2018 GADS Data Reporting Instructions PDF

Generating Availability Data
System
Data Reporting Instructions
Effective January 1, 2018
3353 Peachtree Road NE

Suite 600, North Tower
Atlanta, GA 30326
404-446-2560 | www.nerc.com
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-2
Section III: Event Reporting
Event Report (07 format) .............................................................................................. III-2
Event Identification
Record Code.................................................................................................................... III-2
Utility (Company) Code .................................................................................................. III-2
Unit Code ........................................................................................................................ III-3
Year ................................................................................................................................. III-3
Event Number................................................................................................................. III-3
Report Revision Code ..................................................................................................... III-3
Event Type ...................................................................................................................... III-4
Inactive States ................................................................................................................ III-5
IR - Inactive Reserve
MB - Mothballed
RU - Retired
Active States ................................................................................................................... III-6
Outages ........................................................................................................................... III-6

PO - Planned Outage
MO - Maintenance Outage
PE - Planned Outage Extension
GADS Data Reporting Instructions – January 2018
Page ii
Table of Contents
ME - Maintenance Outage Extension

SF - Startup Failure
U1 - Unplanned (Forced) Outage – Immediate
U2 - Unplanned (Forced) Outage – Delayed
U3 - Unplanned (Forced) Outage – Postponed
Interpretation of Outages and their Reporting........................................................... III-10

Scenario #1: Forced Outage to Planned Outage.
Scenario #2: Forced Outage that can wait for repairs until the end of the next weekend.
Scenario #3: Forced Outage that cannot wait for repairs until the end of the next weekend.
Scenario #4: Forced Outage to Reserve Shutdown with economic repairs.
Scenario #5: Extending a Planned/Maintenance Outage when work is part of original scope
of work.
Scenario #6: Extending a Planned/Maintenance Outage when work is not part of original
scope of work.
Scenario #7: Unexpected Repairs during Planned/Maintenance Outage but completed
within the scheduled outage time.
Notes on Reporting Outages ...................................................................................... III-11

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
Deratings ..................................................................................................................... III-12

PD – Planned Derating
D4 – Maintenance Derating
DP – Planned Derating Extension
DM – Maintenance Derating Extension
D1 – Unplanned (Forced) Derating – Immediate
D2 – Unplanned (Forced) Derating – Delayed
D3 – Unplanned (Forced) Derating – Postponed
Notes on Reporting Deratings .......................................................................................... III-14

Ambient-Related Losses
System Dispatch Requirements
Ramping Up at Unit Startup and Down at Unit Shutdown
Page iii
Table of Contents
Overlapping Deratings
Deratings that Vary in Magnitude with Time
Dominant Derating Reporting
Reserve Shutdowns - RS ................................................................................................... III-17
Non-curtailing Events - NC................................................................................................ III-18
Event Magnitude............................................................................................................... III-18

Start of Event
Event Transitions
End of Event
Gross Available Capacity (GAC) as a Result of the Event
Net Available Capacity (NAC) as a Result of the Event
Dominant Derating Code
Primary Cause of Event; and ............................................................................................ III-22

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-29

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-2

Page iv
Table of Contents
B. Unit Generation Performance

Gross Maximum Capacity (GMC) ........................................................................................ IV-4
Gross Dependable Capacity (GDC) ...................................................................................... IV-4
Gross Actual Generation (GAG) ........................................................................................... IV-4
Net Maximum Capacity (NMC)............................................................................................ IV-4
Net Dependable Capacity (NDC) ......................................................................................... IV-5
Net Actual Generation (NAG) .............................................................................................. IV-5
Special Note on Gas Turbine and Jet Engines ..................................................................... IV-5
C. Unit Starting Characteristics

Typical Unit Loading Characteristics.................................................................................... IV-6
Attempted Unit Starts ......................................................................................................... IV-7
Actual Unit Starts................................................................................................................. IV-7
Verbal Description ............................................................................................................... IV-7
D. Unit Time Information

Unit Service Hours ............................................................................................................... IV-8
Reserve Shutdown Hours .................................................................................................... IV-8
Pumping Hours .................................................................................................................... IV-8
Synchronous Condensing Hours.......................................................................................... IV-8
Available Hours.................................................................................................................... IV-9
Planned Outage Hours ........................................................................................................ IV-9
Unplanned (Forced) Outage Hours and Startup Failure Hours ........................................... IV-9
Maintenance Outage Hours ................................................................................................ IV-9
Extensions of Scheduled Outages ....................................................................................... IV-9
Unavailable Hours ............................................................................................................... IV-9
Computing Hours from the Event Report (07) .................................................................... IV-9
Period Hours ...................................................................................................................... IV-10
Inactive Hours .................................................................................................................... IV-10

Page v
Table of Contents
E. Primary Fuel; and

F. Secondary Fuel
Fuel Code ........................................................................................................................... IV-11
Quantity Burned ................................................................................................................ IV-12
Average Heat Content ....................................................................................................... IV-13
% Ash ................................................................................................................................. IV-13
% Moisture ........................................................................................................................ IV-13
% Sulfur .............................................................................................................................. IV-13
% Alkalies ........................................................................................................................... IV-13
Grindability Index .............................................................................................................. IV-13
% Vanadium and Phosphorous.......................................................................................... IV-13
Ash Softening Temperature .............................................................................................. IV-13
Section V: Design Data Reporting .............................................................................................. V-1
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-FS-1
Guide for Code Selection ........................................................................................................ B-FS-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
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-1
Major Components for Combined Cycle & Co-Generation Units and Block ............................... D-2
Appendix E: Unit Design Data Forms

Manufacturers ............................................................................................................................. E-2

Page vi
Table of Contents
Fuel Codes .................................................................................................................................... E-2

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
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 problems 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

Page vii
Table of Contents
Appendix H: Failure Mechanism Codes ..................................................................................... H-1
Appendix I: GADS Data Release Guidelines ............................................................................... I-1
Appendix J: Cause Code Amplification Codes ............................................................................ J-1
Appendix K: Outside Management Control .............................................................................. K-1
Appendix L-1: Calculating Combined Cycle and

Co-generation Block Data
Using the Synthesis Event and Performance 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 NERC-GADS and ISO-GADS Data Collection and Uses .... M-1
Appendix N: Changes to DRI 2017 to 2018………………………………………………………………………….N-1
Tables and Figures
SECTION I
I-I Table: Applications of GADS Data................................................................................. I-1
I-2 Table: Regional Entities ................................................................................................ I-3
SECTION III
III-1 Table: Event Reporting Requirements vs. Unit Type/Size .......................................... III-1
III-2 Table: Record Layout of Section A – Event Identification .......................................... III-2
III-1 Figure: Unit States Diagram ........................................................................................ III-5
III-2 Figure: Possible Derating Situations ......................................................................... III-15
III-3 Table: Record Layout of Section B – Event Magnitude ............................................ III-18
III-3 Figure: Allowable Event Type Changes..................................................................... III-20
III-4 Figure: Example of Dominant Derating Code Reporting .......................................... III-22
III-4 Table: Record Layout of Section C – Primary Cause of Event .................................. III-23
III-5 Table: Record Layout of Section D – Additional Work During Event ....................... III-24
III-6 Table: Allowable Cause Codes .................................................................................. III-25
III-7 Table: Record Layout of Event Records Using Failure Codes ................................... III-30
SECTION IV
IV-1 Table: Record Layout of Section A – Unit Identification ............................................ IV-2
IV-2 Table: Monthly Summaries......................................................................................... IV-2
IV-3 . Table: Record Layout of Section B – Unit Generation Performance .......................... IV-4

Page viii
Table of Contents
IV-1 . Figure: Effects of Ambient Temperature on Gas Turbines/Jet Engines ..................... IV-6
IV-4 . Table: Record Layout of Section C – Unit Starting Characteristics ............................. IV-6
IV-5 . Table: Unit Loading Characteristics ............................................................................ IV-7
IV-6 . Table: Record Layout of Section D – Unit Time Information...................................... IV-8
IV-7 . Table: Period Hours .................................................................................................. IV-10
IV-8 . Table: Record Layout of Section E – Primary Fuel; and F – Secondary Fuel ............ IV-11
IV-9 . Table: Fuel Types and Codes .................................................................................... IV-12
SECTION V
V-1 Table: Location of Design Data Forms ......................................................................... V-1

Page ix
Section I – Introduction
NERC developed the GADS Data Reporting Instructions to assist utility personnel in reporting information to the
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 Table I-1). GADS maintains complete operating histories on more than 8,000 generating units,
representing over 90 percent of the installed generating capacity of the United States and Canada. As of January
1, 2013, GADS became a mandatory industry program for conventional generating units 20 MW and larger. GADS
remains open to all non-required participants in the Regional Entities (shown in Table I-2) and any other
organization, domestic or international, 1 that operate electric generating facilities willing to follow the GADS
mandatory requirements as presented in the document Final GADSTF Recommendations Report dated July 20,
2011.
Table I-1: Applications of GADS Data
New Plants Plant Strategies Maintence Strategies
Design Load following Preventive/Predictive
Procurement Power reductions Inspection Scheduling
Construction Goals/benchmarking Surveillance
High-impact outages
System Strategies Plant Modifications Outage Planning
Dispatch Replacement Critical Items
Maintenance Reconfiguration Resource allocation
Utility designers, operating engineers, and system planners developed GADS to meet the information needs of
the electric utility industry. For this purpose, they established specific objectives for the GADS program:
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 and often unique data systems typically found at power plants or for maintenance data programs that
record detailed equipment failures and repair techniques. The objectives of the GADS program can be met through
the collective effort of participating GADS members, the cooperation in reporting to GADS, and sharing
information with the industry.
With the GADS mandatory program, participating organizations must be prepared to commit the necessary effort
needed to provide timely, accurate, and complete data. The GADS Data Reporting Instructions detail the data
elements collected by GADS, data identified by the industry as being vital to the understanding and interpretation
1
NERC management reserves final approval authority for GADS data with international organizations on a case-
by-case basis.
Page I-1
of generating unit and major equipment performance. By following the strict guidelines set forth in these
instructions, we have found that the industry analysts can best apply the data in the most beneficial manner.
Industry Development of GADS

Before any data element was included in GADS, an industry committee determined 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 thes GADS Data 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 utility’s plant-specific 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 created 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 regulated units. As more and more electric utilities divide into
generating companies (GO and GOP), transmission companies (TO and TOP) and distribution companies, GADS
must also make changes to accommodate industry 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 GO and TO 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 within the plant management
responsibilities. As a result, new equations are introduced for measuring plant performance. For further details,
refer to Appendix F of this manual.
Page I-2
Table I-2: Regional Entities
FRCC SERC
Florida Reliability Coordinating Council SERC Reliability Corporation
MRO SPP
Midwest Reliability Organization Southwest Power Pool
NPCC TRE
Northeast Power Coordinating Council Texas Regional Entity
RF WECC
ReliabilityFirst Western Electricity Coordinating Council
Arrangement of Data Reporting Instructions

The GADS Data Reporting Instructions document details the procedures, format, and frequency to follow when
reporting data to GADS.
This document has several sections, and each section treats a particular area of data to report to GADS. Section II
describes the three general types of data to be reported to GADS: event, performance, and design. 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.
Page I-3
Section II – Data Scope and Transmittal
Scope
There are three types of data reported to GADS:
1. Event (07 format)

2. Performance (05 format)
3. Design
The GADS Data Reporting Instructions document describes the event and performance data in detail in Sections
III and IV. The nine mandatory design data fields described in Section V must be submitted before reporting any
event or performance data to NERC. All other design appendices in appendix E are voluntary but encouraged for
GADS work.
For the purposes of data reporting, the term “unit” is defined as follows:
Nuclear and fossil (steam) units — units consisting of a single reactor or boiler and a single turbine generator. In
cases where multiple boilers and/or multiple turbine-generators are headed together, the entire group 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-5.
Hydro, pumped storage, gas turbine, jet engine, and diesel units — 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 group may be considered as a single unit or reported as
individual units. You should note your specific reporting criteria 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) and a Brayton Cycle (expand hot gas to turn a gas turbine). The combined-cycle consists of
one or more gas turbines/jet engines and one or more heat recovery boilers. The heat recovery boiler sends
steam to a steam turbine for generating electricity. Each gas turbine/jet engine and each steam turbine is a
“unit”. The entire group is considered a “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-25.
Co-generation units — 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-25.
Fluidized bed combustion units — units consist of one or more bubbling, circulating, or pressurized bed boilers
or steam turbines. Consider the entire group as a single unit.
Miscellaneous units — Miscellaneous conventional generating units are all other units (including variable fuel –
biomass, landfill gases, etc.) used to generate electric power for the grid. Groups of units using the same electric
meter are also categorized in the miscellaneous units group. For example, if you have five hydro units of 5 MW
Section II – Data Scope and Transmittal
each and they all have the same common revenue meter (measuring the electric output of the five units
combined), then this block of hydro units would be considered a 25 MW miscellaneous 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.
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 (megavolt amperes) by the rated power factor found on the nameplate affixed to
the generator (nameplates in the case of multiple generator units).
The nine required design fields must be reported to GADS prior to reporting event and performance data. Your
generating company is required to report to GADS if your organization owns generating facilities and is listed on
the NERC Compliance Registry (NCR). This requirement applies to generators within North America that have a
nameplate capacity of 20MW or greater. All other generating units by non-registered generating companies or
units smaller than the required MW size are invited to participate in GADS on a voluntary basis.
We encourage all generating organizations to report all data elements currently collected for their units and any
additional information they can reasonably provide.
Transmittal and Format

Submit event and performance data to Open Assess Technology International, Inc. (OATI) using the webE-GADS
data collection system within 45 days after the end of every calendar quarter throughout the life of each unit. If
a unit is deactivated (retired) or sold, continue to report that unit for the remainder of the calendar year using the
instructions shown on Page III-6 of these reporting instructions. In addition, please complete the “Change in Unit
Status” form found in appendix A. The completed “Change in Unit Status” form should be submitted to NERC at
gads@nerc.net.

Page II-2
Section III – Event Reporting
An “event” occurs any time a generating unit’s operating status or capability changes. GADS receives reports on
four general classifications of events: outages, derates, reserve shutdowns, and non-curtailing 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.
As of January 1, 2013, Reporting to the GADS program is mandatory for all conventional units that have a
nameplate capacity of 20 MW and larger. 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
presents the classes of events generating companies must report for different types and sizes of conventional,
non-renewable generating units.
Table III-1: Event Reporting Requirements vs Unit Type/Size Starting January 1, 2013
Unit Event Classifications
Size
Type Outage Derates Reserve Shutdown Non-Curtailing
(MW)
Fossil (Steam) 20+ Required Required Required Voluntary
Nuclear 20+ Required Required Required Voluntary
Hydro & Pumped Storage 20+

(with automatic data Required Required Required Voluntary
recording equipment)
Hydro & Pumped Storage

(without automatic data 20+ Required Required Voluntary Voluntary
recording equipment)
Gas Turbines/Jet Engines 20+ Required Required Required Voluntary
Combined Cycle/Co-
generators 20+ Required Required Required Voluntary
Diesel 20+ Required Required Required Voluntary
Fluidized Bed Combustion 20+ Required Required Required Voluntary
Miscellaneous – including
multi-boiler/multi-turbine,
geothermal, other
miscellaneous conventional
generating units (such as
variable fuel – biomass, 20+ Required Required Required Voluntary
landfill gases, etc.) used to
generate electric power for
the grid and similar in design
and operation as the units
shown above
Detailed event data reporting for all units is mandatory and is indicated by the term “required.” The term
“voluntary” implies that each operating company must determine if it can reasonably provide detailed data. NERC
encourages all electric generating organizations to report all event data information and any additional
information they can reasonably provide.
You are required to report reserve shutdown events on all units except hydro and pumped storage units without
automatic data recording equipment. All other events (forced, maintenance, and planned) must be reported.
Event Report (07 Format)

Report event data to GADS in the event report (07) format, described in this section. Submit the data to Open
Assess Technology International, Inc. (OATI) using the webE-GADS data collection system within 45 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.
A description of each section and the data elements within it follows. Included are detailed instructions for
reporting each event data element.
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.
Record Code (columns 1-2) - Required
The “07” code uniquely identifies this data as an event report.
Utility (Company) Code (columns 3-5) - Required

Table III-2: Record Layout of Section A – Event Identification
All Records
Column ID Number of Columns Starting Position
A – Event Identification
Record Code (required) 2 1
Utility (Company) Code (required) 3 3
Unit Code (required) 3 6
Year (required) 4 9
Event Number (required) 4 13
Report Revision Code (voluntary) 1 17
Event Type (required) 2 18

III-2
Enter the three-character (alpha-numeric) code NERC assigned to your operating company. Appendix C contains
a complete list of the operating companies participating in GADS and their assigned (operating company) codes.
Unit Code (columns 6-8) - Required

Enter the three-digit code your operating company assigned to the unit that you are reporting. This code
distinguishes one unit from another in your operating company. Appendix C, Page C-1, contains a guide for
selecting unit codes.
Year (columns 9-12) - Required

Enter the four-digit year in which the event occurred. Please note that this is not necessarily the year you reported
the event to GADS, demonstrated in the following example:
An event occurred on December 2, 2012 and was reported to GADS on January 31, 2013. Complete columns
9-12 as 2012. (Refer to Page III-21 for instructions on reporting events that begin in one year and continue
into the next.)
Event Number (columns 13-16) - Required

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.
You do not have to assign event numbers sequentially, although it is preferred. If you find you have omitted one
after gathering all the events to submit for a quarter, 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. Assign an event that continues from one year into the next with a new event number in the new year.
Refer to Page III-21 for further instructions.
Report Revision Code (column 17) - Voluntary

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).

III-3
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.
Event Type (columns 18-19) - Required

There are two “Unit States” defined by IEEE 762: Inactive and Active. Inactive States are shown on Page III-5-6;
Active States on Pages III-6-9 and Pages III-12-13. Enter the two-character code which best describes the event
(inactive, outage, derates, reserve shutdown, or Non-curtailing) experienced by the unit. For outages and
deratings, the event type codes also define the urgency (or can be postponed) of the event.

III-4
Figure III-1: Unit States Diagram
Inactive States
The two most general unit states are shown at the top of figure III-1: 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 moment’s 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)
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 because the unit had been idle for a period of time and some equipment,
systems or parts may have deteriorated and should be replaced or repaired prior to the units return to
service. The unit may have also experienced a series of mechanical problems, prior to the MB event, for
which management may wish to wait for a period of time to determine if the unit should be returned to
service or retired. Granted IEEE 762 states that the unit must be capable of operation prior to being placed
in the deactivated state; however, in actual practice management may want to delay a decision to fix the

III-5
generator and ‘suspend’ it in a deactivated state until a decision to repair or retire is rendered. If this
option is chosen the unit must enter the MB event no earlier than 60 days after the preceding outage
event (In other words the unit must incur a forced outage of a minimum 60 days prior to the start of an
MB event if the unit is inoperable). If the choice is to retire the generator after a decision is made, then
the generator can be immediately retired coincident with the end of the MB event; If the decision is to
repair, all repairs to make the unit operable must be completed under an outage of same type that
preceded the MB event (in other words, if the generator entered the MB event on the heels of a forced
outage, it must return to a forced outage for repairs to make the generator operable). If repairs are being
made on the unit in order to restore it to operating status once the MB event has started, the MB event
must end prior to the commencement of those repairs and the appropriate outage type started until those
repairs have been completed and the outage ended. Also, if there are long lead-time item(s) that are
ordered (such as a GSU, a generator rotor or the like) the MB event should end when the initial order has
been placed, since a decision at that time has been rendered to repair the generating unit. Again, once a
decision is rendered to repair the unit, whether or not orders are placed and/or work is started, the
mothball event must end and the appropriate outage type started. Repair work cannot be conducted on
a unit in the mothball state.. 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.
Active States
The lower part of figure 1 more precisely describes 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 operating companies 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-11.
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 the first outage ends will be the
same as when the second 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.

