quality causes pollution control equipment problems that result in excess stack emissions) Other stack or exhaust emissions testing - fossil
B B B B
Other Operating Environmental Limitations 9660 9670 9677 9680 9690 Safety 9700 9720 OSHA-related retrofit or inspection Other safety problems Thermal discharge limits fossil and nuclear Noise limits (not for personnel safety) fossil Noise limits testing - fossil Fish kill fossil Other miscellaneous operational environmental limits fossil and nuclear

Page B-FB-33
INACTIVE STATES
PERFORMANCE
9997 9998 9999 NERC Reliability Standard Requirement Black start testing Total unit performance testing (use appropriate codes for individual component testing)
Page B-FB-34
Nuclear Units
NUCLEAR UNITS INDEX TO SYSTEM/COMPONENT CAUSE CODES

Cause Code Ranges
NUCLEAR REACTOR
Core/Fuel Control Rods and Drives Reactor Vessel and Internals Reactor Coolant System Steam Generators and Steam System Core Cooling/Safety Injection Electrical Safety Systems Containment System Chemical and Volume Control/ Reactor Water Cleanup Nuclear Cooling Water Systems Auxiliary Systems Miscellaneous (Reactor)
Page No.
2010-2090 2110-2160 2170-2199 2200-2399 2400-2599 2600-2649 2650-2699 2700-2799 2805-2819 2820-2839 2840-2890 2900-2999
B-NU-3 B-NU-4 B-NU-4 B-NU-4 B-NU-5 B-NU-6 B-NU-6 B-NU-6 B-NU-7 B-NU-7 B-NU-7 B-NU-7
BALANCE OF PLANT
Condensing System Circulating Water Systems Waste Water (zero discharge) Condensate System Feedwater System Heater Drain Systems Extraction Steam Electrical Power Station Switchyard Auxiliary Systems Miscellaneous (Balance of Plant) 3110-3199 3210-3285 3290-3299 3300-3399 3401-3499 3501-3509 3520-3529 3600-3690 3700-3730 3800-3899 3950-3999 B-NU-8 B-NU-9 B-NU-10 B-NU-10 B-NU-11 B-NU-11 B-NU-12 B-NU-12 B-NU-13 B-NU-13 B-NU-15
STEAM TURBINE
High Pressure Turbine Intermediate Pressure Turbine Low Pressure Turbine Valves Piping Lube Oil Controls Miscellaneous (Steam Turbine) 4000-4099 4100-4199 4200-4250 4260-4269 4270-4279 4280-4289 4290-4314 4400-4499 B-NU-16 B-NU-16 B-NU-16 B-NU-18 B-NU-18 B-NU-18 B-NU-18 B-NU-19
Page B-NU-1
Nuclear Units
GENERATOR
Generator Exciter Cooling System Controls Miscellaneous (Generator)
Page No.
4500-4580 4600-4609 4610-4650 4700-4750 4800-4899
B-NU-19 B-NU-19 B-NU-19 B-NU-20 B-NU-20
EXTERNAL
Catastrophe Economic Economic (for internal use at plants only) Miscellaneous (External) 9000-9040 0000, 9110-9160 9180-9199 9300-9340 B-NU-21 B-NU-21 B-NU-21 B-NU-22

Regulatory Other Operating Environmental Limitations Safety 9500-9590 9660-9690 9700-9720 9900-9960 0002, 9990-9991 9997-9999 B-NU-23 B-NU-23 B-NU-23 B-NU-23 B-NU-23 B-NU-24
Page B-NU-2
Nuclear Units
NUCLEAR REACTOR
This set of codes contains the following: Core/Fuel 2010 2020 2021 2030 2031 2032 2033 2034 2035 2036 2037 2040 2050 2060 2061 2062 2070 2071 2072 2080 2082 2090 Fuel failure including high activity in Reactor Coolant System (RCS) or off-gas system Control rod pattern changes and control rod repatch. (Preconditioning following a pattern change is to be reported using code 2031.) Power limited by rod pattern. (If rod pattern is limited by fuel limits, use appropriate code below.) Fuel limits - peaking factors Fuel preconditioning Fuel limits - MCPR (Minimum Critical Power Ratio - BWR units only) Fuel limits - MAPLHGR (Maximum Average Planar Linear Heat Generation Rate - BWR units only) Core tilt restrictions Core xenon restrictions End-of-life scram reactivity/rod worth restrictions Other fuel limits (use codes 9110 and 9120 for core coastdown, conservation, or stretch) Core physics tests Burnable poison problems including poison curtains Excore nuclear instrumentation Incore nuclear instrumentation Other fuel/core related instrumentation problems Normal refueling Refueling equipment problems Fuel storage Fueling machine and auxiliaries (CANDU) Fuel transfer problems (CANDU) Other core/fuel problems The reactor The containment system The reactor coolant system including chemical, volume, and pressure control system Safety systems, both electrical and mechanical Residual heat removal systems Closed loop cooling water for reactor systems Service water for closed loop cooling and other reactor systems Steam generators Main steam systems up to the outboard containment isolation valve Feedwater systems from the reactor or steam generator up to the outboard containment isolation valve Blowdown systems Radioactive waste and off-gas systems
Page B-NU-3
Nuclear Units
Control Rods and Drives 2110 2111 2112 2120 2125 2130 2140 2150 2151 2152 2155 2160 Control rod drive motors Control rod magnetic jack drives Control rod hydraulic drives Control rod scram mechanisms Reactivity control units (CANDU) Control rod assemblies other than drive and scram mechanisms Control rod drive cooling Control rod instrumentation Control rod drive controls Control rod drive power supplies Control rod testing Other control rod drive problems
Reactor Vessel and Internals 2170 2171 2172 2173 2174 2175 2176 2180 2185 2199 Reactor vessel flanges and seals Reactor vessel nozzles Feedwater sparges Jet pumps Core support Specimen holders Control rod guides (not in fuel) Calandria and Calandria tubes (CANDU) Coolant assemblies (pressure tubes) (CANDU) Other reactor vessel problems
Reactor Coolant System Pumps 2200 2210 2220 Reactor coolant/recirculating pumps Reactor coolant/recirculating pump motors Reactor coolant/recirculating pump MG sets Piping 2230 2240 2250 2260 Reactor coolant system piping Reactor coolant system pipe supports Reactor coolant system filters and strainers Reactor coolant flanges, fittings, and manways Pressurizer 2265 Pressurizer (also see codes 2290, 2330, and 2340)
Page B-NU-4
Nuclear Units
Valves 2270 2280 2290 2300 2320 Power operated relief and safety/relief valves Non-power operated safety valves Pressurizer spray valves Recirculation loop flow control valves Other reactor coolant valves (including RCS boundary valves in connected systems) Instruments and Controls 2330 2340 2350 2360 2370 2380 2390 Pressurizer level instruments and controls Pressurizer pressure instruments and controls BWR feedwater controls BWR pressure controls Reactor trip system including sensors, logic, and actuators (includes spurious trips but not valid trips) Reactor control system/integrated control system problems Other reactor coolant system instruments and controls Miscellaneous (Reactor Coolant System) 2399 Other miscellaneous reactor coolant system problems
Steam Generators and Steam System 2400 2411 2412 2420 2421 2422 2430 2431 2432 2440 2441 2442 2443 2450 2460 2470 2480 2500 2510 2515 2520 2521 2530 2540 2550 Steam generator tube leaks Steam generator tube inspections Steam generator tube supports Steam generator moisture separators and dryers Steam generator feedwater nozzles Other steam generator internals problems Steam generator shell Steam generator flanges, manways, and fittings Steam generator supports and snubbers Steam generator chemistry (excluding feedwater chemistry) Steam generator tube lancing Steam generator chemical cleaning Steam generator modifications Blowdown system piping Blowdown system valves Blowdown system instruments and controls Other blowdown Steam piping (up to turbine stop valves and bypass valves) Main steam isolation valves (BWR and PWR) Main steam isolation valve testing Main steam safety/relief valves Main steam safety/relief valve testing Atmospheric or condenser dump valves (not SRVs) Other steam valves Steam generator instruments (including piping and valves) (no RPS or SAS inputs)
Page B-NU-5
Nuclear Units
Steam Generators and Steam System (Continued) 2560 2599 Steam generator controls Other steam generator problems
Core Cooling/Safety Injection (where portions of these systems also serve in the makeup system, report problems as CVCS problems) 2600 2601 2602 2603 2604 2609 2620 2621 2622 2623 2624 2625 2628 2629 2630 2649 High pressure safety injection, core injection, or core spray pumps (including RCIC) Motors for high pressure pumps Steam turbine drives for high pressure pumps (including RCIC) High pressure piping High pressure valves Other high pressure injection problems Low pressure safety injection, core spray, or decay heat pumps Motors for low pressure pumps Low pressure piping Low pressure valves Low pressure heat exchangers Accumulators (up to and including check valves) Residual heat removal/decay heat removal system Other low pressure problems Safeguard actuation system (including sensors, logic, activators, and sequencers) Other emergency core cooling/residual heat removal system problems
Electrical Safety Systems 2650 2651 2660 2670 2680 2699 Emergency diesel generators (including actuating systems) Emergency diesel generator output breakers Safeguard buses and associated equipment (transformers, breakers, etc.) DC safety system power supplies 120V AC safety system power supplies (including inverter) Other electrical safety system power supplies (use codes 3600 to 3659 for nonsafety electrical systems)
Containment System 2700 2701 2702 2703 2720 2730 2740 2750 2760 2770 2771 2780 2799 Containment structure Containment liner Containment hatches Containment penetrations Containment isolation valves and dampers Containment isolation actuation Containment penetration pressurization system Containment hydrogen control system (vents, recombiners, etc.) Containment spray system (including actuation) Containment cooling system - normal Containment cooling and gas cleanup - post accident Containment testing Other containment system problems
Page B-NU-6
Nuclear Units
Chemical and Volume Control/Reactor Water Cleanup 2805 2806 2807 2810 2811 2812 2813 2814 2815 2816 2817 2819 Moderator systems (CANDU) Moderator purification (CANDU) Moderator poison injection (CANDU) Makeup pumps Boric acid transfer pumps Tanks Demineralizers Filters Heat exchangers Valves and piping Instruments and controls Other CVCS and RWC problems
Nuclear Cooling Water Systems 2820 2821 2822 2823 2825 2829 2830 2831 2832 2833 2839 Nuclear closed cooling water pumps Nuclear closed cooling water piping Nuclear closed cooling water valves Nuclear closed cooling heat exchanger Turbine building closed cooling water system Other closed cooling water system problems Nuclear service water pumps Nuclear service water piping Nuclear service water valves Nuclear service water heat exchangers Other service water problems
Auxiliary Systems (see codes 3110 to 3999 for other auxiliary systems) 2840 2841 2842 2843 2844 2849 2870 2880 2890 Auxiliary feedwater pumps Auxiliary feedwater pump motors Auxiliary feedwater pump steam turbines (including steam control valves) Auxiliary feedwater piping Auxiliary feedwater valves Other auxiliary feedwater problems Radioactive liquid waste system problems Radioactive gas and waste system problems Condenser off-gas system problems
Miscellaneous (Reactor) 2900 2990 2991 2995 2999 Reactor overhaul (use for non-specific overhaul only; see page B-1) Plant radiation levels Radioactivity discharge levels to the environment Reactor performance testing (use code 9999 for total unit performance testing) Other miscellaneous nuclear reactor problems
Page B-NU-7
Nuclear Units
BALANCE OF PLANT
Condensing System Condenser Tubes 3110 3111 3112 3113 3114 3115 3116 3117 3118 3119 Condenser tube leaks Condenser tube fouling shell side Condenser tube fouling tube side Condenser tube and water box cleaning (including circulating water flow reversal) Air-cooled condenser tubes Air-cooled condenser pumps Air-cooled condenser fans Air-cooled condenser fan motors Other Air-cooled condenser problems Other condenser tube casing or shell and internal problems Condenser Casing or Shell and Internals 3120 3121 3122 3123 3124 3129 Tube sheets Expansion joint Gaskets and seals Hot well Tube sheet fouling Other condenser casing or shell and internal problems Vacuum Equipment 3130 3131 3132 3133 3134 3135 3139 3149 Air ejectors Air ejector piping and valves Inter and after condensers Vacuum pumps Vacuum pump piping and valves Vacuum pump motor and auxiliaries Other air extraction system problems - general Loss of vacuum not attributable to a particular component such as air ejectors or valves. Also high back pressure not attributable to high circulating water temperature or vacuum losses from a known cause. Condenser Controls 3150 3151 3152 3159 Hot well level controls Vacuum pump and air ejector controls Air-cooled condenser controls Other condensing system controls and instruments
Page B-NU-8
Nuclear Units
Miscellaneous (Condensing System) 3170 3171 3180 3185 3190 3199 Condenser inspection (use code 3110 to report looking for tube leaks) Air-cooled condenser inspections Major condenser overhaul Water side cathodic protection Air leakage (for losses not attributable to previously noted equipment related codes) Other miscellaneous condensing system problems
Page B-NU-9
Nuclear Units
Page B-NU-10
Nuclear Units
Page B-NU-11
Nuclear Units
Extraction Steam 3520 3521 3522 3529 3530 3531 3532 3539 3540 3541 3542 3549 HP Extraction steam piping HP Extraction steam valves HP Extraction steam instruments and controls Other HP extraction steam system problems IP Extraction steam piping IP Extraction steam valves IP Extraction steam instruments and controls Other IP extraction steam system problems LP Extraction steam piping LP Extraction steam valves LP Extraction steam instruments and controls Other LP extraction steam system problems
Electrical (excluding nuclear safety (Class 1E) systems) 3600 3601 3610 3611 3612 3613 3618 3619 3620 3621 3622 3623 3624 3629 3630 3631 3632 3633 3634 3639 3640 3641 3642 3643 3644 3649 3650 3651 3652 3653 3659 Switchyard transformers and associated cooling systems external (OMC) Switchyard transformers and associated cooling systems external (not OMC) Switchyard circuit breakers external (not OMC) Switchyard circuit breakers external (OMC) Switchyard system protection devices external (OMC) Switchyard system protection devices external (not OMC) Other switchyard equipment external (not OMC) Other switchyard equipment external (OMC) Main transformer Unit auxiliaries transformer Station service startup transformer Auxiliary generators Auxiliary generator voltage supply system Other switchyard or high voltage system problems - external 400-700-volt transformers 400-700-volt circuit breakers 400-700-volt conductors and buses 400-700-volt insulators 400-700-volt protection devices Other 400-700-volt problems AC instrument power transformers AC Circuit breakers AC Conductors and buses AC Inverters AC Protection devices Other AC instrument power problems DC instrument power battery chargers DC circuit breakers DC conductors and buses DC protection devices Other DC power problems
Page B-NU-12
Nuclear Units
Electrical (excluding nuclear safety (Class 1E) systems) (Continued) 3660 3661 3662 3663 3664 3669 3670 3671 3672 3673 3674 3679 3680 3681 3682 3683 3684 3689 3690 4000-7000-volt transformers 4000-7000-volt circuit breakers 4000-7000-volt conductors and buses 4000-7000-volt insulators 4000-7000-volt protection devices Other 4000-7000-volt problems 12-15kV transformers 12-15kV circuit breakers 12-15kV conductors and buses 12-15kV insulators 12-15kV protection devices Other 12-15kV problems other voltage transformers other voltage circuit breakers other voltage conductors and buses other voltage insulators other voltage protection devices Other voltage problems Station Service Power Distribution System, General
Power Station Switchyard 3700 3710 3720 3730 Powerhouse switchyard (non generating unit equipment) Transmission line (connected to powerhouse switchyard to 1st Substation) Transmission equipment at the 1st substation (see code 9300 if applicable) Transmission equipment beyond the 1st substation (see code 9300 if applicable)
Auxiliary Systems Open Cooling Water System 3800 3801 3802 3803 3804 3805 3806 3809 Open cooling water pumps and motors Open cooling water piping Open cooling water valves Open cooling water heat exchangers Open cooling water system fouling Open cooling water system instrumentation Open cooling water strainer Other open cooling water problems Service Water (Open System) 3810 3811 3812 3813 3814 3815 3819 Service water pumps and motors Service water piping Service water valves Service water heat exchangers Service water system fouling Service water strainer Other service water problems
Page B-NU-13
Nuclear Units
Closed Cooling Water Systems 3820 3821 3822 3823 3824 3825 3826 3829 Closed cooling water pumps Closed cooling water piping Closed cooling water valves Closed cooling water heat exchangers Closed cooling water system fouling Closed cooling water instrumentation Closed cooling water strainer Other closed cooling water system problems Auxiliary Steam 3830 3831 3832 3833 3834 3835 3836 3839 Auxiliary boiler Auxiliary steam piping Auxiliary steam valves Auxiliary steam controls and instruments Auxiliary boiler tube leaks Auxiliary boiler burner management system Steam transfer to other unit Other auxiliary steam problems (also see extraction steam codes 3520 to 3529; startup bypass codes 0630 to 0660; and soot blower steam code 0870) Service Air 3840 3841 3842 3843 3849 Service air compressors Service air piping Service air valves Service air dryers Other service air problems Instrument Air 3850 3851 3852 3853 3854 3859 Instrument air compressors Instrument air piping Instrument air valves Instrument air dryers N2 backup to instrument air Other instrument air problems Fire Protection System 3860 3861 3862 3863 3864 3869 Fire protection system pumps Fire protection system piping Fire protection system valves Fire protection system fouling Fire protection system instrumentation and controls Other fire protection system problems
Page B-NU-14
Nuclear Units
Seal Air System 3880 3881 3882 3883 3889 Seal air fan Seal air fan drive - motor Seal air control dampers and drives Seal air filters Other seal air fan system problems Miscellaneous (Auxiliary Systems) 3898 3899 Miscellaneous plant auxiliary process and services instrumentation and controls Other miscellaneous auxiliary system problems
Page B-NU-15
Nuclear Units
STEAM TURBINE
Low Pressure Turbine 4200 4201 4209 Outer casing Inner casing Nozzle bolting
Page B-NU-16
Nuclear Units
Low Pressure Turbine (Continued) 4210 4211 4212 4213 4215 4220 4221 4222 4230 4240 4241 4250 Valves 4260 4261 4262 4263 4264 4265 4266 4267 4268 4269 Piping 4270 4279 Crossover or under piping Miscellaneous turbine piping Main stop valves Control valves Intercept valves Reheat stop valves Combined intercept valves Miscellaneous drain and vent valves Main stop valve testing Control valve testing Reheat/intercept valve testing Other turbine valves Nozzles and nozzle blocks Diaphragms Buckets or blades Bucket or blade fouling Wheels or spindles Shaft seals Dummy rings Gland rings Rotor shaft Bearings Thrust bearings Other low pressure turbine problems
Lube Oil (do not include bearing failures due to lube oil) 4280 4281 4282 4283 4284 4289 Controls 4290 4291 4292 4293 4299 4300 Hydraulic system pumps Hydraulic system coolers Hydraulic system filters Hydraulic system pipes and valves Other hydraulic system problems Turbine supervisory system (use codes 4290 to 4299 for hydraulic oil) Lube oil pumps Lube oil coolers Lube oil conditioners Lube oil system valves and piping Lube oil pump drive Other lube oil system problems
Page B-NU-17
Nuclear Units
Controls (Continued) 4301 4302 4303 4304 4305 4306 4307 4308 4309 4310 4311 4312 4313 4314 Turbine governing system Turbine trip devices (including instruments) Exhaust hood and spray controls Automatic turbine control systems - mechanical Automatic turbine control systems - mechanical - hydraulic Automatic turbine control systems - electro-hydraulic - analog Automatic turbine control systems - electro-hydraulic - digital Automatic turbine control systems - digital control and monitoring Other turbine instrument and control problems Steam Turbine Control System - data highway Steam Turbine Control System - hardware problems (including card failure) Steam Turbine Control System - internal and termination wiring Steam Turbine Control System - logic problems Steam Turbine Control System - upgrades
Miscellaneous (Steam Turbine) 4400 4401 4402 4410 4411 4412 4415 4420 4430 4440 4445 4450 4460 4470 4490 4499 Major turbine overhaul (720 hours or longer ) (use for non-specific overhaul only; see page B-1) Inspection Minor turbine overhaul (less than 720 hours) ) (use for non-specific overhaul only; see page B-1) Turning gear and motor Steam turbine gear box (single shaft configuration) Steam turbine clutch (single shaft configuration) Shaft coupling mechanism Vibration of the turbine generator unit that cannot be attributed to a specific cause such as bearings or blades (use this code for balance moves) Gland seal system Moisture separator/reheater (nuclear including MSR drains, controls, etc.) Steam reheater Water induction Turbine overspeed trip test Differential expansion Turbine performance testing (use code 9999 for total unit performance testing) Other miscellaneous steam turbine problems
Page B-NU-18
Nuclear Units
GENERATOR
Page B-NU-19
Nuclear Units
Miscellaneous (Generator) 4800 4805 4810 4830 4831 4840 4841 4842 4850 4860 4899 Generator main leads Generator Bus Duct Cooling System Generator output breaker Major generator overhaul (720 hours or longer) (use for non-specific overhaul only; see page B-1) Minor generator overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-1) Inspection Generator doble testing Reactive and capability testing Core monitor alarm Generator neutral grounding equipment Other miscellaneous generator problems
Page B-NU-20
Nuclear Units
EXTERNAL
Use this set of codes to report events caused by external factors (flood, lightning, etc.); economic factors (lack of fuel, labor strikes, etc.); operator training; and, transmission system problems external to the plant. Catastrophe 9000 9010 9020 9025 9030 9035 9036 9040 Economic 0000 9110 9120 9130 9131 9134 9137 9150 9151 9160 9180 9181 9182 9183 9184 9185 9186 9187 9188 9189 9190 9191 9192 9193 9194 9195 9196 9197 Reserve shutdown Core coastdown (nuclear) Core conservation (nuclear) Lack of fuel (water from rivers or lakes, coal mines, gas lines, etc) where the operator is not in control of contracts, supply lines, or delivery of fuels Lack of fuel (interruptible supply of fuel part of fuel contract) Fuel conservation Ground water or other water supply problems Labor strikes company-wide problems or strikes outside the companys jurisdiction such as manufacturers (delaying repairs) or transportation (fuel supply) problems. Labor strikes direct plant management grievances that result in a walkout or strike are under plant management control. Other economic problems Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Flood Fire, not related to a specific component Lightning Geomagnetic disturbance Earthquake Hurricane Storms (ice, snow, etc) Other catastrophe
Page B-NU-21
Nuclear Units
Economic (Continued) 9198 9199 Economic (for internal use at plants only) Economic (for internal use at plants only)
Miscellaneous (External) 9300 9310 9320 9340 Transmission system problems other than catastrophes (do not include switchyard problems in this category; see codes 3600 to 3629, 3720 to 3730) Operator training Other miscellaneous external problems Synchronous Condenser Operation
Page B-NU-22
Nuclear Units

Use these codes only for events not directly attributable to equipment failures. Inspections or testing of certain equipment due to regulation are reported using the appropriate equipment cause codes, and the fact that it was a regulatory requirement noted in the verbal description section. Regulatory 9500 9502 9504 9506 9510 9520 9590 Regulatory (nuclear) proceedings and hearings - regulatory agency initiated Regulatory (nuclear) proceedings and hearings - intervener initiated Regulatory (environmental) proceedings and hearings - regulatory agency initiated Regulatory (environmental) proceedings and hearings - intervener initiated Plant modifications strictly for compliance with new or changed regulatory requirements (scrubbers, cooling towers, etc.) Oil spill in Gulf of Mexico (OMC) Miscellaneous regulatory (this code is primarily intended for use with event contribution code 2 to indicate that a regulatory-related factor contributed to the primary cause of the event)
Other Operating Environmental Limitations 9660 9670 9680 9690 Safety 9700 9710 9720 OSHA-related retrofit or inspection Investigation of possible nuclear safety problems Other safety problems Thermal discharge limits fossil and nuclear Noise limits (not for personnel safety) Fish kill fossil and nuclear Other miscellaneous operational environmental limits fossil and nuclear

INACTIVE STATES
Page B-NU-23
Nuclear Units
PERFORMANCE
Page B-NU-24
Diesel Units
DIESEL UNITS INDEX TO SYSTEM/COMPONENT CAUSE CODES

Cause Code Ranges
BALANCE OF PLANT
Electrical Power Station Switchyard
Page No.
3600-3690 3700-3730
B-DI-2 B-DI-3
GENERATOR
Generator Exciter Cooling System Controls Miscellaneous (Generator) 4500-4580 4600-4609 4610-4650 4700-4750 4800-4899 B-DI-4 B-DI-4 B-DI-4 B-DI-5 B-DI-5
DIESEL ENGINE
Engine Engine Auxiliaries Engine Controls Miscellaneous (Diesel Engine) 5700-5799 5800-5849 5850-5880 5890-5999 B-DI-6 B-DI-6 B-DI-6 B-DI-6
EXTERNAL
Catastrophe Economic Economic (for internal use at plants only) Fuel Quality Miscellaneous (External) 9000-9040 0000, 9130-9160 9180-9199 9200-9291 9300-9340 B-DI-7 B-DI-7 B-DI-7 B-DI-8 B-DI-8

Regulatory Stack Emission Other Operating Environmental Limitations Safety 9504-9590 9605-9655 9665-9695 9700-9720 9900-9960 0002, 9990-9991 9997-9999 B-DI-9 B-DI-9 B-DI-9 B-DI-9 B-DI-10 B-DI-10 B-DI-10
Page B-DI-1
Diesel Units
BALANCE OF PLANT
Electrical
3600 3601 3610 3611 3612 3613 3618 3619 3620 3621 3622 3623 3624 3629 3630 3631 3632 3633 3634 3639 3640 3641 3642 3643 3644 3649 3650 3651 3652 3653 3659 3660 3661 3662 3663 3664 3669 3670 3671 3672 Switchyard transformers and associated cooling systems external (OMC) Switchyard transformers and associated cooling systems external (not OMC) Switchyard circuit breakers external (not OMC) Switchyard circuit breakers external (OMC) Switchyard system protection devices external (OMC) Switchyard system protection devices external (not OMC) Other switchyard equipment external (not OMC) Other switchyard equipment external (OMC) Main transformer Unit auxiliaries transformer Station service startup transformer Auxiliary generators Auxiliary generator voltage supply system Other switchyard or high voltage system problems - external 400-700-volt transformers 400-700-volt circuit breakers 400-700-volt conductors and buses 400-700-volt insulators 400-700-volt protection devices Other 400-700-volt problems AC instrument power transformers AC Circuit breakers AC Conductors and buses AC Inverters AC Protection devices Other AC instrument power problems DC instrument power battery chargers DC circuit breakers DC conductors and buses DC protection devices Other DC power problems 4000-7000-volt transformers 4000-7000-volt circuit breakers 4000-7000-volt conductors and buses 4000-7000-volt insulators 4000-7000-volt protection devices Other 4000-7000-volt problems 12-15kV transformers 12-15kV circuit breakers 12-15kV conductors and buses
Page B-DI-2
Diesel Units
Electrical (Continued) 3673 3674 3679 3680 3681 3682 3683 3684 3689 3690 12-15kV insulators 12-15kV protection devices Other 12-15kV problems Other voltage transformers Other voltage circuit breakers Other voltage conductors and buses Other voltage insulators Other voltage protection devices Other voltage problems Station Service Power Distribution System, General
Page B-DI-3
Diesel Units
GENERATOR
This set of codes contains the generator, exciter, generator cooling systems, and generator controls. Note the main leads up to and including the generator output breaker are included in this set of codes.
Generator 4500 4510 4511 4520 4530 4535 4540 4550 4551 4552 4555 4560 4570 4580 Exciter 4600 4601 4602 4603 4604 4605 4609 Exciter drive - motor Exciter field rheostat Exciter commutator and brushes Solid state exciter element Exciter drive - shaft Exciter transformer Other exciter problems Rotor windings Rotor collector rings Rotor, General Stator windings, bushings, and terminals Stator core iron Stator, General Brushes and brush rigging Generator bearings and lube oil system Generator bearings Generator lube oil system Bearing cooling system Generator vibration (excluding vibration due to failed bearing and other components) Generator casing Generator end bells and bolting
Page B-DI-4
Diesel Units
Miscellaneous (Generator) 4800 4810 4805 4830 4831 4840 4841 4842 4850 4860 4899 Generator main leads Generator output breaker Generator Bus Duct Cooling System Major generator overhaul (720 hours or longer) (use for non-specific overhaul only; see Page B-1) Minor generator overhaul (less than 720 hours) (use for non-specific overhaul only; see Page B-1) Inspection Generator doble testing Reactive and capability testing Core monitor alarm Generator neutral grounding equipment Other miscellaneous generator problems
Page B-DI-5
Diesel Units
DIESEL ENGINE
Engine 5700 5710 5711 5712 5720 5730 5731 5740 5790 5799 Drive shaft and bearings Cylinders Cylinder heads Hydraulic lock (water in cylinders) Pistons Intake valves Exhaust valves Turbo charger Vibration Other engine problems
Engine Auxiliaries 5800 5805 5810 5815 5820 5825 5830 5849 Lube oil system Cooling system Heater elements Fuel system Start system Battery and battery charger system Air filter system Other engine auxiliaries problems
Engine Controls 5850 5855 5860 5865 5870 5880 Governor Engine control system Control power transformer Synchronization system Other engine control problems Diesel engine unit overhaul
Miscellaneous (Diesel Engine) 5890 5895 5990 5999 Major overhaul (use for non-specific overhaul only; see Page B-1) Inspection Engine performance testing - individual engines (use code 9999 for total unit performance testing) Other miscellaneous diesel engine problems
Page B-DI-6
Diesel Units
EXTERNAL
Use this set of codes to report events caused by external factors (flood, lightning, etc.); economic factors (lack of fuel, labor strikes, etc.); operator training; and, transmission system problems external to the plant.
Catastrophe 9000 9010 9020 9025 9030 9035 9036 9040 Economic 0000 9130 9131 9134 9136 9140 9150 9151 9160 9180 9181 9182 9183 9184 9185 9186 9187 9188 9189 9190 9191 9192 9193 9194 9195 9196 9197 9198 9199 Reserve shutdown Lack of fuel (water from rivers or lakes, coal mines, gas lines, etc) where the operator is not in control of contracts, supply lines, or delivery of fuels Lack of fuel (interruptible supply of fuel part of fuel contract) Fuel conservation Problems with Primary Fuel for Units with Secondary Fuel Operation Plant modifications to burn different fuel that are not regulatory mandated Labor strikes company-wide problems or strikes outside the companys jurisdiction such as manufacturers (delaying repairs) or transportation (fuel supply) problems. Labor strikes direct plant management grievances that result in a walkout or strike are under plant management control. Other economic problems Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Flood Fire, not related to a specific component Lightning Geomagnetic disturbance Earthquake Hurricane Storms (ice, snow, etc) Other catastrophe
Page B-DI-7
Diesel Units
Fuel Quality (Use code 9605 to 9655 if the fuel quality results in excess stack emissions through no fault in the pollution control equipment. Use the appropriate equipment code to report fouling and slagging.) 9200 9201 9205 9220 9221 9230 9231 9240 9241 9260 9261 9290 9291 High ash content (OMC) High ash content (not OMC) Poor quality fuel, heat content High sulfur content (OMC) High sulfur content (not OMC) High vanadium content (OMC) High vanadium content (not OMC) High sodium content (OMC) High sodium content (not OMC) Low BTU oil (OMC) Low BTU oil (not OMC) Other fuel quality problems (OMC) Other fuel quality problems (not OMC)
Miscellaneous (External) 9300 9310 9320 9340 Transmission system problems other than catastrophes (do not include switchyard problems in this category; see codes 3600 to 3629) Operator training Other miscellaneous external problems Synchronoous Condenser Operation
Page B-DI-8
Diesel Units

Use these codes only for events not directly attributable to equipment failures. Inspections or testing of certain equipment due to regulation are reported using the appropriate equipment cause codes, and the fact that it was a regulatory requirement noted in the verbal description section. Regulatory 9504 9506 9510 9520 9590 Regulatory (environmental) proceedings and hearings - regulatory agency initiated Regulatory (environmental) proceedings and hearings - intervenor initiated Plant modifications strictly for compliance with new or changed regulatory requirements (scrubbers, cooling towers, etc.) Oil spill in Gulf of Mexico (OMC) Miscellaneous regulatory (this code is primarily intended for use with event contribution code 2 to indicate that a regulatory-related factor contributed to the primary cause of the event)
Stack Emission (include exhaust emissions) 9605 9615 9625 9635 9655 SO2 stack emissions diesel NOx stack emissions diesel Particulate stack emissions diesel Opacity diesel Other stack or exhaust emissions diesel (use codes 9220 to 9290 if fuel quality causes pollution control equipment problems that result in excess stack emissions)
Other Operating Environmental Limitations 9665 9675 9685 9695 Safety 9700 9720 OSHA-related retrofit or inspection Other safety problems Thermal discharge limits diesel Noise limits (not for personnel safety) diesel Fish kill diesel Other miscellaneous operational environmental limits diesel
Page B-DI-9
Diesel Units

INACTIVE STATES
PERFORMANCE
Page B-DI-10
Hydro/Pumped Storage Units
HYDRO/PUMPED STORAGE UNITS INDEX TO SYSTEM/COMPONENT CAUSE CODES

(Unit Codes 500-599 and 900-999)
Cause Code Ranges
BALANCE OF PLANT
Electrical Power Station Switchyard Auxiliary Systems Miscellaneous (Balance of Plant)
Page No.
3600-3690 3700-3730 3810-3899 3950-3999
B-HY-2 B-HY-3 B-HY-3 B-HY-4
GENERATOR
Generator Exciter Cooling System Controls Miscellaneous (Generator) 4500-4590 4600-4609 4610-4650 4700-4750 4800-4899 B-HY-5 B-HY-5 B-HY-5 B-HY-6 B-HY-6
HYDRO TURBINE/PUMP
Turbine Water Supply/Discharge Miscellaneous (Hydro Turbine/Pump) 7000-7099 7100-7199 7200-7299 B-HY-7 B-HY-7 B-HY-8
EXTERNAL
Catastrophe Economic Economic (for internal use at plants only) Miscellaneous (External) 9000-9040 0000, 9135-9160 9180-9199 9300-9340 B-HY-9 B-HY-9 B-HY-9 B-HY-10

Regulatory Other Operating Environmental Limitations Safety 9504-9590 9676-9696 9700-9720 9900-9960 0002, 9990-9991 9997-9999 B-HY-11 B-HY-11 B-HY-11 B-HY-11 B-HY-11 B-HY-12
Page B-HY-1
BALANCE OF PLANT
Electrical 3600 3601 3610 3611 3612 3613 3618 3619 3620 3621 3622 3623 3624 3629 3630 3631 3632 3633 3634 3639 3640 3641 3642 3643 3644 3649 3650 3651 3652 3653 3659 3660 3661 3662 3663 3664 3669 Switchyard transformers and associated cooling systems external (OMC) Switchyard transformers and associated cooling systems external (not OMC) Switchyard circuit breakers external (not OMC) Switchyard circuit breakers external (OMC) Switchyard system protection devices external (OMC) Switchyard system protection devices external (not OMC) Other switchyard equipment external (not OMC) Other switchyard equipment external (OMC) Main transformer Unit auxiliaries transformer Station service startup transformer Auxiliary generators Auxiliary generator voltage supply system Other switchyard or high voltage system problems 400-700-volt transformers 400-700-volt circuit breakers 400-700-volt conductors and buses 400-700-volt insulators 400-700-volt protection devices Other 400-700-volt problems AC instrument power transformers AC Circuit breakers AC Conductors and buses AC Inverters AC Protection devices Other AC instrument power problems DC instrument power battery chargers DC circuit breakers DC conductors and buses DC protection devices Other DC power problems 4000-7000-volt transformers 4000-7000-volt circuit breakers 4000-7000-volt conductors and buses 4000-7000-volt insulators 4000-7000-volt protection devices Other 4000-7000-volt problems
Page B-HY-2
Electrical (Continued) 3670 3671 3672 3673 3674 3679 3680 3681 3682 3683 3684 3689 3690 12-15kV transformers 12-15kV circuit breakers 12-15kV conductors and buses 12-15kV insulators 12-15kV protection devices Other 12-15kV problems Other voltage transformers Other voltage circuit breakers Other voltage conductors and buses Other voltage insulators Other voltage protection devices Other voltage problems Station Service Power Distribution System, General
Auxiliary Systems Service Water (Open System) 3810 3811 3812 3813 3814 3819 Service water pumps and motors Service water piping Service water valves Service water heat exchangers Service water system fouling Other service water problems Closed Cooling Water Systems 3820 3821 3822 3823 3824 3829 Closed cooling water pumps Closed cooling water piping Closed cooling water valves Closed cooling water heat exchangers Closed cooling water system fouling Other closed cooling water system problems Auxiliary Steam 3830 3831 3832 3833 3834 3839 Auxiliary boiler Auxiliary steam piping Auxiliary steam valves Auxiliary steam controls and instruments Auxiliary boiler tube leaks Other auxiliary steam problems
Page B-HY-3
Service Air 3840 3841 3842 3843 3849 Service air compressors Service air piping Service air valves Service air dryers Other service air problems Instrument Air 3850 3851 3852 3853 3854 3859 Instrument air compressors Instrument air piping Instrument air valves Instrument air dryers N2 backup to instrument air Other instrument air problems Fire Protection System 3860 3861 3862 3863 3869 Fire protection system pumps Fire protection system piping Fire protection system valves Fire protection system fouling Other fire protection system problems Miscellaneous (Auxiliary Systems) 3898 3899 Miscellaneous plant auxiliary process and services instrumentation and controls Other miscellaneous auxiliary system problems
Miscellaneous (Balance of Plant) 3950 3970 3971 3972 3973 3974 3975 3979 3999 Process computer Distributive Control System (DCS) process computer DCS data highway DCS hardware problems (including card failure) DCS internal and termination wiring DCS logic problems DCS upgrades Other DCS problems Other miscellaneous balance of plant problems
Page B-HY-4
GENERATOR
This set of codes contains the generator, exciter, generator cooling systems, and generator controls. Note the main leads up to and including the generator output breaker are included in this set of codes. Generator 4500 4510 4511 4520 4530 4535 4540 4550 4551 4552 4555 4560 4570 4580 4590 Exciter 4600 4601 4602 4603 4604 4605 4609 Exciter drive - motor Exciter field rheostat Exciter commutator and brushes Solid state exciter element Exciter drive - shaft Exciter transformer Other exciter problems Rotor windings (including damper windings and fan blades on hydro units) Rotor collector rings Rotor, General Stator windings, bushings, and terminals Stator core iron Stator, General Brushes and brush rigging Generator bearings and lube oil system (including thrust bearings on hydro units) Generator bearings Generator lube oil system Bearing cooling system Generator vibration (excluding vibration due to failed bearing and other components) Generator casing Generator end bells and bolting Generator brakes
Page B-HY-5
Miscellaneous (Generator) 4800 4805 4810 4830 4831 4840 4841

4842
Generator main leads Generator Bus Duct Cooling System Generator output breaker Major generator overhaul (720 hours or longer) (use for non-specific overhaul only; see page B-1) Minor generator overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-1) Inspection Generator doble testing
Reactive and capability testing
4850 4860 4899
Core monitor alarm Generator neutral grounding equipment Other miscellaneous generator problems
Page B-HY-6
HYDRO TURBINE/PUMP
Turbine 7000 7001 7003 7007 7008 7009 7010 7011 7012 7014 7020 7030 7040 7050 7052 7053 7099 Shaft Shaft packing Lube oil system (use code 7007 to report bearing failures due to lube oil problems) Bearings Bearing cooling system Bearing oil system Runner cavitation damage Other runner problems Casing, wear ring, or liner cavitation damage Blade or bucket cracking Nozzle assembly Vibration (Only for unbalance, report bearing failure, etc., in appropriate category) Turbine overhaul Turbine governor Other turbine control problems (Report specific wicket gate controls, etc., using the code for the appropriate equipment item.) Governor oil system Other turbine problems
Water Supply/Discharge 7100 7101 7102 7110 7111 7112 7120 7121 7123 7124 7130 7140 7141 7142
7150
Upper reservoir dams and dikes Lower reservoir dams and dikes Auxiliary reservoir dams and dikes Intake channel or flume (including trash racks) Intake tunnel Ice blockages at intake structures including frazil ice, sheets, blocks of ice, etc. Headgates Shutoff valves Shutoff valve bypass line and valve Penstock Spiral case Wicket gate assembly Wicket gate operating mechanism or positioner Wicket gate shear pin
Stay vanes
7160 7161 7162 7170 7180 7181 7190 7191 7199
Pressure regulating valve Pressure regulating valve operator or positioner Relief valve and vacuum breakers Draft tube Tailrace Tail water depressing equipment Dewatering and rewatering equipment Equalizing line Other water supply/discharge problems (use for equipment related problems; use codes 9135 or 9320 for lack of water or discharge limit related problems)
Page B-HY-7
Miscellaneous (Hydro Turbine/Pump) 7200 7201 7210 7220 7230 7240 7299 Major overhaul (use for non-specific overhaul only; see page B-1) Inspection Canals (including siphons, radial gates, and spills) Unit out of service due to common penstock with unit under repair Pony motor (pumped storage units only) Powerhouse substructure Other miscellaneous hydro turbine/pump problems (use generator codes and balance of plant electrical and auxiliary codes as appropriate)
Page B-HY-8
EXTERNAL
Use this set of codes to report events caused by external factors (flood, lightning, etc.); economic factors (lack of fuel, labor strikes, etc.); operator training; and, transmission system problems external to the plant. Catastrophe 9000 9010 9020 9025 9030 9035 9036 9040 Economic 0000 9135 9137 9140 9150 9151 9160 9180 9181 9182 9183 9184 9185 9186 9187 9188 9189 9190 9191 9192 9193 9194 9195 9196 9197 9198 9199 Reserve shutdown Lack of water Ground water or other water supply problems. Plant modifications to burn different fuel that are not regulatory mandated Labor strikes company-wide problems or strikes outside the companys jurisdiction such as manufacturers (delaying repairs) or transportation (fuel supply) problems. Labor strikes direct plant management grievances that result in a walkout or strike are under plant management control. Other economic problems Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Flood Fire, not related to a specific component Lightning Geomagnetic disturbance Earthquake Hurricane Storms (ice, snow, etc) Other catastrophe
Page B-HY-9
Miscellaneous (External) 9300 9310 9320 9340 Transmission system problems other than catastrophes (do not include switchyard problems in this category; see codes 3600 to 3629) Operator training Other miscellaneous external problems Synchronous Condenser Operation
Page B-HY-10

Other Operating Environmental Limitations 9676 9686 9696 Safety 9700 9720 OSHA-related retrofit or inspection Other safety problems Noise limits (not for personnel safety) hydro and pumped storage Fish kill hydro and pumped storage Other miscellaneous operational environmental limits hydro and pumped storage

INACTIVE STATES
Page B-HY-11
PERFORMANCE
Page B-HY-12
Gas Turbine Units
Appendix B System Component Cause Codes
GAS TURBINE UNITS INDEX TO SYSTEM/COMPONENT CAUSE CODES

(Unit Codes 300-399 and 700-799) Cause Code
Ranges Page No.
BALANCE OF PLANT
3600-3690 3700-3730 3810-3899 3950-3999
B-GT-3 B-GT-4 B-GT-4 B-GT-6
GENERATOR
Generator Exciter Cooling System Controls Miscellaneous (Generator) 4500-4590 4600-4609 4610-4650 4700-4750 4800-4899 B-GT-7 B-GT-7 B-GT-7 B-GT-8 B-GT-8
GAS TURBINE
Inlet Air System and Compressors Fuel, Ignition and Combustion Systems Turbine Exhaust Systems Auxiliary Systems Miscellaneous (Gas Turbine) 5000-5039 5040-5079 5080-5099 5100-5109 5110-5190 5200-5299 7800-7960 B-GT-9 B-GT-9 B-GT-10 B-GT-10 B-GT-10 B-GT-11 B-GT-12
EXPANDER TURBINE POLLUTION CONTROL EQUIPMENT

Miscellaneous (Pollution Control Equipment) Continuous Emissions Monitoring Systems (CEMS) NOx Reduction Systems CO Reduction
8656 8700-8790 8800-8835 8840-8845
B-GT-13 B-GT-13 B-GT-13 B-GT-14
EXTERNAL
Catastrophe Economic Economic (for internal use at plants only) Fuel Quality Miscellaneous (External) 9000-9040 0000, 9130-9160 9180-9199 9200-9291 9300-9340 B-GT-15 B-GT-15 B-GT-15 B-GT-16 B-GT-16
Page B-GT-1
Gas Turbine Units
Cause Code

Regulatory Stack Emission Other Operating Environmental Limitations Safety
Ranges
Page No.
9504-9590 9603-9657 9663-9693 9700-9720 9900-9960 0002, 9990-9991 9997-9999
B-GT-17 B-GT-17 B-GT-17 B-GT-17 B-GT-18 B-GT-18 B-GT-18
Page B-GT-2
GADS Data Reporting Instructions Janaury 2011
Gas Turbine Units
BALANCE OF PLANT
Electrical 3600 3601 3610 3611 3612 3613 3618 3619 3620 3621 3622 3623 3624 3629 3630 3631 3632 3633 3634 3639 3640 3641 3642 3643 3644 3649 3650 3651 3652 3653 3659 3660 3661 3662 3663 3664 3669 Switchyard transformers and associated cooling systems external (OMC) Switchyard transformers and associated cooling systems external (not OMC) Switchyard circuit breakers external (not OMC) Switchyard circuit breakers external (OMC) Switchyard system protection devices external (OMC) Switchyard system protection devices external (not OMC) Other switchyard equipment external (not OMC) Other switchyard equipment external (OMC) Main transformer Unit auxiliaries transformer Station service startup transformer Auxiliary generators Auxiliary generator voltage supply system Other switchyard or high voltage system problems 400-700-volt transformers 400-700-volt circuit breakers 400-700-volt conductors and buses 400-700-volt insulators 400-700-volt protection devices Other 400-700-volt problems AC instrument power transformers AC Circuit breakers AC Conductors and buses AC Inverters AC Protection devices Other AC instrument power problems DC instrument power battery chargers DC circuit breakers DC conductors and buses DC protection devices Other DC power problems 4000-7000-volt transformers 4000-7000-volt circuit breakers 4000-7000-volt conductors and buses 4000-7000-volt insulators 4000-7000-volt protection devices Other 4000-7000-volt problems
Page B-GT-3
Gas Turbine Units
Auxiliary Systems Service Water (Open System) 3810 3811 3812 3813 3814 3819 Service water pumps and motors Service water piping Service water valves Service water heat exchangers Service water system fouling Other service water problems Closed Cooling Water Systems 3820 3821 3822 3823 3824 3829 Closed cooling water pumps Closed cooling water piping Closed cooling water valves Closed cooling water heat exchangers Closed cooling water system fouling Other closed cooling water system problems Auxiliary Steam 3830 3831 3832 3833 3834 3839
Page B-GT-4
Auxiliary boiler Auxiliary steam piping Auxiliary steam valves Auxiliary steam controls and instruments Auxiliary boiler tube leaks Other auxiliary steam problems
Gas Turbine Units
Service Air 3840 3841 3842 3843 3849 Service air compressors Service air piping Service air valves Service air dryers Other service air problems Instrument Air 3850 3851 3852 3853 3854 3859 Instrument air compressors Instrument air piping Instrument air valves Instrument air dryers N2 backup to instrument air Other instrument air problems Fire Protection System 3860 3861 3862 3863 3864 3869 Fire protection system pumps Fire protection system piping Fire protection system valves Fire protection system fouling Fire protection system instrumentation and controls Other fire protection system problems Low-pressure Gas Compression System 3870 3871 3872 3873 3874 3875 3876 3879 Fuel Gas Compressor and Motors Fuel Gas Compressor Piping Fuel Gas Compressor Valves Fuel Gas Compressor Heat Exchangers Fuel Gas Compressor Controls and Instrumentation Fuel Gas Compressor Filters Fuel Gas Compressor Fire System Fuel Gas Compressor Other Miscellaneous (Auxiliary Systems) 3898 3899 Miscellaneous plant auxiliary process and services instrumentation and controls Other miscellaneous auxiliary system problems
Page B-GT-5
Gas Turbine Units
Miscellaneous (Balance of Plant) 3950 3960 3970 3971 3972 3973 3974 3975 3979 3980 3981 3982 3983 3984 3985 3989 3995 3996
3999
Process computer Thermal derating (thermal efficiency losses in balance of plant when specific cause(s) unknown) Distributive Control System (DCS) process computer DCS data highway DCS hardware problems (including card failure) DCS internal and termination wiring DCS logic problems DCS upgrades Other DCS problems Programmable Logic Controller (PLC) PLC data highway PLC hardware problems (including card failure) PLC internal and termination wiring PLC logic problems PLC upgrades Other PLC problems Powerhouse heating and ventilating systems Air conditioning systems rooms and areas Other miscellaneous balance of plant problems
Page B-GT-6
Gas Turbine Units
GENERATOR
This set of codes contains the generator, exciter, generator cooling systems, and generator controls. Note the main leads up to and including the generator output breaker are included in this set of codes. Generator 4500 4510 4511 4520 4530 4535 4536 4540 4550 4551 4552 4555 4560 4570 4580 4590 Exciter 4600 4601 4602 4603 4604 4605 4609 Exciter drive - motor Exciter field rheostat Exciter commutator and brushes Solid state exciter element Exciter drive - shaft Exciter transformer Other exciter problems Rotor windings Rotor collector rings Rotor, General Stator windings, bushings, and terminals Stator core iron Stator, General Generator heaters Brushes and brush rigging Generator bearings and lube oil system Generator bearings Generator lube oil system Bearing cooling system Generator vibration (excluding vibration due to failed bearing and other components) Generator casing Generator end bells and bolting Generator brakes
Page B-GT-7
Gas Turbine Units
Miscellaneous (Generator) 4800 4805 4810 4830 4831 4840 4841 4842 4850
4860
Generator main leads Generator Bus Duct Cooling System Generator output breaker Major overhaul (more than 720 hours) (use for non-specific overhaul only; see page B-1) Minor generator overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-1) Inspection Generator doble testing Reactive and capability testing Core monitor alarm
Generator neutral grounding equipment
4899
Other miscellaneous generator problems
Page B-GT-8
Gas Turbine Units
GAS TURBINE
Inlet Air System and Compressors (use HP compressor if only one) Ducts and Filters 5000 5001 5002 5003 5004 5005 5006 5009 Inlet air ducts Inlet air vanes / nozzles Inlet air filters Inlet cone Inlet air chillers Inlet air evaporative coolers Inlet air foggers Other inlet air problems Compressors 5010 5011 5012 5013 5014 5015 5016 5017 5019 5020 5021 5022 5029 5030 5035 5036 5039 High pressure shaft High pressure bearings High pressure blades/buckets Compressor casing and bolts Compressor diaphragms Compressor seals High pressure compressor bleed valves Low pressure compressor bleed valves Other high pressure problems Low pressure shaft Low pressure bearings Low pressure blades/buckets Other low pressure problems Supercharging fans Compressor washing Compressor shaft and bearings for two-shaft machines Other compressor problems
Fuel, Ignition, and Combustion Systems 5040 5041 5042 5043 5044 5046 5047 5048 5049 5050 5051 5052 5053 5054 Fuel tanks Fuel piping and valves Fuel nozzles/vanes Fuel filters Liquid fuel oil pump Liquid fuel oil transfer/forwarding pump Liquid fuel purge system Gas fuel system including controls and instrumentation Other fuel system problems Ignition system Pilot fuel piping and valves Pilot fuel nozzles/vanes Pilot fuel filters Water injection system
Page B-GT-9
Gas Turbine Units
Fuel, Ignition, and Combustion Systems (Continued) 5060 5070 5071 5072 5073 5074 5075 5079 Atomizing air system Combustor casing Combustor liner Combustor caps Flame scanners Flashback including instrumentation Blade path temperature spread Other combustor problems
Turbine (use HP if only one) 5080 5081 5082 5083 5084 5085 5086 5089 5090 5091 5092 5093 5094 5095 5096 5097 5098 5099 High pressure shaft High pressure bearings High pressure blades/buckets High pressure nozzles/vanes High pressure casing/expansion joints Interstage gas passages - HP High pressure shaft seals Other high pressure problems Low pressure shaft Low pressure bearings Low pressure blades/buckets Low pressure nozzles/vanes Low pressure casing/expansion joints Interstage gas passages - LP Low pressure shaft seals Other low pressure problems Expansion joints HP to LP coupling
Exhaust Systems 5100 5101 5102 5103 5104 5105 5108 5109 Chamber Hoods Vanes/nozzles Silencer Cones Diverter Dampers High engine exhaust temperature Other exhaust problems (including high exhaust system temperature not attributable to a specific problem)
Auxiliary Systems 5110 5111 5112 5113 5114

Page B-GT-10
Lube oil system - general Lube oil pumps Lube oil coolers Lube oil valves/piping Lube oil filters
Gas Turbine Units
Auxiliary Systems (Continued) 5115 5116 5120 5130 5140 5150 5151 5160 5170 5180 5190 Oil vapor extractor Power Augmentation System Equipment Hydraulic oil system Starting system (including motor) Battery and charger system Turning gear and motor Load gear compartment Cooling and seal air system Cooling water system Anti-icing system Other auxiliary system problems
Miscellaneous (Gas Turbine) 5200 5201 5205 5206 5210 5220 5230 5240 5241 5245 5246 5247 5248 5249 5250 5255 5260 5261 5262 5270 5272 5274 5280 5285 5286 5290 5295 5299 Reduction gear Load shaft and bearings Main coupling between the turbine and generator Clutch Intercoolers Regenerators Heat shields Fire detection and extinguishing system Fire in unit Gas Turbine Control System - data highway Gas Turbine Control System - hardware problems (including card failure) Gas Turbine Control System - internal and termination wiring Gas Turbine Control System - logic problems Gas Turbine Control System - upgrades Other Controls and instrumentation Problems Computer Major overhaul (use for non-specific overhaul only; see page B-1) Gas turbine/compressor washing Gas turbine exchange Hot end inspection Boroscope inspection General unit inspection Vibration (not engine) in unit not attributable to bearings or other components Gas turbine vibration Gas Turbine lockout Gas turbine performance testing - individual engines (use code 9999 for total unit performance testing) Synchronous condenser equipment Other miscellaneous gas turbine problems
Page B-GT-11
Gas Turbine Units
EXPANDER TURBINE
7800 7810 7820 7830 7840 7850 7860 7870 7880 7890 7900 7910 7920 7930 7940 7950 7960 Couplings Shaft Bearings Blades Discs Spacers Nozzles/vanes Heat shields Exhaust diffusers Seal oil system and seals Inner casing Outer exhaust casing Lube oil system Controls and instrumentation Evactor Major overhaul Other expander turbine problems
Page B-GT-12
Gas Turbine Units

Miscellaneous (Pollution Control Equipment) 8656 Controls and instrumentation
Continuous Emissions Monitoring Systems (CEMS) 8700 8720 8730 8740 8750 8770 8780 8790 CEMS Certification and Recertification NOx analyzer problems CO analyzer problems CO2 analyzer problems O2 analyzer problems Flow monitor problems Data acquisition system problems Miscellaneous CEMS problems
NOx Reduction Systems Selective Non-Catalytic Reduction Systems 8800 8801 8802 8803 8809 Reagent Carrier gas Control system SNCR Performance testing Other SNCR problems Selective Catalytic Reduction Systems 8810 8811 8812 8813 8814 8815 8816 8817 8820 8821 8822 8823 8825 Reactor Reagent Catalyst Injection grid piping/valves Catalyst support material Soot blowers Plugging Control system SCR NOx Ammonia injection grid piping/valves SCR NOx Ammonia tanks, piping and valves (not injection) SCR NOx Ammonia air blowers SCR NOx Other ammonia system problems Other SCR problems Catalytic Air Heaters 8830 8831 8832 8835 Active catalyst Support materials Plugging Other CAH problems
Page B-GT-13
Gas Turbine Units
Page B-GT-14
Gas Turbine Units
EXTERNAL
Use this set of codes to report events caused by external factors (flood, lightning, etc); economic factors (lack of fuel, labor strikes, etc.); operator training; and, transmission system problems external to the plant. Catastrophe 9000 9010 9020 9025 9030 9035 9036 9040 Economic 0000 9130 9131 9134 9136 9137 9140 9150 9151 9160 9180 9181 9182 9183 9184 9185 9186 9187 9188 9189 9190 9191 9192 9193 9194 9195 Reserve shutdown Lack of fuel (water from rivers or lakes, coal mines, gas lines, etc) where the operator is not in control of contracts, supply lines, or delivery of fuels Lack of fuel (interruptible supply of fuel part of fuel contract) Fuel conservation Problems with Primary Fuel for Units with Secondary Fuel Operation Ground water or other water supply problems. Plant modifications to burn different fuel (not regulatory mandated) Labor strikes company-wide problems or strikes outside the companys jurisdiction such as manufacturers (delaying repairs) or transportation (fuel supply) problems. Labor strikes direct plant management grievances that result in a walkout or strike are under plant management control. Other economic problems Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Flood Fire, not related to a specific component Lightning Geomagnetic disturbance Earthquake Hurricane Storms (ice, snow, etc) Other catastrophe
Page B-GT-15
Gas Turbine Units
Economic (Continued) 9196 9197 9198 9199 Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only)
Fuel Quality (Use code 9603 to 9653 if the fuel quality results in excess stack emissions through no fault in the pollution control equipment. Use the appropriate equipment code to report fouling and slagging.) 9200 9201 9205 9220 9221 9230 9231 9240 9241 9260 9261 9290 9291 High ash content (OMC) High ash content (not OMC) Poor quality natural gas fuel, low heat content High sulfur content (OMC) High sulfur content (not OMC) High vanadium content (OMC) High vanadium content (not OMC) High sodium content (OMC) High sodium content (not OMC) Low BTU oil (OMC) Low BTU oil (not OMC) Other fuel quality problems (OMC) Other fuel quality problems (not OMC)
Page B-GT-16
Gas Turbine Units

Use these codes only for events not directly attributable to equipment failures. Inspections or testing of certain equipment due to regulation are reported using the appropriate equipment cause codes, and the fact that it was a regulatory requirement noted in the verbal description section. Regulatory 9504 9506 9510 9520 9590 Regulatory (environmental) proceedings and hearings - regulatory agency initiated Regulatory (environmental) proceedings and hearings - intervenor initiated Plant modifications strictly for compliance with new or changed regulatory requirements (scrubbers, cooling towers, etc.) Oil spill in Gulf of Mexico (OMC) Miscellaneous regulatory (this code is primarily intended for use with event contribution code 2 to indicate that a regulatory-related factor contributed to the primary cause of the event)
Stack Emission (include exhaust emissions) 9603 9613 9623 9633 9653 SO2 stack emissions gas turbines NOx stack emissions gas turbines Particulate stack emissions gas turbines Opacity gas turbines Other stack or exhaust emissions gas turbines (use codes 9200 to 9290 if fuel quality causes pollution control equipment problems that result in excess stack emissions) Other stack or exhaust emissions testing - gas turbines
9657
Other Operating Environmental Limitations 9663 9673 9683 9693 Safety 9700 9720 OSHA-related retrofit or inspection Other safety problems Thermal discharge limits gas turbines Noise limits (not for personnel safety) gas turbines Fish kill gas turbines Other miscellaneous operational environmental limits gas turbines
Page B-GT-17
Gas Turbine Units

INACTIVE STATES
PERFORMANCE
Page B-GT-18
Jet Engine Units
JET ENGINE UNITS INDEX TO SYSTEM/COMPONENT CAUSE CODES

(Unit Codes 300-399 and 700-799)
Cause Code Ranges
BALANCE OF PLANT
Page No.
3600-3690 3700-3730 3810-3899 3950-3999
B-JE-3 B-JE-3 B-JE-4 B-JE-6
GENERATOR
Generator Exciter Cooling System Controls Miscellaneous (Generator) 4500-4590 4600-4609 4610-4650 4700-4750 4800-4899 B-JE-7 B-JE-7 B-JE-7 B-JE-8 B-JE-8
JET ENGINE
Inlet Air System and Compressors Fuel, Ignition and Combustion Systems Turbine Exhaust Systems Auxiliary Systems Miscellaneous (Jet Engine) 5400-5439 5440-5479 5480-5499 5500-5509 5510-5590 5600-5699 7800-7960 B-JE-9 B-JE-9 B-JE-10 B-JE-10 B-JE-10 B-JE-11 B-JE-12
EXPANDER TURBINE POLLUTION CONTROL EQUIPMENT

Miscellaneous (Pollution Control Equipment) Continuous Emissions Monitoring Systems (CEMS) NOx Reduction Systems CO Reduction
8656 8700-8790 8800-8835 8840-8845
B-JE-13 B-JE-13 B-JE-13 B-JE-14
EXTERNAL
Catastrophe Economic Economic (for internal use at plants only) Fuel Quality Miscellaneous (External) 9000-9040 0000, 9130-9160 9180-9199 9200-9291 9300-9340 B-JE-15 B-JE-15 B-JE-15 B-JE-16 B-JE-16
Page B-JE-1
Jet Engine Units
Cause Code

Regulatory Stack Emission Other Operating Environmental Limitations Safety
Ranges
Page No.
9504-9590 9604-9658 9664-9694 9700-9720 9900-9960 0002, 9990-9991 9997-9999
B-JE-17 B-JE-17 B-JE-17 B-JE-17 B-JE-18 B-JE-18 B-JE-18
Page B-JE-2
Jet Engine Units
BALANCE OF PLANT
Electrical
3600 3601 3610 3611 3612 3613 3618 3619 3620 3621 3622 3623 3624 3629 3630 3631 3632 3633 3634 3639 3640 3641 3642 3643 3644 3649 3650 3651 3652 3653 3659 3660 3661 3662 3663 3664 3669 Switchyard transformers and associated cooling systems external (OMC) Switchyard transformers and associated cooling systems external (not OMC) Switchyard circuit breakers external (not OMC) Switchyard circuit breakers external (OMC) Switchyard system protection devices external (OMC) Switchyard system protection devices external (not OMC) Other switchyard equipment external (not OMC) Other switchyard equipment external (OMC) Main transformer Unit auxiliaries transformer Station service startup transformer Auxiliary generators Auxiliary generator voltage supply system Other switchyard or high voltage system problems 400-700-volt transformers 400-700-volt circuit breakers 400-700-volt conductors and buses 400-700-volt insulators 400-700-volt protection devices Other 400-700-volt problems AC instrument power transformers AC Circuit breakers AC Conductors and buses AC Inverters AC Protection devices Other AC instrument power problems DC instrument power battery chargers DC circuit breakers DC conductors and buses DC protection devices Other DC power problems 4000-7000-volt transformers 4000-7000-volt circuit breakers 4000-7000-volt conductors and buses 4000-7000-volt insulators 4000-7000-volt protection devices Other 4000-7000-volt problems
Page B-JE-3
Jet Engine Units
Auxiliary Systems Service Water (Open System) 3810 3811 3812 3813 3814 3819 Service water pumps and motors Service water piping Service water valves Service water heat exchangers Service water system fouling Other service water problems Closed Cooling Water Systems 3820 3821 3822 3823 3824 3829 Closed cooling water pumps Closed cooling water piping Closed cooling water valves Closed cooling water heat exchangers Closed cooling water system fouling Other closed cooling water system problems Auxiliary Steam 3830 3831 3832 3833 3834 3839
Page B-JE-4
Auxiliary boiler Auxiliary steam piping Auxiliary steam valves Auxiliary steam controls and instruments Auxiliary boiler tube leaks Other auxiliary steam problems
Jet Engine Units
Service Air 3840 3841 3842 3843 3849 Service air compressors Service air piping Service air valves Service air dryers Other service air problems Instrument Air 3850 3851 3852 3853 3854 3859 Instrument air compressors Instrument air piping Instrument air valves Instrument air dryers N2 backup to instrument air Other instrument air problems Fire Protection System 3860 3861 3862 3863 3864 3869 Fire protection system pumps Fire protection system piping Fire protection system valves Fire protection system fouling Fire protection system instrumentation and controls Other fire protection system problems Low-pressure Gas Compression System 3870 3871 3872 3873 3874 3875 3876 3879 Fuel Gas Compressor and Motors Fuel Gas Compressor Piping Fuel Gas Compressor Valves Fuel Gas Compressor Heat Exchangers Fuel Gas Compressor Controls and Instrumentation Fuel Gas Compressor Filters Fuel Gas Compressor Fire System Fuel Gas Compressor Other Miscellaneous (Auxiliary Systems) 3898 3899 Miscellaneous plant auxiliary process and services instrumentation and controls Other miscellaneous auxiliary system problems
Page B-JE-5
Jet Engine Units
Page B-JE-6
Jet Engine Units
GENERATOR
This set of codes contains the generator, exciter, generator cooling systems, and generator controls. Note the main leads up to and including the generator output breaker are included in this set of codes. Generator 4500 4510
4511
Rotor windings Rotor collector rings