III-6
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, can last 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. For a planned outage, all of the specific individual
maintenance and operational tasks to be performed are determined in advance and are referred to as
the "original scope of work." The general task of repairing turbines, boilers, pumps, etc. is not
considered a work scope because it does not define the individual tasks to be performed. For example,
if a general task such as repair boiler is considered the work scope, it is impossible to conclude that any
boiler work falls outside of the original scope of work. Discovery work and re-work which render the
unit out of service beyond the estimated PO end date are not considered part of the original scope of
work. A planned extension may be used only in instances where the original scope of work requires
more time to complete than the estimated time. For example, if an inspection that is in the original
scope of work for the planned outage takes longer than scheduled, the extra time should be coded as an
extension (PE). However, if damage found during the inspection results in an extension of the outage,
the extra time required to make repairs should be coded as a forced outage.
MO – Maintenance Outage
An outage that can be deferred beyond the end of the next weekend (defined as Sunday at 2400 hours
or as Sunday turns into Monday), 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. Discovery work and re-work which render the unit out of service
beyond the estimated MO end date are not considered part of the original scope of work. A
maintenance extension may be used only in instances where the original scope of work requires more
time to complete than the estimated time. For example, if an inspection that is in the original scope of
work for the outage takes longer than scheduled, the extra time should be coded as an extension
(ME). If the damage found during the inspection is of a nature that the unit could be put back on-line
and be operational past the end of the upcoming weekend, the work could be considered MO. If the
inspection reveals damage that prevents the unit from operating past the upcoming weekend, the
extended work time should be Forced Outage (U1).
Note: If an outage occurs before Friday at 2400 hours (or before Friday turns into Saturday), the above
definition applies. But if the outage occurs after Friday at 2400 hours and before Sunday at 2400 hours
(the 48 hours of Saturday and Sunday), the MO will only apply if the outage can be delayed past the next,
not current, weekend. If the outage cannot be deferred, the outage shall be a forced event.
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.

III-7
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 an 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 no 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 is not counted as PO or MO work until
the U1 repairs are complete.
All work during PO and MO events is 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 a dispatch-orientated database but rather an equipment-orientated one. The reporting of the PE and
ME is based on IEEE 762-GADS 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 instances where unexpected problems or conditions are 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 and volunteers to return
to service (i.e., the unit is released to dispatch), then any problems causing outages or deratings after that date
are not considered to be part of the PO or MO.
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.
SF – Startup Failure
This is 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 company. 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 a problem

III-8
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

This is 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 system 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. In order to maintain the historical
meanings of the existing component trip codes 82 and 83, GADS created the two 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
when the unit is manually tripped, or when the unit operator assisted to lower loadings and then
the unit 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 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 (T1 or T2) 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 if the operating company chooses
to report it. In other words, the amplification code under such conditions is voluntary.
Starting January 1, 2011, the need to report T1, T2 or 84 amplification codes became mandatory to
pass GADS edits. For a complete list of the amplification codes see Appendix J of the GADS Data
Reporting Instructions.
U2 – Unplanned (Forced) Outage — Delayed

This is an outage that does not require immediate removal of a unit from the in-service state, instead
requiring removal within six hours. This type of outage can only occur while the unit is in service.
U3 – Unplanned (Forced) Outage — Postponed

This is 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 (Sunday at 2400 or before Sunday turns into
Monday). This type of outage can only occur while the unit is in service.

III-9
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 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 of the 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.
Jumbo #1, a gas turbine, began to vibrate on Friday. At first, the vibrations were not severe, but over the following
4 hours, the mils of vibration increased to where the unit needed to be removed from service. 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 the vibration problem. Therefore, the outage is a forced outage and is enforced until the vibration
problem is solved.
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 was not needed
the remainder of the week. Management decided to repair the unit on standard work time with no overtime or
weekend pay. Working standard 8-hour days, crews completed the repairs in 12 hours over a two-and-a-half-day
period (44 hours).
Although the unit was not needed, the unit was not available due to management decision for the full 44 hours
and so the forced outage is reported from the time the unit came off-line until the unit was available for operation
(44 hours later). No part of the 44 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 than expected. More parts were ordered to complete the repairs. However, unexpected longer repairs
to the ESP delayed the return to service for 3 additional days.

III-10
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 justification for the planned outage extension.
Scenario #6: Extending a Planned Outage when work is not part of original scope of work.
Part way through the planned outage of Riverglenn #1, the mechanics checked the packing on the boiler startup
feed pump and decided it best to replace it. It was not part of the original scope of work but was determined
important to prevent a future unit outage. As a result of the repairs and no packing on site, the PO was delayed
from returning to service on time for 12 hours.
All hours of the outage except the last 12 hours are PO. 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 its scheduled startup due to the fan repairs, there was not penalty to the unit
because of the “surprise” repairs. The company reported the ID Fan repair as part of the “work completed during
the outage” section to GADS.
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, 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.

III-11
Outside Management Control Outages

There are outages from outside sources that can result in restricted generating capabilities or full outages in
generating units. These 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 the GADS
Data Reporting Instructions. Appendix K also sets special limits to the Outside Management Control (OMC) uses
of the cause codes.
REPORT ALL OMC events to GADS, and 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.
Special Comment Regarding the Reporting Pumped Storage Units to GADS

GADS collects data on all conventional 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.
When reporting pumped storage units to GADS, know that NERC is more interested in the generating aspect of
pumped storage units than the non-generating mode. Therefore, if the unit is prevented from 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) don’t report the problem to GADS. NERC
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.
2. Deratings
A derating exists whenever a unit is limited to a power level that is less than the unit’s 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 unit’s Net Maximum Capacity (NMC) and less than 30 minutes in duration, then
report the derating at your discretion (optional). Otherwise, all other deratings shall be reported to GADS. For
example, a derate that is 10% of the NMC but last 10 minutes should be reported to GADS, and 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-14).

III-12
PD – Planned Derating
This is 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 PD’s. Report
deratings of these types as Maintenance Deratings (D4).
D4 – Maintenance Derating
This is a derating that can be deferred beyond the end of the next weekend (Sunday at 2400 or before
Sunday turns into Monday) 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 a derate occurs before Friday at 2400 hours (or before Friday turns into Saturday), the above
definition applies. But if the derating occurs after Friday at 2400 hours and before Sunday at 2400 hours
(the 48 hours of Saturday and Sunday), the D4 will only apply if the derating can be delayed passed the
next, not current, weekend. If the derating cannot be deferred, the derating shall be a forced derating
event.
DP – Planned Derating Extension

GADS defines a planned derating extension as an extension of a planned derate 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
Use a DP only in instances where the scope of work requires more time to complete than originally
scheduled. Do not use a DP in instances when unexpected problems or delays outside the scope of work
are encountered that 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.
DM – Maintenance Derating Extension

If a maintenance derating (D4) continues beyond its estimated completion date, then it is considered a
maintenance derate extension (DM). 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
Use a DM only in instances where the 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.
D1 –Unplanned (Forced) Derating — Immediate

This is a derating that requires an immediate reduction in capacity.
D2 – Unplanned (Forced) Derating — Delayed

This is a derating that does not require an immediate reduction in capacity, but rather within six hours.
D3 – Unplanned (Forced) Derating — Postponed

This is a derating that can be postponed beyond six hours but requires a reduction in capacity before the
end of the next weekend.

III-13
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 between these two values reflect losses
due to ambient conditions only (see Page IV-4). To determine ambient losses in megawatt hours (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. That information is not relevant to unit availability and are therefore 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 non-curtailing
event (NC). See Page III-18 for details.
Figure III-2 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 doesn’t 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 shut down safely,
without damaging equipment or posing a safety hazard to personnel. Some shutdowns are quick as a unit trip;
others are slower such as coast down to unit planned outages. In either case, the unit is not derated.
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.

III-14
Figure III-2: 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 non-curtailing in nature; meaning they do not affect the available capacity of the unit.
Report these situations using one of the two options shown below:
Report deratings of this type as derating events. If you choose this option, you must estimate the
available capacity resulting from the derating (see below) 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.

III-15
b) Report deratings that are masked (shadowed) due to operation in a load-following mode as
individual events. You must estimate the available capacity (see below and Page III-17) 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 and time
then event number. This means that when start dates are identical, the GADS will process the
derating with the lower event number first.
2. Report one derating, but show 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 unit’s average available capacity during the entire restricted period and report 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 unit’s available capacity involves first calculating the megawatt
hours (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-20).
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 megawatt hours (MWh) lost at each derating level are calculated and summed:

III-16
(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 unit’s 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. It is important to note 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,
the average megawatts lost over the 10-day period in the example 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-22 for details)
3. Reserve Shutdown - RS
This is an event where 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. Do not report 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 any time, 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 criteria above remain the same whether or not the system needed the unit.
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 changes 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

III-17
performed, a derating exists. The RS event does not end, but report the derating as well. Estimate the available
capacity as a result of the derating.
4. Non-curtailing Event - NC
This is an event that occurs whenever equipment or a major component is removed from service for
maintenance, testing, or other purposes that do 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 what is required by system dispatch, and
b) Maintenance work can be stopped or completed and the unit can reach its net dependable
capacity (NDC) level within its normal ramp-up time if and when the system needs the unit.
If the conditions cannot be met, report an outage or derating event rather than an NC.
B. Event Magnitude
GADS uses the information in this section 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.
Table III-3: Record Layout of Section B – Event Magnitude

All Records
B – Event Magnitude
Start of Event (required) 8 20
(Blank Columns) 20 28
End of Event (required) 8 48
Gross Available Capacity (voluntary) 4 + 2 decimals 56
Net Available Capacity (required) 4 + 2 decimals 62
Dominant Derating Code (voluntary

1 69
but highly recommended)
Record Number (required) 2 81
Start of Event (Record 01, columns 20-27) - Required

Enter the time (month/day/hour/minute) the event began:

III-18
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.
Non-curtailing 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. Record midnight as 2400 and the beginning of a new day 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

III-19
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 it details permissible event type changes, see example 9 in Appendix G.
TO
FROM U1 U2 U3 SF MO PO ME PE RS DM DP
U1 – Immediate Yes No No Yes Yes Yes No No Yes
U2 – Delayed Yes No No Yes Yes Yes No No Yes
U3 – Postponed Yes No No Yes Yes Yes No No Yes
SF - Startup Failure Yes No No Yes Yes Yes No No Yes
MO – Maintenance Yes No No Yes Yes Yes Yes No Yes
PO – Planned Yes No No Yes No Yes No Yes Yes
ME – Maintenance Extension Yes No No Yes No No No No Yes
PE – Planned Extension Yes No No Yes No No No No Yes
RS – Reserve Shutdown Yes No No Yes Yes Yes No No Yes
D1 – Immediate No No
D2 – Delayed No No
D3 – Postponed No No
D4 – Maintenance IEEE Standard 762 does not recognize Yes No
PD – Planned transition to/of deratings from/to No Yes
DM – Maintenance Derating other event types except as shown.
No No
Extension
DP – Planned Derating
No No
Extension
Figure III-3: Allowable Event Type Changes
“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 was
untestable and unenforceable. 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.
End of Event (Record 01, columns 48-55) - Required

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.
Non-curtailing 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 and leave the end date blank. When the event does end, submit
the end date as a revision, following the instructions on Pages III-3. 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 year’s report;
• include all the system/component cause codes used in the previous year, except for those components
that were repaired within the previous year;
Gross Available Capacity (GAC) as a Result of the Event

(Record 01, columns 56-61) – Voluntary; and
Net Available Capacity (NAC) as a Result of the Event

(Record 01, columns 62-67) – Required
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 required. If
you voluntarily 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-14 to III-17, for more information concerning the reporting of
deratings.
Dominant Derating Code (Record 01, column 69) – Voluntary but strongly recommended.
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

III-21
performance statistics will not be affected. Cause code statistics will be more accurate by recording the true
frequency and impact of the dominate derate.
Use the Dominant Derating Code in the unused column 69 of record 01. Identify a dominant derate with a “D”.
See Appendix G, Example 3D for an example of dominant derates.
One example of how two derates should be reported to GADS – one without the Dominant Derating Code and
one with the Dominant Derating Code – is shown in Figure III-4.
Capacity (MW)
700
Event #1 Event #3 D4-CC 3112
600
Event #2
500
D1-CC 3410
400
“Without” Dominant Derating Code
300
3 events to cover 2 incidents
Capacity (MW)
700
Event #1 Event#2
Event #2 D4–CC 3112
600
500
D1-CC 3410
400
“With” Dominant Derating Code
300
2 events to cover 2 incidents
Figure III-4: Example of Dominant Derating Code Reporting
C. Primary Cause of Event; and

D. Additional Cause of Event or Components Worked during Event
The GADS Data Reporting Instructions describes the data elements reported in Sections C and D together because
they are the same.
Use section C to detail the system, major component, or piece of equipment primarily responsible for causing
the event. You can find section C on records 02 and 03 of the event report (refer to Table III-4 on Page III-23).
You must complete one section C for every event submitted to GADS with the exception of reserve shutdown

III-22
events. Because the only “cause” of a reserve shutdown is economic, reporting section C is optional. Only one
section C may be reported for each event.
Use section D to report factors contributing to the cause of the event that 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 begins with records 04 and 05 of the event report (refer to
Table III-5 on Page III-24).
Since you can use section D for several different reasons, multiple section D cards are allowed. Use only one
section D 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. Use the even-
numbered record, which contains information like man-hours worked, to begin the description of the causes or
contributing factors of the event. 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 odd-numbered card.
Table III-4: Record Layout of Section C – Primary Cause of Event (Records 02 and 03)
Record 02
Utility (company) Code (required) 3 3
Year (required) 4 9
C – Primary Cause of Event
4 20
(required)
Cause Code Amplification Code –
(required for U1 events coming from in
service 2 24
only; strongly recommended for all
other events.)
Time Work Started (voluntary) 8 26
Time Work Ended (voluntary) 8 34
Event Contribution Code (voluntary) 1 44

III-23
Problem Alert (voluntary) 1 45

Man-hours Worked (voluntary) 4 46
Verbal Description (voluntary but
31 50
strongly recommended.)
Table III-5: Record Layout of Section D – Additional Work During Event (Records 4+
and 5+)
Records 04+ (Even Numbered)
Year (required) 4 9
D – Additional Work During Event
4 20
(required)
Cause Code Amplification Code
(Required for U1 events coming from
2 24
in service only; strongly
recommended for all other events.)
Verbal Description (voluntary but
31 50
Records 05+ (Odd Numbered)
Year (required) 4 9

III-24

D – Additional Work During Event
System/Component Cause Code 4 20
(required)
Verbal Description (Voluntary but 55 26
Table III-6 – Allowable Cause Codes
Cycle/Co-Gen
Geothermal
Gas Turbine
Combine
Fluidized
Pumped
Nuclear
Storage
Hydro/
Diesel
Fossil
Bed
0010-0129 0010-0129 2010-2090 3600-3690 3600-3689 3600-3690 0358-0480 0500-0620

0200-0480 0130-0156 2110-2160 3700-3730 3700-3730 3700-3730 0540-0570 3110-3199
0500-0920 0160-0174 2170-2799 4500-4899 3810-3899 3810-3899 0670-0859 3210-3299
1000-1090 0200-0480 2805-2890 5700-5880 3950-3999 3950-3999 1300-1599 3300-3399
1100-1210 0500-0920 2900-2999 5890-5999 4500-4899 4500-4899 1700-1820 3600-3690
1300-1360 0930-1090 3110-3199 9000-9040 7000-7299 5000-5039 1850 & 3700-3730
1400-1599 1100-1200 3210-3299 9130-9160 9000-9040 5040-5190 1900-1910 3810-3899
1700-1820 1300-1360 3300-3399 9180-9199 9135-9160 5200-5299 1980-1999 3950-3999
1850 1400-1599 3401-3499 9220-9291 9180-9199 7800-7960 3110-3199 4200-4250
1900-1910 1700-1820 3501-3509 9300-9340 9300-9340 8656 3210-3285 4260-4314
1980-1999 1850 3520-3529 9504-9590 9504-9590 8700-8790 3290-3295 4400-4580
3110-3199 1900-1910 3600-3690 9605-9655 9676-9696 8800-8835 3299 & 4600-4650
3210-3299 1980-1999 3700-3730 9665-9695 9700-9720 8840-8845 3300-3399 4700-4750
3300-3399 3110-3199 3800-3899 9700-9720 9900-9999 9000-9040 3401-3499 4800-4899
3401-3499 3210-3299 3950-3999 9900-9999 9130-9160 3501-3509 6410-6499
3501-3509 3300-3399 4000-4899 9180-9291 3520-3549 8000-8499
3520-3549 3401-3499 9000-9040 9300-9340 3600-3690 8700-8790
3600-3690 3501-3509 9110-9160 9504-9590 3700-3730 9000-9040
3700-3730 3520-3549 9180-9199 9603-9653 3800-3899 9130-9160
3800-3899 3600-3690 9300-9340 9663-9693 3950-3999 9180-9199
3950-3999 3700-3730 9500-9590 9700-9720 4000-4899 9300-9340
4000-4899 3800-3899 9660-9690 9900-9999 5000-5299 9504-9590
8000-8590 3950-3999 9700-9720 5400-5699 9700-9720
8600-8790 4000-4899 9900-9999 6000 & 9900-9999
8800-8845 8000-8590 6005-6090
9000-9040 8600-8790 6100 &
9130-9160 8800-8845 6110-6183
9180-9291 9000-9040 6299 & 6399
Miscellaneous
9300-9340 9130-9160 7800-7960

9504-9590 9180-9291 8700-8790
Jet Engine
9600-9656 9300-9340 8800-8835

9660-9690 9504-9590 8840-8845
9700-9720 9600-9656 9000-9040

III-25
9900-9999 9660-9690 3600-3690 9130-9160 0000-1999

9700-9720 3700-3730 9180-9199 3110-3999
9900-9999 3810-3899 9200-9291 4000-4899
3950-3999 9300-9340 5000-5299
4500-4899 9504-9590 5400-5699
5400-5439 9600-9658 7800-7960
5440-5590 9660-9694 8000-9999
5600-5699
9700-9720
7800-7960
9900-9999
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
System/Component Cause Code (Record 02, columns 20-23) – Required

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-6 on Page III-25, identifies the allowable range of
system/component cause codes for each type of unit.
Cause Code Amplification Code (Record 02, columns 24-25) - Required for Unplanned (Forced)
Outages – Immediate (U1) events coming from in service to U1 only. No other amplification codes are
required for U1 or any other event type. It is strongly recommended for all other events but on a
voluntary basis only.
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 amplification code is just two characters. Some existing
cause codes already contain these amplification codes as part of their description. The 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 analysts to further explore the common causes of outages.
You can find a list of the cause code amplification codes in appendix J.
Time: Work Started (Record 02, columns 26-33) - Voluntary

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 factor time spent during preparatory
work before the system or component was physically taken out of service. You may leave this field
blank, but if you do not provide this information, GADS assumes that the work started when the event
began.