Rotor, General
4520 4530 4535 4536 4540 4550 4551 4552 4555 4560 4570 4580 4590
Exciter
Stator windings, bushings, and terminals Stator core iron Stator, General Generator heaters Brushes and brush rigging Generator bearings and lube oil system Generator bearings Generator lube oil system Bearing cooling system Generator vibration (excluding vibration due to failed bearing and other components) Generator casing Generator end bells and bolting Generator brakes
4600 4601 4602 4603 4604 4605 4609
Exciter drive - motor Exciter field rheostat Exciter commutator and brushes Solid state exciter element Exciter drive - shaft Exciter transformer Other exciter problems
Cooling System (report failures caused by water leaks into generator as codes 4500, 4510, etc.)
4610 4611 4612 4613 4619 4620 4630 4640 4650
Hydrogen cooling system piping and valves Hydrogen coolers Hydrogen storage system Hydrogen seals Other hydrogen system problems Air cooling system Liquid cooling system Seal oil system and seals Other cooling system problems
Page B-JE-7
Jet Engine Units
Miscellaneous (Generator) 4800 4805 4810 4830 4831 4840 4841 4842 4850 4860 4899 Generator main leads Generator Bus Duct Cooling System Generator output breaker Major overhaul (more than 720hours) (use for non-specific overhaul only; see page B-1) Minor generator overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-1) Inspection Generator doble testing Reactive and capability testing Core monitor alarm Generator neutral grounding equipment Other miscellaneous generator problems
Page B-JE-8
Jet Engine Units
JET ENGINE
Inlet Air System and Compressors (use HP compressor if only one) Ducts and Filters 5400 5401 5402 5403 5404 5405 5406 5409 Inlet air ducts Inlet air vanes/nozzles Inlet air filters Inlet and exhaust cones Inlet air chillers Inlet air evaporative coolers Inlet air foggers Other inlet air problems Compressors 5410 5411 5412 5413 5414 5420 5421 5422 5429 5430 5435 5436 5439 High pressure shaft High pressure bearings High pressure blades/buckets Other high pressure problems Compressor diaphragms/vanes Low pressure shaft Low pressure bearings Low pressure blades/buckets Other low pressure problems Supercharging fans Compressor washing Compressor shaft and bearings for two-shaft machines Other compressor problems
Fuel, Ignition, and Combustion Systems 5440 5441 5442 5443 5444 5445 5446 5447 5449 5450 5451 5452 5453 5454 5455 5460 Fuel tanks Fuel piping and valves Fuel nozzles/vanes Fuel filters Liquid fuel oil pump Liquid fuel oil transfer/forwarding pump Liquid fuel purge system Gas fuel system including controls and instrumentation Other fuel system problems Ignition system Pilot fuel piping and valves Pilot fuel nozzles/vanes Pilot fuel filters Water injection system Fuel nozzle/vane cooling air system Atomizing air system
Page B-JE-9
Jet Engine Units
Fuel, Ignition, and Combustion Systems (Continued) 5470 5471 5472 5473 5474 5475 5479 Combustor casing Combustor liner Combustor caps Flame scanners Flashback (including instrumentation) Blade path temperature spread Other combustor problems
Turbine (use HP if only one) 5480 5481 5482 5483 5484 5485 5486 5489 5490 5491 5492 5493 5494 5497 5498 5499 High pressure shaft High pressure bearings High pressure blades/buckets High pressure nozzles/vanes High pressure casing/expansion joint Interstage gas passages High pressure shaft seals Other high pressure problems Low pressure shaft Low pressure bearings Low pressure blades/buckets Low pressure nozzles/vanes Low pressure casing/expansion joints Other low pressure problems Expansion joints Shaft seals
Exhaust Systems 5500 5501 5502 5503 5504

5505
Chamber Hoods Vanes/nozzles Silencer Cones

Diverter Dampers
5508 5509
High engine exhaust temperature Other exhaust problems (including high exhaust temperature not attributable to a specific problem)
Auxiliary Systems 5510 5516 5520 5530 5540 5550 5551 Lube oil system Power Augmentation System Equipment Hydraulic oil system Starting system (including motor) Battery and charger system Turning gear and motor Load gear compartment
Page B-JE-10
Jet Engine Units
Auxiliary Systems (Continued) 5560 5570 5580 5590 Cooling and seal air system Cooling water system Anti-icing system Other auxiliary system problems
Miscellaneous (Jet Engine) 5600 5601 5605 5606 5610 5620 5630 5640 5641 5645 5646 5647 5648 5649 5650 5660 5661 5662 5665 5670 5672 5674 5680 5685 5686 5690 5695 5699 Reduction gear Load shaft and bearings Main coupling between the turbine and generator Clutch Intercoolers Regenerators Heat shields Fire detection and extinguishing system Fire in unit Jet Engine Control System - data highway Jet Engine Control System - hardware problems (including card failure) Jet Engine Control System - internal and termination wiring Jet Engine Control System - logic problems Jet Engine Control System - upgrades Other Controls and instrumentation Problems Major overhaul (use for non-specific overhaul only; see page B-1) Engine/compressor washing Engine exchange Engine shafts and bearings Hot end inspection Boroscope inspection General unit inspection Vibration (not engine) in unit not attributable to bearings or other components Engine vibration Jet engine lockout Engine performance testing - individual engines (use code 9999 for total unit performance testing) Synchronous condenser equipment Other miscellaneous jet engine problems
Page B-JE-11
Jet Engine Units
EXPANDER TURBINE
Page B-JE-12
Jet Engine Units

Miscellaneous (Pollution Control Equipment) 8656 Controls and instrumentation
Continuous Emissions Monitoring Systems (CEMS) 8700 8720 8730 8740 8750 8770 8780 8790 CEMS Certification and Recertification NOx analyzer problems CO analyzer problems CO2 analyzer problems O2 analyzer problems Flow monitor problems Data acquisition system problems Miscellaneous CEMS problems
NOx Reduction Systems Selective Non-Catalytic Reduction Systems 8800 8801 8802 8803 8809 Reagent Carrier gas Control system SNCR Performance testing Other SNCR problems Selective Catalytic Reduction Systems 8810 8811 8812 8813 8814 8815 8816 8817 8820 8821 8822 8823 8825 Reactor Reagent Catalyst Injection grid piping/valves Catalyst support material Soot blowers Plugging Control system SCR NOx Ammonia injection grid piping/valves SCR NOx Ammonia tanks, piping and valves (not injection) SCR NOx Ammonia air blowers SCR NOx Other ammonia system problems Other SCR problems Catalytic Air Heaters 8830 8831 8832 8835 Active catalyst Support materials Plugging Other CAH problems
Page B-JE-13
Jet Engine Units
Page B-JE-14
Jet Engine Units
EXTERNAL
Use this set of codes to report events caused by external factors (flood, lightning, etc); economic factors (lack of fuel, labor strikes, etc.); operator training; and, transmission system problems external to the plant. Catastrophe 9000 9010 9020 9025 9030 9035 9036 9040 Economic 0000 9130 9131 9134 9136 9137 9140 9150 9151 9160 9180 9181 9182 9183 9184 9185 9186 9187 9188 9189 9190 9191 9192 9193 9194 9195 Reserve shutdown Lack of fuel (water from rivers or lakes, coal mines, gas lines, etc) where the operator is not in control of contracts, supply lines, or delivery of fuels Lack of fuel (interruptible supply of fuel part of fuel contract) Fuel conservation Problems with Primary Fuel for Units with Secondary Fuel Operation Ground water or other water supply problems. Plant modifications to burn different fuel (not regulatory mandated) Labor strikes company-wide problems or strikes outside the companys jurisdiction such as manufacturers (delaying repairs) or transportation (fuel supply) problems. Labor strikes direct plant management grievances that result in a walkout or strike are under plant management control. Other economic problems Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Flood Fire, not related to a specific component Lightning Geomagnetic disturbance Earthquake Hurricane Storms (ice, snow, etc) Other catastrophe
Page B-JE-15
Jet Engine Units
Fuel Quality (Use code 9604 to 9654 if the fuel quality results in excess stack emissions through no fault in the pollution control equipment. Use the appropriate equipment code to report fouling and slagging.) 9200 9201 9205 9220 9221 9230 9231 9240 9241 9260 9261 9290 9291 High ash content (OMC) High ash content (not OMC) Poor quality natural gas fuel, low heat content High sulfur content (OMC) High sulfur content (not OMC) High vanadium content (OMC) High vanadium content (not OMC) High sodium content (OMC) High sodium content (not OMC) Low BTU oil (OMC) Low BTU oil (not OMC) Other fuel quality problems (OMC) Other fuel quality problems (not OMC)
Page B-JE-16
Jet Engine Units

Use these codes only for outages or deratings not directly attributable to equipment failures. Inspections or testing of certain equipment due to regulation are reported using the appropriate equipment cause codes, and the fact that it was a regulatory requirement noted in the verbal description section. Regulatory 9504 9506 9510 9520 9590 Regulatory (environmental) proceedings and hearings - regulatory agency initiated Regulatory (environmental) proceedings and hearings intervenor initiated Plant modifications strictly for compliance with new or changed regulatory requirements (scrubbers, cooling towers, etc.) Oil spill in Gulf of Mexico (OMC) Miscellaneous regulatory (this code is primarily intended for use with event contribution code 2 to indicate that a regulatory-related factor contributed to the primary cause of the event)
Stack Emission (include exhaust emissions) 9604 9614 9624 9634 9654 SO2 stack emissions Jet engines NOx stack emissions Jet engines Particulate stack emissions Jet engines Opacity jet engines Other stack or exhaust emissions Jet engines (use codes 9200 to 9290 if fuel quality causes pollution control equipment problems that result in excess stack emissions) Other stack or exhaust emissions testing - Jet engines
9658
Other Operating Environmental Limitations 9664 9674 9684 9694 Safety 9700 9720 OSHA-related retrofit or inspection Other safety problems Thermal discharge limits jet engines Noise limits (not for personnel safety) Jet engines Fish kill jet engines Other miscellaneous operational environmental limits Jet engines
Page B-JE-17
Jet Engine Units

INACTIVE STATES
PERFORMANCE
9997 9998
9999
NERC Reliability Standard Requirement Black start testing Total unit performance testing (use appropriate codes for individual component testing
Page B-JE-18
Combined Cycle Units or Co-generation Blocks
UNITS IN COMBINED CYCLE or CO-GENERATION BLOCKS INDEX TO SYSTEM/COMPONENT CAUSE CODES

(Gas Turbine Codes 300-399 or 700-799) (Steam Turbine Codes 100-199) (With Block Identifier 800-899)
Cause Code Ranges
GAS TURBINE
Inlet Air System and Compressors Fuel, Ignition and Combustion Systems Turbine Exhaust Systems Auxiliary Systems Miscellaneous (Gas Turbine)
Page No.
5000-5039 5040-5079 5080-5099 5100-5109 5110-5190 5200-5299
B-CC-4 B-CC-4 B-CC-5 B-CC-5 B-CC-5 B-CC-6
JET ENGINE
Inlet Air System and Compressors Fuel, Ignition and Combustion Systems Turbine Exhaust Systems Auxiliary Systems Miscellaneous (Jet Engine) 5400-5439 5440-5479 5480-5499 5500-5509 5510-5590 5600-5699 7800-7960 B-CC-7 B-CC-7 B-CC-8 B-CC-8 B-CC-8 B-CC-9 B-CC-10
EXPANDER TURBINE STEAM TURBINE

High Pressure Turbine Intermediate Pressure Turbine Low Pressure Turbine Valves Piping Lube Oil Controls Miscellaneous (Steam Turbine)
4000-4099 4100-4199 4200-4250 4260-4269 4270-4279 4280-4289 4290-4314 4400-4499
B-CC-11 B-CC-11 B-CC-11 B-CC-12 B-CC-12 B-CC-12 B-CC-12 B-CC-13
GENERATOR
Generator Exciter Cooling System Controls Miscellaneous (Generator) 4500-4580 4600-4609 4610-4650 4700-4750 4800-4899 B-CC-14 B-CC-14 B-CC-14 B-CC-14 B-CC-15
Page B-CC-1
Combined Cycle Units or Co-generation Blocks Cause Code Ranges
HRSG BOILER
HRSG Boiler Fuel Supply HRSG Boiler Piping System
Page No.
HRSG Boiler Internals and Structures HRSG Boiler Tube Leaks Miscellaneous HRSG Boiler Tube Problems HRSG Boiler Control Systems HRSG Boiler Overhaul and Inspections HRSG Boiler Water Condition HRSG Boiler Design Limitations Miscellaneous (HRSG Boiler)
0358-0480 0540-0570 & 6110-6184 & 0670-0799 0800-0859 6005-6090 1300-1599 1700-1799 1800-1820 1850 1900-1910 1980-1999 & 6000 & 6100
B-CC-16 B-CC-16
B-CC-18 B-CC-19 B-CC-19 B-CC-20 B-CC-20 B-CC-20 B-CC-20 B-CC-20
BALANCE OF PLANT
Condensing System Circulating Water Systems Waste Water (zero discharge) System Condensate System Feedwater System Heater Drain Systems Extraction Steam Electrical Power Station Switchyard Auxiliary Systems Miscellaneous (Balance of Plant) 3110-3199 3210-3285, 3299 3290-3295 3300-3399 3401-3499 3501-3509 3520-3549 3600-3690 3700-3730 3800-3899 & 6299 & 6399 3950-3999 B-CC-21 B-CC-22 B-CC-23 B-CC-23 B-CC-24 B-CC-24 B-CC-25 B-CC-26 B-CC-26 B-CC-26 B-CC-28

Continued Emissions Monitoring Systems (CEMS) NOx Reduction Systems CO Reduction 8700-8790 8800-8835 8840-8845 B-CC-29 B-CC-29 B-CC-30
EXTERNAL
Catastrophe Economic Economic (for internal use at plants only) Fuel Quality Miscellaneous (External) 9000-9040 0000, 9130-9160 9180-9199 9200-9291 9300-9340 B-CC-31 B-CC-31 B-CC-31 B-CC-32 B-CC-32
Page B-CC-2

Regulatory Stack Emission Other Operating Environmental Limitations Safety 9504-9590 9600-9658 9660-9694 9700-9720 9900-9960 0002, 9990-9991 9997-9999 B-CC-33 B-CC-33 B-CC-34 B-CC-34 B-CC-34 B-CC-34 B-CC-34
Page B-CC-3
GAS TURBINE
Inlet Air System and Compressors (use HP compressor if only one) Ducts and Filters 5000 5001 5002 5003 5004 5005 5006 5009 Inlet air ducts Inlet air vanes / nozzles Inlet air filters Inlet cone Inlet air chillers Inlet air evaporative coolers Inlet air foggers Other inlet air problems Compressors 5010 5011 5012 5013 5014 5015 5016 5017 5019 5020 5021 5022 5029 5030 5039 High pressure shaft High pressure bearings High pressure blades/buckets Compressor casing and bolts Compressor diaphragms Compressor seals High pressure compressor bleed valves Low pressure compressor bleed valves Other high pressure problems Low pressure shaft Low pressure bearings Low pressure blades/buckets Other low pressure problems Supercharging fans Other compressor problems
Fuel, Ignition, and Combustion Systems 5040 5041 5042 5043 5044 5046 5047 5048 5049 5050 5051 5052 5053 5060
Page B-CC-4
Fuel tanks Fuel piping and valves Fuel nozzles/vanes Fuel filters Liquid fuel oil pump Liquid fuel oil transfer/forwarding pump Liquid fuel purge system Gas fuel system including controls and instrumentation Other fuel system problems Ignition system Pilot fuel piping and valves Pilot fuel nozzles/vanes Pilot fuel filters Atomizing air system
Fuel, Ignition, and Combustion Systems (Continued) 5070 5071 5072 5073 5074 5075 5079 Combustor casing Combustor liner Combustor caps Flame scanners Flashback (including instrumentation) Blade path temperature spread Other combustor problems
Turbine (use HP if only one) 5080 5081 5082 5083 5084 5085 5086 5089 5090 5091 5092 5093 5094 5095 5096 5097 5098 5099 High pressure shaft High pressure bearings High pressure blades/buckets High pressure nozzles/vanes High pressure casing/expansion joints Interstage gas passages - HP High pressure shaft seals Other high pressure problems Low pressure shaft Low pressure bearings Low pressure blades/buckets Low pressure nozzles/vanes Low pressure casing/expansion joints Interstage gas passages - LP Low pressure shaft seals Other low pressure problems Expansion joints HP to LP coupling
Exhaust Systems 5100 5101 5102 5103 5104 5105 5108 5109 Chamber Hoods Vanes/nozzles Silencer Cones Diverter Dampers High engine exhaust temperature Other exhaust problems (including high exhaust system temperature not attributable to a specific problem)
Auxiliary Systems 5110 5111 5112 5113 5114 Lube oil system - general Lube oil pumps Lube oil coolers Lube oil valves/piping Lube oil filters
Page B-CC-5
Auxiliary Systems (Continued) 5115 5116 5120 5130 5140 5150 5151 5160 5170 5180 5190 Oil vapor extractor Power Augmentation System Equipment Hydraulic oil system Starting system (including motor) Battery and charger system Turning gear and motor Load gear compartment Cooling and seal air system Cooling water system Anti-icing system Other auxiliary system problems
Miscellaneous (Gas Turbine) 5200 5201 5205 5206 5210 5220 5230 5240 5241 5245 5246 5247 5248 5249 5250 5255 5260 5261 5262 5270 5272 5274 5280 5285 5286 5290 5295 5299 Reduction gear Load shaft and bearings Main coupling between the turbine and generator Clutch Intercoolers Regenerators Heat shields Fire detection and extinguishing system Fire in unit Gas Turbine Control System - data highway Gas Turbine Control System - hardware problems (including card failure) Gas Turbine Control System - internal and termination wiring Gas Turbine Control System - logic problems Gas Turbine Control System upgrades Controls and instrumentation Problems Computer Major overhaul (use for non-specific overhaul only; see page B-1) Gas turbine/compressor washing Gas turbine exchange Hot end inspection Boroscope inspection General unit inspection Vibration (not engine) in unit not attributable to bearings or other components Gas turbine vibration Gas Turbine lockout caused by OEM specifications Gas turbine performance testing - individual engines (use code 9999 for total unit performance testing) Synchronous condenser equipment Other miscellaneous gas turbine problems
Page B-CC-6
JET ENGINE
Inlet Air System and Compressors (use HP compressor if only one) Ducts and Filters 5400 5401 5402 5403 5404 5405 5406 5409 Inlet air ducts Inlet air vanes/noozles Inlet air filters Inlet and exhaust cones Inlet air chillers Inlet air evaporative coolers Inlet air foggers Other inlet air problems Compressors 5410 5411 5412 5413 5414 5420 5421 5422 5429 5430 5436 5439 High pressure shaft High pressure bearings High pressure blades/buckets Other high pressure problems Compressor diaphragms/vanes Low pressure shaft Low pressure bearings Low pressure blades/buckets Other low pressure problems Supercharging fans Compressor shaft and bearings for two-shaft machines Other compressor problems
Fuel, Ignition, and Combustion Systems 5440 5441 5442 5443 5444 5445 5446 5447 5449 5450 5451 5452 5453 5455 5460 5470 Fuel tanks Fuel piping and valves Fuel nozzles/vanes Fuel filters Liquid fuel oil pump Liquid fuel oil transfer/forwarding pump Liquid fuel purge system Gas fuel system Other fuel system problems Ignition system Pilot fuel piping and valves Pilot fuel nozzles/vanes Pilot fuel filters Fuel nozzle/vane cooling air system Atomizing air system Combustor casing
Page B-CC-7
Fuel, Ignition, and Combustion Systems (Continued) 5471 5472 5473 5474 5475 5479 Combustor liner Combustor caps Flame scanners Flashback (including instrumentation) Blade path temperature spread Other combustor problems
Turbine (use HP if only one) 5480 5481 5482 5483 5484 5485 5486 5489 5490 5491 5492 5493 5494 5497 5498 5499 High pressure shaft High pressure bearings High pressure blades/buckets High pressure nozzles/vanes High pressure casing/expansion joint Interstage gas passages High pressure shaft seals Other high pressure problems Low pressure shaft Low pressure bearings Low pressure blades/buckets Low pressure nozzles/vanes Low pressure casing/expansion joints Other low pressure problems Expansion joints Shaft seals
Exhaust Systems 5500 5501 5502 5503 5504 5505 5508 5509 Chamber Hoods Vanes/nozzles Silencer Cones Diverter Dampers High engine exhaust temperature Other exhaust problems (including high exhaust temperature not attributable to a specific problem)
Auxiliary Systems 5510 5516 5520 5530 5540 5550 5551 5560 5570 5580 5590
Page B-CC-8
Lube oil system Power Augmentation System Equipment Hydraulic oil system Starting system (including motor) Battery and charger system Turning gear and motor Load gear compartment Cooling and seal air system Cooling water system Anti-icing system Other auxiliary system problems
Miscellaneous (Jet Engine) 5600 5601 5605 5606 5610 5620 5630 5640 5641 5645 5646 5647 5648 5649 5650 5660 5661 5662 5665 5670 5672 5674 5680 5685 5686 5690 5695 5699 Reduction gear Load shaft and bearings Main coupling between the turbine and generator Clutch Intercoolers Regenerators Heat shields Fire detection and extinguishing system Fire in unit Jet Engine Control System - data highway Jet Engine Control System - hardware problems (including card failure) Jet Engine Control System - internal and termination wiring Jet Engine Control System - logic problems Jet Engine Control System upgrades Other Controls and instrumentation Problems Major overhaul (use for non-specific overhaul only; see page B-1) Engine/compressor washing Engine exchange Engine shafts and bearings Hot end inspection Boroscope inspection General unit inspection Vibration (not engine) in unit not attributable to bearings or other components Engine vibration Jet engine lockout caused by OEM specifications Engine performance testing - individual engines (use code 9999 for total unit performance testing) Synchronous condenser equipment Other miscellaneous jet engine problems
Page B-CC-9
EXPANDER TURBINE
Page B-CC-10
STEAM TURBINE
Besides the turbine, this set includes the steam stop/control valves, turbine control system, and the turbine auxiliaries. The extraction steam codes are contained in the Balance of Plant set. High Pressure Turbine 4000 4001 4009 4010 4011 4012 4013 4014 4015 4020 4021 4022 4030 4040 4041 4099 Outer casing Inner casing Nozzle bolting Nozzles and nozzle blocks Diaphragms Buckets or blades Diaphragms unit and shroud type Bucket or blade fouling Wheels or spindles Shaft seals Dummy rings Gland rings Rotor shaft Bearings Thrust bearings Other high-pressure turbine problems
Page B-CC-11
Lube Oil (do not include bearing failures due to lube oil) 4280 4281 4282 4283 4284 4289 Controls 4290 4291 4292 4293 4299 4300 4301 4302 4303 4304 Hydraulic system pumps Hydraulic system coolers Hydraulic system filters Hydraulic system pipes and valves Other hydraulic system problems Turbine supervisory system (use codes 4290 to 4299 for hydraulic oil) Turbine governing system Turbine trip devices (including instruments) Exhaust hood and spray controls Automatic turbine control systems - mechanical Lube oil pumps Lube oil coolers Lube oil conditioners Lube oil system valves and piping Lube oil pump drive Other lube oil system problems
Page B-CC-12
Controls (Continued) 4305 4306 4307 4308 4309 4310 4311 4312 4313 4314 Automatic turbine control systems - mechanical - hydraulic Automatic turbine control systems - electro-hydraulic - analog Automatic turbine control systems - electro-hydraulic - digital Automatic turbine control systems - digital control and monitoring Other turbine instrument and control problems Steam Turbine Control System - data highway Steam Turbine Control System - hardware problems (including card failure) Steam Turbine Control System - internal and termination wiring Steam Turbine Control System - logic problems Steam Turbine Control System - upgrades
Miscellaneous (Steam Turbine) 4400 4401 4402 4410 4411 4412 4415 4420 4430 4450 4460 4470 4490 4499 Major turbine overhaul (720 hours or longer) (use for non-specific overhaul only; see page B1) Inspection Minor turbine overhaul (less than 720 hours) (use for non-specific overhaul only; see page B1) Turning gear and motor Steam turbine gear box (single shaft configuration) Steam turbine clutch (single shaft configuration) Shaft coupling mechanism Vibration of the turbine generator unit that cannot be attributed to a specific cause such as bearings or blades (use this code for balance moves) Gland seal system Water induction Turbine overspeed trip test Differential expansion Turbine performance testing (use code 9999 for total unit performance testing) Other miscellaneous steam turbine problems
Page B-CC-13
GENERATOR
Page B-CC-14
Miscellaneous (Generator) 4800 4805 4810 4830 4831 4840 4841 4842 4850 4860 4899 Generator main leads Generator Bus Duct Cooling System Generator output breaker Major generator overhaul (720 hours or longer) (use for non-specific overhaul only; see Page B-1) Minor generator overhaul (less than 720 hours) (use for non-specific overhaul only; see Page B-1) Inspection Generator doble testing Reactive and capability testing Core monitor alarm Generator neutral grounding equipment Other miscellaneous generator problems
Page B-CC-15
HEAT RECOVERY STEAM GENERATOR (HRSG) (Waste Heat Boiler)

HRSG Boiler Fuel Supply Burners (Duct Burners) 0358 0359 0360 0361 0370 0380 0385 0410 Oil burner piping and valves Gas burner piping and valves Duct burners Duct burner orfices Duct burner instruments and controls (except light-off) Light-off (igniter) systems (including fuel supply) Igniters Other duct burner problems Oil and Gas Systems (except light-off) 0440 0441 0442 0443 0444 0450 0460 0470 0480 Fuel oil pumps (general) Fuel oil pumps (burner supply) Fuel oil pumps (forwarding/transfer) Fuel oil (burner supply) pump drives Fuel oil (forwarding/transfer) pump drives Fuel oil heaters Fuel oil atomizers Oil and gas fires Other oil and gas fuel supply problems (see codes 0360-0410 for burner problems) Steam System Desuperheaters/Attemperators See cause codes 6140 to 6154 HRSG Boiler Piping System HRSG Startup Bypass See cause codes 6160 to 6183 HRSG Main Steam 6110 6111 6112 6113 6120 HP steam piping up to turbine stop valves Greater than 600 PSIG (see 0790 for piping supports) HP steam relief/safety valves Other HP steam valves (including vent and drain valves but not including the turbine stop valves) Other HP steam system problems IP steam piping up to turbine stop valves Between 200 & 600 PSIG (see 0790 for piping supports)
Page B-CC-16
HRSG Boiler Piping System (Continued) 6121 6122 6123 6130 6131 6132 6133 6134 IP steam relief/safety valves Other IP steam valves (including vent and drain valves but not including the turbine stop valves) Other IP steam system problems LP steam piping up to turbine stop valves Less than 200 PSIG (see 0790 for piping supports) LP steam relief/safety valves Other LP steam valves (including vent and drain valves but not including the turbine stop valves) Other LP steam system problems Other main steam valves (including vent and drain valves but not including the turbine stop valves) HRSG Cold and Hot Reheat Steam Reheat steam piping up to turbine stop valves Cold reheat steam piping up to boiler Reheat steam relief/safety valves Other reheat steam valves (not including turbine stop or intercept valves) Other cold reheat steam valves (not including turbine stop or intercept valves) Other reheat steam problems HRSG Desuperheaters/Attemperators 6140 6141 6142 6143 6144 6145 6146 6147 6148 6149 6150 6151 6152 6153 6154 HP Desuperheater/attemperator piping Greater than 600 PSIG. HP Desuperheater/attemperator valves HP Desuperheater/attemperator spray nozzles HP Desuperheater/attemperator drums Other HP desuperheater/attemperator problems IP Desuperheater/attemperator piping Between 200-600 PSIG IP Desuperheater/attemperator valves IP Desuperheater/attemperator spray nozzles IP Desuperheater/attemperator drums Other IP desuperheater/attemperator problems LP Desuperheater/attemperator piping Less than 200 PSIG LP Desuperheater/attemperator valves LP Desuperheater/attemperator spray nozzles LP Desuperheater/attemperator drums Other LP desuperheater/attemperator problems HRSG Startup Bypass 6160 6161 6162 6163 6164 6170 6171 HP Startup bypass system piping (including drain lines up to heaters or condenser)- Greater than 600 PSIG HP Startup bypass system valves HP Startup bypass tanks or flash tanks Other HP startup bypass system problems HP startup bypass instrumentation and controls IP Startup bypass system piping (including drain lines up to heaters or condenser) Between 200-600 PSIG IP Startup bypass system valves
0540 0541 0550 0560 0561 0570
Page B-CC-17
HRSG Boiler Piping System (Continued) 6172 6173 6174 6180 6181 6182 6183 6184 IP Startup bypass tanks or flash tanks Other IP startup bypass system problems IP startup bypass instrumentation and controls LP Startup bypass system piping (including drain lines up to heaters or condenser) Less than 200 PSIG LP Startup bypass system valves LP Startup bypass tanks or flash tanks Other LP startup bypass system problems LP startup bypass instrumentation and controls Feedwater and Blowdown 0670 0680 0690 0700 0710 0720 0730 Feedwater piping downstream of feedwater regulating valve Feedwater valves (not feedwater regulating valve) Other feedwater problems downstream of feedwater regulating valve (use codes 3401 to 3499 for remainder of feedwater system) Blowdown system valves Blowdown system piping Blowdown system controls / instrumentation Other blowdown system problems Boiler Recirculation 0740 0741 0750 0760 0770 Boiler recirculation pumps Boiler recirculation pumps - motors Boiler recirculation piping including downcomers Boiler recirculation valves Other boiler recirculation problems Miscellaneous (Piping) 0775 0780 0782 0790 0799 Economizer piping Headers between tube bundles Headers and caps Pipe hangers, brackets, supports (general) Other miscellaneous piping system problems
HRSG Boiler Internals and Structures 0800 0801 0802 0803 0810 0820 0830 0840 0845 0847
Page B-CC-18
Drums and drum internals (single drum only) HP Drum (including drum level trips not attributable to other causes) IP Drum (including drum level trips not attributable to other causes) LP Drum (including drum level trips not attributable to other causes) Boiler supports and structures (use code 1320 for tube supports) Casing Doors Refractory and insulation Windbox expansion joints Other expansion joints
HRSG Boiler Internals and Structures (Continued) 0848 0850 0855 0856 0857 0858 0859 Inlet panel Other internal or structural problems Drum relief/safety valves (Single drum only) HP Drum relief/safety valves IP Drum relief/safety valves LP Drum relief/safety valves Tube external fins/membranes
HRSG Boiler Tube Leaks (use code 0859 for tube/membrane failures) 6005 6006 6007 6010 6011 6012 6020 6021 6022 6030 6031 6032 6090 HP Evaporator tubes IP Evaporator tubes LP Evaporator tubes HP superheater HP reheater HP economizer IP superheater IP reheater IP economizer LP reheater LP superheater LP economizer Other HRSG tube Problems
Miscellaneous HRSG Boiler Tube Problems 1300 1305 1310 1320 1330 1340 1350 Water side fouling Fireside cleaning (which requires a full outage) Water side cleaning (acid cleaning) Tube supports/attachments Slag fall damage Tube modifications (including addition and removal of tubes) Other miscellaneous boiler tube problems Air Supply 1400 1407 1410 1411 1412 1415 1420 1430 1431 1432 1440 1450 Forced draft fans Forced draft fan lubrication system Forced draft fan motors Forced draft fan motors variable speed Forced draft fan drives (other than motor) Forced draft fan controls Other forced draft fan problems Air supply ducts Air supply dampers from FD fan Air supply duct expansion joints Air supply dampers Other air supply problems
Page B-CC-19
Miscellaneous (Boiler Air and Gas Systems) 1590 1591 1592 1599 Stacks Stack damper and linkage Stack damper linkage motors Other miscellaneous boiler air and gas system problems
HRSG Boiler Control Systems (including instruments which input to the controls) 1700 1710 1720 1730 1740 1750 1760 1761 1762 1799 Feedwater controls (report local controls --- feedwater pump, feedwater regulator valve, etc., --with component or system) Combustion/steam condition controls (report local controls with component or system) Desuperheater/attemperator controls (not local controls) Boiler explosion or implosion Gage glasses Burner management system Feedwater instrumentation (not local controls) Combustion /Steam condition instrumentation (not local controls) Desuperheater/attemperator instrumentation (not local controls) Other boiler instrumentation and control problems
HRSG Boiler Overhaul and Inspections 1800 1801 1810 1811 1812 1820 Major boiler overhaul (720 hours or more) (use for non-specific overhaul only; see page B-1) Minor boiler overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-1) Other boiler inspections Boiler Inspections problem identification/investigative Boiler Inspections scheduled or routine Chemical cleaning/steam blows
HRSG Boiler Water Condition 1850 Boiler water condition (not feedwater water quality)
HRSG Boiler Design Limitations 1900 1910 Improper balance between tube sections not due to fouling or plugging Inadequate air not due to equipment problems
Miscellaneous (Boiler) (use more specific codes other slagging and fouling problems, other control problems, etc. whenever possible. Describe miscellaneous problems in the verbal description.) 1980 6000 6100 1990 1999 Boiler safety valve test HRSG Boiler to gas turbine connecting equipment. Steam turbine to gas turbine coupling Boiler performance testing (use code 9999 for total unit performance testing) Boiler, miscellaneous
Page B-CC-20
BALANCE OF PLANT
Condensing System Condenser Tubes 3110 3111 3112 3113 3114 3115 3116 3117 3118 3119 Condenser tube leaks Condenser tube fouling shell side Condenser tube fouling tube side Condenser tube and water box cleaning (including circulating water flow reversal) Air-cooled condenser tubes Air-cooled condenser pumps Air-cooled condenser fans Air-cooled condenser fan motors Other Air-cooled condenser problems Other air-cooled condenser tube casing or shell and internal problems Condenser Casing or Shell and Internals 3120 3121 3122 3123 3124 3129 Tube sheets Expansion joint Gaskets and seals Hot well Tube sheet fouling Other condenser casing or shell and internal problems Vacuum Equipment 3130 3131 3132 3133 3134 3135 3139 3149 Air ejectors Air ejector piping and valves Inter and after condensers Vacuum pumps Vacuum pump piping and valves Vacuum pump motor and auxiliaries Other air extraction system problems - general Loss of vacuum not attributable to a particular component such as air ejectors or valves; or, high back pressure not attributable to high circulating water temperature, or vacuum losses from a known cause. Condenser Controls 3150 3151 3152 3159 Hot well level controls Vacuum pump and air ejector controls Air-cooled condenser controls Other condensing system controls and instruments
Page B-CC-21
Circulating Water Systems 3210 3211 3220 3221 3230 3233 3235 3236 3238 3239 3240 3241 3242 3243 3244 3245 3246 3247 3250 3260 3261 3269 3270 3271 3272 3273 3280 3281 3282 3285 3299 Circulating water pumps Circulating water pump motors Circulating water piping Circulating water piping fouling Circulating water valves Circulating water priming system Cooling tower booster pump Cooling tower booster motor Cooling tower fan motors Cooling tower fan motors - variable speed Cooling tower fans Cooling tower efficiency below design Cooling tower fill damage Cooling tower icing Cooling tower fires Other cooling tower problems Cooling tower fouling Cooling tower instrumentation Circulating water system instruments and controls Traveling screens Traveling screen fouling Circulating water biological conditions (ie, zebra mussels) Intake system problems other than traveling screens Intake grating fouling Circulating water screenwash system Debris in circulating water from outside sources (leaves, mud, etc.) High circulating water temperature (not due to season, tower efficiency below design, or other listed equipment problem) Circulating water tempering system Circulating water cooling ponds Circulating water chemistry Other circulating water system problems
Page B-CC-22
Waste Water (zero discharge) Systems 3290 3291 3292 3293 3294 3295 Waste water (zero discharge) taks, pumps and motors Waste water (zero discharge) system fouling Waste water (zero discharge) piping Waste water (zero discharge) valves Waste water (zero discharge) controls and instrumentation Other waste water (zero discharge) problems
Page B-CC-23
Page B-CC-24
Extraction Steam 3520 3521 3522 3529 3530 3531 3532 3539 3540 3541 3542 3549 Electrical 3600 3601 3610 3611 3612 3613 3618 3619 3620 3621 3622 3623 3624 3629 3630 3631 3632 3633 3634 3639 3640 3641 3642 3643 3644 3649 3650 3651 3652 3653 3659 Switchyard transformers and associated cooling systems external (OMC) Switchyard transformers and associated cooling systems external (not OMC) Switchyard circuit breakers external (not OMC) Switchyard circuit breakers external (OMC) Switchyard system protection devices external (OMC) Switchyard system protection devices external (not OMC) Other switchyard equipment external (not OMC) Other switchyard equipment external (OMC) Main transformer Unit auxiliaries transformer Station service startup transformer Auxiliary generators Auxiliary generator voltage supply system Other switchyard or high voltage system problems 400-700-volt transformers 400-700-volt circuit breakers 400-700-volt conductors and buses 400-700-volt insulators 400-700-volt protection devices Other 400-700-volt problems AC instrument power transformers AC Circuit breakers AC Conductors and buses AC Inverters AC Protection devices Other AC instrument power problems DC instrument power battery chargers DC circuit breakers DC conductors and buses DC protection devices Other DC power problems HP Extraction steam piping HP Extraction steam valves HP Extraction steam instruments and controls Other HP extraction steam system problems IP Extraction steam piping IP Extraction steam valves IP Extraction steam instruments and controls Other IP extraction steam system problems LP Extraction steam piping LP Extraction steam valves LP Extraction steam instruments and controls Other LP extraction steam system problems
Page B-CC-25
Auxiliary Systems Open Cooling Water System 3800 3801 3802 3803 3804 3805 3806 3809 Open cooling water pumps and motors Open cooling water piping Open cooling water valves Open cooling water heat exchangers Open cooling water system fouling Open cooling water system instrumentation Open cooling water strainer Other open cooling water problems Service Water (Open System) 3810 3811 3812 3813 3814 3815 3819
Page B-CC-26
Service water pumps and motors Service water piping Service water valves Service water heat exchangers Service water system fouling Service water strainer Other service water problems
Closed Cooling Water Systems 3820 3821 3822 3823 3824 3825 3826 3829 Closed cooling water pumps Closed cooling water piping Closed cooling water valves Closed cooling water heat exchangers Closed cooling water system fouling Closed cooling water instrumentation Closed cooling water strainer Other closed cooling water system problems Auxiliary Steam 3830 3831 3832 3833 3834 3835 3836 3839 Auxiliary boiler Auxiliary steam piping Auxiliary steam valves Auxiliary steam controls and instruments Auxiliary boiler tube leaks Auxiliary boiler burner management system Steam transfer to other unit Other auxiliary steam problems (also see extraction steam codes 3520 to 3529; startup bypass codes 0630 to 0660; and soot blower steam code 0870) Service Air 3840 3841 3842 3843 3844 3849 Service air compressors Service air piping Service air valves Service air dryers Soot blowing air compressor and system Other service air problems Instrument Air 3850 3851 3852 3853 3854 3859 Instrument air compressors Instrument air piping Instrument air valves Instrument air dryers N2 backup to instrument air Other instrument air problems Fire Protection System 3860 3861 3862 3863 3864 3869 Fire protection system pumps Fire protection system piping Fire protection system valves Fire protection system fouling Fire protection system instrumentation and controls Other fire protection system problems
Page B-CC-27
Low-pressure Gas Compression System 3870 3871 3872 3873 3874 3875 3876 3879 3880 3881 3882 3883 3889 Fuel Gas Compressor and Motors Fuel Gas Compressor Piping Fuel Gas Compressor Valves Fuel Gas Compressor Heat Exchangers Fuel Gas Compressor Controls and Instrumentation Fuel Gas Compressor Filters Fuel Gas Compressor Fire System Fuel Gas Compressor Other Seal Air Fans Seal air fan Seal air fan drive - motor Seal air control dampers and drives Seal air filters Other seal air problems Miscellaneous (Auxiliary Systems) 3898 3899 6299 6399 Miscellaneous plant auxiliary process and services instrumentation and controls Other miscellaneous auxiliary system problems Other combined cycle block problems (Use other gas turbine problem codes, other steam turbine codes, etc., whenever appropriate.) Other coal gasification equipment problems
Page B-CC-28

NOx Reduction Systems (Use code 0360 for Low NOx Burners) Selective Non-Catalytic Reduction Systems 8800 8801 8802 8803 8809 Reagent Carrier gas Control system SNCR Performance testing Other SNCR problems
Selective Catalytic Reduction Systems 8810 8811 8812 8813 8814 8815 8816 8817 8820 8821 8822 8823 8825 Reactor Reagent Catalyst Injection grid piping/valves Catalyst support material Soot blowers Plugging Control system SCR NOx Ammonia injection grid piping/valves SCR NOx Ammonia tanks, piping and valves (not injection) SCR NOx Ammonia air blowers SCR NOx Other ammonia system problems Other SCR problems Catalytic Air Heaters 8830 8831 8832 8835 Active catalyst Support materials Plugging Other CAH problems
Page B-CC-29
Page B-CC-30
EXTERNAL
Use this set of codes to report events caused by external factors (flood, lightning, etc); economic factors (lack of fuel, labor strikes, etc.); operator training; and, transmission system problems external to the plant. Catastrophe 9000 9010 9020 9025 9030 9035 9036 9040 Economic 0000 9130 9131 9134 9136 9137 9140 9150 9151 9160 9180 9181 9182 9183 9184 9185 9186 9187 9188 9189 9190 9191 9192 9193 9194 9195 Reserve shutdown Lack of fuel (water from rivers or lakes, coal mines, gas lines, etc) where the operator is not in control of contracts, supply lines, or delivery of fuels Lack of fuel (interruptible supply of fuel part of fuel contract) Fuel conservation Problems with Primary Fuel for Units with Secondary Fuel Operation Ground water or other water supply problems. Plant modifications to burn different fuel that are not regulatory mandated Labor strikes company-wide problems or strikes outside the companys jurisdiction such as manufacturers (delaying repairs) or transportation (fuel supply) problems. Labor strikes direct plant management grievances that result in a walkout or strike are under plant management control. Other economic problems Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Flood Fire, not related to a specific component Lightning Geomagnetic disturbance Earthquake Hurricane Storms (ice, snow, etc) Other catastrophe
Page B-CC-31
Page B-CC-32

Stack Emission (include exhaust emissions) 9600 9603 9604 9610 9613 9614 9620 9623 9624 9630 9633 9634 9650 SO2 stack emissions Fossil SO2 stack emissions Gas Turbine SO2 stack emissions Jet Engines NOx stack emissions Fossil NOx stack emissions Gas Turbine NOx stack emissions Jet Engines Particulate stack emissions Fossil Particulate stack emissions Gas Turbine Particulate stack emissions Jet Engines Opacity Fossil Opacity Gas Turbine Opacity Jet Engines Other stack or exhaust emissions Fossil (use codes 9200 to 9290 if fuel quality causes pollution control equipment problems that result in excess stack emissions) Other stack or exhaust emissions Gas Turbine (use codes 9200 to 9290 if fuel quality causes pollution control equipment problems that result in excess stack emissions) Other stack or exhaust emissions Jet Engines (use codes 9200 to 9290 if fuel quality causes pollution control equipment problems that result in excess stack emissions) Other stack or exhaust emissions testing - Fossil Other stack or exhaust emissions testing Gas Turbine Other stack or exhaust emissions testing Jet Engines
9653
9654
9656 9657 9658
Page B-CC-33
Other Operating Environmental Limitations 9660 9663 9664 9670 9673 9674 9677 9678 9679 9680 9690 9693 9694 Safety 9700 9720 OSHA-related retrofit or inspection Other safety problems Thermal discharge limits Fossil Thermal discharge limits Gas Turbines Thermal discharge limits Jet Engines Noise limits (not for personnel safety) Fossil Noise limits (not for personnel safety) Gas Turbines Noise limits (not for personnel safety) Jet Engines Noise limits testing - Gossil Noise limits testing - Gas Turbine Noise limits testing - Jet Engines Fish kill Other miscellaneous operational environmental limits Fossil Other miscellaneous operational environmental limits Gas Turbines Other miscellaneous operational environmental limits Jet Engines

INACTIVE STATES
PERFORMANCE
9997 9998 9999 NERC Reliability Standard Requirement Black start testing Total unit performance testing (use appropriate codes for individual component testing
Page B-CC-34
Geothermal Units
GEOTHERMAL UNITS INDEX TO SYSTEM/COMPONENT CAUSE CODES

Cause Code Ranges
BOILER
Boiler Piping System
Page No.
0500-0620
B-GE-3
BALANCE OF PLANT
Condensing System Circulating Water Systems Waste Water (zero discharge) Condensate System Electrical Power Station Switchyard Auxiliary Systems Miscellaneous (Balance of Plant) 3110-3199 3210-3285 3290-3299 3300-3399 3600-3690 3700-3730 3810-3899 3950-3999 B-GE-4 B-GE-5 B-GE-6 B-GE-6 B-GE-7 B-GE-7 B-GE-7 B-GE-9
STEAM TURBINE
Low Pressure Turbine Valves Piping Lube Oil Controls Miscellaneous (Steam Turbine) 4200-4250 4260-4269 4270-4279 4280-4289 4290-4314 4400-4499 B-GE-10 B-GE-10 B-GE-10 B-GE-10 B-GE-11 B-GE-11
GENERATOR
Generator Exciter Cooling System Controls Miscellaneous (Generator) 4500-4580 4600-4609 4610-4650 4700-4750 4800-4899 B-GE-12 B-GE-12 B-GE-12 B-GE-13 B-GE-13
MISCELLANEOUS - GEOTHERMAL
Plants and Auxiliaries 6410-6499 B-GE-14
Page B-GE-1
Geothermal Units

Wet Scrubbers Continued Emissions Monitoring Systems (CEMS)
Page No.
8000-8499 8700-8790
B-GE-15 B-GE-16
EXTERNAL
Catastrophe Economic Economic (for internal use at plants only) Miscellaneous (External) 9000-9040 0000, 9130-9160 9180-9199 9300-9340 B-GE-17 B-GE-17 B-GE-17 B-GE-18

Regulatory Safety 9504-9590 9700-9720 9900-9950 0002, 9990-9991 9997-9999 B-GE-19 B-GE-19 B-GE-19 B-GE-19 B-GE-19
Page B-GE-2
Geothermal Units
BOILER
Boiler Piping System Main Steam 0500 0510 0520 0530 Main steam piping up to turbine stop valves Main steam relief/safety valves off superheater Other main steam valves (including vent and drain valves but not including the turbine stop valves) Other main steam system problems
Desuperheaters/Attemperators 0580 0590 0600 0610 0620 Desuperheater/attemperator piping Desuperheater/attemperator valves Desuperheater/attemperator spray nozzles Desuperheater/attemperator drums Other desuperheater/attemperator problems
Page B-GE-3
Geothermal Units
BALANCE OF PLANT
Condensing System Condenser Tubes and Support Equipment 3110 3111 3112 3113 3114 3115 3116 3117 3118 3119 Condenser tube leaks Condenser tube fouling shell side Condenser tube fouling tube side Condenser tube and water box cleaning (including circulating water flow reversal) Air-cooled condenser tubes Air-cooled condenser pumps Air-cooled condenser fans Air-cooled condenser fan motors Other Air-cooled condenser problems Other condenser tube casing or shell and internal problems Condenser Casing or Shell and Internals 3120 3121 3122 3123 3124 3129 Tube sheets Expansion joint Gaskets and seals Hot well Tube sheet fouling Other condenser casing or shell and internal problems Vacuum Equipment 3130 3131 3132 3133 3134 3135 3139 3149 Air ejectors Air ejector piping and valves Inter and after condensers Vacuum pumps Vacuum pump piping and valves Vacuum pump motor and auxiliaries Other air extraction system problems - general Loss of vacuum not attributable to a particular component such as air ejectors or valves; or, high back pressure not attributable to high circulating water temperature, or vacuum losses from a known cause. Condenser Controls 3150 3151 3152 3159 Hot well level controls Vacuum pump and air ejector controls Air-cooled condenser controls Other condensing system controls and instruments
Page B-GE-4
Geothermal Units
Miscellaneous (Condensing System) 3170 3171 3180 3185 3190 3199 Condenser inspection (use code 3110 to report looking for tube leaks) Air-cooled condenser inspections Major condenser overhaul Water side cathodic protection Air leakage (for losses not attributable to previously noted equipment related codes) Other miscellaneous condensing system problems
Circulating Water Systems 3210 3211 3220 3221 3230 3233 3235 3236 3247 3238 3239 3240 3241 3242 3243 3244 3245 3246 3247 3250 3260 3261 3269 3270 3271 3272 3280 3281 3282 3285 Circulating water pumps Circulating water pump motors Circulating water piping Circulating water piping fouling Circulating water valves Circulating water priming system Cooling tower booster pump Cooling tower booster motor Cooling tower instrumentation Cooling tower fan motors Cooling tower fan motors - variable speed Cooling tower fans Cooling tower efficiency below design Cooling tower fill damage Cooling tower icing Cooling tower fires Other cooling tower problems Cooling tower fouling Cooling tower instrumentation Circulating water system instruments and controls Traveling screens Traveling screen fouling Circulating water biological conditions (ie, zebra mussels) Intake system problems other than traveling screens Intake grating fouling Circulating water screenwash system High circulating water temperature (not due to season, tower efficiency below design, or other listed equipment problem) Circulating water tempering system Circulating water cooling ponds Circulating water chemistry
Page B-GE-5
Geothermal Units
Condensate System Pumps, Piping, and Valves 3300 3310 3311 3312 3313 3314 3315 3320 3330 Condensate water pre-treatment Condensate/hotwell pumps Condensate/hotwell pump motor Condensate booster pump Condensate booster pump motor Condensate booster pump motor - variable speed Condensate booster pump drive (other than 3313 and 3314) Condensate piping Condensate valves Miscellaneous (Condensate System) 3360 3370 3380 3399 Electrical 3600 3601 3610 3611 3612 3613 3618 3619 3620 3621 3622 3623 3629 Switchyard transformers and associated cooling systems external (OMC) Switchyard transformers and associated cooling systems external (not OMC) Switchyard circuit breakers external (not OMC) Switchyard circuit breakers external (OMC) Switchyard system protection devices external (OMC) Switchyard system protection devices external (not OMC) Other switchyard equipment external (not OMC) Other switchyard equipment external (OMC) Main transformer Unit auxiliaries transformer Station service startup transformer Auxiliary generators Other switchyard or high voltage system problems - external Condensate makeup and return (including storage tanks) Condensate system controls and instrumentation (not hotwell level, heater level, or deaerator level controls: see codes 3150-3159, 3344, 3502). Condensate coolers Other miscellaneous condensate system problems
Page B-GE-6
Geothermal Units
Electrical (Continued) 3630 3631 3632 3633 3634 3639 3640 3641 3642 3643 3644 3649 3650 3651 3652 3653 3659 3660 3661 3662 3663 3664 3669 3670 3671 3672 3673 3674 3679 3680 3681 3682 3683 3684 3689 3690 400-700-volt transformers 400-700-volt circuit breakers 400-700-volt conductors and buses 400-700-volt insulators 400-700-volt protection devices Other 400-700-volt problems AC instrument power transformers AC Circuit breakers AC Conductors and buses AC Inverters AC Protection devices Other AC instrument power problems DC instrument power battery chargers DC circuit breakers DC conductors and buses DC protection devices Other DC power problems 4000-7000-volt transformers 4000-7000-volt circuit breakers 4000-7000-volt conductors and buses 4000-7000-volt insulators 4000-7000-volt protection devices Other 4000-7000-volt problems 12-15kV transformers 12-15kV circuit breakers 12-15kV conductors and buses 12-15kV insulators 12-15kV protection devices Other 12-15kV problems Other voltage transformers Other voltage circuit breakers Other voltage conductors and buses Other voltage insulators Other voltage protection devices Other voltage problems Station Service Power Distribution System, General
Page B-GE-7
Geothermal Units
Auxiliary Systems Service Water (Open System) 3810 3811 3812 3813 3814 3815 3819 Service water pumps and motors Service water piping Service water valves Service water heat exchangers Service water system fouling Service water strainer Other service water problems Closed Cooling Water Systems 3820 3821 3822 3823 3824 3825 3826 3829 Closed cooling water pumps Closed cooling water piping Closed cooling water valves Closed cooling water heat exchangers Closed cooling water system fouling Closed cooling water instrumentation Closed cooling water strainer Other closed cooling water system problems Auxiliary Steam 3830 3831 3832 3833 3834 3835 3839 Auxiliary boiler Auxiliary steam piping Auxiliary steam valves Auxiliary steam controls and instruments Auxiliary boiler tube leaks Auxiliary boiler burner management system Other auxiliary steam problems (also see extraction steam codes 3520 to 3529; startup bypass codes 0630 to 0660; and soot blower steam code 0870) Service Air 3840 3841 3842 3843 3844 3849 Service air compressors Service air piping Service air valves Service air dryers Soot blowing air compressor and system Other service air problems
Page B-GE-8
Geothermal Units
Instrument Air 3850 3851 3852 3853 3854 3859 Instrument air compressors Instrument air piping Instrument air valves Instrument air dryers N2 backup to instrument air Other instrument air problems Fire Protection System 3860 3861 3862 3863 3864 3869 Fire protection system pumps Fire protection system piping Fire protection system valves Fire protection system fouling Fire protection system instruments and controls Other fire protection system problems Seal Air Fans Seal air fan Seal air fan drive - motor Seal air control dampers and drives Seal air filters Other seal air problems Miscellaneous (Auxiliary Systems) 3898 3899 Miscellaneous plant auxiliary process and services instrumentation and controls Other miscellaneous auxiliary system problems
3880 3881 3882 3883 3889
Miscellaneous (Balance of Plant) 3950 3960 3970 3971 3972 3973 3974 3975 3979 3980 3981 3982 3983 3984 3985 3989 Process computer Thermal derating (thermal efficiency losses in balance of plant when specific cause(s) unknown) Distributive Control System (DCS) process computer DCS data highway DCS hardware problems (including card failure) DCS internal and termination wiring DCS logic problems DCS upgrades Other DCS problems Programmable Logic Controller (PLC) PLC data highway PLC hardware problems (including card failure) PLC internal and termination wiring PLC logic problems PLC upgrades Other PLC problems
Page B-GE-9
Geothermal Units
Miscellaneous (Balance of Plant) (Continued) 3995 3996 3999 Powerhouse heating and ventilating systems Air conditioning systems rooms and areas Other miscellaneous balance of plant problems
Page B-GE-10
Geothermal Units
STEAM TURBINE
Besides the turbine, this set includes the steam stop/control valves, turbine control system, and the turbine auxiliaries. The extraction steam codes are contained in the Balance of Plant set. Low Pressure Turbine 4200 4201 4209 4210 4211 4212 4213 4215 4220 4221 4222 4230 4240 4241 4250 Valves 4260 4261 4262 4263 4264 4265 4266 4267 4268 4269 Piping 4270 4279 Crossover or under piping Miscellaneous turbine piping Main stop valves Control valves Intercept valves Reheat stop valves Combined intercept valves Miscellaneous drain and vent valves Main stop valve testing Control valve testing Reheat/intercept valve testing Other turbine valves Outer casing Inner casing Nozzle bolting Nozzles and nozzle blocks Diaphragms Buckets or blades Bucket or blade fouling Wheels or spindles Shaft seals Dummy rings Gland rings Rotor shaft Bearings Thrust bearings Other low pressure turbine problems
Lube Oil (do not include bearing failures due to lube oil) 4280 4281 4282 4283 4284 4289 Lube oil pumps Lube oil coolers Lube oil conditioners Lube oil system valves and piping Lube oil pump drive Other lube oil system problems
Page B-GE-11
Geothermal Units
Controls 4290 4291 4292 4293 4299 4300 4301 4302 4303 4304 4305 4306 4307 4308 4309 4310 4311 4312 4313 4314 Hydraulic system pumps Hydraulic system coolers Hydraulic system filters Hydraulic system pipes and valves Other hydraulic system problems Turbine supervisory system (use codes 4290 to 4299 for hydraulic oil) Turbine governing system Turbine trip devices (including instruments) Exhaust hood and spray controls Automatic turbine control systems - mechanical Automatic turbine control systems - mechanical - hydraulic Automatic turbine control systems - electro-hydraulic - analog Automatic turbine control systems - electro-hydraulic - digital Automatic turbine control systems - digital control and monitoring Other turbine instrument and control problems Steam Turbine Control System - data highway Steam Turbine Control System - hardware problems (including card failure) Steam Turbine Control System - internal and termination wiring Steam Turbine Control System - logic problems Steam Turbine Control System - upgrades
Page B-GE-12
Geothermal Units
GENERATOR
Page B-GE-13
Geothermal Units
Miscellaneous (Generator) 4800 4805 4810 4830 4831 4840 4841 4850 4860 4899 Generator main leads Generator Bus Duct Cooling System Generator output breaker Major generator overhaul (720 hours or longer) (use for non-specific overhaul only; see page B-1) Minor generator overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-1) Inspection Generator doble testing Core monitor alarm Generator neutral grounding equipment Other miscellaneous generator problems
Page B-GE-14
Geothermal Units
MISCELLANEOUS - GEOTHERMAL
Plant and Auxiliaries 6410 6415 6420 6430 6435 6440 6450 6460 6470 6480 6490 6499 Steam wells/steam field piping problems Low steam pressure Condensate reinjection system Unit H2S emission limitations regulatory Steam field H2S emission limitations regulatory H2S abatement system problems general Heat exchanger problems due to H2S abatement system Condenser problems due to H2S abatement system Cooling tower problems due to H2S abatement system Steam strainer plugging mineral deposits Turbine plugging mineral deposits Geothermal
Page B-GE-15
Geothermal Units

Use this set of codes to report problems with flue gas desulphurization equipment and stack gas particulate removal equipment. If outages or deratings occur due to reasons other than equipment problems, use the set of codes for Regulatory, Safety, Environmental stack emission limits. Wet Scrubbers Chemical Supply 8000 8002 8003 8006 8010 8020 8030 8040 8050 8099 Chemical feed storage, mill feeders, and conveyors Screw conveyors Bucket elevators Weigh feeders Crushers/mills Mill slurry tanks supply problems Classifiers Slurry transfer pumps and motors Chemical unavailability Other chemical supply problems Wet Scrubber 8100 8110 8115 8120 8125 8127 8130 8140 8150 8160 8199 Scrubber/absorber tower or module Spray nozzles Disc scrubber throats Spray pumps and motors Scrubber recycle (liquid) pumps Scrubber recycle (liquid) pump motors Recirculation tanks including agitators Reaction tanks including agitators Tubes Mist eliminators/demisters and washdown Other scrubber problems Piping, Ducting, Dampers, and Fans 8200 8210 8220 8225 8230 8235 8240 8250 8260 8261 Piping Valves Strainers or filters Drain pots Ducting Demister Bypass dampers Dampers other than bypass Scrubber booster I.D. fan (fan specific to the scrubber) Scrubber booster I.D. fan drive
*Use code 9510 for outages or deratings required to install pollution control equipment. Use codes 9600 to 9650 only when the pollution control equipment problems are not responsible for exceeding emission limits.
Page B-GE-16
Geothermal Units
Wet Scrubbers (Continued) 8262 8264 8270 8271 8272 8274 8280 8290 8299 Scrubber booster I.D. fan vibration (fan specific to the scrubber) Scrubber booster I.D. fan blades (fan specific to the scrubber) Scrubber booster F.D. fan (fan specific to the scrubber) Scrubber booster F.D. fan drive Scrubber booster F.D. fan vibration (fan specific to the scrubber) Scrubber booster F.D. fan blades (fan specific to the scrubber) Reagent feed piping Demister wash piping assembly Other piping, ducting, damper, and fan problems Miscellaneous (Wet Scrubber) 8400 8402 8404 8406 8410 8415 8420 8425 8426 8430 8440 8450 8460 8470 8499 Scrubber gas discharge reheaters - general Scrubber gas discharge reheaters - vibration Scrubber gas discharge reheaters - tube leaks Scrubber gas discharge reheaters - ducts Scrubber instruments and controls Liquid level controls Heat tracer Miscellaneous mechanical failures Miscellaneous electrical failures Stack damage related to scrubber system Major overhaul Inspection Testing SO2 monitor Other miscellaneous wet scrubber problems
Page B-GE-17
Geothermal Units
EXTERNAL
Use this set of codes to report events caused by external factors (flood, lightning, etc); economic factors (lack of fuel, labor strikes, etc.); operator training; and, transmission system problems external to the plant. Catastrophe 9000 9010 9020 9025 9030 9035 9036 9040 Economic 0000 9130 9131 9134 9136 9137 9140 9150 9151 9160 9180 9181 9182 9183 9184 9185 9186 9187 9188 9189 9190 9191 9192 9193 9194 9195 Reserve shutdown Lack of fuel (water from rivers or lakes, coal mines, gas lines, etc) where the operator is not in control of contracts, supply lines, or delivery of fuels Lack of fuel (interruptible supply of fuel part of fuel contract) Fuel conservation Problems with Primary Fuel for Units with Secondary Fuel Operation Ground water or other water supply problems. Plant modifications to burn different fuel that are not regulatory mandated Labor strikes company-wide problems or strikes outside the companys jurisdiction such as manufacturers (delaying repairs) or transportation (fuel supply) problems. Labor strikes direct plant management grievances that result in a walkout or strike are under plant management control. Other economic problems Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Flood Fire, not related to a specific component Lightning Geomagnetic disturbance Earthquake Hurricane Storms (ice, snow, etc) Other catastrophe
Page B-GE-18
Geothermal Units
Page B-GE-19
Geothermal Units

Safety 9700 9720 OSHA-related retrofit or inspection Other safety problems

9900 9910 9920 9930 9940 9950 Operator error Maintenance personnel error Contractor error Operating procedure error Maintenance procedure error Contractor procedure error
INACTIVE STATES
PERFORMANCE
Page B-GE-20
Concentrated Solar Power Units
CONCENTRATED SOLAR POWER UNITS INDEX TO SYSTEM/COMPONENT CAUSE CODES