III-26
Time: Work Ended (Record 02, columns 34-41) - Voluntary

Enter the date (month/day/hour/minute) the system or component became available for service. You
can leave this field blank, but if you do not provide this information, GADS assumes that the work ended
when the event ended.
Event Contribution Code (Record 02, column 44) - Voluntary

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:
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.
2 – 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.
3 – 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.
5 – 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.
Problem Alert (Record 02, column 45) - Voluntary

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) - Voluntary

Enter the number of man-hours spent correcting the cause of the event or making repairs. Include 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) - Voluntary but strongly recommended.
GADS provides this space to allow you to give a more detailed explanation of the event and the cause(s) you
identified by system/component cause code(s). You can also use it to report the expanded data format as
described, beginning on Page III-29. 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)

III-27
corrective actions. You have limited space available for your description, so NERC suggests using common
abbreviations as much as possible. Following the guidelines below will help you to develop a complete and
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, but these lists are by no means comprehensive. You may use these words as well as any
others you feel are appropriate.
Types of Failure Typical Failure Modes

Erosion Leak
Corrosion Crack
Electrical Breach
Electronic Physical Distortion
Mechanical Physical Displacement
Hydraulic Collapse
Instruments Fracture/Break
Operational Not Start/Move
Not Stop
Not Close
Not Open
Not Hold
Not 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. However, it
is advantageous to describe other observed factors which contributed to the failure such as non-operational or
physical factors (e.g., engineering, design, human error, etc.). You may find the key words listed below useful in
describing immediate and contributing factors, but this list is by no means comprehensive. You may use these
words as well as any others you feel are appropriate.
Typical Contributing Factors

Foreign/Wrong Part Instrument/Switch Miscalibration
Foreign/Incorrect Material Insulation Breakdown
Particulate Contamination Short/Grounded
Normal Wear Open Circuit
Abnormal Wear Contacts Burned/Pitted/Corroded
Lubrication Problem Connection Defective
Weld Related Circuit Defective
Abnormal Load Burned/Burned Out
Abnormal Temperature Electrical Overload
Abnormal Pressure Material Defect
Abnormal Flow Excess Vibration
Set Point Drift Fire/Explosion
Improper Previous Repair Natural Catastrophe
Incorrect Procedure/Instruction Cyclic Fatigue

III-28
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, note them as well. You may find the key words listed below useful to describe
corrective actions, but this list is by no means comprehensive. You may use these words as well as any others
you feel are appropriate.
Typical Corrective Actions

Recalibrate Replace Part(s)
Adjust Repair Component(s)
Temporary Repair Replace Component(s)
Temporary Bypass Reseal
Redesign Repack
Modify Request License Revision
Repair Part(s)
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 would be “burned open” and the cause would be
“electrical overload.” Corrective action would be “replaced.” The verbal description would be completed as
follows: “RELAY COIL WIRE BURNED OPEN-ELECTRICAL OVERLOAD REPLACED WIRE”
Expanded Data Reporting

Some operating companies have expressed an interest in reporting more detailed operating and maintenance
data that will allow them to perform more detailed reliability analyses. Also, by including these new data
elements, they can eliminate duplicate reporting to other industry databases. To accommodate this request,
NERC has added several new data elements to GADS.
Reporting of this additional information is optional, although strongly encouraged. We believe the reporting of
this information will enhance the usefulness of our database and benefit the entire electric power industry. If
you choose to report this information to GADS, follow the instructions below (see Figure III-7 on Page III-30). If
you choose not to supply the additional data, report the verbal description as described on Page III-27.
Failure Mechanism Code* (Record 02, columns 50-53) - Voluntary

From the list provided in Appendix H, enter the code that best describes the manner in which the component
failed. Report the failure mechanism code in columns 50-53 on all even-numbered records containing a
system/component cause code.
Trip Mechanism (manual or automatic)* (Record 02 column 54) - Voluntary

Enter the code that describes how the unit was shut down. Use “A” for automatically (control system initiated),
or “M” for manually (operator initiated). Report the trip mechanism 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) - Voluntary
Enter the cumulative number of fired hours the unit experienced at the time the event began. This data is taken
directly from the fired-hours meter typically located on the unit’s control panel. This meter clocks cumulative
operating hours since unit start-up. Report the fired hours 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) - Voluntary
Enter the cumulative number of engine starts the unit experienced at the time the event began. This data is taken
directly from the engine starts counter, typically located on the unit’s control panel. This counter clocks cumulative

III-29
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.
Table III-7: Record Layout of Event Records Using Failure Codes
Record 02
Utility (Company)Code (required) 3 3
Year (required) 4 9
System/Component Cause Code (required) 4 20
Cause Code Amplification Code (Required for U1 2 24
events coming from in service only; strongly
recommended for all other events.
Failure Mechanism Code* (voluntary) 4 50
Trip Mechanism* (voluntary) 1 54
Cumulative Fired Hours at Time of Event* 6 55
(voluntary)
Cumulative Engine Starts at Time of Event* 5 61
(voluntary)
Verbal Description (Voluntary but strongly 15 66
recommended.)
Record 03
Repeat columns 1-19 from record numbers 01 and 02
System/Component Cause Code (required) 4 20
Verbal Description (Voluntary but strongly 55 26
recommended.)
*Gas turbine and jet engine units only.

III-30
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. NERC requires performance data for all unit types and sizes reported to the GADS program.
Reporting to the GADS program is now mandatory for all conventional units 20 MW and larger, starting January
1, 2013. Reporting the level of detail GADS Data Reporting Instructions requests enables you and other industry
analysts to perform detailed and useful analyses. Figure III-1 presents the classes of events generating companies
must report for different types and sizes of conventional, non-renewable generating units.
Performance Report (05 Format)

Report performance data to GADS in the Performance Report (05) format, as described in this section. Submit the
data to Open Assess Technology International, Inc. (OATI) using the webE-GADS data collection system within 45
days after the end of each quarter. You must submit performance data for a unit even if it 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.
NERC invites Generator Owners and Operators to report on units that have a nameplate capacity of 20MW or less
on a voluntary basis.
A description of each section and the data elements within it follows. Included are detailed instructions for
reporting each performance data element.
A. Unit Identification
There are six data elements, referred to as “fields,” in this section. See Table 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.
Table IV-1: Record Layout of Section A – Unit Identification

All Records
A – Unit Identification
Year (required) 4 9
Report Period (required) 2 13
Record Code (columns 1-2) - Required

This “05” code uniquely identifies these data as a Performance Report.
Utility (Company) Code (columns 3-5) - Required

Enter the three character (alphanumeric) code NERC assigned to your operating company. Appendix C contains a
complete list of the operating companies participating in GADS and their assigned utility (operating company)
codes.
Unit Code (columns 6-8) - Required

Enter the three-digit code your operating company 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) - Required

Enter the year (YYYY) for which data are being summarized.
Report Period (columns 13-14) - Required

Enter the month of the year for which data are being summarized:
Table IV-2: Monthly Summaries

01 - January 05 - May 09 - September
02 - February 06 - June 10 - October
03 - March 07 - July 11 - November
04 - April 08 - August 12 - December
Report Revision Code (column 15) - Voluntary

This one-character data field signals that you wish to make a change to a performance report already submitted
to GADS. Changes can be corrections, additions, or deletions of existing reports.

Page IV-2
The first time you submit a performance report to GADS it is called an “original.” Give all original reports 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. You can make
up to nine corrections and additions to an original report.
When making corrections or additions to an original report, you need to send GADS all
records relating to the performance report you intend to change. On the record:
1. Complete columns 1-14, repeating the information from the original report;
2. Increase the revision code in column 15 by one;
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 updated 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 also 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.
B. Unit Generation Performance

GADS uses the data you provide in this section to calculate performance statistics. GADS requests both gross and
net values but only requires certain net values. Reporting gross data, net data, or both depends on how the unit
is electrically metered. Some units are metered on a single basis (gross or net). Enter your unit’s 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. Complete the
elements in section B as detailed below. The value you report, whether it be gross or net, must be consistent with
the available capacity as a result of deratings reported on the event reports (07).

Page IV-3
Table IV-3: Record Layout of Section B – Unit Generation Performance

Record 01
B – Unit Generation Performance
Gross Maximum Capacity 4 + 2 decimals 16

(voluntary)
Gross Dependable Capacity 4 + 2 decimals 22

(voluntary)
Gross Actual Generation 7 + 2 decimals 28

(voluntary)
Net Maximum Capacity (required) 4 + 2 decimals 37
Net Dependable Capacity 4 + 2 decimals 43

(required)
Net Actual Generation (required) 7 + 2 decimals 49
Gross Maximum Capacity (GMC) (Record 01, columns 16-21) - Voluntary

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, a 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
operating companies in those Regions follow. If your operating company 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 tests or permanent unit modifications.
Never change the GMC 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 unit’s design on
a new design data form and submit it to NERC-GADS for updating.
Gross Dependable Capacity (GDC) (Record 01, columns 22-27) - Voluntary

Enter the gross power level that the unit can sustain during a given period if there are no equipment, operating,
or regulatory restrictions. Therefore by definition, 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).
Gross Actual Generation (GAG) (Record 01, columns 28-36) - Voluntary

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), you must also report GMC or
GDC. Similarly, if you report both service hours and a gross capacity value, you must also report gross actual
generation. This provides consistency when calculating performance statistics.
Net Maximum Capacity (NMC) (Record 01, columns 37-42) - Required

NMC is the unit’s GMC minus any capacity (MW) utilized for that unit’s station service or auxiliary load.

Page IV-4
Net Dependable Capacity (NDC) (Record 01, columns 43-48) - Required

NDC is the unit’s GDC minus any capacity (MW) utilized for that unit’s station service or auxiliary loads.
Net Actual Generation (NAG) (Record 01, columns 49-57) - Required

NAG is the unit’s GAG less minus generation (MWh) utilized for that unit’s 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 you report net actual generation (negative integer or positive integer),
you must also report NMC or NDC. Similarly, if you report net capacity value, you must also report net actual
generation.
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: 5.0% difference between gross and net values
Gas Turbine/Jet Engine: 2.0% difference between gross and net values
Diesel: No difference between gross and net values
Hydro/Pumped Storage: 2.0% difference between gross and net values
Miscellaneous: 4.0% difference between gross and net values
For example, if you report a fossil unit’s 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 the 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, zero-fielded, or have an asterisk (*).
Special Note on Gas Turbines 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-1 below as an example. Therefore, base the GMC and NMC
capacities of these units 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 non-equipment restriction that lessens the capacity would be the GDC and NDC numbers. Report
the monthly average GMC, GDC, NMC and NDC to GADS.

Page IV-5
Figure IV-1: Effects of Ambient Temperature on Gas Turbines/Jet Engines
B. Unit Starting Characteristics

Use the data elements in this section 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 Table IV-4 below.
Table IV-4: Record Layout of Section C – Unit Starting Characteristics

Record 01
C – Unit Starting Characteristics
Typical Unit Loading Characteristics (voluntary) 1 58
Attempted Unit Starts (required) 3 59
Actual Unit Starts (required) 3 62
Verbal Description (voluntary) 25 99
Typical Unit Loading Characteristics (Record 01, column 58) - Voluntary

Enter the code from the list below that best describes how the unit was operated or loaded during the month
being reported. Generally, these are numbered from least starts to most starts.

Page IV-6
Table IV-5: Unit Loading Characteristics

Code Description
1 Base loaded with minor load following at night and on weekends
2 Periodic startups with daily load-following and reduced load nightly
3 Weekly startup with daily load-following and reduced load nightly
4 Daily startup with daily load-following and taken off-line nightly
5 Startup chiefly to meet daily peaks
6 Other (describe in verbal description)
7 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.
Attempted Unit Starts (Record 01, columns 59-61) – Required

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 generating, pumping, or synchronously condensing
mode. Please note that:
• Repeated failures for the same cause without attempted corrective actions are considered a single start.
• Repeated initiations of the starting sequence without accomplishing corrective repairs are counted as a
single attempt.
If you abandon startup attempts, 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) - Required

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) - Voluntary

If you enter Code 6 (Other) for the typical unit loading characteristics, as noted in column 58 in Figures IV-5,
describe how the unit actually was operated during the month.
Unlike the verbal description field on the event report (07), you must abbreviate your description to fit in columns
99-123. You may not use additional records.
D. Unit Time Information

The data reported in section D (see Table IV-6) summarize information reported on the event report (07). The
technique for summarizing event data is described on page IV-9. If reserve shutdown event data are not reported
for the special group of hydro and pumped storage units (see Table III-1, Page III-1), 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-7
Table IV-6: Record Layout of Section D – Unit Time Information

Record 02
Utility Code (required) 3 3
Year (required) 4 9
D – Unit Time Information
Unit Service Hours (required) 3 + 2 decimals 16
Reserve Shutdown Hours (required) 3 + 2 decimals 21
Pumping Hours (required) 3 + 2 decimals 26
Synchronous Condensing Hours (required) 3 + 2 decimals 31
Available Hours (required) 3 + 2 decimals 36
Planned Outage Hours (required) 3 + 2 decimals 41
Forced Outage Hours (required) 3 + 2 decimals 46
Maintenance Outage Hours (required) 3 + 2 decimals 51
Extensions of Scheduled Outages (required) 3 + 2 decimals 56
Unavailable Hours (required) 3 + 2 decimals 61
Period Hours (required) 3 + 2 decimals 66
Inactive Hours (required) 3 + 2 decimals 71
Unit Service Hours (Record 02, columns 16-20) - Required

Enter the number of hours the unit was synchronized to the system. For units equipped with multiple generators,
count only the 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) - Required

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-17.
Pumping Hours (Record 02, columns 26-30) - Required

Enter the number of hours the hydro turbine/generator operated as a pump/motor.
Synchronous Condensing Hours (Record 02, columns 31-35) - Required

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.

Page IV-8
Available Hours (Record 02, columns 36-40) - Required

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) - Required

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-12.
Unplanned (Forced) Outage Hours and Startup Failure Hours – Required

(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 below.
Maintenance Outage Hours (Record 02, columns 51-55) - Required

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 below.
When calculating statistics involving maintenance outage hours, note that IEEE Standard 762 considers these
hours 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) - Required

Enter the sum of all hours the unit was off-line due to extensions of scheduled (maintenance and planned) 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 below.
Unavailable Hours (Record 02, columns 61-65) - Required

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.
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.
2. 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.

Page IV-9
Period Hours (Record 02, columns 66-70) - Required

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 in table 7:
Table IV-7: Period Hours
Month* Hours
January 744
February 672*
March 719 or 744** for 2007 and beyond
April 719 or 720** before 2007
May 744
June 720
July 744
August 744
September 720
October 744 or 745** before 2007
November 719 or 720** for 2007 and beyond
December 744
Year 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) - Required

Enter the number of hours in the month being reported that the unit was in the inactive state. (See Page III-5 for
details of inactive states.)
E. Primary Fuel; and

F. Secondary Fuel
Sections E and F, shown in Table IV-8, 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.

Page IV-10
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.
Table IV-8: Record Layout of Section E – Primary Fuel; and F – Secondary Fuel
Records 03 and 04
Utility Code (required) 3 3
Year (required) 4 9
E – Primary Fuel
Fuel Code (required) 2 16
Quantity Burned (voluntary) 5 + 2 decimals 18
Average Heat Content (voluntary) 6 25
% Ash (voluntary) 2 + 1 decimal 31
% Moisture (voluntary) 2 + 1 decimal 34
% Sulfur (voluntary) 1 + 1 decimal 37
% Alkalines (voluntary) 2 + 1 decimal 39
Grindability Index / % Vanadium (voluntary) 2 + 1 decimal 42
Ash Softening Temperature (voluntary) 4 45
(Blank columns) 21 49
F – Secondary Fuel
Fuel Code (required) 2 70
Quantity Burned (voluntary) 5 + 2 decimals 72
Average Heat Content (voluntary) 6 79
% Ash (voluntary) 2 + 1 decimal 85
% Moisture (voluntary) 2 + 1 decimal 88
% Sulfur (voluntary) 1 + 1 decimal 91
% Alkalines (voluntary) 2 + 1 decimal 93
Grindability Index / % Vanadium (voluntary) 2 + 1 decimal 96
Ash Softening Temperature (voluntary) 4 99
(Blank columns) 21 103
Please Note: Performance record 04 for the tertiary and quaternary fuels is identical to performance record 03
Fuel Code (Records 03 & 04, columns 16-17 and 70-71) - Required
Enter the two-character code from the list below that identifies the fuels burned in the unit during the reporting
period.

Page IV-11
Table IV-9: Fuel Types and Codes
Code Description Code Description

BM Biomass PC Petroleum Coke
CC Coal PR Propane
LI Lignite SL Sludge Gas
PE Peat GE Geothermal
WD Wood NU Nuclear
OO Oil WM Wind
DI Distillate Oil (No. 2) SO Solar
KE Kerosene WH Waste Heat
JP JP4 or JP5 OS Other-Solid (Tons)
WA Water OL Other-Liquid (BBL)
GG Gas OG Other-Gas (Cu. Ft.)
Report in E. Primary Fuel the code for the fuel that made the greatest contribution to thermal generation during
the period. In F. Secondary Fuel, enter the code for the fuel that made the second greatest contribution to
generation. You can only report fuels used for ignition or warm-up in this section 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.
Quantity Burned (Record 03 & 04, columns 18-24 and 72-78) - Voluntary
Enter the quantity of fuel consumed during the reporting period. Note, NERC-GADS computer programs recognize
a decimal place indicator that appears in the performance report. 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 the unit burned 900 tons of coal 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.

Page IV-12
Average Heat Content (Records 03 & 04, columns 25-30 and 79-84) - Voluntary
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)* - Voluntary

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)* - Voluntary

Enter the average moisture content of the fuel to the nearest 0.1% (by weight). Obtain this factor from an ultimate
% Sulfur (Records 03 & 04, columns 37-38 and 91-92)* - Voluntary

Enter the average sulfur content of the fuel to the nearest 0.1% (by weight). Obtain this factor from an ultimate
% Alkalies (Records 03 & 04, columns 39-41 and 93-95)* - Voluntary

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.
Coal Units Only: Grindability Index (Records 03 & 04, columns 42-44 and 96-98)* - Voluntary
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)* - Voluntary
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 99-102)* - Voluntary
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-13
Section V – Design Data Reporting
In the approved recommendations by the NERC Board of Trustees, you must submit nine design data fields for all
units you report to the GADS database. This required design data must be reported to GADS before submitting
GADS event and performance data. These nine required design data fields are:
• GADS utility code (assigned by GADS Services)

• GADS unit code (assigned by the reporting company following the guidelines in appendix C of the
GADS Data Reporting Instructions.)
• NERC Regional entity where the unit is located
• Name of the unit
• Commercial operating date
• Type of generating unit (fossil, combined cycle, etc.)
• MW size (nameplate)
• State or province location of the unit
• Energy Information Administration (EIA) Plant number (US units only)
The required nine design items can be sent to Open Assess Technology International, Inc. (OATI) using the webE-
GADS data collection system.
For years, GADS has been collecting additional design information using the forms in appendices E of the GADS
Data Reporting Instructions. This data provides information regarding installed equipment design and operating
characteristics of a unit and are used in special analyses as sorting criteria. Submittal of the additional design data
is solely voluntary. If you wish to send GADS the additional design data, complete the design data forms which
apply to the type of unit you are reporting, as detailed in table V-1. The appropriate design data forms for each
unit type are found in appendix E.
Table V-1: Location of Design Data Forms for Voluntary Design Reporting
Unit Type Pages
Fossil (Steam) E-FS-1 – 37
Fluidized Bed Combustion E-FB-1 – 49
Nuclear E-NU-1 – 7
Diesel E-DI-1 – 4
Hydro/Pumped Storage E-HY-1 – 5
Gas Turbine or Jet Engine E-GT-1 – 6
Combined Cycle and Co-generation Blocks E-CC-1 – 25
Miscellaneous E-MS-1 – 5
In 2011, GADS introduced design data collection software to make the collection of voluntary design data easier.
The software, unit design entry, has all the information in appendix E with drop-down options and other features.
For more information on the software, go to the GADS website. Contact a GADS staff member for a list of your
own units to view the design data already in GADS.
When completing the voluntary 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

Page V-1
Section V – Design Data Reporting
“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 voluntary design data after it has been submitted to GADS, follow the procedure
described below:
1. Select the appropriate design data form from Appendix E.
2. Fill in the utility and unit identification data in the appropriate fields.
3. 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-2
Appendix A – Change in Unit Status Report Form