Cause Code Ranges Page No.
SOLAR ENERGY GATHERING EQUIPMENT

Solar Field Thermal Storage Operational Problems 6500-6559 6570-6589 6590-6599 B-CS-3 B-CS-3 B-CS-3
STEAM TURBINE High Pressure Turbine Intermediate Pressure Turbine Low Pressure Turbine Valves Piping Lube Oil Controls Miscellaneous (Steam Turbine) GENERATOR Generator Exciter Cooling System Controls Miscellaneous (Generator) HRSG BOILER
HRSG Boiler Fuel Supply HRSG Boiler Piping System 0358-0480 0540-0570 & 6110-6183 & 0670-0799 0800-0859 6005-6090 1300-1599 1700-1799 1800-1820 1850 1900-1910 1980-1999 & 6000 & 6103 B-CS-9 B-CS-9
4000-4099 4100-4199 4200-4250 4260-4269 4270-4279 4280-4289 4290-4314 4400-4499
B-CS-4 B-CS-4 B-CS-4 B-CS-5 B-CS-5 B-CS-5 B-CS-5 B-CS-6
4500-4580 4600-4609 4610-4650 4700-4750 4800-4899
B-CS-7 B-CS-7 B-CS-7 B-CS-8 B-CS-8
HRSG Boiler Internals and Structures HRSG Boiler Tube Leaks Miscellaneous HRSG Boiler Tube Problems HRSG Boiler Control Systems HRSG Boiler Overhaul and Inspections HRSG Boiler Water Conditions HRSG Boiler Design Limitations Miscellaneous (Boiler)
B-CS-11 B-CS-12 B-CS-12 B-CS-13 B-CS-13 B-CS-13 B-CS-13 B-CS-13
Page B-CS-1
BALANCE OF PLANT Condensing System Circulating Water Systems Waste Water (zero discharge) Systems Condensate System Feedwater Sytem Heater Drain Systems Extraction Steam Electrical Power Station Switchyard Auxiliary Systems Miscellaneous (Balance of Plant) EXTERNAL Catastrophe Economic Fuel Quality Miscellaneous (External) REGULATORY, SAFETY, ENVIRONMENTAL Regulatory Stack Emission Other Generating Environmental Limitations Safety PERSONNEL OR PROCEDURE ERRORS INACTIVE STATES PERFORMANCE 9504-9590 9600-9658 9660-9694 9700-9720 9900-9960 B-CS-24 B-CS-24 B-CS-25 B-CS-25 B-CS-25 9000-9040 0000, 9130-9199 9200-9291 9300-9340 B-CS-22 B-CS-22 B-CS-23 B-CS-23 3110-3199 3210-3285, 3299 3290-3295 3300-3399 3401-3499 3501-3509 3520-3549 3600-3690 3700-3730 3800-3899 6299 & 6399 3950-3999 B-CS-14 B-CS-15 B-CS-16 B-CS-16 B-CS-17 B-CS-17 B-CS-18 B-CS-18 B-CS-19 B-CS-19 B-CS-21
0002, 9990-9991 B-CS-25 9997-9999 B-CS-25
Page B-CS-2
SOLAR ENERGY GATHERING EQUIPMENT

Solar Field 6500 - Cold Header piping 6501 - Cold Header valves 6505 - Hot Header piping 6506 - Hot Header valves 6510 Heat Transfer Fluid (HTF) Expansion Vessel 6521 - Heat Transfer Fluid (HTF) Pumping 6522 - Flow Control (Valves, orifices, etc) 6523 - Heat Transfer Fluid (HTF) Piping 6524 - Solar Collector Assemblies (SCA) 6540 - Parabolic trough mirrors 6541 - Parabolic trough mirror alignment equipment 6545 - Reflective Panels 6546 - Heat Collector Element (HCE) 6547 - Flexible Connections 6548 - Tracking assembly (drive motor, hydraulics, etc) 6559 Other solar field problems Thermal Storage 6570 Expansion vessel 6571 - Hot tank 6572 - Hot tank piping and valves 6575 - Cold tank 6576 - Cold tank piping and valves 6580 - Heat Transfer Fluid (HTF) pump 6581 - Heat Transfer Fluid (HTF) pump motor 6582 - Heat Transfer Fluid (HTF) pump piping and valves 6589 Other thermal storage problems Operational Problems 6590 - No heat due to sunset 6591 - Not sufficient heat due to weather 6599 Other operational problems
Page B-CS-3
STEAM TURBINE
Besides the turbine, this set includes the steam stop/control valves, turbine control system, and the turbine auxiliaries. The extraction steam codes are contained in the Balance of Plant set. High Pressure Turbine 4000 4001 4009 4010 4011 4012 4013 4014 4015 4020 4021 4022 4030 4040 4041 4099 Outer casing Inner casing Nozzle bolting Nozzles and nozzle blocks Diaphragms Buckets or blades Diaphragms unit and shroud type Bucket or blade fouling Wheels or spindles Shaft seals Dummy rings Gland rings Rotor shaft Bearings Thrust bearings Other high-pressure turbine problems
Page B-CS-4
Lube Oil (do not include bearing failures due to lube oil) 4280 4281 4282 4283 4284 4289 Controls 4290 4291 4292 4293 4299 4300 4301 4302 4303 4304 Hydraulic system pumps Hydraulic system coolers Hydraulic system filters Hydraulic system pipes and valves Other hydraulic system problems Turbine supervisory system (use codes 4290 to 4299 for hydraulic oil) Turbine governing system Turbine trip devices (including instruments) Exhaust hood and spray controls Automatic turbine control systems - mechanical Lube oil pumps Lube oil coolers Lube oil conditioners Lube oil system valves and piping Lube oil pump drive Other lube oil system problems
Page B-CS-5
Controls (Continued) 4305 4306 4307 4308 4309 4310 4311 4312 4313 4314 Automatic turbine control systems - mechanical - hydraulic Automatic turbine control systems - electro-hydraulic - analog Automatic turbine control systems - electro-hydraulic - digital Automatic turbine control systems - digital control and monitoring Other turbine instrument and control problems Steam Turbine Control System - data highway Steam Turbine Control System - hardware problems (including card failure) Steam Turbine Control System - internal and termination wiring Steam Turbine Control System - logic problems Steam Turbine Control System - upgrades
Page B-CS-6
GENERATOR
Page B-CS-7
Controls
4700 4710 4720

4730 4740 4750
Generator voltage control Generator metering devices Generator synchronization equipment

Generator current and potential transformers Emergency generator trip devices Other generator controls and metering problems
Miscellaneous (Generator) 4800 4805 4810 4830 4831 4840 4841 4842 4850 4860 4899 Generator main leads Generator Bus Duct Cooling System Generator output breaker Major generator overhaul (720 hours or longer) (use for non-specific overhaul only; see Page B-1) Minor generator overhaul (less than 720 hours) (use for non-specific overhaul only; see Page B-1) Inspection Generator doble testing Reactive and capability testing Core monitor alarm Generator neutral grounding equipment Other miscellaneous generator problems
Page B-CS-8
HEAT RECOVERY STEAM GENERATOR (HRSG) (Waste Heat Boiler)

HRSG Boiler Fuel Supply Burners (Duct Burners) 0358 0359 0360 0361 0370 0380 0385 0410 Oil burner piping and valves Gas burner piping and valves Duct burners Duct burner orfices Duct burner instruments and controls (except light-off) Light-off (igniter) systems (including fuel supply) Igniters Other duct burner problems Oil and Gas Systems (except light-off) 0440 0441 0442 0443 0444 0450 0460 0470 0480 Fuel oil pumps (general) Fuel oil pumps (burner supply) Fuel oil pumps (forwarding/transfer) Fuel oil (burner supply) pump drives Fuel oil (forwarding/transfer) pump drives Fuel oil heaters Fuel oil atomizers Oil and gas fires Other oil and gas fuel supply problems (see codes 0360-0410 for burner problems) Steam System Desuperheaters/Attemperators See cause codes 6140 to 6154 HRSG Boiler Piping System HRSG Startup Bypass See cause codes 6160 to 6183 HRSG Main Steam 6110 6111 HP steam piping up to turbine stop valves Greater than 600 PSIG (see 0790 for piping supports) HP steam relief/safety valves
6112 6113 6120
Other HP steam valves (including vent and drain valves but not including the turbine stop valves) Other HP steam system problems IP steam piping up to turbine stop valves Between 200 & 600 PSIG (see 0790 for piping supports)
Page B-CS-9
HRSG Boiler Piping System (Continued) 6121 6122 6123 6130 6131 6132 6133 6134 IP steam relief/safety valves Other IP steam valves (including vent and drain valves but not including the turbine stop valves) Other IP steam system problems LP steam piping up to turbine stop valves Less than 200 PSIG (see 0790 for piping supports) LP steam relief/safety valves Other LP steam valves (including vent and drain valves but not including the turbine stop valves) Other LP steam system problems Other main steam valves (including vent and drain valves but not including the turbine stop valves) HRSG Cold and Hot Reheat Steam 0540 0541 0550 0560 0561 0570 Reheat steam piping up to turbine stop valves Cold reheat steam piping up to boiler Reheat steam relief/safety valves Other reheat steam valves (not including turbine stop or intercept valves) Other cold reheat steam valves (not including turbine stop or intercept valves) Other reheat steam problems HRSG Desuperheaters/Attemperators 6140 6141 6142 6143 6144 6145 6146 6147 6148 6149 6150 6151 6152 6153 6154 HP Desuperheater/attemperator piping Greater than 600 PSIG. HP Desuperheater/attemperator valves HP Desuperheater/attemperator spray nozzles HP Desuperheater/attemperator drums Other HP desuperheater/attemperator problems IP Desuperheater/attemperator piping Between 200-600 PSIG IP Desuperheater/attemperator valves IP Desuperheater/attemperator spray nozzles IP Desuperheater/attemperator drums Other IP desuperheater/attemperator problems LP Desuperheater/attemperator piping Less than 200 PSIG LP Desuperheater/attemperator valves LP Desuperheater/attemperator spray nozzles LP Desuperheater/attemperator drums Other LP desuperheater/attemperator problems HRSG Startup Bypass 6160 6161 6162 6163 6170 HP Startup bypass system piping (including drain lines up to heaters or condenser)- Greater than 600 PSIG HP Startup bypass system valves HP Startup bypass tanks or flash tanks Other HP startup bypass system problems IP Startup bypass system piping (including drain lines up to heaters or condenser) Between 200-600 PSIG
Page B-CS-10
HRSG Boiler Piping System (Continued) 6171 6172 6173 6180 6181 6182 6183 IP Startup bypass system valves IP Startup bypass tanks or flash tanks Other IP startup bypass system problems LP Startup bypass system piping (including drain lines up to heaters or condenser) Less than 200 PSIG LP Startup bypass system valves LP Startup bypass tanks or flash tanks Other LP startup bypass system problems Feedwater and Blowdown 0670 0680 0690 0700 0710 0720 0730 Feedwater piping downstream of feedwater regulating valve Feedwater valves (not feedwater regulating valve) Other feedwater problems downstream of feedwater regulating valve (use codes 3401 to 3499 for remainder of feedwater system) Blowdown system valves Blowdown system piping Blowdown system controls / instrumentation Other blowdown system problems Boiler Recirculation 0740 0741 0750 0760 0770 Boiler recirculation pumps Boiler recirculation pumps - motors Boiler recirculation piping including downcomers Boiler recirculation valves Other boiler recirculation problems Miscellaneous (Piping) 0775 0780 0782 0790 0799 Economizer piping Headers between tube bundles Headers and caps Pipe hangers, brackets, supports (general) Other miscellaneous piping system problems
HRSG Boiler Internals and Structures 0800 0801 0802 0803 0810 0820 0830 0840 0845 0847 Drums and drum internals (single drum only) HP Drum (including drum level trips not attributable to other causes) IP Drum (including drum level trips not attributable to other causes) LP Drum (including drum level trips not attributable to other causes) Boiler supports and structures (use code 1320 for tube supports) Casing Doors Refractory and insulation Windbox expansion joints Other expansion joints
Page B-CS-11
HRSG Boiler Internals and Structures (Continued) 0848 0850 0855 0856 0857 0858 0859 Inlet panel Other internal or structural problems Drum relief/safety valves (Single drum only) HP Drum relief/safety valves IP Drum relief/safety valves LP Drum relief/safety valves Tube external fins/membranes
HRSG Boiler Tube Leaks (use code 0859 for tube/membrane failures) 6005 6006 6007 6010 6011 6012 6020 6021 6022 6030 6031 6032 6090 HP Evaporator tubes IP Evaporator tubes LP Evaporator tubes HP superheater HP reheater HP economizer IP superheater IP reheater IP economizer LP reheater LP superheater LP economizer Other HRSG tube Problems
Miscellaneous HRSG Boiler Tube Problems 1300 1305 1310 1320 1330 1340 1350 Water side fouling Fireside cleaning (which requires a full outage) Water side cleaning (acid cleaning) Tube supports/attachments Slag fall damage Tube modifications (including addition and removal of tubes) Other miscellaneous boiler tube problems Air Supply
1400 1407 1410 1411 1412 1415 1420 1430 1431 1432 1440 1450
Page B-CS-12
Forced draft fans Forced draft fan lubrication system Forced draft fan motors Forced draft fan motors variable speed Forced draft fan drives (other than motor) Forced draft fan controls Other forced draft fan problems Air supply ducts Air supply dampers from FD fan Air supply duct expansion joints Air supply dampers Other air supply problems
Miscellaneous (Boiler Air and Gas Systems) 1590 1591 1592 1599 Stacks Stack damper and linkage Stack damper linkage motors Other miscellaneous boiler air and gas system problems
HRSG Boiler Control Systems (including instruments which input to the controls) 1700 1710 1720 1730 1740 1750 1760 1761 1762 1799 Feedwater controls (report local controls --- feedwater pump, feedwater regulator valve, etc., --- with component or system) Combustion/steam condition controls (report local controls with component or system) Desuperheater/attemperator controls (not local controls) Boiler explosion or implosion Gage glasses Burner management system Feedwater instrumentation (not local controls) Combustion /Steam condition instrumentation (not local controls) Desuperheater/attemperator instrumentation (not local controls) Other boiler instrumentation and control problems
HRSG Boiler Overhaul and Inspections 1800 1801 1810 1811 1812 1820 Major boiler overhaul (720 hours or more) (use for non-specific overhaul only; see page B-1) Minor boiler overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-1) Other boiler inspections Boiler Inspections problem identification/investigative Boiler Inspections scheduled or routine Chemical cleaning/steam blows
HRSG Boiler Water Condition 1850 Boiler water condition (not feedwater water quality)
HRSG Boiler Design Limitations 1900 1910 Improper balance between tube sections not due to fouling or plugging Inadequate air not due to equipment problems
Miscellaneous (Boiler) (use more specific codes other slagging and fouling problems, other control problems, etc. X whenever possible. Describe miscellaneous problems in the verbal description.) 1980 6000 6100 1990 1999 Boiler safety valve test HRSG Boiler to gas turbine connecting equipment. Steam turbine to gas turbine coupling Boiler performance testing (use code 9999 for total unit performance testing) Boiler, miscellaneous
Page B-CS-13
BALANCE OF PLANT
Condensing System Condenser Tubes 3110 3111 3112 3113 3114 3115 3116 3117 3118 3119 Condenser tube leaks Condenser tube fouling shell side Condenser tube fouling tube side Condenser tube and water box cleaning (including circulating water flow reversal) Air-cooled condenser tubes Air-cooled condenser pumps Air-cooled condenser fans Air-cooled condenser fan motors Other Air-cooled condenser problems Other air-cooled condenser tube casing or shell and internal problems Condenser Casing or Shell and Internals 3120 3121 3122 3123 3124 3129 Tube sheets Expansion joint Gaskets and seals Hot well Tube sheet fouling Other condenser casing or shell and internal problems Vacuum Equipment 3130 3131 3132 3133 3134 3135 3139 3149 Air ejectors Air ejector piping and valves Inter and after condensers Vacuum pumps Vacuum pump piping and valves Vacuum pump motor and auxiliaries Other air extraction system problems - general Loss of vacuum not attributable to a particular component such as air ejectors or valves; or, high back pressure not attributable to high circulating water temperature, or vacuum losses from a known cause. Condenser Controls 3150 3151 3152 3159 Hot well level controls Vacuum pump and air ejector controls Air-cooled condenser controls Other condensing system controls and instruments
Page B-CS-14
Circulating Water Systems 3210 3211 3220 3221 3230 3233 3235 3236 3238 3239 3240 3241 3242 3243 3244 3245 3246 3247 3250 3260 3261 3269 3270 3271 3272 3273 3280 3281 3282 3285 3299 Circulating water pumps Circulating water pump motors Circulating water piping Circulating water piping fouling Circulating water valves Circulating water priming system Cooling tower booster pump Cooling tower booster motor Cooling tower fan motors Cooling tower fan motors - variable speed Cooling tower fans Cooling tower efficiency below design Cooling tower fill damage Cooling tower icing Cooling tower fires Other cooling tower problems Cooling tower fouling Cooling tower instrumentation Circulating water system instruments and controls Traveling screens Traveling screen fouling Circulating water biological conditions (ie, zebra mussels) Intake system problems other than traveling screens Intake grating fouling Circulating water screenwash system Debris in circulating water from outside sources (leaves, mud, etc.) High circulating water temperature (not due to season, tower efficiency below design, or other listed equipment problem) Circulating water tempering system Circulating water cooling ponds Circulating water chemistry Other circulating water system problems
Page B-CS-15
Waste Water (zero discharge) Systems 3290 3291 3292 3293 3294 3295 Waste water (zero discharge) taks, pumps and motors Waste water (zero discharge) system fouling Waste water (zero discharge) piping Waste water (zero discharge) valves Waste water (zero discharge) controls and instrumentation Other waste water (zero discharge) problems
Page B-CS-16
Page B-CS-17
Extraction Steam 3520 3521 3522 3529 3530 3531 3532 3539 3540 3541 3542 3549 Electrical 3600 3601 3610 3611 3612 3613 3618 3619 3620 3621 3622 3623 3624 3629 3630 3631 3632 3633 3634 3639 3640 3641 3642 3643 3644 3649 3650 3651 Switchyard transformers and associated cooling systems external (OMC) Switchyard transformers and associated cooling systems external (not OMC) Switchyard circuit breakers external (not OMC) Switchyard circuit breakers external (OMC) Switchyard system protection devices external (OMC) Switchyard system protection devices external (not OMC) Other switchyard equipment external (not OMC) Other switchyard equipment external (OMC) Main transformer Unit auxiliaries transformer Station service startup transformer Auxiliary generators Auxiliary generator voltage supply system Other switchyard or high voltage system problems 400-700-volt transformers 400-700-volt circuit breakers 400-700-volt conductors and buses 400-700-volt insulators 400-700-volt protection devices Other 400-700-volt problems AC instrument power transformers AC Circuit breakers AC Conductors and buses AC Inverters AC Protection devices Other AC instrument power problems DC instrument power battery chargers DC circuit breakers HP Extraction steam piping HP Extraction steam valves HP Extraction steam instruments and controls Other HP extraction steam system problems IP Extraction steam piping IP Extraction steam valves IP Extraction steam instruments and controls Other IP extraction steam system problems LP Extraction steam piping LP Extraction steam valves LP Extraction steam instruments and controls Other LP extraction steam system problems
3652 3653 3659
DC conductors and buses DC protection devices Other DC power problems
Page B-CS-18
Auxiliary Systems Open Cooling Water System 3800 3801 3802 3803 3804 3805 3806 3809 Open cooling water pumps and motors Open cooling water piping Open cooling water valves Open cooling water heat exchangers Open cooling water system fouling Open cooling water system instrumentation Open cooling water strainer Other open cooling water problems Service Water (Open System) 3810 3811 3812 3813 3814 3815 Service water pumps and motors Service water piping Service water valves Service water heat exchangers Service water system fouling Service water strainer
3819
Other service water problems

Page B-CS-19
Closed Cooling Water Systems 3820 3821 3822 3823 3824 3825 3826 3829 Closed cooling water pumps Closed cooling water piping Closed cooling water valves Closed cooling water heat exchangers Closed cooling water system fouling Closed cooling water instrumentation Closed cooling water strainer Other closed cooling water system problems Auxiliary Steam 3830 3831 3832 3833 3834 3835 3836 3839 Auxiliary boiler Auxiliary steam piping Auxiliary steam valves Auxiliary steam controls and instruments Auxiliary boiler tube leaks Auxiliary boiler burner management system Steam transfer to other unit Other auxiliary steam problems (also see extraction steam codes 3520 to 3529; startup bypass codes 0630 to 0660; and soot blower steam code 0870) Service Air 3840 3841 3842 3843 3844 3849 Service air compressors Service air piping Service air valves Service air dryers Soot blowing air compressor and system Other service air problems Instrument Air 3850 3851 3852 3853 3854 3859 Instrument air compressors Instrument air piping Instrument air valves Instrument air dryers N2 backup to instrument air Other instrument air problems Fire Protection System 3860 3861 3862 3863 3864 3869 Fire protection system pumps Fire protection system piping Fire protection system valves Fire protection system fouling Fire protection system instrumentation and controls Other fire protection system problems
Page B-CS-20
Low-pressure Gas Compression System 3870 3871 3872 3873 3874 3875 3876 3879 Fuel Gas Compressor and Motors Fuel Gas Compressor Piping Fuel Gas Compressor Valves Fuel Gas Compressor Heat Exchangers Fuel Gas Compressor Controls and Instrumentation Fuel Gas Compressor Filters Fuel Gas Compressor Fire System Fuel Gas Compressor Other Seal Air Fans 3880 3881 3882 3883 3889 Seal air fan Seal air fan drive - motor Seal air control dampers and drives Seal air filters Other seal air problems Miscellaneous (Auxiliary Systems) 3898 3899 6299 6399 Miscellaneous plant auxiliary process and services instrumentation and controls Other miscellaneous auxiliary system problems Other combined cycle block problems (Use other gas turbine problem codes, other steam turbine codes, etc., whenever appropriate.) Other coal gasification equipment problems
Page B-CS-21
EXTERNAL
Use this set of codes to report events caused by external factors (flood, lightning, etc); economic factors (lack of fuel, labor strikes, etc.); operator training; and, transmission system problems external to the plant. Catastrophe 9000 9010 9020 9025 9030 9035 9036 9040 Economic 0000 9130 9131 9134 9136 9137 9140 9150 9151 9160 9180 9181 9182 9183 9184 9185 9186 9187 9188 9189 9190 9191 9192 9193 9194 9195 9196 Reserve shutdown Lack of fuel (water from rivers or lakes, coal mines, gas lines, etc) where the operator is not in control of contracts, supply lines, or delivery of fuels Lack of fuel (interruptible supply of fuel part of fuel contract) Fuel conservation Problems with Primary Fuel for Units with Secondary Fuel Operation Ground water or other water supply problems. Plant modifications to burn different fuel that are not regulatory mandated Labor strikes company-wide problems or strikes outside the companys jurisdiction such as manufacturers (delaying repairs) or transportation (fuel supply) problems. Labor strikes direct plant management grievances that result in a walkout or strike are under plant management control. Other economic problems Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only) Flood Fire, not related to a specific component Lightning Geomagnetic disturbance Earthquake Hurricane Storms (ice, snow, etc) Other catastrophe
Page B-CS-22
Economic (Continued) 9197 9198 9199 Economic (for internal use at plants only) Economic (for internal use at plants only) Economic (for internal use at plants only)
Page B-CS-23

Stack Emission (include exhaust emissions) 9600 9603 9604 9610 9613 9614 9620 9623 9624 9630 9633 9634 9650 SO2 stack emissions Fossil SO2 stack emissions Gas Turbine SO2 stack emissions Jet Engines NOx stack emissions Fossil NOx stack emissions Gas Turbine NOx stack emissions Jet Engines Particulate stack emissions Fossil Particulate stack emissions Gas Turbine Particulate stack emissions Jet Engines Opacity Fossil Opacity Gas Turbine Opacity Jet Engines Other stack or exhaust emissions Fossil (use codes 9200 to 9290 if fuel quality causes pollution control equipment problems that result in excess stack emissions) Other stack or exhaust emissions Gas Turbine (use codes 9200 to 9290 if fuel quality causes pollution control equipment problems that result in excess stack emissions) Other stack or exhaust emissions Jet Engines (use codes 9200 to 9290 if fuel quality causes pollution control equipment problems that result in excess stack emissions) Other stack or exhaust emissions testing - Fossil Other stack or exhaust emissions testing Gas Turbine Other stack or exhaust emissions testing Jet Engines
9653
9654
9656 9657 9658
Page B-CS-24
Other Operating Environmental Limitations 9660 9663 9664 9670 9673 9674 9677 9678 9679 9680 9690 9693 9694 Safety 9700 9720 OSHA-related retrofit or inspection Other safety problems Thermal discharge limits Fossil Thermal discharge limits Gas Turbines Thermal discharge limits Jet Engines Noise limits (not for personnel safety) Fossil Noise limits (not for personnel safety) Gas Turbines Noise limits (not for personnel safety) Jet Engines Noise limits testing - Gossil Noise limits testing - Gas Turbine Noise limits testing - Jet Engines Fish kill Other miscellaneous operational environmental limits Fossil Other miscellaneous operational environmental limits Gas Turbines Other miscellaneous operational environmental limits Jet Engines

INACTIVE STATES
PERFORMANCE
Page B-CS-25
Page B-CS-26
Appendix C Utility and Unit Identification Codes

Utility Identification Code NERC assigns each utility participating in the Generating Availability Data System (GADS) a unique identification code. This three digit code allows each system's data to be uniquely catalogued and filed in the database. This Appendix contains a list of the codes for each utility system presently participating or assigned a NERC GADS utility code. Unit Identification Code Each utility participating in GADS assigns unique identification codes to its units. This three digit code allows each unit's data to be uniquely catalogued and filed in the database. Note that each utility must assign identification codes for individual units based on the following criteria:
Unit Type Fossil (Steam) (Use 600-649 if additional numbers are needed) Nuclear Combustion Turbines (Gas Turbines or Jet Engines) (Use 700-799 if additional numbers are needed) Diesel Engines Hydro/Pumped Storage (Use 900-999 if additional numbers are needed) Fluidized Bed Combustion Miscellaneous (Multi-Boiler/Multi-Turbine, Geothermal, Combined Cycle Block, Concentrated Solar Power, etc.) Coding Series 100 - 199 200 - 299 300 - 399 400 - 499 500 - 599 650 - 699 800 - 899
Page C-1
Non-Regional Member Utilities

Utility Code
008 010 011 012 013 014 015 021 022 023 024 025 026 030 031 032 033 034 049 050 051 052 053 054 061 062 063 064 065 066 067 068 069 097 099 0AA 0AB 0AC 0AD 0AE 0AF OAG 0AH 0AI 0AJ 0AK
Page C-2
Utility Name
Emera Energy Hawaiian Electric Co., Inc. AES Hawaii Kaua`i Island Utility Co-op Hydro-Quebec Production A Hydro-Quebec Production B Constellation Energy Commodities Group (Canada) Calpine - Europe Ecoelectrica L.P. Comisin Federal de Electricidad EDF S.A. (Electricitie de France) Israel Electric Company Itabo Power - Dominican Republic AES South America/Mexico AES Europe AES Asia AES Africa AES Australia PLN LITBANG (Indonesian State Electricity Enterprise) (Indonesia) Tenaga Nasional Power Saudi Electric Company - Central Operating Area Saudi Electric Company - Western Operating Area Saudi Electric Company - Eastern Operating Area Saudi Electric Company - Southern Operating Area Endesa (Italy) AEM S.p.A. Milano (Italy) Tirreno Power (Italy) Acea Electrabel Produzione S.p.A.(Italy) ISAB energy S.r.I. (Italy) NU.CE.S.p.A.(Italy) Raffineria di Gela S.p.A.(Italy) AEM Torino S.p.A. (Italy) Raffineria di Milazzo (Italy) American National Power NPCC Pawtucket Power RWE Power AG (Germany) Scottish and Southern Energy (UK) Essent Energy (Netherlands) Electric Supply Board of Ireland Scotish Power (UK) Stadtwerk Bremen (Germany) Conoco Phillips (UK) NUON (Neitherlands) Intergen - Europe EDP Produco (Portugal) Drax Power Limited, Selby, North Yorkshire, UK
Non-Regional Member Utilities (Continued)

Utility Code
0AL 0AM OAN 0HA 0H1 0IA 0IB 0IC 0NA 0NB 0NC OND 0RA 0RB 0VA 0VB 0VC 0VD 0WA
Utility Name
International Power Plc, London, UK Energie Baden-Wrttemberg AG ATCO Power NTPC Limited (India) Gujarat Paguthan Energy Corp. (GPEC) (Bharuch, Gujarat, India) Guohua Power Co. Ltd (Beijing, China) InterGen Asia Petronas (Malaysia) Eskom (South Africa) InterGen Africa Sasol Limited Africa Jorf Lasfar Energy Company InterGen Australia Guam Power Authority Brookfield Power (Brazil) Pantanal Energia (Brazil) Braskem Utilities Division (Brazil) InterGen South America/Mexico Grand Bahamas Power
Page C-3
Northeast Power Coordinating Council (NPCC)

Northeast Power Coordinating Council 1040 Avenue of the Americas (6th Avenue) 10th Floor New York, New York 10018-3703 212-840-1070 212-302-2782 Fax Utility Code
003 004 043 1A0 1A1 1B1 1B2 1C1 1D1 1E1 1F1 1G1 1H1 1I1 1J1 1K1 1L1 1M1 1N1 1P1 1R1 1T1 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114
Page C-4
Utility Name
Ontario Power Generation, Inc. New Brunswick Electric Power Commission Nova Scotia Power Inc. Brookfield Power Brookfield Power Dominion Energy (NPCC) Exelon New England Holding James A. Goodman, as Receiver Waterside Power LLC BG North America LLC (NPCC) Matep LLC Androscoggin Energy Center UPC Wind Hingham Municipal Lighting Plant Westfield Gas & Electric Light Department Hampshire Paper Co Noble Environmental Power First Wind Energy, LLC Saranac Energy Princeton Municipal Light Department Black Bear Hydro Partners LLC LS Power (Bridgeport) Brookfield Power Boston Edison Company Constellation Energy (NPCC) Bangor Hydro (USA) Dynegy-Northeast Central Maine Power Company Holyoke Gas & Electric Department Connecticut Light and Power Co. (NE) Consolidated Edison Co. of New York, Inc. Glenwood Energy Center (Keyspan Energy - Parent) Fort Jefferson Energy Center (Keyspan Energy - Parent) Connecticut Light and Power Co. (NE) Holyoke Water Power Co. (NE) National Grid (Keyspan Energy) Chicopee Municipal Lighting
Northeast Power Coordinating Council (NPCC) (Continued)

115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 TransCanada Commonwealth Energy System N.Y. State Electric & Gas Corp. NRG Energy Mirant New York New York Power Authority Public Service of New Hampshire (NE) Rochester Gas & Electric Corp. Wisvest-Connecticut, LLC W. Massachusetts Electric Co. (NE) Yankee Atomic Electric Co. Massachusetts Municipal Wholesale Electric Co. Dominion Energy (NPCC) Connecticut Yankee Atomic Power Co. Montaup Electric Co. ARC-SEMASS Exelon Generation (New England) Global Common Greenport LLC FPL Energy (NPCC) Nantucket Electric Kimberly-Clark Mirant New England Ocean State Power American National Power Penobscot Hydro LLC TransCanada Ravenswood NRG Energy New England Ipswich Municipal Light Department VAE Lowell Power Entergy Nuclear Northeast Berkshire Power Company, LLC Massachusetts Bay Transportation Authority Brainstree Electric Light Department Indeck Pepperell Power Milford Power Co. Connecticut Municipal Electric Energy Coop. US Power Generating Co. (USPowerGen) NRG Energy New York Ogden Martin Babylon YESCo Power Calpine (NPCC) Columbia/ZAPCO Montenay Power Covanta Energy Corp. Nissequogue Cogen Marblehead Municipal Light Department PPL Generation Co. (New England) Equus Power One, LP (number was Aquila - NPCC) Wyeth-Ayerst Pharmaceuticals
Page C-5
Northeast Power Coordinating Council (NPCC) (Continued)

164 165 166 167 168 169 170 171 172 173 174 175 176 177 178 179 180 181 182 183 184 185 186 187 188 189 190 191 192 193 194 195 196 197 198 199 NAEA Energy Systems Northeast (ESNE) AES Energy (NPCC) Taunton Municipal Light Shrewsbury Electric Light Plant Granite Ridge Energy Masspower Unitil Power Corp. Fitchburg Gas and Electric Light Co. NextEra Energy Resources Seabrook Station Covanta Haverhill, Inc. Wheelabrator Millbury, Inc. Wheelabrator Technologies, Inc. Barre Energy Partners, L.P./Zahren Alternative Power Company Ridgewood Providence Power Partners, L.P. Waste Management of New Hampshire, Inc. Suncook Energy LLC Massachusetts Water Resources Authority Vermont Electric Power Co. CHI Energy Hafslund U.S.A., Inc. American Paper Mills of VT Hudson Light & Power Sterling Municipal Electric Light Department Chicopee Hydro Electric Limited Partnership Swift River Co. Northeast Generation Co. PS&H IPPS Boralex Operation Inc. Pioneer Electric Hydro Co., Inc. Connecticut Resources Recovery Authority Springfield Water and Sewer Commission Dynegy Peabody Municipal Light New Hampshire Electric Cooperative, Inc. Indeck Pepperill Power Associates
Page C-6
ReliabilityFirst Corporation (RFC)

ReliabilityFirst Corporation 320 Springside Drive, Suite 300 Akron, Ohio 44333 330-456-2488 Utility Code
201 202 203 204 205 206 208 209 211 212 213 214 215 216 220 221 222 223 224 225 226 227 228 229 230 231 232 233 234 235 236 237 238 239 240 241 242 243 244 245
Utility Name
Atlantic Electric Co. Constellation Energy (Baltimore Gas and Electric) Delaware Municipal Utilities Delmarva Power & Light Co. Jersey Central Power & Light Co. Easton Utilities Commission First Energy (Metropolitan Edison Co.) Vineland Municipal Electric Utilities Pennsylvania Electric Company (FirstEnergy) PPL Corp. Exelon (PECO) Potomac Electric Power Co. Public Service Electric and Gas Co. UGI Corporation EME Homer City Generation L.P. Cinergy Capital & Trading, Inc. PEI Power Corporation FPL Energy Willamette Industries, Inc. Crown Vantage Williams Energy Statoil Energy American Ref-fuel First Energy Integrys Energy Services Pedricktown Cogen Amergen Lebanon Methane Recovery Commonwealth Chesapeake Mirant Mid Atlantic RRI Energy, Inc. - East RRI Energy, Inc. - Central RRI Energy, Inc. - West Bethlehem Steel El Paso Merchant Energy (RFC) Sempra NRG Energy-Mid Atlantic Algonquin Power Convanta Energy Delaware Municipal Electric Cooperative
Page C-7
ReliabilityFirst Corporation (RFC) (Continued)

246 247 248 249 250 251 252 253 254 255 256 257 258 259 260 261 262 263 264 265 266 267 268 269 270 271 272 273 274 275 276 277 278 350 401 402 403 404 405 406 407 408 409 410 411 412 413
Page C-8
Mt. Carmel NUG NAEA Old Dominion Electric Cooperative AES Energy (RFC) Calpine Corporation (RFC) Premcor Refinery Group JARON & CO Dominion Energy (RFC) East Coast Power SUNOCO Newmarket Power Company, LLC Liberty Electric Power, LLC Brascan Power Marina Energy Ontelaunee Power Operating Co. Allegheny Energy Supply (AETS) Brookfield Power (RFC) Corona Power Constellation New Energy Cape May Holdings Ingenco (RFC) RPL Holdings Inc. Pa Renewable Resources Assoc. Hazelton Generation, LLC EFS Parlin Wheelabrator Frackville Viking Energy Horsehead Corp. Ameresco Monmouth Energy NEPCO Harwood Kimberly Clark Corp. Pioneer Crossing Energy, LLC Emporia Hydro Appalachian Power Co. (AEP) Central Operating Company (AEP) Cinergy First Energy (formerly Cleveland Electric Illuminating Co.) Columbus Southern Power Co. (AEP) Consumers Energy Dayton Power and Light Co. DTE Energy Co. Duquesne Light East Kentucky Power Indiana Michigan Power Co. (AEP) Indiana-Kentucky Electric Corp. (OVEC) Indianapolis Power & Light Co. (The AES Corp.)

414 418 419 420 421 422 424 425 426 427 430 431 432 433 434 435 436 437 438 439 440 441 442 443 444 445 446 447 448 449 450 451 452 453 454 455 456 457 458 459 460 461 464 465 466 467 468 469 470 Kentucky Power Co. (AEP) Northern Indiana Public Service Co. First Energy (formerly Ohio Edison) Ohio Power Co. (AEP) Ohio Valley Electric Corp. (OVEC) Pennsylvania Power Co. (FirstEnergy) Cinergy (formerly Public Service Co. of Indiana, Inc.) Vectren Power (formerly So Indiana Gas and Electric Co.) First Energy (formerly Toledo Edison Co.) Allegheny Energy Supply (formerly West Penn Power Co.) Cinergy RRI Energy, Inc. (RFC) DTE Georgetown, LLC Calpine Corporation El Paso Merchant Energy Constellation Energy AEP - Lawrence Duke Energy Trading Mirant (RFC) AES (RFC) DPL Energy LLC AMP - Ohio Indiana Municipal Power Agency (IMPA) NRG Energy International Power Dynegy Generation PSE&G Hoosier Energy Department of Municipal Services (DMS) (WYand) Tenaska (RFC) Buckeye Power Sugar Creek Power Co LLC Entergy Nuclear Northeast (RFC) Tenaska (New Covert) Midland Cogeneration Venture, L.P. Bear Energy LP Michigan South Central Power Agency DTE Energy Trading CMS Enterprise BP Energy White Pine Electric Power LLC Southwestern Electric Cooperative Inc Michigan Public Power Agency City of Escanaba, Michigan Bluegrass Generation Co., LLC Big River Electric Coop. City of Painsville, Ohio Norway, Michigan Power & Light Lansing Board of Water & Light
Page C-9

502 503 504 506 507 508 509 510 511 514 516 517 518 520 521 522 523 524 525 526 527 528 529 530 531 532 533 534 535 537 538 539 540 541 542 543 544 545 546 547 548 550 555 556 557 558 Constellation Energy Ameren (CILCO) Ameren (CIPS) Exelon (ComEd) Electric Energy, Inc. Dynegy Midwest Generation (formerly Illinois Power Co.) Elwood Energy LLC Midwest Generation EME Tenaska (University Park) Southern Illinois Power Coop. City Water, Light and Power (Springfield) Ameren - UE PPL Generation Co. Madison Electric and Gas Co. Wisconsin Electric Power Co. Alliant Energy (Wisconsin P&L) Wisconsin Public Service Corp. Calpine Corporation (RFC) El Paso Merchant Energy RRI Energy, Inc. Duke Energy Trading Dominion Energy Tenaska (Lincoln) City of Rochelle, Illinois Tenaska (Crete) Exelon Generation, LLC Wisconsin Public Power Inc. Dynegy NRG Energy Diamond Generating Corp. City of Geneva, IL Calpine Corporation (RFC) Upper Peninsula Power Company (UPPCO) Wisconsin River Power Company (WRPCO) Kaukauna Utilities River Falls Municipal Utilities Independence Light & Power Prairie Power Gen-Sys Energy International Power Columbia Missouri Water and Light City of Sikeston Capital Co-generation LLC LS Power Marshfield Utilities Prairieland Energy Inc.
Page C-10

607 608 612 Alliant Energy (formerly Interstate Power) Alliant Energy (formerly IES Utilities) Alliant Energy (formerly IES Utilities)
Page C-11
SERC Reliability Corporation (SERC)

SERC Reliability Corporation 2815 Coliseum Centre Drive, Suite 500 Charlotte, NC 28217 704-357-7372 Utility Code
301 302 303 304 307 311 312 313 315 316 318 319 320 321 323 325 326 327 328 329 330 331 332 333 334 335 336 339 340 341 342 344 345 346 348 349 351 352
Utility Name
PowerSouth Energy Cooperative (formerly Alabama Electric Coop., Inc.) Alabama Power Co. (Southern Company) Progress Energy - Carolinas Southern Power (SOCO) Duke Energy (Duke Power Company) Old Dominion Electric Cooperative Georgia Power Co. (SOCO) Gulf Power Co. Mississippi Power Co. (SOCO) Municipal Electric Authority of Georgia Savannah Electric and Power Co. (SOCO) South Carolina Electric & Gas Co. So. Carolina Public Service Authority So. Mississippi Electric Power Association Southern Electric Gen. Co. (SOCO) Alcoa Power Generating (Tapoco, Inc.) Tennessee Valley Authority Allegheny Energy Supply (SERC) Virginia Power-Dominion Constellation Energy Seminole Electric Coop., Inc. Oglethorpe Power Coop. Calpine Corporation (SERC) El Paso Merchant Energy-SERC/FRCC Aquila-SERC Duke Energy Trading (SERC) West Georgia Generating Co. Intergen (SERC) Tenaska (SERC) Southeastern Power Administration Coral Power (SERC) North Carolina Electric Membership Corp. Ingenco Wholesale Power, LLC Dynegy Generation (SERC) Progress Ventures, Inc. Batesville Generating Facility (LSP Energy LP) DeSoto County Generating Co., LLC Magnolia Energy, LP
Page C-12
SERC Reliability Corporation (SERC) (Continued)

415 416 703 717 722 723 728 739 Kentucky Utilities Co. (E.ON-US) Louisville Gas and Electric Co. (E.ON-US) Arkansas Power and Light Co. (Entergy) Gulf States Utilities Co. (Entergy) Louisiana Power and Light Co. (Entergy) Mississippi Power and Light Co. (Entergy) New Orleans Public Service, Inc. (Entergy) System Energy Resources, Inc. (Entergy)
Page C-13
Florida Reliability Coordinating Council (FRCC)

Florida Reliability Coordinating Council Austin Towers West 1408 N. Westshore Boulevard, Suite 1002 Tampa, Florida 33607-4512 813-289-5644 813-289-5646 Fax Utility Code
305 306 308 309 310 314 317 324 343 347
Utility Name
Tallahassee Electric Department Constellation Energy (FRCC) Florida Power & Light Co. Progress Energy - Florida Mirant FRCC Jacksonville Electric Authority Orlando Utilities Commission Tampa Electric Company Florida Municipal Power Agency Lakeland Electric (FRCC)
Page C-14
Midwest Reliability Organization (MRO)

Midwest Reliability Organization 2774 Cleveland Avenue North Roseville, Minnesota 55113 651-855-1760 Utility Code
005 044 601 603 605 606 609 610 611 614 615 616 617 618 619 620 621 622 623 624 625 626 627 628 629 630 631 632 633 634 635 636 638 640 641 643 644 645 646 647
Utility Name
Manitoba Hydro-Electric Board SaskPower Basin Electric Power Coop., Inc. Great River Energy (Coop. Power) Dairyland Power Coop. Central Iowa Power Coop. MidAmerican Energy Co. (formerly Iowa-Illinois Gas and Electric Co.) MidAmerican Energy Co. (formerly Midwest Power and Iowa Power Inc.) MidAmerican Energy Co. (formerly Midwest Power and Iowa Public Service) Lincoln Electric System Otter Tail Power Co. Minnesota Power Minnkota Power Coop., Inc. Montana-Dakota Utilities Co. Muscatine Power & Water Nebraska Public Power District Xcel Energy (Northern States Power Co.) NorthWestern Energy Omaha Public Power District Great River Energy (formerly United Power Association) Western Area Power Administration Missouri Basin Minnkota Power Coop., Inc. (formerly Square Butte Electric Coop.) Calpine Corporation (MRO) El Paso Merchant Energy (MRO) Minnesota Municipal Power Agency Wolverine Power Supply Cooperative Inc. Manitowoc Public Utilities Southern Minnesota Municipal Power Agency Resale Power Group Hutchinson Utilities NextEra Energy Resources Silver Bay Power Maquoketa Municipal Electric Utility Preston Iowa Municipal Electric Utility Trigen St. Louis Energy Corp. Willmar Municipal Utilities Ames Municipal Electric System Delano Municipal Utilities Detroit Lakes Public Utilities
Page C-15
Midwest Reliability Organization (MRO) (Continued)

648 649 650 651 652 Cargill Power Markets, LLC City of Pella, IA Larentian Energy Authority Indianola Municipal Utilities Marshall Municipal Utilities
Page C-16
Southwest Power Pool (SPP)

Southwest Power Pool, Inc. 415 North McKinley, Suite 140 Little Rock, Arkansas 72205-3020 501-664-0146 Utility Code
704 708 709 715 716 718 719 720 729 730 732 733 734 735 737 740 750 751 752 753 754 755 756 757
Utility Name
Associated Electric Coop., Inc. Central Louisiana Electric Co. Denver City Energy Associates Empire District Electric Co. Grand River Dam Authority Kansas City Power & Light Co. Westar Energy (KGE) Westar Energy (KPL) Oklahoma Gas and Electric Co. American Electric Power West (Public Service Co. of Oklahoma) American Electric Power West (Southwestern Electric Power Co.) Southwestern Power Administration Xcel Energy (Southwestern Public Service Co.) Sunflower Electric Power Corporation Western Farmers Electric Cooperative NRG Energy (Louisiana Generating, LLC) Borger Energy Associates (BEA) Calpine Corporation (SPP) El Paso Merchant Energy-SPP AES - SPP Intergen Corp (SPP) Tenaska (SPP) Brookfield Power (SPP) Dogwood Energy LLC
Page C-17
Texas Regional Entity (TRE)

Texas Regional Entity 2700 Via Fortuna, Suite 225 Austin, Texas 78746 512-225-7000 Utility Code
801 802 803 804 805 806 807 808 810 811 812 815 819 828 838 839 840 841 842 854 868 879 880 884 887 888 889 894
Utility Name
Austin Energy (formerly Austin Electric Department) Exelon Generation (Texas) Constellation Energy (TRE) AES (TRE) Intergen Corp (TRE) Tenaska (TRE) International Power Brazos Electric Power Coop., Inc. Calpine Corporation (TRE) El Paso Merchant Energy (TRE) Topaz Power Group, LLC GIM Channelview Cogeneration Luminant Power Garland Power & Light Co. American National Power Mirant (TRE) NRG Texas (formerly Texas Genco LLC) Reliant Energy (TRE) Optim Energy, LLC Lower Colorado River Authority CPS Energy (San Antonio City Public Service) Luminant Power Luminant Power American Electric Power West (West Texas Utilities Co.) Luminant Power Texas Municipal Power Agency San Miguel Electric Coop., Inc. Luminant Power
Page C-18
Western Electricity Coordinating Council (WECC)

Western Electricity Coordinating Council 615 Arapeen Drive, Suite 210 Salt Lake City, Utah 84108-1262 801-582-0353 801-582-3918 Fax Utility Code
001 002 007 006 009 901 902 903 904 905 906 907 908 909 910 911 912 913 914 915 916 917 918 919 920 921 922 923 924 925 926 927 928 929 930 931 932
Utility Name
B.C. Hydro Calgary Power Ltd. TransAlta Utilities West Kootenay Power & Light Co. Trans-Canada Brookfield Power (WECC) Arizona Electric Power Coop., Inc. Sycamore Cogeneration Company Arizona Public Service Co. Calpine Corporation (WECC) El Paso Merchant Energy-WECC Constellation Energy (WECC) Elk Hills Power, LLC Tri-State G&T Association, Inc. Magnolia Power Project Burbank Water & Power Black Hills Power, Inc. El Paso Electric Co. Eugene Water & Electric Board Black Hill Wyoming Kern River Cogeneration Company Idaho Power Company Harbor Cogeneration Company GWF Power Systems Los Angeles Department of Water and Power La Paloma Generating PPL-Montana Coalinga Cogeneration Company NV Energy Pacific Gas and Electric Co. Pacificorp (Pacific Power & Light Co.) PG&E National Energy Group - WECC Mirant - WECC Pinnacle West Energy Co. Platte River Power Authority Portland General Electric Co. Xcel Energy (Public Service Co. of Colorado)
Page C-19
Western Electricity Coordinating Council (WECC) (Continued)

933 934 935 936 937 938 939 940 941 942 944 945 947 948 949 953 954 956 958 959 960 961 962 965 966 967 968 969 970 971 972 973 974 975 976 977 979 980 981 982 983 984 985 986 987 988 989 990 991
Page C-20
Public Service Co. of New Mexico Mid-Set Cogeneration Company Salinas River Cogeneration Company PUD No. 1 of Chelan County Sargent Canyon Cogeneration Company PUD No. 1 of Douglas County San Diego County Water Authority RRI Energy, Inc. (WECC) El Dorado, LLC Sacramento Municipal Utility District Salt River Project San Diego Gas & Electric Co. Seattle City Light NV Energy (Sierra Pacific Power Co.) Southern California Edison Co. Tucson Electric Power Company Pacificorp (Utah Power & Light Co.) Energy Northwest Tucson Electric Power Co. U.S. Army Corp of Engineers Portland District U.S. Army Corp of Engineers Walla Walla District U.S. Army Corp of Engineers Seattle District Inland Empire Energy Center Deseret Generation & Transmission Coop. Imperial Irrigation District AES Redondo Beach U.S. Bureau of Reclamation NRG Energy-Western Tenaska (WECC) AES-Alamitos LLC NRG Energy - Western Duke Energy Trading (WECC) Intergen Corp. (WECC) Williams Energy Wildflower Energy LLP Wellhead Electric Co. INC. Sunrise Power Company Colton Power LLC CalPeak Power - Border LLC CalPeak Power - El Cajon LLC CalPeak Power - Enterprise LLC CalPeak Power - Panoche LLC CalPeak Power - Vaca Dixon LLC FPL Energy (WECC) Dynegy MMC Energy California Power Holdings LLC Starwood Power Midway LLC LS Power
Appendix D List of Major Components

This Appendix contains a list of major components by unit type. Report all work performed on these components using the instructions given in Section III Event Reporting. Auxiliary systems or equipment used exclusively to support the major component are considered part of the major component. For pumps this would include such items as motors, steam turbines, couplings and self-contained lube oil systems. For turbines it would include items such as the lube oil system, major isolation and control valves, etc. Auxiliary air system or a service water system are not considered as part of a major component. Major Components for Fossil Steam Units Boiler (casing, tubes & headers) Preheaters Induced Draft Fans Forced Draft Fans Recirculation Fans Pulverizers Burners Boiler Circulation Pumps Condensate Pumps Condensate Booster Pumps Major Components for Nuclear Units Reactor Coolant System Pressure Boundaries (including safety and/or relief valves) Control Rod Drives & Mechanisms Reactor Internals Fuel Reactor Coolant Pumps Condensate Pumps Condensate Booster Pumps Major Components for Gas Turbines and Jet Engines Engines Generators Startup System Exciter Feedwater Pumps Condensate/Feedwater Pumps Condensers Circulating Water Pumps Moisture Separator Reheaters Turbines Generators Main Transformers Feedwater Pumps Circulating Water Pumps Precipitators Turbines Generators Main Transformers Condensers Condensate/Feedwater Heaters Scrubbers
Page D-1
Major Components for Pumped Storage and Hydro Units Turbines Generators Exciters Major Components for Combined Cycle & Co-Generation Unit Blocks Gas Turbines Heat Recovery Steam Generators (waste heat boiler) Steam Turbines Generators Exciters Feedwater Pumps Circulating Water Pumps Main Transformers Burners Condensers Boiler Circulation Pumps Condensate/Feedwater Heaters Condensate Pumps
Page D-2
Introduction
Appendix E Unit Design Data Forms

This appendix contains the unit design forms described in Section V. These forms must be completed before any event or performance data are submitted. These forms should also be completed when the design of the unit changes. Completed forms should be sent to Mike Curley at mike.curley@nerc.net. Page Manufacturers Fuel Codes Unit Type Fossil Steam (Unit Codes 100-199 and 600-649) Fluidized Bed (Unit Codes 650-699) Nuclear (Unit Codes 200-299) Diesel (Unit Codes 400-499) Hydro/Pumped Storage (Unit Codes 500-599 and 900-999) Gas Turbine/Jet Engine (Unit Codes 300-399 and 700-799) Combined Cycle & Co-generation Unit Blocks (Block Codes 800-899) Miscellaneous (Geothermal, multi-boilers, etc.) (Unit Codes 800-899) E-2 E-3 Page(s) E-FS-1 to E-FS-38
E-FB-1 to E-FB-48
E-NU-1 to E-NU-8
E-DI-1 to E-DI-4
E-HY-1 to E-HY-6
E-GT-1 to E-GT-6
E-CC-1 to E-CC-24
E-MS-1 to E-MS-6
Page E-1
Introduction
Manufacturers
01 - General Electric 02 - Westinghouse (Siemens Westinghouse) 03 - Allis Chalmers (Siemens Westinghouse) 04 - Stanley 05 - Elliott 06 - Electric Machinery 07 - Gulf General 08 - (Blank) 09 - Other 10 - ABB ASEA Brown Boveri 11 - MAN 12 - Parsons 13 - Siemens (SiemensWestinghouse) 14 - Allis Chalmers Kraftwork Unions (Siemens Westinghouse) 15 - English Electric
Page E-2
Introduction
Fuel Codes
Enter the fuel code from the table below which best describes the primary and secondary fuels the unit was designed to burn: Where the Primary Fuel Is: Coal 01 Coal Only 02 Coal & Oil 03 Coal & Gas 04 Coal, Oil & Gas Oil 05 Oil Only 20 06 Oil & Coal 99 Other 07 Oil & Gas 08 Oil, Coal & Gas Gas 09 Gas Only 10 Gas & Coal 11 Gas & Oil 12 Gas, Oil & Coal Miscellaneous Fuel Types: 13 Propane 14 Kerosene 15 JP4 or JP5 16 Sludge Gas 17 Distillate Oil 18 Lignite 19
Page E-3
Introduction
Page E-4
Fossil Steam Units
Unit Design Data Fossil Steam

Instructions Use these forms to report design and installed equipment information for FOSSIL (steam) units. FOSSIL units are those units with a single steam generator connected to a single or cross compound turbine-generator drive train. Report units that have multiple steam generators and/or multiple turbine-generators connected by headers using the forms found under the heading MISCELLANEOUS. Data reported on these forms should reflect the current condition and design of the unit. Do not report data for start-up equipment or that not used to carry normal load unless specifically requested. You will notice some data fields designated as M1 and M2. These indicate that the equipment being reported may have been supplied by more than one manufacturer. Use fields designated as M1 to report all the data associated with one manufacturers equipment and M2 for the other. Utility name: Station name: Unit name: Location of unit (State): Energy Information Administration (EIA) Number: Regional Entity: Subregion: Data reporter: Telephone number: Date:
Page E-FS-1
Fossil Steam Units
GENERAL UNIT DATA

1. Identification
A series of codes uniquely identifies your utility and units. NERC assigned a unique code to identify your utility. You must assign the unique code that will identify the FOSSIL unit being reported. This code may be any number from 100 to 199 or 600 to 649. Enter the unique utility and unit code and the full name of the unit below: Utility Code Name of Unit Unit Code
2.
Date the Unit Entered Service

The in-service date establishes the starting point for review of historical performance of each unit. Using the criteria described below, report the date the unit entered service: Year Criteria: Month Day
a) The date the unit was first declared available for dispatch at some level of its capability, OR b) The date the unit first operated at 50% of its generator nameplate megawatt capability (product of the megavoltamperes (MVA) and the rated power factor as stamped on the generator nameplate(s)).
3.
Unit Loading Characteristics at Time of Units Design

Enter the number from the list below that best describes the mode of operation the unit was originally designed for: 1 2 3 4 5 9 Base load with minor load following Periodic start-up, load follow daily, reduced load nightly Weekly start-up, load follow daily, reduced load nightly Daily start-up, load follow daily, off-line nightly Start-up chiefly to meet daily peaks Other, describe
4.
Design and Construction Contractors

Identify both the architect/engineer and the general construction contractor responsible for the design and construction of the unit. If your utility was the principal designer or general constructor, enter SELF. Architect/Engineer Constructor
Page-E-FS-2
Fossil Steam Units
5.
Boiler - Manufacturer
Enter the name of the manufacturer and the model or series name or number of the boiler: Boiler manufacturer Manufacturers model or series name or number
6.
Boiler - Enclosure
Is 50% or more of the boiler is outdoors (not enclosed in building framing and siding)? 1 Yes 2 No
7.
Boiler - Nameplate Conditions

Enter the following steam conditions for the MAIN STEAM LINES at the full load, valves wide open design point: Steam flow rate (in lbs/hr)
Design temperature (F) Design pressure (psig)
8.
Boiler - Fuel Firing System

Enter the type of fuel firing system the unit was designed for: A - Front OR Back - wall mounted burners on either the front OR the back of the furnace. B - Opposed - wall mounted burners on BOTH the front and back of the furnace. C - Vertical - burners are mounted on the ceiling of the furnace. D - Tangential - firing from the corners of the furnace with burners capable of directing the fireball up or down. E - Cyclone - horizontal (burner) cylinders connected to furnace walls wherein fuel and air are combusted in a controlled environment. Combustion gases exit through re-entrant throat into furnace, and slag drains to slag tanks. Cyclone burners may be installed in either single walls or opposed walls. F - Concentric - staged combustion system, designed primarily for NO2 control, in which the walls are blanketed with air. G - Circulating fluidized bed - upward flow of air holds the fuel and sorbent particles (e.g., limestone) in suspension in the combustion zone. Partially burned fuel passes into a collector and is routed back into the combustion zone. H - Bubbling fluidized bed - similar to circulating fluidized bed except the partially burned fuel is not recirculated.
- Stoker - overfeed method combined with suspension firing.
Page E-FS-3
Fossil Steam Units
9.
Boiler - Type of Circulation

Enter the type of circulation the boiler was originally designed for: 1 2 - Natural (thermal) - water flows through furnace wall tubes unaided by circulating pumps. Primarily used with subcritical units. - Controlled (forced or pump assisted thermal) - water flows through furnace wall tubes aided by boiler recirculation pumps located in the downcomers or lower headers of the boiler. Used on some subcritical units. - Once through - no recirculation of water through the furnace wall tubes and no steam drum. Used on supercritical and some subcritical units.
10.
Boiler - Circulation System

Enter the following information on the pumps used to recirculate water through the boiler: Boiler recirculation pump(s) manufacturer(s). TOTAL number of boiler recirculation pumps; include installed spares. MINIMUM number of boiler recirculation pumps required to obtain maximum capacity from the unit.
M1 M2
Enter the type of boiler recirculation pump(s) at the unit: 1 2 9 - Injection (or injection seal) - controlled-leakage boiler recirculation pumps mounted vertically with a rigid shaft designed to carry its own thrust. - Leakless (or canned, canned-motor, or zero-leakage) - pump and its motor are an integral pressurized sealed unit. - Other, describe
11.
Boiler - Type of Furnace Bottom

Enter the type of furnace bottom the boiler was originally designed for: 1 - Dry bottom - no slag tanks at furnace throat area (throat area is clear). Bottom ash drops through throat to bottom ash water hoppers. Design used when ash melting temperature is greater than temperature on furnace wall, allowing for relatively dry furnace wall conditions. - Wet Bottom - slag tanks installed at furnace throat to contain and remove molten ash from the furnace.
12.
Boiler - Furnace (Surface) Release Rate

Enter the furnace (surface) release rate of the PRIMARY FUEL. This rate is specified in the boiler contract as the heat available per hour, in Btus per square foot of heat absorbing surface in the furnace. The absorbing surface includes the furnace tube walls and the first convection superheater and reheater tubes. If the furnace contains superheater and reheater platens which extend into the furnace, these absorbing surfaces should be included also. Furnace (surface) release rate (in Btus/SqFt/Hr)
Page-E-FS-4
Fossil Steam Units
13.
Boiler - Furnace Volumetric Heat Release Rate

Enter the furnace volumetric heat release rate. This rate is the total quantity of thermal energy released into the furnace by the PRIMARY FUEL at its higher heating value (HHV). The volumetric heat release rate is expressed in Btus per cubic foot of furnace volume per hour. It does not include the heat added by the preheated air or the heat unavailable due to the evaporation of moisture in the fuel and the combustion of hydrogen. Furnace volumetric heat release rate (in Btus/CuFt/Hr)
14.
Boiler - Primary and Secondary Design Fuels

Enter information on the characteristics of the primary and secondary fuels considered in the DESIGN of the unit. These fuels are used to sustain load on the unit: where PRIMARY is the first fuel of choice for economic or control reasons, or that fuel contributing 50% or more of the load- carrying Btus. Fuel characteristics are based on design specifications. Additional notes are provided where appropriate.
Primary Fuel
Secondary Fuel
Fuel Codes
CC LI PE WD OO DI KE JP WA GG Coal Lignite Peat Wood Oil Distillate Oil (#2) Kerosene JP4 or JP5 Water Gas PR SL GE NU WM SO WH OS OL OG Propane Sludge Gas Geothermal Nuclear Wind Solar Waste Heat Other - Solid (Tons) Other - Liquid (BBL) Other - Gas (Cu.Ft.)
Fuel Characteristics
Average Heat Content in Fuel (Btu/lb, Btu/bbl, Btu/CuFt) % Ash Content (to one decimal place) (Btu/lb,Btu/bbl,Btu/CuF

% Sulfur Content (to one decimal place) (Btu/lb,Btu/bbl,Btu/CuF
% Moisture Content (to one decimal place) (Btu/lb,Btu/bbl,Btu/CuF
Ash Softening Temp (F) (in a reducing atmosphere) (ASTM STD D-1857, Part 26) (coal units only)
Grindability Hardgrove Index (ASTM STD D-409, Part 26) (coal units only) % Vanadium & Phosphorous (to one decimal place) (oil units only)
Page E-FS-5
Fossil Steam Units
15.
Boiler - Fuel Oil Forwarding System

Some units are equipped with a fuel oil forwarding system that transfers oil from the main storage tanks to smaller tanks closer to the unit. (Complete Item 18, below, if interim storage tanks are not used.) Enter the following data on the fuel oil forwarding system: Fuel forwarding/transfer pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the fuel forwarding/ transfer pump(s). TOTAL number of fuel forwarding/transfer pumps; include installed spares. MINIMUM number of pumps required to obtain maximum capacity from the unit.
16.
Boiler - Burner System (General)

Enter the following information on the burner systems installed at the unit (this includes the nozzles, igniter, air registers, and the wind box arrangements):
Conventional Burners
Primary fuel burner(s) manufacturer(s) TOTAL number of primary fuel burners. Low Nox Burners Manufacturer(s) TOTAL number of Low Nox Burners; include installed spares. MINIMUM number of Low Nox Burners required to obtain maximum capacity from the unit. Installation date: Year Month Day
17.
Boiler - Burner Management System

Enter the name of the manufacturer of each of the following burner management systems: Manufacturer of the combustion control system that coordinates the feedwater, air, and fuel subsystems for continuous unit operation. Manufacturer of the burner management system that monitors only the fuel and air mixture during all phases of operation to prevent the formation of an explosive mixture.
Page-E-FS-6
Fossil Steam Units
18.
Boiler - Fuel Oil Burner Supply System (In-plant)

Enter the following information on the pumps used to forward fuel oil from the main storage tanks or the interim storage tanks (if the unit is so equipped) to the burners: Fuel oil burner supply pump(s) manufacturer(s) Manufacturer(s) of the motor(s) that drives the fuel oil burner supply pump(s). TOTAL number of fuel oil burner supply pumps; include installed spares. MINIMUM number of fuel oil burner supply pumps required to obtain maximum capacity from the unit.
19.
Boiler - Igniter System

Enter the following information on the igniter system installed at the unit: Igniter manufacturer Enter the type of fuel the igniter(s) were originally designed for: A B C D E F M Light (distillate) oil Heavy oil Gas Coal Oil and Gas Propane More than one
Enter igniter type: 1 2 3 4 9 Pilot torch lighter - an oil or gas igniter that uses an electric spark to ignite the fuel. Carbon arc - a carbon or graphite electrode that is energized and used to ignite the fuel. High energy arc - a low voltage, high energy pulse arc that is used to ignite the fuel. Plasma arc - a high dc voltage current used to ionize the air resulting in a high energy arc that ignites the fuel. - Other, describe -
20.
Boiler - Coal Handling Systems - Yard Area

Enter the following information on the equipment installed in the coal yard: Coal crusher(s) manufacturer(s) Stacker/reclaimer system(s) manufacturer(s) Number of critical path coal conveyor systems available to the unit.
Page E-FS-7
Fossil Steam Units
21.
Boiler - Coal Feeders for Pulverizers or Coal Mills

Enter the following information on the coal feeder equipment used to supply coal from the in-plant coal holding bunkers to the pulverizers or coal mills: Feeder(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the feeder(s). TOTAL number of feeders PER pulverizer or coal mill.
M1 M2
Enter the type of pulverizer or coal mill feeder(s) at the unit: 1 2 3 4 9 - Gravimetric belt - system that weighs the coal as it is fed to the pulverizer or coal mill. - Volumetric belt - system that measures the volume of coal fed to the pulverizer or coal mill. - Star roll - a multi-blade rotor that turns about a fixed, hollow, cylindrical core feeding a fixed measure of coal. - Rotating table - system that operates by piling coal on a rotating table, and, as the table rotates, a stationary blade diverts the coal to a feed chute to the mill. - Other, describe
22.
Boiler - Pulverizer or Coal Mill Capability

Enter the following information on the capability of the pulverizer(s) or coal mill(s): Pulverizer(s) or coal mill(s) manufacturer(s). Manufacturers model number(s) for the pulverizer(s) or coal mill(s). Design coal flow rate in lb/hr (per pulverizer or coal mill) using design fuel. TOTAL number of pulverizers or coal mills; include installed spares. MINIMUM number of pulverizers or coal mills required to obtain maximum capacity from the unit.
M1 M2
Enter the type of pulverizer(s) or coal mill(s) at the unit: 1 2 3 4 9 - Ball - grinding elements are balls that operate freely in a race on a rotating grinding table. - Roll race - rotating grinding table that moves coal through a series of rollers or wheels supported within the pulverizer or coal mill. - Ball tube (Hardinge) - horizontal, rotating, grinding cylinder containing steel balls that move within the cylinder and grind or crush the coal. - Impact (Attrition) - series of fixed or hinged hammers that rotate within a closed chamber impacting and crushing the coal. - Other, describe
Page-E-FS-8
Fossil Steam Units
23.
Boiler - Primary Air System

Enter the following information on the primary air system that provides the air needed to transport the coal from the pulverizers or coal mills to the furnace (note: exhausters for pulverizers or coal mills covered in item 24): Primary air fan(s) manufacturer(s) Manufacturer(s) of the motor(s) that drives the primary air fan(s). TOTAL number of primary air fans; include installed spares. MINIMUM number of primary air fans required to obtain maximum capacity from the unit.
M1 M2
Enter the type of primary air fan(s) at the unit: Centrifugal - blades mounted on an impeller (or rotor) that rotates within a spiral or volute housing. Mark the type of blades used on this type of fan: 1 - Forward curved 2 - Straight (radial or radial tipped) 3 - Backward curved (air foil or flat) 4 - Axial (fixed or variable pitch) - blades attached to central hub parallel to air flow. 9 - Other, describe
24.
Boiler - Exhausters for Pulverizers or Coal Mills

Enter the following information on the exhausters used to transport the pulverized coal from the pulverizer(s) or coal mill(s) to the burner front: Exhauster fan(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the exhauster fan(s). TOTAL number of exhauster fans; include installed spares. MINIMUM number of exhauster fans required to obtain maximum capacity from the unit.
M1 M2
Enter the type of exhauster fan(s) at the unit: Centrifugal - blades mounted on an impeller (or rotor) which rotates within a spiral or volute housing. Mark the type of blades used on this type of fan: 1 - Forward curved 2 - Straight (radial or radial tipped) 3 - Backward curved (air foil or flat) 4 - Axial (fixed or variable pitch) - blades attached to central hub parallel to air flow. 9 - Other, describe
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Fossil Steam Units
25.
Boiler - Balanced Draft or Pressurized Draft

Enter the type of draft the boiler was designed for: 1 2 - Balanced draft - equipped with both induced draft and forced draft fans. The furnace operates at positive pressure at air entry and negative pressure at flue gas exit. - Pressurized draft - equipped with forced draft fans only. The furnace and draft system operate at positive pressure.
IF the unit was designed as a pressurized draft unit and converted to a balanced draft design, enter the date the conversion was completed: Year Month Day
26.
Boiler - Forced Draft Fan System

Enter the following information on the forced draft fans installed at the unit: Forced draft fan(s) manufacturer(s). Manufacturer(s) of the motor(s)/steam turbine(s) that drives the forced draft fan(s). TOTAL number of forced draft fans; include installed spares. MINIMUM number of forced draft fans required to obtain maximum capacity from the unit.
M1 M2
Enter the type of forced draft fan(s) at the unit: Centrifugal - blades mounted on an impeller (or rotor) which rotates within a spiral or volute housing. Mark the type of blades used on this type of fan: 1 - Forward curved 2 - Straight (radial or radial tipped) 3 - Backward curved (air foil or flat) 4 - Axial (fixed or variable pitch) - blades attached to central hub parallel to air flow. 9 - Other, describe
M1 M2
Enter the type of forced draft fan drives(s) at the unit: 1 2 3 4 9 Single speed motor Two speed motor Variable speed motor Steam turbine Other, describe
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27.
Boiler - Induced Draft Fan System

Enter the following information on the induced draft fans installed at the unit: Induced draft fan(s) manufacturer(s) Manufacturer(s) of the motor(s)/steam turbine(s) that drives the induced draft fan(s). TOTAL number of induced draft fans; include installed spares. MINIMUM number of induced draft fans required to obtain maximum capacity from the unit.
M1 M2
Enter the type of induced draft fan(s) at the unit: Centrifugal - blades mounted on an impeller (or rotor) which rotates within a spiral or volute housing. Mark the type of blades used on this type of fan: 1 - Forward curved 2 - Straight (radial or radial tipped) 3 - Backward curved (air foil or flat) 4 - Axial (fixed or variable pitch) - blades attached to central hub parallel to air flow. 9 - Other, describe
M1 M2
Enter the type of induced draft fan drive(s) at the unit: 1 2 3 4 9 Single speed motor Two speed motor Variable speed motor Steam turbine Other, describe
28.
Boiler - Gas Recirculating Fan System

Enter the following information on the gas recirculating fans installed at the unit: Gas recirculating fan(s) manufacturer(s). Manufacturer(s) of the motor(s)/steam turbine(s) that drives the gas recirculating fan(s). TOTAL number of gas recirculating fans; include installed spares. MINIMUM number of gas recirculating fans required to obtain maximum capacity from the unit.
M1 M2
Enter the type of gas recirculating fan(s) at the unit: Centrifugal - blades mounted on an impeller (or rotor) which rotates within a spiral or volute housing. Mark the type of blades used on this type of fan: 1 - Forward curved 2 - Straight (radial or radial tipped) 3 - Backward curved (air foil or flat) 4 - Axial (fixed or variable pitch) - blades attached to central hub parallel to air flow. 9 - Other, describe
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28.
Boiler - Gas Recirculating Fan System (Continued)

M1 M2
Enter the type of gas recirculating fan drive(s) at the unit: 1 2 3 4 9 Single speed motor Two speed motor Variable speed motor Steam Turbine Other, describe
29.
Boiler - Primary Air Heating System

Enter information about the air heaters used to transfer the excess heat from the flue gases to the incoming primary air for the furnace: Primary air heater(s) manufacturer(s). TOTAL number of primary air heaters.
M1 M2
Enter the type of primary air heater(s) at the unit: 1 - Regenerative (Ljungstrom) - rotating heat exchanger that continuously rotates sections (baskets) composed of metal plates from the hot flue gas furnace exit plenum to the furnace intake air plenums. - Tubular - hot flue gas from the furnace is channeled through tubes (vertical or horizontal) where the heat is transferred to the furnace intake air passing across the outside of the tubes. - Steam Coil - similar to tubular except steam is used to preheat the intake air. - Regenerative (Rothemule) - Other, describe
3 4 9
30.
Boiler - Secondary Air Heating System

Enter information about the secondary (or backup) air heaters used to transfer the excess heat from the flue gases to the incoming primary air for the furnace: Secondary air heater(s) manufacturer(s). TOTAL number of secondary air heaters.
M1 M2
Enter the type of secondary air heater(s) at the unit: 1 - Regenerative (Ljungstrom) - rotating heat exchanger that continuously rotates sections (baskets) composed of metal plates from the hot flue gas furnace exit plenum to the furnace intake air plenums thus heating the intake air. - Tubular - hot flue gas from the furnace is channeled through tubes (vertical or horizontal) where the heat is transferred to the furnace intake air passing across the outside of the tubes. - Steam Coil - similar to tubular except steam is used to preheat the intake air. - Regenerative (Rothemule) - Other, describe
3 4 9
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31.
Boiler - Soot Blowers

Enter the following information on the soot blower system installed on the furnace: Soot blower(s) manufacturer(s) TOTAL number of soot blowers installed on the furnace. Enter the type(s) of medium(s) used to blow the soot. If a variety of soot blowers are used at the unit, note the number of each type used.
M1 Type Number M2 Type Number M3 Type Number
1 2 3 4 5 9
Steam Air Water Sonic Steam/Air Other, describe
32.
Boiler - Bottom Ash Handling System

Bottom ash handling system manufacturer.
33.
Boiler - Mechanical Fly Ash Precipitator System

Fly ash contained in the furnace exit flue gases can be removed by various types of mechanical precipitators including cyclone collectors, and wet or venturi scrubbers (note: SO2 scrubbers covered in items 37-48). Enter the following information on the mechanical precipitator equipment: Mechanical precipitator manufacturer. Enter the location of the mechanical precipitator with respect to the air heaters: 1 2 3 9 Before air heaters After air heaters Both - precipitators installed both before and after the air heaters. Other, describe
34.
Boiler - Electrostatic Precipitator

Fly ash contained in the furnace exit flue gases can be removed by using an electrostatic precipitator. Enter the following information on the electrostatic precipitator: Electrostatic precipitator manufacturer. Enter the location of the electrostatic precipitator with respect to the air heaters: 1 2 3 9 Before air heaters After air heaters Both - Flue gas is extracted both before and after the air heaters. Other, describe
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35.
Boiler - Baghouse Fly Ash System

Fly ash contained in the furnace exit flue gas may be removed using fabric or fabric bag filters. Enter the following information on the baghouse fly ash system: Baghouse system manufacturer. Manufacturer of the baghouse exhauster booster fans. Manufacturer of the motor that drives the baghouse booster fans. TOTAL number of baghouse booster fans installed on the unit. Enter the baghouse type: 1 2 3 9 - Reverse - clean flue gas is blown in the direction counter to normal operation to remove fly ash from the bag. - Pulse (or pulse set) - short bursts of compressed air are blown into the bag to cause a momentary expansion of the bag to dislodge the entrapped fly ash. - Shaker - the bag is literally shaken to remove the fly ash collected on its surface. - Other, describe
Enter the type of baghouse booster fan(s) at the unit: Centrifugal - blades mounted on an impeller (or rotor) which rotates within a spiral or volute housing. Mark the type of blades used on this type of fan: 1 - Forward curved 2 - Straight (radial or radial tipped) 3 - Backward curved (air foil or flat) 4 - Axial (fixed or variable pitch) - blades attached to central hub parallel to air flow. 9 - Other, describe
36.
Boiler - Fly Ash Transport System

Enter the following information on the fly ash removal system: Fly ash removal system manufacturer. Enter the type of fly ash removal system: 1 2 3 4 5 9 - Vacuum - ash conveying system operates at a vacuum relative to the fly ash collection hoppers. - Pressure - ash conveying system operates at a pressure greater than the pressure in the fly ash collection hoppers. - Vacuum-pressure - employs the best features of both the vacuum and pressure systems. - Water (sluice) - employs water to sluice the ash away from the hoppers. - Vacuum and water slurry - Other, describe
37.
FGD Manufacturer
Enter the following information on the FGD system (venturi scrubbers covered in Item 33): FGD system manufacturer
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38.
FGD Installation Date

Enter the date the FGD system was initially operated: Year Month Day
Was the FGD system a part of the original design of the unit? A no answer means the FGD system was a retrofit after the unit entered service. 1 Yes 2 No
39.
FGD Cycle Type

Enter the type of FGD cycle used by the unit: 1 2 3 9 - Single loop - single recirculation loop for controlling the reagent. - Dual loop - two separate and distinct recirculation loops for controlling the reagent (same reagent used in both loops). - Dual alkali - two separate and distinct reagents controlled through the use of separate recirculation loops operated in series. - Other
40.
FGD Absorbing Reagents

The reagent is the substance that reacts chemically with the flue gas to remove the resident sulfur dioxide. Name the reagent(s) used in the units FGD system: Reagent #1 Reagent #2 (if dual alkali system)
41.
FGD Flow Rates

Enter the following information regarding the flue gas flow rates into the FGD system: Maximum design flue gas flow rate at the exit of the boiler in actual cubic feet per minute (ACFM).
Maximum design flue gas flow rate capable of passing through the FGD system in ACFM.
42.
FGD By-pass Capacity

The flue gas by-pass capacity is the percent of the total flue gas flow (maximum design condition) that can be by-passed around the FGD while permitting the unit to operate within compliance. Enter the following information: Percent of scrubber by-pass capacity at compliance levels. (Enter 0% if no by-pass capacity exists.)
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43.
FGD Modules
Several towers may work together in series or in parallel to form a single FGD module, with one or more modules installed at a single unit. Enter the following information: TOTAL number of FGD modules on the unit TOTAL number of FGD towers per module MINIMUM number of FGD modules required to obtain maximum capacity from the unit. Are the FGD modules shared with another unit? 1 - Yes 2 - No
44.
Scrubber/Absorber Tower Type

The scrubber/absorber tower type identifies the interaction methods used between the flue gas and the reagent. Enter the type combination of types of scrubber/absorber used on the unit: 1 2 3 4 5 9 - Venturi - a conveying throat to accelerate the inlet flue gas to a higher velocity. - Spray - an open gas absorption vessel in which scrubbing slurry is introduced into the gas stream from atomizing nozzles. - Tray - tray(s) internal to the scrubber/absorber consists of a horizontal metal surface perforated with holes or slots mounted transversely across the vessel. - Packed - a bed of stationary (static) or mobile (moving bed) packing, mounted transversely across the vessel. - Combination - two or more of the above-noted designs used in the same tower. - Other, describe
45.
FGD Fans
FGD fans are those USED EXCLUSIVELY to induce or force flue gases through the FGD towers. These fans help overcome the pressure drop through the FGD and are IN ADDITION to the boiler I.D. and F.D. fans. Enter the following information: FGD fan(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the FGD fan(s). TOTAL number of FGD fans; include installed spares. MINIMUM number of FGD fans required to obtain maximum capacity from the unit.
M1 M2
Enter the type of FGD fan(s) at the unit: Centrifugal - blades mounted on a impeller (or rotor) which rotates within a spiral or volute housing. Mark the type of blades used on this type of fan: 1 - Forward curved 2 - Straight (radial or radial tipped) 3 - Backward curved (air foil or flat) 4 - Axial (fixed or variable pitch) - blades attached to central hub parallel to air flow. 9 - Other, describe
M1 M2
Enter the location of the FGD fan(s) with respect to the FGD: 1 2 9 - Before - After - Other, describe
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46.
Scrubber Recycle (Liquid) Pumps

Recycle (liquid) pumps circulate reagent through the FGD towers. Enter the following information on the scrubber recycle pumps at the unit: Recycle pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the recycle pump(s) TOTAL number of recycle pumps PER tower; include installed spares. MINIMUM number of recycle pumps required to obtain maximum capacity from the unit.
47.
Stack Gas Reheater Methods

After the flue gases leave the FGD system, the exit gases may be heated before discharge through the stack. Two methods commonly used to reheat the flue gases are: direct (injection of hot gases) or indirect (passing through a heat exchanger). Enter the type of stack gas reheating method used at the unit: 1 2 3 4 5 - In-line - installation of a heat exchanger in the flue gas duct downstream of the mist eliminators. - Direct combustion - firing of gas or oil burners and mixing product gases with the cooler scrubbed flue gas. - Indirect hot air - heating of ambient air in an external heat exchanger (using steam) and injecting this heated air into scrubbed flue gas discharge. - Waste heat recovery - use of unscrubbed flue gas in a heat exchanger to reheat the scrubbed stack gas. - Exit gas recirculation - a portion of the scrubbed gas is diverted from the exit stream, reheated by a heat exchanger and then injected into the scrubbed flue gas before entering the stacks. - By-pass reheater - by-pass of a portion of the hot unscrubbed flue gas around the FGD system for injection into the cooler scrubbed flue gas. - Other, describe
6 9
48.
FGD Primary Mist Eliminator

Enter the following information on the FGD primary mist eliminators: Enter the type of mist eliminator(s) used in the FGD towers: 1 2 3 4 9 - Impingement (or inertial impaction) - open or chevron vanes placed in the gas stream divert and collect the mist on their surfaces and direct the droplets away. - Electrostatic - mist removal through the use of an electrostatic field. - Centrifugal - uses baffles that impart a centrifugal force on the gas. - Cyclonic - uses tangential inlets which impart a swirl or cyclonic action to the gas as it passes through the separator chamber. - Other, describe
A mist eliminator stage is a single set of separate and distinct elements through which the flue gas must pass. Enter the total number of mist eliminator stages on each FGD tower.
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Fossil Steam Units
49.
Steam Turbine - Manufacturer

Enter the name of the manufacturer of the steam turbine: Steam turbine manufacturer
50.
Steam Turbine - Enclosure

Is 50% or more of the steam turbine outdoors (not enclosed in building framing and siding)? 1 Yes 2 No
51.
Steam Turbine - Nameplate Rating in MW

Nameplate is the design capacity stamped on the steam turbines nameplate or published on the turbine guarantee flow diagram. In cases where the steam turbines nameplate rating cannot be determined, approximate the rating by multiplying the MVA (megavoltamperes) by the rated power factor found on the nameplate affixed to the units generator (or nameplates in the case of cross compound units). Steam turbines nameplate rating (MW).
52.
Steam Turbine - Type of Steam Turbine

Identify the steam turbines casing or shaft arrangement. Enter the type of steam turbine at the unit: 1 2 3 4 9 - Single casing - single (simple) turbine having one pressure casing (cylinder). - Tandem compound - two or more casings coupled together in line. - Cross compound - two cross-connected single casing or tandem compound turbine sets where the shafts are not in line. - Triple compound - three cross-connected single casing or tandem compound turbine sets. - Other, describe
53.
Steam Turbine Manufacturers Building Block or Design Codes

Steam turbine building blocks or manufacturers design codes are assigned by the manufacturer to designate a series of turbine designs, LM5000 or W501 for example. Enter the following information: Manufacturers code, first shaft Manufacturers code, second shaft (cross or triple compound units) Turbine configuration and number of exhaust flows (e.g., tandem compound, four flow)
54.
Steam Turbine - Steam Conditions

Enter the following information on the Main, First Reheat, and Second Reheat Steam design conditions: Main Steam Temperature (F) Pressure (psig) First Reheat Second Reheat
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55.
Steam Turbine - High, Intermediate, and Low Pressure Sections

Enter the following information describing various sections of the steam turbine:
High Pressure Casings

TOTAL number of high pressure casings, cylinders or shells Back pressure of the high pressure condenser (if applicable) to the nearest one-tenth inch of mercury at the nameplate capacity and design water temperature.
Combined High Pressure/Intermediate Pressure Casings

TOTAL number of high/intermediate pressure casings, cylinders or shells.
Intermediate Pressure Casings

TOTAL number of intermediate pressure casings, cylinders or shells.
Combined Intermediate/Low Pressure Casings

TOTAL number of intermediate/low pressure casings, cylinders or shells.
Low Pressure Casings

TOTAL number of low pressure casings, cylinders or shells. Back pressure of the low pressure condenser to the nearest one-tenth inch of mercury at nameplate capacity and design water temperature. The last stage blade length (inches) of the low pressure turbine, measured from hub to end of top of blade.
56.
Steam Turbine - Governing System

Enter the following information for the steam turbine governing system: Enter the type of governing system used at the unit: 1 2 3 9 - Partial arc - main steam flow is restricted to one sector of the turbines first stage at startup. - Full arc - main steam is admitted to all sectors of the turbines first stage at startup. - Either - capable of admitting steam using either partial or full arc techniques. - Other, describe
Enter the type of turbine governing system used at the unit: 1 2 3 9 Mechanical hydraulic control (MHC) - turbine speed monitored and adjusted through mechanical and hydraulic linkages. - Analog electro-hydraulic control (EHC) - analog signals control electro-hydraulic linkages to monitor and adjust turbine speed. - Digital electro-hydraulic control (DHC) - same as EHC except signals are digital rather than analog. - Other, describe
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57.
Steam Turbine - Lube Oil System

Enter the following information for the steam turbine main lube oil system: Main lube oil system manufacturer. Main lube oil pump(s) manufacturer. Manufacturer of the motor(s)/steam turbine(s) that drives the main lube oil pump(s). TOTAL number of steam turbine main lube oil pumps; include installed spares. Enter the type of driver on the main lube oil pump: 1 2 3 9 Motor Shaft Steam turbine Other, describe
58.
Generator - Manufacturer
Enter the name of the manufacturer of the electric generator: Generator manufacturer
59.
Generator - Enclosure
Is 50% or more of the generator outdoors (not enclosed in building framing and siding)? 1 Yes 2 No
60.
Generator - Ratings and Power Factor

Enter the following information about the generator: Main Generator Second* Shaft Third* Shaft
Design (Nameplate) Item Voltage to nearest one-tenth kV
Megavoltamperes (MVA) Capability RPM Power Factor (enter as %)

*Cross compound units.
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61.
Generator - Cooling System

Two types of cooling methods are typically used. First is the innercooled method, where the cooling medium is in direct contact with the conductor copper or is separated by materials having little thermal resistance. The other is the conventional cooling method where the heat generated within the windings must flow through the major ground insulation before reaching the cooling medium. Enter the type of cooling method used by the generator: 1 - Stator innercooled and rotor innercooled. 2 - Stator conventionally cooled and rotor conventionally cooled. 3 - Stator innercooled and rotor conventionally cooled. 9 - Other, describe Enter the mediums used to cool the generators stator and rotor: Stator A H O W Medium Air Hydrogen Oil Water Rotor A H O W
62.
Generator - Hydrogen Pressure

Enter the generator hydrogen pressure IN PSIG at nameplate MVA.
63.
Exciter - Configuration
Enter the following information about the main exciter: Exciter manufacturer TOTAL number of exciters; include installed spares. MINIMUM number of exciters required to obtain maximum capacity from the unit Enter the type of main exciter used at the unit: 1 2 3 - Static - static excitation where dc is obtained by rectifying ac from generator terminals, and dc is fed into rotor by collector rings. - Rotating dc generator - exciter supplies dc from a commutator into the main rotor by means of collector rings. - Brushless - an ac (rotating armature type) exciter whose output is rectified by a semiconductor device to provide excitation to an electric machine. The semiconductor device would be mounted on and rotate with the ac exciter armature. - Alternator rectifier - Other, describe
4 9
Enter the type(s) of exciter drive(s) used by the main exciter IF it is rotating: 1 2 3 9 Shaft direct Shaft gear Motor Other, describe
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Fossil Steam Units
64.
Auxiliary Systems - Main Condenser

Enter the following information for the main condenser and its auxiliaries: Main condenser manufacturer TOTAL number of passes made by the circulating water as it passes through the condenser. TOTAL number of condenser shells. Condenser tube materials used in the majority (50% or more) of the condenser tubes. Air ejector(s) or vacuum pump(s) manufacturer. Enter the type of air removal equipment used on the condenser: 1 2 3 9 Vacuum pump Steam jet air ejector Both Other, describe ___________________________________________________________
Enter the type of cooling water used in the condenser: 1 2 3 9 Fresh - salinity values less than 0.50 parts per thousand. Brackish - salinity value ranging from approximately 0.50 to 17 parts per thousand. Salt - salinity values greater than 17 parts per thousand. Other, describe ___________________________________________________________
Enter the origin of the circulating water used in the condenser: 1 2 3 4 9 River Lake Ocean or Bay Cooling Tower Other, describe
65.
Auxiliary Systems - Condenser Cleaning System

Enter the following information about the ON-LINE main condenser cleaning system (leave blank if cleaning is manual): On-line main condenser cleaning system manufacturer. Enter the type of on-line main condenser cleaning system used at the unit: 1 2 9 - Ball sponge rubber - Brushes - Other, describe
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Fossil Steam Units
66.
Auxiliary Systems - Condensate Polishing System

A condensate polisher is an in-line demineralizer located in the condensate water system to treat water coming from the condenser to the boiler. It is not the demineralizer that prepares raw or untreated water for eventual use in the steam production process. Enter the following information about the condensate polishing system at the unit: Condensate polishing system manufacturer Enter the % of the condensate flow at maximum unit capacity that can be treated: % Treated
67.
Auxiliary Systems - Condensate Pumps

Enter the following information for the main condensate pumps (those at the discharge of the condenser): Condensate pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the condensate pump(s). TOTAL number of condensate pumps; include installed spares. MINIMUM number of condensate pumps required to obtain maximum capacity from the unit.
68.
Auxiliary Systems - Condensate Booster Pumps

Condensate booster pumps increase the pressure of the condensate water between the low pressure and the intermediate or high pressure feedwater heaters. Enter the following information for the condensate booster pumps: Condensate booster pump(s) manufacturer(s) Manufacturer(s) of the motor(s) that drives the condensate booster pump(s). TOTAL number of condensate booster pumps; include installed spares. MINIMUM number of condensate booster pumps required for maximum capacity from the unit.
69.
Auxiliary Systems - Feedwater (Boiler Feed) Pumps

The feedwater (boiler feed) pumps move the feedwater through the feedwater system into the boiler. Enter the following information on the feedwater pumps installed at the unit: Feedwater (boiler feed) pump(s) manufacturer(s). Normal operating speed (RPM) of the feedwater pumps. TOTAL number of feedwater pumps; include installed spares. MINIMUM number of feedwater pumps required to obtain maximum capacity from the unit.
PERCENT (%) of the units maximum capacity that can be achieved with a single feedwater pump.
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Fossil Steam Units
70.
Auxiliary Systems - Feedwater (Boiler Feed) Pump Drives

Enter the following information for the feedwater (boiler feed) pump drives: Manufacturer(s) of motor(s) or steam turbine(s) that drives the feedwater pump(s).
M1 M2
Enter the type of equipment used to drive the feedwater (boiler feed) pumps: 1 2 3 4 5
M1 M2
Motor - single speed Motor - two speed Motor - variable speed Steam turbine Shaft
6 7 8 9
Motor gear Steam gear Shaft gear Other, describe
Specify coupling type used for feedwater (boiler feed) pump. 1 2 9 - Hydraulic - Mechanical - Other, describe
71.
Auxiliary Systems - Startup Feedwater (Boiler Feed) Pumps

Enter the following information for the startup feedwater pump(s) at the unit: Startup feedwater pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the startup feedwater pump(s).
PERCENT (%) of the units maximum capacity that can be achieved with a single startup feedwater pump. Indicate the additional capabilities of the startup feedwater pump:
M1
M2
1 2 3 9
ADDITIVE: operated in conjunction with the feedwater (boiler feed) pumps. REPLACEMENT: can carry load when the feedwater pumps are inoperative. STARTUP only: cannot be used in lieu of the feedwater pumps. Other, describe
72.
Auxiliary Systems - High Pressure Feedwater Heaters

High pressure feedwater heaters are those heat exchangers between the feedwater (boiler feed) pumps discharge and the economizer inlet. Enter the following information for the HIGH pressure feedwater heaters at the unit: High pressure feedwater heater(s) manufacturer(s). TOTAL number of high pressure feedwater heaters. Feedwater heater tube materials used in 50% or more of the tubes.
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72.
Auxiliary Systems - High Pressure Feedwater Heaters (Continued)

M1 M2
Enter the type of HIGH pressure feedwater heater(s): 1 2 3 9 Horizontal - longitudinal axis of the heater shell is horizontal. Vertical - longitudinal axis of the heater shell is vertical. Both Other, describe
73.
Auxiliary Systems - Intermediate Pressure Feedwater Heaters

Intermediate pressure feedwater heaters are those heat exchangers between the condensate booster pump discharge and the deaerator. Enter the following information for the INTERMEDIATE pressure feedwater heaters at the unit: Intermediate pressure feedwater heater(s) manufacturer(s). TOTAL number of intermediate pressure feedwater heaters. Feedwater heater tube materials used in 50% or more of the tubes.
M1 M2
Enter the type of INTERMEDIATE pressure feedwater heater(s): 1 2 3 9 Horizontal - longitudinal axis of the heater shell is horizontal. Vertical - longitudinal axis of the heater shell is vertical. Both Other, describe
74.
Auxiliary Systems - Low Pressure Feedwater Heaters

Low pressure feedwater heaters are those heat exchangers between the condensate pump discharge and the condensate booster pump inlet. If the unit does not have condensate booster pumps, the low pressure feedwater heaters are located between the condensate pumps and the deaerator. Enter the following information for the LOW pressure feedwater heaters at the unit: Low pressure feedwater heater(s) manufacturer(s). TOTAL number of low pressure feedwater heaters. Feedwater heater tube materials used in 50% or more of the tubes.
M1 M2
Enter the type of LOW pressure feedwater heater(s): 1 2 3 9 Horizontal - longitudinal axis of the heater shell is horizontal. Vertical - longitudinal axis of the heater shell is vertical. Both Other, describe
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75.
Auxiliary Systems - Deaerator Heater

Enter the following information on the deaerator heater at the unit: Deaerator manufacturer(s)
M1 M2
Enter the type of deaerator heater(s): 1 2 3 4 9 Spray - high-velocity stream jet atomizes and scrubs the condensate. Tray - series of trays over which the condensate passes and is deaerated. Vacuum - a vacuum condition inside the shell for deaeration. Combination Other, describe
76.
Auxiliary Systems - Heater Drain Pumps

Enter the following information for the heater drain pumps at the unit: Heater drain pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the heater drain pump(s).
77.
Auxiliary Systems - Circulating Water Pumps

Enter the following information for the circulating water pumps: Circulating water pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the circulating water pump(s). TOTAL number of circulating water pumps; include installed spares. MINIMUM number of circulating water pumps required to obtain maximum capacity from the unit DURING WINTER SEASON.
78.
Auxiliary Systems - Cooling Tower and Auxiliaries

Enter the following information for the cooling towers and all related auxiliary equipment at the unit: Cooling tower manufacturer(s) Cooling tower fan(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the cooling tower fan(s).
M1 M2
Enter the type of cooling tower(s) used: 1 2 3 - Mechanical draft (induced, forced, cross-flow and counterflow) - fan(s) used to move ambient air through the tower. - Atmospheric spray - air movement is dependent on atmospheric conditions and the aspirating effect of the spray nozzles. - Hyperbolic (natural draft) - temperature difference between condenser circulating water and ambient air conditions, aided by hyperbolic tower shape, creates natural draft of air through the tower to cool the water.
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78.
Auxiliary Systems - Cooling Tower and Auxiliaries (Continued)

4 5 9 - Deck-filled - wetted surfaces such as tiers of splash bars or decks aid in the breakup and retention of water drops to increase the evaporation rate. - Coil shed - a combination structure of a cooling tower installed over a substructure that houses atmospheric coils or sections. - Other, describe
The cooling tower booster pumps increase the pressure of the circulating water and force the water to the top of the cooling tower. Cooling tower booster pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the cooling tower booster pump(s). TOTAL number of cooling tower booster pumps; include installed spares. MINIMUM number of cooling tower booster pumps required to obtain maximum capacity from the unit.
79.
Balance of Plant - Main Transformer

The main transformer is the unit step-up transformer connecting the generator (or multiple generators if unit is cross compound) to the transmission system. Enter the following information for the MAIN transformer(s) at the unit: Main transformer(s) manufacturer(s). TOTAL number of main transformers; include installed spares. Megavoltampere (MVA) size of the main transformer(s). HIGH SIDE voltage in kilovolts (kV) of the main transformer(s) at 55.
M1 M2
Enter the type of MAIN transformer at the unit: 1 2 9 - Single phase - Three phase - Other, describe
80.
Balance of Plant - Unit Auxiliary Transformer

The unit auxiliary transformer supplies the auxiliaries when the unit is synchronized. Enter the following information for this transformer: Unit auxiliary transformer(s) manufacturer(s). TOTAL number of unit auxiliary transformer(s). LOW SIDE voltage in kilovolts (kV) of the unit auxiliary transformer(s) at 55.
Page E-FS-27
Fossil Steam Units
81.
Balance of Plant - Station Service Transformer

The station service (start-up) transformer supplies power from a station high voltage bus to the station auxiliaries and also to the unit auxiliaries during unit start-up and shutdown. It also may be used when the unit auxiliary transformer is not available or nonexistent. Station service transformer(s) manufacturer(s). TOTAL number of station service transformer(s). HIGH SIDE voltage in kilovolts (kV) of the station service transformer(s) at 55. LOW SIDE voltage in kilovolts (kV) of the station service transformer(s) at 55.
82.
Balance of Plant - Auxiliary (Start-up) Boiler

Enter the following information on the auxiliary boiler at the unit: Auxiliary boiler manufacturer(s).
83.
Balance of Plant - Auxiliary Generator

Enter the following information on the auxiliary generator at the unit: Auxiliary generator manufacturer(s). Is the auxiliary generator shaft driven?
M1 M2
1 Yes
2 No
84.
Balance of Plant - Plant Process Computer

Enter the following information for the plant process computer(s): Plant process computer manufacturer(s).
M1 M2
Enter the number of plant process computers available to the unit: 1 2 3 4 9

M1 M2
One computer for this unit only. Two computers for this unit only. One computer shared by one or more units. Two computers shared by one or more units. Other, describe
Describe how the plant process computers are linked within the plant: 1 2 3 9 Centralized Distributive Stand alone Other, describe
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Fossil Steam Units
84.
Balance of Plant - Plant Process Computer (Continued)

M1 M2
Enter the system capability of the plant process computer: 1 2 9 - Monitor only - Monitor and control - Other, describe
85.
CEMS - General
System vendor First-certified date: Year Monitoring technique 1 2 3 - Extractive - Dilution - In Situ Month Day
Analysis Method 1 2 9 - Wet - Dry - Other, describe
Page E-FS-29
Fossil Steam Units
86.
CEMS - Pollutant Gas and Diluent Gas Analyzers/Monitors

1. Sulfur Dioxide (SO2) Analyzers Manufacturer(s) Model number(s)
M1 M2
Number of installed analyzers

M1 M2
Number of installed spare analyzers

M1 M2
Type(s) 1 2 3 9
M1 M2
Ultraviolet Infrared Fluorescence Other, describe
Instrument range (parts per million) 1 2 3 9

M1 M2
0 - 50 0 - 150 0 - 500 Other, describe __________________________________________________________
Shared? (1 - Yes, 2 - No) 2. Oxides of Nitrogen (NOx) Analyzers Manufacturer(s) Model number(s)
M1 M2

M1 M2

M1 M2
Type(s) 1 2 - Infrared - Chemiluminescent
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Fossil Steam Units
86.
CEMS - Pollutant Gas and Diluent Gas Analyzers/Monitors (Continued)

9
M1 M2
- Other, describe ___________________________________________________________

M1 M2
0 - 50 0 - 150 0 - 500 Other, describe ___________________________________________________________
Shared? (1 - Yes, 2 - No) 3. Carbon Monoxide (CO) Analyzers Manufacturer(s) Model number(s)
M1 M2

M1 M2
M1
M2
Type(s) 1 2 3 9
M1 M2
Infrared solid state Infrared luft Gas filter correlation Other, describe _________________________________________________________
Instrument range (parts per million) 1 2 3 9 0 - 50 0 - 150 0 - 500 Other, describe _________________________________________________________
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Fossil Steam Units
86.

4. Carbon Dioxide (CO2) Analyzers Manufacturer(s) Model number(s)
M1 M1 M2

M2

M1 M2

M1 M2
0 - 50 0 - 150 0 - 500 Other, describe
Shared? (1 - Yes, 2 - No) 5. Oxygen (O2) Analyzers Manufacturer(s) Model number(s)

M1 M2

M1 M2

M1 M2
Type(s) 1 2 3 9
M1 M2
Zirconia oxide Paramagretic Fuel cell Other, describe _________________________________________________________
1 2 3 9
M1 M2
Instrument range (parts per million) - 0 - 50 - 0 - 150 - 0 - 500 - Other, describe __________________________________________________________
Shared? (1 - Yes, 2 - No)
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Fossil Steam Units
86.

6. Opacity Monitors Manufacturer(s) Model number(s)
M1 M2

M1 M2

M1 M2
Probe placement (if unit is equipped with a FGD system)
1 2
- Before scrubber - After scrubber
87.
CEMS - Flue Gas Flow Monitors

Manufacturer(s) Model number(s)
M1 M2
Number of installed monitors
M1
M2
Number of installed spare monitors Volumetric Flow Rate (ACFM):

M1 M2
M1
M2
Flow rate measurement technique 1 2 3 4 9 Thermal sensing (hot-wire anemometer or dispersion) Differential pressure array Acoustic velocimetry (ulrasonic transducers) Combination Other, describe
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Fossil Steam Units
88.
CEMS - Data Acquisition and Reporting System

Hardware manufacturer Hardware architecture 1 2 3 9 Vendor-supplied dedicated system Modified existing plant computer Stand alone, pc-based system not supplied by CEMS system vendor Other, describe Software supplier Shared? (1 - Yes, 2 - No)
NOX REDUCTION SYSTEMS
These systems include Selective Non-catalytic Reduction, Selective Catalytic Reduction, Catalytic Air Heaters, and Staged NOX Reduction, which is a combination of the three methods. Excluded from this category are Low NOX burners (see Item 16, Page E-9), combustion modifications, and flue gas recirculation. Please complete the following information for the NOX Reduction Systems installed on your unit. (The appropriate items under each method should be completed for a Staged NOX Reduction System). 89. Selective Non-Catalytic Reduction System (SNCR) Reagent 1 - Ammonia 2 - Urea 9 - Other, describe Injector Type 1 - Wall nozzles 2 - Lance 9 - Other, describe Injection Equipment Location 1 2 3 9 Furnace Superheater Economizer Other, describe Number of Injectors
Page-E-FS-34
Fossil Steam Units
89.
Selective Non-Catalytic Reduction System (SNCR) (Continued) Carrier Gas Type 1 - Steam 2 - Air 9 - Other, describe Total flow rate (lb./hr.) Pressure at nozzle (psi) Nozzle exit velocity (ft./sec.)
90.
Selective Catalytic Reduction System (SCR) Reactor 1 - Separate 2 - In Duct Flue gas take-off location Reagent 1 - Ammonia 2 - Urea 9 - Other, describe _______________________________________________ Ammonia Injection Grid Location 1 2 3 4 Furnace Superheater Economizer Zoned
Duct Configuration 1 - Flow straighteners 2 - Turning vanes 3 - Dampers
Page E-FS-35
Fossil Steam Units
90.
Selective Catalytic Reduction System (SCR) (Continued) Catalyst Element Type 1 - Plate 2 - Honeycomb 9 - Other, describe ____________________________________________________ Catalyst Support Material 1 - Stainless steel 2 - Carbon steel 9 - Other, describe _____________________________________________________ Catalytic Material Configuration 1 - Vertical 2 - Horizontal 9 - Other, describe _____________________________________________________
Surface face area (sq. ft.) Catalyst volume (cu. ft.) Number of layers Layer thickness (inches) Sootblowers (if applicable) 1 - Air 2 - Steam 3 - Both air and steam Manufacturer(s) Number of sootblowers
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Fossil Steam Units
91.
Catalytic Air Heaters Element Type 1 - Laminar surface 2 - Turbulent surface 9 - Other, describe Support Material, if any 1 - Stainless steel 2 - Carbon steel 9 - Other, describe Catalyst Material Configuration 1 - Horizontal air shaft 2 - Carbon steel 9 - Other, describe Total face area (sq. ft.) Open face area (sq. ft.) Layer thickness (inches)
Page E-FS-37
Fossil Steam Units
Page-E-FS-38
Appendix E - Unit Design Data Forms
Unit Design Data Fluidized Bed Combustion

Instructions Use these forms to report design and installed equipment information for FLUIDIZED BED COMBUSTION (FBC) units. These units include atmospheric (circulating (CFB) and bubbling (BFB)) fluidized bed only. Data reported on these forms should reflect the current condition and design of the unit (installed equipment, etc.). Do not report data for start-up equipment or that not used to carry normal load unless specifically requested. You will notice some data fields designated as M1 and M2. These indicate that the equipment being reported may have been supplied by more than one manufacturer. Use fields designated as M1 to report all the data associated with one manufacturers equipment and M2 for the other. Utility name: Station name: Unit name: Location of unit (State): Energy Information Administration (EIA) Number: Regional Entity: Subregion: Data reporter: Telephone number: Date:
Page-E-FB-1
Appendix E Unit Design Data
GENERAL UNIT DATA

1. Identification A series of codes uniquely identifies your utility and units. NERC assigned a unique code to identify your utility. You must assign the unique code that will identify the FBC unit being reported. This code may be any number from 650 to 699. Enter the unique utility and unit code and the full name of the unit below: Utility Code Name of unit Unit Code
2.
Date the Unit Entered Service The in-service date establishes the starting point for review of the historical performance of each unit. Using the criteria described below, report the date the unit entered service: Year Month Day
Criteria: a) The date the unit was first declared available for dispatch at some level of its capability, OR; b) The date the unit first operated at 50% of its generator nameplate megawatt capability (product of the megavoltamperes (MVA) and the rated power factor as stamped on the generator nameplate(s)). 3. Unit Loading Characteristics at Time of Units Design Enter the number from the list below that best describes the mode of operation the unit was originally designed for:
1 2 3 4 5 9 4.
Base load with minor load following Periodic start-up, load follow daily, reduced load nightly Weekly start-up, load follow daily, reduced load nightly Daily start-up, load follow daily, off-line nightly Start-up chiefly to meet daily peaks None of the above
Design and Construction Contractors Identify both the architect/engineer and the general construction contractor responsible for the design and construction of the unit. If your utility was the principal designer or general constructor, enter SELF. Architect/Engineer Constructor
Page E-FB-2
5.
Boiler - Manufacturer Enter the name of the manufacturer and the model or series name or number of the boiler: Boiler manufacturer (original) Boiler manufacturer (FBC portion) - retrofit Manufacturers model or series name or number (original) Manufacturers model or series name or number (retrofit)
6.
Boiler - Enclosure Is 50% or more of the boiler outdoors (not enclosed in building framing and siding)? 1 Yes 2 No
7.
Boiler - Nameplate Conditions Enter the following steam conditions for the MAIN STEAM LINES at the full load, valves wide open design point:
Steam flow rate (in lbs/hr) Design temperature (F) Design pressure (psig) 8. Boiler - Fuel Firing System Enter the type of fuel firing system found in the furnace: 1 - Circulating fluidized bed (CFB) - an FBC with no clear region between the relatively dense bed and lean phase. A circulating bed usually has a superficial velocity greater than 13 ft./sec. and has a reinjection/recycle ratio greater than 5. Compared to a bubbling bed, a circulating bed has significantly higher solids concentration throughout the combustor. - Bubbling fluidized bed (BFB) - an FBC with a definite region between the relatively dense bed and lean phase. A bubbling bed usually has a superficial velocity of less than 13 ft./sec. and a reinjection/recycle ratio of less than 5. In addition, the fuel and sorbent are usually fed either overbed or underbed.
Page-E-FB-3
9.
Boiler - Method of Solid Feed to the Boiler Enter the method of feeding solid fuel, bed material and sorbent into the boiler. For fuel: 1 2 3 4 - Over-bed feed (BFB) - injection of solids above the fluidized bed into a slightly negative pressure environment where the solids then fall into the fluidized bed. - Under-bed feed (BFB) - injection of solids through multiple points to the bottom of the fluidized bed into a positive pressure environment. - Both over-bed and under-bed feed (BFB) - combination of the two above. - Within-bed feed (CFB) - injection of solids through a few feed points to the fluidized bed into a positive pressure environment. (This refers to the method of fuel feed in a circulating bed.)
For sorbent: 1 2 3 4 Over-bed feed (BFB) - defined above Under-bed feed (BFB) - defined above Both over-bed and under-bed feed (BFB) - defined above Within-bed feed (CFB) - defined above
Feed with fuel: 1 2 - Yes - No
For bed material: 1 2 3 4 10. Over-bed feed (BFB) - defined above Under-bed feed (BFB) - defined above Both over-bed and under-bed feed (BFB) - defined above Within-bed feed (CFB) - defined above
Boiler - Type of Circulation Enter the type of circulation: 1 2 - Natural (thermal) - water flows through furnace wall tubes unaided by circulating pumps (primarily used with subcritical units). - Controlled (forced or pump-assisted thermal) - water flows through furnace wall and/or in-bed evaporator tubes aided by boiler recirculation pumps located in the downcomers or lower headers of the boiler (used on some subcritical units). - Once through - no recirculation of water through the furnace wall tubes and no steam drum (used on super- and subcritical units). - Combination natural and controlled
3 4
Page E-FB-4
11.
Boiler - Circulation System Enter the following information on the pump(s) used to recirculate water through the boiler: Boiler recirculation pump(s) manufacturer(s). Number of boiler recirculation pumps per manufacturer; include installed spares. TOTAL number of boiler recirculation pumps for the unit. MINIMUM number of boiler recirculation pumps required to obtain maximum capacity from the unit. M1 M2 Enter the type of boiler recirculation pump(s) used: - Injection (or injection seal) - controlled-leakage boiler recirculation pumps mounted vertically with a rigid shaft designed to carry its own thrust. 2 - Leakless (canned, canned-motor or zero-leakage) - leakless pump and its motor designed as an integral pressurized sealed unit. 9 - Other, describe 1
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12.
Boiler - Heat Exchanger In bed: Type of heat exchanger Tube materials* Manufacturer Total number of exchangers including spares Miminum number of exchangers for full load operation Location of exchangers (external/internal) Square feet of surface Reheat Supht Evap Preheat ____ ____ ____ ____ ____ ____ ____
Convective: Type of heat exchanger Tube materials* Manufacturer Total number of exchangers including spares Miminum number of exchangers for full load operation Location of exchangers (external/internal) Square feet of surface
Reheat
Supht
Evap
Preheat ____ ____ ____ ____ ____ ____ ____
Radiant: Type of heat exchanger Tube materials* Manufacturer Total number of exchangers including spares Miminum number of exchangers for full load operation Location of exchangers (external/internal) Square feet of surface
Reheat
Supht
Evap
Preheat ____ ____ ____ ____ ____ ____ ____
*If more than one material is used, indicate each type with the predominant one mentioned first.
Page E-FB-6
13.
Boiler - Char Reinjection System Char (unburned fuel, sorbent, and ash) is captured by the separator and transferred to disposal and/or reinjected into the fluidized bed. Enter the following information on the char reinjection system. Separator manufacturer(s). Number of separators including spares. Minimum number of separators for full load operation. Type of separator (cyclone, multiclone, ubeam, horizontal). Separator recirculation temperature. Liner (refractory or water cooled). Type of pressure seal (lockhoppers, rotary valve, gravimetric pump, loop seal). Number of char reinjection systems including installed spares. High pressure loop seal air fan(s)/blower(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the high pressure loop seal fan(s)/blower(s). Number of high pressure loop seal fans/blowers per manufacturer; include installed spares. TOTAL number of high pressure loop seal fans/blowers for the unit. MINIMUM number of high pressure loop seal fans/blowers required to obtain maximum capacity from the unit. M1 M2 Enter the type of high pressure loop seal fan(s)/blower(s) at the unit Centrifugal - blades mounted on an impeller (or rotor) which rotates within a spiral or volute housing. Mark the type of blades used on this type of fan: 1 - Forward curved 2 - Straight (radial or radial tipped) 3 - Backward curved (air foil or flat) 4 - Axial (fixed or variable pitch) - blades attached to central hub parallel to air flow. 5 - Positive displacement (rotary) - such blowers are essentially constant-volume blowers with variable discharge pressure. Volume can be varied only by changing the speed or by bypassing or wasting some of the capacity of the machine. The discharge pressure will vary with the resistance on the discharge side of the system. 9 - Other, describe
Page-E-FB-7
14.
Boiler - Design Parameters Percent SO2 removal
Calcium-to-sulfur molar ratio - moles of calcium in the sorbent divided by the moles of sulfur in the fuel. (This is an indicator of the amount of sorbent required to reduce SO2 to desired limit.) Reinjection/recycle ratio - mass flow rate of char material that is reinjected to the combustor divided by the mass flow rate of fuel feed. Average superficial air velocity (ft/sec) - velocity of air through a fluidized bed. The superficial velocity is based on the cross sectional area of the bed and the total air flow rate. The density used to calculate superficial velocity is based on the average bed temperature and pressure. Fuel feed rate Sorbent feed rate 15. Boiler - Furnace (Surface) Release Rate Enter the furnace (surface) release rate of the PRIMARY FUEL. This rate is specified in the boiler contract as the heat available per hour, in Btu per square foot of heat absorbing surface in the furnace. The absorbing surface includes all heat exchange surfaces (waterwalls, superheaters, external, etc.). Furnace (surface) release rate at maximum continuous rating (in Btus/SqFt/Hr) 16. Boiler - Furnace Volumetric Heat Release Rate Enter the furnace volumetric heat release rate of the PRIMARY FUEL. This rate is the total quantity of thermal energy released into the furnace by the fuel at its higher heating value (HHV). The volumetric heat release rate is expressed in Btu per cubic foot of total heat exchanger volume per hour. It does not include the heat added by preheated air or the heat unavailable due to evaporation of moisture in the fuel and combustion of hydrogen. Furnace volumetric heat release rate at maximum continuous rating (in Btu/CuFt/Hr)
Page E-FB-8
17.
Boiler - Primary and Secondary Design Fuel, Sorbents, and Non-sorbent The PRIMARY fuel is defined as that fuel primarily used to sustain load on the unit, (i.e., the first fuel of choice for either economic or control reasons) or that fuel contributing 50% or more of the load-carrying Btu. The SECONDARY fuel is that normally used to sustain load if the PRIMARY fuel is unavailable or uneconomical. Do NOT report ignition or warm-up fuel. Sorbent is a material (usually a limestone or dolomite) that is fed into the combustor with the solid fuel (coal) thereby reducing the SO2 that is released during the combustion process. Non-sorbent is a material other than sorbent that is used to build the bed. All characteristics are based on an ultimate analysis of the as-received fuel using appropriate ASTM testing methods. Additional notes are provided where appropriate. Primary Fuel Secondary Fuel Fuel Codes
CC LI PE WD OO DI KE JP WA GG
Coal Lignite Peat Wood Oil Distillate Oil (#2) Kerosene JP4 or JP5 Water Gas
PR SL GE NU WM SO WH OS OL OG
Propane Sludge Gas Geothermal Nuclear Wind Solar Waste Heat Other - Solid (Tons) Other - Liquid (BBL) Other - Gas (Cu.Ft.)
Fuel Characteristics Average Heat Content in Fuel (Btu/lb, Btu/bbl, Btu/CuFt) % Ash Content (to one decimal place)

% Sulfur Content (to one decimal place)

% Moisture Content (to one decimal place)

Ash Softening Temp (F) (in a reducing atmosphere) (ASTM STD D-1857, Part 26) (coal units only) Grindability Hardgrove Index (ASTM STD D-409, Part 26) (coal units only)

% Vanadium & Phosphorous (to one decimal place) (oil units only) Fuel Top (largest particle) size
Page-E-FB-9
17.
Boiler - Primary and Secondary Design Fuel, Sorbents, and Non-sorbent (Continued) Sorbent: Primary Secondary Type Abrasion Index (identify index used) % by Mass Magnesium Content (to one decimal place)