Complete the following Change in Unit Status Report Form whenever you purchase, deactivate or reactivate a
unit 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 Section III of the GADS Data Reporting Instructions. Please fill out the unit information in
the Unit Purchase/Retirement section, and also the Unit Deactivation information.
If a unit is purchased, continue to report that unit for the remainder of the calendar month using the
instructions shown on Section III of the GADS Data Reporting Instructions. Submit the completed Change in Unit
Status Report Form to gads@nerc.net. Please fill out both sections of the Unit Purchase/Retirement section,
including original company and new company information. If you do not know who the new company is, please
contact NERC or your Regional Coordinator.
If a unit changes owners at a company level, but keeps the same utility and unit information, keep reporting
under the same utility and unit codes. Please fill out the NCR number information for Original Company NCR
Number and New Company NCR Number.
If a unit was previously retired but has come back into service, fill out the reactivation part on page A-3.
Regional Coordinator information can be found at the NERC website.

http://www.nerc.com/pa/RAPA/gads/Pages/default.aspx

Page A-1
Change in Unit Status Report Form
Unit Purchase/Retirement Information:
Company NCR Number NCR

Original Utility Code
Original Unit Code (s)
Month Day Hour Year

Sold date:
New Company NCR Number NCR

New Utility Code (optional)
New Unit Code (s) (optional)
Page A-2 GADS Data Reporting Instructions January 2018

Unit Deactivation Information:

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

Month Day Hour Year
Reactivation date:
Reason(s) for reactivation:
What major equipment work, if any, was done while the unit was inactive?
(Submit new design data as needed)

Page A-3
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 (07). For ease
of use, it is divided into sections based on the type of generating unit, and 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. (Table III-6, Page III-25, 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. Then the plant data reporter will have
only the codes needed to report events, and may avoid some data reporting errors.
Additional cause codes for combined cycle and co-generation units are shown on Pages B-CC-1 to B-CC-31. There
is also a section for geothermal units on Pages B-GE-1 to B-GE-16.
Guide for Code Selection

The intent of this appendix is not to provide an exhaustive list of codes for all possible causes or all components,
but to provide the most common cause codes. Please add the details of events in the verbal description field to
help understand what issues are occurring at the plant. 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-29 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 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 the loss of 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.)
that 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
Appendix B – System/Component Cause Codes – Guide for Code Selection
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
INDEX TO SYSTEM/COMPONENT CAUSE CODES
(Unit Codes 100-199 and 600-649)
Cause Code
BOILER Ranges Page No.
Boiler Fuel Supply to Bunker 0010-0129 B-FS-5

Boiler Fuel Supply from Bunkers to Boiler 0200-0480 B-FS-6
Boiler Piping System 0500-0799 B-FS-7
Boiler Internals and Structures 0800-0859 B-FS-9
Slag and Ash Removal 0860-0920 B-FS-9
Boiler Tube Leaks 1000-1090 B-FS-9
Boiler Tube Fireside Slagging or Fouling 1100-1210 B-FS-10
Miscellaneous Boiler Tube Problems 1300-1360 B-FS-10
Boiler Air and Gas Systems 1400-1599 B-FS-10
Boiler Control Systems 1700-1799 B-FS-12
Boiler Overhaul and Inspections 1800-1820 B-FS-12
Boiler Water Condition 1850 B-FS-12
Boiler Design Limitations 1900-1910 B-FS-12
Miscellaneous (Boiler) 1980-1999 B-FS-12
BALANCE OF PLANT
Condensing System 3110-3199 B-FS-13

Circulating Water Systems 3210-3285 B-FS-14
Waste Water (zero discharge) 3290-3299 B-FS-14
Condensate System 3300-3399 B-FS-15
Feedwater System 3401-3499 B-FS-15
Heater Drain Systems 3501-3509 B-FS-16
Extraction Steam 3520-3549 B-FS-17
Electrical 3600-3690 B-FS-17
Power Station Switchyard 3700-3730 B-FS-18
Auxiliary Systems 3800-3899 B-FS-18
Miscellaneous (Balance of Plant) 3950-3999 B-FS-20
STEAM TURBINE
High Pressure Turbine 4000-4099 B-FS-21

Intermediate Pressure Turbine 4100-4199 B-FS-21
Low Pressure Turbine 4200-4250 B-FS-22
Valves 4260-4269 B-FS-21
Piping 4270-4279 B-FS-21
Lube Oil 4280-4289 B-FS-22
Controls 4290-4314 B-FS-23
Miscellaneous (Steam Turbine) 4400-4499 B-FS-23
Cause Code
GENERATOR Ranges Page No.
Generator 4500-4580 B-FS-24

Exciter 4600-4609 B-FS-24
Cooling System 4610-4650 B-FS-24
Controls 4700-4750 B-FS-24
Miscellaneous (Generator) 4800-4899 B-FS-25
Miscellaneous (Gas Turbine) 5298 B-FS-25
POLLUTION CONTROL EQUIPMENT
Wet Scrubbers 8000-8499 B-FS-25

Dry Scrubbers 8500-8549 B-FS-27
Precipitators 8550-8590 B-FS-28
Miscellaneous (Pollution Control Equipment) 8600-8699 B-FS-28
Continued Emissions Monitoring Systems (CEMS) 8700-8790 B-FS-29
NOx Reduction Systems 8800-8835 B-FS-29
CO Reduction 8840-8845 B-FS-29
EXTERNAL
Catastrophe 9000-9040 B-FS-30

Economic 0000, 9130-9160 B-FS-30
Economic (for internal use at plants only) 9180-9199 B-FS-30
Fuel Quality 9200-9291 B-FS-31
Miscellaneous (External) 9300-9340 B-FS-31
REGULATORY, SAFETY, ENVIRONMENTAL
Regulatory 9504-9590 B-FS-32

Stack Emission 9600-9656 B-FS-32
Other Operating Environmental Limitations 9660-9690 B-FS-32
Safety 9700-9720 B-FS-32
PERSONNEL OR PROCEDURE ERRORS 9900-9960 B-FS-32
INACTIVE STATE 0002, 9990-9991 B-FS-33
PERFORMANCE 9997-9999 B-FS-33

Page B-FS-4
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 Thaw shed failure or fire

0020 Coal car dumpers, shakers, and unloaders
0022 Unloading/receiving hopper (train/truck)
0024 Rotary plow
0026 Dust suppression system
0028 Dust collection system
0030 Coal conveyors and feeders
0035 Metal detector/collector (including magnetic separator)
0040 Coal elevators
0050 Coal storage fires
0060 Coal crushers including motors
0070 Coal samplers
0075 Storage silos/hoppers
0080 Stackers/reclaimers
0084 Coal conveyor scales storage coal pile
0085 Bunker feeder coal scales
0090 Bunker fires
0095 Bunker flow problems
0100 Bunker gates
0105 Bunker structures
0106 Coal drying system (see additional codes 0125-0127)
0107 Screen (prior to bunkers)
0110 Other coal fuel supply problems up through bunkers
0125 Coal crusher dryer hammers (see code 0106)
0126 Coal crusher lube oil system (see code 0106)
0127 Other coal crusher dryer problems (see code 0106)
0129 Other coal processing system problems

Page B-FS-5
Boiler Fuel Supply from Bunkers to Boiler
Pulverizers, Primary Air Fans, and Associated Ducts
0200 Pulverizer exhauster fan (for indirect firing)

0205 Pulverizer exhauster fan drive
0210 Pulverizer heater (for indirect firing)
0220 Pulverizer system cyclone separator
0230 Pulverizer bag filter
0240 Pulverized coal bin
0250 Pulverizer feeders
0253 Pulverizer feeder motor
0255 Pulverizer feeder coal scales
0256 Seal air system (air to pulverizers)
0257 Coal Cursher/dryer between feeder and pulverizer
0260 Primary air fan
0262 Primary air fan lube oil system
0263 Primary air fan drives
0264 Other primary air fan problems
0265 Primary air heater
0266 Primary air heater fouling
0267 Primary air flow instrumentation
0270 Primary air duct and dampers
0280 Pulverizer fires
0290 Pulverizer reduced capacity due to wear
0300 Pulverizer motors and drives
0310 Pulverizer mills
0312 Pulverizer mill classifiers
0313 Pulverizer mill trunnion seals
0314 Pulverizer mill ball charger hopper (ball mills only)
0315 Pulverizer mill coal level controls
0320 Foreign object in Pulverizers mill
0325 Pulverizer skidding
0330 Pulverizer coal leak (pulverizers only)
0331 Pulverizer system coal leaks (other than pulverizers)
0335 Pulverizer lube oil system
0338 Pulverizer control systems (temperature and pressure)
0339 Pulverizer System Puff
0340 Other pulverizer problems
0341 Pulverizer deluge system
0342 Pulverizer Inert system
0344 Pulverizer inspection
0345 Pulverizer overhaul
0346 Pulverizer pyrite removal system
0350 Pulverized fuel and air piping (from pulverizer to wind box)
(see code 0898 for pulverizer reject system problems)

Page B-FS-6
Burners
0358 Oil burner piping and valves

0359 Gas burner piping and valves
0360 Burners
0362 Burner tilts
0361 Burner orfices
0370 Burner instruments and controls (except light off)
0380 Light off (igniter) systems (including fuel supply)
0385 Igniters
0390 Burner wind boxes and dampers
0400 Burner wind box fires
0410 Other burner problems
Cyclone
0415 Cyclone feeders

0420 Cyclone crusher
0425 Cyclone dampers
0426 Cyclone air ducts
0430 Cyclone furnace
0435 Other cyclone problems
Oil and Gas Systems (except light off)
0440 Fuel oil pumps (general)

0441 Fuel oil pumps (burner supply)
0442 Fuel oil pumps (forwarding/transfer)
0443 Fuel oil (burner supply) pump drives
0444 Fuel oil (forwarding/transfer) pump drives
0450 Fuel oil heaters
0460 Fuel oil atomizers
0470 Oil and gas fires
0480 Other oil and gas fuel supply problems (see codes 0360 0410 for burner problems)
Boiler Piping System
Main Steam
0500 Main steam piping up to turbine stop valves

0510 Main steam relief/safety valves off superheater
0520 Other main steam valves (including vent and drain valves but not the turbine stop valves)
0530 Other main steam system problems

Page B-FS-7
Cold and Hot Reheat Steam
0540 Hot reheat steam piping up to turbine stop valves

0541 Cold reheat steam piping up to boiler
0550 Reheat steam relief/safety valves
0560 Other hot reheat steam valves (not including turbine stop or intercept valves)
0561 Other cold reheat steam valves (not including turbine stop or intercept valves)
0570 Other reheat steam problems
Desuperheaters/Attemperators
0580 Desuperheater/attemperator piping

0590 Desuperheater/attemperator valves
0600 Desuperheater/attemperator spray nozzles
0610 Desuperheater/attemperator drums
0620 Other desuperheater/attemperator problems
Startup Bypass
0630 Startup bypass system piping (including drain lines up to heaters or condenser)
0640 Startup bypass system valves
0650 Startup bypass tanks or flash tanks
0655 Steam by-pass system instrumentation and controls
0660 Other startup bypass system problems
Feedwater and Blowdown
0670 Feedwater piping downstream of feedwater regulating valve

0680 Feedwater valves (not feedwater regulating valve)
0690 Other feedwater problems downstream of feedwater regulating valve (use codes 3401 to 3499 for
remainder of feedwater system)
0700 Blowdown system valves
0710 Blowdown system piping
0720 Blowdown system controls /instrumentation
0730 Other blowdown system problems
Boiler Recirculation
0740 Boiler recirculation pumps

0741 Boiler recirculation pumps - motors
0742 Boiler recirculation pumps – motors – cooling system
0750 Boiler recirculation piping (including downcomers)
0760 Boiler recirculation valves
0770 Other boiler recirculation problems
Miscellaneous (Piping)
0775 Economizer piping

0780 Headers between tube bundles
0782 Headers and caps
0790 Pipe hangers, brackets, supports (general)
0799 Other miscellaneous piping system problems

Page B-FS-8
Boiler Internals and Structures
0800 Drums and drum internals (single drum)

0810 Boiler supports and structures (use code 1320 for tube supports)
0820 Casing
0830 Doors
0840 Refractory and insulation
0845 Windbox expansion joints
0847 Other expansion joints
0850 Other internal or structural problems
0855 Drum relief/safety valves (single drum)
0859 Tube external fins/membranes
Slag and Ash Removal
0860 Soot blowers - air (see code 3844 for air delivery system)
0870 Soot blowers - steam
0871 Soot blowers - sonic
0872 Soot blowers - water
0873 Soot blower drives
0876 Soot blower controls
0880 Fly ash Removal System (not precipitators, scrubbers, mechanical collectors, or baghouses)
0885 Fly ash Removal System – wet transport
0890 Bottom ash systems (wet or dry)
0891 Bottom ash hoppers (including gates)
0892 Bottom ash clinker grinders
0893 Bottom ash water pumps and motors
0894 Bottom ash piping and valves
0895 Ashpit trouble
0896 Bottom ash dewatering bin system, instruments and controls
0897 Bottom ash rotary (drag chain type) conveyor and motor
0898 Bottom ash pyrite hopper (pulverizer reject) system
0899 Bottom ash controls and instrumentation
0900 Slag-tap (cyclone furnace)
0910 Slag-tap (other than cyclone furnace)
0920 Other slag and ash removal problems
Boiler Tube Leaks

(use code 0859 for tube/membrane failures)
1000 Waterwall (Furnace wall)
1003 Steam generating tubes between steam drum and mud drum
1005 Generating tubes
1010 Cyclone furnace (in cyclone area only)
1020 Convection pass wall (water tubes only)
1030 Boiler screen, wing wall, or slag screen (water tubes only)
1035 Platen superheater
1040 First superheater
1050 Second superheater
1055 External superheater link tubing
1060 First reheater
1070 Second reheater
1075 External reheater link tubing
1080 Economizer
1090 Other boiler tube leaks

Page B-FS-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)
1103 Steam generating tubes between steam drum and mud drum
1105 Generating tubes
1120 Convection pass wall
1160 First reheater
1180 Economizer
1190 Other tube slagging or fouling
1200 Operation at reduced power to avoid slagging or fouling (use codes 1100 to 1190 to report power
reductions for slag accumulation or slag removal)
1210 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 Water side fouling
1305 Fireside cleaning (which requires a full outage) Use code 1200 for cleanings that cause deratings.
1310 Water side cleaning (acid cleaning)
1320 Tube supports/attachments
1330 Slag fall damage
1340 Tube modifications (including addition and removal of tubes)
1350 Other miscellaneous boiler tube problems
1360 Boiler drains system
Boiler Air and Gas Systems

(excluding burner pipes, wind boxes, primary air, or pulverizer exhausters)
Air Supply
1400 Forced draft fans

1401 Forced draft fan dampers
1407 Forced draft fan lubrication system
1410 Forced draft fan motors
1411 Forced draft fan motors - variable speed
1412 Forced draft fan drives (other than motor)
1413 Forced draft fan couplings
1415 Forced draft fan controls
1420 Other forced draft fan problems
1421 Secondary air fans/blowers
1422 Secondary air fan/blower motors - single speed
1423 Secondary air fan/blower motors - variable speed
1424 Secondary air fan/blower controls
1430 Air supply ducts from FD fan
1431 Air supply dampers from FD fan
1432 Air supply duct expansion joints
1440 Air supply dampers
1450 Other air supply problems

Page B-FS-10
Flue Gas
1455 Induced draft fans

1456 Induced draft fan dampers
1457 Induced draft fan lubrication systems
1460 Induced draft fan fouling
1470 Induced draft fan motors and drives
1471 Induced draft fan motors - variable speed
1472 Inducted draft fan coupling
1475 Induced draft fan controls
1476 Induced draft fan speed changer
1480 Other induced draft fan problems
1487 Air heater (tubular)
1488 Air heater (regenerative)
1489 Air heater (heat pipe, plate-type)
1492 Air heater fouling (tubular)
1493 Air heater fouling (regenerative)
1495 Other air heater fouling (heat pipe, plate-type)
1500 Air heater soot blowers
1510 Flue gas ducts (except recirculation)
1512 Flue gas expansion joints
1520 Flue gas dampers (except recirculation)
1530 Other flue gas problems
Flue Gas Recirculation
1535 Flue gas recirculating fan

1536 Flue gas recirculating fan dampers
1537 Flue gas recirculating fan lubrication systems
1540 Flue gas recirculation fan fouling
1550 Flue gas recirculation fan motors
1555 Flue gas recirculation fan controls
1560 Other flue gas recirculation fan problems
1570 Flue gas recirculation ducts
1572 Flue gas recirculation duct expansion joints
1580 Flue gas recirculation dampers
Miscellaneous (Boiler Air and Gas Systems)
1590 Stacks (use code 8430 for stack problems due to pollution control equipment)
1591 Stack damper and linkage
1592 Stack damper linkage motors
1599 Other miscellaneous boiler air and gas system problems

Page B-FS-11
Boiler Control Systems

(including instruments which input to the controls)
1700 Feedwater controls (report local controls --- feedwater pump, feedwater regulator valve, etc., ---
with component or system)
1710 Combustion/steam condition controls (report local controls --- burners, pulverizers, etc., --- with
component or system)
1720 Desuperheater/attemperator controls (not local controls)
1730 Boiler explosion or implosion
1740 Boiler gage glasses /level indicator
1741 Furnace and water gauge television auxiliary system
1750 Burner management system
1760 Feedwater instrumentation (not local controls)
1761 Combustion /Steam condition instrumentation (not local controls)
1762 Desuperheater/attemperator instrumentation (not local controls)
1799 Other boiler instrumentation and control problems
Boiler Overhaul and Inspections
1800 Major boiler overhaul (720 hours or more) (use for non-specific overhaul only; see page B-FS-2)
1801 Minor boiler overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-FS-2)
1810 Other boiler inspections
1811 Boiler Inspections – problem identification/investigation
1812 Boiler Inspections – scheduled or routine
1820 Chemical cleaning/steam blows
Boiler Water Condition
1850 Boiler water condition (not feedwater water quality)
Boiler Design Limitations
1900 Improper balance between tube sections not due to fouling or plugging
1910 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 Boiler safety valve test

1990 Boiler performance testing (use code 9999 for total unit performance testing)
1999 Boiler, miscellaneous

Page B-FS-12
BALANCE OF PLANT
Condensing System
Condenser Tubes and Support Equipment
3110 Condenser tube leaks

3111 Condenser tube fouling shell side
3112 Condenser tube fouling tube side
3113 Condenser tube and water box cleaning (including circulating water flow reversal)
3114 Air-cooled condenser tubes
3115 Air-cooled condenser pumps
3116 Air-cooled condenser fans
3117 Air-cooled condenser fan motors
3118 Other Air-cooled condenser problems
3119 Other condenser tube casing or shell and internal problems
Condenser Casing or Shell and Internals
3120 Tube sheets

3121 Expansion joint
3122 Gaskets and seals
3123 Hot well
3124 Tube sheet fouling
3129 Other condenser casing or shell and internal problems
Vacuum Equipment
3130 Air ejectors

3131 Air ejector piping and valves
3132 Inter and after condensers
3133 Vacuum pumps
3134 Vacuum pump piping and valves
3135 Vacuum pump motor and auxiliaries
3139 Other air extraction system problems - general
3149 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 Hot well level controls

3151 Vacuum pump and air ejector controls
3152 Air-cooled condenser controls
3159 Other condensing system controls and instruments
Miscellaneous (Condensing System)
3170 Condenser inspection (use code 3110 to report looking for tube leaks)
3171 Air-cooled condenser inspections
3180 Major condenser overhaul
3185 Water side cathodic protection
3186 Auxiliary condenser and associated equipment
3190 Air leakage (for losses not attributable to previously noted equipment related codes)
3199 Other miscellaneous condensing system problems