% by Mass Calcium Content (to one decimal

% by Mass Carbon Dioxide Content (to one decimal place) % by Mass Moisture Content (to one decimal place)
Sorbent top (largest particle size)
Non-sorbent: Primary Secondary Type Initial Ash Fushion Temperature (F) Non-sorbent Top (largest particle) size
Page E-FB-10
18.
Boiler - Fuel Oil Forwarding System The fuel oil forwarding system transfers oil from the main storage tanks to smaller tanks closer to the unit. (See Item 20 for pumps that feed oil directly to the burners.) Enter the following data for this system: Fuel forwarding/transfer pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the fuel forwarding/transfer pump(s). Number of fuel forwarding/transfer pumps per manufacturer; include installed spares. TOTAL number of fuel forwarding/transfer pumps for the unit. MINIMUM number of pumps required to obtain maximum capacity from the unit.
19.
Boiler - Burner Management Systems Enter the name of the manufacturers for the following burner management systems: Manufacturer of the combustion control system that coordinates the feedwater, air, and fuel subsystems for continuous unit operation. Manufacturer of the burner management system that monitors only the fuel and air mixture during all phases of operation to prevent the formation of an explosive mixture.
20.
Boiler - Fuel Oil Burner Supply System (In-plant) These are secondary, high pressure pumps within the area of the boiler used to feed fuel oil directly to the burners. Fuel oil burner supply pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the fuel oil burner supply pump(s). Number of fuel oil burner supply pumps per manufacturer; include installed spares. TOTAL number of fuel oil burner supply pumps for the unit. MINIMUM number of fuel oil burner supply pumps required to obtain maximum capacity from the unit.
Page-E-FB-11
21.
Boiler - Burner Systems Enter the following information on the installed burner systems used for the preliminary heatup of the boiler: Duct burner: Duct burner manufacturer Btu rating Enter the type of duct burner fuel used: A - Light (distillate) oil B - Heavy oil C - Gas D - Coal
E - Oil and Gas F - Propane M - More than one
Enter the type of duct burner used: 1 - Pilot torch lighter - an oil or gas igniter that uses an electric spark to ignite the fuel. 2 - Carbon arc - a carbon or graphite electrode is energized and used to ignite the fuel. 3 - High energy arc - a low voltage, high energy pulse arc is used to ignite the fuel. 4 - Plasma arc - a high dc voltage current is used to ionize the air resulting in a high energy arc that ignites the fuel. 4 - Manual - Ignition torch or lance inserted into boiler by operating personnel. 5 - Combination of any burner types above. 9 - Other, describe Warmup burner: Warmup burner manufacturer Btu rating Enter the type of warmup burner fuel used: A B C D Light (distillate) oil Heavy oil Gas Coal E - Oil and Gas F - Propane M - More than one
Page E-FB-12
21.
Boiler - Burner Systems (Continued) Enter the type of warmup burner used: 1 2 3 4 Pilot torch lighter - an oil or gas igniter that uses an electric spark to ignite the fuel. Carbon arc - a carbon or graphite electrode is energized and used to ignite the fuel. High energy arc - a low voltage, high energy pulse arc is used to ignite the fuel. Plasma arc - a high dc voltage current is used to ionize the air resulting in a high energy arc that ignites the fuel. Manual - Ignition torch or lance inserted into boiler by operating personnel. Combination of any burner types above. Other, describe
5 6 9 -
Lance injection burner: Lance injection burner manufacturer. Btu rating Enter the type of lance injection burner fuel used: A B C D Light (distillate) oil Heavy oil Gas Coal E - Oil and Gas F - Propane M - More than one
Enter the type of lance injection burner used: 1 2 3 4 Pilot torch lighter - an oil or gas igniter that uses an electric spark to ignite the fuel. Carbon arc - a carbon or graphite electrode is energized and used to ignite the fuel. High energy arc - a low voltage, high energy pulse arc is used to ignite the fuel. Plasma arc - a high dc voltage current is used to ionize the air resulting in a high energy arc that ignites the fuel. 5 - Manual - Ignition torch or lance inserted into boiler by operating personnel. 6 - Combination of any burner types above. 9 - Other, describe -
Page-E-FB-13
22.
Boiler - Solid Fuel Handling Systems - Yard Area Enter the following information on the equipment installed in the solid fuel yard: Stacker/reclaimer system manufacturer. Number of critical path solid fuel conveyor systems available to the UNIT.
23.
Boiler - Solid Fuel Crushers Enter the following information on the solid fuel crushing equipment used to supply solid fuel to the in-plant solid fuel-holding bunkers for burning in the boiler: Crusher(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the crusher(s). Type of crusher(s). TOTAL number of crushers.
24.
Boiler - Solid Fuel Feed to Boiler Enter the following information on the solid fuel feed equipment used to supply solid fuel from the in-plant solid fuel-holding bunkers to the over-bed, under-bed, or within-bed entrance of the boiler: Type of crusher(s). Crusher(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the crusher(s). TOTAL number of crushers. Gravimetric feeder manufacturer(s). Manufacturer(s) of the motor(s) that drives the gravimetric feeder(s). TOTAL number of gravimetric feeders. Volumetric feeder manufacturer(s). Manufacturer(s) of the motor(s) that drives the volumetric feeder(s). TOTAL number of volumetric feeders. Pneumatic feeder manufacturer(s). Manufacturer(s) of the motor(s) that drives the pneumatic feeder(s). TOTAL number of pneumatic feeders. Type of pressure seal (lockhoppers, rotary valve, gravimetric pump, loop seal). Number of solid fuel trains including installed spares.
Page E-FB-14
25.
Boiler - Secondary Fuel Feed (other than coal) Type of secondary boiler fuel feed system: 1 - Lance 2 - Nozzle 9 - Other, describe Percent (%) load carrying capability
Enter the type of solid fuel feed(s): Gravimetric feeder manufacturer(s). Manufacturer(s) of the motor(s) that drives the gravimetric feeder(s). TOTAL number of gravimetric feeders. Volumetric feeder manufacturer(s). Manufacturer(s) of the motor(s) that drives the volumetric feeder(s). TOTAL number of volumetric feeders. Pneumatic feeder manufacturer(s). Manufacturer(s) of the motor(s) that drives the pneumatic feeder(s). TOTAL number of pneumatic feeders. Type of pressure seal (lockhoppers, rotary valve, gravimetric pump, loop seal). Number of secondary solid fuel trains including installed spares. 26. Boiler - Sorbent Crusher or Pulverizer Capability Enter the following information on the capability of the installed crusher(s) or pulverizer(s): Sorbent crusher(s) or pulverizer(s) manufacturer(s). Manufacturers model number for the sorbent crusher(s) or pulverizer(s). Design sorbent flow rate in lb/hr PER sorbent crusher or pulverizer using design fuel specifications. Number of sorbent crushers or pulverizers per manufacturer; include installed spares. TOTAL number of sorbent crushers or pulverizers for the unit. MINIMUM number of sorbent crushers or pulverizers required to obtain maximum capacity from the unit. Sorbent stacker/reclaimer manufacturer.
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26.
Boiler - Sorbent Crusher or Pulverizer Capability (Continued) M1 M2 Enter the type of sorbent crusher(s) or pulverizer(s) at the unit: 1 - Ball - grinding elements are balls that operate freely in a race on a rotating grinding table. 2 - Roll race - rotating grinding table that moves sorbent through a series of rollers or wheels supported within the pulverizer. 3 - Ball tube (Hardinge) - horizontal, rotating, grinding cylinder containing steel balls that move within the cylinder and grind or crush the sorbent. 4 - Impact (Attrition) - series of fixed or hinged hammers that rotate within a closed chamber impacting and crushing the sorbent. 9 - Other, describe
27.
Boiler - Sorbent Feed System to Boiler Enter the following information on the sorbent feeder equipment used to supply sorbent from the inplant sorbent-holding bunkers to the boiler: Gravimetric feeder manufacturer(s). Manufacturer(s) of the motor(s) that drives the gravimetric feeder(s). TOTAL number of gravimetric feeders. Volumetric feeder manufacturer(s). Manufacturer(s) of the motor(s) that drives the volumetric feeder(s). TOTAL number of volumetric feeders. Pneumatic feeder manufacturer(s). Manufacturer(s) of the motor(s) that drives the pneumatic feeder(s). TOTAL number of pneumatic feeders. Type of pressure seal (lockhoppers, rotary valve, gravimetric pump, loop seal). Number of sorbent feed trains including installed spares.
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28.
Boiler - Bed Material Injection Feed System Bed materials are the solids in the bed or dense phase of the combustor. Enter the following information on the bed material feed equipment used to supply bed material from the in-plant bed material-holding bunkers to the boiler: Gravimetric feeder manufacturer(s). Manufacturer(s) of the motor(s) that drives the gravimetric feeder(s). TOTAL number of gravimetric feeders. Volumetric feeder manufacturer(s). Manufacturer(s) of the motor(s) that drives the volumetric feeder(s). TOTAL number of volumetric feeders. Pneumatic feeder manufacturer(s). Manufacturer(s) of the motor(s) that drives the pneumatic feeder(s). TOTAL number of pneumatic feeders. Type of pressure seal (lockhoppers, rotary valve, gravimetric pump, loop seal). Number of bed material trains including installed spares.
29.
Boiler - Balanced Draft or Pressurized Draft Enter the type of boiler draft: 1 - Balanced draft - equipped with both induced draft and forced draft fans. The furnace operates at positive pressure at air entry and negative pressure at flue gas exit. 2 - Pressurized draft - equipped with forced draft fans only. The furnace and draft systems operate at positive pressure. IF the unit was originally designed as a pressurized draft unit and converted to a balanced draft design, indicate the date the conversion was completed: Year Month Day
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30.
Boiler - Primary Air (Forced Draft) Fan System Primary air is used for combustion and/or fluidization processes. Enter the following information on the installed primary air (forced draft) fans: Primary air (forced draft) fan(s) manufacturer(s). Manufacturer(s) of the motor(s)/steam turbine(s) that drives the primary air (forced draft) fan(s). Number of primary air (forced draft) fans per manufacturer; include installed spares. TOTAL number of primary air (forced draft) fans for the unit. MINIMUM number of primary air (forced draft) fans required to obtain maximum capacity from the unit. Horsepower of fan(s) M1 M2 Enter the type of primary air (forced draft) fan(s) at the unit: Centrifugal - blades mounted on an impeller (or rotor) which rotates within a spiral or volute housing. Mark the type of blades used on this type of fan: 1 - Forward curved 2 - Straight (radial or radial tipped) 3 - Backward curved (air foil or flat) 4 - Axial (fixed or variable pitch) - blades attached to central hub parallel to air flow. 9 - Other, describe
M1
M2 Enter the type of primary air (forced draft) fan drive(s) at the unit: 1 2 3 4 5 9 Single-speed motor Two-speed motor Variable-speed motor Steam turbine Fluid drive Other, describe
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31.
Boiler - Induced Draft Fan System Enter the following information on the induced draft fans installed at the unit: Induced draft fan(s) manufacturer(s) Manufacturer(s) of the motor(s)/steam turbine(s) that drives the induced draft fan(s). Number of induced draft fans per manufacturer; include installed spares. TOTAL number of induced draft fans for the unit. MINIMUM number of induced draft fans required to obtain maximum capacity from the unit. Horsepower of fan(s) M1 M2 Enter the type of induced draft fan(s) at the unit: Centrifugal - blades mounted on an impeller (or rotor) which rotates within a spiral or volute housing. Mark the type of blades used on this type of fan: 1 - Forward curved 2 - Straight (radial or radial tipped) 3 - Backward curved (air foil or flat) 4 - Axial (fixed or variable pitch) - blades attached to central hub parallel to air flow. 9 - Other, describe M1 M2 Enter the type of induced draft fan drive(s) at the unit: 1 2 3 4 5 9 Single-speed motor Two-speed motor Variable-speed motor Steam turbine Fluid drive Other, describe
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32.
Boiler - Secondary Air Fan System Secondary air is used for purposes such as fuel transport. Enter the following information on the secondary air fans installed at the unit: Secondary air fan(s) manufacturer(s). Manufacturer(s) of the motor(s)/steam turbine(s) that drives the secondary air fan(s). Number of secondary air fans per manufacturer; include installed spares. TOTAL number of secondary air fans for the unit. MINIMUM number of secondary air fans required to obtain maximum capacity from the unit. Horsepower of fan(s) M1 M2 Enter the type of secondary air fan(s) at the unit: Centrifugal - blades mounted on an impeller (or rotor) which rotates within a spiral or volute housing. Mark the type of blades used on this type of fan: 1 - Forward curved 2 - Straight (radial or radial tipped) 3 - Backward curved (air foil or flat) 4 - Axial (fixed or variable pitch) - blades attached to central hub parallel to air flow. 9 - Other, describe M1 M2 Enter the type of secondary air fan(s) drives at the unit: 1 2 3 4 5 9 Single-speed motor Two-speed motor Variable-speed motor Steam turbine Fluid drive Other, describe
33.
Boiler - Primary Air Heating System Enter the following information about the air heaters used to transfer the excess heat from the flue gases to the incoming primary air for the furnace: Primary air heater(s) manufacturer(s). TOTAL number of primary air heaters per manufacturer. Air heater outlet temperature.
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33.
Boiler - Primary Air Heating System (Continued) M1 M2 Enter the type of primary air heater(s) at the unit: 1 - Regenerative (Ljungstrom) - rotating heat exchanger that continuously rotates sections (baskets) composed of metal plates from the hot flue gas furnace exit plenum to the furnace intake air plenums thus heating the intake air. 2 - Tubular - hot flue gas from the furnace is channeled through tubes (vertical or horizontal) where the heat is transferred to the furnace intake air passing across the outside of the tubes. 3 - Steam Coil - similar to tubular except steam is used to preheat the intake air. 4 - Regenerative (Rothemule) - rotating heat exchanger similar to Regenerative (Ljungstrom) except sections (baskets) remain stationary while the housing rotates. 5 - Recuperative (plate-type) - air heater which uses thin, flat, parallel plates with alternate wide and narrow spacing to match the ratio of gas weight to air weight. Thus, flue gas is made to pass through the wider spaced passages (1 to ) and the air through the narrower passages (3/4 to ) generally in counter flow relation. 6 - Heat pipe - this air heater allows the transfer of very substantial quantities of heat through small surface areas. Hollow pipes with wicking material covering the inside surface area used to transfer the heat in the following manner. A condensible fluid inside the pipes permeates the wicking material by capillary action. When heat is added by the flue gas at one end of the pipes (evaporator), liquid is vaporized in the wick and the vapor moves to the central core. At the air end of the pipes, heat is removed (the condenser) and the vapor condenses back into the wick. Liquid is replenished in the evaporator section by capillary action. 9 - Other, describe Boiler - Secondary Air Heating System Enter the following information about the secondary (or backup) air heaters used in the transfer of excess heat from the flue gases to the incoming primary air for the furnace: Secondary air heater(s) manufacturer(s). TOTAL number of secondary air heaters per manufacturer. Air heater outlet temperature. M1 M2 Enter the type of additional air heater(s) at the unit (see item 33 for definitions of each type): 1 2 3 4 5 6 9 Regenerative (Ljungstrom) Tubular Steam Coil Regenerative (Rothemule) Recuperative (plate-type) Heat Pipe Other, describe
34.
Page-E-FB-21
35.
Boiler - Soot Blowers Enter the following information on the soot blower system installed on the furnace: Soot blower(s) manufacturer(s). TOTAL number of soot blowers installed on the furnace per manufacturer. Enter the type(s) of medium(s) used to blow the soot. If a variety of soot blowers are used at the unit, note the number of each. M1 M2 M3
Type Number 1 2 3 4 5 9 36. -
Type Number Steam Air Water Sonic Steam/Air Other, describe
Type Number
Boiler - Bed Material Coolers Bed material coolers are heat exchangers used to cool the hot bed material as it is drained from the fluidized bed. Enter the following information on the bed material coolers. Bed material cooler manufacturer. TOTAL number of bed material coolers installed on the unit. Bed material cooler tube materials used in the majority (50% or greater) of the tubes made by each manufacturer. Bed material cooler type (screw, counter flow, fluid bed, other). Exit material temperature (F).
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37.
Boiler - Bed Material Handling System Enter the following information on the bed material handling equipment: Bed material handling system manufacturer. Enter the type of bed material removal system used: 1 - Vacuum - bed material conveying system operates at a vacuum relative to the bed material collection hoppers. 2 - Pressure - bed material conveying system operates at a pressure greater than the pressure in the bed material collection hoppers. 3 - Vacuum-pressure - employs the best features of both the vacuum and pressure systems. 4 - Water (sluice) - employs water to sluice the bed material away from the hoppers. 5 - Vacuum/water slurry - bed material conveying system operates at a vacuum relative to the bed material collection hoppers. 6 - Mechanical - refers to mechanical conveying systems such as conveyor belts, bucket elevators, and screw conveyors. 9 - Other, describe
38.
Boiler - Char Disposal System Char (unburned fuel, sorbent, and ash) is captured by the separator and transferred to disposal and/or reinjected into the fluidized bed. Enter the following information on the char disposal handling equipment: Char disposal handling system manufacturer. Enter the type of char disposal system used: 1 - Vacuum - char disposal conveying system operates at a vacuum relative to the char disposal collection hoppers. 2 - Pressure - char disposal conveying system operates at a pressure greater than the pressure in the char disposal collection hoppers. 3 - Vacuum-pressure - employs the best features of both the vacuum and pressure systems. 4 - Water (sluice) - employs water to sluice the char disposal away from the hoppers. 5 - Vacuum/water slurry - char disposal conveying system operates at a vacuum relative to the char disposal collection hoppers. 6 - Mechanical - refers to mechanical conveying systems such as conveyor belts, bucket elevators, and screw conveyors. 9 - Other, describe
39.
Boiler - Electrostatic Precipitator Fly ash contained in the furnace exit flue gases can be removed by using an electrostatic precipitator. Enter the following information: Electrostatic precipitator manufacturer. Number of fields. Surface collection area (SCA) (ft2/kacfm) at maximum continuous rating (MCR).
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39.
Boiler - Electrostatic Precipitator (Continued) Enter the location of the electrostatic precipitator with respect to the air heaters: 1 - Before air heaters 2 - After air heaters 3 - Both before and after, or between the air heaters
40.
Boiler - Baghouse Fly Ash System Fly ash contained in the furnace exit flue gas is removed using fabric or fabric bag fillers. Enter the following information: Baghouse system manufacturer. Manufacturer(s) of the baghouse exhauster booster fan(s). Manufacturer(s) of the motor(s) that drive the baghouse booster fan(s). TOTAL number of baghouse booster fans installed on the unit. Air-to-cloth ratio, in ACFM/kft2. Bag material. Sonic assisted cleaning? 1 Yes 2 No
Enter the type of baghouse at the unit: 1 - Reverse - clean flue gas is blown in a direction counter to normal operation to remove the fly ash from the bag. 2 - Pulse (or pulse set) - short bursts of compressed air are blown into the bag to cause a momentary expansion of the bag which dislodges the entrapped fly ash. 3 - Shaker - the bag is literally shaken to remove the fly ash collected on its surface. 4 - Combination (reverse/shaker) 9 - Other, describe
Enter the type of baghouse booster fan(s) at the unit: Centrifugal - blades mounted on an impeller (or rotor) which rotates within a spiral or volute housing. Mark the type of blades used on this type of fan: 1 - Forward curved 2 - Straight (radial or radial tipped) 3 - Backward curved (air foil or flat) 4 - Axial (fixed or variable pitch) - blades attached to central hub parallel to air flow. 9 - Other, describe
Page E-FB-24
41.
Boiler - Fly Ash Transport System Enter the following information: Fly ash removal system manufacturer. Enter the type of fly ash removal system used: 1 - Vacuum - ash conveying system operates at a vacuum relative to the fly ash collection hoppers. Ash is dry. 2 - Pressure - ash conveying system operates at a pressure greater than the pressure in the fly ash collection hoppers. Ash is dry. 3 - Vacuum-pressure - employs the best features of both the vacuum and pressure systems. 4 - Water (sluice) - employs water to sluice the ash away from the hoppers. 5 - Vacuum/water slurry - ash conveying system operates at a vacuum relative to the fly ash collection hoppers. Ash is wet. 6 - Mechanical - refers to mechanical conveying systems such as conveyor belts, bucket elevators, and screw conveyors. 9 - Other, describe_________________________________________________
42.
Steam Turbine - Manufacturer Enter the name of the manufacturer of the steam turbine: Steam turbine manufacturer
43.
Steam Turbine - Enclosure Is 50% or more of the steam turbine outdoors (not enclosed in building framing and siding)? 1 Yes 2 No
44.
Steam Turbine - Nameplate Rating in MW Nameplate is the design capacity stamped on the steam turbines nameplate or published on the turbine guarantee flow diagram. In cases where the steam turbines nameplate rating cannot be determined, approximate the rating by multiplying the MVA (megavoltamperes) by the rated power factor found on the nameplate affixed to the units generator (or nameplates in the case of cross compound units). Steam turbines nameplate rating (MW).
Page-E-FB-25
45.
Steam Turbine - Type of Steam Turbine Identify the steam turbines casing or shaft arrangement. Enter the type of steam turbine at the unit: 1 - Single casing - single (simple) turbine having one pressure casing (cylinder). 2 - Tandem compound - two or more casings coupled together in line. 3 - Cross compound - two cross-connected single casing or tandem compound turbine sets where the shafts are not in line. 4 - Triple compound - three cross-connected single casing or tandem compound turbine sets. 9 - Other, describe
46.
Steam Turbine Manufacturers Building Block or Design Codes Steam turbine building blocks or manufacturers design codes are assigned by the manufacturer to designate a series of turbine designs (LM5000 or W501 for example). Enter the following information: Manufacturers code, first shaft Manufacturers code, second shaft (cross or triple compound Turbine configuration and number of exhaust flows (e.g. tandem compound, four flow)
47.
Steam Turbine - Steam Conditions Enter the following information on the Main, First Reheat, and Second Reheat Steam design conditions: Main Steam First Reheat Second Reheat Temperature (F) Pressure (psig)
Page E-FB-26
48.
Steam Turbine - High, Intermediate, and Low Pressure Sections Enter the following information describing the various sections of the steam turbine:
High Pressure Casings TOTAL number of high pressure casings, cylinders or shells Back pressure of the high pressure condenser (if applicable) to the nearest one-tenth inch of mercury at the nameplate capacity and design water temperature.
Combined High Pressure/Intermediate Pressure Casings TOTAL number of high/intermediate pressure casings, cylinders, or shells. Intermediate Pressure Casings TOTAL number of intermediate pressure casings, cylinders, or shells. Combined Intermediate/Low Pressure Casings TOTAL number of intermediate/low pressure casings, cylinders, or shells. Low Pressure Casings TOTAL number of low pressure casings, cylinders or shells. Back pressure of the low pressure condenser to the nearest one-tenth inch of mercury at nameplate capacity and design water temperature. The last stage blade length (inches) of the low pressure turbine, measured from hub to end of top of blade.
Page-E-FB-27
49.
Steam Turbine - Governing System Enter the following information for the steam turbine governing system: Enter the type of governing system used at the unit: 1 - Partial arc - main steam flow is restricted to one sector of the turbines first stage at startup. 2 - Full arc - main steam is admitted to all sectors of the turbines first stage at startup. 3 - Either - capable of admitting steam using either partial or full arc techniques. 9 - Other, describe Enter the type of turbine governing system used at the unit: 1 - Mechanical hydraulic control (MHC) - turbine speed monitored and adjusted through mechanical and hydraulic linkages. 2 - Analog electro-hydraulic control (EHC) - analog signals control electro-hydraulic linkages to monitor and adjust turbine speed. 3 - Digital electro-hydraulic control (DHC) - same as EHC except signals are digital rather than analog. 9 - Other, describe
50.
Steam Turbine - Lube Oil System Enter the following information for the steam turbine main lube oil system: Main lube oil system manufacturer. Main lube oil pump(s) manufacturer(s). Manufacturer(s) of the motor(s)/steam turbine(s) that drives the main lube oil pump(s). TOTAL number of steam turbine main lube oil pumps; include installed spares. Enter the type of driver on the main lube oil pump: 1 2 3 4 9 Motor Shaft Steam turbine More than one Other, describe
Page E-FB-28
51.
Generator - Manufacturer Enter the name of the manufacturer of the electric generator: Generator manufacturer
52.
Generator - Enclosure Is 50% or more of the generator outdoors (not enclosed in building framing and siding)? 1 Yes 2 No
53.
Generator - Ratings and Power Factor Enter the following information about the generator: Main Generator Second* Shaft Third* Shaft
Megavoltamperes (MVA) Capability RPM Power Factor (enter as %)

*Cross compound units. 54. Generator - Cooling System Two types of cooling methods are typically used. First is the innercooled method, where the cooling medium is in direct contact with the conductor copper or is separated by materials having little thermal resistance. The other is the conventional cooling method where the heat generated within the windings must flow through the major ground insulation before reaching the cooling medium. Enter the type of cooling method used by the generator: 1 - Stator innercooled and rotor innercooled. 2 - Stator conventionally cooled and rotor conventionally cooled. 3 - Stator innercooled and rotor conventionally cooled. 9 - Other, describe Enter the mediums used to cool the generators stator and rotor: Stator A H O W M Medium Rotor Air A Hydrogen H Oil O Water W More than one M
Page-E-FB-29
55.
Generator - Hydrogen Pressure Enter the generator hydrogen pressure IN PSIG at nameplate MVA.
56.
Exciter - Configuration Enter the following information about the main exciter: Exciter manufacturer TOTAL number of exciters; include installed spares. MINIMUM number of exciters required to obtain maximum capacity from the unit. Enter the type of main exciters used at the unit: 1 - Static - static excitation where dc is obtained by rectifying ac from generator terminals, and dc is fed into rotor by collector rings. 2 - Rotating dc generator - exciter supplies dc from a commutator into the main rotor by means of collector rings. 3 - Brushless - an ac (rotating armature type) exciter whose output is rectified by a semiconductor device to provide excitation to an electric machine. The semiconductor device would be mounted on and rotate with the ac exciter armature. 4 - Alternator rectifier 9 - Other, describe Enter the type(s) of exciter drive(s) used by the main exciter IF it is rotating: 1 2 3 9 Shaft direct Shaft gear Motor Other, describe
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57.
Auxiliary Systems - Main Condenser Enter the following information for the main condenser and its auxiliaries: Main condenser manufacturer TOTAL number of passes made by the circulating water as it passes through the condenser. TOTAL number of condenser shells. Condenser tube materials used in the majority (50% or more) of the condenser tubes. Air ejector or vacuum pump manufacturer. Enter the type of air removal equipment used on the condenser: 1 2 3 9 Vacuum pump Steam jet air ejector Both Other, describe
Enter the type of cooling water used in the condenser: 1 2 3 9 Fresh - salinity values less than 0.50 parts per thousand. Brackish - salinity value ranging from approximately 0.50 to 17 parts per thousand. Salt - salinity values greater than 17 parts per thousand. Other, describe
Enter the orgin of the circulating water used in the condenser: 1 - River 2 - Lake 3 - Ocean or Bay 58. 4 - Cooling Tower 5 - Fresh water wells 9 - Other, describe
Auxiliary Systems - Condenser Cleaning System Enter the following information about the ON-LINE main condenser cleaning system at the unit (leave blank if cleaning is manual): On-line main condenser cleaning system manufacturer. Enter the type of on-line main condenser cleaning system used at the unit: 1 2 3 4 9 Ball sponge rubber Brushes Chlorination On-line backwash Other, describe
Page-E-FB-31
59.
Auxiliary Systems - Condensate Polishing System A condensate polisher is an in-line demineralizer located in the condensate water system to treat water coming from the condenser to the boiler. It is not the demineralizer that prepares raw or untreated water for eventual use in the steam production process. Enter the following information about the condensate polishing system at the unit: Condensate polishing system manufacturer Enter the % treated of the condensate flow at maximum unit capacity that can be treated: % Treated
60.
Auxiliary Systems - Condensate Pumps Enter the following information for the main condensate pumps (those at the discharge of the condenser): Condensate pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the condensate pump(s). Number of condensate pumps per manufacturer; include installed spares. TOTAL number of condensate pumps for the unit. MINIMUM number of condensate pumps required to obtain maximum capacity from the unit.
61.
Auxiliary Systems - Condensate Booster Pumps Condensate booster pumps increase the pressure of the condensate water between the low pressure and the intermediate or high pressure feedwater heaters. Enter the following information for the condensate booster pumps: Condensate booster pump(s) manufacturer(s) Manufacturer(s) of the motor(s) that drives the condensate booster pump(s). Number of condensate booster pumps per manufacturer; include installed spares. TOTAL number of condensate booster pumps for the unit. MINIMUM number of condensate booster pumps required for maximum capacity from the unit.
Page E-FB-32
62.
Auxiliary Systems - Feedwater (Boiler Feed) Pumps The feedwater (boiler feed) pumps move the feedwater through the feedwater system into the boiler. Enter the following information on the feedwater pumps installed at the unit: Feedwater (boiler feed) pump(s) manufacturer(s). Operating speed (RPM) of the feedwater pump(s) at full load. Number of feedwater pumps per manufacturer; include installed spares. TOTAL number of feedwater pumps for the unit. MINIMUM number of feedwater pumps required to obtain maximum capacity from the unit. PERCENT (%) of the units maximum capacity that can be achieved with a single feedwater pump.
63.
Auxiliary Systems - Feedwater (Boiler Feed) Pump Drives Enter the following information for the feedwater (boiler feed) pump drives: Manufacturer(s) of motor(s) or steam turbine(s) that drives the feedwater pump(s). M1 M2 Enter the type of equipment used to drive the feedwater (boiler feed) 1 2 3 4 5 M1 M2 Specify coupling type used for feedwater (boiler feed) pump. 1 - Hydraulic 2 - Mechanical 9 - Other, describe Motor - single speed Motor - two speed Motor - variable speed Steam turbine Shaft 6 7 8 9 Motor gear Steam gear Staft gear Other, describe
Page-E-FB-33
64.
Auxiliary Systems - Startup Feedwater (Boiler Feed) Pumps Enter the following information for the startup feedwater pump(s) at the unit: Startup feedwater pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the startup feedwater pump(s). TOTAL number of startup feedwater pumps for the unit. PERCENT (%) of the units maximum capacity that can be achieved using a single startup feedwater pump. Indicate the additional capabilities of the startup feedwater pump: 1 - ADDITIVE: operated in conjunction with the feedwater (boiler feed) pumps. 2 - REPLACEMENT: can carry load for the feedwater (boiler feed) pumps at such times when the feedwater pumps are inoperative. 3 - STARTUP ONLY: cannot be used in lieu of the feedwater pumps. 9 - Other, describe
M1
M2
65.
Auxiliary Systems - High Pressure Feedwater Heaters High pressure feedwater heaters are those heat exchangers between the feedwater (boiler feed) pumps discharge and the economizer inlet. Enter the following information for the HIGH pressure feedwater heaters at the unit: High pressure feedwater heater(s) manufacturer(s). Number of high pressure feedwater heaters per manufacturer. Feedwater heater tube materials used in 50% or more of the tubes per manufacturer. TOTAL number of high pressure feedwater heaters for the unit. M1 M2 Enter the type of HIGH pressure feedwater heater(s): 1 2 3 9 Horizontal - longitudinal axis of the heater shell is horizontal. Vertical - longitudinal axis of the heater shell is vertical. Both Other, describe
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66.
Auxiliary Systems - Intermediate Pressure Feedwater Heaters Intermediate pressure feedwater heaters are those heat exchangers between the condensate booster pump discharge and the deaerator. Enter the following information for the INTERMEDIATE pressure feedwater heaters at the unit: Intermediate pressure feedwater heater(s) manufacturer(s). Number of intermediate pressure feedwater heaters per manufacturer. Feedwater heater tube materials used in 50% or more of the tubes, per manufacturer. TOTAL number of intermediate pressure feedwater heaters for the unit. M1 M2 Enter the type of INTERMEDIATE pressure feedwater heater(s): 1 2 3 9 Horizontal - longitudinal axis of the heater shell is horizontal. Vertical - longitudinal axis of the heater shell is vertical. Both Other, describe
67.
Auxiliary Systems - Low Pressure Feedwater Heaters Low pressure feedwater heaters are those heat exchangers between the condensate pump discharge and the condensate booster pump inlet. If the unit does not have condensate booster pumps, the low pressure feedwater heaters are located between the condensate pumps and the deaerator. Enter the following information for the LOW pressure feedwater heaters at the unit: Low pressure feedwater heater(s) manufacturer(s). Number of low pressure feedwater heaters per manufacturer. Feedwater heater tube materials used in 50% or more of the tubes, per manufacturer. TOTAL number of low pressure feedwater heaters for the unit. M1 M2 Enter the type of LOW pressure feedwater heater(s): 1 2 3 9 Horizontal - longitudinal axis of the heater shell is horizontal. Vertical - longitudinal axis of the heater shell is vertical. Both Other, describe
Page-E-FB-35
68.
Auxiliary Systems - Deaerator Heater Enter the following information on the deaerator heater at the unit: Deaerator manufacturer(s) M1 M2 Enter the type of deaerator heater(s): 1 2 3 4 9 Spray - high-velocity stream jet atomizes and scrubs the condensate. Tray - series of trays over which the condensate passes and is deaerated. Vacuum - a vacuum condition inside the shell for deaeration. Combination Other, describe
69.
Auxiliary Systems - Heater Drain Pumps Enter the following information for the heater drain pumps at the unit: Heater drain pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the heater drain pump(s).
70.
Auxiliary Systems - Circulating Water Pumps Enter the following information for the circulating water pumps: Circulating water pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the circulating water pump(s). Number of circulating water pumps per manufacturer; include installed spares. TOTAL number of circulating water pumps for the unit. MINIMUM number of circulating water pumps required to obtain maximum capacity from the unit DURING WINTER SEASON.
71.
Auxiliary Systems - Cooling Tower and Auxiliaries Enter the following information for the cooling tower and all its related auxiliary equipment at the unit: Cooling tower manufacturer(s) Cooling tower fan(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the cooling tower fan(s).
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71.
Auxiliary Systems - Cooling Tower and Auxiliaries (Continued) M1 M2 1 2 3 Enter the type of cooling tower used by the unit: - Mechanical draft (induced, forced, cross-flow and counterflow) - fan(s) used to move ambient air through the tower. - Atmospheric spray - air movement is dependent on atmospheric conditions and the aspirating effect of the spray nozzles. - Hyperbolic (natural draft) - temperature difference between condenser circulating water and ambient air conditions, aided by hyperbolic tower shape, creates natural draft of air through the tower to cool the water. - Deck-filled - wetted surfaces such as tiers of splash bars or decks aid in the breakup and retention of water drops to increase the evaporation rate. - Coil shed - a combination structure of a cooling tower installed over a substructure that houses atmospheric coils or sections. - Other, describe
4 5 9
The cooling tower booster pumps increase the pressure of the circulating water and force the water to the top of the cooling tower. Cooling tower booster pump(s) manufacturer(s). Manufacturer(s) of the motor(s) that drives the cooling tower booster pump(s). Number of cooling tower booster pumps per manufacturer; include installed spares. TOTAL number of cooling tower booster pumps for the unit. MINIMUM number of cooling tower booster pumps required to obtain maximum capacity from the unit. 72. Balance of Plant - Main Transformer The main transformer is the unit step-up transformer connecting the generator (or multiple generators if unit is cross compound) to the transmission system. Enter the following information for the MAIN transformer(s) at the unit: Main transformer(s) manufacturer(s). TOTAL number of main transformers per manufacturer; include installed spares. Megavoltampere (MVA) size of the main transformer(s); per manufacturer. M1 M2 Enter the type of MAIN transformer at the unit: 1 - Single phase 2 - Three phase 9 - Other, describe
Page-E-FB-37
73.
Balance of Plant - Unit Auxiliary Transformer The unit auxiliary transformer supplies the auxiliaries when the unit is synchronized. Enter the following information for this transformer: Unit auxiliary transformer(s) manufacturer(s). TOTAL number of unit auxiliary transformers per manufacturer. LOW SIDE voltage in kilovolts (kV) of the unit auxiliary transformer(s) at 55, per manufacturer.
74.
Balance of Plant - Station Service Transformer The station service (start-up) transformer supplies power from a station high voltage bus to the station auxiliaries and also to the unit auxiliaries during unit start-up and shutdown. It also may be used when the unit auxiliary transformer is not available (or nonexistent). Station service transformer(s) manufacturer(s). TOTAL number of station service transformers per manufacturer. HIGH SIDE voltage in kilovolts (kV) of the station service transformer(s) at 55, per manufacturer. LOW SIDE voltage in kilovolts (kV) of the station service transformer(s) at 55, per manufacturer.
75.
Balance of Plant - Auxiliary (Start-up) Boiler Enter the following information on the auxiliary boiler at the unit: Auxiliary boiler manufacturer(s).
76.
Balance of Plant - Auxiliary Generator Enter the following information on the auxiliary generator at the unit: Auxiliary generator manufacturer(s). Is the auxiliary generator shaft driven? M1 M2 1 Yes 2 No
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77.
Balance of Plant - Plant Process Computer Enter the following information for the plant process computer(s): Plant process computer manufacturer(s). M1 M2 1 2 3 4 9 M1 M2 1 2 3 9 Describe how the plant process computers are linked within the plant: - Centralized - Distributive - Stand alone - Other, describe Enter the number of plant process computers available to the unit: - One computer for this unit only. - Two computers for this unit only. - One computer shared by one or more units. - Two computers shared by one or more units. - Other, describe
77.
Balance of Plant - Plant Process Computer (Cont.) M1 M2 Enter the system capability of the plant process computer: 1 - Monitor only 2 - Monitor and control 9 - Other, describe
78.
CEMS - General System vendor First-certified date: Year
Month
Day
Monitoring technique 1 - Extractive 2 - Dilution 3 - In Situ Analysis Method 1 - Wet 2 - Dry 9 - Other, describe
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79.
CEMS - Pollutant Gas and Diluent Gas Analyzers/Monitors 1. Sulfur Dioxide (SO2) Analyzers Manufacturer(s) Model number(s) M1 M2 Number of installed analyzers M1 M2 Number of installed spare analyzers M1 M2 Type(s) 1 2 3 9 M1 M2 Instrument range (parts per million) 1 2 3 9 M1 M2 Shared? (1 - Yes, 2 No) 2. Oxides of Nitrogen (NOx) Analyzers Manufacturer(s) Model number(s) M1 M1 M1 M2 Type(s) M2 Number of installed analyzers M2 Number of installed spare analyzers 0 - 50 0 - 150 0 - 500 Other, describe Ultraviolet Infrared Fluorescence Other, describe
Page E-FB-40
79.
CEMS - Pollutant Gas and Diluent Gas Analyzers/Monitors (Continued) 1 - Infrared 2 - Chemiluminescent 9 - Other, describe M1 M2 Instrument range (parts per million) 1 2 3 9 M1 M2 Shared? (1 - Yes, 2 No) 3. Carbon Monoxide (CO) Analyzers Manufacturer(s) Model number(s) M1 M1 M1 M2 Type(s) 1 2 3 9 M1 M2 Instrument range (parts per million) 1 2 3 9 0 - 50 0 - 150 0 - 500 Other, describe Infrared solid state Infrared luft Gas filter correlation Other, describe M2 Number of installed analyzers M2 Number of installed spare analyzers 0 - 50 0 - 150 0 - 500 Other, describe
Page-E-FB-41
79.
CEMS - Pollutant Gas and Diluent Gas Analyzers/Monitors (Continued) 4. Carbon Dioxide (CO2) Analyzers Manufacturer(s) Model number(s) M1 M2 Number of installed analyzers M1 M1 M2 Instrument range (parts per million) 1 2 3 9 M1 M2 Shared? (1 - Yes, 2 - No) 5. Oxygen (O2) Analyzers Manufacturer(s) Model number(s) M1 M1 M1 M2 Type(s) 1 2 3 9 M1 M2 Instrument range (parts per million) 1 2 3 9 M2 0 - 50 0 - 150 0 - 500 Other, describe Zirconia oxide Paramagretic Fuel cell Other, describe M2 Number of installed analyzers M2 Number of installed spare analyzers 0 - 50 0 - 150 0 - 500 Other, describe M2 Number of installed spare analyzers
M1
Shared? (1 - Yes, 2 - No)
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79.
CEMS - Pollutant Gas and Diluent Gas Analyzers/Monitors (Continued) 6. Opacity Monitors Manufacturer(s) Model number(s) M1 M2 Number of installed analyzers M1 M2 Number of installed spare analyzers M1 M2 Probe placement (if unit is equipped with a FGD system) 1 - Before scrubber 2 - After scrubber
80.
CEMS - Flue Gas Flow Monitors Manufacturer(s) Model number(s) M1 M2 Number of installed monitors M1 M2 Number of installed spare monitors Volumetric Flow Rate (ACFM): M1
M2
M1
M2 Flow rate measurement technique 1 2 3 4 9 Thermal sensing (hot-wire anemometer or dispersion) Differential pressure array Acoustic velocimetry (ulrasonic transducers) Combination Other, describe
Page-E-FB-43
81.
CEMS - Data Acquisition and Reporting System Hardware manufacturer Hardware architecture 1 2 3 9 Vendor-supplied dedicated system Modified existing plant computer Stand alone, pc-based system not supplied by CEMS system vendor Other, describe Software supplier Shared? (1 Yes, 2 - No)
NOx REDUCTION SYSTEMS These systems include Selective Non-catalytic Reduction, Selective Catalytic Reduction, Catalytic Air Heaters, and Staged NOx Reduction, which is a combination of the three methods. Excluded from this category are Low NOx burners, combustion modifications, and flue gas recirculation. Please complete the following information for the NOx Reduction Systems installed on your unit. (The appropriate items under each method should be completed for a Staged NOx Reduction System). 82. Selective Non-Catalytic Reduction System (SNCR) Reagent 1 - Ammonia 2 - Urea 9 - Other, describe Injector Type 1 - Wall nozzles 2 - Lance 9 - Other, describe Injection Equipment Location 1 2 3 9 Furnace Superheater Economizer Other, describe Number of Injectors
Page E-FB-44
82. Selective Non-Catalytic Reduction System (SNCR) (Continued) Carrier Gas Type 1 - Steam 2 - Air 9 - Other, describe Total flow rate (lb./hr.) Pressure at nozzle (psi) Nozzle exit velocity (ft./sec.) 83. Selective Catalytic Reduction System (SCR) Reactor 1 - Separate 2 - In Duct Flue gas take-off location Reagent 1 - Ammonia 2 - Urea 9 - Other, describe Ammonia Injection Grid Location 1 2 3 4 Furnace Superheater Economizer Zoned
Duct Configuration 1 - Flow straighteners 2 - Turning vanes 3 - Dampers Catalyst Element Type 1 - Plate 2 - Honeycomb 9 - Other, describe
Page-E-FB-45
83.
Selective Catalytic Reduction System (SCR) (Continued) Catalyst Support Material 1 - Stainless steel 2 - Carbon steel 9 - Other, describe Catalytic Material Configuration 1 - Vertical 2 - Horizontal 9 - Other, describe
Surface face area (sq. ft.) Catalyst volume (cu. ft.) Number of layers Layer thickness (inches) Sootblowers (if applicable) 1 - Air 2 - Steam 3 - Both air and steam Manufacturer(s) Number of sootblowers
Page E-FB-46
84.
Catalytic Air Heaters Element Type 1 - Laminar surface 2 - Turbulent surface 9 - Other, describe Support Material, if any 1 - Stainless steel 2 - Carbon steel 9 - Other, describe Catalyst Material Configuration 1 - Horizontal air shaft 2 - Carbon steel 9 - Other, describe Total face area (sq. ft.) Open face area (sq. ft.) Layer thickness (inches)
Page-E-FB-47
Page E-FB-48
Nuclear Units
Unit Design Data Nuclear

Instructions Submit the data in this section once during the life of each nuclear unit. If a major change is made to a unit which significantly changes its characteristics, then resubmit this section with updated information. For coded entries, a (9) is entered to indicate an alternative other than those specified. Whenever a (9) is entered, write the column number and the answer on the reverse side of the form. If a copy of the original form is being submitted, make sure that it is legible. Utility name: Station name: Unit name: Location of unit (State): Energy Information Administration (EIA) Number: Regional Entity: Subregion: Data reporter: Telephone number: Date:
Page E-NU-1
Nuclear Units
GENERAL DATA
Col. No.
01 04 Utility identification number Unit identification number Card code Columns 09 through 12 are blank Year unit first paralleled for load Month unit first paralleled for load Day unit first paralleled for load
2 1
07 09 13 17 19
NUCLEAR REACTOR DATA

21 Manufacturer - (1) Westinghouse; (2) General Electric; (3) Babcock and Wilcox; (4) Combustion Engineering; (5) General Atomics; (9) Other Type - (1) Pressurized (light) water (PWR); (2) Boiling (light) water (BWR); (3) CANDU; (9) Other Nameplate capacity in MWt Outlet temperature in F at nameplate capacity Outlet pressure in PSIG at nameplate capacity
22
23 27 31
35 42
Reactor flow in thousands of pounds per hour at nameplate capacity Secondary loop flow in thousands of pounds per hour at nameplate Capacity, if applicable Number of primary loop or recirculating pumps Primary loop or recirculating pump manufacturer - (1) Westinghouse; 2) Worthington; (3) Byron-Jackson; (4) Ingersoll- Rand; (9) Other
49 50
Page E-NU-2
Nuclear Units
NUCLEAR REACTOR DATA (Continued)

51 Primary loop or recirculating pump type drives - (1) Motor variable speed; (2) Motor constant speed; (9) Other Steam generator manufacturer, if applicable - (1) Westinghouse; (2) Combustion Engineering; (3) Babcock and Wilcox; (4) Foster Wheeler; (9) Other Type of control rod drive - (1) Magnetic jack; (2) Hydraulic water; (3) Rack and pin; (9) Other Control rod configuration - (1) Cruciform; (2) Rod cluster; (9) Other Enter (1) if chemical shim is used Initial weight of uranium in thousands of pounds Highest initial enrichment to one-tenth percent Fuel type - (1) U-235 oxide; (9) Other Fuel cladding material - (1) Zirconium; (2) Stainless steel; (9) Other Containment type - (1) Dry; (2) Pressure suppression; (9) Other
52
53
54 55 56 > 60 62 63 64
ARCHITECT/ENGINEERING DATA
65 Architect/Engineer - (1) All A/E work inhouse; (2) Burns & Roe; (3) Black & Veatch; (4) Bechtel; (5) Brown & Root; (6) Durham & Richardson; (7) Ebasco Services; (8) Gibbs & Hill; (9) Gilbert Associates; (10) Offshore Power Systems; (11) Ralph M Parsons; 12) Pioneer Services & Engineering; (13) Sargent & Lundy; (14) Stone & Webster; (15) United Engineers & Constructors; (99) Other 67 Columns 67 through 80 are blank
Page E-NU-3
Nuclear Units
STEAM TURBINE DATA

01 04 2 2 07 09 Utility identification number Unit identification number Card code Columns 09 through 13 are blank
14 16
Manufacturer (see table of Manufacturers, page E-123) Type - (1) Single cylinder; (2) Tandem compound; (3) Cross Compound; (4) Triple compound; (9) Other Enter (1) if more than 50% of turbine is outdoors Total nameplate capacity in MW Main steam pressure in PSIG, full load at throttle Main steam temperature in F, full load at throttle First reheat temperature in F, if applicable Second reheat temperature in F, if applicable Back pressure to nearest one-tenth inch of Hg for nameplate capacity and design water temperature
17 18 22 26 30 34 38
CONDENSER DATA
40 Manufacturer - (1) Foster Wheeler; (2) Ingersoll-Rand; (3) Westinghouse; (4) Yuba; (5) Worthington; (6) C. H. Wheeler; (9) Other Passes - (1) Single; (2) Double Number of shells Tube material - (1) Arsenical Admirality; (2) Arsenical Aluminum Brass; (3) Stainless Steel; (4) Cupro-Nickel; (5) Aluminum Bronze; (6) Arsenical Phosphorized Copper; (9) Other Type cooling water - (1) Fresh; (2) Salt Cooling water origin - (1) River; (2) Lake; (3) Ocean or bay; (4) Cooling tower
41 42 43
44 45
Page E-NU-4
Nuclear Units
CONDENSER DATA (Continued)

46 47 Number of condensate pumps Condensate pump manufacturer - (1) Worthington; (2) Allis Chalmers; (3) Byron-Jackson; (4) DeLaval; (5) Ingersoll-Rand; (6) Fairbanks-Morse; (7) Pacific Pump; (9) Other Number of circulating water pumps Circulating water pump manufacturer - (1) Worthington; (2) Allis Chalmers; (3) Ingersoll-Rand; (4) Westinghouse; (5) Foster Wheeler; (9) Other
48 49
AUXILIARIES DATA
50 Number of secondary loop or single loop feed pumps required for normal operation at full load Number of spare feed pumps which are approximately the same size as one normally used pump Number of spare or startup feed pumps which are smaller than one normally used pump Normal feed pump manufacturer - (1) Worthington; (2) DeLaval; (3) Ingersoll-Rand; (4) Byron-Jackson; (5) Pacific Pump; (9) Other Normal feed pump type drive - (1) Motor; (2) Steam; (3) Shaft; (4) Motor gear; (5) Steam gear; (6) Shaft gear; (9) Other Normal feed pump, enter (1) if hydraulic coupling(s) used 56 Normal feed pump maximum speed in RPM - (1) Under 2000; (2) 2000-2999; (3) 3000-3999; (4) 4000-4999; (5) 5000-5999; (6) 6000-6999; (7) 7000-7999; (8) 8000-8999; (9) 9000 plus 57 58 Number of feed water heaters on high side of feed pump High pressure feed water heater manufacturer - (1) Foster Wheeler; (2) Worthington; (3) Westinghouse; (4) Yuba; (5) Baldwin-Lima-Hamilton; (6) Southwestern Engineering; (9) Other Number of feed water heaters on low side of feed pump
51
52
53
54
55
59
Page E-NU-5
Nuclear Units
AUXILIARIES DATA (Continued)

61 Low pressure feed water heater manufacturer - (1) Foster Wheeler; (2) Worthington; (3) Westinghouse; (4) Yuba; (5) Baldwin-Lima-Hamilton; (6) Southwestern Engineering; (9) Other Computer system supplier, if applicable - (1) Westinghouse; (2) General Electric; (3) International Business Machines; (4) Leeds and Northrup; (5) Radio Corporation of America; (9) Other Number of computer, if applicable - (1) Two computers for this unit only; (2) One computer for this unit only; (3) Two computers shared by one or more other units; (4) One computer shared by one or more other units; (9) Other Computer system capability, if applicable - (1) Monitor only; (2) Monitor and control Columns 65 through 80 are blank
62
63
64
65
GENERATOR DATA
14 16 > 17 21 25 29 33 37
Manufacturer (see table of Manufacturers, page E-123) Type - (1) Three-phase, 60-cycle; (9) Other Nameplate voltage to nearest one-tenth KV Nameplate capability MVA, first shaft Speed in RPM, first shaft Nameplate capability MVA, second shaft if any Speed in RPM, second shaft if any Nameplate capability MVA, third shaft if any
Page E-NU-6
Nuclear Units
GENERATOR DATA (Continued)

41 45 47 Speed in RPM, third shaft if any Nameplate power factor in percent Cooling medium, stator/rotor - (1) Air/air; (2) Hydrogen/hydrogen; (3) Oil/hydrogen; (4) Water/hydrogen; (9) Other Cooling method, stator/rotor -(1)Intercooled/ intercooled; 2) Conventional/conventional; (3) Intercooled/conventional; (9) Other Hydrogen pressure in PSIG at nameplate MVA, if applicable Number of exciters required by the unit for normal operation at rated output Type normal exciters - (1) Rotating DC generator; (2) Rotating alternator rectifier; (3) Static; (9) Other Type drive for normal exciters, if rotating - (1) Shaft direct; (2) Shaft gear; (3) Motor; (9) Other Number of spare exciters available to the unit Enter (1) if more than 50% of generator is outdoors
48
49 51
52
53
54 55
56
Name of Unit (Columns 56-80)
Page E-NU-7
Nuclear Units
Page E-NU-8
Diesel Units
Unit Design Data Diesel

Instructions Submit the data in this section once during the life of each diesel unit. If a major change is made to a unit which significantly changes its characteristics, then resubmit this section with updated information. For coded entries, a (9) is entered to indicate an alternative other than those specified. Whenever a (9) is entered, write the column number and the answer on the reverse side of the form. If a copy of the original form is being submitted, make sure that it is legible.
Utility name: Station name: Unit name: Location of unit (State): Energy Information Administration (EIA) Number: Regional Entity: Subregion: Data reporter: Telephone number: Date:
Page E-DI-1
Diesel Units
GENERAL DATA
Col. No.
4 1
07 09 13 17 19
DIESEL ENGINE DATA

21 Diesel engine manufacturer - (1) General Motors; (2) General Electric; (3) Consolidated Diesel Electric; (4) Allis Chalmers; (5) Caterpillar Tractor; (6) Cummins; (7) Fairbanks Morse; (9) Other Fuel, type - (1) No. 2 fuel oil; (2) Diesel oil; (3) JP 5 fuel; (4) Kerosene; (5) Heavy oil; (9) Other Cylinders, number per engine Cycle, type - (1) 2-stroke; (2) 4-stroke; (9) Other Startup system, type - (1) Automatic, on site; (2) Automatic remote; (9) Other Time for normal cold start to full load in seconds Time for emergency cold start to full load in seconds Coolant, type - (1) Water; (2) Oil; (3) Air; (9) Other Columns 34 through 80 are blank
22
23 25 25
27 30 33 34
01
Utility identification number
Page E-DI-2
Diesel Units
DIESEL ENGINE DATA (Continued)

04 4 2 07 09 Unit identification number Card code Columns 09 through 80 are blank
GENERATOR DATA
01 04 4 3 07 09 14 16 > 17 21 25 29 33 37 41 45 47 Utility identification number Unit identification number Card code Columns 09 through 13 are blank Manufacturer - (see table of Manufacturers, page E-123) Type - (1) Three-phase, 60-cycle; (9) Other Nameplate voltage to nearest one-tenth KV Nameplate capability MVA, first shaft Speed in RPM, first shaft Nameplate capability MVA, second shaft if any Speed in RPM, second shaft if any Nameplate capability MVA, third shaft if any Speed in RPM, third shaft if any Nameplate power factor in percent Cooling medium, stator/rotor - (1) Air/air; (2) Hydrogen/ hydrogen; (3) Oil/hydrogen; (4) Water/hydrogen; (9) Other Cooling method, stator/rotor - (1) Intercooled/intercooled; (2) Conventional/conventional; (3) Intercooled/conventional; (9) Other Hydrogen pressure in PSIG at nameplate MVA, if applicable
48
49
Page E-DI-3
Diesel Units

49 Number of exciters required by the unit for normal operation at rated Output Type normal exciters - (1) Rotating DC generator; (2) Rotating alternator rectifier; (3) Static; (9) Other Type drive for normal exciters, if rotating - (1) Shaft direct; (2) Shaft gear; (3) Motor; (9) Other Number of spare exciters available to the unit Enter (1) if more than 50% of generator is outdoors Name of Unit (Columns 56-80)
52
53
54 55 56
Page E-DI-4
Unit Design Data Hydro or Pumped Storage

Instructions Submit the data in this section once during the life of each pumped storage or hydro unit. If a major change is made to a unit which significantly changes its characteristics, then resubmit this section with updated information. For coded entries, a (9) is entered to indicate an alternative other than those specified. Whenever a (9) is entered, write the column number and the answer on the reverse side of the form. If a copy of the original form is being submitted, make sure that it is legible.
Page E-HY-1
GENERAL DATA
Col. No.
01 04 Utility identification number Unit identification number Card code
5 1
07
09
These columns are blank
13 17 19
Year unit first in service (see page II-1) Month unit first in service Day unit first in service
HYDRO TURBINE/PUMP DATA

21 Hydro or Pumped Storage - (1) Hydro; (2) Pump/turbine; (3) Pump Turbine/Pump manufacturer - (0) Allis Chalmers; (1) Pelton; (2) S. Morgan Smith; (3) Newport News; (4) Worthington; (5) Dobie; (6) I.P. Morris; (7) W.S. Morgan; 8) B.L. Hamilton; (9) Other;
22
23
Turbine/Pump impulse type - (1) Horizontal; (2) Vertical; (9) Other
24
Turbine/Pump reaction type - (1) Francis; (2) Kaplan adjustable blade propeller; (3) Fix blade propeller; (4) Pump/turbine; (9) Other
25
Turbine rated head to nearest foot
29
Turbine rated speed to nearest RPM
32
Turbine rating in horsepower to nearest 100 hp
38
Turbine runner, type - (1) Single; (2) Twin; (3) Triplex; (4) Double discharge; (9) Other
Page E-HY-2
39 41
Number of buckets/blades per runner Governor type - (1) Gate shaft; (2) Actuator; (3) Cabinet type; (4) Electric; (5) Electro hydraulic, speed sensing; (6) Electronic hydraulic, speed sensing; (7) Mechanical, speed sensing; (9) Other
42
Turbine bearing type - (1) Water lubricated; (2) Oil lubricated; (9) Other
43 44
Thrust bearing location - (1) Above generator; (2) Below generator Guide bearing, location - (1) Above generator; (2) Below generator
45
Columns 45 through 80 are blank
***************************** 01 04 5 2 07 Utility identification number Unit identification number Card code
09
18
Nameplate rating of unit (MVA times power factor)
22
Page E-HY-3
HYDRO TURBINE/PUMP DATA (Continued) GENERATOR DATA 01 04 5 3 07 Utility identification number Unit identification number Card code
09
14
Generator Manufacturer (See Table of Manufacturers Codes)
16
Generator type - (1) Three-phase, 60 cycle; (2) other
>
17
Nameplate voltage to nearest one-tenth KV
21
Nameplate capability MVA, first shaft
25
Speed in RPM, first shaft
29
Nameplate capability MVA, second shaft if any
33
Speed in RPM, second shaft if any
37
Nameplate capability MVA, third shaft in any
41
Speed in RPM, third shaft in any
45
Nameplate power factor in percent
Page E-HY-4
47
Cooling medium, stator/rotor - (1) Air/air; (2) Hydrogen/hydrogen; (3) Oil/hydrogen; (4) Water/Hydrogen; (5) Air/water; (9) Other
48
Cooling method stator/rotor - (1) Intercooled/intercooled; (2) Conventional/conventional; (3) Inner cooled/conventional; (9) Other
49
Hydrogen pressure in PSIG at nameplante MVA, if applicable.
51
Number of exciters required by the unit for normal operation at rated Output.
52
Type normal exciters (1) Rotating DC generator; (2) Rotating alternator rectifier; (3) Static; (9) Other.
53
Type drive for normal exciters, if rotating (1) Shaft direct; (2) Shaft gear; (3) Motor; (9) Other.
54
Number of spare exciters available to the unit
55
Enter (1) if more than 50% of the generator is outdoors.
56
Name of Unit (Columns 56 through 80)
Page E-HY-5
Page E-HY-6
Gas Turbine or Jet Engine Units
Unit Design Data Gas Turbine or Jet Engine

Instructions Submit the data in this section once during the life of each gas turbine or jet engine unit. If a major change is made to a unit which significantly changes its characteristics, then resubmit this section with updated information. For coded entries, a (9) is entered to indicate an alternative other than those specified. Whenever a (9) is entered, write the column number and the answer on the reverse side of the form. If a copy of the original form is being submitted, make sure that it is legible.
Page E-GT-1
GENERAL DATA
Col. No.
3 1
07 09 13 17 19
GAS TURBINE OR JET ENGINE DATA

21 Engine manufacturer - (1) Pratt & Whitney; (2) General Electric; (3) Westinghouse; (4) ABB Gas Turbine Power Division; (5) Rolls Royce; (6) Cooper Bessemer; (7) Worthington; (8) Allison; (9) Other Engine type - (1) Gas turbine single shaft; (2) Gas turbine split shaft; (3) Jet engine; (9) Other Engines, number per unit Expander turbines, number per unit if applicable Type expander, if applicable - (1) Single flow; (2) Double flow Cycle type - (1) Reheat; (2) Simple; (3) Regenerative; (4) Recuperative; (5) Intercooled; (6) Precooled; (7) Complex; (8) Compound; (9) Other Startup system - (1) Air; (2) Auxiliary motor; (3) Electric motor; (4) Natural gas; (5) Flow turbine; (6) Supercharging fan; (7) Hydraulic; (9) Other Startup type - (1) Automatic, on site; (2) Automatic, remote; (9) Other
21
22 25 26 27
28
29
_________________________________________________________________________________________________________
Page E-GT-2
GAS TURBINE OR JET ENGINE DATA (Continued)

30 Type of Fuel(s) that will be used (see table of Fuel Codes, page E-124) Enter (1) if sound attenuators located at inlet Enter (1) if sound attenuators located at outlet Enter (1) if sound attenuators located in building enclosures Time for normal cold start to full load in seconds Time for emergency cold start to full load in seconds Black start capability - (1) Yes; (2) No Columns 42 through 70 are blank
32 33 34 35 38 41 42
71
Engine Model Number (MS 7001EA, W501AA, FT4A11, etc.)
POLLUTION CONTROL EQUIPMENT DATA

Page E-GT-3
SELECTIVE NON-CATALYTIC REDUCTION SYSTEM (SNCR)

22 23 24 SNCR reagent - (1) Ammonia; (2) Urea; (9) Other SNCR injector type - (1) Wall nozzle; (2) Lance; (9) Other SNCR injection equipment location - (1) Furnace; (2) Super-heater; (3) Economizer; (9) Other Number of SNCR injectors SNCR carrier gas type - (1) Steam; (2) Air; (9) Other SNCR carrier gas total flow rate (thousands of lbs./hr.) i.e. 6,000,000 lbs./hr. enter 6000 SNCR carrier gas pressure at nozzle (psi) SNCR carrier gas nozzle exit velocity (thousands of ft./sec.)
25 28 > 29
34 > 38
SELECTIVE CATALYTIC REDUCTION SYSTEM (SCR)

43 44 45 SCR reactor - (1) Separate; (2) In Duct SCR reagent - (1) Ammonia; (2) Urea; (9) Other SCR ammonia injection grid location - (1) Furnace; (2) Super-heater; (3) Economizer; (4) Zoned SCR duct configuration - (1) Flow straighteners; (2) Turning vanes; (3) Dampers SCR Catalyst Element Type (1) Plate; (2) Honeycomb; (9) Other SCR catalyst support material - (1) Stainless steel; (2) Carbon steel; (9) Other SCR catalytic material configuration - (1) Vertical; (2) Horizontal; (9) Other SCR catalyst surface face area (thousands of square feet) SCR catalyst volume (thousands of cubic feet) Number of SCR catalytic layers
46
47
48
49
> >
50 55 60
_________________________________________________________________________________________________________
Page E-GT-4
SELECTIVE CATALYTIC REDUCTION SYSTEM (SCR) (Continued)

> 62 65 66 SCR catalytic layer thickness (1/1000 inches) SCR sootblower type - (1) Air; (2) Steam; (3) Both SCR sootblower manufacturer - (see table of Manufacturers page E-125)
CATALYTIC AIR HEATERS (CAH)

68 CAH element type - (1) Laminar surface; (2) Turbulent surface; (9) Other CAH catalyst material - (1) Titanium oxide; (2) Vanadium pentoxide; (3) Iron (II) oxide; (4) Molybdenum oxide; (9) Other
69
70
CAH catalyst support material - (1) Stainless steel; (2) Carbon steel; (9) Other CAH catalyst material configuration - (1) Horizontal air shaft; (2) Vertical air shaft CAH catalyst material total face area (thousands of square feet) CAH catalyst material open face area (thousands of square feet) CAH catalyst material layer thickness (1/1000 inches)
71
> > >
72 75 78
GENERATOR DATA
01 04 3 3 07 09 14 16 > 13 Utility identification number Unit identification number Card code Columns 09 through 13 are blank Manufacturer (see table of Manufacturers, page E-123) Type - (1) Three-phase, 60-cycle; (9) Other Nameplate voltage to nearest one-tenth KV
Page E-GT-5

21 25 26 33 37 41 45 47 Nameplate capability MVA, first shaft Speed in RPM, first shaft Nameplate capability MVA, second shaft if any Speed in RPM, second shaft if any Nameplate capability MVA, third shaft if any Speed in RPM, third shaft if any Nameplate power factor in percent Cooling medium, stator/rotor - (1) Air/air; (2) Hydrogen/ hydrogen; (3) Oil/hydrogen; (4) Water/hydrogen; (9) Other
48
Cooling method, stator/rotor - (1) Intercooled/intercooled; (2) Conventional/conventional; (3) Intercooled/ conventional; (9) Other Hydrogen pressure in PSIG at nameplate, MVA, if applicable Number of exciters required by the unit for normal operation at rated output Type normal exciters - (1) Rotating DC generator; (2) Rotating alternator rectifier; (3) Static; (9) Other Type drive for normal exciters, if rotating - (1) Shaft direct; (2) Shaft gear; (3) Motor; (9) Other Number of spare exciters available to the unit
49 51
52
53
54
55
Enter (1) if more than 50% of generator is outdoors
56
Unit Name (columns 56-80)
_________________________________________________________________________________________________________
Page E-GT-6
Combined Cycle Units and Co-generation Blocks
Unit Design Data Combined Cycle Units and Block Design Data
Page E-CC-1
INSTRUCTIONS In order to continue this discussion, some terms must be agreed on to eliminate some of the ambiguity concerning combined cycle blocks in general. Combined Cycle Block (referred here as a Block) By definition, a combined cycle is a process for generating energy (either electricity or steam) constituted by the marriage of a Brayton Cycle (expand hot gas to turn a gas turbine) with a Rankine Cycle (use heat to boil water to make steam to turn a steam turbine). The combined cycle block employs an electric generating technology in which electricity is produced from otherwise lost waste heat exiting from one or more gas turbines/jet engines, one or more steam turbines, and balance of plant equipment supporting the production of electricity. In the combined cycle block, the exiting heat is routed to a conventional boiler or to a heat recovery steam generator (HRSG) for use by a steam turbine in the production of electricity or steam energy. There may be more than one block at a plant site. This design form should be completed for each individual block. Units Each gas turbine/jet engine and each steam turbine are considered a unit. Each unit contributes to the total electric generation or steam production of the block. Each unit has or shares its generator for providing electric power. They are considered to be individual parts of the block. Heat Recovery Steam Generator (HRSG) There may be one or more HRSG or waste heat boiler in a block. Some blocks may have a single HRSG per GT/jet; others may have several GT/jet feeding a single HRSG or any combination thereof. The HRSG does not contribute electricity to the output of the block and so, is considered a component rather than a unit. Other Balance of Plant Equipment There are other equipment in the block used to support the production of electricity/heat energy. They are not related to any specific generating unit and are also considered as components. Submit the data in this section once during the life of each block. If a major change is made to a site that significantly changes its characteristics, then resubmit this section with updated information.
For coded entries, a (9) is entered to indicate an alternative other than those specified. Whenever a (9) is entered, write the column number and the answer on the reverse side of the form. If a copy of the original form is being submitted, make sure that it is legible.
Page E-CC-2
GENERAL BLOCK IDENTIFICATION

1. Identification
A series of codes uniquely identifies your utility (or company) and the block. NERC assigned a unique code to identify your company. You must assign the unique code that will identify the block being reported. This block code may be any number from 800 to 899. Enter the unique company and block code and the full name of the entire block below: Utility (Company) Code: ______________ Block Code: ________________
Name of Block, including site name: __________________________________________________________
2.
Date the Block Entered Service

The in-service date establishes the starting point for review of historical performance of the block. Starting dates of each unit may be different. Supply unit dates at the specify location on this form. Using the criteria described below, report the date the block entered service: Date (Month/day/year) _______________________________________ Criteria: a) The date the block was first declared available for dispatch at some level of its capability, OR b) The date the block first operated at 50% of its generator nameplate megawatt capability (product of the megavoltamperes (MVA) and the rated power factor as stamped on the generator nameplate(s)).
3.
Block Loading Characteristics at Time of Design

Enter the number from the list below that best describes the mode of operation for the block as it was originally designed: Loading Characteristic: _________________ 1 2 3 4 5 9 Base load with minor load following Periodic start-up, load follow daily, reduced load nightly Weekly start-up, load follow daily, reduced load nightly Daily start-up, load follow daily, off-line nightly Start-up chiefly to meet daily peaks Other, describe
4.

Identify both the architect/engineer and the general construction contractor responsible for the design and construction of the block. If your company was the principal designer or general constructor, enter SELF Architect/Engineer: Constructor: _________________________________________
5.
Total Nameplate Rating of all units in the block (in MW)

Enter the TOTAL capability (sum of all gas turbines/jet engines and steam turbines) MW nameplate or published MW rating of the block. In cases where the turbines nameplate rating cannot be determined, approximate the rating by multiplying the MVA (megavoltamperes) by the rated power factor found on the nameplate affixed to each units generator (or nameplates in the case of cross compound units). Total block rating (MW) based on sum of nameplate ratings on all units:_____________________________.
Page E-CC-3
6.
Does the block have co-generation (steam for other than electric generation) capabilities (yes/no)? _____ What is the number of gas turbines/jet engines per Heat Recovery Steam Generator (HRSG)
Identify the number of gas turbines/jet engines feeding exhaust gases into a single HRSG.
7.
8.
What is the number of gas turbines/jet engines - Heat Recovery Steam Generator (HRSG) Trains
Identify the number of sets of gas turbines/jet engines and HRSG trains supplying steam to the steam turbine
9.
Total number of gas turbines/jet engines in block

Identify the number of GT/Jets used for generating power
10.
Total number of Heat Recovery Steam Generator (HRSG) in block

Identify the number of HRSG supplying steam to the steam turbine.
11.
Total number of Steam Turbines in block

Identify the number of steam turbines receiving steam for generating power
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FOR EACH GAS TURBINE or JET ENGINE COMPLETE ITEMS #12 TO #65 (If you have 3 GTs, then complete items #12-65 once for each GT) GAS TURBINE OR JET ENGINE DATA
12. Identification
A series of codes uniquely identifies your utility (company), the combined cycle block and its units. NERC assigned a unique code to identify your company. You must assign the unique code that will identify the GAS TURBINE/JET ENGINE unit being reported. This code may be any number from 300 to 399 or 700-799. Enter the unique company, block and unit code and the full name of each gas turbine/jet engine below: Utility (Company) Code: _________ Unit Code: ___________ Block Code: _____________ Name of unit: _________________________________________________________
13. Date the gas turbine/jet engine Entered Service

The in-service date establishes the starting point for review of historical performance of each unit. Using the criteria described below, report the date this gas turbine/jet engine entered service: Date (Month/day/year) _______________________________________
Criteria:
a) The date the gas turbine/jet engine was first declared available for dispatch at some level of its capability, OR b) The date the gas turbine/jet engine first operated at 50% of its generator nameplate megawatt capability (product of the megavoltamperes (MVA) and the rated power factor as stamped on the generator nameplate(s)).
14.

Identify both the architect/engineer and the general construction contractor responsible for the design and construction of the unit. If your company was the principal designer or general constructor, enter SELF Architect/Engineer: Constructor: __________________________
15.
Gas turbine/jet engine nameplate rating in MW

Nameplate is the design capacity stamped on the gas turbines/jet engines or published on the guarantee flow diagram. In cases where the gas turbines nameplate rating cannot be determined, approximate the rating by multiplying the MVA (megavoltamperes) by the rated power factor found on the nameplate affixed to each units generator (or nameplates in the case of cross compound units). Gas turbine/jet engine rating (MW): _____________________
16.
Engine manufacturer - (1) Pratt & Whitney; (2) General Electric; (3) Seimans Westinghouse; (4) Alstom (ABB); (5) Rolls Royce; (6) Cooper Bessemer; (7) Worthington; (8) Allison; (9) Other.___________________________________________
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17.
Engine type - (1) Gas turbine single shaft; (2) Gas turbine split shaft; (3) Jet engine; (9) Other ____________________________________________
18. 19. 20.
Expander turbines, number per unit if applicable: ___________________ Type expander, if applicable - (1) Single flow; (2) Double flow Cycle type - (1) Reheat; (2) Simple; (3) Regenerative; (4) Recuperative; (5) Intercooled; (6) Pre-cooled; (7) Complex; (8) Compound; (9) Other Startup system - (1) Air; (2) Auxiliary motor; (3) Electric motor; (4) Natural gas; (5) Flow turbine; (6) Supercharging fan; (7) Hydraulic; (9) Other Startup type - (1) Automatic, on site; (2) Automatic, remote; (9) Other Type of Fuel(s) that will be used: _____________________ Enter (1) if sound attenuators located at inlet: __________ Enter (1) if sound attenuators located at outlet: _________ Enter (1) if sound attenuators located in building enclosures: ________ Time for normal cold start to full load in seconds: _________________ Time for emergency cold start to full load in seconds: ______________ Black start capability - (1) Yes; (2) No _________________ Engine Model Number (MS 7001EA, W501AA, FT4A11, etc.) ________________________________________________________
21.
22. 23. 24. 25. 26. 27. 28. 29. 30.
GAS TURBINE SELECTIVE NON-CATALYTIC REDUCTION SYSTEM (SNCR)

31. 32. 33. SNCR reagent - (1) Ammonia; (2) Urea; (9) Other: ___________________________ SNCR injector type - (1) Wall nozzle; (2) Lance; (9) Other: ____________________ SNCR injection equipment location - (1) Furnace; (2) Super-heater; (3) Economizer; (9) Other: ______________________________ Number of SNCR injectors: ___________________________ SNCR carrier gas type - (1) Steam; (2) Air; (9) Other: _____________________
34. 35.
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36.
SNCR carrier gas total flow rate (thousands of lbs./hr.) i.e. 6,000,000 lbs./hr. enter 6000 ____________________________________________________ SNCR carrier gas pressure at nozzle (psi): ______________________ SNCR carrier gas nozzle exit velocity (thousands of ft./sec.): _________________
37. 38.
GAS TURBINE SELECTIVE CATALYTIC REDUCTION SYSTEM (SCR)

39. 40. 41. CR reactor - (1) Separate; (2) In Duct; (3) Other: ________________________ 40SCR reagent - (1) Ammonia; (2) Urea; (9) Other: ____________________ SCR ammonia injection grid location - (1) Furnace; (2) Super-heater; (3) Economizer; (4) Zoned; (5) Other: ____________________________________ SCR duct configuration - (1) Flow straighteners; (2) Turning vanes; (3) Dampers SCR Catalyst Element Type (1) Plate; (2) Honeycomb; (9) Other: ________________ SCR catalyst support material - (1) Stainless steel; (2) Carbon steel; (9) Other: __________________________________ SCR catalytic material configuration - (1) Vertical; (2) Horizontal; (9) Other: _________________________ SCR catalyst surface face area (thousands of square feet): ___________________________ SCR catalyst volume (thousands of cubic feet): _____________________________________ Number of SCR catalytic layers: _________________________ SCR catalytic layer thickness (1/1000 inches): ___________________________ SCR sootblower type - (1) Air; (2) Steam; (3) Both SCR sootblower manufacturer: ________________________________________________
42. 43. 44.
45.
46. 47. 48. 49. 50. 51.
GAS TURBINE CATALYTIC AIR HEATERS (CAH)

52. CAH element type - (1) Laminar surface; (2) Turbulent surface; (9) Other: ____________________________________ CAH catalyst material - (1) Titanium oxide; (2) Vanadium pentoxide; (3) Iron (II) oxide; 4) Molybdenum oxide; (9) Other: _____________________________________ CAH catalyst support material - (1) Stainless steel; (2) Carbon steel; (9) Other: ________________________________
Page E-CC-7
53.
54.
55. 56. 57. 58.
CAH catalyst material configuration - (1) Horizontal air shaft; (2) Vertical air shaft CAH catalyst material total face area (thousands of square feet): _____________________ CAH catalyst material open face area (thousands of square feet): _____________________ CAH catalyst material layer thickness (1/1000 inches): _____________________________
FOR ELECTRIC GENERATOR ON EACH GT/JET ENGINE

59. Generator - Manufacturer
Enter the name of the manufacturer of the electric generator: Generator manufacturer:
60. 61. 62.
Number of generators per gas turbine/jet engine:__________________________ Generator - Enclosure

Is 50% or more of the generator outdoors (not enclosed in building framing and siding)? Yes/no: ________
Generator - Ratings and Power Factor

> Megavoltamperes (MVA) Capability RPM Power Factor (enter as %) > *Cross compound units.
>
>
>
>
Page E-CC-8
63.
Generator - Cooling System

Two types of cooling methods are typically used. First is the innercooled method, where the cooling medium is in direct contact with the conductor copper or is separated by materials having little thermal resistance. The other is the conventional cooling method where the heat generated within the windings must flow through the major ground insulation before reaching the cooling medium. Enter the type of cooling method used by the generator: _________ 1 2 3 9 Stator innercooled and rotor innercooled. Stator conventionally cooled and rotor conventionally cooled. Stator innercooled and rotor conventionally cooled. Other, describe
Enter the mediums used to cool the generators stator (air, hydrogen, oil, water): ______________ Enter the mediums used to cool the generators rotor (air, hydrogen, oil, water): ______________
64.
Generator - Hydrogen Pressure

Enter the generator hydrogen pressure IN PSIG at nameplate MVA:______________________
EXCITER ON EACH GT/JET ENGINE GENERATOR

65. Exciter - Configuration
Enter the following information about the main exciter: Exciter manufacturer: ________________________________________ _____________________
TOTAL number of exciters; include installed spares:
MINIMUM number of exciters required to obtain maximum capacity from the unit: ENTER the type of main exciter used at the unit from the list below: _______________________ 1 - Static - static excitation where dc is obtained by rectifying ac from generator terminals, and dc is fed into rotor by collector rings. 2 - Rotating dc generator - exciter supplies dc from a commutator into the main rotor by means of collector rings. 3 - Brushless - an ac (rotating armature type) exciter whose output is rectified by a semiconductor device to provide excitation to an electric machine. The semiconductor device would be mounted on and rotate with the ac exciter armature. 4 - Alternator rectifier 9 - Other, describe:
ENTER the type(s) of exciter drive(s) used by the main exciter IF it is rotating: ____________________ 1 - Shaft direct 2 - Shaft gear 3 - Motor 9 - Other, describe:
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FOR EACH HEAT RECOVERY STEAM GENERATOR (HRSG) COMPLETE ITEMS #66 TO #87 (If you have 3 HRSGs, then complete items #66-87 once for each HRSG)
66. Enter the unit code information for each GT/Jet that supplies heat energy to this single HRSG.
Utility (Company) Code: _____________ Unit Code A: ______________ Block Code:______________
Name of unit A, including site name: _______________________________________________________
Utility (Company) Code: _____________ Unit Code B: _______________
Block Code:_____________
Name of unit B, including site name: ________________________________________________________
Utility (Company) Code: _____________ Unit Code C: _______________
Block Code:_____________
Name of unit C, including site name: ________________________________________________________
Utility (Company) Code: _____________ Unit Code D: _______________
Block Code:_____________
Name of unit D, including site name: ________________________________________________________
67.
HRSG - Manufacturer
Enter the name of the manufacturer and the model or series name or number of the HRSG: HRSG manufacturer: _______________________
68. 69.
HRSG - Enclosure
Is 50% or more of the HRSG is outdoors (not enclosed in building framing and siding)? (Y/N):_______
HRSG - Nameplate Steam Conditions When fired situation

Enter the following steam conditions at the full load, valves wide open design point at the exist of the HRSG to the steam turbine when the HRSG is experiencing supplemental firing: HIGH PRESSURE Steam flow rate (in lbs/hr): ______________________ Design temperature (F): ______________ Design pressure (psig): __________________________ INTERMEDIATE PRESSURE Steam flow rate (in lbs/hr): ______________________ Design temperature (F): ______________
Page E-CC-10
Design pressure (psig): __________________________ LOW PRESSURE Steam flow rate (in lbs/hr): ______________________ Design temperature (F): ______________ Design pressure (psig): __________________________ REHEAT PRESSURE Steam flow rate (in lbs/hr): ______________________ Design temperature (F): ______________ Design pressure (psig): __________________________
70.
HRSG - Nameplate Steam Conditions When unfired situation

Enter the following steam conditions at the full load, valves wide open design point at the exist of the HRSG to the steam turbine when the HRSG is not experiencing supplemental firing: HIGH PRESSURE Steam flow rate (in lbs/hr): ______________________ Design temperature (F): ______________ Design pressure (psig): __________________________ INTERMEDIATE PRESSURE Steam flow rate (in lbs/hr): ______________________ Design temperature (F): ______________ Design pressure (psig): __________________________ LOW PRESSURE Steam flow rate (in lbs/hr): ______________________ Design temperature (F): ______________ Design pressure (psig): __________________________ REHEAT PRESSURE Steam flow rate (in lbs/hr): ______________________ Design temperature (F): ______________ Design pressure (psig): __________________________
71.
Is the HRSG top-supported (pressure parts hang like in a utility boiler) or bottomsupported? ______________________ Does the HRSG have vertical or horizontal heat exchangers? ________________ Is the duct insulation is cold-casing (insulation on the inside of the duct) or hot casing (insulation on the outside of the duct)? ___________________________
Page E-CC-11
72. 73.
74.
HRSG Supplemental Firing (duct burners)

Does the HRSG have the capability of Supplemental Firing (duct firing) (y/n)?_____ Is the HRSG supplemental used normally, as-needed or only in extreme emergency?
______________________________
75.
HRSG bypass capabilities

Does the HRSG have bypass capability? (y/n) _______________
76. 77.
Does the HRSG have a drum or is it once-through design? ___________________ HRSG - Circulation System
Enter the following information on the pumps used to recirculate water through the HRSG: HRSG recirculation pump(s) manufacturer(s): ______________________________ TOTAL number of HRSG recirculation pumps; include installed spares: MINIMUM number of HRSG recirculation pumps required to obtain maximum capacity from this HRSG: Enter the type of HRSG recirculation pump(s) at the block: 1 2 9 - Injection (or injection seal) - controlled-leakage HRSG recirculation pumps mounted vertically with a rigid shaft designed to carry its own thrust. - Leakless (or canned, canned-motor, or zero-leakage) - pump and its motor are an integral pressurized sealed component. - Other, describe
78.
HRSG Duct Burner System (General)

Enter the following information on the duct burner systems installed for use by this HRSG: Duct fuel burner(s) manufacturer(s): TOTAL number of duct fuel burners:
79.
HRSG Duct Burner Management System

Enter the name of the manufacturer of each of the following burner management systems: Manufacturer of the combustion control system that coordinates the feedwater, air, and fuel subsystems for continuous HRSG operation: Manufacturer of the burner management system that monitors only the fuel and air mixture during all phases of operation to prevent the formation of an explosive mixture:
Page E-CC-12
80.
Auxiliary Systems - Feedwater (HRSG Feed) Pumps

The feedwater (HRSG feed) pumps move the feedwater through the feedwater system into the HRSG. Enter the following information on the feedwater pumps installed at this HRSG: Feedwater (HRSG feed) pump(s) manufacturer(s): Normal operating speed (RPM) of the feedwater pumps: TOTAL number of feedwater pumps; include installed spares: MINIMUM number of feedwater pumps required to obtain maximum capacity from the HRSG: PERCENT (%) of the HRSGs maximum capacity that can be achieved with a single feedwater pump (XXX.X format): __________________
81.
Auxiliary Systems - Feedwater (HRSG Feed) Pump Drives

Manufacturer(s) of motor(s) or steam turbine(s) that drives the feedwater pump(s).
Enter the type of equipment used to drive the feedwater (HRSG feed) pumps: ___________
1 2 3 4 5 Motor - single speed Motor - two speed Motor - variable speed Steam turbine Shaft 6 7 8 9 Motor gear Steam gear Shaft gear Other, describe
Specify coupling type used for feedwater (HRSG feed) pump: ___________ 1 2 9 - Hydraulic - Mechanical - Other, describe
82.
Auxiliary Systems - Startup Feedwater (HRSG Feed) Pumps

Startup feedwater pump(s) manufacturer(s): Manufacturer(s) of the motor(s) that drives the startup feedwater pump(s): PERCENT (%) of the HRSGs maximum capacity that can be achieved with a single startup feedwater pump: _______________
Indicate the additional capabilities of the startup feedwater pump: ____________

1 2 3 9 ADDITIVE: operated in conjunction with the feedwater (HRSG feed) pumps. REPLACEMENT: can carry load when the feedwater pumps are inoperative. STARTUP only: cannot be used in lieu of the feedwater pumps. Other, describe:
Page E-CC-13
83.
Auxiliary Systems - High Pressure Feedwater Heaters

High-pressure feedwater heaters are those heat exchangers between the feedwater (HRSG feed) pumps discharge and the economizer inlet. Enter the following information for the HIGH pressure feedwater heaters for this HRSG: High-pressure feedwater heater(s) manufacturer(s): TOTAL number of high-pressure feedwater heaters: Feedwater heater tube materials used in 50% or more of the tubes: Enter the type of HIGH-pressure feedwater heater(s): ________________ 1 2 3 9 Horizontal - longitudinal axis of the heater shell is horizontal. Vertical - longitudinal axis of the heater shell is vertical. Both Other, describe
84.
Auxiliary Systems - Intermediate Pressure Feedwater Heaters

Intermediate-pressure feedwater heaters are those heat exchangers between the condensate booster pump discharge and the deaerator. Enter the following information for the INTERMEDIATE pressure feedwater heaters for this HRSG: Intermediate-pressure feedwater heater(s) manufacturer(s): TOTAL number of intermediate-pressure feedwater heaters: Feedwater heater tube materials used in 50% or more of the tubes:
Enter the type of INTERMEDIATE pressure feedwater heater(s): _____________

1 2 3 9 Horizontal - longitudinal axis of the heater shell is horizontal. Vertical - longitudinal axis of the heater shell is vertical. Both Other, describe
85.
Auxiliary Systems - Low Pressure Feedwater Heaters

Low-pressure feedwater heaters are those heat exchangers between the condensate pump discharge and the condensate booster pump inlet. If the HRSG does not have condensate booster pumps, the low pressure feedwater heaters are located between the condensate pumps and the deaerator. Enter the following information for the LOW-pressure feedwater heaters for this HRSG: Low pressure feedwater heater(s) manufacturer(s): TOTAL number of low pressure feedwater heaters: Feedwater heater tube materials used in 50% or more of the tubes:
Enter the type of LOW pressure feedwater heater(s): _____________

1 2 3 9 Horizontal - longitudinal axis of the heater shell is horizontal. Vertical - longitudinal axis of the heater shell is vertical. Both Other, describe
Page E-CC-14
86.
Auxiliary Systems - Deaerator Heater

Deaerator manufacturer(s): ___________________________________
Enter the type of deaerator heater(s): _____________

1 2 3 4 9 Spray - high-velocity stream jet atomizes and scrubs the condensate. Tray - series of trays over which the condensate passes and is deaerated. Vacuum - a vacuum condition inside the shell for deaeration. Combination Other, describe
87.
Auxiliary Systems - Heater Drain Pumps

Heater drain pump(s) manufacturer(s): Manufacturer(s) of the motor(s) that drives the heater drain pump(s):
Page E-CC-15
FOR EACH STEAM TURBINE

COMPLETE ITEMS #88 TO #104 (If you have 3 steam turbines, then complete items #88-104 once for each steam turbine/generator/exciter set)
88.
Identification
A series of codes uniquely identifies your company and generating-units. NERC assigned a unique code to identify your company. You must assign the unique code that will identify the STEAM TURBINE unit being reported. This code may be any number from 100 to 199 or 600-649. Enter the unique company, block and generating-unit code and the full name of each steam turbine below: Company Code: ________________ Unit Code: _________________ Block Code:______________
Name of unit, including site name: __________________________________________________________
89. 90.
Does steam turbine have bypass capability? (y/n) _________ Steam Turbine - Manufacturer
Enter the name of the manufacturer of the steam turbine: Steam turbine manufacturer:
91. 92.
Steam Turbine - Enclosure

Is 50% or more of the steam turbine outdoors (not enclosed in building framing and siding)? (Y/N) ________
Steam Turbine - Nameplate Rating in MW

Nameplate is the design capacity stamped on the steam turbines nameplate or published on the turbine guarantee flow diagram. In cases where the steam turbines nameplate rating cannot be determined, approximate the rating by multiplying the MVA (megavoltamperes) by the rated power factor found on the nameplate affixed to the units generator (or nameplates in the case of cross compound units). Steam turbines nameplate rating (MW) (in XXXX.X format): _____________
93.
Steam Turbine - Type of Steam Turbine

Identify the steam turbines casing or shaft arrangement. Enter the type of steam turbine at the unit: ____________ 1 2 3 4 9 - Single casing - single (simple) turbine having one pressure casing (cylinder). - Tandem compound - two or more casings coupled together in line. - Cross compound - two cross-connected single casing or tandem compound turbine sets where the shafts are not in line. - Triple compound - three cross-connected single casing or tandem compound turbine sets. - Other, describe: ___________________________________________
Page E-CC-16
94.
Steam Turbine Manufacturers Building Block or Design Codes

Steam turbine building blocks or manufacturer=s design codes are assigned by the manufacturer to designate a series of turbine designs, LM5000 or W501 for example. Enter the following information:
Manufacturers code, first shaft: ________________________ Manufacturers code, second shaft (cross or triple compound units): __________________________ Turbine configuration and number of exhaust flows (e.g., tandem compound, four flow): ______________
95.
Steam Turbine - Steam Conditions

Enter the following information on the Main, First Reheat, and Second Reheat Steam design conditions: Main steam: Temperature (F): ____________ Pressure (psig): ______________ First reheat steam: Temperature (F): ____________ Pressure (psig): ______________ Second reheat steam: Temperature (F): ____________ Pressure (psig): ______________
96.
Steam Turbine - High, Intermediate, and Low Pressure Sections

Enter the following information describing various sections of the steam turbine:
High Pressure Casings

TOTAL number of high pressure casings, cylinders or shells: ___________ Back pressure of the high pressure condenser (if applicable) to the nearest one-tenth inch of mercury at the nameplate capacity and design water temperature. (XX.X format): ____________
Combined High Pressure/Intermediate Pressure Casings

TOTAL number of high/intermediate pressure casings, cylinders or shells: __________________
Intermediate Pressure Casings

TOTAL number of intermediate pressure casings, cylinders or shells: _______________
Combined Intermediate/Low Pressure Casings

TOTAL number of intermediate/low pressure casings, cylinders or shells: __________________
Low Pressure Casings

TOTAL number of low pressure casings, cylinders or shells: ___________________ Back pressure of the low pressure condenser to the nearest one-tenth inch of mercury at nameplate capacity and design water temperature. . (XX.X format): ______________ The last stage blade length (inches) of the low pressure turbine, measured from hub to end of top of blade. (XX.X format): _______________________
Page E-CC-17
97.
Steam Turbine - Governing System

Enter the following information for the steam turbine governing system: Enter the type of governing system used at the unit: _____________ 1 2 3 9 - Partial arc - main steam flow is restricted to one sector of the turbine=s first stage at startup. - Full arc - main steam is admitted to all sectors of the turbine=s first stage at startup. - Either - capable of admitting steam using either partial or full arc techniques. - Other, describe
Enter the type of turbine governing system used at the unit: ____________ 1 2 3 9 Mechanical hydraulic control (MHC) - turbine speed monitored and adjusted through mechanical and hydraulic linkages. - Analog electro-hydraulic control (EHC) - analog signals control electro-hydraulic linkages to monitor and adjust turbine speed. - Digital electro-hydraulic control (DHC) - same as EHC except signals are digital rather than analog. - Other, describe
98.
Steam Turbine - Lube Oil System

Enter the following information for the steam turbine main lube oil system: Main lube oil system manufacturer: Main lube oil pump(s) manufacturer: Manufacturer of the motor(s)/steam turbine(s) that drives the main lube oil pump(s): TOTAL number of steam turbine main lube oil pumps; include installed spares: Enter the type of driver on the main lube oil pump: _________________ 1 2 3 - Motor - Shaft - Steam turbine
9 - Other, describe
FOR ELECTRIC GENERATOR ON A STEAM TURBINE

99. Generator - Manufacturer
Enter the name of the manufacturer of the electric generator: Generator manufacturer:
100. Generator - Enclosure

Is 50% or more of the generator outdoors (not enclosed in building framing and siding)? (Y/N) __________
Page E-CC-18
101. Generator - Ratings and Power Factor

> Megavoltamperes (MVA) Capability RPM Power Factor (enter as %) > *Cross compound units.
>
>
>
>
102. Generator - Cooling System

Two types of cooling methods are typically used. First is the innercooled method, where the cooling medium is in direct contact with the conductor copper or is separated by materials having little thermal resistance. The other is the conventional cooling method where the heat generated within the windings must flow through the major ground insulation before reaching the cooling medium. Enter the type of cooling method used by the generator: ______________ 1 - Stator innercooled and rotor innercooled. 2 - Stator conventionally cooled and rotor conventionally cooled. 3 - Stator innercooled and rotor conventionally cooled. 9 - Other, describe Enter the mediums used to cool the generators stator (air, hydrogen, oil, water): ______________ Enter the mediums used to cool the generators rotor (air, hydrogen, oil, water): _______________
103. Generator - Hydrogen Pressure

Enter the generator hydrogen pressure IN PSIG at nameplate MVA (XX.X format): _____________
Page E-CC-19
EXCITER FOR EACH STEAM TURBINE GENERATOR

104. Exciter - Configuration
Enter the following information about the main exciter: Exciter manufacturer: TOTAL number of exciters; include installed spares: MINIMUM number of exciters required to obtain maximum capacity from the unit: Enter the type of main exciter used at the unit: 1 2 3 - Static - static excitation where dc is obtained by rectifying ac from generator terminals, and dc is fed into rotor by collector rings. - Rotating dc generator - exciter supplies dc from a commutator into the main rotor by means of collector rings. - Brushless - an ac (rotating armature type) exciter whose output is rectified by a semiconductor device to provide excitation to an electric machine. The semiconductor device would be mounted on and rotate with the ac exciter armature. - Alternator rectifier - Other, describe
4 9
Enter the type(s) of exciter drive(s) used by the main exciter IF it is rotating: 1 2 3 9 Shaft direct Shaft gear Motor Other, describe
Page E-CC-20
AUXILIARY SYSTEMS
105. Auxiliary Systems - Main Condenser
Enter the following information for the main condenser and its auxiliaries: Main condenser manufacturer: Type of condenser (water, air): __________________________ TOTAL number of passes made by the circulating water as it passes through the condenser: TOTAL number of condenser shells: Condenser tube materials used in the majority (50% or more) of the condenser tubes: Air ejector(s) or vacuum pump(s) manufacturer: __________________________ Enter the type of air removal equipment used on the condenser: _______________ 1 2 3 9 Vacuum pump Steam jet air ejector Both Other, describe
Enter the type of cooling water used in the condenser: _______________ 1 2 3 9 Fresh - salinity values less than 0.50 parts per thousand. Brackish - salinity value ranging from approximately 0.50 to 17 parts per thousand. Salt - salinity values greater than 17 parts per thousand. Other, describe
Enter the origin of the circulating water used in the condenser: ________________ 1 2 3 4 9 River Lake Ocean or Bay Cooling Tower Other, describe
106. Auxiliary Systems - Condenser Cleaning System

Enter the following information about the ON-LINE main condenser cleaning system (leave blank if cleaning is manual): On-line main condenser cleaning system manufacturer: Enter the type of on-line main condenser cleaning system used at the unit: _________________________ 1 2 9 - Ball sponge rubber - Brushes - Other, describe
Page E-CC-21
107. Auxiliary Systems - Condensate Polishing System

A condensate polisher is an in-line demineralizer located in the condensate water system to treat water coming from the condenser to the HRSG. It is not the demineralizer that prepares raw or untreated water for eventual use in the steam production process. Enter the following information about the condensate polishing system at the unit: Condensate polishing system manufacturer: Enter the % of the condensate flow at maximum unit capacity that can be treated: __________________
108. Auxiliary Systems - Condensate Pumps

Enter the following information for the main condensate pumps (those at the discharge of the condenser): Condensate pump(s) manufacturer(s): Manufacturer(s) of the motor(s) that drives the condensate pump(s): TOTAL number of condensate pumps; include installed spares: MINIMUM number of condensate pumps required to obtain maximum capacity from the block:
109. Auxiliary Systems - Condensate Booster Pumps

Condensate booster pumps increase the pressure of the condensate water between the low pressure and the intermediate or high-pressure feedwater heaters. Enter the following information for the condensate booster pumps: Condensate booster pump(s) manufacturer(s): Manufacturer(s) of the motor(s) that drives the condensate booster pump(s): TOTAL number of condensate booster pumps; include installed spares: MINIMUM number of condensate booster pumps required for maximum capacity from the block:
110. Auxiliary Systems - Circulating Water Pumps

Enter the following information for the circulating water pumps: Circulating water pump(s) manufacturer(s): Manufacturer(s) of the motor(s) that drives the circulating water pump(s): TOTAL number of circulating water pumps; include installed spares: MINIMUM number of circulating water pumps required to obtain maximum capacity from the block DURING WINTER SEASON.
Page E-CC-22
111. Auxiliary Systems - Cooling Tower and Auxiliaries

Enter the following information for the cooling towers and all related auxiliary equipment at the block: Cooling tower manufacturer(s): Cooling tower fan(s) manufacturer(s): Manufacturer(s) of the motor(s) that drives the cooling tower fan(s):
Enter the type of cooling tower(s) used: _____________

1 2 3 - Mechanical draft (induced, forced, cross-flow and counterflow) - fan(s) used to move ambient air through the tower. - Atmospheric spray - air movement is dependent on atmospheric conditions and the aspirating effect of the spray nozzles. - Hyperbolic (natural draft) - temperature difference between condenser circulating water and ambient air conditions, aided by hyperbolic tower shape, creates natural draft of air through the tower to cool the water. - Deck-filled - wetted surfaces such as tiers of splash bars or decks aid in the breakup and retention of water drops to increase the evaporation rate. - Coil shed - a combination structure of a cooling tower installed over a substructure that houses atmospheric coils or sections. - Other, describe
4 5 9
The cooling tower booster pumps increase the pressure of the circulating water and force the water to the top of the cooling tower. Cooling tower booster pump(s) manufacturer(s): Manufacturer(s) of the motor(s) that drives the cooling tower booster pump(s): TOTAL number of cooling tower booster pumps; include installed spares: MINIMUM number of cooling tower booster pumps required to obtain maximum capacity from the block:
Page E-CC-23
BALANCE OF PLANT
112. Balance of Plant - Main Transformer
The main transformer is the block step-up transformer connecting the generator (or multiple generators if block is cross compound) to the transmission system. Enter the following information for the MAIN transformer(s) at the block: Main transformer(s) manufacturer(s): TOTAL number of main transformers; include installed spares: Megavoltampere (MVA) size of the main transformer(s): HIGH SIDE voltage in kilovolts (kV) of the main transformer(s) at 55:
Enter the type of MAIN transformer at the block: __________

1 2 9 - Single phase - Three phase - Other, describe
113. Balance of Plant - Block Auxiliary Transformer

The block auxiliary transformer supplies the auxiliaries when the block is synchronized. Enter the following information for this transformer: Block auxiliary transformer(s) manufacturer(s): TOTAL number of block auxiliary transformer(s): LOW SIDE voltage in kilovolts (kV) of the block auxiliary transformer(s) at 55:
114. Balance of Plant - Station Service Transformer

The station service (start-up) transformer supplies power from a station high voltage bus to the station auxiliaries and also to the block auxiliaries during block start-up and shutdown. It also may be used when the block auxiliary transformer is not available or nonexistent. Station service transformer(s) manufacturer(s): TOTAL number of station service transformer(s): HIGH SIDE voltage in kilovolts (kV) of the station service transformer(s) at 55: LOW SIDE voltage in kilovolts (kV) of the station service transformer(s) at 55:
Page E-CC-24
Miscellaneous Units
Unit Design data Miscellaneous

Instructions Use these forms when no other forms in this appendix are appropriate. Specifically, use them for multi-boiler/multi-turbine and geothermal units. Submit the data in this section once during the life of each miscellaneous unit. If a major change is made to a unit which significantly changes its characteristics, then resubmit this section with updated information. For coded entries, a (9) is entered to indicate an alternative other than those specified. Whenever a (9) is entered, write the column number and the answer on the reverse side of the form. If a copy of the original form is being submitted, make sure that it is legible.
Page E-MS-1
Miscellaneous Units
GENERAL DATA
Col. No.
01 04 Utility identification number Unit identification number Card code Columns 09 through 12 are blank Year unit first paralleled for load Month unit first paralleled for load
8 1
07 09 13 17
19
Day unit first paralleled for load
21
Energy source - (1) Fossil (Multi-Boiler - Multi-Turbine); (3) Geothermal; (4) More than one; (9) Other Energy medium - (1) Water and/or steam; (2) Heavy water and/or steam; (3) Liquid metal; (4) Gas; (5) More than one; (6) Direct conversion; (9) Other Enter (1) if header unit Enter (1) if noncondensing steam turbine Columns 25 through 80 are blank
22
23 24 25
E-MS-2
Miscellaneous Units

01 04 8 2 Utility identification number Unit identification number
07 09
Card code Columns 09 through 17 are blank
16
Nameplate MW Rating of the unit
SELECTIVE NON-CATALYTIC REDUCTION SYSTEM (SNCR)

22 23 21 R reagent - (1) Ammonia; (2) Urea; (9) Other SNCR injector type - (1) Wall nozzle; (2) Lance; (9) Other SNCR injection equipment location - (1) Furnace; (2) Superheater; (3) Economizer; (9) Other Number of SNCR injectors SNCR carrier gas type - (1) Steam; (2) Air; (9) Other R carrier gas total flow rate (thousands of lbs./hr.) i.e. 6,000,000 lbs./hr. enter 6000 SNCR carrier gas pressure at nozzle (psi) SNCR carrier gas nozzle exit velocity (thousands of ft./sec.)
25 28 > 26
33 > 38
SELECTIVE CATALYTIC REDUCTION SYSTEM (SCR)

43 41 45 Reactor - (1) Separate; (2) In Duct SCR reagent - (1) Ammonia; (2) Urea; (9) Other SCR ammonia injection grid location - (1) Furnace; (2) Superheater; (3) Economizer; (4) Zoned SCR duct configuration - (1) Flow straighteners; (2) Turning vanes; (3) Dampers
46
Page E-MS-3
Miscellaneous Units
SELECTIVE CATALYTIC REDUCTION SYSTEM (SCR) (Continued)

47 SCR Catalyst Element Type (1) Plate; (2) Honeycomb; (9) Other SCR catalyst support material (1) Stainless steel; (2) Carbon steel; (9) Other SCR catalytic material configuration (1) Vertical; (2) Horizontal; (9) Other SCR catalyst surface face area (thousands of square feet) SCR catalyst volume (thousands of cubic feet) Number of SCR catalytic layers SCR catalytic layer thickness (1/1000 inches) SCR sootblower type - (1) Air; (2) Steam; (3) Both SCR sootblower manufacturer - (see table of Manufacturers page E-125)
47
48
> >
49 55 60
>
62 64 65
CATALYTIC AIR HEATERS (CAH)

67 CAH element type - (1) Laminar surface; (2) Turbulent surface; (9) Other CAH catalyst material - (1) Titanium oxide; (2) Vanadium pentoxide; 3) Iron (II) oxide; (4) Molybdenum oxide; (9) Other CAH catalyst support material - (1) Stainless steel; (2) Carbon steel; 9) Other CAH catalyst material configuration - (1) Horizontal air shaft; (2) Vertical air shaft CAH catalyst material total face area (thousands of square feet) CAH catalyst material open face area (thousands of square feet) CAH catalyst material layer thickness (1/1000 inches)
68
69
71
> > >
72 75 78
E-MS-4
Miscellaneous Units
GENERAL DATA
01 04 8 3 07 Utility identification number Unit identification number Card code
09 15 19 20 56
Columns 09 through 14 are blank Total nameplate rating in MW Type electrical output - (1) Three-phase, 60 cycle; (9) Other Columns 20 through 55 are blank Name of Unit (Columns 56-80)
Page E-MS-5
Miscellaneous Units
E-MS-6
Appendix F Performance Indexes and Equations

General Information
Appendix F discusses the relationships among the performance indexes calculated from the event and performance data outlined in Sections III and IV. The basis for these relationships is IEEE Standard No. 762 Definitions for Use in Reporting Electric Generating Unit Reliability, Availability and Productivity. Summary of Various Time and Energy Factors Used by Indexes
1. 2. Service Hours - SH Synchronous Hours Sum of all Unit Service Hours. Sum of all hours the unit is in the synchronous condensing mode. The units are considered to be in a non-generating service operation. Sum of all hours the pumped storage unit is in pumping mode. The units are considered to be in a non-generating service operation. Sum of all Service Hours (SH) + Reserve Shutdown Hours (RSH) + Pumping Hours + Synchronous Condensing Hours. Sum of all hours experienced during Planned Outages (PO) + Planned Outage Extensions (PE) of any Planned Outages (PO). Sum of all hours experienced during Forced Outages (U1, U2, U3) + Startup Failures (SF) + Maintenance Outages (MO) + Maintenance Outage Extensions (ME) of any Maintenance Outages (MO). Sum of all hours experienced during Forced Outages (U1, U2, U3) + Startup Failures (SF). Sum of all hours experienced during Maintenance Outages (MO) + Maintenance Outage Extensions (ME) of any Maintenance Outages (MO). Sum of all Planned Outage Hours (POH) + Forced Outage Hours (FOH) + Maintenance Outage Hours (MOH).
3.
Pumping Hours
4.
Available Hours - AH
5.
Planned Outage Hours - POH
6.
Unplanned Outage Hours - UOH
7.
Forced Outage Hours - FOH
8.
Maintenance Outage Hours - MOH
9.
Unavailable Hours - UH
F-1
10.
Scheduled Outage Hours - SOH
Sum of all hours experienced during Planned Outages (PO) + Maintenance Outages (MO) + Scheduled Outage Extensions (PE and ME) of any Maintenance Outages (MO) and Planned Outages (PO). Number of hours in the period being reported that the unit was in the active state. Net Maximum Capacity (NMC) Net Dependable Capacity (NDC) x Available Hours (AH) / Net Maximum Capacity (NMC). (NMC - NDC) x AH NMC
11.
Period Hours - PH
12.
Equivalent Seasonal Derated Hours - ESEDH
13a.
Equivalent Forced Derated Hours - EFDH (D1, D2, D3)
Each individual Forced Derating (D1, D2, D3) is transformed into equivalent full outage hour(s). This is calculated by multiplying the actual duration of the derating (hours) by the size of the reduction (MW) and dividing by the Net Maximum Capacity (NMC). These equivalent hour(s) are then summed. Derating Hours x Size of Reduction* NMC NOTE: Includes Forced Deratings (D1, D2, D3) during Reserve Shutdowns (RS). See 13d, Page F-3.
*Size of Reduction is determined by subtracting the Net Available Capacity (NAC) from the Net Dependable Capacity (NDC). In cases of multiple deratings, the Size of Reduction of each derating will be determined by the difference in the Net Available Capacity of the unit prior to the derating and the reported Net Available Capacity as a result of the derating.
Page F-2 GADS Data Reporting Instructions January 2011
13b.
Equivalent Maintenance Derated Hours - EMDH (D4, DM of D4)
Each individual Maintenance Derating (D4, DM) is transformed into equivalent full outage hour(s). This is calculated by multiplying the actual duration of the derating (hours) by the size of reduction (MW) and dividing by the Net Maximum Capacity (NMC). These equivalent hour(s) are then summed. Derating Hours x Size of Reduction* NMC
13c.
Equivalent Planned Derated Hours - EPDH (PD, DP of PD)
Each individual Planned Derating (PD, DP) is transformed into equivalent full outage hour(s). This is calculated by multiplying the actual duration of the derating (hours) by the size of reduction (MW) and dividing by the Net Maximum Capacity (NMC). These equivalent hour(s) are then summed. Derating Hours x Size of Reduction* NMC NOTE: Includes Planned Deratings (PD) during Reserve Shutdowns (RS). See 13d, below.
13d.
Equivalent Scheduled Derated Hours - ESDH (PD, DP of PD, D4 and DM of D4)
Each individual Planned Derating (PD, DP) and Maintenance Derating (D4, DM) is transformed into equivalent full outage hour(s). This is calculated by multiplying the actual duration of the derating (hours) by the size of reduction (MW) and dividing by the Net Maximum Capacity (NMC). These equivalent hour(s) are then summed. Derating Hours x Size of Reduction* NMC
*Size of Reduction is determined by subtracting the Net Available Capacity (NAC) from the Net Dependable Capacity (NDC). In cases of multiple deratings, the Size of Reduction of each derating will be determined by the difference in the Net Available Capacity of the unit prior to the derating and the reported Net Available Capacity as a result of the derating.
GADS Data Reporting Instructions January 2011 F-3
13e.
Equivalent Unplanned Derated Hours - EUDH (D1, D2, D3, D4, DM)
Each individual Unplanned Derating (D1, D2, D3, D4, DM) is transformed into equivalent full outage hour(s). This is calculated by multiplying the actual duration of the derating (hours) by the size of reduction (MW) and dividing by the Net Maximum Capacity (NMC). These equivalent hour(s) are then summed. Derating Hours x Size of Reduction* NMC NOTE: Incudes Unplanned Deratings (D1, D2, D3, D4, DM) during Reserve Shutdowns (RS). See 13d, Page F-3.
13f.
Equivalent Forced Derated Hours During Reserve Shutdowns - EFDHRS (D1, D2, D3)
Each individual Forced Derating (D1, D2, D3) or the portion of any Forced derating which occurred during a Reserve Shutdown (RS) is transformed into equivalent full outage hour(s). This is calculated by multiplying the actual duration of the derating (hours) by the size of the reduction (MW) and dividing by the Net Maximum Capacity (NMC). These equivalent hour(s) are then summed. Derating Hours x Size of Reduction* NMC
13g. Equivalent Planned Derated Hours During Reserve Shutdowns - EPDHRS (PD)
Each individual Planned Derating (PD) or the portion of any Planned derating which occurred during a Reserve Shutdown (RS) is transformed into equivalent full outage hour(s). This is calculated by multiplying the actual duration of the derating (hours) by the size of the reduction (MW) and dividing by the Net Maximum Capacity (NMC). These equivalent hour(s) are then summed. Derating Hours x Size of Reduction* NMC
Page F-4
13h. Equivalent Maintenance Derated Hours During Reserve Shutdowns - EMDHRS (D4)
Each individual Maintenance Derating (D4) or the portion of any Maintenance derating which occurred during a Reserve Shutdown (RS) is transformed into equivalent full outage hour(s). This is calculated by multiplying the actual duration of the derating (hours) by the size of the reduction (MW) and dividing by the Net Maximum Capacity (NMC). These equivalent hour(s) are then summed. Derating Hours x Size of Reduction* NMC
14.
Number of Planned Outages (PO) which occur from in-service state only
A count of the number of all Planned Outages (PO) reported on the GADS Event Report (07). (Since Planned Outage Extensions (PE) of Planned Outages are considered part of the original Planned Outage (PO), they are not included in this count.) A count of the number of all Unplanned Outages (U1, U2, U3, MO) reported on the GADS Event Report (07). (IEEE Standard 762 does not include Startup Failures (SF) in this count.)
15.
Number of Unplanned Outages (MO, U1, U2, U3) which occur from in-service state only
* Size of Reduction is determined by subtracting the Net Available Capacity (NAC) from the Net Dependable Capacity (NDC). In cases of multiple deratings, the Size of Reduction of each derating will be determined by the difference in the Net Available Capacity of the unit prior to the derating and the reported Net Available Capacity as a result of the derating
16.
Number of Forced Outages (U1, U2, U3) which occur from in-service state only
A count of the number of all Unplanned (Forced) Outages (U1, U2, U3) reported on the GADS Event Report (07). (IEEE Standard 762 does not include Startup Failures (SF) in this count.) A count of the number of all Maintenance Outages (MO) reported on the GADS Event Report (07). (Since Maintenance Outage Extensions (ME) of Maintenance Outages are considered part of the original Maintenance Outage (MO), they are not included in this count.)
17.
Number of Maintenance Outages (MO) which occur from in-service state only
* Size of Reduction is determined by subtracting the Net Available Capacity (NAC) from the Net Dependable Capacity (NDC). In cases of multiple deratings, the Size of Reduction of each derating will be determined by the difference in the Net Available Capacity of the unit prior to the derating and the reported Net Available Capacity as a result of the derating.
Performance Indexes
The following sections describe performance indexes used to measure the performance of generating units. The sections are divided into: 1. 2. 3. 4. Unweighted (time-based) methods for calculating single unit statistics. Unweighted (time-based) methods for calculating pooled (grouping) unit statistics. Weighted (capacity-based) methods for calculating pooling (grouping) unit statistics. Unweighted (time-based) methods for calculating statistics excluding problems outside management control for single unit and pooling unit statistics. 5. Weighted (capacity-based) methods for calculating statistics excluding problems outside management control for pooling unit statistics.
Some Words About Calculations Please note that when you are calculating a single generating units performance statistics, it does not matter if you use unweighted- or weighted-based statistics. The answer will generally be the same. The real difference between the unweighted and weighted statistics is in pooling (or grouping) of a set of generating units. In such cases, a group of units of similar size will show little or no differences but a for group of units where the MW size is very different (greater than 50 MW), the statistics will be very different. With unweighted statistics, all units are considered equal in outage impact. In the unweighted equations, no MW size is introduced into the equations and the results are based on time, not energy produced (or not produced.) In such cases, a 50 MW gas turbine and a 1,000 MW nuclear unit have the same impact of the resulting statistics. With weighted statistics, the larger MW size unit in the group has more impact on the final statistics than a smaller generating unit. That is because the MW size of the unit (NMC) is part of the equation. In such cases, a 1,000 MW nuclear unit would have 20 times impact on the final outcome of the calculation than would its 50 MW gas turbine companion. More Words About Data Pooling When grouping a fleet of units of dissimilar size and/or duty cycle, weighting puts the proper relative weight of each unit's contribution into the fleet's composite indexes. Using the unweighted equations currently in the IEEE 762 Standard (Section 7), an older, smaller, little-run unit will have just as much weight as a newer, larger, base-load unit. The effect of this could unrealistically and disproportionately swing the fleet unweighted averages too high (for a very high availability on a small unit) or too low (for a very low availability on a small unit). The current IEEE 762 Standard's unweighted equations should not be abandoned, however, even for group statistics. There are valid applications for this method as well. (One being purely to evaluate equipment reliability and availability regardless of size). The weighted calculations, although primarily needed for grouping units' performance indexes, may apply to individual units as well. The effect will be minimal, but over the months or years, many units' net maximum capacities (NMC) do change somewhat.
SPECIAL NOTE: To weight an equation, one does not simply take each unit's EFOR, for example, and multiply the EFOR by the NMC, add them up and divide by the sum of the NMCs. Each term in the equation must be multiplied by the NMC and then all the products are summed over all the units.
Unweighted (time-based) methods for calculating single unit statistics.

1. Planned Outage Factor POF POF = POH PH x 100%
2.
Unplanned Outage Factor UOF UOF = UOH PH x 100%
UOF = MOH + FOH + ME of MO x 100% PH
3.
Forced Outage Factor FOF FOF = FOH PH x 100%
4.
Maintenance Outage Factor MOF MOF = MOH PH x 100%
5.
Scheduled Outage Factor SOF SOF = SOH PH x 100%
SOF = POH + MOH x 100% PH
Page F-8
6.
Unavailability Factor UF UF = UH PH x 100%
UF = POH + MOH + FOH x 100% PH
7.
Availability Factor AF AF = AH PH x 100%
AF = SH + RSH + Synchronous Hours + Pumping Hours x 100% PH
8.
Service Factor SF SF = SH PH x 100%
9.
Seasonal Derating Factor SEDF SEDF = ESEDH x 100% PH
10.
Unit Derating Factor UDF UDF = EPDH + EUDH x 100% PH UDF = EPDH + EMDH + EFDH x 100% PH
11.
Equivalent Unavailability Factor EUF EUF = UOH + POH + EUDH + EPDH x 100% PH EUF = FOH + SOH + EFDH + ESDH x 100% PH EUF = FOH + MOH + POH +EFDH + EMDH +EPDH x 100% PH
F-9
12.
Equivalent Availability Factor EAF EAF = AH - EPDH EUDH - ESEDH x 100% PH EAF = AH - EPDH - EFDH EMDH - ESEDH x 100% PH
13.
Gross Capacity Factor GCF GCF = Gross Actual Generation x 100% PH x GMC
14.
Net Capacity Factor NCF NCF = Net Actual Generation x 100% PH x NMC
Note: Net capacity factor calculated using this equation can be negative during a period when the unit is shutdown.
15.
Gross Output Factor GOF GOF = Gross Actual Generation x 100% SH x GMC
16.
Net Output Factor NOF NOF = Net Actual Generation x 100% SH x NMC
17.
Equivalent Maintenance Outage Factor EMOF EMOF = (MOH + EMDH) x 100% PH
18.
Equivalent Planned Outage Factor EPOF EPOF = (POH + EPDH) x 100% PH
Page F-10
19.
Equivalent Forced Outage Factor EFOF EFOF = (FOH + EFDH) x 100% PH
20.
Equivalent Scheduled Outage Factor ESOF ESOF = (SOH + ESDH) x 100% PH
ESOF = (MOH + POH + EMDH + EPDH) x 100% PH
21.
Equivalent Unplanned Outage Factor EUOF EUOF = (UOH + EUDH) x 100% PH
EUOF = (MOH + FOH + EMDH + EFDH) x 100% PH
(NOTE: This EUOF is identical to the Unit Capability Loss Factor except this equation includes all events, including those outside plant management control.)
22.
Forced Outage Rate FOR FOR = FOH x 100% FOH + SH + Synchronous Hrs + Pumping Hrs
23.
Forced Outage Rate Demand FORd (See Notes 1 and 2 at the end of this section) FORd = FOHd [FOHd + SH] x 100%
where FOHd = f x FOH f = 1 + / + + r T r T D
1 1
r=Average Forced outage duration = (FOH) / (# of FO occurrences) D=Average demand time = (SH) / (# of unit actual starts) T=Average reserve shutdown time = (RSH) / (# of unit attempted starts)
F-11
24.
Equivalent Forced Outage Rate EFOR
EFOR =
FOH + EFDH x 100% FOH + SH + Synchronous Hrs + Pumping Hrs + EFDHRS
25.
Equivalent Forced Outage Rate demand EFORd (See Notes 1 and 2 at the end of this section) EFORd = [FOHd + (EFDHd)] x 100% [SH + FOHd]
where FOHd = f x FOH EFDHd = (EFDH EFDHRS) if reserve shutdown events reported, or = (fp x EFDH) if no reserve shutdown events reported an approximation. fp = (SH/AH) f = 1 + / + + r T r T D
1 1
r=Average Forced outage deration = (FOH) / (# of FO occurrences) D=Average demand time = (SH) / (# of unit actual starts) T=Average reserve shutdown time = (RSH) / (# of unit attempted starts)
26.
Equivalent Planned Outage Rate EPOR EPOR = POH + EPDH x 100% POH + SH + Synchronous Hrs + Pumping Hrs + EPDHRS
27.
Equivalent Maintenance Outage Rate EMOR EMOR = MOH + EMDH MOH + SH + Synchronous Hrs + Pumping Hrs + EMDHRS x 100%
28.
Equivalent Unplanned Outage Rate EUOR EUOR = (UOH + EUDH ) UOH + SH + Synchronous Hrs + Pumping Hrs + EUDHRS x 100%
EUOR =
FOH + EFDH + MOH + EMDH FOH + MOH + SH + Synchronous Hrs + Pumping Hrs + EFDHRS + EMDHRS
x 100%
Page F-12
29.
Average Run Time ART
ART =
SH x 100% Actual Unit Starts
30.
Starting Reliability SR
SR =
Actual Unit Starts x 100% Attempted Unit Starts
Mean Service Time to Outage:

31a. Mean Service Time to Planned Outage MSTPO MSTPO = Service Hours_________________________________________ Number of Planned Outages which occur from in-service state only
31b.
Mean Service Time to Planned Outage MSTUO MSTUO = Service Hours____________________________________________ Number of Unplanned Outages which occur from in-service state only
31c.
Mean Service Time to Planned Outage MSTFO MSTFO = Service Hours__________________________________________________ Number of (Unplanned) Forced Outages which occur from in-service state only
31d.
Mean Service Time to Maintenance Outage MSTMO MSTMO = Service Hours_____________________________________________ Number of Maintenance Outages which occur from in-service state only
F-13
Mean Outage Duration:

32a. Mean Planned Outage Duration MPOD MPOD = Planned Outage Hours which occur from in-service state only Number of Planned Outages which occur from in-service state only
32b.
Mean Unplanned Outage Duration MUOD MUOD = Unplanned Outage Hours which occur from in-service state only Number of Unplanned Outages which occur from in-service state only
32c.
Mean Forced Outage Duration MFOD MFOD = Forced Outage Hours which occur from in-service state only Number of Forced Outages which occur from in-service state only
32d.
Mean Maintenance Outage Duration MMOD MMOD = Maintenance Outage Hours which occur from in-service state only Number of Maintenance Outages which occur from in-service state only
Unweighted (time-based) methods for calculating pooled (grouping) unit statistics.

33. Planned Outage Factor POF POF = POH x 100% PH
34.
Unplanned Outage Factor UOF UOF = (FOH + MOH) x 100% PH
Page F-14
35.
Forced Outage Factor FOF FOF = FOH x 100% PH
36.
Maintenance Outage Factor MOF MOF = MOH x 100% PH
37.
Scheduled Outage Factor SOF SOF = (POH + MOH) x 100% PH
38.
Unavailability Factor UF UF = (POH + MOH + FOH) x 100% PH
39.
Availability Factor AF AF = AH x 100% PH AF = (SH + RSH + Synchronous Hours + Pumping Hours) x 100% PH
40.
Service Factor SF SF = SH x 100% PH
41.
Seasonal Derating Factor SEDF SEDF = ESEDH x 100% PH
F-15
42.
Unit Derating Factor UDF UDF = (EUDH + EPDH) x 100% PH UDF = (EFDH + EMDH + EPDH) x 100% PH
43.
Equivalent Unavailability Factor EUF EUF = ( POH + UOH + EUDH + EPDH) x 100% PH EUF = ( SOH + FOH + ESDH + EFDH) x 100% PH EUF = ( POH + MOH + FOH + EFDH + EMDH + EPDH) x 100% PH
44.
Equivalent Availability Factor EAF EAF = ( AH EUDH EPDH -ESEDH) x 100% PH EAF = ( AH EFDH EMDH EPDH -ESEDH) x 100% PH
45. *
Gross Capacity Factor GCF GCF = (Gross Actual Generation) x 100% (GMC x PH)
46. *
Net Capacity Factor NCF NCF = (Net Actual Generation) x 100% (NMC x PH)
*Special energy-weighted equations are not necessary for energy terms (GCF, NCF, GOF, NOF), because these factors are inherently energy-weighted. These equations are the same as 7.12 7.15. But when calculating for a group of units (or a unit that has a varying capacity value over time), do not simply average these factors. Follow the equations.
47. *
Gross Output Factor GOF GOF = (Gross Actual Generation) x 100% (GMC x SH)
48. *
Net Output Factor NOF NOF = (Net Actual Generation) x 100% (NMC x SH)
49.
Equivalent Maintenance Outage Factor EMOF EMOF = (MOH + EMDH) x 100% PH
50.
Equivalent Planned Outage Factor EPOF EPOF = (POH + EPDH) x 100% PH
51.
Equivalent Forced Outage Factor EFOF EFOF = (FOH + EFDH) PH x 100%
52.
Equivalent Scheduled Outage Factor ESOF ESOF = (SOH + ESDH) PH x 100%
ESOF = (MOH + POH + EMDH + EPDH) PH
x 100%
* Special energy-weighted equations are not necessary for energy terms (GCF, NCF, GOF, NOF), because these factors are inherently energy-weighted. These equations are the same as 7.12 7.15. But when calculating for a group of units (or a unit that has a varying capacity value over time), do not simply average these factors. Follow the equations.
53.
Equivalent Unplanned Outage Factor EUOF EUOF = (UOH + EUDH) PH x 100%
EUOF = (MOH + FOH + EMDH + EFDH) PH
x 100%
54.
Forced Outage Rate FOR FOH x 100% (FOH + SH + Synchronous Hours + Pumping Hours)
FOR =
55.
Forced Outage Rate demand FORd (See Notes 1 and 2 at the end of this section) FORd = FOHd FOHd + SH x 100%
Where FOHd = f x FOH f = 1 + / + + r T r T D
1 1
r = Average Forced outage deration = (FOH) / (# of FO occurrences) D = Average demand time = (SH) / (# of unit actual starts) T = Average reserve shutdown time = (RSH) / (# of unit attempted starts)
56.
Equivalent Forced Outage Rate EFOR ( FOH + EFDH ) x 100% (FOH + SH + Synchronous Hours + Pumping Hours + EFDHRS)
EFOR =
Page F-18
57.
Equivalent Forced Outage Rate demand EFORd (See Notes 1 and 2 at the end of this section) EFORd = [ [FOHd + (EFDHd)] x 100% (SH + FOHd)
1 1
58.
Equivalent Planned Outage Rate EPOR ( POH + EPDH) x 100% (POH + SH + Synchronous Hours + Pumping Hours + EPDHRS)
EPOR =
59.
Equivalent Maintenance Outage Rate EMOR ( MOH + EMDH) x 100% (MOH + SH + Synchronous Hours + Pumping Hours + EMDHRS)
EMOR =
60.
Equivalent Unplanned Outage Rate EUOR ( UOH + EUDH) (UOH + SH + Synchronous Hours + Pumping Hours + EUDHRS) ( FOH + MOH + EFDH + EMDH)
EUOR =
x 100%
EUOR = 100%
___
(FOH+MOH+SH+ Synchronous Hours+Pumping Hours+EFDHRS+EMDHRS)
61.
Average Run Time ART SH x 100% (Actual Unit Starts)
ART =
F-19
62.
Starting Reliability SR (Actual Unit Starts) (Attempted Unit Starts)
SR =
x 100%

63a. Mean Service Time to Planned Outage MSTPO (Service Hours) MSTPO = (Number of Planned Outages which occur from in-service state only)
63b.
Mean Service Time to Unplanned Outage MSTUO ( Service Hours) MSTUO = (Number of Unplanned Outages which occur from in-service state only)
63c.
Mean Service Time to Forced Outage MSTFO (Service Hours) MSTFO = (Number of (Unplanned) Forced Outages which occur from in-service state only)
63d.
Mean Service Time to Maintenance Outage MSTMO (Service Hours) MSTMO = (Number of Maintenance Outages which occur from in-service state only)
Page F-20

64a. Mean Planned Outage Duration MPOD (Planned Outage Hours which occur from in-service state only) MPOD = (Number of Planned Outages which occur from in-service state only)
64b.
Mean Unplanned Outage Duration MUOD (Unplanned Outage Hours which occur from in-service state only) MUOD = (Number of Unplanned Outages which occur from in-service state only)
64c.
Mean Forced Outage Duration MFOD (Forced Outage Hours which occur from in-service state only) MFOD = (Number of Forced Outages which occur from in-service state only)
64d.
Mean Maintenance Outage Duration MMOD (Maintenance Outage Hours which occur from in-service state only) MMOD = (Number of Maintenance Outages which occur from in-service state only)
F-21
Weighted (capacity-based) methods for calculating pooling (grouping) unit statistics.

65. Weighted Forced Outage Factor WFOF WFOF = (FOH x NMC) x 100% (PH x NMC)
66.
Weighted Maintenance Outage Factor WMOF WMOF = (MOH x NMC) x 100% (PH x NMC)
67.
Weighted Planned Outage Factor WPOF WPOF = (POH x NMC) x 100% (PH x NMC)
68.
Weighted Unplanned Outage Factor WUOF WUOF = [(UOH) x NMC] x 100% (PH x NMC) WUOF = [(FOH+MOH) x NMC] x 100% (PH x NMC)
69.
Weighted Scheduled Outage Factor WSOF WSOF = [(SOH) x NMC] x 100% (PH x NMC) WSOF = [(POH+MOH) x NMC] x 100% (PH x NMC)
70.
Weighted Unavailability Factor WUF WUF = [(POH+MOH+POH) x NMC] x 100% (PH x NMC)
71.
Weighted Availability Factor WAF WAF = (AH x NMC) x 100% (PH x NMC)
Page F-22
72.
Weighted Service Factor WSF WSF = ( SH x NMC) x 100% (PH x NMC)
73.
Weighted Seasonal Derating Factor WSEDF WSEDF = ( ESEDH x NMC) x 100% (PH x NMC)
74.
Weighted Unit Derating Factor WUDF WUDF = [( EUDH + EPDH) x NMC] x 100% (PH x NMC) WUDF = [(EFDH + EMDH + EPDH) x NMC] x 100% (PH x NMC)
75.
Weighted Equivalent Unavailability Factor WEUF WEUF = [( POH + UOH + EUDH + EPDH) x NMC] x 100% (PH x NMC) WEUF = [( SOH + FOH + ESDH + EFDH) x NMC] x 100% (PH x NMC) WEUF = [(POH + MOH + FOH + EFDH + EMDH + EPDH) x NMC] x 100% (PH x NMC)
76.
Weighted Equivalent Availability Factor WEAF WEAF = [( AH EUDH EPDH -ESEDH)x NMC] x 100% (PH x NMC) WEAF = [( AH EFDH EMDH EPDH -ESEDH) x NMC] x 100% (PH x NMC)
77. *
Gross Capacity Factor GCF GCF = (Gross Actual Generation) x 100% (GMC x PH)
78. *
Net Capacity Factor NCF NCF = (Net Actual Generation) x 100% (NMC x PH)
F-23
79. *
Gross Output Factor GOF GOF = (Gross Actual Generation) x 100% (GMC x SH)
80. *
Net Output Factor NOF NOF = (Net Actual Generation) x 100% (NMC x SH) . Weighted Equivalent Maintenance Outage Factor WEMOF WEMOF = [(MOH+EMDH) x NMC] x 100% (PH x NMC)
81.
82.
Weighted Equivalent Planned Outage Factor WEPOF WEPOF = [(POH+EPDH) x NMC] x 100% (PH x NMC)
83.
Weighted Equivalent Forced Outage Factor WEFOF WEFOF = [(FOH+EFDH) x NMC] x 100% (PH x NMC)
84.
Weighted Equivalent Scheduled Outage Factor WESOF WESOF = [(SOH + ESDH) x NMC] x 100% (PH x NMC) WESOF = [(MOH+POH+EMDH+EPDH) x NMC] x 100% (PH x NMC)
* Special energy-weighted equations are not necessary for energy terms (GCF, NCF, GOF, NOF), because these factors are inherently energy-weighted. These equations are the same as 7.12 7.15. But when calculating for a group of units (or a unit that has a varying capacity value over time), do not simply average these factors. Follow the equations.
85.
Weighted Equivalent Unplanned Outage Factor WEUOF WEUOF = [(UOH + EUDH) x NMC] x 100% (PH x NMC) WEUOF = [(MOH + FOH + EFDH + EMDH) x NMC] x 100% (PH x NMC)
(NOTE: This is identical to the Weighted Unit Capability Loss Factor except this equation includes all events, including those outside plant management control.)
86.
Weighted Forced Outage Rate WFOR ( FOH x NMC) [(FOH + SH + Synchronous Hours + Pumping Hours) x NMC]
WFOR =
x 100%
87.
Weighted Forced Outage Rate demand WFORd (See Notes 1 and 2 at the end of this section) WFORd = [FOHd x NMC] x 100% [(SH + FOHd) x NMC]
Where FOHd = f x FOH f = 1 + / + + r T r T D
1 1
88.
Weighted Equivalent Forced Outage Rate WEFOR [( FOH + EFDH ) x NMC]
WEFOR = 100%
__
[(FOH + SH + Synchronous Hours + Pumping Hours + EFDHRS) x NMC]
F-25
89.
Weighted Equivalent Forced Outage Rate demand WEFORd (See Notes 1 and 2 at the end of this section) WEFORd = [ [(FOHd + (EFDHd)x NMC] [(SH + FOHd) x NMC] x 100%
1 1
90.
Weighted Equivalent Planned Outage Rate WEPOR [( POH + EPDH) x NMC] [(POH+SH+ Synchronous Hours + Pumping Hours + EPDHRS) x NMC]
WEPOR = 100%
91.
Weighted Equivalent Maintenance Outage Rate WEMOR [( MOH + EMDH) x NMC] [(MOH+SH+ Synchronous Hours + Pumping Hours +EMDHRS) x NMC]
WEMOR = 100%
92.
Weighted Equivalent Unplanned Outage Rate WEUOR [( UOH + EUDH) x NMC] [(UOH+SH+ Synchronous Hours + Pumping Hours + EUDHRS) x NMC]
WEUOR = 100%

93a. Weighted Mean Service Time to Planned Outage MSTPO [(Service Hours) x NMC] WMSTPO = [(Number of Planned Outages which occur from in-service state only) x NMC]
Page F-26
93b.
Weighted Mean Service Time to Unplanned Outage MSTUO [(Service Hours) x NMC] WMSTUO = [(Number of Unplanned Outages which occur from in-service state only) x NMC]
93c.
Weighted Mean Service Time To Forced Outage MSTFO [(Service Hours) x NMC] WMSTFO = [(Number of Forced Outages which occur from in-service state only) x NMC]
93d.
Weighted Mean Service Time to Maintenance Outage MSTMO [(Service Hours) x NMC] WMSTMO = [(Number Maintenance Outages which occur from in-service state only) x NMC]

94a. Weighted Mean Planned Outage Duration MPOD [(Planned Outage Hours which occur from in-service state only) x NMC] WMPOD = [(Number of Planned Outages which occur from in-service state only) x NMC]
94b.
Weighted Mean Unplanned Outage Duration MUOD [(Unplanned Outage Hours which occur from in-service state only) x NMC] WMUOD = [(Number of Unplanned Outages which occur from in-service state only) x NMC]
94c.
Weighted Mean Forced Outage Duration MFOD [Forced Outage Hours which occur from in-service state only) x NMC] WMFOD = [(Number of Forced Outages which occur from in-service state only) x NMC]
F-27
94d.
Weighted Mean Maintenance Outage Duration MMOD [(Maintenance Outage Hours which occur from in-service state only) x NMC] WMMOD = [(Number Maintenance Outages which occur from in-service state only) x NMC]
Unweighted (time-based) methods for calculating statistics excluding problems outside management control for single unit and pooling unit calculations.
Note: The equations for calculating unweighted (time-based) performance using outside management control (OMC) are identical to those shown earlier in this Appendix. The only differences are that the selected OMC cause codes are treated as non-curtailing events when analyzing the event records during the time of evaluation. In other words, the OMC events are ignored and not used in the calculations. The list of OMC cause codes, conditions and method for removing OMC events from the calculations is described in Appendix K.
95.
OMC Planned Outage Factor XPOF (See equations 1 and 33 of this Appendix)
96.
OMC Unplanned Outage Factor XUOF (See equations 2 and 34 of this Appendix)
97.
OMC Forced Outage Factor XFOF (See equations 3 and 35 of this Appendix)
98.
OMC Maintenance Outage Factor XMOF (See equations 4 and 36 of this Appendix)
99.
OMC Scheduled Outage Factor XSOF (See equations 5 and 37 of this Appendix)
100.
OMC Unavailability Factor XUF (See equations 6 and 38 of this Appendix)
Page F-28
101.
OMC Availability Factor XAF (See equations 7 and 39 of this Appendix)
102.
OMC Service Factor XSF (See equations 8 and 40 of this Appendix)
103.
OMC Unit Derating Factor XUDF (See equations 10 and 42 of this Appendix)
104.
OMC Equivalent Unavailability Factor XEUF (See equations 11 and 43 of this Appendix)
105.
OMC Equivalent Availability Factor XEAF (See equations 12 and 44 of this Appendix)
106.
OMC Equivalent Maintenance Outage Factor XEMOF (See equations 17 and 49 of this Appendix)
107.
OMC Equivalent Planned Outage Factor XEPOF (See equations 18 and 50 of this Appendix)
108.
OMC Equivalent Forced Outage Factor XEFOF (See equations 19 and 51 of this Appendix)
109.
OMC Equivalent Scheduled Outage Factor XESOF (See equations 20 and 52 of this Appendix)
110.
OMC Equivalent Unplanned Outage Factor XEUOF (See equations 21 and 53 of this Appendix)
F-29
111. OMC Forced Outage Rate XFOR (See equations 22 and 54 of this Appendix)
112.
OMC Forced Outage Rate Demand XFORd (See Notes 1 and 2 at the end of this section) (See equations 23 and 55 of this Appendix)
113.
OMC Equivalent Forced Outage Rate XEFOR (See equations 24 and 56 of this Appendix)
114.
OMC Equivalent Forced Outage Rate demand XEFORd (See Notes 1 and 2 at the end of this section) (See equations 25 and 57 of this Appendix)
115.
OMC Equivalent Planned Outage Rate XEPOR (See equations 26 and 58 of this Appendix)
116.
OMC Equivalent Maintenance Outage Rate XEMOR (See equations 27 and 59of this Appendix)
117.
OMC Equivalent Unplanned Outage Rate XEUOR (See equations 28 and 60 of this Appendix)
118.
OMC Average Run Time XART (See equations 29 and 61 of this Appendix)
Page F-30
Weighted (capacity-based) methods for calculating statistics excluding problems outside management control for pooling unit statistics.
Note: The equations for calculating weighted (capacity-based) performance using outside management control (OMC) are identical to those shown earlier in this Appendix. The only differences are that the selected OMC cause codes are treated as non-curtailing events when analyzing the event records during the time of evaluation. In other words, the OMC events are ignored and not used in the calculations.
The list of OMC cause codes, conditions and method for removing OMC events from the calculations is described in Appendix K.
119.
OMC Weighted Forced Outage Factor XWFOF (See equation 65 of this Appendix)
120.
OMC Weighted Maintenance Outage Factor XWMOF (See equation 66 of this Appendix)
121.
OMC Weighted Planned Outage Factor XWPOF (See equation 67 of this Appendix)
122.
OMC Weighted Unplanned Outage Factor XWUOF (See equation 685 of this Appendix)
123.
OMC Weighted Scheduled Outage Factor XWSOF (See equation 69 of this Appendix)
124.
OMC Weighted Unavailability Factor XWUF (See equation 70 of this Appendix)
125.
OMC Weighted Availability Factor XWAF (See equation 71 of this Appendix)
F-31
126.
OMC Weighted Service Factor XWSF (See equation 72 of this Appendix)
127.
OMC Weighted Unit Derating Factor XWUDF (See equation 74 of this Appendix)
128.
OMC Weighted Equivalent Unavailability Factor XWEUF (See equation 75 of this Appendix)
129.
OMC Weighted Equivalent Availability Factor XWEAF (also known as Unit Capability Factor in Europe and other parts of the world) (See equation 76 of this Appendix)
130.
OMC Weighted Equivalent Maintenance Outage Factor XWEMOF (See equation 81 of this Appendix)
131.
OMC Weighted Equivalent Planned Outage Factor XWEPOF (See equation 82 of this Appendix)
132.
OMC Weighted Equivalent Forced Outage Factor XWEFOF (See equation 83 of this Appendix)
133.
OMC Weighted Equivalent Scheduled Outage Factor XWESOF (See equation 84 of this Appendix)
134.
OMC Weighted Equivalent Unplanned Outage Factor XWEUOF (also known as Unit Capability Loss Factor in Europe and other parts of the world.) (See equation 85 of this Appendix)
135.
OMC Weighted Forced Outage Rate XWFOR (See equation 86 of this Appendix)
Page F-32
136.
OMC Weighted Forced Outage Rate demand XWFORd (See Notes 1 and 2 at the end of this section) (See equation 87 of this Appendix)
137.
OMC Weighted Equivalent Forced Outage Rate XWEFOR (See equation 88 of this Appendix)
138.
OMC Weighted Equivalent Forced Outage Rate demand XWEFORd (See Notes 1 and 2 at the end of this section) (See equation 89 of this Appendix)
139.
OMC Weighted Equivalent Planned Outage Rate XWEPOR (See equation 90 of this Appendix)
140.
OMC Weighted Equivalent Maintenance Outage Rate XWEMOR (See equation 91 of this Appendix)
141.
OMC Weighted Equivalent Unplanned Outage Rate XWEUOR (See equation 92 of this Appendix)
F-33
Note #1 for Appendix F