Page B-FS-13
Circulating Water Systems
3210 Circulating water pumps

3211 Circulating water pump motors
3220 Circulating water piping
3221 Circulating water piping fouling
3230 Circulating water valves
3231 Waterbox
3232 Condenser tube cleaning system including debris filter
3233 Circulating water priming system
3235 Cooling tower booster pump
3236 Cooling tower booster motor
3238 Cooling tower fan motors
3239 Cooling tower fan motors - variable speed
3240 Cooling tower fans
3241 Cooling tower efficiency below design
3242 Cooling tower fill damage
3243 Cooling tower icing
3244 Cooling tower fires
3245 Other cooling tower problems
3246 Cooling tower fouling
3247 Cooling tower instrumentation
3250 Circulating water system instruments and controls
3260 Traveling screens
3261 Traveling screen fouling
3269 Circulating water biological conditions (ie, zebra mussels)
3270 Intake system problems other than traveling screens
3271 Intake grating fouling
3272 Circulating water screenwash system
3273 Debris in circulating water from outside sources (leaves, mud, etc.)
3274 Ice blockages at intake structures including frazil ice, sheets, blocks of ice, etc.
3280 High circulating water temperature (not due to season, tower efficiency below design, or other
listed equipment problem)
3281 Circulating water tempering system
3282 Circulating water cooling ponds
3285 Circulating water chemistry
Waste Water (zero discharge) Systems
3290 Waste water (zero discharge) tanks, pumps and motors

3291 Waste water (zero discharge) system fouling
3292 Waste water (zero discharge) piping
3293 Waste water (zero discharge) valves
3294 Waste water (zero discharge) controls and instrumentation
3295 Other waste water (zero discharge) problems
3299 Other circulating water system problems

Page B-FS-14
Condensate System
Pumps, Piping, and Valves
3300 Condensate water pre-treatment

3310 Condensate/hotwell pumps
3311 Condensate/hotwell pump motor
3312 Condensate booster pump
3313 Condensate booster pump motor
3314 Condensate booster pump motor - variable speed
3315 Condensate booster pump drive (other than 3313 and 3314)
3320 Condensate piping
3330 Condensate valves
Low/Intermediate Pressure Heater and Deaerators
3339 LP heater head leaks

3340 LP heater tube leaks
3341 Other LP heater – general
3342 IP heater tube leaks
3343 Other IP heater – general
3344 Deaerator (including level control)
3345 IP heater head leaks
Polishers/Chemical Addition
3350 Condensate polishing and filtering systems

3351 Chemical addition systems
3352 Feedwater chemistry (not specific to condenser, polishers, or chemical addition)
Miscellaneous (Condensate System)
3360 Condensate makeup and return (including storage tanks)

3370 Condensate system controls and instrumentation (not hotwell level, heater level, or deaerator
level controls: see codes 3150-3159, 3344, 3502).
3380 Condensate coolers
3399 Other miscellaneous condensate system problems

Page B-FS-15
Feedwater System
(excluding extraction or drain systems)
3401 Startup feedwater pump

3402 Startup feedwater pump drives - all types
3407 Feedwater pump suction screens
3408 Feedwater pump drive – local controls
3409 Feedwater pump drive motor - variable speed
3410 Feedwater pump
3411 Feedwater pump drive - motor
3412 Feedwater pump drive - steam turbine
3413 Feedwater pump coupling and drive shaft
3414 Feedwater pump local controls
3415 Feedwater pump/drive lube oil system
3416 Other feedwater pump problems
3417 Feedwater pump drive - main shaft
3418 Feedwater pump drive - other
3419 Feedwater pump drive - gear
3420 Feedwater piping and supports
3430 Feedwater regulating (boiler level control) valve
3431 Other feedwater valves
3439 HP heater head leaks
3440 High pressure heater tube leaks
3441 Other high pressure heater problems (see condensate system for LP and IP heater codes)
3451 Feedwater booster pump suction screens
3452 Feedwater booster pump drive - local controls
3453 Feedwater booster pump drive motor - variable speed
3454 Feedwater booster pump
3455 Feedwater booster pump drive - motor
3456 Feedwater booster pump drive - steam turbine
3457 Feedwater booster pump coupling and drive shaft
3458 Feedwater booster pump local controls
3459 Feedwater booster pump/drive lube oil system
3460 Other feedwater booster pump problems
3461 Feedwater booster pump drive - main shaft
3462 Feedwater booster pump drive - other
3463 Feedwater booster pump drive - gear
3499 Other feedwater system problems
Heater Drain Systems
3501 Heater drain pumps

3502 Heater level control
3503 Heater drain piping
3504 Heater drain valves
3505 Heater drain pump drive
3509 Other heater drain system problems

Page B-FS-16
Extraction Steam
3520 HP Extraction steam piping

3521 HP Extraction steam valves
3522 HP Extraction steam instruments and controls
3529 Other HP extraction steam system problems
3530 IP Extraction steam piping
3531 IP Extraction steam valves
3532 IP Extraction steam instruments and controls
3539 Other IP extraction steam system problems
3540 LP Extraction steam piping
3541 LP Extraction steam valves
3542 LP Extraction steam instruments and controls
3549 Other LP extraction steam system problems
Electrical
3600 Switchyard transformers and associated cooling systems – external (OMC)

3601 Switchyard transformers and associated cooling systems – external (not OMC)
3610 Switchyard circuit breakers – external (not OMC)
3611 Switchyard circuit breakers – external (OMC)
3612 Switchyard system protection devices – external (OMC)
3613 Switchyard system protection devices – external (not OMC)
3618 Other switchyard equipment – external (not OMC)
3619 Other switchyard equipment – external (OMC)
3620 Main transformer
3621 Unit auxiliaries transformer
3622 Station service startup transformer
3623 Auxiliary generators
3624 Auxiliary generator voltage supply system
3629 Other switchyard or high voltage system problems - external
3630 400-700-volt transformers
3631 400-700-volt circuit breakers
3632 400-700-volt conductors and buses
3633 400-700-volt insulators
3634 400-700-volt protection devices
3639 Other 400-700-volt problems
3640 AC instrument power transformers
3641 AC Circuit breakers
3642 AC Conductors and buses
3643 AC Inverters
3644 AC Protection devices
3649 Other AC instrument power problems
3650 DC instrument power battery chargers
3651 DC circuit breakers
3652 DC conductors and buses
3653 DC protection devices
3659 Other DC power problems

Page B-FS-17
Electrical (continued)

3670 12-15kV transformers
3671 12-15kV circuit breakers
3672 12-15kV conductors and buses
3673 12-15kV insulators
3674 12-15kV protection devices
3679 Other 12-15kV problems
3680 Other voltage transformers
3681 Other voltage circuit breakers
3682 Other voltage conductors and buses
3683 Other voltage insulators
3684 Other voltage protection devices
3689 Other voltage problems
3690 Station Service Power Distribution System, General
Power Station Switchyard
3700 Power Station switchyard (non generating unit equipment)

3710 Transmission line (connected to powerhouse switchyard to 1st Substation)
3720 Transmission equipment at the 1st substation) (see code 9300 if applicable)
3730 Transmission equipment beyond the 1st substation (see code 9300 if applicable)
Auxiliary Systems
Open Cooling Water System
3800 Open cooling water pumps and motors

3801 Open cooling water piping
3802 Open cooling water valves
3803 Open cooling water heat exchangers
3804 Open cooling water system fouling
3805 Open cooling water system instrumentation
3806 Open cooling water strainer
3809 Other open cooling water problems
Service Water (Open System)
3810 Service water pumps and motors

3811 Service water piping
3812 Service water valves
3813 Service water heat exchangers
3814 Service water system fouling
3815 Service water strainer
3819 Other service water problems

Page B-FS-18
Closed Cooling Water Systems
3820 Closed cooling water pumps

3821 Closed cooling water piping
3822 Closed cooling water valves
3823 Closed cooling water heat exchangers
3824 Closed cooling water system fouling
3825 Closed cooling water instrumentation
3826 Closed cooling water strainer
3829 Other closed cooling water system problems
Auxiliary Steam
3830 Auxiliary boiler

3831 Auxiliary steam piping
3832 Auxiliary steam valves
3833 Auxiliary steam controls and instruments
3834 Auxiliary boiler tube leaks
3835 Auxiliary boiler burner management system
3836 Steam transfer to other unit
3839 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 Service air compressors

3841 Service air piping
3842 Service air valves
3843 Service air dryers
3844 Soot blowing air compressor and system
3849 Other service air problems
Instrument Air
3850 Instrument air compressors

3851 Instrument air piping
3852 Instrument air valves
3853 Instrument air dryers
3854 N2 backup to instrument air
3859 Other instrument air problems
Fire Protection System
3860 Fire protection system pumps

3861 Fire protection system piping
3862 Fire protection system valves
3863 Fire protection system fouling
3864 Fire protection system instruments and controls
3869 Other fire protection system problems

Page B-FS-19
Low-pressure Gas Compression System
3870 Fuel Gas Compressor and Motors

3871 Fuel Gas Compressor Piping
3872 Fuel Gas Compressor Valves
3873 Fuel Gas Compressor Heat Exchangers
3874 Fuel Gas Compressor Controls and Instrumentation
3875 Fuel Gas Compressor Filters
3876 Fuel Gas Compressor Fire System
3879 Fuel Gas Compressor – other
Seal Air Fans
3880 Seal air fan

3881 Seal air fan drive - motor
3882 Seal air control dampers and drives
3883 Seal air filters
3889 Other seal air problems
Miscellaneous (Auxiliary Systems)
3898 Miscellaneous plant auxiliary process and services instrumentation and controls
3899 Other miscellaneous auxiliary system problems
Miscellaneous (Balance of Plant)
3950 Process computer

3960 Thermal derating (thermal efficiency losses in balance of plant when specific cause(s) unknown)
3970 Distributive Control System (DCS) – process computer
3971 DCS – data highway
3972 DCS – hardware problems (including card failure)
3973 DCS – internal and termination wiring
3974 DCS – logic problems
3975 DCS – upgrades
3979 Other DCS problems
3980 Programmable Logic Controller (PLC)
3981 PLC – data highway
3982 PLC – hardware problems (including card failure)
3983 PLC – internal and termination wiring
3984 PLC – logic problems
3985 PLC – upgrades
3989 Other PLC problems
3995 Powerhouse heating and ventilating systems
3996 Air conditioning systems – rooms and areas
3998 Balance of plant overhaul/outage
3999 Other miscellaneous balance of plant problems

Page B-FS-20
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 Outer casing

4001 Inner casing
4009 Nozzle bolting
4010 Nozzles and nozzle blocks
4011 Diaphragms
4012 Buckets or blades
4013 Diaphragms unit and shroud type
4014 Bucket or blade fouling
4015 Wheels or spindles
4020 Shaft seals
4021 Dummy rings
4022 Gland rings
4030 Rotor shaft
4040 Bearings
4041 Thrust bearings
4099 Other high pressure turbine problems
Intermediate Pressure Turbine
4100 Outer casing

4101 Inner casing
4109 Nozzle bolting
4111 Diaphragms
4120 Shaft seals
4121 Dummy rings
4122 Gland rings
4130 Rotor shaft
4140 Bearings
4199 Other intermediate pressure turbine problems

Page B-FS-21
Low Pressure Turbine
4200 Outer casing

4201 Inner casing
4209 Nozzle bolting
4211 Diaphragms
4220 Shaft seals
4221 Dummy rings
4222 Gland rings
4230 Rotor shaft
4240 Bearings
4250 Other low pressure turbine problems
Valves
4260 Main stop valves

4261 Control valves
4262 Intercept valves
4263 Reheat stop valves
4264 Combined intercept valves
4265 Miscellaneous drain and vent valves
4266 Main stop valve testing
4267 Control valve testing
4268 Reheat/intercept valve testing
4269 Other turbine valves
Piping
4270 Crossover or under piping

4279 Miscellaneous turbine piping
Lube Oil
(do not include bearing failures due to lube oil)
4280 Lube oil pumps

4281 Lube oil coolers
4282 Lube oil conditioners
4283 Lube oil system valves and piping
4284 Lube oil pump drive
4289 Other lube oil system problems

Page B-FS-22
Controls
4290 Hydraulic system pumps

4291 Hydraulic system coolers
4292 Hydraulic system filters
4293 Hydraulic system pipes and valves
4299 Other hydraulic system problems
4300 Turbine supervisory system (use codes 4290 to 4299 for hydraulic oil)
4301 Turbine governing system
4302 Turbine trip devices (including instruments)
4303 Exhaust hood and spray controls
4304 Automatic turbine control systems - mechanical
4305 Automatic turbine control systems - mechanical - hydraulic
4306 Automatic turbine control systems - electro-hydraulic - analog
4307 Automatic turbine control systems - electro-hydraulic - digital
4308 Automatic turbine control systems - digital control and monitoring
4309 Other turbine instrument and control problems
4310 Steam Turbine Control System - data highway
4311 Steam Turbine Control System - hardware problems (including card failure)
4312 Steam Turbine Control System - internal and termination wiring
4313 Steam Turbine Control System - logic problems
4314 Steam Turbine Control System - upgrades
Miscellaneous (Steam Turbine)
4400 Major turbine overhaul (720 hours or longer) (use for non-specific overhaul only; see page B-FS-2)
4401 Inspection
4402 Minor turbine overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-FS-2)
4410 Turning gear and motor
4411 Steam turbine gear box (single shaft configuration)
4412 Steam turbine clutch (single shaft configuration)
4415 Shaft coupling mechanism
4420 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)
4430 Gland seal system
4450 Water induction
4460 Turbine overspeed trip test
4470 Differential expansion
4490 Turbine performance testing (use code 9999 for total unit performance testing)
4499 Other miscellaneous steam turbine problems

Page B-FS-23
GENERATOR
This set of codes contains the generator, exciter, generator cooling systems, and generator controls. Note the
main leads up to and includes the generator output breaker in this set of codes.
Generator
4500 Rotor windings

4510 Rotor collector rings
4511 Rotor, General
4512 Retaining Rings
4520 Stator windings, bushings, and terminals
4530 Stator core iron
4535 Stator, General
4536 Generator Heaters
4540 Brushes and brush rigging
4550 Generator bearings and lube oil system
4551 Generator bearings
4552 Generator lube oil system
4555 Bearing cooling system
4560 Generator vibration (excluding vibration due to failed bearing and other components)
4570 Generator casing
4580 Generator end bells and bolting
Exciter
4600 Exciter drive - motor

4601 Exciter field rheostat
4602 Exciter commutator and brushes
4603 Solid state exciter element
4604 Exciter drive - shaft
4605 Exciter transformer
4609 Other exciter problems
Cooling System
(report failures caused by water leaks into generator as codes 4500, 4510, etc.)
4610 Hydrogen cooling system piping and valves
4611 Hydrogen coolers
4612 Hydrogen storage system
4613 Hydrogen seals
4619 Other hydrogen system problems
4620 Air cooling system
4630 Liquid cooling system
4640 Seal oil system and seals
4650 Other cooling system problems
Controls
4700 Generator voltage control

4710 Generator metering devices
4720 Generator synchronization equipment
4730 Generator current and potential transformers
4740 Emergency generator trip devices
4750 Other generator controls and metering problems

Page B-FS-24
Miscellaneous (Generator)
4800 Generator main leads

4805 Generator Bus Duct Cooling System
4810 Generator output breaker
4830 Major generator overhaul (720 hours or longer) (use for non-specific overhaul only; see page B-FS-
2)
4831 Minor generator overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-FS-
2)
4840 Inspection
4841 Generator doble testing
4842 Reactive and capability testing
4850 Core monitor alarm
4860 Generator neutral grounding equipment
4899 Other miscellaneous generator problems
Miscellaneous (Gas Turbine)

5298 Main Gas Filter
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 Chemical feed storage, mill feeders, and conveyors

8002 Screw conveyors
8003 Bucket elevators
8006 Weigh feeders
8010 Crushers/mills
8020 Mill slurry tanks supply problems
8030 Classifiers
8040 Slurry transfer pumps and motors
8050 Chemical unavailability
8099 Other chemical supply problems
Wet Scrubber
8100 Scrubber/absorber tower or module

8110 Spray nozzles
8115 Disc scrubber throats
8120 Spray pumps and motors
8125 Scrubber recycle (liquid) pumps
8127 Scrubber recycle (liquid) pump motors
8130 Recirculation tanks including agitators
8140 Reaction tanks including agitators
8150 Tubes
8160 Mist eliminators/demisters and washdown
8199 Other scrubber problems

Page B-FS-25
Piping, Ducting, Dampers, and Fans
8200 Piping
8210 Valves
8220 Strainers or filters
8225 Drain pots
8230 Ducting
8235 Demister
8240 Bypass dampers
8250 Dampers other than bypass
8260 Scrubber booster I.D. fan (fan specific to the scrubber)
8261 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.
Piping, Ducting, Dampers, and Fans (Continued)
8262 Scrubber booster I.D. fan vibration (fan specific to the scrubber)
8264 Scrubber booster I.D. fan blades (fan specific to the scrubber)
8265 Scrubber booster ID fan dampers
8270 Scrubber booster F.D. fan (fan specific to the scrubber)
8271 Scrubber booster F.D. fan drive
8272 Scrubber booster F.D. fan vibration (fan specific to the scrubber)
8274 Scrubber booster F.D. fan blades (fan specific to the scrubber)
8275 Scrubber booster FD fan dampers
8280 Reagent feed piping
8290 Demister wash piping assembly
8299 Other piping, ducting, damper, and fan problems
Waste Disposal and Recovery
8300 Waste disposal/recovery tanks

8310 Waste disposal/recovery pumps
8320 Waste disposal ponds
8325 Ash disposal problems
8330 Dewatering equipment(thickener, centrifuge, etc.)
8335 Dryers
8340 Centrifuge/vacuum filter
8345 Calciners
8349 Other waste disposal and recovery problems
8399 Solids conveying and mixing system problems

Page B-FS-26
Miscellaneous (Wet Scrubber)
8400 Scrubber gas discharge reheaters - general

8402 Scrubber gas discharge reheaters - vibration
8404 Scrubber gas discharge reheaters - tube leaks
8406 Scrubber gas discharge reheaters - ducts
8410 Scrubber instruments and controls
8415 Liquid level controls
8420 Heat tracer
8425 Miscellaneous mechanical failures
8426 Miscellaneous electrical failures
8430 Stack damage related to scrubber system
8440 Major overhaul
8450 Inspection
8460 Testing
8470 SO2 monitor
8499 Other miscellaneous wet scrubber problems
Dry Scrubbers
Reagent\Slurry Supply
8500 Slurry storage and feed tanks

8501 Reagent storage, feed bins, and conveyors
8502 Weigh feeders
8504 Mills/slakers
8505 Scalping screens
8506 Slurry pipelines
8507 Reagent uploading and transfer systems
8508 Reagent unavailability
8510 Slurry mixers and agitators
8521 Reagent/slurry problems
Piping, Ducting, and Dampers
8522 Piping
8523 Valves
8525 Ducting
8526 Dampers
8527 Other piping, ducting, and damper problems
Dry Scrubber
8528 Dry scrubber instruments and controls

8529 Gas dispersers
8530 Spray towers
8531 Spray machine/atomizer
8532 Spray machine/atomizer motors
8533 Spray machine/atomizer lubrication systems
8534 Spray machine/atomizer vibration problems

Page B-FS-27
8535 Fly ash conveyors

8537 Weigh hoppers
8538 Recycle storage and feed tanks including agitators
8539 Recycle slurry transfer pumps
8540 Waste disposal
8541 Recycle feed bins
8542 Recycle feed bins aeration systems
8543 Powder coolers
Miscellaneous (Dry Scrubber)
8544 Mechanical failures

8545 Electrical failures
8546 Major overhaul
8547 Inspection
8548 Testing
8549 Other dry scrubber problems
Precipitators
8550 Electrostatic precipitator fouling