INTRODUCTION TO NOTE #1: The information below comes from IEEE 762 Annex F. This section reviews several different methods for pooling EFORd only. Because of the nature of this equation, it can be pooled in several different methods as shown below. PLEASE NOTE THAT after much consideration, NERC GADS will use Method 2 in all its EFORd calculations. The reason for method 2 is: Consistancy all other GADS equations sum hours in both the denominator and numerator before division. Allow calculations of smaller groups. By allowing sums, smaller groups of units can be used to calculate EFORd without experiencing the divide by zero problem (see Note #2 for Appendix F).
FROM IEEE 762, ANNEX F: EFORd Pooling Sample A comparison of three EFORd pooling methodologies.
Method (I): Pooled individual Unit Demand Studies This method can give more weight to individual units with extreme EFORd that have very few service hours, but with longer study time periods the difference between the results of Methods I and II should be less. Method (II): Group Demand Studies This method may be more applicable in studying group statistics on units with known similar demand patterns, especially for forecasting and modeling. By calculating the f-factors over the groups total FOH, SH, RSH, and starts, the f-factor is smoothed and not subject to be unduly influenced by an one or more single units statistics that may have very high or very low hours or starts. Method (III): Capacity Weighted Average of individually calculated EFORd used by PJM to calculate pool average unforced capacity values for capacity market purposes. In order to clearly demonstrate how these methods are used, two sets of comparison will be needed the first uses the unweighted, time-based calculations as shown in Appendix F. The second will use a weighted version of these pooling methods.
Time-Based Pooling
This comparison of the three (3) pooling methodologies is based on the sample data and calculations found in the following two tables. The first table shows the raw data reported by 5 steam turbine generating units. The second table shows the interim values of the calculations used to produce the individual EFORd for each unit In the interest of simplicity each unit reported sufficient data to allow the EFORd calculation without the need for any substituted values.
Page F-34
Raw data used as sample:

Unit Capacity (MW) SH RSH AH
Actual Starts
Attempted Starts
EFDH
FOH
FO Events
48 49 50 51 52 Total
55 57 60 53 55 280
4556 4856 6460 3942 6904 26718
1963 2063 516 3694 62 8298
6519 6918 6978 7635 6968 35018
31 34 17 36 14 132
31 34 18 36 16 135
110.51 146.99 131.03 19.92 35.81 444.26
407 773 340 504 138 2162
5 12 14 11 12 54
Calculated Values used in EFORd formula:

Unit 48 49 50 51 1/r 0.0123 0.0155 0.0412 0.0218 1/t 0.0158 0.0165 0.0349 0.0097 0.2581 1/D 0.0068 0.0070 0.0026 0.0091 0.0020 F 0.8049 0.8205 0.9666 0.7756 0.9942 f x FOH 327.608 634.247 328.630 390.920 137.194 1818.598 0.0163 0.0049 0.8930 1930.734 0.762979 fp 0.6989 0.7019 0.9258 0.5163 0.9908 fp x EFDH 77.233 103.178 121.303 10.285 35.481 347.480 338.961
EFORd x MW 4.5594 7.6560 3.9766 4.9075 1.3488
EFORd 8.290% 13.432% 6.628% 9.259% 2.452% 7.591% 7.922%
52 0.0870 Method 1 Summed Method 2 Calculated from 0.0250 reported totals Method 3 Summed
22.4483
8.017%
Using this data, the 3 pooling methods can be shown as follows Note that methods 1 and 2 are unweighted, time-based calculations.
Method 1 uses the sums of SH and the calculated values (f x FOH), (fp x EFDH) giving a pooled EFORd of 7.591%.
(1818.598 + 347.480) = 7.591% (1818.598 + 26718)

Method 2 uses the sums of the reported data to represent the average unit and then calculates the pooled EFORd to be 7.922%
(1930.734 + 338.961) = 7.922% (1930.734 + 26718)
F-35
Method 3 weights the individual EFORd values with the unit capacity (EFORd x MW) and uses the total capacity to calculate a numeric average EFORd as 8.017%.
22.4483 = 8.017% 280
Weighted Pooling
This method weights all time values by the Net Max Capactiy of the individual unit. The raw data is the same as in the first example. Here a third table is added to show the weighted values used in the calculations.
Weighted Values used in EFORd formula:
Unit 48 49 50 51 wSH 250580 276792 387600 208926 wFOH 22385 44061 20400 26712 wEFDH 6078.05 8378.43 7861.80 1055.76 1969.55 F 0.8049 0.8205 0.9666 0.7756 0.9942 wFOHd 18018.42 36152.06 19717.79 20718.75 7545.65 102152.67 25343.59 0.8930 108185.164 0.763 fp 0.69888 0.701937 0.925767 0.516306 0.990815 wEFDHd 4247.829 5881.130 7278.193 545.096 1951.460 19903.71 19337.16 wEFORd 8.290% 13.432% 6.628% 9.259% 2.452% 7.601% 7.912% 8.012%
52 379720 7590 Method 1 1503618 Summed Method 2 Calculated from 1503618 121148 reported totals Average wEFORd
Weighted values in the above table are denoted with preceding w to indicate that the value has been weighted by its NMC. Below we substitue the weighted value for the expanded multiplication wFORd in place of (FORd x NMC)
Method 1 uses the sums of wSH and the weighted values (f x FOH x NMC), (fp x EFDH x NMC) giving a pooled wEFORd of 7.601%. o
( wFOHd + wEFDHd ) = wEFORd ( pooled ) ( wFOHd + wSH )
(102152.67 + 19903.71) = 7.601% (102152.67 + 1503618)
Page F-36
Method 2 uses the sums of the weighted reported data to represent the weighted average unit and then calculates the pooled EFORd to be 7.912% o
( ( f ( wFOH ) ) + ( fp ( wEFDH ) ) ) = wEFOR ( pooled )

( wSH + ( fp wFOH ) )
d
((0.8930 121148) + (0.7630 25343.59)) = 7.912% (1503618 + (0.7630 121148))
3. Average wEFORd uses the sum of the weighted unit EFORd values to calculate the numerical average.
Notes: From Section 7.12.2 EFORd = (FOHd + EFDHd) * 100 / (FOHd + SH) From section 9, To energy-weight an equation, one does not simply take each unit's EFOR, for example, and multiply the EFOR by the NMC, add them up and divide by the sum of the NMCs. Each term in the equation must be multiplied by the NMC. Further, to calculate the sum of each term, EACH unit must be multiplied by its NMC, then all those products summed over ALL THE UNITS, before the rest of the calculation is performed. Weighted individual EFORd = (wFOHd + wEFDHd) * 100 / (wFOHd + wSH)
Another Sample
Compare this sample to the samples above, and you will see that the relationship between the methods does not remain constant and is dependant on the distribution of the data.
Raw data used as sample: Capacity Unit (MW) SH 41 100 183 42 150 198 43 125 186 44 170 105 45 180 62 Total 725 734 Actual Starts 35 31 37 29 20 152 Attempted Starts 35 31 38 29 20 153 FO Events 1 0 2 3 1 7
RSH 8576 8562 6867 4128 8259 36392
AH 8759 8760 7052 4233 8319 37123
EFDH 0 0 0 0 0 0
FOH 1 0 9 4528 98 4636
F-37
Appendix F Performance Indexes and Equations Calculated Values used in EFORd formula:
Unit 41 42 43 44 1/r 1.000 0.000 0.222 0.001 1/t 0.004 0.004 0.006 0.007 0.002 1/D 0.191 0.157 0.199 0.276 0.323 F 0.840 0.023 0.534 0.027 0.038 f x FOH 0.840 0.000 4.804 122.623 3.691 131.959 0.004 0.207 0.027 124.488 0.020 fp 0.021 0.023 0.026 0.025 0.007 fp x EFDH 0.000 0.000 0.000 0.000 0.000 0.000 0.000 105.299
EFORd x MW 0.457 0.000 3.147 91.581 10.114
EFORd 0.457% 0.000% 2.518% 53.871% 5.619% 15.238% 14.501% 37.607%
45 0.010 Method 1 Summed Method 2 Calculated 0.002 from reported totals Method 3 Summed
Weighted Values used in EFORd formula:

Unit 41 42 43 44 wSH 18300.000 29700.000 23250.000 17850.000 wFOH 100.000 0.000 1125.000 769760.000 wEFDH 0.000 0.000 0.000 0.000 0.000 F 0.840 0.023 0.534 0.027 0.038 wFOHd 84.000 0.000 600.509 20845.957 664.418 22194.884 0.000 0.027 21176.435 0.020 fp 0.021 0.023 0.026 0.025 0.007 wEFDHd 0.000 0.000 0.000 0.000 0.000 0.000 0.000 wEFORd 0.457% 0.000% 2.518% 53.871% 5.619% 18.125% 17.438% 12.493%
45 11160.000 17640.000 Method 1 100260.000 Summed Method 2 Calculated from 100260.000 788625.000 reported totals Average wEFORd
Page F-38
Note #2 for Appendix F

INTRODUCTION TO NOTE #2: The information below comes from IEEE 762 Annex G. This section reviews why (in some cases) Equivalent Forced Outage Rate Demand (EFORd) and other demand-related equations can not be calculated or produce a reasonable result. The discussion below demonstrations that a pool of information for a short period of time OR a long period for a single unit is needed so that none of the hour elements are zero and there will not be a divide by zero problem. A long period means at least 12 months or more. This section also shows that a number can be forced but the results are not reasonable. The user of the EFORd calculation must be aware of what may come from a number if the EFORd calculation is forced (see the notes at the end of the section.) PLEASE NOTE THAT NERC GADS will follow the recommendations of IEEE in calculating EFORd numbers. This means that in some GADS reports, there will not be an EFORd number because a calculated EFORd would be meaningless.
FROM IEEE 762, ANNEX G: Limiting conditions for Forced Outage Indexes
(Informational) Typically performance indexes are calculated using performance data over at least a year. However, if any of the variables SH, FOH, or RSH is zero in a period, one practice has been to assign a default value of 0.001 for computing indexes. Similarly, if any of the variables number of FOH occurrences, "number of attempted starts", or "number of actual starts" is zero in the period, a value of 1 is assigned for computing indexes. The default values can give meaningless indices in some cases as indicated in Table H-1. Discretion based on history and other factors may be used to estimate FORd and EFORd even if they can be calculated using the equations in the standard in some cases.
F-39
Table G.1 Limiting Conditions for Forced Outage Indexes Case Base 1 2 3 4 5 6 7 SH >0 0 0 0 >0 >0 >0 0 FOH >0 >0 0 >0 0 0 >0 0 RSH >0 >0 >0 0 >0 0 0 0 FORd Applicable Cannot be determined Cannot be determined Cannot be determined 0 0 FOR Cannot be determined EFORd Applicable Cannot be determined Cannot be determined Cannot be determined EFDH/AH EFDH/SH EFOR Cannot be determined
The following numerical example illustrates the limiting conditions and how the indexes can become meaningless.
Case Base 1 2 3 4 5 6 7 FOH 50 50 0 50 0 0 50 0 EFDH 30 30 30 30 30 30 30 30 No. of RSH Attempted FO Starts 400 5 1600 80 0 0 0 400 400 400 0 5 1 5 1 1 5 1 1600 1600 0 1600 0 0 0 1 1 1 80 1 1 1 SH Actual Starts 80 1 1 1 80 1 1 1 AH 2000 2000 2000 2000 2000 2000 2000 0 r 10 10 0 10 0 0 10 0 T 20 1600 1600 0 20 0 0 0 D 5 0.001 0.001 0.001 5 400 400 0.001 f Factor 0.4 0.0 0.5 0.5 1.0 1.0 1.0 0.7 fp FORd% Factor 0.2 5.1 0.0 0.0 0.0 0.2 0.2 0.2 1.0 83.4 33.3 100.0 0 0 11.1 40.0 EFORd% 6.5 83.7 34.3 100 1.5 1.5 12.4 1800040
Notes: Zero hours are made 0.001. Attempted and Actual Starts are made 1 when SH or RSH is zero. Number of forced outages is made 1 when FOH is zero. Terms r, T, D, f, fp, FORd, and EFORd are defined in 7.16.2 and 7.17.2. Base case is a normal case. Cases 1, 2, 3, 7: Computed FORd, EFORd are meaningless; they should not be calculated using the equations in this standard. Cases 4, 5, 6: Computed FORd, EFORd are valid.
Page F-40
Appendix G Examples and Recommended Methods

Reporting Outages to the Generating Availability Data System (GADS)
Introduction The examples in this Appendix illustrate the reporting of outages and deratings to GADS. They are based on a mythical 600 MW coal-fired unit, Riverglenn #1, operated by the fictional U.S. Power & Light Company. All the System/Component Cause Codes shown in these examples are real and are found in Appendix B1 Fossil Steam Units. Each example includes a description of circumstances surrounding the event, the effect of the event on unit availability, and component repair time. For the sake of space, the Verbal Description element (reported in Sections C and D of the Event Report (07)) is left out of the Event Description. Completing this information provides details about a failures cause and appearance, identifies any contributing factors, and describes the corrective actions taken. Please refer to Pages III-29 through III-30 for a discussion regarding the Verbal Description. Index of Examples Example 1 Example 2 Example 3A Example 3B Example 3C Example 3D Example 4 Example 5 Example 6A Example 6B Example 7 Example 8 Example 9 Simple Outage Simple Derating Overlapping Deratings Second Derating Begins and Ends During First Derating Overlapping Deratings. Second Derating Begins and Ends During First Derating. Second is Partially Shadowed Overlapping Deratings. First Derating Ends Before Second Derating. Capability of Unit Changes Overlapping Deratings. First Derating Ends Before Second Derating. Capability of Unit Does Not Change Derating During a Derating of a Greater Reduction. Derating During a Reserve Shutdown Derating Overlapped by a Full Outage. Derating Ends Before Full Outage Derating Overlapped by a Full Outage. Full Outage Begins and Ends During Derating Startup Failure Fuel Conservation Event Transitions: U2 to RS to SF
Page G-1
Example 1: Simple Outage

Event Description On January 3 at 4:30 a.m., Riverglenn #1 tripped off line due to high turbine vibration. The cause was LP turbine bearings. Repairs began January 3 at 8:00 a.m. and were completed on January 8 at 9:30 a.m. The unit synchronized on January 8 at 5:00 p.m.
Report the following on Records 01, 02 and 03 of Event Report (07): Event Number: Event Type: Start of Event: End of Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: 0001 U1 January 3 at 04:30 January 8 at 17:00 (blank) 4240 January 3 at 08:00 January 8 at 09:30 Records 02/03
Record 01
Effect on Unit Availability The duration of this event was 132.50 hours (January 3, 4:30 a.m. to January 8, 5:00 p.m.). Unit availability was affected for 132.50 hours. Component Repair The LP turbine bearings took 121.50 hours to repair (January 3, 8:00 a.m. to January 8 at 9:30 a.m.).
_____________________________________________________________________________________ Page G-2 GADS Data Reporting Instructions January 2011
Figure G-1 Simple Outage 600_ Unit Capacity (MW)
500_
400_
300_
200_
100_
0_ Jan 3 04:30 Jan 8 17:00
Page G-3
Example 2: Simple Derating

Event Description On January 10 at 8:00 a.m., Riverglenn #1 reduced capacity by 400 MW due to a fouled north air preheater. Fouling began a few weeks earlier, but the unit stayed on line at full capacity to meet load demand. Repair crews completed their work and the unit came back to full load (600 MW) on January 11 at 4:00 p.m.
Report the following on Records 01, 02 and 03 of Event Report (07): Event Number: Event Type: Start of Event: Event of Event: Gross Available Capacity as a Result of Event: Net Available Capacity as a Result of Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: 0002 D4 January 10 at 08:00 January 11 at 16:00 * 200 (blank) 1491 January 10 at 08:00 January 10 at 16:00 100
Record 01
Records 02/03
Effect on Unit Availability To measure the impact of this event on unit availability, the duration of the derating is converted to Equivalent Derated Hours. This conversion enables availability losses caused by deratings to be assessed on the same basis as losses caused by outages. It is done by multiplying the event duration (hours) by the size of reduction and dividing by the units Net Maximum Capacity (NMC). Size of Reduction is calculated by subtracting the reported Net Available Capacity as a result of the derating (NAC) from Net Dependable Capacity (NDC) of the unit. Equivalent Derated Hours for this event are: [(600 MW 200 MW) * 32 hours]/600 MW = 21.33 Thus, the availability of Riverglenn #1 is impacted for 21.33 Equivalent Derated Hours. Component Repair The air preheater required 32 hours to repair. The hours are not equivalent.
Figure G-2 Simple Derating
600_ Unit Capacity (MW)
500_
400_
300_
200_
100_
0_ Jan 10 08:00 Jan 11 16:00
Page G-5
Example 3A: Overlapping Deratings Second Derating Begins and Ends During First Derating
Description of Events Riverglenn #1 experienced an immediate 75 MW derating on March 9 at 8:45 a.m. The cause was an A pulverizer feeder motor failure (Derating A). Net Available Capacity (NAC) as a result was 525 MW. At 10:00 a.m. the same day, the unit lost another 75 MW due to a trip of the B pulverizer feeder motor. The Net Available Capacity (NAC) as a result of the second derating (Derating B) was 450 MW. The motor was restarted and Derating B ended an hour later. The capability of the unit increased by 75 MW at this time. Derating A ended when the A feeder motor was repaired and the unit brought back to full load at 6:00 p.m. on March 9.
Report the following on Records 01, 02 and 03 of Event Report (07): Derating A Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of the Event: Net Available Capacity as a Result of the Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: Derating B Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of the Event: Net Available Capacity as a Result of the Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: 0004 D1 March 9 at 10:00 March 9 at 11:00 * 450 (blank) 0250 * * 2 0003 D1 March 9 at 08:45 March 9 at 18:00 * 525 (blank) 0250 * * Records 02/03
Record 01
Record 01
Records 02/03
Effect on Unit Availability In GADS, overlapping deratings are considered additive (unless the second derating occurs wholly within a derating of greater magnitude as in Example #4). When two deratings overlap, the size of reduction caused by the second derating is determined by subtracting the Net Available Capacity as a result of second derating from the Net Available Capacity of the unit as a result of the first derating. The following shows the availability impact these two deratings had on the unit: Derating A: [(600 MW - 525 MW) * 9.25 hour]/600 MW = 1.16 Equivalent Derated Hours Derating B: [(525 MW - 450 MW) * 1.00 hour]/600 MW = 0.125 Equivalent Derated Hours Component Repair When Time: Work Started and Time: Work Completed are blank or asterisk-filled, the reported Start of Event and End of Event determine component repair time. In this example, 10.25 hours are charged against the pulverizer feeder motor for repair (9.25 hours for Derating A and 1 hour for Derating B.) These hours are not equivalent.
Page G-7
Figure G-3A Overlapping Deratings Second Derating Begins and Ends During First Derating
Derating A
500_
Derating B
400_
300_
200_
100_
0_ March 9 08:45 March 9 10:00 March 9 11:00 March 9 18:00
Example 3B: Overlapping Deratings Second Derating Begins and Ends During First Derating Second is Partially Shadowed
Description of Events A derating began on July 3 at 2:30 p.m., when capacity was reduced to 575 MW for condenser maintenance. The maintenance began July 13 at 8:00 a.m. The event ended on July 23 at 11:45 a.m. On July 19 at 11:15 a.m., while the maintenance derating was in progress, a feedwater pump tripped. Load immediately fell to 360 MW. (This would have been the case, whether or not the unit was already derated.) The feedwater water pump was back in service at noon the same day.
Report the following on Records 01, 02, and 03 of Event Report (07): Derating A Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of the Event: Net Available Capacity as a Result of the Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: Derating B Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of the Event: Net Available Capacity as a Result of the Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: 0006 D1 July 19 at 11:15 July 19 at 12:00 * 360 (blank) 3410 * * * 0005 D4 July 3 at 14:30 July 23 at 11:45 * 575 (blank) 3112 July 13 at 08:00 July 23 at 11:45 550
Record 01
Records 02/03
Record 01
Records 02/03
Page G-9
Effect on Unit Availability GADS assumes these deratings are additive, and treats them like the deratings described in Example 3A. The second derating caused the units available capacity to change from 575 to 360 a 215 MW reduction. Under normal conditions (no other events in progress) the feedwater pump trip would have caused a reduction in load to 360 MW a loss of 240 MW. This means that 25 MW, which would be attributed to Derating B if it had occurred alone, are shadowed by Derating A. Because of the additive assumption, these equivalent hours are not double counted. The units availability is affected as follows:
Derating A: [(600 MW - 575 MW) * 477.25 hours]/600 MW = 19.88 Equivalent Derated Hours Derating B: [(575 MW - 360 MW) * 0.75 hours]/600 MW = 0.27 Equivalent Derated Hours
Component Repair Condenser maintenance took 243.75 hours. The feedwater pump was out of service for 0.75 hours. These hours are not equivalent.
Figure G-3B Overlapping Deratings Second Derating Begins and Ends During First Derating Second is Partially Shadowed
600_
Unit Capacity (MW) Derating A
A shadows B
500_
Derating B
400_
300_
200_
100_
0_ July 3 14:30 July 19 11:15 July 19 12:00 July 23 11:45
Page G-11
Example 3C: Overlapping Deratings First Derating Ends Before Second Derating Capability of Unit Changes
Description of Events A 50 MW load reduction occurred on January 13 at 8:00 a.m. for a feedwater heater inspection (Derating A). The inspection had been planned several months earlier. At 10:00 a.m., Riverglenn #1 experienced excessive pulverizer vibration. Available Capacity changed from 550 MW to 350 MW a 200 MW reduction as a result. A foreign object was the cause. While the mill was under repair, the feedwater heater was put back in service, ending Derating A at 1:00 p.m. on January 13. This caused a 50 MW increase in the units Net Available Capacity. Derating B ended on January 14 at 8:00 p.m. after completing pulverizer repairs.
Report the following on Records 01, 02 and 03 of Event Report (07): Derating A Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of the Event: Net Available Capacity as a Result of the Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: Derating B Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of the Event: Net Available Capacity as a Result of the Event: Dominant Derating Column 0008 D1 January 13 at 10:00 January 14 at 20:00 * 350 (blank) 0007 PD January 13 at 08:00 January 13 at 13:00 * 550 (blank) 3340 January 13 at 08:30 January 13 at 13:00 *
Record 01
Records 02/03
Record 01
System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked:
0320 * * 160
Records 02/03
Effect on Unit Availability These two deratings are additive (See Example 3A). Availability is affected as follows: Derating A: [(600 MW - 550 MW) * 5.00 hours)/600 MW = 0.42 Equivalent Derated Hours Derating B: [(550 MW - 350 MW) * 34.00 hours)/600 MW = 11.33 Equivalent Derated Hours Component Repair The feedwater heater took 5 hours to repair and the pulverizer took 34 hours.
Page G-13
Figure G-3C Overlapping Deratings First Derating Ends Before Second Derating Capability of Unit Changes
DERATING A
500_
400_
300_
DERATING B
200_
100_
0_ Jan 13 08:00 Jan 13 10:00 Jan 13 13:00 Jan 14 20:00
Example 3D: Overlapping Deratings First Derating Ends Before Second Derating Capability of Unit Does Not Change
Description of Events
A circuit breaker tripped causing an immediate 100 MW load reduction on March 10 at 6:30 a.m. (Derating A.) At 7:45 a.m. the same day, a traveling screen jammed causing one of the units circulating water pumps to shutdown (Derating B). Net Available Capacity as a result of the event was 360 MW. Derating A ended at 10:30 a.m. on March 10 when the circuit breaker repairs were completed. However, the traveling screen problem continued, forcing the unit to remain at 360 MW. The unit was available for full load on March 7 at 7:00 p.m. after completing repairs to the traveling screen. Report the following on Records 01, 02 and 03 of Event Report (07): Derating A Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of the Event: Net Available Capacity as a Result of the Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: Derating B Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of the Event: Net Available Capacity as a Result of the Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: 0010 D1 March 10 at 07:45 March 10 at 19:30 * 360 D 3260 March 10 at 08:15 March 10 at 19:30 * 0009 D1 March 10 at 06:30 March 10 at 10:30 * 500 (blank) 3661 March 10 at 08:00 March 10 at 10:30 *
Record 01
Records 02/03
Record 01
Records 02/03
Page G-15
Effect on Unit Availability As shown in Examples 3A and 3B, GADS assumes that overlapping deratings are additive. In this example, however, Derating A and Derating B are not additive because the Net Available Capacity of the unit remains at 360 MW after the Derating A ends. The utility must report a dominant derating turn off the additive assumption. To do this, end Derating A as normal and mark Derating B as a dominant derating (column 65 with a D). Net Available Capacity as a result of dominant derating all that is necessary to retain the 360 MW available capacity. The following losses are charged against unit availability: Derating A: [(600 MW - 500 MW) x 1.25 hours]/600 MW = 0.21 Equivalent Derated Hours Derating B: [(600 MW - 360 MW) x 11.25 hours]/600 MW = 4.50 Equivalent Derated Hours Component Repair The circuit breaker and the traveling screen are charged with 4.00 clock hours of repair and 11.25 clock hours of repair, respectively.
Figure G-3D Overlapping Deratings First Derating Ends Before Second Derating Capability of Unit does not Change
600_
Unit Capacity (MW)
B Shadows A
Derating A
500_
Derating B Derating B
400_
300_
200_
100_
0_ March 10 06:30 March 10 07:45 March 10 10:30 March 10 19:00
Page G-17
Example 4: Derating During a Derating of a Greater Reduction

Event Description A generator output breaker failed at 6:30 a.m. on April 10 causing a 300 MW reduction. Repairs began at 8:00 a.m. The unit returned to full capacity at 7:00 p.m. April 10. During the generator repair, a problem with the feedwater chemistry developed. It was corrected by 3:45. If it had occurred alone, a reduction of 200 MW would have been needed. This was not necessary because of the derating already in existence.
Report the following on Records 01 through 05 of Event Report (07): Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of the Event: Net Available Capacity as a Result of the Event: Dominant Derating Column System/Component Cause Code: Contribution Code: Time: Work Started: Time: Work Completed: Man Hours Worked: System/Component Cause Code: Contribution Code: Time: Work Started: Time: Work Completed: Man Hours Worked: Effect on Unit Availability 0012 D1 April 10 at 06:30 April 10 at 19:00 * 300 (blank) 4810 1 April 10 at 08:00 April 10 at 19:00 * 3352 3 April 10 at 08:30 April 10 at 15:45 14
Record 01
Records 02/03
Records 04/05
The problem that affects Riverglenns availability is caused by the generator output breaker. The feedwater chemistry problem does not impact availability because it occurs wholly within the larger derating. The unit availability impact is: [(600 MW - 300 MW) * 12.50 hours]/600 MW = 6.25 Equivalent Derated Hours Component Repair Although the feedwater chemistry problem does not affect unit availability, its occurrence should be reported. This information is important for analysis purposes. Use Section D Additional Component Worked During Event of the Event Report (07) to do so. Repair of the generator output breaker took 10.25 hours. It took 7.25 hours to correct the feedwater chemistry problem.
Figure G-4 Derating During Derating of a Greater Reduction
Additional Components Worked

500_
400_
300_
200_
100_
0_ April 10 06:30 April 10 19:00
Page G-19
Example 5: Derating During a Reserve Shutdown

Description of Event
A reserve shutdown began on May 31 at 7:30 p.m. Maintenance crews took advantage of the offline time and took one boiler feedpump (BFP) out of service (two other BFP were available). The work started at 8:00 a.m. on June 1 and ended on June 2 at 3:30 p.m. While the BFP valve maintenance was underway, the unit would have been able to synchronize, but would have been limited to 400 MW. Riverglenn #1 was back in service on June 3 at 8:30 a.m.
Report the following on Records 01, 02 and 03 of Event Report (07): Event Number: Event Type: Start of Event: End of Event: Dominant Derating Column Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of the Event: Net Available Capacity as a Result of the Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: 0013 RS May 31 at 19:30 June 3 at 08:30 (blank) 0014 D4 June 1 at 08:00 June 2 at 15:30 * 400 (blank) 3412 June 1 at 08:00 June 2 at 15:30 80
Record 01
Record 01
Records 02/03
Effect on Unit Availability Although it is off line, a unit on reserve shutdown is available for full load. The cause of the event is economics, not equipment-related problems. However, if equipment is taken out of service that results in the units inability to come back on line and achieve full load, the reserve shutdown status has changed. A new event that accurately reflects the available status of the unit is required. In this example, Riverglenn was available for full load until the BFP valve work began. The status of the unit changed because it was no longer available for full load. A derating event must be reported. (An outage would be reported if the unit would have been unable to synchronize while the BFP work was in progress.) The unit availability impact resulting from the BFP valve maintenance is: [(600 MW - 400 MW) * 31.50 hours]/600 MW = 10.50 Equivalent Derated Hours
Component Repair The feedwater pump steam turbine required 31.50 hours to repair.
Figure G-5 Derating During a Reserve Shutdown
500_
Derating
400_
300_
200_
Reserve Shutdown
100_
0_ May 31 19:30 June 1 08:00 June 2 15:30 Jan 8 17:00
Page G-21
Example 6A: Derating Overlapped by a Full Outage Derating Ends Before Full Outage
Description of Events Riverglenn #1 lost 100 MW due to a feedwater heater high level trip at 9:45 a.m. on February 27. An L.P. heater tube leak was the cause. Repairs began March 2 at 8:00 a.m. A superheater tube leak on March 2 at 1: 15 a.m. caused the unit to trip off line. The feedwater heater (cause of the derating) was repaired by March 4 at 6:30 p.m. Repairs to the superheater (cause of the outage) were completed on March 4 at 10:00 p.m.. The unit synchronized on March 5 at 9:22 a.m.
Report the following on Records 01, 02 and 03 of Event Report (07): Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of the Event: Net Available Capacity as a Result of the Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: Event Number: Event Type: Start of Event: End of Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: 0015 D1 February 27 at 09:45 March 4 at 18:30 * 500 (blank) 3340 March 2 at 08:00 March 4 at 18:30 234 0016 U1 March 2 at 01:15 March 5 at 09:22 (blank) 1050 March 2 at 12:00 March 4 at 22:00 600
Record 01
Records 02/03
Record 01
Records 02/03
Effect on Unit Availability The feedwater heater problem impacts availability until the outage begins: [(600 MW - 500 MW) * 63.50 hours]/600 MW = 10.58 Equivalent Derated Hours Once initiated, the outage assumes full responsibility for loss of availability. That is 80.12 hours in this example.
Component Repair
The feedwater heater was unavailable for 128.75 hours, the superheater for 80.12.
Figure G-6A Derating Overlapped by an Outage Derating Ends Before Outage
Outage Shadows Derating Derating
500_
400_
300_
Outage
200_
100_
0_ Feb 27 09:45 Mar 2 01:15 Mar 4 18:30 Mar 5 09:22
Page G-23
Example 6B: Derating Overlapped by a Full Outage Full Outage Begins and Ends During Derating
Description of Events A pulverizer motor failed on May 18 at 09:45 a.m. causing a 100 MW derating. While the unit was derated, a maintenance crew discovered a severe water wall tube leak, forcing the unit off line immediately. That occurred on May 20 at 6:45 p.m. The tube was welded, and the unit brought back into service at 2:42 a.m. on May 24. Pulverizer repairs were still in progress, so the unit was limited to 500 MW. The unit was available for full load on May 25 at 2:30 p.m. when pulverizer repairs were completed.
Report the following on Records 01, 02 and 03 of Event Report (07): Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of the Event: Net Available Capacity as a Result of the Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: Event Number: Event Type: Start of Event: End of Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: 0017 D1 May 18 at 09:45 May 25 at 14:30 * 500 (blank) 0250 * * 16 0018 U1 May 20 at 18:45 May 24 at 02:42 (blank) 1000 * * 60
Record 01
Records 02/03
Record 01
Records 02/03
Effect on Unit Availability The outage interrupts the derating for 79.95 hours. The derating affects availability for 57 hours before the outage and 35.80 hours after the outage. Availability losses due to the derating are: [(600 MW - 500 MW) * (57.00 Hours + 35.80 Hours)]/600 MW = 15.47 Equivalent Derated Hours
Component Repairs
Repair of the pulverizer motor, the cause of the derating, took 172.75 hours. The waterwall tube section repairs took 79.95 hours. Figure G-6B Derating Overlapped by an Outage Outage Begins and Ends during Derating
600_
Unit Capacity (MW)
Outage Shadows Derating

500_
400_
300_
Outage
200_
100_
0_ May 18 09:45 May 20 18:45 May 24 02:42 May 25 14:30
Page G-25
Example 7: Startup Failure*

Event Description Riverglenn began its normal 15-hour startup cycle following a two-week planned outage on October 1, 7:00 a.m. At the end of the normal cycle, however, the unit was not ready to synchronize. The reason was excessive H.P. turbine rotor vibration. The problem was corrected and Riverglenn #1 synchronized at 3:00 a.m. on October 3.
Report the following on Records 01, 02 and 03 of Event Report (07): Event Number: Event Type: Start of Event: End of Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Event Contribution Code: Man Hours Worked: 0019 SF October 1 at 22:00* October 3 at 03:00 (blank) 4030 October 1 at 23:00 October 2 at 16:00 1 *
Record 01
Records 02/03
Effect on Total Unit Availability The startup failure event began when the 15-hour startup cycle was exceeded. The unit is charged with a forced outage for the 29 hours it took to repair the H.P. turbine vibration problem and synchronize the unit. Component Repair The H.P. turbine rotor shaft took 17 hours to repair.
*An outage or reserve shutdown must immediately precede a Startup Failure event. The end of the outage must be the same as the start of the SF event (see Page III-8).
Figure G-7 Startup Failure
500_
Planned Outage
400_
Startup Failure
300_
200_
100_
0_ From September Oct 1 22:00 Oct 3 03:00
Page G-27
Example 8: Fuel Conservation

Description of Events
On June 10 at 8:00 a.m., management decided to operate Riverglenn #1 at 50% capacity 300 MW in order to avoid a potential fuel shortage. If system demand increased, Riverglenn would be returned to full load. Because Riverglenn was not limited by equipment, the decision to operate at a reduced load was an economic issue. On August 25 at 5:00 a.m., the station reported that fuel was in short supply and the unit could no longer reach full load as a result. An unplanned derating began when fuel became a limitation. The Net Available Capacity as a result of the derating was 300 MW. Riverglenns fuel supply was exhausted on September 3 at 9:00 p.m. and the unit was forced out of service. A new supply of fuel was delivered on September 4. The unit was restarted and synchronized at 4:00 p.m. on September 6.
Report the following on Records 01, 02, and, 03 of Event Report (07): Event Number: Event Type: Start of Event: End of Event: Gross Available Capacity as a Result of Event: Net Available Capacity as a Result of Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Ended Man Hours Worked: Event Number: Event Type: Start of Event: End of Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Ended: Man Hours Worked: 0029 D1 August 25 at 05:00 September 3 at 21:00 * 300 (blank) 9130 * * * 0030 U1 September 3 at 21:00 September 6 at 16:00 (blank) 9130 * * *
Record 01
Records 02/03
Record 01
Records 02/03
Effect of Unit Availability Availability was unaffected until the fuel limitation prevented the unit from returning to full load. When that occurred, unit availability was affected. Equivalent Derated Hours for the derating are 116 ([(600 MW - 300 MW * 232.00 hours)/600] = 116). The outage was responsible for 67.00 unavailable hours.
The situation described above typically affects fossil and hydro units. Nuclear units are sometimes operated at reduced levels to stretch the core in order to prolong the time to the next refueling. If the reactor core is capable of full load, the decision to operate at a lower level is an economic issue and, therefore, not reportable to GADS. When the core can no longer support operation at full load, a planned derating (PD) is reported. This condition is sometimes referred to as coasting down. The magnitude of these deratings usually increase incrementally and should be reported as a series of PD events.
Figure G-8 Fuel Conservation
600_
Unit Capacity (MW)
500_
Forced Derating
400_
300_
Forced Outage
200_
100_
0_ From June Aug 25 05:00 Sept 3 21:00 Sept 6 16:00
Page G-29
Example 9: Transitions - U2 to RS to SF
Description of Events After experiencing several hours of excessive scrubber ID fan vibration, Riverglenn was taken off for repair on December 3 at 3:30 p.m. After pinpointing the problem, repairs were made. The unit was ready to begin its normal 15-hour startup cycle by 21:30 p.m. on December 5. However, due to low demand, Riverglenn entered the reserve shutdown state. Startup began at 2:30 a.m. the following morning. Several waterwall tubes burst during the startup, requiring immediate repair. The tube problem occurred at 9:00 a.m. on December 6. After repairing the tubes and a successful startup, Riverglenn synchronized on December 9 at 5:00 p.m.
Report the following on Records 01, 02 and 03 of Event Report (07): Event Number: Event Type: Start of Event: End of Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Man Hours Worked: Event Number: Event Type: Start of Event: End of Event: Dominant Derating Column Event Number: Event Type: Start of Event: End of Event: Dominant Derating Column System/Component Cause Code: Time: Work Started: Time: Work Completed: Event Contribution Code: 0026 U2 December 3 at 15:30 December 5 at 21:30 (blank) 8262 December 3 at 16:00 December 5 at 06:30 72 0027 RS ** December 5 at 21:30 December 6 at 09:00 (blank) 0028 SF December 6 at 09:00 December 9 at 17:00 (blank) 1040 * * 1
Record 01
Records 02/03
Record 01
Record 01
Records 02/03
Effect on Unit Availability In this sequence of events U2 to RS to SF Riverglenns availability is affected for 54.00 actual hours due to ID fan problems and 80.00 actual hours due to the waterwall tube failure. Component Repair The scrubber ID fan is charged with 38.50 hours associated with repair and the waterwall tubes with 80.00 hours. ** Reporting a primary cause of event for Reserve Shutdowns is optional. In this example, Records 02/03 were omitted.
Page G-31
Figure G-9 Event Transitions U2 to RS to SF
600_
Unit Capacity (MW)
500_
400_
300_
Forced Outage
Reserve Shutdown
Startup Failure
200_
100_
0_ Dec 3 15:30 Dec 5 21:30 Dec 6 09:00 Dec 9 17:00
Appendix H Failure Mechanism Codes

GADS Codes
F010 F020 F030 F040 F050 F060 F070 F080 F090 F100 F110 F120 F130 F140 F150 F160 F170 F180 F190 F200 F210 F220 F230 F240 F250 F260 F270 F280 F290 F300 F310 F320 F330 F340 F350 F360
Description
Alignment/clearance not within limits axial Alignment/clearance not within limits radial Arced/flashover electrical Balance, not within limits Binding radial related contacts (use F670 if contact is in axial direction) Broken Burned/fire damage initiated by component (ex. burned motor) Burned/fire damage not initiated by component (ex. pump fire damage due to motor fire) Calibration, not within limits Carbon, covered Chemical excursion damage Clogged Closed Condensation --- oil Condensation --- water Connection, loose Contaminated liquid fluids (use F320 for air contamination) Contaminated metals and solids Cooling, inadequate --- liquid Cooling, inadequate --- air Corrosion general Corrosion caustic Corrosion fatigue Corrosion high temperature coal ash Corrosion high temperature oil ash Corrosion low temperature Corrosion waterwall fire-side Cracked Creep, high temperature Damaged, foreign object Damaged, insulation Dirty (use for air contamination or particulate/dirt buildup) Disengage, failed to Engage, failed to Erosion coal particle Erosion falling slag
Page H-1
GADS Codes
F370 F380 F390 F400 F410 F420 F430 F440 F450 F460 F470 F480 F490 F500 F510 F520 F530 F540 F550 F560 F570 F580 F590 F600 F610 F620 F630 F640 F650 F660 F670 F680 F690 F700 F710 F720 F730 F740 F750 F760 F770 F780
Description
Erosion sootblower Erosion fly ash Erosion cause unknown Erratic or unexplained operating behavior Erratic, circuit Error, operator Error, wiring Explosion damage initiated by the component (ex. pump explosion) Explosion damage not initiated by the component (ex. pipe damage due to pump explosion) Flameout Foaming Frozen (temperature related) Grounded electrical component Hydrogen damage Impact damage Indication, false Inspection Leaks Loose Lubrication excessive Lubrication lack of Maintenance cleaning damage Maintenance general Material defects Modification(s) Noisy Open Overload Pitting (localized corrosion) Pressure, not within limits Rubbing damage axial related contacts (use F050 if contact is in radial direction) Secondary damage Seized (not moving) Shorted electrical component Short-term overheating Sticking Stress corrosion cracking Temperature compressor discharge, not within limits Temperature exhaust, not within limits Temperature oil, not within limits Temperature wheel spacers, not within limits Temperature general, not within limits
Page H-2
Appendix H GADS Failure Mechanism Codes
GADS Codes
F790 F800 F810 F820 F830 F840 F850 F860 F870 F880 F890 F900 F910 F920 F930 FA00 FC00 FD00 FE00 FF00 FP00 FR00 FS00 FU00 FV00 FW00 FX00
Description
Testing Thermal fatigue Torn Tripped/shutdown component --- automatic controls Tripped/shutdown component --- manual Unknown investigation underway (change this code once failure mechanism is determined) Vibration, not within limits Vibration fatigue, leading to failure Voltage, not within limits Welded relay contacts Weld failure broken weld Weld failure dissimilar metals Weld failure weld defects Wiped Worn, excessively Silica restriction Cleaning Water Induction Emission/environmental restrictions Fouling Personnel error Fire Slagging Parts Unavailable Vibration Wet coal/frozen coal/debris External equipment malfunction (outside plant management control)
Page H-3
Page H-4
Appendix I GADS Data Release Guidelines
Appendix I - GADS Data Release Guidelines

Introduction NERC Generating Availability Data System (GADS) contains information which can be broadly classified into two categories: design data, which is descriptive of equipment physical and operational characteristics, and performance and event data, which constitutes a record of equipment availability over a period of time. The design data is unrestricted, and available to power generators, manufacturers and equipment suppliers, architect-engineers and consultants, industry organizations (EEI, EPRI, INPO, etc.), federal governmental organizations, and state and local governmental organizations. To avoid the potential misuse of individual equipment data, the performance and event data are restricted and available only as specified in these guidelines. Data Release Guidelines Unless expressly permitted in the following sections, data by power generator, pool, Region, or specific unit will be provided only with the authorization of the appropriate power generator, pool, or Region. (Power generators are any owners or operators of electric generating units owned/operated by investor-owned, independent power project (IPP), municipals, cooperative, federal, state, and every other groups of electric providers.) Special reports or studies which describe or rank power generators, pools, or regions by performance or other attributes -- and in which specific units, power generators, pools, or regions are identifiable either by inclusion or exclusion -- will be provided only with the authorization of the appropriate power generators, pools, or regions. Obtaining these approvals is the responsibility of the requester. The "standard publication" mentioned in the following paragraphs is that approved and recognized as such by the NERC Planning Committee. The current publication is the Generating Availability Report and the GADS Brochure. The latest versions can be downloaded from the NERC web site: http://www.nerc.com/page.php?cid=4|43|47. Power Generation Representatives Power generator owners/operators who report GADS data for all units outlined in the GADS Data Reporting Instructions Figure III-1 (shown as required for the different unit types) may receive any special data analyses, data analysis-type software products like pc-GAR or standard publication without restriction, except that large amounts of power generator, pool, Region, or specific unit data will be provided only with the permission of the appropriate power generator, pool, or Region. Power generator representatives are understood to refer to employees of the member power generators, power pools, or regional entities.
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Power generator owners/operators who do not report any GADS data or only part of the full sets of unit data as outlined in the GADS Data Reporting Instructions Figure III-1 (shown as required for the different unit types) may only receive standard publications but will not receive any special data analyses or data analysis-type software products like pc-GAR. Manufacturers and Equipment Suppliers Manufacturers and equipment suppliers may receive the standard publication. They may also receive individual analyses and outage records concerning the equipment they supplied, as well as total unit performance statistics. National, regional, or local summary analyses of the manufacturer's or equipment supplier's equipment compared to all others as a group can be provided. These analyses may collectively review all competitors, but will not identify an individual competitor; nor will they rank competitors, power generators, pools, or regions without their specific authorization. Architect-Engineers and Consultants Architect-engineers and consultants may receive the standard publication. They may also receive individual analyses and outage records concerning the equipment they designed or installed, as well as total unit performance statistics for those same units. National, regional, or local grouped units summary analyses on the performance of the architect-engineer's or consultant's units compared to all others as a group can be provided. These analyses may collectively review all competitors but will not identify an individual competitor; nor will they rank competitors, power generators, pools, or regions without their specific authorization. If an architect-engineer or consultant is under contract to a power generator client, that architect-engineer or consultant may receive any information the power generator may receive, as long as the client power generator is identified and approves. Industry Organizations (EEI, EPRI, INPO, etc.) Industry organizations such as EEI, EPRI, and INPO may receive the standard publication. They may also receive any analyses that do not identify individual units, power generators, pools, or regions. Federal Governmental Organizations Federal governmental organizations may receive the standard publication. They may also receive any analyses that do not identify individual units, power generators, pools, or regions. State and Local Governmental Organizations State and local governmental organizations may receive the standard publication. They may also receive any analyses that do not identify individual units, power generators, pools, or regions. Responses to requests for unit, power generator, pool, or regional specific data will be coordinated through the appropriate power generator(s), pool(s), or NERC region(s).
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Non-Industry Organizations Non-industry organizations may receive the standard publication. They may also receive any analyses that do not identify individual units, power generators, pools, or regions. Responses to requests for unit, power generator, pool, or regional specific data will be coordinated through the appropriate power generator(s), pool(s), or region(s). Foreign Correspondents Foreign correspondents may receive the standard publication. They may also receive grouped analyses at the discretion of the NERC staff. Subsequent Use of Data Publication or re-transmittal by those who have received GADS data, reports, or analyses specific to individual or identifiable units, power generators, pools, or regions is considered a matter separate and distinct from requesting such data for the internal use of the requester. As such, authorization for publication must be expressly obtained by the requester from the appropriate power generator(s), pool(s), or NERC region(s), and NERC. Responding to Requests All requests must be submitted in writing and will be answered on a timely basis with special attention given to requests identified as urgent.
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Appendix J Cause Code Amplification Codes

The purpose of the amplification code is to further identify the cause of an outage by describing the failure mode. The amplification code is two alpha-numeric characters following the cause code (see Page III-32). Failure modes are leaks, corrosion, personnel error, fire, etc. They are almost identical to the GADS Failure Mechanism Codes (see Appendix H) except the Cause Code Amplification Code is just two-characters. Some existing cause codes contain these amplification codes as part of their description. The Cause Code Amplification Code allows all cause codes to be described with the set of failure modes without increasing the number of cause codes. It will also allow analyst to further explore the common causes of outages. GADS Code 01 02 03 04 05 06 07 08 09 10 11 C0 12 13 14 15 16 17 18 20 19 22 23 21 24 25
Description Alignment/clearance not within limits axial Alignment/clearance not within limits radial Arced/flashover electrical Balance, not within limits Binding radial related contacts (use F670 if contact is in axial direction) Broken Burned/fire damage initiated by component (ex. burned motor) Burned/fire damage not initiated by component (ex. pump fire damage due to motor fire) Calibration, not within limits Carbon, covered Chemical excursion damage Cleaning Clogged Closed Condensation --- oil Condensation --- water Connection, loose Contaminated liquid fluids (use F320 for air contamination) Contaminated metals and solids Cooling, inadequate --- air Cooling, inadequate --- liquid Corrosion caustic Corrosion fatigue Corrosion general Corrosion high temperature coal ash Corrosion high temperature oil ash
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GADS Code 26 27 28 29 30 31 32 33 E0 34 35 36 38 37 39 40 41 42 43 44 45 X0 R0 46 47 F0 48 49 50 51 52 53 54 55 56 57 58 59 60 61 NF
Description Corrosion low temperature Corrosion waterwall fire-side Cracked Creep, high temperature Damaged, foreign object Damaged, insulation Dirty (use for air contamination or particulate/dirt buildup) Disengage, failed to Emission/Environmental Restriction Engage, failed to Erosion coal particle Erosion falling slag Erosion fly ash Erosion sootblower Erosion cause unknown Erratic or unexplained operating behavior Erratic, circuit Error, operator Error, wiring Explosion damage initiated by the component (ex. pump explosion) Explosion damage not initiated by the component (ex. pipe damage due to pump explosion) External equipment malfunction (outside plant management control) Fire Flameout Foaming Fouling Frozen (temperature related) Grounded electrical component Hydrogen damage Impact damage Indication, false Inspection Leaks Loose Lubrication excessive Lubrication lack of Maintenance cleaning damage Maintenance general Material defects Modification(s) No fuels
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GADS Code 62 63 64 U0 P0 65 66 67 68 69 71 70 A0 S0 72 73 74 75 78 76 77 79 80 81 82 83 T1 T2 84 V0 86 85 87 D0 89 90 91 88 W0 92 93
Description Noisy Open Overload Parts unavailable Personnel error Pitting (localized corrosion) Pressure, not within limits Rubbing damage axial related contacts (use F050 if contact is in radial direction) Secondary damage Seized (not moving) Short-term overheating Shorted electrical component Silica restriction Slagging Sticking Stree corrosion cracking Temperature compressor discharge, not within limits Temperature exhaust, not within limits Temperature general, not within limits Temperature oil, not within limits Temperature wheel spacers, not within limits Testing Thermal fatigue Torn Tripped/shutdown component automatic Tripped/shutdown component manual Tripped/shutdown grid separation automatic Tripped/shutdown grid separation manual Unknown investigation underway (change this code once failure mechanism is determined) Vibration (other) Vibration fatigue, leading to failure Vibration, not within limits Voltage, not within limits Water induction Weld failure broken weld Weld failure dissimilar metals Weld failure weld defects Welded relay contacts Wet coal/frozen coal/debris Wiped Worn, excessively
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Appendix K Outside Management Control

Following this introduction of Outside Management Control (OMC) guidelines, we have listed those cause codes that GADS recognizes as being outside plant management control. At the end of this Appendix are guidelines for removing OMC events from standard calculations. Annex D: Outside of Plant Management Control The electric industry in Europe and other parts of the world has made a change to examine losses of generation caused by problems with and outside plant management control. After reviewing the work used by others, the following is provided as guidelines for determining what is and is not outside plant management control: There are a number of outage causes that may prevent the energy coming from a power generating plant from reaching the customer. Some causes are due to the plant operation and equipment while others are outside plant management control. The standard sets a boundary on the generator side of the power station (see Figure D-1, below) for the determination of equipment "outside management control".
Typical Interconnection
Utility Distribution Co. Transmission or Distribution System Point of Ownership Change with Utility Distribution Co. Utility Distribution Co. Generation Facility Disconnect Device Operated by Utility Distribution Co.
(2)
Utility Distribution Co. Metering Disconnect Device Owned & Operated by Generation Entity
Out In
ISO Metering
High Side Breaker or Recloser Owned by Generation Entity
(1)
Dedicated Transformer Owned by Generation Entity Generator Auxiliary Load
AUX PT
Generator Breaker
Generator
Figure D-1 The Physical Boundary of Outside Management Control
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As shown in Figure D-1, a generating unit includes all equipment up to (in preferred order) (1) the high-voltage terminals of the generator step-up (GSU) transformer and the station service transformers; (2) the GSU transformer (load) side of the generator-voltage circuit breakers; or (3) at such equipment boundary as may be reasonable considering the design and configuration of the generating unit. It may be assumed that all problems within the power station boundary are within plant management control; however that is not always the case. Therefore, there is a need for some additional clarification as to what is and what is not under plant management control. It is easier to identify those actions outside plant management control than to identify the responsibilities of plant management. Therefore, the following are considered to be outside (external) of plant management control. All other items are considered within their jurisdiction and are the responsibility of the plant management for calculating power plant performance and statistics. Energy losses due to the following causes should not be considered when computing the unit controllable performance because these losses are not considered to be under the control of plant management: Grid connection or substation failure. This reason relates to problems with transmission lines and switchyard equipment outside the boundaries of the plant as specified by the boundary of plant responsibility shown in Figure D-1 on this Annex. Acts of nature such as ice storms, tornados, winds, lightning, etc are not under plant management control, whether inside or outside the plant boundary. Terrorist attacks on the generating/transmission facilities or transmission operating/repair errors are not under plant management control. Special environmental limitations such as low cooling pond level, or water intake restrictions that could not be prevented by operator action. These are acts of nature such as high ambient temperatures where the equipment is working within design specifications. However, if the equipment is not maintained by the plant such as opacity out of limits or NOx out of control, etc, then plant management should be penalized. These are equipment problems and are within plant management control. Lack of fuels (water from rivers or lakes, coal mines, gas lines, etc) where the operator is not in control of contracts, supply lines, or delivery of fuels. However, if the operator elected to contract for fuels where the fuel (for example, natural gas) can be interrupted so that the fuel suppliers can sell the fuels to others (part of the plant fuel cost-saving measure), then the lack of fuel is under management control and is not applicable to this case.
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Labor strikes. Outages or load reductions caused by labor strikes are not normally under the direct control of plant management. These strikes may be company-wide problems or strikes outside the companys jurisdiction such as manufacturers (delaying repairs) or transportation (fuel supply) problems. However, direct plant management grievances that result in a walkout or strike are under plant management control and are included as penalties against the plant. If a labor strike is caused by plant management/worker problems during an outage, any outage extensions are included as energy losses as long as the unit is incapable of being restarted because of equipment failures, maintenance, overhauls, or other activities.
Other weather related problems such as seasonal variations in gross dependable capacity due to cooling water temperature variations are not within plant management control.
This completes the quote from Annex D of IEEE 762. For more comments on OMC events, please refer to Section I-2 and III-13 of these GADS Data Reporting Instructions.
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GADS Cause Codes Outside Plant Management Control

(as of January 1, 2006)
3600 3611 3612 3619 3710 3720 3730 9000 9010 9020 9025 9030 9035 9036 9040 9130 9135 9150 9200 9210 9220 9230 9240 9250 9260 9270 9280 9290 9300 9320 9500 9502 9504 9506 9510 9520 9590
Switchyard transformers and associated cooling systems - external Switchyard circuit breakers - external Switchyard system protection devices - external Other switchyard equipment - external Transmission line (connected to powerhouse switchyard to 1st Substation) Transmission equipment at the 1st substation) (see code 9300 if applicable) Transmission equipment beyond the 1st substation (see code 9300 if applicable) Flood Fire, not related to a specific component Lightning Geomagnetic disturbance Earthquake Hurricane Storms (ice, snow, etc) Other catastrophe Lack of fuel (water from rivers or lakes, coal mines, gas lines, etc) where the operator is not in control of contracts, supply lines, or delivery of fuels Lack of water (hydro) Labor strikes company-wide problems or strikes outside the companys jurisdiction such as manufacturers (delaying repairs) or transportation (fuel supply) problems. High ash content Low grindability High sulfur content High vanadium content High sodium content Low Btu coal Low Btu oil Wet coal Frozen coal Other fuel quality problems Transmission system problems other than catastrophes (do not include switchyard problems in this category; see codes 3600 to 3629, 3720 to 3730) Other miscellaneous external problems Regulatory (nuclear) proceedings and hearings - regulatory agency initiated Regulatory (nuclear) proceedings and hearings - intervener initiated Regulatory (environmental) proceedings and hearings - regulatory agency initiated Regulatory (environmental) proceedings and hearings - intervenor initiated Plant modifications strictly for compliance with new or changed regulatory requirements (scrubbers, cooling towers, etc.) Oil spill in Gulf of Mexico Miscellaneous regulatory (this code is primarily intended for use with event contribution code 2 to indicate that a regulatory-related factor contributed to the primary cause of the event)
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Policy on Handling Outside Management Control (OMC) Events and their Equations in GADS (as of December 9, 2004) Background The IEEE 762 Definitions for Reporting Electric Generating Unit Reliability, Availability and Productivity (Annex D) is the basis for the OMC work. In part, Annex D states that: There are a number of outage causes that may prevent the energy coming from a power generating plant from reaching the customer. Some causes are due to the plant operation and equipment while others are outside plant management control. This Appendix K lists a number of cause codes that is universally accepted as those outside the control of management by the GADS program. It also identifies certain conditions under which those specific cause codes would be applied. The list may change with time and some additional clarifications may be added. The list of cause codes shown hereafter should be reviewed from time to time to insure the latest cause codes are used in the OMC equations. It is also VERY important that all cause codes (including all OMC cause codes) be reported to GADS. Some companies may wish to exclude a forced outage or change it to a non-curtailing event if it fits into the OMC category. THAT IS NOT RIGHT! The event should be reported as a forced outage and the OMC calculations will show the events without the FO. Handling OMC Events OMC events will come in two forms: outages or deratings. The OMC event types can be either forced, maintenance or planned but it is expected that the majority will be forced outage events. For all existing GADS equation calculations, the OMC events will be treated as a standard event, i.e., a forced outage, forced derate, etc. The calculation will not change and will follow the calculations shown in Appendix F of the GADS DRI. In calculating equations without OMC events, it is important to remember that the objective of the removal of OMC events is to affect the availability of the unit. To that end, we handle outages differently than derates. In removing a particular event from a units event records we are faced with the question of what to put in place of the missing event. In the case of an outage, there is no sure way of knowing in what state a unit should be considered. The only sure thing is our objective of returning those hours to an available state. That is exactly what we do and that is all we do. Assuming that the unit is in reserve or in service during the time of the removed OMC outage event, and so, adding to either service or reserve hours presents a fictional summary of the units performance. In viewing the available hours we temporarily recalculate AH as (Service + Reserve + Synchronous-Condensing. + Pumping + OMC).
GADS Data Reporting Instructions January 2011 Page K-5
In the case of a derating event, however, we know for certain the state of the unit at the time of the removed event. Knowing this forces us to place at least part of the equivalent available hours gained in to either reserve or service. Whenever an event is removed it is necessary to look for any derating events that may have been shadowed by or overlapping the removed event. Those overlapping hours must be accounted for by the software processing the OMC event. It isnt enough to simply recalculate Equivalent Availability by adding the sum of the removed OMC events because we need to now take into account the effect of the newly uncovered (unoverlapped) derating events. Before we begin defining the methods there is an important assumption that needs to be made as to the processing of the data. Since the removal of the OMC outage event is seen as an adjustment, well assume that outage events have been processed as normal and that OMC removal is acting on clean data and that performance totals have already been summed for the unit. Also, in the case of derate events, that loss attributed to an event has been calculated particularly in the case of overlapping and shadowed events. OMC Process Methods by Event Type 1. Outage Events In simple terms, when an OMC outage event is encountered, the total associated hours would be reduced as well as the number of occurrences. In order to help keep our numbers in balance, well add these hours to an OMC Hours category. Notice that in each example below we are increasing available hours and not service hours even though we are reducing outage hours. a. Forced Outage Regardless of whether it is a U1, U2, U3 or SF, removing an OMC_FO event would cause a decrease in Forced Outage hours and Forced Outage Occurrences and an increase in Available Hours. b. Planned Outage Removing an OMC_PO event would cause a decrease in Planned Outage hours and Planned Outage Occurrences and an increase in Available Hours. c. Maintenance Outage Removing an OMC_MO event would cause a decrease in Maintenance Outage hours and Maintenance Outage Occurrences and an increase in Available Hours. d. Derate Event shadowed by an OMC outage If the removed OMC outage event shadows a derating event, the equivalent hours shadowed by the outage needs to be added into the equivalent outage hours so that it can be reflected in the equivalent availability.
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2. Derate Events In removing OMC derate events, it is important to keep in mind that the loss of capacity originally calculated and attributed to an event is maintained when the OMC event is removed. The removal of the OMC event then properly affects the available capacity of the unit rather than increasing the losses attributed to the surrounding / overlapping derating events. Illustrations are included below in order to aid the explanations. a. A simple OMC derate When there are no overlapping derating events, the equivalent hours of the OMC event can be removed from the total equivalent hours and the associated event occurrences can also be reduced by 1. The number of derate hours also is reduced by the duration of the event. b. An OMC derate event overlapped by another derate If an OMC event is removed and there is another overlapping derate event, the OMC is removed and totals are adjusted just as in case a above. The NAC of the unit at the start of the overlapping event is increased, but the loss attributed to that event remains constant. (Normal derate events are considered loss-constant throughout their duration) c. OMC derate event which is shadowed by a dominant derate In this case, the overlapping derate is dominant and so, is considered to be capacity-constant. This means that removing the OMC event has no affect on the available capacity within the dominant overlapping derate. The adjustment to the unit performance stats would be limited to the duration and equivalent hours of that portion of the OMC event that exists outside the dominant derate. d. A dominant OMC derate overlaps another derate When the OMC derate event is marked as dominant, multiple adjustments may be necessary. The first adjustment is to take care of the total duration and equivalent hours of the OMC derate event. Once the OMC derate event affect is removed, the overlapped derate event(s) need to be accounted for by subtracting those portions of the event(s) that were overlapped by the OMC event from the equivalent hours total as well as the any total durations. The number of derate event occurrences would not need to be adjusted. e. OMC derate event is shadowed by an outage Since an outage effectively truncates the derate event, only the portion of the OMC derate that extends outside the overlapping outage needs to be accounted for and removed.
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Example#
Before OMC event removal
After OMC event removal
1-d - Derate Event shadowed by an OMC outage
OMC Outage (any type) is removed from shadowed derate.
Unit available hours increase by the outage duration. Equivalent hours are adjusted downward by the overlapped portion when derate d1 is now accounted for at its actual value.
2-b - An OMC derate event overlapped by another derate
OMC Derate is removed from under D2
Loss attributed to D2 remains unchanged. NAC of the unit increases
2-c - OMC derate event which is wholly or partially shadowed by a dominant derate
OMC Derate is removed from inside D2
Only the portion outside the dominant derate is adjusted back to available hours
2-d Dominant OMC derate overlaps other derates
Dominant OMC Derate is removed.
Events D1, D2 and D4 are extended and totalled at their original values.
2-e - OMC derate event is shadowed by an outage
OMC Derate is removed from being shadowed by an outage (any type)
The effect of removing the OMC event is to increase availability by the portions which extend beyond the outage.
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New OMC Equations In the October 2003 GADS DRI, there are two equations listed in Appendix F that exclude OMC event hours. These two equations, Weighted Unit Capability Factor (WUCF) and Weighted Unit Capability Loss Factor (WUCLF) are used in Europe and are a start (not the only ones but a start) of equations for excluding OMC events. WUCF is the equivalent to WEAF without OMC events; WUCLF is the equivalent to Weighted Equivalent Unplanned Outage Factor without OMC events. Both are capacity-weighted calculations. There will be a number of other equations that people will want without OMC events including FOR, EFOR, EFORd, AF, or any equation that uses forced outage or unplanned outage numbers in it. The same principal will apply to planned or maintenance OMC events, if any. This type of reaction to OMC is expected. But there must be a method for clarifying which calculations include and exclude OMC events. Please note that all equations that include OMC events be calculated in the same methods and have the same names as that in IEEE 762 and Appendix F of the GADS DRI. In other words, those equations will not change at all but will be the benchmark as to what the unit was able to provide under all circumstances. Please note also that any equation that excludes OMC events be calculated in the same methods as that in IEEE 762 and Appendix F of the GADS DRI but the names are modified to show they exclude OMC events. These equations will be used against the benchmark calculations to show what the unit could have done without OMC events. Both numbers will be provided by GADS and either number can be used based on the needs and the reports. As a convention for identifying equations and calculations without OMC events, it is proposed that for any equation without OMC events, that the name be modified with a starting X for exclude as a lead. Thus, EFOR without OMC events would be XEFOR, EFORd without OMC events would be XEFORd, POF with OMC events would be XPOF, etc. The X is to show that the equation excludes OMC events and the remainder of the name shows how it is calculated. EFOR and XEFOR are both apples but one is a Macintosh and the other a Roman Beauty.
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Synthesis Method
Appendix L-1 - Calculating Combined Cycle Block Data
Appendix L-1 Calculating Combined Cycle and Co-generation Block Data

Using the Synthesis Event and Performance Method When Reporting Each Gas Turbine/Steam Turbine Unit
Overview This document will explain the synthesis method for collecting combined cycle data on a unitlevel basis and creating combined cycle block statistics from the unit-level event and performance information. This document applies to only those reporters who wish to report event and performance data for each generating unit individually. This document does not apply to those reporters wishing to continue reporting combined cycle data to GADS as a single unit (or traditional method). The traditional method will still be accepted by GADS but is not favored over the reporting of each generating unit within the block. Please Note: The majority of this document is the same as the fleet-type roll up method. The basic data gathering process on a unit-level basis are identical in all respects. The differences will be in creating block statistics from the unit-level data. IEEE 762 does not address reporting separate units and bringing the components together to create combined cycle block statistics. Therefore, this document establishes a NERC methodology for creating new combined cycle block event and performance records based on reported unit-level event and performance records. Terms In order to continue this discussion, some terms must be agreed on to eliminate some of the ambiguity concerning combined cycle blocks in general. Combined Cycle Block (also known in the industry as a Block) By definition, a combined cycle is a process for generating energy (either electricity or steam) constituted by the marriage of a Brayton Cycle (expand hot gas to turn a gas turbine) with a Rankine Cycle (use heat to boil water to make steam to turn a steam turbine). A combined cycle block employs an electric generating technology in which electricity and process steam is produced from otherwise lost waste heat exiting from one or more combustion turbines. In most situations, the exiting waste heat is routed to a conventional boiler or to a heat recovery steam generator (HRSG) for use by a steam turbine in the production of electricity. Therefore, the combined cycle block consists of one or more gas turbines/jet engines, one or more steam turbines, and balance of plant equipment supporting the production of electricity or steam energy.
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Synthesis Method
There may be more than one combined cycle block at a plant site. Our discussion relates to each individual combined cycle block reporting, not the process of reporting several combined cycle blocks as one plant site. Units Each generator set is considered a unit. Typically in combined cycle, each gas turbine or jet engine and each steam turbine are considered a unit. Each unit contributes to the total electric generation of the combined cycle block. Each unit has one or more of its own generators for providing electric power. Heat Recovery Steam Generator (HRSG) There may be one or more HRSG or waste heat boiler in a combined cycle block. Some units may have a single HRSG per GT/jet; others may have several GT/jet feeding a single HRSG. The HRSG does not contribute electricity to the output of the combined cycle block and so, is considered a component rather than a unit. Other Balance of Plant Equipment There are other equipment in the combined cycle block used to support the production of electricity. They are not related to any specific part of the block and are also considered as components.
Combined Cycle Block/Unit Numbering The combined cycle block and unit numbering system should be straightforward and follow the usual guidelines. The combined cycle block will be identified by the range 800-899 and will be used to relate the individual units to the block level. The gas turbine/jet units will be numbered from 300-399 or 700-799. The steam turbine units will be numbered as Fossil Steam Turbines in the range of 100-199. Impact on Design Data It will be necessary for each generating company to provide new and/or additional design data for the combined cycle blocks that you submit GADS data on to NERC. This new design data will allow NERC to identify the specific units that make up each combined cycle block for the purposes of creating synthesized calculations of the unit-level data that is submitted to NERC. Units - The design data will be reported as though each unit were a separate generator. That being that each unit would have its own unit number and design data as described in the NERC guidelines for each unit type. In addition to this, the unit would be marked as being part of a combined cycle block by a field that would hold the Identifying 800 series unit code of the combined cycle block. Combined cycle block Balance of plant and other equipment not directly related to each unit will be coded as described for the combined cycle block.
Cause Codes Since each unit of the combined cycle block can affect the generation of the other units, it is conceivable to have a situation where a derate in a gas turbine or jet engine may have a steam turbine cause code. (See Example 2 below). In other words, the cause codes for all units will be open to all Task Force approved cause codes for all units within the combined cycle blocks.
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Reporting Event Records Events are reported on the unit level only. NO COMBINED CYCLE BLOCK EVENTS ARE REPORTED TO NERC! Since the design data links the units together with the combined cycle block, the event records of the units data will be used to create event records of the combined cycle block. The unit-level event data will be used by NERC to synthesize block-level data for use in calculating traditional industry statistics. All the normal methods/rules would apply with the exception of cause codes crossing over between dissimilar unit types. Reporting Performance Records Performance records will be reported on a unit basis only. NO COMBINED CYCLE BLOCK PERFORMANCE RECORDS ARE REPORTED TO NERC! Since the design data links the units together to the combined cycle block, the performance records of the individual units will be used by NERC to calculate traditional industry statistics using the synthesis method. The general procedure for combining unit performance records to form a combined cycle block record will be explained later in this document. Therefore, if you operate a combined cycle block with 2 gas turbines and one steam turbine, you will report 36 performance records annually one set of 12 performance records for each gas turbine unit and one set of 12 performance records for the steam turbine unit. Effects on pc-GAR Peer Groups Exposing the data on the units of combined cycle block allows those units to become part of other peer groups. In pc-GAR, the following options could be given when the peer group is created. Include units ex: Create a gas turbine peer group that includes gas turbines in simple cycle operation with those in combined cycle blocks. Include units only ex: View gas turbine units in combined cycle blocks operation only. Combined Cycle blocks will be available for each of the three groups shown below or groups 1 and 2 or 1 and 3: 1. Not rolled up (neither syntheses or fleet) but used only reported block data as supplied by the reporter (traditional data reporting). 2. Creating block data using the synthesis event and performance method shown in this document. 3. Creating block data using the fleet-type roll up method described in a separate document Calculating Combined Cycle Block Data Using a Fleet-type Roll up Method When Reporting Each Gas Turbine/Steam Turbine Unit. Not everyone will wish to use some of these options. However, GADS is committed to provide options to all since the individual needs of GADS data users also vary.
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Synthesis Method
Calculating the Synthesized Combined Cycle Block Statistics from the Unit Event & Performance Records Combined cycle block performance records are not reported to NERC. However, NERC needs combined cycle block performance records and the impact of deratings for its reports. For this reason, computers can be programmed to analyze equipment failures based on time (minute by minute) generation capabilities of each unit within the block. This is a synthesis of the individual unit event data to represent the equivalent performance of a defined combined cycle block. The combined cycle block is defined by the information submitted on the new combined cycle design data forms. There will be times when two units will be out (one on outage and the other on derate) and the computer will realize by examining the units event records that the unit is not in service but the combined cycle block is still providing electric power. Examples of creating a block performance record are illustrated in the examples below. Please note that there is no double counting of penalties on the combined cycle block; we are actually maintaining the impact of the problem of one unit on another unit. The addition of the two units affects the overall electric production of the block. Now, there will be times when the cause code of one unit (GT#1 for example) will also be shown on a second unit (the steam turbine for example). That is because of the resultant outage of the GT affected the steam production on the steam turbine, resulting in the steam turbines inability to provide full capacity. This may look as if it were double counting (see Example #2). However, the steam turbine itself is not in need of repairs and the cause of the reduction in steam turbine production to the steam turbine points to a GT (doesnt say which one, just a GT). Therefore, the GT gets two penalties against it: for the outage (to the GT#1 itself) and for the derate (to the steam turbine.) which may appear as a double counting, but is not! This is because the GT actually caused the entire shortage. Please note two things: 1) when GT#1 is on outage, the outage time and cause is related to GT#1 via the event record (only the outage is related to GT#1!) , and 2) the derate to the steam turbine is NOT related to GT#1 directly because the derate is shown to be caused by a GT component (cause code) but not identifying which GT (assuming there is more than one GT unit). Therefore, when the computer calculates the statistics of GT#1, it only sees the outage, not the derate. When the computer calculates the statistics on the steam turbine, it sees the derate caused by a GT. Therefore, GT#1 is not penalized twice, but only the one time. In the NERC performance statistics, you would see the following: GT#1 EAF=, EFOR=., etc GT#2 EAF=. EFOR = . Etc Steam Turbine EAF= . EFOR = .. etc.
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Synthesis Method
These values would be calculated based on only the performance and event records directly attributed to each of the individual units. However, when you report on cause code or component based values, the entire effect of the outage will be taken into account. With the effect of the outage being attributed to the component and not the unit, the unit is not unduly penalized. The number of MWhs generated by each unit can be added together monthly for creating a MWh generated combined cycle block. However, the number of service hours, forced outage hours, etc for the combined cycle block performance record can only be created by analyzing the unit event records on an event by event basis. This procedure is necessary to determine if the combined cycle block is generating power or is completely off line. In the synthesis method, the sum of the units FO, PO, etc cannot be used. For example, if a GT is on forced outage, then the combined cycle block may still be generating power and the GT outage hours are not reflected on the block performance record because it is a derating for the block, not a block outage. Special Rules Used in Calculating Synthesized Combined Cycle Block Data from Unit-level Data There is a need to establish some rules for synthesizing combined cycle blocks. The rules will insure uniformity in creating synthesized statistics from the unit-level data. RULE #1: the outage for the combined cycle block starts when the breaker of the last of the units is opened and ends when the breaker of the first unit is closed. RULE #2: the number of attempted and actual starts for the combined cycle block is determined by the first units breaker is closed. If the unit starts without a problem, then there is one attempted and one actual start for the combined cycle block. If the first unit has a startup failure and a second unit is then started, then the combined cycle block will have two attempted starts and one actual start. RULE #3: A unit is on reserve shutdown when it is removed from service for economic reasons or the electricity is not needed on the system (standard RS definition.) The reserve shutdown may affect other units (for example a GT out on reserve shutdown will reduce the steam to the steam turbine). In such cases where the steam turbine is still in operation, there would be no event reported because of the reduction in steam flow because the steam turbine is operating as if in load following and can return to full capacity as soon as the GT unit is returned to service. RULE #4: A combined cycle block is on reserve shutdown if one or more of the gas turbine/jet units is also on reserve shutdown and the combined cycle block is not in operation. That means other units of the combined cycle block may be on forced, maintenance or planned outage but the combined cycle block still has the capability to produce electricity with the one or more units on reserve shutdown.
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Synthesis Method
RULE #5: As reported for other unit types, coast down to outages is not reported to GADS. Therefore, the orderly removing of units towards an outage (standard outage procedure) are considered coast downs and not reported as penalties against the combined cycle block. (See Example #7). Examples in Synthesizing Block Outages and Deratings from Reported Unit-level Data In each example, the status of each unit is discussed. Some units are not impacted at all by the outages or derates. The only reason they are listed is to show they are not impacted and have no impact on available electricity production. In actual reporting, the unaffected units would not be reported or even mentioned. Please Note: These examples are created to simply illustrate specific cause-and-effect relationships for discussion purposes only and may or may not be real world equipment designs, installations, configurations or actual outage occurrences. The purpose of these examples is to illustrate how the outage of one unit affects other units and the entire combined cycle block. Our example Combined Cycle Block Big Jumbo, the combined cycle block, consists of two gas turbines, each with its own generator. Each GT has its own HRSG. The two GT/HRSG trains are connected through a manifold to a single steam turbine that also has its own generator. The total electrical combined capacity of this fictitious combination is 710 MW. Units The units which make up the example combined cycle block are as follows Two 225 MW Gas Turbines numbered 301 & 302 One 260 MW Steam Turbine numbered 101
Combined cycle block The combined cycle block is a 710 MW combined cycle numbered 801
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Synthesis Method
Example 1 Three Reserve Shutdowns (RS) on different units.

Unit Event Report GT #2 placed on RS from January 1 at 0000 until January 7 at 0315. GT #2 was capable of providing 225 MW during this period. Steam turbine unit placed on RS from January 3 at 0010 to January 6 at 0230. The steam turbine was capable of providing 260 MW during this period. GT #1 placed on RS from January 3 at 0015 to January 6 at 0215. GT #1 was capable of providing 225 MW during this period.
Combined Cycle Block Impact Big Jumbo Block placed on RS from January 3 at 0015 to January 6 at 0215. The combined cycle block has the capability to provide 710 MW during this period. Please note that only three events were reported: one for each unit. During the RS outages, the combined cycle block was not showing any derates because the block was still capable of generating the full 710 MW but was not required to do so. There are no equipment restrictions. There are only load requirements caused the reduced loading. Diagrams of the units and combined cycle block during this period is shown below:
Combined Unit Events Summary of Example #1:
Single Block Event
GT #1 on Reserve Shutdown for 74.00 hours. GT #2 on Reserve Shutdown for 147.25 hours. Steam turbine on Reserve Shutdown for 74.33 hours. Combined cycle block on Reserve Shutdown for 74.00 hours.
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Synthesis Method
Example 2 Single cause of derates on all units.

Unit Event Report GT #1 on D1 derate from January 7 at 1000 until January 7 at 1400. GT #1 was capable of providing 180 MW during this period. Cause code 3620 Main Transformer. GT #2 on D1 derate from January 7 at 1000 to January 7 at 1400. GT #2 was capable of providing 180 MW during this period. Cause code 3620 Main Transformer. Steam turbine unit on D1 derate from January 7 at 1000 to January 7 at 1400. The steam turbine was capable of providing 208 MW during this period. Cause code 3620 Main Transformer.
Combined Cycle Block Impact Big Jumbo Block was on D1 derate from January 7 at 1000 to January 7 at 1400. Cause code 3620 Main Transformer. The combined cycle block was capable to generate 568 MW. Diagrams of the units and combined cycle block during this period is shown below:
Single Block Event
GT #1 on forced derate for 4 hours (or 0.80 Equivalent Forced Derated Hours. ) GT #2 on forced derate for 4 hours (or 0.80 Equivalent Forced Derated Hours.) Steam turbine on forced derate for 4 hours (or 0.80 Equivalent Forced Derated Hours.) Combined cycle block on forced derate for 4 hours (or 0.80 Equivalent Forced Derated Hours.)
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Synthesis Method
Example 3 Single unit on Reserve Shutdown.

Unit Event Report GT #1 placed on RS from January 7 at 2115 to January 8 at 0500. GT #1 was capable of providing 225 MW during this period. Combined Cycle Block Impact No impact on Big Jumbo Block. The combined cycle block was capable to generate 710 MW the full period. Diagrams of the units and combined cycle block during this period is shown below:
Combined Unit Events Summary of Example #3: GT #1 on Reserve Shutdown 7.75 hours Combined cycle block no impact
CC Block Events
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Synthesis Method
Example 4 Single unit on outage, affecting other units and then changing event types.
Unit Event Report
GT #2 on Forced Outage (U1) from January 11 at 0700 to January 11 at 14:45 (cause code 5030 supercharging fans). No supplemental firing of HRSG. GT #2 was capable of providing no MW during this period. As a result, steam turbine on forced derate (D1) from January 11 at 0700 to January 11 at 14:45 (cause code 5030 supercharging fans). The steam turbine unit was capable of providing 130 MW during this period. GT #2 was placed on RS from January 11 at 1445 to January 14 at 0330. GT #2 was capable of providing 225 MW during this period. Steam turbine was placed on reserve shutdown from January 12 at 0000 to January 12 at 11:20. The steam turbine unit was capable of providing 260 MW during this period. GT #1 was placed on RS from January 12 at 0015 to January 12 at 0930. GT #1 was capable of providing 225 MW during this period.
Combined Cycle Block Impact

The combined cycle block was on derate from January 11 at 0700 to January 11 at 14:45. The combined cycle block was capable to generate 355 MW the full period. The combined cycle block was on RS from January 12 at 0015 until January 12 at 0930. The combined cycle block was capable to generate 710 MW the full period. Diagrams of the units and combined cycle block during this period is shown below:
CC Block Events
GT #1 on Reserve Shutdown for 9.25 hours. GT #2 on forced outage for 7.75 hours and on Reserve Shutdown for 60.75 hours. Steam turbine on forced derate for 7.75 hours (or 3.88 Equivalent Forced Derated Hours) and on Reserve Shutdown for 11.33 hours. Combined cycle block on forced derate for 7.75 hours (or 3.88 Equivalent Forced Derated Hours) and on Reserve Shutdown for 9.25 hours.
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Synthesis Method
Example 5 Reserve Shutdowns of unit followed by a startup failure of one unit.

Unit Event Report
GT #1 was placed on RS from January 14 at 2215 to January 16 at 0445. GT #1 was capable of providing 225 MW during this period. Steam turbine was placed on reserve shutdown from January 15 at 2300 to January 16 at 0600. The steam turbine unit was capable of providing 260 MW during this period. GT #2 was placed on RS from January 15 at 2310 to January 16 at 0545. GT #2 was capable of providing 225 MW during this period. GT #1 on Startup Failure outage (SF) from January 16 at 0445 to January 16 at 0600 (cause code 5030 supercharging fans). No supplemental firing of HRSG. GT #1 was capable of providing no MW during this period. As a result of the GT#1 SF, steam turbine on forced derate (D1) from January 16 at 0445 to January 16 at 0600 (cause code 5030 supercharging fans). The steam turbine unit was capable of providing 130 MW during this period. (Note: the steam turbine unit was on RS but it is treated as if it were in service.)

The combined cycle block was on RS from January 15 at 2310 until January 16 at 0545 (when GT #2 came on line). The combined cycle block was capable to generate 710 MW the full period. The combined cycle block was on derate from January 16 at 0445 to January 16 at 0600 caused by the SF of GT #1 and no potential steam flow to the steam turbine(cause code 5030). The combined cycle block was capable to generate 355 MW the full period. Diagrams of the units and combined cycle block during this period is shown below:
Combined Unit Events
CC Block Events
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Synthesis Method
Example 5 Reserve Shutdowns of unit followed by a startup failure of one unit. (Continued)
Summary of Example #5: GT #1 on Reserve Shutdown for 30.50 hours and on Forced Outage for 1.25 hours. GT #2 on Reserve Shutdown for 6.58 hours. Steam turbine on Reserve Shutdown for 7.00 hours and on forced derate for 1.25 hours with a loss of capacity of 130MW (or 0.625 Equivalent Forced Derated Hours) Combined cycle block on forced derate for 1.25 hours with a loss of capacity of 355MW (or 0.63 Equivalent Forced Derated Hours) and on Reserve Shutdown for 6.58 hours.
***Note that 1 hour of the derates occur during RS
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Synthesis Method
Example 6 Unit outage to unit outage affecting other units.

Unit Event Report
GT #2 on Forced Outage (U1) from January 22 at 0440 to January 22 at 0450 (cause code 5250 Other Controls and instrumentation Problems). NOTE: Because the FO on GT#2 was so short, there was no loss of steam flow to the steam turbine. Therefore, the steam turbine unit was capable of providing 260 MW during this period. GT #2 on Forced Outage (U1) from January 22 at 0455 to January 22 at 0545 (cause code 5250) As a result of GT #2 not providing steam service, steam turbine on forced derate (D1) from January 22 at 0455 to January 22 at 0545 (cause code 5250). The steam turbine unit was capable of providing 130 MW during this period.
The combined cycle block was on derate (D1 cause code 5250 Other Controls and instrumentation Problems) from January 22 at 0440 until January 22 at 0450 (when GT #2 came on line). The combined cycle block was capable to generate 485 MW the full period. The combined cycle block was on derate (D1 cause code 5250 Other Controls and instrumentation Problems) from January 22 at 0455 to January 22 at 0545 caused by the U1 of GT #2 and no steam for steam turbine. The combined cycle block was capable to generate 355 MW the full period.
Combined Unit Events

Summary of Example #6:
CC Block Events
GT #2 on forced outage for 1.00 hours (0.17 + 0.83 hours) Steam turbine on forced derate for 0.83 hours (or 0.42 Equivalent Forced Derated Hours). Combined cycle block on forced derate for 1.00 hour (0.17 + 0.83 hours or 0.47 [0.05 + 0.42] Equivalent Forced Derated Hours).
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Synthesis Method
Example 7 Combined cycle block annual planned outage.

Unit Event Report GT #2 placed on Planned Outage from January 24 at 0000 until January 31 at 1000 (cause code 5260 Major Gas Turbine Overhaul). GT #2 was not capable of providing power during this period. As a result of GT #2 not providing steam service, steam turbine on Planned Derate (PD) from January 24 at 0000 to January 24 at 0515 (cause code 5260). The steam turbine was capable of providing 130 MW during this period. Steam turbine unit placed on Planned Overhaul from January 24 at 0515 to January 31 at 1130 (cause code 4240 Low Pressure steam turbine bearings). The steam turbine was not capable of providing power during this period. GT #1 placed on Planned Outage January 24 at 0530 to January 31 at 1015 (cause code 5272 - Boroscope inspection). GT #1 was not capable of providing power during this period.
Combined Cycle Block Impact The combined cycle block was placed on Planned Derate from January 24 at 0000 (when GT #2 came off line) to January 24 at 0515 (cause code 5260). The combined cycle block was capable to generate 355 MW during this period. The combined cycle block was placed on Planned Derate from January 24 at 0515 to January 24 at 0530, when the steam turbine was placed on Planned Outage (cause codes 5260 and 4240). The combined cycle block was capable to generate 225 MW during this period. The combined cycle block was placed on Planned Outage from January 24 at 0530 (when GT #1 came off line) to January 31 at 1000 (when GT #2 came on line) ) (cause codes 5260, 4240, and 5272). The combined cycle block has the capability to provide no power during this period. The combined cycle block was placed on Planned Derate from January 31 at 1000 to January 31 at 1015, when GT #2 came on-line. The combined cycle block was capable to generate 225 MW during this period. The combined cycle block was placed on Planned Derate from January 31 at 1015 to January 31 at 1130, when GT #1 came on-line. The combined cycle block was capable to generate 450 MW during this period.
Now, as the combined cycle block was preparing to come off line for the PO, each unit came off in steps until the final unit (GT #1) started the combined cycle block PO. As reported for other unit types, coast down to outages are not reported to GADS. Therefore, the derates from removing GT #2 and the steam turbine are considered coast downs and not reported as penalties against the combined cycle block. However, the derates from removing and beginning outages on GT #2 and the steam turbine prior to the block outage are not considered coast downs unless they are placed on RS prior to beginning the block outage.
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Synthesis Method

CC Block Events
GT #1 on Planned Outage for 172.75 hours. GT #2 on Planned Outage for 178.00 hours. Steam turbine on Planned Derate for 2.63 hours. Steam turbine on Planned Outage for 174.25 hours. Combined cycle block on Planned Outage for 172.50 hours. Combined cycle block on Planned Derating for 3.06 hours.
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Synthesis Method
Statistics from Unit Event and Performance Reports There will be other outages, deratings and reserve shutdown periods at a real combined cycle block. We could list more but they would just be a repeat of what is shown in the seven examples shown above. So to test the data collection methodology, we will calculate statistics for each unit and the combined cycle block using the data from the seven examples. The time period with be January 1 at 0000 to January 31 at 2400. This is a total of 744 hours during the month of January.
Statistic Net Maximum Capacity Period Hrs Forced Outage Hrs Planned Outage Hrs Maintenance Outage Hrs Reserve Shutdown Hrs Service Hrs Equiv.Forced Derated Hrs EFDH During RS Hrs Equiv. Sched. Derated Hrs Net Actual Generation Attempted Starts Actual Starts Equiv Availability Factor Equiv. Forced Outage Rate Forced Outage Factor Forced Outage Rate Scheduled Outage Factor Net Capacity Factor Starting Reliability GT #1 225 744 1.25 172.75 0.00 121.50 448.50 0.80 0.00 0.00 100,000 6.00 5.00 76.51% 0.46% 0.17% 0.28% 23.22% 59.74% 83.33% GT #2 225 744 8.75 178.00 0.00 214.58 342.67 0.80 0.00 0.00 77,000 7.00 7.00 74.79% 2.72% 1.18% 2.49% 23.92% 46.00% 100.00% ST #1 260 744 0.00 174.25 0.00 92.66 477.09 5.72 0.63 2.63 124,000 4.00 4.00 75.46% 1.20% 0.00% 0.00% 23.42% 64.10% 100.00% CC Block 710 744 0.00 172.50 0.00 89.83 481.67 5.77 0.50 3.61 301,000.00 4.00 4.00 75.55% 1.20% 0.00% 0.00% 23.19% 56.98% 100.00%
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Synthesis Method
Sample Data Summary

Event # 1 2 3 Syn. 1 4 5 6 Syn. 2 7 Syn. 3 8 9 10 11 12 Syn. 4 Syn. 5 13 14 15 16 17 Syn. 6 Syn. 7 18 19 20 Syn. 8 Syn. 9 21 22 23 24 25 26 27 28 29 Unit GT #2 ST #1 GT #1 CC GT #1 GT #2 ST #1 CC GT #1 CC GT #2 ST #1 GT #2 ST #1 GT #1 CC CC GT #1 ST #1 GT #2 GT #1 ST #1 CC CC GT #2 GT #2 ST #1 CC CC GT #2 ST #1 ST #1 GT #1 CC CC CC CC CC Event Type RS RS RS RS D1 D1 D1 D1 RS NC U1 D1 RS RS RS D1 RS RS RS RS SF D1 RS D1 U1 U1 D1 D1 D1 PO PD PO PO PD PD PO PD PD Start Date 01/01/0000 01/03/0010 01/03/0015 01/03/0015 01/07/1000 01/07/1000 01/07/1000 01/07/1000 01/07/2115 01/11/0700 01/11/0700 01/11/1445 01/12/0000 01/12/0015 01/11/0700 01/12/0015 01/14/2215 01/15/2300 01/15/2310 01/16/0445 01/16/0445 01/15/2310 01/16/0445 01/22/0440 01/22/0455 01/22/0455 01/22/0440 01/22/0455 01/24/0000 01/24/0000 01/24/0515 01/24/0530 01/24/0000 01/24/0515 01/24/0530 01/31/1000 01/31/1000 End Date 01/07/0315 01/06/0230 01/06/0215 01/06/0215 01/07/1400 01/07/1400 01/07/1400 01/07/1400 01/08/0500 01/11/1445 01/11/1445 01/14/0330 01/12/1120 01/12/0930 01/11/1445 01/12/0930 01/16/0445 01/16/0600 01/16/0545 01/16/0600 01/16/0600 01/16/0545 01/16/0600 01/22/0450 01/22/0545 01/22/0545 01/22/0450 01/22/0545 01/31/1000 01/24/0515 01/31/1130 01/31/1015 01/24/0515 01/24/0530 01/31/1000 01/31/1015 01/31/1130 Duration 147.25 74.33 74 74 4 4 4 4 7.75 7.75 7.75 60.75 11.33 9.25 7.75 9.25 30.5 7 6.58 1.25 1.25 6.58 1.25 0.17 0.83 0.83 0.17 0.83 178 5.25 174.25 172.75 5.25 0.25 172.5 0.25 1.75 Loss MW 225 260 225 710 45 45 52 142 225 225 130 225 260 225 355 710 225 260 225 225 130 710 355 225 225 130 225 355 225 130 260 225 355 485 710 485 260 EDH Example 1
0.8 0.8 0.8 0.8
3 4 3.88
3.88 5
0.63 0.63 6 0.42 0.05 0.42 7 2.63
2.63 0.17 0.17 0.64
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Synthesis Method
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Fleet Rollup Method
Appendix L-2 Calculating Combined Cycle and Co-generation Block Data

Using the Fleet-type Rollup Method When Reporting Each Gas Turbine/Steam Turbine Unit
Overview This document will explain the fleet-type roll up method for collecting combined cycle data on a unit-level basis and creating combined cycle block statistics from the unit-level event and performance information.. This document applies to only those reporters who wish to report event and performance data for each generating unit individually. This document does not apply to those reporters wishing to continue reporting combined cycle data to GADS as a single unit (or traditional method). The traditional method will still be accepted by GADS but is not favored over the reporting of each generating unit within the block.
Please Note: The majority of this document is the same as the synthesis method. The basic data gathering process on a unit-level basis are identical in all respects. The differences will be in creating block statistics from the unit-level data.
IEEE 762 does not address reporting separate units and bringing the components together to create combined cycle block statistics. Therefore, we are establishing a NERC methodology based on the generally accepted industry practice of fleet-type roll up calculations for a group of units in this case, the group of units consists of the individual generating units that make up the combined cycle block. Terms In order to continue this discussion, some terms must be agreed on to eliminate some of the ambiguity concerning combined cycle blocks in general. Combined Cycle Block (also know in the industry as a Block) By definition, a combined cycle is a process for generating energy (either electricity or steam) constituted by the marriage of a Brayton Cycle (expand hot gas to turn a gas turbine) with a Rankine Cycle (use heat to boil water to make steam to turn a steam turbine). A combined cycle block employs an electric generating technology in which electricity and process steam is produced from otherwise lost waste heat exiting from one or more combustion turbines. In most situations, the exiting waste heat is routed to a conventional boiler or to a heat recovery steam generator (HRSG) for use by a steam turbine in the production of electricity. Therefore, the combined cycle block consists of one or more gas turbines/jet engines, one or more steam turbines, and balance of plant equipment supporting the production of electricity or steam energy.
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Fleet Rollup Method
There may be more than one combined cycle block at a plant site. Our discussion relates to each individual combined cycle block reporting, not the process of reporting several combined cycle blocks as one plant site. Units Each generator set is considered a unit. Typically in combined cycle, each gas turbine or jet engine and each steam turbine are considered a unit. Each unit contributes to the total electric generation of the combined cycle block. Each unit has one or more of its own generators for providing electric power. Heat Recovery Steam Generator (HRSG) There may be one or more HRSG or waste heat boiler in a combined cycle block. Some units may have a single HRSG per GT/jet; others may have several GT/jet feeding a single HRSG. The HRSG does not contribute electricity to the output of the combined cycle block and so, is considered a component rather than a unit. Other Balance of Plant Equipment These are the other pieces equipment in the combined cycle block used to support the production of electricity. They are not related to any specific part of the block and are also considered as components.
Combined Cycle Block/Unit Numbering The combined cycle block and unit numbering system should be straightforward and follow the usual guidelines. The combined cycle block will be identified by the range 800-899 and will be used to relate the individual units to the block level. The gas turbine/jet units will be numbered from 300-399 or 700-799. The steam turbine units will be numbered as Fossil Steam Turbines in the range of 100-199. Impact on Design Data It will be necessary for each generating company to provide new and/or additional design data for the combined cycle blocks that you submit GADS data on to NERC. This new design data will allow NERC to identify the specific units that make up each combined cycle block for the purposes of creating fleet-type calculations of the unit-level data that is submitted to NERC. Units - The design data will be reported as though each unit were a separate generator. That being that each unit would have its own unit number and design data as described in the NERC guidelines for each unit type. In addition to this, the unit would be marked as being part of a combined cycle block by a field that would hold the Identifying 800 series unit code of the combined cycle block. Combined cycle block Balance of plant and other equipment not directly related to each unit will be coded as described for the combined cycle block.
Cause Codes Since each unit of the combined cycle block can affect the generation of the other units, it is conceivable to have a situation where a derate in a gas turbine or jet engine may have a steam turbine cause code. (See Example 2 below). In other words, the cause codes for all units will be open to all Task Force approved cause codes for all units within the combined cycle blocks.
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Fleet Rollup Method
Reporting Event Records Events are reported on the unit level only. NO COMBINED CYCLE BLOCK EVENTS ARE REPORTED TO NERC! Since the design data links the units together with the combined cycle block, the unit-level will be used by NERC to perform block-level roll up statistics using the fleet-type (sum of hours) method for use in calculating traditional industry statistics. All the normal methods/rules would apply with the exception of cause codes crossing over between dissimilar unit types. Reporting Performance Records Performance records will be reported on a unit basis only. NO COMBINED CYCLE BLOCK PERFORMANCE RECORDS ARE REPORTED TO NERC! Since the design data links the units together to the combined cycle block, the performance records of the individual units will be used by NERC to calculate traditional industry statistics using the fleet-type roll up method. Therefore, if you operate a combined cycle block with 2 gas turbines and one steam turbine, you will report 36 performance records annually one set of 12 performance records for each gas turbine unit and one set of 12 performance records for the steam turbine unit. Effects on pc-GAR Peer Groups Exposing the data on the units of combined cycle block allows those units to become part of other peer groups. In pc-GAR, the following options could be given when the peer group is created. Include units of Combined Cycle Blocks Create a gas turbine peer group that includes gas turbines in simple cycle operation with those in combined cycle blocks. Include units of Combined Cycle Blocks only ex: View gas turbine units in combined cycle blocks operation only. Combined Cycle blocks will be available for each of the three groups shown below or groups 1 and 2 or 1 and 3: 1. Not rolled up (neither syntheses or fleet) but used only reported block data as supplied by the reporter (traditional data reporting). 2. Creating block data using the synthesis event and performance method shown in this document. 3. Creating block data using the fleet-type roll up method described in a separate document Calculating Combined Cycle Block Data Using a Fleet-type Roll up Method When Reporting Each Gas Turbine/Steam Turbine Unit. Not everyone will wish to use some of these options. However, GADS is committed to provide options to all since the individual needs of GADS data users also vary.
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Fleet Rollup Method
Calculating Fleet-type Combined Cycle Block Statistics from the Unit Event & Performance Records Combined cycle block event and performance records are not reported to NERC. Only the individual unit event and performance records are needed. Examples of creating a block performance record using the fleet-type roll up are illustrated in the examples below. Please note that there is no double counting of penalties on the combined cycle block; we are actually maintaining the impact of the problem of one unit on another unit. The addition of the two units affects the overall electric production of the block. There will be times when the cause code of one unit (GT#1 for example) will also be shown on a second unit (the steam turbine for example). That is because of the resultant outage of the GT affected the steam production on the steam turbine, resulting in the steam turbines inability to provide full capacity. This may look as if it were double counting (see Example #2). However, the steam turbine itself is not in need of repairs and the cause of the reduction in steam turbine production to the steam turbine points to a GT (doesnt say which GT, just a GT). Therefore, the GT gets two penalties against it: one for the outage (to the GT#1 itself) and another for the derate (to the steam turbine.) which may appear as a double counting, but is not! This is because the GT actually caused the entire shortage. Please note two things: 1) When GT#1 is on outage, the outage time and cause is related to GT#1 via the event record (only the outage is related to GT#1!), and 2) The derate to the steam turbine is NOT related to GT#1 directly because the derate is shown to be caused by a GT cause code but not identifying which GT (assuming there is more than one GT unit). Therefore, when the computer calculates the statistics of GT#1, it only sees the outage, not the derate. When the computer calculates the statistics on the steam turbine, it sees the derate caused by a GT. Therefore, GT#1 is not penalized twice, but only the one time. In the NERC performance statistics, you would see the following: GT#1 EAF=, EFOR=., etc GT#2 EAF=. EFOR = . Etc Steam Turbine EAF= . EFOR = .. etc. These values would be calculated based on only the performance and event records directly attributed to each of the individual units. However, when you report on cause code based values, the entire effect of the outage will be taken into account. With the effect of the outage being attributed to the cause code and not the unit, the unit is not unduly penalized.
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Fleet Rollup Method
Equivalent Fleet Roll-up Calculations The equivalent fleet type roll up of combine cycle units is based on the energy generated or lost as a result of the time that the unit is available or unavailable. By weighting the hours of the time-based calculations by the capacity of each unit, you are able to add the energy of each unit to create the rolled-up statistics needed for the block. The rolled-up of unit hours can then be used to determine the rates and factors of the block. You do need to keep in mind that when using the equivalent fleet roll-up method that you working with energy in MWh and not capacity and hours as separate entities. In all calculations we can substitute the energy based number for a particular statistic by multiplying the hours by the units maximum capacity (Net Maximum Capacity). So, for instance, service hours become service MW-hours. As an example of this, consider this simple relationship: Service Hours = Period Hours Outage Hours This works for a single unit, but, if period hours are used for the block, the following relationship doesnt work (SHunit1 + SHunit2) = PH (OHunit1 + OHunit2) The relationship of service hours to period and outage hours needs to remain constant for the individual unit and for the block when all units are added together. By multiplying each element by the capacity of the related unit, we keep the relationship stable.
So, for each unit in the block we have: SMWh = SH x Capacity PMWh = PH x Capacity OHWh = OH x Capacity Now you can sum the MW hours for all units to create the values for the block (SMWh) = (PMWh) - (OMWh)
Special Rules Used in Calculating Combined Cycle Block and Units using Fleet-type Roll up Method There is a need to establish some rules for fleet-type combined cycle blocks. The rules will insure uniformity in creating fleet-type statistics from the unit-level data. 1. The number of attempted and actual starts for the combined cycle block is determined by the sum of all attempted and actual starts of the units. Due to this, all unit events transfer directly to the block without interpretation to the cumulative status of the block. In other words, if a unit is on forced outage, the forced outage event is also posted to the block even though the other units in the block may be producing power. In this way, a total count of all events that occur within the block can be maintained.
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Fleet Rollup Method
2. A unit is on reserve shutdown when it is removed from service for economic reasons or the electricity is not needed on the system (standard RS definition.) The reserve shutdown may affect other units (for example a GT out on reserve shutdown will reduce the steam to the steam turbine). In such cases where the steam turbine is still in operation, there would be no event reported because of the reduction in steam flow because the steam turbine is operating as if in load following and can return to full capacity as soon as the GT unit is returned to service. 3. As reported for other unit types, coast down to outages is not reported to GADS. Therefore, the orderly removing of units towards an outage (standard outage procedure) are considered coast downs and not reported as penalties against the combined cycle block. (See Example #7). Examples in Fleet-type Block Outages and Deratings from Reported Unit-level Data In each example, the status of each unit is discussed. Some units are not impacted at all by the outages or derates. The only reason they are listed is to show they are not impacted and have no impact on available electricity production. In actual reporting, the unaffected units would not be reported or even mentioned. Please Note: These examples are created simply to illustrate specific cause-and-effect relationships for discussion purposes only and may or may not be real world equipment designs, installations, configurations or actual outage occurrences. The purpose of these examples is to illustrate how the outage of one unit affects other units and the entire combined cycle block.
Our example Combined Cycle Block Big Jumbo, the combined cycle block, consists of two gas turbines, each with its own generator. Each GT has its own HRSG. The two GT/HRSG trains are connected through a manifold to a single steam turbine that also has its own generator. The total electrical combined capacity of this fictitious combination is 710 MW. Units The units which make up the example combined cycle block are as follows Two 225 MW Gas Turbines numbered 301 & 302 One 260 MW Steam Turbine numbered 101
Combined cycle block The combined cycle block is a 710 MW combined cycle numbered 801
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Fleet Rollup Method
Example 1 Three Reserve Shutdowns (RS) on different units.

Unit Event Report GT #2 placed on RS from January 1 at 0000 until January 7 at 0315. GT #2 was capable of providing 225 MW during this period. Steam turbine unit placed on RS from January 3 at 0010 to January 6 at 0230. The steam turbine was capable of providing 260 MW during this period. GT #1 placed on RS from January 3 at 0015 to January 6 at 0215. GT #1 was capable of providing 225 MW during this period.
Combined Unit Events Summary of Example #1: GT #1 on Reserve Shutdown for 74.00 hrs x 225MW = 16,650MWh. GT #2 on Reserve Shutdown for 147.25 hrs x 225 MW = 33,131.25 MWh. Steam turbine on Reserve Shutdown for 74.33 hrs x 260 MW = 19.325.8 MWh. Combined cycle block records 3 events: 1. RS of 16,650 MWh 2. RS of 33,131 MWh 3. RS of 19,325.80 MWh Please note that only three events were reported: one for each unit. The block impact is the sum of each RS event by each of the three units. The equivalent block hours (65,390 MWh / 710MWh) are 96.80 hours.
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Fleet Rollup Method
Example 2 Single cause of derates on all units.

Unit Event Report GT #1 on D1 derate from January 7 at 1000 until January 7 at 1400. GT #1 was capable of providing 180 MW during this period. Cause code 3620 Main Transformer. GT #2 on D1 derate from January 7 at 1000 to January 7 at 1400. GT #2 was capable of providing 180 MW during this period. Cause code 3620 Main Transformer. Steam turbine unit on D1 derate from January 7 at 1000 to January 7 at 1400. The steam turbine was capable of providing 208 MW during this period. Cause code 3620 Main Transformer.
Combined Unit Events Summary of Example #2: GT #1 reports forced derate for 4Hrs x 45MW = 180 MWh. GT #2 reports forced derate for 4Hrs x 45MW = 180 MWh. ST #1 reports forced derate for 4Hrs x 52MW = 208 MWh. Combined Cycle Block reports 3 overlapping derates: 1. Forced derate of 4hrs x 45MW = 180MWh 2. Forced derate of 4hrs x 45MW = 180MWh 3. Forced derate of 4hrs x 52MW = 208MWh Total Block derated 568MWh (568 / 710 =0.80 Equivalent Hours)
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Fleet Rollup Method
Example 3 Single unit on reserve shutdown.

Unit Event Report GT #1 placed on RS from January 7 at 2115 to January 8 at 0500. GT #1 was capable of providing 225 MW during this period.

GT #1 on reserve shutdown 7.75 hours x 225MW = 1743.75 MWh. Combined cycle block reports reserve shutdown for 1743.75 MWh (1743.75 / 710 = 2.46 Equiv. Hours)
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Fleet Rollup Method
Example 4 - Single unit on outage, affecting other units and then changing event types.
Unit Event Report GT #2 on Forced Outage (U1) from January 11 at 0700 to January 11 at 14:45 (cause code 5030 supercharging fans). No supplemental firing of HRSG. GT #2 was capable of providing no MW during this period. As a result, steam turbine on forced derate (D1) from January 11 at 0700 to January 11 at 14:45 (cause code 5030 supercharging fans). The steam turbine unit was capable of providing 130 MW during this period. GT #2 was placed on RS from January 11 at 1445 to January 14 at 0330. GT #2 was capable of providing 225 MW during this period. Steam turbine was placed on reserve shutdown from January 12 at 0000 to January 12 at 11:20. The steam turbine unit was capable of providing 260 MW during this period. GT #1 was placed on RS from January 12 at 0015 to January 12 at 0930. GT #1 was capable of providing 225 MW during this period.
Combined Unit Events Summary of Example #4: GT #1 on Reserve Shutdown for 9.25 hrs x 225 MW = 2,081.25 MWh. GT #2 on forced outage for 7.75 hrs x 225 MW = 1,743.75 MWh. GT #2 on Reserve Shutdown for 60.75 hrs x 225 MW = 13,668.75 MWh. ST #1 on forced derate for 7.75 hrs x 130 MW = 1007.50 MWh. ST #1 on Reserve Shutdown for 11.33 hrs x 260MW = 2,945.80 MWh. Combined cycle block reports 5 events: 1. 2. 3. 4. 5. RS of 2081.25 MWh FO of 1743.75 MWh RS of 13668.75 MWh FO of 1007.50 MWh RS of 2945.80 MWh
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Fleet Rollup Method
Example 5 Reserve Shutdowns of unit followed by a startup failure of one unit.

Unit Event Report
GT #1 was placed on RS from Jan.14 at 2215 to Jan.16 at 0445. GT #1 was capable of providing 225 MW during this period. Steam turbine was placed on reserve shutdown from Jan.15 at 2300 to Jan.16 at 0600. The steam turbine unit was capable of providing 260 MW during this period. GT #2 was placed on RS from Jan.15 at 2310 to Jan.16 at 0545. GT #2 was capable of providing 225 MW during this period. GT #1 on Startup Failure outage (SF) from Jan.16 at 0445 to Jan.16 at 0600 (cause code 5030 supercharging fans). No supplemental firing of HRSG. GT #1 was capable of providing no MW during this period. As a result of the GT#1 SF, steam turbine on forced derate (D1) from Jan.16 at 0445 to Jan.16 at 0600 (cause code 5030 supercharging fans). The steam turbine unit was capable of providing 130 MW during this period. (Note: the steam turbine unit was on RS but it is treated as if it were in service.)

GT #1 on reserve shutdown for 30.50 hrs x 225 MW = 6,862.50 MWh. GT #1 on Forced Outage for 1.25 hrs x 225 MW = 281.25 MWh. GT #2 on reserve shutdown for 6.58 hrs x 225 MW = 1,481.25 MWh. ST #1 on reserve shutdown for 7.00 hrs x 260 MW = 1,820 MWh. ST #1 on forced derate for 1.25 hours with a loss of capacity of 130MW or 1.25 hrs x 130 MW = 162.50 MWh. Combined cycle block reports the 5 events: 1. 2. 3. 4. 5. RS of 6,862.50 MWh FO of 281.25 MWh RS of 1481.25 MWh RS of 1820.00 MWh D1 of 162.50 MWh
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Fleet Rollup Method
Example 6 Unit outage to unit outage affecting other units.

Unit Event Report
GT #2 on Forced Outage (U1) from January 22 at 0440 to January 22 at 0450 (cause code 5250 Other Controls and instrumentation Problems). Note: Because the FO on GT#2 was so short, there was no loss of steam flow to the steam turbine. Therefore, the steam turbine unit was capable of providing 260 MW during this period. GT #2 on Forced Outage (U1) from January 22 at 0455 to January 22 at 0545 (cause code 5250 Other Controls and instrumentation Problems). As a result of GT #2 not providing steam service, steam turbine on forced derate (D1) from January 22 at 0455 to January 22 at 0545 (cause code 5250 Other Controls and Instrumentation Problems). The steam turbine unit was capable of providing 130 MW during this period.

GT #2 reports 2 forced outages for 0.17 hr x 225MW = 38.25 MWh. and 0.83 hr x 225 MW = 186.75 MWh. Steam turbine on forced derate for 0.83 hours (or 0.42 Equivalent Forced Derated Hours) or 0.83 hr x 130 MW = 107.90 MWh. Combined cycle block reports the 3 events: 1. FO of 38.25MWh 2. FO of 186.75 MWh 3. D1 of 107.90 MWh
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Fleet Rollup Method
Example 7 Combined cycle block annual Planned Outage.

Unit Event Report GT #2 placed on Planned Outage from January 24 at 0000 until January 31 at 1000 (cause code 5260 Major Gas Turbine Overhaul). GT #2 was not capable of providing power during this period. Steam turbine unit placed on Planned Overhaul from January 24 at 0515 to January 31 at 1130 (cause code 4240 Low Pressure steam turbine bearings). The steam turbine was not capable of providing power during this period. GT #1 placed on Planned Outage January 24 at 0530 to January 31 at 1015 (cause code 5272 - Boroscope inspection). GT #1 was not capable of providing power during this period.
Combined Unit Events Summary of Example #7: GT #1 on Planned Outage for 172.75 hrs x 225 MW = 38,868.75 MWh. GT #2 on Planned Outage for 178.00 hrs x 225 MW = 40,050 MWh. Steam turbine on Planned Outage for 174.25 hrs x 260 MW = 45,305 MWh. Combined cycle block reports 3 events: 1. PO of 38,868.75 MWh 2. PO of 40,050 MWh 3. PO of 45,305 MWh
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Fleet Rollup Method
Statistics from Unit Event and Performance Reports. There will be other outages, deratings and reserve shutdown periods at a real combined cycle block. We could list more but they would just be a repeat of what is shown in the seven examples shown above. So to test the data collection methodology, we will calculate statistics for each unit and the combined cycle block using the data from the seven examples. The time period will be January 1 at 0000 to January 31 at 2400. This is a total of 744 hours during the month of January. Net Actual Generation would be taken from the meters. Values stated here are for demonstration purposes only.
Statistic Period MWh Forced Outage MWh Planned Outage MWh Maintenance Outage MWh Reserve Shutdown MWh Service MWh Equiv. Forced Derated MWh EFDH During RS MWh Equiv. Sched. Derated MWh Net Actual Generation Attempted Starts Actual Starts Equiv Availability Factor Equiv. Forced Outage Rate Forced Outage Rate Scheduled Outage Factor Net Capacity Factor Starting Reliability Forced Outage Factor GT #1 167,400 281.25 38,868.75 0 27,337.50 100,912.50 180.00 0 0 100,000 6 5 76.51% 0.46% 0.17% 0.28% 59.74% 88.80% 83.33% GT #2 167,400 1,968.75 40,050.00 0 48,281.25 77,100.00 180.00 0 0 77,000 7 7 74.79% 2.72% 1.18% 2.49% 46.00% 90.48% 100.00% ST #1 193,440 0 45,305.00 0 24,091.60 124,043.40 1,485.90 162.50 0 124,000 4 4 75.81% 1.20% 0.00% 0.00% 64.10% 90.05% 100.00% CC Block 528,240.00 2,250.00 124,223.75 0.00 99,710.35 302,055.90 1,845.90 162.50 0.00 301,000.00 17.00 16.00 75.71% 1.35% 0.43% 0.74% 56.98% 89.79% 94.12%
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Fleet Rollup Method
Sample Data Summary

Event # 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 Unit GT #2 ST #1 GT #1 GT #1 GT #2 ST #1 GT #1 GT #2 ST #1 GT #2 ST #1 GT #1 GT #1 ST #1 GT #2 GT #1 ST #1 GT #2 GT #2 ST #1 GT #2 ST #1 GT #1 Event Type RS RS RS D1 D1 D1 RS U1 D1 RS RS RS RS RS RS SF D1 U1 U1 D1 PO PO PO Start Date 01/01/0000 01/03/0010 01/03/0015 01/07/1000 01/07/1000 01/07/1000 01/07/2115 01/11/0700 01/11/0700 01/11/1445 01/12/0000 01/12/0015 01/14/2215 01/15/2300 01/15/2310 01/16/0445 01/16/0445 01/22/0440 01/22/0455 01/22/0455 01/24/0000 01/24/0515 01/24/0530 End Date 01/07/0315 01/06/0230 01/06/0215 01/07/1400 01/07/1400 01/07/1400 01/08/0500 01/11/1445 01/11/1445 01/14/0330 01/12/1120 01/12/0930 01/16/0445 01/16/0600 01/16/0545 01/16/0600 01/16/0600 01/22/0450 01/22/0545 01/22/0545 01/31/1000 01/31/1130 01/31/1015 Loss Duration MW 147:15:00 225 74:20:00 260 74:00:00 225 4:00:00 45 4:00:00 45 4:00:00 52 7:45:00 225 7:45:00 225 7:45:00 130 60:45:00 225 11:20:00 260 9:15:00 225 30:30:00 225 7:00:00 260 6:35:00 225 1:15:00 225 1:15:00 130 0:10:00 225 0:50:00 225 0:50:00 130 178:00:00 225 174:15:00 260 172:45:00 225 Loss Equiv. MWh Blk Hrs Example 33,131.25 46.66 1 19,325.80 27.22 16,650.00 23.45 180.00 0.25 2 180.00 0.25 208.00 0.29 1,743.75 2.46 3 1,743.75 2.46 4 1,007.50 1.42 13,668.75 19.25 2,945.80 4.15 2,081.25 2.93 6,862.50 9.67 5 1,820.00 2.56 1,481.25 2.09 281.25 0.40 162.50 0.23 38.25 0.05 6 186.75 0.26 107.90 0.15 40,050.00 56.41 7 45,305.00 63.81 38,868.75 54.74
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Fleet Rollup Method
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Appendix M GADS and ISO Differences
Appendix M Differences Between GADS and ISO Data Collection System

There are number of differences between the GADS national database and those databases collected by the different Independent System Operators (ISO) organizations. Some are minor changes and some are not. Since GADS is still a voluntary database, there are no obligations for the ISOs to follow GADS rules and procedures 100%. GADS collects equipment outage data on a national and international basis. GADS is an equipment outage system with new ties to reliability assessments. However, it is very important that GADS have uniformity in data collection. Meanwhile, the ISOs work in a marketing arena, different than GADS. As a result of the differences between the ISO and GADS, it is important to distinguish what differences exist. These differences listed below are not in any specific order and may not cover all differences. However, the list will present major items for discussion. When Data is Due. In the GADS Data Reporting Instructions, we asked that utilities report dated to GADS within 30 days after the end of each quarter year. However some companies prefer to report their data to us on a monthly basis, at the same time some ISOs require. GADS will accept the data either on a quarterly or monthly basis. Amount of Data Due. GADS strongly requests that all data be sent to GADS on a year-todate basis. This would mean that if you are reporting for the month of September, then you would report all data between January and September to GADS at the end of September. This allows the databases at both the reporters facilities and GADS to be exactly the same. If we only allowed data to be reported on a monthly basis, than any changes to the database from earlier months would be lost at the GADS level. We also allow updates or modifications to historical data be reported to GADS so that again all historical data (i.e., earlier years) at the reporting facilities and at GADS would have the same data. We encourage all ISOs to do the same thing so that uniformity will always be between reporter and those who receive the data. Record Formats. For many years the GADS data was collected in 82 character 97-95 format. The old record formats have been accepted since 1982 and were discontinued in January 2010. The primary distinction of the old formats is to allow collection of data as whole numbers and not fractions of hours, capacities, or generation. In recent years GADS started to collect the data in a new format where reporters can report hours, capacities and generation data out to two decimal places. The purpose of the two decimal places is to allow more accuracy in reporting as per ISO request. It was not the purpose of GADS to allow reporting of very small generating units. We normally do not collect units less than 1 MW in size. However some smaller units have been reported to GADS and we do accept them into the database.
Page M-1
Edit Checks. There are a number of data checking programs in GADS to insure the event and performance records correspond correctly. These checks are made available to the developers of all software programs. We check each event and performance record before it is allowed into the GADS database. A list of the checks is available to anyone interested in the editing process. ISOs also check their GADS data per their own specification for accuracy. Many checks are identical between the two databases. Loading Characteristic. The purpose of loading characteristic is to generalize the operation of the unit during the month. This loading characteristic may vary from month-to-month and is only an indicator of what loading may be placed on the unit during certain times of the year. The loading characteristic is a judgment call and not based on any statistic or procedure. One leading characteristic is called base-loaded. The term base-loaded can mean different things to different people. GADS does not set specific limits of what is base-loaded and what is not a base-load unit. We do not state that there are no reserve shutdowns for base-loaded units but GADS assumes that the majority of the time, the unit is up and operating at close to its maximum capacity. Some ISOs state that if a unit has any RS events, then it is not baseloaded. In GADS, such units can be considered base-loaded. There is not a definition of base-loaded in the GADS Data Reporting Instructions.
Daylight Savings Time. Prior to 2005, daylight savings time started and ended during the month of April and October, respectively. Starting in 2006, daylight savings time changed to March and November. The GADS program recognizes these months as a beginning and ending is daylight savings time. It also allows states such as Indiana and Arizona who do not have daylight savings time report the full number of hours per month as standard operating times. Dominant Derates. Dominant derates were added to the GADS database several years ago. The purpose of the dominant derates was to track the full impact of major equipment problems when more than one equipment failure with the same time period. If more than one derates occurs at the same time, then the operator must decide if either one of these derates is dominant or not. Some ISOs did not recognize dominant derates because they fear that forced derates may be shadowed by other non-forced derates due to the dominant derates application. GADS recognizes that this problem may occasionally occur. However, GADS still strongly encourage the use of dominant derates for recording specific equipment failures at power plants.
OMC Events. Outside management control or OMC events were introduced to GADS about 2004. The purpose of the OMC events is to identify problems that happen at power plants which are outside the control of plant management. These events include such things as transmission problems, ice storms, tornadoes or other events caused by the weather, terrorists, or other outside elements. The list of 36 OMC cause codes that are recognized by GADS is in Appendix K of the GADS Data Reporting Instructions.
Page M-2
These OMC events were taken from the Europeans and have been accepted by many companies in the USA. GADS recognizes that ISOs also have a group of OMC events they consider as part of outside management control. GADS is an equipment database; ISOs work in a marketing environment. Therefore, the focus of each group is different and the OMC's accepted by each group may be different. Removal of OMC Events. When GADS removes an OMC event from its calculations, it removes the event hours and reduces the event count (forced, maintenance, planned outage or derate) by one. If the OMC is an outage, it also reduces the number of actual starts by one and reduces the number of attempted starts by one. In this way, we remove all traces of the OMC event - as if the OMC event never occurred. A full description of the removal process is described in appendix K of the GADS Data Reporting Instructions. Some ISO groups will recognize certain OMC events and will remove the event and reduce the event count by one but will not modify the number of actual or attempted starts. This is a decision the ISO makes for its own purposes. The number of actual and attempted starts has little or no impact on EFORd calculations if the differences are only 1 or 2 different. EFORd. Equivalent Forced Outage Rate Demand (EFORd) was added to IEEE 762 in 2007. However this equation has been used by PJM Interconnection and the Canadian Electricity Association (CEA) for many years. It is not used by all ISO organizations as a measure of reliability and dependability. GADS started calculating this number about 10 years ago and adding it to our software and other reports. GADS follows the IEEE 762 formula for calculating EFORd. There are three methods for pooling or grouping EFORd. These methods are shown on page 59 through 64 of IEEE 762. The same calculating methods are shown in GADS Data Reporting Instructions Appendix F. GADS uses the hourly weighted methods (method 2) because it conforms to the other calculations used in IEEE 762. Some ISOs use capacity weighted average methods (Method 3). Both are accepted by IEEE 762 but have different results. Synchronous and Pumped Storage Starts. In GADS, we encourage the reporting of unit starts each time the unit is either in synchronous condensing or pumping mode. Although these are not generating operations, they still cause stress and strain on the equipment where the equipment can fail. GADS encourages that such starts and attempted starts be reported. Some ISOs require that their members report synchronous condensing and pumping hours are event types like GADS requires for forced, maintenance and planned outages and derates. GADS does not recognize synchronous condensing and pumping events. GADS asks for the number of hours in each operation each month but not the dates and times each operation starts and end.
Page M-3
Run-of-river Hydro Units. GADS has collected data on fossil and nuclear units for many years. However, starting as early as 1982, GADS started to receive data from hydro units. Although hydro generation is less expensive, it works under different conditions than other generating units. Therefore, these units must be treated a little bit different than the typical generating plant. Please note that GADS continues to collect information on equipment problems. However since NERC became the new ERO for the United States in July 2006, we've been asked to provide data as part of the reliability assessments and help in the projection of new power to meet the demands of the consumers. Therefore it is very important to keep track of all power plants and their capabilities throughout the year, no matter what type of power plant they are. That includes run-of-river hydros too. Here are special rules that GADS suggests for hydro units. This is GADS opinion only for use on a national basis; each ISO will set the rule for hydro units within their jurisdiction. All generating units of all MW sizes are invited to be part of GADS. We do not limit small units from participating in a database. However it is not the purpose of GADS to collect very small units (less than 1 MW). If generating companies wish to report small units to GADS, than these units will be welcomed into the database We have set up certain rules for collecting reserve shutdowns for hydro units. There are some hydro units that collect reserve shutdown (RS) periods using an automatic SCADA system. Such unit should report each and every RS event. However units that do not have SCADA equipment can either report RS events like those with SCADA systems or simply report the total number of RS hours per month on the GADS performance record. The option is up to the reporter. Each and every event that prevents a unit from generating 100% full load must be reported to GADS. This includes equipment failures, RS times, and any other incident at the plant including when there is insufficient water available to generate to maximum capability. Some run-of-river hydro units report lack of water periods as an RS event. That is not correct! The reason is that the unit cannot operate at full capacity because it is out of fuel. It should be reported as a forced outage. However, this out-of-fuel event is also an OMC event in the eyes of GADS. Therefore, it should not be declared as a penalty against the hydro plant but should be recognized as a standard condition and credited out of the EFORd calculation just like the ISOs remove transmission events from the calculation of EFORd. When GADS calculates EFORd, it includes all OMC events. When it calculates XEFORd (EFORd without OMC events), it excludes out of water conditions.
Page M-4
At this point, ISOs do not recognize out-of-water conditions as OMC. This is a discussion that should happen between the ISOs and the hydro power suppliers. However, GADS encourages ISOs to recognize out of water conditions as OMC but has no authority to direct the ISOs to follow GADS example. Debris in the water intake (leaves, tree branches, etc) from the river, lake or streams is not OMC events but is normal problems with hydro units. They should be reported as forced, maintenance, or planned events. Insofar as the equipment at a hydro station is capable of full load but not generating full load due to water conditions, it should not experience an EFORd reduction until the reason for the water condition is properly identified. Once the condition or decision for reduction is identified (be it lack of water, conservation of water or other reasons), then the decision affecting EFORd (include or exclude the event) can be made properly.
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Page M-6

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Generating Availability Data System

Data Reporting Instructions

Effective January 2011

Section II: Data Scope and Transmittal

Section III: Event Reporting

Inactive Reserve Mothballed Retired

Active States ............................................................................................................. III-7 1. Outages................................................................................................................ III-7

GADS Data Reporting Instructions January 2011

Interpretation of Outages and their Reporting ................................................ III-11

Notes on Reporting Deratings ..................................................................................... III-18

GADS Data Reporting Instructions January 2011

B. Event Magnitude ................................................................................................................. III-23

Section IV: Performance Reporting

GADS Data Reporting Instructions January 2011

C. Unit Starting Characteristics

Section V: Design Data Reporting............................................................ V-1

GADS Data Reporting Instructions January 2011

Appendix A: Change in Unit Status Report Form

Appendix B: Index to System/Component Cause Codes

Appendix C: Utility and Unit Identification Codes

Appendix D: List of Major Components

Appendix E: Unit Design Data Forms

GADS Data Reporting Instructions January 2011

Appendix F: Performance Indexes and Equations

Appendix G: Examples and Recommended Methods

GADS Data Reporting Instructions January 2011

Appendix L-1: Calculating Combined Cycle and Co-generation Block Data

Appendix L-2: Calculating Combined Cycle and Co-generation Block Data

GADS Data Reporting Instructions January 2011

IV-1 IV-2 IV-3 IV-4 IV-5 IV-6

GADS Data Reporting Instructions January 2011

GADS Data Reporting Instructions January 2011

GADS Data Reporting Instructions January 2011

Section II Data Scope and Transmittal

Section II Data Scope and Transmittal

GADS Data Reporting Instructions January 2011

Section II Data Scope and Transmittal

GADS Data Reporting Instructions January 2011

Section II Data Scope and Transmittal

GADS Data Reporting Instructions January 2011

Section II Data Scope and Transmittal

GADS Data Reporting Instructions January 2011

Section III Event Reporting

Section III Event Reporting

Noncurtailing Optional Optional Optional

All All All All All All

Required Required Required Required Required Required

Required Required Required Required Required Required

Optional Required Required Required Required Required

Optional Optional Optional Optional Optional Optional

GADS Data Reporting Instructions January 2011

Section III Event Reporting

Event Report (07 Format)

GADS Data Reporting Instructions January 2011

Section III Event Reporting

GADS Data Reporting Instructions January 2011

Section III Event Reporting

GADS Data Reporting Instructions January 2011

Section III Event Reporting

GADS Data Reporting Instructions January 2011

Section III Event Reporting

GADS Data Reporting Instructions January 2011

Section III Event Reporting

Section III Event Reporting