8551 Electrostatic precipitator field out of service
8560 Electrostatic precipitator problems
8570 Mechanical precipitator fouling
8580 Mechanical precipitator problems
8590 Other precipitator problems
Miscellaneous (Pollution Control Equipment)
8600 Flue gas additives (furnace injection)

8601 SO3 mitigation
8620 Mercury Abatement Equipment
8650 Baghouse systems, general
8651 Bag failures and rebagging
8652 Shakers and rappers
8653 Inflation and deflation fans and motors
8654 Baghouse booster fans and motors
8655 Structural duct work and dampers
8656 Controls and instrumentation
8657 Ash handling system and hoppers
8658 Slurry system from precipitators
8670 Emission monitors (other than CEMS)
8699 Other miscellaneous pollution control equipment problems

Page B-FS-28
Continuous Emissions Monitoring Systems (CEMS)
8700 CEMS Certification and Recertification

8710 SO2 analyzer problems
8720 NOx analyzer problems
8730 CO analyzer problems
8740 CO2 analyzer problems
8750 O2 analyzer problems
8760 Opacity monitor problems
8770 Flow monitor problems
8780 Data acquisition system problems
8790 Miscellaneous CEMS problems
NOx Reduction Systems

(Use code 0360 for Low NOx Burners)
Selective Non-Catalytic Reduction Systems
8800 Reagent
8801 Carrier gas
8802 Control system
8803 SNCR Performance testing
8809 Other SNCR problems
Selective Catalytic Reduction Systems
8810 Reactor
8811 Reagent
8812 Catalyst
8813 Injection grid piping/valves
8814 Catalyst support material
8815 Soot blowers
8816 Plugging
8817 Control system
8820 SCR NOx Ammonia injection grid piping/valves"
8821 SCR NOx Ammonia tanks, piping and valves (not injection)"
8822 SCR NOx Ammonia air blowers"
8823 SCR NOx Other ammonia system problems"
8825 Other SCR problems
Catalytic Air Heaters
8830 Active catalyst

8831 Support materials
8832 Plugging
8835 Other CAH problems
CO Reduction

8842 Plugging
8845 Other CO reduction problems

Page B-FS-29
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 Flood
9001 Drought
9010 Fire including wildfires, not related to a specific component
9020 Lightning
9025 Geomagnetic disturbance
9030 Earthquake
9031 Tornado
9035 Hurricane
9036 Storms (ice, snow, etc)
9040 Other catastrophe
Economic
0000 Reserve shutdown

9130 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
9131 Lack of fuel (interruptible supply of fuel part of fuel contract)
9132 Wet Fuel - Biomass
9134 Fuel conservation
9136 Problems with Primary Fuel for Units with Secondary Fuel Operation
9137 Ground water or other water supply problems.
9140 Plant modifications to burn different fuel that are not regulatory mandated
9150 Labor strikes company-wide problems or strikes outside the company’s jurisdiction such as
manufacturers (delaying repairs) or transportation (fuel supply) problems.
9151 Labor strikes direct plant management grievances that result in a walkout or strike are under plant
management control.
9160 Other economic problems
9180 Economic (for internal use at plants only)

Page B-FS-30

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 High ash content (OMC)

9201 High ash content (not OMC)
9205 Poor quality natural gas fuel, low heat content
9210 Low grindability (OMC)
9211 Low grindability (not OMC)
9220 High sulfur content (OMC)
9221 High sulfur content (not OMC)
9230 High vanadium content (OMC)
9231 High vanadium content (not OMC)
9240 High sodium content (OMC)
9241 High sodium content (not OMC)
9250 Low BTU coal (OMC)
9251 Low BTU coal (not OMC)
9260 Low BTU oil (OMC)
9261 Low BTU oil (not OMC)
9270 Wet coal (OMC)
9271 Wet coal (not OMC)
9280 Frozen coal (OMC)
9281 Frozen coal (not OMC)
9290 Other fuel quality problems (OMC)
9291 Other fuel quality problems (not OMC)
Miscellaneous (External)
9300 Transmission system problems other than catastrophes (do not include switchyard problems in
this category; see codes 3600 to 3629, 3720 to 3730)
9305 Ash disposal problem
9310 Operator training
9320 Other miscellaneous external problems
9340 Synchronous Condenser Operation

Page B-FS-31

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 Regulatory (environmental) proceedings and hearings - regulatory agency initiated

9506 Regulatory (environmental) proceedings and hearings - intervener initiated
9510 Plant modifications strictly for compliance with new or changed regulatory requirements
(scrubbers, cooling towers, etc.)
9520 Oil spill in Gulf of Mexico (OMC)
9590 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 SO2 stack emissions – fossil

9610 NOx stack emissions - fossil
9620 Particulate stack emissions – fossil
9630 Opacity - fossil
9650 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)
9656 Other stack or exhaust emissions testing - fossil
Other Operating Environmental Limitations
9660 Thermal discharge limits – fossil and nuclear

9670 Noise limits (not for personnel safety) - fossil
9677 Noise limits testing - fossil
9680 Fish kill – fossil and nuclear
9690 Other miscellaneous operational environmental limits – fossil and nuclear
Safety
9700 OSHA-related retrofit or inspection

9720 Other safety problems
PERSONNEL OR PROCEDURE ERRORS

9900 Operator error
9910 Maintenance personnel error
9920 Contractor error
9930 Operating procedure error
9940 Maintenance procedure error
9950 Contractor procedure error
9960 Staff shortage

Page B-FS-32
INACTIVE STATES
0002 Inactive Reserve Shutdown
9990 Retired unit
9991 Mothballed unit
PERFORMANCE
9997 NERC Reliability Standard Requirement
9998 Black start testing
9999 Total unit performance testing (use appropriate codes for individual component testing)

Page B-FS-33
Appendix B2 – System/Component Cause Codes
FLUIDIZED BED COMBUSTION UNITS

(Unit Codes 650-699)
Cause Code
Boiler Fuel Supply to Bunker 0010-0129 B-FB-3

Sorbent Supply (FBC) 0130-0156 B-FB-4
Bed Material Preparation System (FBC) 0160-0174 B-FB-4
Boiler Fuel Supply from Bunkers to Boiler 0200-0480 B-FB-5
Boiler Piping System 0500-0799 B-FB-6
Boiler Internals and Structures 0800-0859 B-FB-8
Slag and Ash Removal 0860-0920 B-FB-8
Bed Material Removal System (FBC) 0930-0950 B-FB-8
Bed Solids Recirculation (FBC) 0951-0989 B-FB-9
External Fluidized Bed Heat Exchanger (FBC) 0990-0999 B-FB-9
Boiler Tube Leaks 1000-1090 B-FB-9
Boiler Tube Fireside Slagging or Fouling 1100-1200 B-FB-10
Miscellaneous Boiler Tube Problems 1300-1360 B-FB-10
Boiler Air and Gas Systems 1400-1599 B-FB-10
Boiler Control Systems 1700-1799 B-FB-12
Boiler Overhaul and Inspections 1800-1820 B-FB-12
Boiler Water Condition 1850 B-FB-12
Boiler Design Limitations 1900-1910 B-FB-12
Miscellaneous (Boiler) 1980-1999 B-FB-12
BALANCE OF PLANT
Condensing System 3110-3199 B-FB-13

Circulating Water Systems 3210-3285 B-FB-14
Waste Water (zero discharge) 3290-3299 B-FB-14
Condensate System 3300-3399 B-FB-15
Feedwater System 3401-3499 B-FB-15
Heater Drain Systems 3501-3509 B-FB-16
Extraction Steam 3520-3549 B-FB-16
Electrical 3600-3690 B-FB-17
Power Station Switchyard 3700-3730 B-FB-18
Auxiliary Systems 3800-3899 B-FB-18
Miscellaneous (Balance of Plant) 3950-3999 B-FB-20
Appendix B − System/Component Cause Codes - Fluidized Bed Combustion Units
Cause Code
STEAM TURBINE _Ranges Page No.
High Pressure Turbine 4000-4099 B-FB-20

Intermediate Pressure Turbine 4100-4199 B-FB-20
Low Pressure Turbine 4200-4250 B-FB-21
Valves 4260-4269 B-FB-21
Piping 4270-4279 B-FB-22
Lube Oil 4280-4289 B-FB-22
Controls 4290-4314 B-FB-22
Miscellaneous (Steam Turbine) 4400-4499 B-FB-22
GENERATOR
Generator 4500-4580 B-FB-23

Exciter 4600-4609 B-FB-23
Cooling System 4610-4650 B-FB-23
Controls 4700-4750 B-FB-24
Miscellaneous (Generator) 4800-4899 B-FB-24
Wet Scrubbers 8000-8499 B-FB-24

Dry Scrubbers 8500-8549 B-FB-26
Precipitators 8550-8590 B-FB-27
Miscellaneous (Pollution Control Equipment) 8600-8699 B-FB-27
Continuous Emissions Monitoring Systems (CEMS) 8700-8790 B-FB-28
NOBxB Reduction Systems 8800-8835 B-FB-28
CO Reduction 8840-8845 B-FB-29
EXTERNAL
Catastrophe 9000-9040 B-FB-29

Economic 0000, 9130-9160 B-FB-29
Economic (for internal use at plants only) 9180-9199 B-FB-29
Fuel Quality 9200-9291 B-FB-30
Miscellaneous (External) 9132, 9300-9340 B-FB-30
Regulatory 9504-9590 B-FB-31

Stack Emission 9600-9656 B-FB-31
Other Operating Environmental Limitations 9660-9690 B-FB-31
Safety 9700-9720 B-FB-31
PERSONNEL OR PROCEDURE ERRORS 9900-9960 B-FB-31
INACTIVE STATE 0002, 9990-9991 B-FB-32
PERFORMANCE 9997-9999 B-FB-32

Page B-FB-2
BOILER
 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 Thaw shed failure or fire

0020 Coal car dumpers, shakers, and unloaders
0022 Unloading/receiving hopper (train/truck)
0024 Rotary plow
0026 Dust suppression system
0028 Dust collection system
0030 Coal conveyors and feeders
0035 Metal detector/collector (including magnetic separator)
0040 Coal elevators
0050 Coal storage fires
0060 Coal crushers including motors
0070 Coal samplers
0075 Storage silos/hoppers
0080 Stackers/reclaimers
0084 Coal conveyor scales-storage coal pile
0085 Bunker feeder coal scales
0090 Bunker fires
0095 Bunker flow problems
0100 Bunker gates
0105 Bunker structures
0106 Coal drying system
0107 Screen (prior to bunkers)
0110 Other coal fuel supply problems up through bunkers
0125 Coal crusher dryer hammers
0126 Coal crusher lube oil system
0127 Other coal crusher dryer problems

Page B-FB-3
Solid Fuel Feed Equipment from Bunkers to Boiler (FBC only)
0111 Solid fuel feeder conveyors

0112 Solid fuel feed tanks/hoppers
0113 Solid fuel tank/hopper fires
0114 Solid fuel volumetric feeder
0115 Solid fuel gravimetric feeder
0116 Solid fuel feeder motors
0117 Solid fuel pneumatic transport system including piping and valves
0118 Solid fuel drying system including screens
0119 Solid fuel crushers
0120 Solid fuel crusher motors
0121 Other solid fuel feed problems
0129 Other coal processing system problems
Sorbent Supply (FBC only)
Sorbent Handling System up Through Bunkers (FBC only)
0130 Sorbent handling tanks/hoppers

0131 Sorbent handling conveyors
0132 Sorbent handling feeders
0133 Sorbent handling feeder motors
0134 Sorbent handling crushers
0135 Sorbent handling crusher motors
0136 Sorbent handling blowers/fans
0137 Sorbent handling blower/fan motors
0138 Sorbent handling baghouse
0139 Sorbent handling drying equipment
0140 Sorbent handling screens
0141 Other sorbent handling equipment problems
Sorbent Feed Equipment from Bunkers to Boiler (FBC only)
0150 Sorbent feed conveyors

0151 Sorbent feed tanks/hoppers
0152 Sorbent feed volumetric feeder
0153 Sorbent feed gravimetric feeder
0154 Sorbent feed feeder motors
0155 Sorbent feed pneumatic transport system including piping and valves
0156 Other sorbent feed problems
Bed Material Preparation System (FBC only)
0160 Bed material tanks/hoppers

0162 Bed material conveyors
0163 Bed material feeders
0164 Bed material feeder motors
0165 Bed material crushers
0166 Bed material crusher motors
0167 Bed material screens
0168 Bed material blowers/fans
0169 Bed material blower/fan motors
0170 Bed material cyclone

Page B-FB-4
Bed Material Preparation System (FBC only) (continued)
0171 Bed material baghouse

0172 Bed material drying equipment
0173 Bed material pneumatic transport system including piping and valves
0174 Other bed material handling equipment
Boiler Fuel Supply from Bunkers to Boiler
Pulverizers, Primary Air Fans, and Associated Ducts
0200 Pulverizer exhauster fan (for indirect firing)

0205 Pulverizer exhauster fan drive
0210 Pulverizer heater (for indirect firing)
0220 Pulverizer system cyclone separator
0230 Pulverizer bag filter
0240 Pulverized coal bin
0250 Pulverizer feeders
0253 Pulverizer feeder motor
0255 Pulverizer feeder coal scales
0256 Seal air system (air to pulverizers)
0260 Primary air fan
0262 Primary air fan lube oil system
0263 Primary air fan drives
0264 Other primary air fan problems
0265 Primary air heater
0266 Primary air heater fouling
0267 Primary air flow instrumentation
0270 Primary air duct and dampers
0280 Pulverizer fires
0290 Pulverizer reduced capacity due to wear
0300 Pulverizer motors and drives
0310 Pulverizer mills
0312 Pulverizer classifiers
0313 Pulverizer trunnion seals
0314 Pulverizer mill ball charger hopper (ball mills only)
0315 Pulverizer coal level controls
0320 Foreign object in mill
0325 Pulverizer skidding
0330 Pulverizer coal leak (pulverizer only)
0331 Pulverizer system coal leaks (other than pulverizers, see code 0330)
0335 Pulverizer lube oil system
0338 Pulverizer control systems (temperature and pressure)
0340 Other pulverizer problems
0344 Pulverizer inspection
0345 Pulverizer overhaul
0346 Pulverizer pyrite removal system
0350 Pulverized fuel and air piping (from pulverizer to wind box)
(see code 0898 for pulverizer reject system problems)

Page B-FB-5
Burners

0360 Burners
0361 Burner orifices
0362 Burner tilts
0365 Bed warmup burners (FBC only)
0366 Duct burners (FBC only)
0370 Burner instruments and controls (except light-off)
0375 Burner instruments and controls (FBC light-off system)
0380 Light-off (igniter) systems (including fuel supply)
0385 Igniters
0390 Burner wind boxes and dampers
0400 Burner wind box fires
0410 Other burner problems
Cyclone
0415 Cyclone feeders

0420 Cyclone crusher
0425 Cyclone dampers
0426 Cyclone air ducts
0430 Cyclone furnace
0435 Other cyclone problems
Oil and Gas Systems (except light-off)

0475 Fuel lance (FBC only)
0480 Other oil and gas fuel supply problems (see codes 0360-0410 for burner problems)
Main Steam

0510 Main steam relief/safety valves
0520 Other main steam valves (including vent and drain valves but not including the turbine stop valves)

Page B-FB-6
Cold and Hot Reheat Steam
0540 Hot reheat steam piping up to turbine stop valves

0560 Other hot reheat steam valves (not including turbine stop or intercept valves)

Startup Bypass
0630 Startup bypass system piping (including drain lines up to heaters or condenser)
0640 Startup bypass system valves
0650 Startup bypass tanks or flash tanks
0655 Steam by-pass system instrumentation and controls
0660 Other startup bypass system problems

0720 Blowdown system controls /instrumentation

0750 Boiler recirculation piping (including downcomers)


Page B-FB-7
Boiler Internals and Structures
0800 Drums and drum internals (single drum)

0811 Convection pass enclosure (FBC only)
0812 Distribution plate (FBC only)
0813 Lower furnace (in-bed) tube supports (FBC only)
0814 In-bed bubble caps (FBC only)
0820 Casing
0830 Doors
0846 Convection pass expansion joints (FBC only)
0855 Drum relief/safety valves (single drum)
Slag and Ash Removal
0860 Soot blowers - air (see code 3844 for air delivery system)
0870 Soot blowers - steam
0871 Soot blowers - sonic
0872 Soot blowers - water
0873 Soot blower drives
0876 Soot blower controls
0880 Fly ash Removal System (not precipitators, scrubbers, mechanical collectors, or baghouses)
0885 Fly ash Removal System – wet transport
0890 Bottom ash systems (wet or dry)
0891 Bottom ash hoppers (including gates)
0892 Bottom ash clinker grinders
0893 Bottom ash water pumps and motors
0894 Bottom ash piping and valves
0895 Ashpit trouble
0896 Bottom ash dewatering bin system, instruments and controls
0897 Bottom ash rotary (drag chain type) conveyor and motor
0898 Bottom ash pyrite hopper (pulverizer reject) system
0899 Bottom ash controls and instrumentation
0900 Slag-tap (cyclone furnace)
0910 Slag-tap (other than cyclone furnace)
0920 Other slag and ash removal problems
Bed Material Removal System
0930 Bed material coolers

0931 Bed material transport piping/valves
0932 Bed material transport tanks/hoppers
0933 Bed material fans/blowers
0934 Bed material fan/blower motors
0935 Bed material disposal conditioner
0936 Bed material conveyors
0937 Bed material mechanical separators and baghouse
0950 Other bed material system problems

Page B-FB-8
Bed Solids Recirculation
0951 Char reinjection feeders

0952 Char reinjection piping/valves
0953 Char reinjection controls
0959 Other char reinjection equipment problems
0960 Char transport piping and valves
0961 Char transfer tanks/hoppers
0962 Char conditioner
0969 Other char equipment problems
0970 Flue gas-solids separator
0971 Flue gas-solids separator piping and valves
0972 Flue gas-solids separator controls
0973 Flue gas-solids separator refractory
0980 High pressure loop seal recirculation fans/blowers
0981 High pressure loop seal recirculation fan/blower motors
0982 High pressure loop seal recirculation fan/blower controls
0989 Other bed solids recirculation problems
External Fluidized Bed Heat Exchanger
0990 Refractory
0991 Tube leaks
0992 Tube supports
0999 Other heat exchanger problems
Boiler Tube Leaks


1005 Generating tubes between steam drum and mud drum
1006 In-bed reheat tubes (FBC only - includes external heat exchangers)
1020 Convection pass wall (water tubes only)
1035 Platen superheater
1045 In-bed superheater tubes (FBC only - includes external heat exchangers)
1055 External superheater link tubing
1060 First reheater
1075 External reheater link tubing
1080 Economizer
1085 In-bed evaporative tubes (FBC only - includes external heat exchangers)
1090 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)

1105 Generating tubes between steam drum and mud drum
1110 Cyclone Furnace (in cyclone area only)
1120 Convection Pass Wall
1160 First reheater
1180 Economizer
1190 Other tube slagging or fouling
1191 Bed agglomeration (FBC only)
1200 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

1305 Fireside cleaning (requires a full outage) Use code 1200 for cleanings that cause deratings.
1360 Boiler drains system
Boiler Air and Gas Systems

(excluding burner pipes, wind boxes, primary air, or pulverize exhausters)
Air Supply
1400 Forced draft fans*

1407 Forced draft fan lubrication system*
1410 Forced draft fan motors*
1411 Forced draft fan motors - variable speed*
1412 Forced draft fan drives (other than motor)*
1413 Forced draft fan couplings
1415 Forced draft fan controls*
1420 Other forced draft fan problems*
1421 Secondary air fans/blowers
1422 Secondary air fan/blower motors - single speed
1423 Secondary air fan/blower motors - variable speed
1424 Secondary air fan/blower controls
1430 Air supply ducts from FD fan
1451 Fluidized Air Fan (FBC Only)
*For FBC units, this is the same as primary air fans and their motors.

Page B-FB-10
Flue Gas
1455 Induced draft fans

1457 Induced draft fan lubrication systems
1460 Induced draft fan fouling
1470 Induced draft fan motors and drives
1471 Induced draft fan motors - variable speed
1472 Inducted draft fan coupling
1475 Induced draft fan controls
1476 Induced draft fan speed changer
1480 Other induced draft fan problems
1487 Air heater (tubular)
1488 Air heater (regenerative)
1489 Air heater (heat pipe, plate-type)
1492 Air heater fouling (tubular)
1493 Air heater fouling (regenerative)
1495 Other air heater fouling (heat pipe, plate-type)
1500 Air heater soot blowers
1510 Flue gas ducts (except recirculation)
1512 Flue gas expansion joints
1520 Flue gas dampers (except recirculation)
1530 Other flue gas problems
Flue Gas Recirculation
1535 Flue gas recirculating fan

1537 Flue gas recirculating fan lubrication systems
1540 Flue gas recirculation fan fouling
1550 Flue gas recirculation fan motors
1555 Flue gas recirculation fan controls
1560 Other flue gas recirculation fan problems
1570 Flue gas recirculation ducts
1572 Flue gas recirculation duct expansion joints
1580 Flue gas recirculation dampers
1590 Stacks (use code 8430 for stack problems due to pollution control equipment)
1592 Stack damper linkage motor

Page B-FB-11
Boiler Control Systems

(including instruments that input to the controls)
1700 Feedwater controls (report local controls – feedwater pump, feedwater regulator valve, etc., – with
1710 Combustion/steam condition controls (report local controls –burners, pulverizers, etc., – with
1720 Desuperheater/attemperator controls
1740 Gage glasses
1741 Furnace and water gauge television auxiliary system
Boiler Overhaul and Inspections
1800 Major boiler overhaul (720 hours or longer) (use for non-specific overhaul only; see page B-FS-2)
1801 Minor boiler overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-FS-2)
1811 Boiler Inspections – problem identification/investigation
Boiler Water Condition
Boiler Design Limitations
(use more specific codes – other slagging and fouling problems, other control problems, etc. – whenever
possible. Describe miscellaneous problems in the verbal description.)


Page B-FB-12
BALANCE OF PLANT
Condensing System
Condenser Tubes

3120 Tube sheets

3123 Hot well
Vacuum Equipment
3130 Air ejectors

3133 Vacuum pumps
3149 Loss of vacuum not attributable to a particular component such as air ejectors or valves; or, high
known cause.
Condenser Controls


Page B-FB-13

3231 Waterbox
3280 High circulating water temperature (not due to season, tower efficiency below design, or other listed
equipment problem)
3290 Waste water (zero discharge) taks, pumps and motors


Page B-FB-14
Condensate System




3370 Condensate system controls and instrumentation (not hotwell level, heater level, or deaerator level
controls: see codes 3150-3159, 3344, 3502.
Feedwater System

3410 Feedwater pump

Page B-FB-15
Feedwater System (continued)


Extraction Steam


Page B-FB-16
Electrical
3643 AC Inverters
3680 other voltage transformers
3681 other voltage circuit breakers
3682 other voltage conductors and buses
3683 other voltage insulators
3684 other voltage protection devices

Page B-FB-17

Auxiliary Systems


3820 Closed cooling water pumps and motors

Auxiliary Steam

3839 Other auxiliary steam problems (also see extraction steam codes 3520 to 3529; startup bypass codes
0630 to 0660; and soot blower steam code 0870)

Page B-FB-18
Service Air

Instrument Air

3854 N 2 backup to instrument air
B B

3864 Fire protection system instrumentation and controls

3879 Fuel Gas Compressor – Other
Seal Air Fans
3880 Seal air fan

3889 Other seal air fan problems

Page B-FB-19

3998 Balance of plant overhaul / outage
STEAM TURBINE
4000 Outer casing

4001 Inner casing
4009 Nozzle bolting
4011 Diaphragms
4020 Shaft seals
4021 Dummy rings
4022 Gland rings
4030 Rotor shaft
4040 Bearings

Page B-FB-20
4100 Outer casing

4101 Inner casing
4109 Nozzle bolting
4111 Diaphragms
4120 Shaft seals
4121 Dummy rings
4122 Gland rings
4130 Rotor shaft
4140 Bearings
4200 Outer casing

4201 Inner casing
4209 Nozzle bolting
4211 Diaphragms
4220 Shaft seals
4221 Dummy rings
4222 Gland rings
4230 Rotor shaft
4240 Bearings
Valves

4261 Control valves

Page B-FB-21
Piping

Lube Oil
4280 Lube oil pumps
Controls

4400 Major turbine overhaul (720 hrs or longer) (use for non-specific overhaul only; see page B-FS-2)
4401 Inspection
4402 Minor turbine overhaul (less than 720 hrs) (use for non-specific overhaul only; see page B-FS-2)
4420 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)

Page B-FB-22
GENERATOR
main leads up to and includesthe generator output breaker in this set of codes.
Generator
4500 Rotor windings

4511 Rotor, General
4512 4512 Retaining Rings
Exciter

Cooling System

4613 Hydrogen seals

Page B-FB-23
Controls


4830 Major overhaul (720 hrs or longer) (use for non-specific overhaul only; see page B-FS-2)
4831 Minor overhaul (less than 720 hrs.) (use for non-specific overhaul only; see page B-FS-2)
4840 Inspection

Wet Scrubbers
Chemical Supply

8006 Weigh feeders
8010 Crushers/mills
8030 Classifiers
Wet Scrubber

8110 Spray nozzles

Page B-FB-24
8150 Tubes
8200 Piping
8210 Valves
8225 Drain pots
8230 Ducting
8235 Demister
8240 Bypass dampers
* 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.
Piping, Ducting, Dampers, and Fans (Continued)

8300 Waste disposal/recovery tanks

8310 Waste disposal/recovery pumps
8320 Waste disposal ponds
8325 Ash disposal problems
8330 Dewatering equipment (thickener, centrifuge, etc.)
8335 Dryers
8340 Centrifuge/vacuum filter
8345 Calciners
8349 Other waste disposal and recovery problems
8399 Solids conveying and mixing system problems
Miscellaneous (Wet Scrubbers)


Page B-FB-25

8420 Heat tracer
8440 Major overhaul
8450 Inspection
8460 Testing
8470 SO 2 monitor
B B
Dry Scrubbers
Reagent\Slurry Supply
8500 Slurry storage and feed tanks

8501 Reagent storage, feed bins, and conveyors
8502 Weigh feeders
8504 Mills/slakers
8505 Scalping screens
8506 Slurry pipelines
8507 Reagent uploading and transfer systems
8508 Reagent unavailability
8510 Slurry mixers and agitators
8521 Reagent/slurry problems
Piping, Ducting, and Dampers
8522 Piping
8523 Valves
8525 Ducting
8526 Dampers
8527 Other piping, ducting, and damper problems
Dry Scrubber
8528 Dry scrubber instruments and controls
8529 Gas dispersers
8530 Spray towers
8531 Spray machine/atomizer
8532 Spray machine/atomizer motors
8533 Spray machine/atomizer lubrication systems
8534 Spray machine/atomizer vibration problems

Page B-FB-26
8535 Fly ash conveyors

8537 Weigh hoppers
8538 Recycle storage and feed tanks including agitators
8539 Recycle slurry transfer pumps
8540 Waste disposal
8541 Recycle feed bins
8542 Recycle feed bins aeration systems
8543 Powder coolers
Miscellaneous (Dry Scrubber)
8544 Mechanical failures

8545 Electrical failures
8546 Major overhaul
8547 Inspection
8548 Testing
8549 Other dry scrubber problem
Precipitators
8550 Electrostatic precipitator fouling

8551 Electrostatic precipitator field out of service
8560 Electrostatic precipitator problems
8570 Mechanical precipitator fouling
8580 Mechanical precipitator problems
8590 Other precipitator problems
8600 Flue gas additives (furnace injection)

8601 SO3 mitigation
8620 Mercury Abatement Equipment
8650 Baghouse systems, general
8651 Bag failures and rebagging
8652 Shakers and rappers
8653 Inflation and deflation fans and motors
8654 Baghouse booster fans and motors
8655 Structural duct work and dampers
8657 Ash handling system and hoppers
8658 Slurry system from precipitators
8670 Emission monitors (other than CEMS)
8699 Other miscellaneous pollution control equipment problems

Page B-FB-27

8710 SO 2 analyzer problems
B B
8720 NO x analyzer problems

B B

8740 CO 2 analyzer problems
B B
8750 O 2 analyzer problems

B B

NOBxB Reduction Systems
8800 Reagent
8801 Carrier gas
8802 Control system
8810 Reactor
8811 Reagent
8812 Catalyst
8815 Soot blowers
8816 Plugging
8817 Control system
8820 SCR NOx Ammonia injection grid piping/valves"
8821 SCR NOx Ammonia tanks, piping and valves (not injection)"
8822 SCR NOx Ammonia air blowers"
8823 SCR NOx Other ammonia system problems"

8832 Plugging

Page B-FB-28
CO Reduction

8842 Plugging
EXTERNAL
Use this set of codes to report events caused by external factors (flood, lightning, etc.); economic factors (lack of
Catastrophe
9000 Flood
9001 Drought
9020 Lightning
9030 Earthquake
9031 Tornado
9035 Hurricane
Economic

9130 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
9132 Wet Fuel - Biomass
management control

Page B-FB-29

Fuel Quality

9270 Wet coal (OMC)
9272 Wet Fuel (other than coal)
9132 Wet Fuel-Biomass

9300 Transmission system problems other than catastrophes (do not include switchyard problems in this
category; see codes 3600 to 3629, 3720 to 3730)

Page B-FB-30

equipment due to regulation are reported using the appropriate equipment cause codes, and the fact that it was
Regulatory

9510 Plant modifications strictly for compliance with new or changed regulatory requirements (scrubbers,
cooling towers, etc.)
Stack Emission (include exhaust emissions)
9600 SO 2 stack emissions – fossil

B B
9610 NO x stack emissions – fossil

B B
9620 Particulate stack emissions - fossil

9630 Opacity - fossil
9650 Other stack or exhaust emissions – fossil
9656 Other stack or exhaust emissions testing - fossil

9670 Noise limits (not for personnel safety) – fossil
9677 Noise limits testing - fossil
9680 Fish kill – fossil
Safety


9900 Operator error
9960 Staff shortage

Page B-FB-31
INACTIVE STATES
9990 Retired unit
PERFORMANCE

Page B-FB-32
Appendix B3 – System/Component Cause Codes
NUCLEAR UNITS INDEX TO SYSTEM/COMPONENT CAUSE CODES

Cause Code
NUCLEAR REACTOR Ranges Page No.
Core/Fuel 2010-2090 B-NU-3

Control Rods and Drives 2110-2160 B-NU-3
Reactor Vessel and Internals 2170-2199 B-NU-4
Reactor Coolant System 2200-2399 B-NU-4
Steam Generators and Steam System 2400-2599 B-NU-5
Core Cooling/Safety Injection 2600-2649 B-NU-5
Electrical Safety Systems 2650-2699 B-NU-6
Containment System 2700-2799 B-NU-6
Chemical and Volume Control/Reactor Water Cleanup 2805-2819 B-NU-6
Nuclear Cooling Water Systems 2820-2839 B-NU-7
Auxiliary Systems 2840-2890 B-NU-7
Miscellaneous (Reactor) 2900-2999 B-NU-7
BALANCE OF PLANT
Condensing System 3110-3199 B-NU-7

Circulating Water Systems 3210-3285 B-NU-9
Waste Water (zero discharge) 3290-3299 B-NU-9
Condensate System 3300-3399 B-NU-10
Feedwater System 3401-3499 B-NU-10
Heater Drain Systems 3501-3509 B-NU-11
Extraction Steam 3520-3529 B-NU-11
Electrical 3600-3690 B-NU-12
Power Station Switchyard 3700-3730 B-NU-13
Auxiliary Systems 3800-3899 B-NU-13
Miscellaneous (Balance of Plant) 3950-3999 B-NU-14
STEAM TURBINE
High Pressure Turbine 4000-4099 B-NU-15

Intermediate Pressure Turbine 4100-4199 B-NU-15
Low Pressure Turbine 4200-4250 B-NU-16
Valves 4260-4269 B-NU-16
Piping 4270-4279 B-NU-16
Lube Oil 4280-4289 B-NU-17
Controls 4290-4314 B-NU-17
Miscellaneous (Steam Turbine) 4400-4499 B-NU-17
Appendix B − System/Component Cause Codes - Nuclear Units
Cause Code
GENERATOR Ranges Page No.
Generator 4500-4580 B-NU-18

Exciter 4600-4609 B-NU-18
Cooling System 4610-4650 B-NU-19
Controls 4700-4750 B-NU-19
Miscellaneous (Generator) 4800-4899 B-NU-19
EXTERNAL
Catastrophe 9000-9040 B-NU-20

Economic 0000, 9110-9160 B-NU-20
Economic (for internal use at plants only) 9180-9199 B-NU-20
Miscellaneous (External) 9300-9340 B-NU-21
Regulatory 9500-9590 B-NU-21

Other Operating Environmental Limitations 9660-9690 B-NU-21
Safety 9700-9720 B-NU-21
PERSONNEL OR PROCEDURE ERRORS 9900-9960 B-NU-21
INACTIVE STATE 0002, 9990-9991 B-NU-22
PERFORMANCE 9997-9999 B-NU-22
NUCLEAR REACTOR
 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-2
Core/Fuel
2010 Fuel failure, including high activity in Reactor Coolant System (RCS) or off-gas system
2020 Control rod pattern changes and control rod repatch. (Preconditioning following a pattern change
is to be reported using code 2031.)
2021 Power limited by rod pattern. (If rod pattern is limited by fuel limits, use appropriate code below.)
2030 Fuel limits - peaking factors
2031 Fuel preconditioning
2032 Fuel limits - MCPR (Minimum Critical Power Ratio - BWR units only)
2033 Fuel limits - MAPLHGR (Maximum Average Planar Linear Heat Generation Rate - BWR units only)
2034 Core tilt restrictions
2035 Core xenon restrictions
2036 End-of-life scram reactivity/rod worth restrictions
2037 Other fuel limits (use codes 9110 and 9120 for core coastdown, conservation, or stretch)
2040 Core physics tests
2050 Burnable poison problems including poison curtains
2060 Excore nuclear instrumentation
2061 Incore nuclear instrumentation
2062 Other fuel/core related instrumentation problems
2070 Normal refueling
2071 Refueling equipment problems
2072 Fuel storage
2080 Fueling machine and auxiliaries (CANDU)
2082 Fuel transfer problems (CANDU)
2090 Other core/fuel problems
Control Rods and Drives
2110 Control rod drive motors

2111 Control rod magnetic jack drives
2112 Control rod hydraulic drives
2120 Control rod scram mechanisms
2125 Reactivity control units (CANDU)
2130 Control rod assemblies other than drive and scram mechanisms
2140 Control rod drive cooling
2150 Control rod instrumentation
2151 Control rod drive controls
2152 Control rod drive power supplies
2155 Control rod testing
2160 Other control rod drive problems

Page B-NU-3
Reactor Vessel and Internals
2170 Reactor vessel flanges and seals

2171 Reactor vessel nozzles
2172 Feedwater sparges
2173 Jet pumps
2174 Core support
2175 Specimen holders
2176 Control rod guides (not in fuel)
2180 Calandria and Calandria tubes (CANDU)
2185 Coolant assemblies (pressure tubes) (CANDU)
2199 Other reactor vessel problems
Reactor Coolant System

Pumps
2200 Reactor coolant/recirculating pumps

2210 Reactor coolant/recirculating pump motors
2220 Reactor coolant/recirculating pump MG sets
Piping
2230 Reactor coolant system piping

2240 Reactor coolant system pipe supports
2250 Reactor coolant system filters and strainers
2260 Reactor coolant flanges, fittings, and manways
Pressurizer
2265 Pressurizer (also see codes 2290, 2330, and 2340)
Valves
2270 Power operated relief and safety/relief valves

2280 Non-power operated safety valves
2290 Pressurizer spray valves
2300 Recirculation loop flow control valves
2320 Other reactor coolant valves (including RCS boundary valves in connected systems)
Instruments and Controls
2330 Pressurizer level instruments and controls

2340 Pressurizer pressure instruments and controls
2350 BWR feedwater controls
2360 BWR pressure controls
2370 Reactor trip system including sensors, logic, and actuators (includes spurious trips but not valid
trips)
2380 Reactor control system/integrated control system problems
2390 Other reactor coolant system instruments and controls

Page B-NU-4
Miscellaneous (Reactor Coolant System)
2399 Other miscellaneous reactor coolant system problems
Steam Generators and Steam System
2400 Steam generator tube leaks

2411 Steam generator tube inspections
2412 Steam generator tube supports
2420 Steam generator moisture separators and dryers
2421 Steam generator feedwater nozzles
2422 Other steam generator internals problems
2430 Steam generator shell
2431 Steam generator flanges, manways, and fittings
2432 Steam generator supports and snubbers
2440 Steam generator chemistry (excluding feedwater chemistry)
2441 Steam generator tube lancing
2442 Steam generator chemical cleaning
2443 Steam generator modifications
2470 Blowdown system instruments and controls
2480 Other blowdown
2500 Steam piping (up to turbine stop valves and bypass valves)
2510 Main steam isolation valves (BWR and PWR)
2515 Main steam isolation valve testing
2520 Main steam safety/relief valves
2521 Main steam safety/relief valve testing
2530 Atmospheric or condenser dump valves (not SRVs)
2540 Other steam valves
2550 Steam generator instruments (including piping and valves) (no RPS or SAS inputs)
2560 Steam generator controls
2599 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 High pressure safety injection, core injection, or core spray pumps (including RCIC)
2601 Motors for high pressure pumps
2602 Steam turbine drives for high pressure pumps (including RCIC)
2603 High pressure piping
2604 High pressure valves
2609 Other high pressure injection problems
2620 Low pressure safety injection, core spray, or decay heat pumps
2621 Motors for low pressure pumps
2622 Low pressure piping
2623 Low pressure valves
2624 Low pressure heat exchangers
2625 Accumulators (up to and including check valves)

Page B-NU-5
2628 Residual heat removal/decay heat removal system

2629 Other low pressure problems
2630 Safeguard actuation system (including sensors, logic, activators, and sequencers)
2649 Other emergency core cooling/residual heat removal system problems
Electrical Safety Systems
2650 Emergency diesel generators (including actuating systems)

2651 Emergency diesel generator output breakers
2660 Safeguard buses and associated equipment (transformers, breakers, etc.)
2670 DC safety system power supplies
2680 120V AC safety system power supplies (including inverter)
2699 Other electrical safety system power supplies (use codes 3600 to 3659 for nonsafety electrical
systems)
Containment System
2700 Containment structure

2701 Containment liner
2702 Containment hatches
2703 Containment penetrations
2720 Containment isolation valves and dampers
2730 Containment isolation actuation
2740 Containment penetration pressurization system
2750 Containment hydrogen control system (vents, recombiners, etc.)
2760 Containment spray system (including actuation)
2770 Containment cooling system - normal
2771 Containment cooling and gas cleanup - post accident
2780 Containment testing
2799 Other containment system problems
Chemical and Volume Control/Reactor Water Cleanup
2805 Moderator systems (CANDU)

2806 Moderator purification (CANDU)
2807 Moderator poison injection (CANDU)
2810 Makeup pumps
2811 Boric acid transfer pumps
2812 Tanks
2813 Demineralizers
2814 Filters
2815 Heat exchangers
2816 Valves and piping
2817 Instruments and controls
2819 Other CVCS and RWC problems

Page B-NU-6
Nuclear Cooling Water Systems
2820 Nuclear closed cooling water pumps

2821 Nuclear closed cooling water piping
2822 Nuclear closed cooling water valves
2823 Nuclear closed cooling heat exchanger
2825 Turbine building closed cooling water system
2830 Nuclear service water pumps
2831 Nuclear service water piping
2832 Nuclear service water valves
2833 Nuclear service water heat exchangers
Auxiliary Systems (see codes 3110 to 3999 for other auxiliary systems)
2840 Auxiliary feedwater pumps

2841 Auxiliary feedwater pump motors
2842 Auxiliary feedwater pump steam turbines (including steam control valves)
2843 Auxiliary feedwater piping
2844 Auxiliary feedwater valves
2849 Other auxiliary feedwater problems
2870 Radioactive liquid waste system problems
2880 Radioactive gas and waste system problems
2890 Condenser off-gas system problems
Miscellaneous (Reactor)
2900 Reactor overhaul (use for non-specific overhaul only; see page B-FS-2)
2990 Plant radiation levels
2991 Radioactivity discharge levels to the environment
2995 Reactor performance testing (use code 9999 for total unit performance testing)
2999 Other miscellaneous nuclear reactor problems
BALANCE OF PLANT
Condensing System
Condenser Tubes


Page B-NU-7
3120 Tube sheets

3123 Hot well
Vacuum Equipment
3130 Air ejectors

3133 Vacuum pumps
3149 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


Page B-NU-8

3231 Waterbox
equipment problem)


Page B-NU-9
Condensate System




3370 Condensate system controls and instrumentation (not hotwell level, heater level, or deaerator
level controls: see codes 3150-3159, 3344, 3502.
Feedwater System

3410 Feedwater pump

Page B-NU-10


Extraction Steam


Page B-NU-11
Electrical (excluding nuclear safety (Class 1E) systems)

3643 AC Inverters
3680 other voltage transformers
3681 other voltage circuit breakers
3682 other voltage conductors and buses
3683 other voltage insulators
3684 other voltage protection devices

Page B-NU-12
3700 Powerhouse switchyard (non generating unit equipment)

3720 Transmission equipment at the 1st substation (see code 9300 if applicable)
Auxiliary Systems



Auxiliary Steam

Page B-NU-13
Service Air

Instrument Air


Seal Air System
3880 Seal air fan

3889 Other seal air fan system problems


Page B-NU-14

STEAM TURBINE
4000 Outer casing

4001 Inner casing
4009 Nozzle bolting
4011 Diaphragms
4020 Shaft seals
4021 Dummy rings
4022 Gland rings
4030 Rotor shaft
4040 Bearings
4100 Outer casing

4101 Inner casing
4109 Nozzle bolting
4111 Diaphragms

Page B-NU-15
4120 Shaft seals

4121 Dummy rings
4122 Gland rings
4130 Rotor shaft
4140 Bearings
4200 Outer casing

4201 Inner casing
4209 Nozzle bolting
4211 Diaphragms
4220 Shaft seals
4221 Dummy rings
4222 Gland rings
4230 Rotor shaft
4240 Bearings
Valves

4261 Control valves
Piping


Page B-NU-16
Lube Oil
(Do not include bearing failures due to lube oil)
4280 Lube oil pumps

Controls

4400 Major turbine overhaul (720 hours or longer ) (use for non-specific overhaul only; see page B-FS-2)
4401 Inspection
4402 Minor turbine overhaul (less than 720 hours) ) (use for non-specific overhaul only; see page B-FS-2)
4440 Moisture separator/reheater (nuclear including MSR drains, controls, etc.)
4445 Steam reheater

Page B-NU-17

GENERATOR
Generator
4500 Rotor windings

4511 Rotor, General
Exciter


Page B-NU-18
Cooling System

4613 Hydrogen seals
Controls


4830 Major generator overhaul (720 hours or longer) (use for non-specific overhaul only; see page B-1)
4831 Minor generator overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-1)
4840 Inspection
EXTERNAL

Page B-NU-19
Catastrophe
9000 Flood
9001 Drought
9020 Lightning
9030 Earthquake
9031 Tornado
9035 Hurricane
Economic

9110 Core coastdown (nuclear)
9120 Core conservation (nuclear)
9137 Ground water or other water supply problems
management control.

Page B-NU-20

Regulatory
9500 Regulatory (nuclear) proceedings and hearings - regulatory agency initiated

9502 Regulatory (nuclear) proceedings and hearings - intervener initiated

9670 Noise limits (not for personnel safety)
9680 Fish kill – fossil and nuclear
Safety

9710 Investigation of possible nuclear safety problems
9900 Operator error


Page B-NU-21

9960 Staff shortage
INACTIVE STATES
9990 Retired unit
PERFORMANCE

Page B-NU-22
Appendix B4 Diesel Unit Cause Codes
DIESEL UNITS
Cause Code
BALANCE OF PLANT Ranges Page No.
Electrical 3600-3690 B-DI-3

Power Station Switchyard 3700-3730 B-DI-4
GENERATOR
Generator 4500-4580 B-DI-4

Exciter 4600-4609 B-DI-4
Cooling System 4610-4650 B-DI-5
Controls 4700-4750 B-DI-5
Miscellaneous (Generator) 4800-4899 B-DI-5
DIESEL ENGINE
Engine 5700-5799 B-DI-5

Engine Auxiliaries 5800-5849 B-DI-6
Engine Controls 5850-5880 B-DI-6
Miscellaneous (Diesel Engine) 5890-5999 B-DI-6
Continued Emissions Monitoring Systems (CEMS) 8700-8760 B-DI-6
Regulatory 9504-9590 B-DI-7

Stack Emission 9605-9655 B-DI-7
Other Operating Environmental Limitations 9665-9695 B-DI-7
Safety 9700-9720 B-DI-7
PERSONNEL OR PROCEDURE ERRORS 9900-9960 B-DI-7
INACTIVE STATE 0002, 9990-9991 B-DI-8
PERFORMANCE 9997-9999 B-DI-8
EXTERNAL
Catastrophe 9000-9040 B-DI-8

Economic 0000, 9130-9160 B-DI-8
Appendix B – System/Component Cause Codes – Diesel Units
Economic (for internal use at plants only) 9180-9199 B-DI-8

Fuel Quality 9200-9291 B-DI-9
Miscellaneous (External) 9300-9340 B-DI-9

Page B-DI-2
BALANCE OF PLANT
Electrical

3643 AC Inverters

Page B-DI-3


GENERATOR
Generator
4500 Rotor windings

4511 Rotor, General
Exciter


Page B-DI-4
Cooling System

4613 Hydrogen seals
Controls


4830 Major generator overhaul (720 hours or longer) (use for non-specific overhaul only;
see Page B-FS-2)
4831 Minor generator overhaul (less than 720 hours) (use for non-specific overhaul only;
see Page B-FS-2)
4840 Inspection
DIESEL ENGINE
Engine
5700 Drive shaft and bearings

5710 Cylinders
5711 Cylinder heads
5712 Hydraulic lock (water in cylinders)
5720 Pistons

Page B-DI-5
5730 Intake valves

5731 Exhaust valves
5740 Turbo charger
5790 Vibration
5799 Other engine problems
Engine Auxiliaries
5800 Lube oil system

5805 Cooling system
5810 Heater elements
5815 Fuel system
5820 Start system
5825 Battery and battery charger system
5830 Air filter system
5849 Other engine auxiliaries problems
Engine Controls
5850 Governor
5855 Engine control system
5860 Control power transformer
5865 Synchronization system
5870 Other engine control problems
5880 Diesel engine unit overhaul
Miscellaneous (Diesel Engine)
5890 Major overhaul (use for non-specific overhaul only; see Page B-FS-2)
5895 Inspection
5990 Engine performance testing - individual engines (use code 9999 for total unit performance testing)
5999 Other miscellaneous diesel engine problems


8710 SO 2 analyzer problems
B B
8720 NO x analyzer problems

B B

8740 CO 2 analyzer problems
B B
8750 O 2 analyzer problems

B B

Page B-DI-6
Regulatory

9506 Regulatory (environmental) proceedings and hearings - intervenor initiated
9605 SO2 stack emissions – diesel

9615 NOx stack emissions – diesel
9625 Particulate stack emissions – diesel
9635 Opacity – diesel
9655 Other stack or exhaust emissions – diesel
9665 Thermal discharge limits – diesel

9675 Noise limits (not for personnel safety) – diesel
9685 Fish kill – diesel
9695 Other miscellaneous operational environmental limits – diesel
Safety


9900 Operator error
9960 Staff shortage

Page B-DI-7
INACTIVE STATES
9990 Retired unit
PERFORMANCE
EXTERNAL
Catastrophe
9000 Flood
9001 Drought
9020 Lightning
9030 Earthquake
9031 Tornado
9035 Hurricane
Economic

management control.

Page B-DI-8

Fuel Quality

9205 Poor quality fuel, heat content
category; see codes 3600 to 3629)
9340 Synchronoous Condenser Operation

Page B-DI-9

Page B-DI-10
Appendix B5 Hydro Pumped Storage Unit Cause Codes
HYDRO/PUMPED STORAGE UNITS

(Unit Codes 500–599 and 900–999)
Cause Code
Electrical 3600-3690 B-HY-2

Power Station Switchyard 3700-3730 B-HY-3
Auxiliary Systems 3810-3899 B-HY-3
Miscellaneous (Balance of Plant) 3950-3999 B-HY-4
GENERATOR
Generator 4500-4590 B-HY-5

Exciter 4600-4609 B-HY-5
Cooling System 4610-4650 B-HY-5
Controls 4700-4750 B-HY-6
Miscellaneous (Generator) 4800-4899 B-HY-6
HYDRO TURBINE/PUMP
Turbine 7000-7099 B-HY-6

Water Supply/Discharge 7100-7199 B-HY-7
Miscellaneous (Hydro Turbine/Pump) 7200-7300 B-HY-7
EXTERNAL
Catastrophe 9000-9040 B-HY-8

Economic 0000, 9135-9160 B-HY-8
Economic (for internal use at plants only) 9180-9199 B-HY-8
Miscellaneous (External) 9300-9350 B-HY-9
Regulatory 9504-9590 B-HY-9

Other Operating Environmental Limitations 9676-9696 B-HY-9
Safety 9700-9720 B-HY-9
PERSONNEL OR PROCEDURE ERRORS 9900-9960 B-HY-10
INACTIVE STATE 0002, 9990-9991 B-HY-10
PERFORMANCE 9997-9999 B-HY-10

Appendix B – System/Component Cause Codes – Hydro/Pumped Storage Units
BALANCE OF PLANT
Electrical

3629 Other switchyard or high voltage system problems
3643 AC Inverters

Page B-HY-2


Auxiliary Systems


Auxiliary Steam

3839 Other auxiliary steam problems
Service Air


Page B-HY-3
Instrument Air




Page B-HY-4
GENERATOR
Generator
4500 Rotor windings (including damper windings and fan blades on hydro units)
4511 Rotor, General
4550 Generator bearings and lube oil system (including thrust bearings on hydro units)
4590 Generator brakes
Exciter

Cooling System

4613 Hydrogen seals

Page B-HY-5
Controls


4830 Major generator overhaul (720 hours or longer) (use for non-specific overhaul only; see page B-FS-
2)
2)
4840 Inspection
HYDRO TURBINE/PUMP
Turbine
7000 Shaft
7001 Shaft packing
7003 Lube oil system (use code 7007 to report bearing failures due to lube oil problems)
7007 Bearings
7009 Bearing oil system
7010 Runner cavitation damage
7011 Other runner problems
7012 Casing, wear ring, or liner cavitation damage
7014 Blade or bucket cracking
7020 Nozzle assembly
7030 Vibration (Only for unbalance, report bearing failure, etc., in appropriate category)
7040 Turbine overhaul
7050 Turbine governor
7052 Other turbine control problems (Report specific wicket gate controls, etc., using the code for the
appropriate equipment item.)
7053 Governor oil system
7070 Speed Increaser
7099 Other turbine problems

Page B-HY-6
Water Supply/Discharge
7100 Upper reservoir dams and dikes

7101 Lower reservoir dams and dikes
7102 Auxiliary reservoir dams and dikes
7110 Intake channel or flume (including trash racks)
7111 Intake tunnel
7120 Headgates
7121 Shutoff valves
7123 Shutoff valve bypass line and valve
7124 Penstock
7130 Spiral case
7140 Wicket gate assembly
7141 Wicket gate operating mechanism or positioner
7142 Wicket gate shear pin
7150 Stay vanes
7160 Pressure regulating valve
7161 Pressure regulating valve operator or positioner
7162 Relief valve and vacuum breakers
7170 Draft tube
7180 Tailrace
7181 Tail water depressing equipment
7190 Dewatering and rewatering equipment
7191 Equalizing line
7199 Other water supply/discharge problems (use for equipment related problems; use codes 9135 or
9320 for lack of water or discharge limit related problems)
Miscellaneous (Hydro Turbine/Pump)
7200 Major overhaul (use for non-specific overhaul only; see page B-FS-2)
7201 Inspection
7210 Canals (including siphons, radial gates, and spills)
7220 Unit out of service due to common penstock with unit under repair
7230 Pony motor (pumped storage units only)
7240 Powerhouse substructure
7299 Other miscellaneous hydro turbine/pump problems (use generator codes and balance of plant
electrical and auxiliary codes as appropriate)
7300 Routine Hydro Planned Outage (reoccurring schedule) (Use 4840 or 7201 for specific inspections.)
EXTERNAL

Page B-HY-7
Catastrophe
9000 Flood
9001 Drought
9020 Lightning
9030 Earthquake
9031 Tornado
9035 Hurricane
Economic

9135 Lack of water
management control.

Page B-HY-8
9345 Pumping Operations
9350 Public Safety (water hazard or river rescue)
Regulatory

9676 Noise limits (not for personnel safety) – hydro and pumped storage
9686 Fish kill – hydro and pumped storage
9696 Other miscellaneous operational environmental limits – hydro and pumped storage
Safety


Page B-HY-9
9900 Operator error

9960 Staff shortage
INACTIVE STATES
9990 Retired unit
PERFORMANCE


Page B-HY-10
Appendix B6 Gas Turbine Unit Cause Codes
GAS TURBINE UNITS

(Unit Codes 300–399 and 700–799)
Cause Code
Electrical 3600-3690 B-GT-2

Power Station Switchyard 3700-3730 B-GT-3
Auxiliary Systems 3810-3899 B-GT-3
Miscellaneous (Balance of Plant) 3950-3999 B-GT-5
GENERATOR
Generator 4500-4590 B-GT-5

Exciter 4600-4609 B-GT-6
Cooling System 4610-4650 B-GT-6
Controls 4700-4750 B-GT-6
Miscellaneous (Generator) 4800-4899 B-GT-6
GAS TURBINE
Inlet Air System and Compressors 5000-5039 B-GT-7

Fuel, Ignition and Combustion Systems 5040-5079 B-GT-7
Turbine 5080-5099 B-GT-8
Exhaust Systems 5100-5109 B-GT-8
Auxiliary Systems 5110-5190 B-GT-9
Miscellaneous (Gas Turbine) 5200-5299 B-GT-9
EXPANDER TURBINE 7800-7960 B-GT-10
Miscellaneous (Pollution Control Equipment) 8656 B-GT-10

Continuous Emissions Monitoring Systems (CEMS) 8700-8790 B-GT-11
NOx Reduction Systems 8800-8835 B-GT-11
CO Reduction 8840-8845 B-GT-11
EXTERNAL
Catastrophe 9000-9040 B-GT-12

Economic 0000, 9130-9160 B-GT-12
Economic (for internal use at plants only) 9180-9199 B-GT-12
Fuel Quality 9200-9291 B-GT-12
Miscellaneous (External) 9300-9340 B-GT-13
Appendix B – System Component Cause Codes – Gas Turbine Units
Cause Code
Ranges Page No.
Regulatory 9504-9590 B-GT-13

Stack Emission 9603-9657 B-GT-14
Other Operating Environmental Limitations 9663-9693 B-GT-14
Safety 9700-9720 B-GT-14
PERSONNEL OR PROCEDURE ERRORS 9900-9960 B-GT-14
INACTIVE STATE 0002, 9990-9991 B-GT-14
PERFORMANCE 9997-9999 B-GT-14
BALANCE OF PLANT
Electrical

3643 AC Inverters

Page B-GT-2


Auxiliary Systems



Page B-GT-3
Auxiliary Steam

Service Air

Instrument Air




Page B-GT-4

GENERATOR
This set of codes contains the generator, exciter, generator cooling systems, and generator controls.
Note the main leads up to and includes the generator output breaker in this set of codes.
Generator
4500 Rotor windings

4511 Rotor, General
4536 Generator heaters

Page B-GT-5
Exciter

Cooling System

4613 Hydrogen seals
Controls


4830 Major overhaul (more than 720 hours) (use for non-specific overhaul only; see page B-FS-2)
2)
4840 Inspection

Page B-GT-6
GAS TURBINE
Inlet Air System and Compressors
(use HP compressor if only one)
Ducts and Filters
5000 Inlet air ducts

5001 Inlet air vanes / nozzles
5002 Inlet air filters
5003 Inlet cone
5004 Inlet air chillers
5005 Inlet air evaporative coolers
5006 Inlet air foggers
5009 Other inlet air problems
Compressors
5010 High pressure shaft

5011 High pressure bearings
5012 High pressure blades/buckets
5013 Compressor casing and bolts
5014 Compressor diaphragms
5015 Compressor seals
5016 High pressure compressor bleed valves
5017 Low pressure compressor bleed valves
5019 Other high pressure problems
5020 Low pressure shaft
5021 Low pressure bearings
5022 Low pressure blades/buckets
5030 Supercharging fans
5035 Compressor washing
5036 Compressor shaft and bearings for two-shaft machines
5037 Inlet Bleed Heat Valve
5039 Other compressor problems
Fuel, Ignition, and Combustion Systems
5040 Fuel tanks

5041 Fuel piping and valves
5042 Fuel nozzles/vanes
5043 Fuel filters
5044 Liquid fuel oil pump
5046 Liquid fuel oil transfer/forwarding pump
5047 Liquid fuel purge system
5048 Gas fuel system including controls and instrumentation
5049 Other fuel system problems
5050 Ignition system

Page B-GT-7
5051 Pilot fuel piping and valves

5052 Pilot fuel nozzles/vanes
5053 Pilot fuel filters
5054 Water injection system
5060 Atomizing air system
5065 NOx water injection system including pump
5066 NOx Steam Injection system
5070 Combustor casing
5071 Combustor liner
5072 Combustor caps
5073 Flame scanners
5074 Flashback including instrumentation
5075 Blade path temperature spread
5079 Other combustor problems
Turbine
(use HP if only one)

5083 High pressure nozzles/vanes
5084 High pressure casing/expansion joints
5085 Interstage gas passages - HP
5086 High pressure shaft seals
5087 Thrust Bearing
5088 Gas turbine cooling system
5093 Low pressure nozzles/vanes
5094 Low pressure casing/expansion joints
5095 Interstage gas passages - LP
5096 Low pressure shaft seals
5098 Expansion joints
5099 HP to LP coupling
Exhaust Systems
5100 Chamber
5101 Hoods
5102 Vanes/nozzles
5103 Silencer
5104 Cones
5105 Diverter Dampers
5106 Exhaust Stack
5108 High engine exhaust temperature
5109 Other exhaust problems (including high exhaust system temperature not attributable to a specific
problem)

Page B-GT-8
Auxiliary Systems
5110 Lube oil system - general

5111 Lube oil pumps
5113 Lube oil valves/piping
5115 Oil vapor extractor
5116 Power Augmentation System Equipment
5117 Power augmentation piping
5118 Power augmentation valves
5119 Power augmentation controls
5120 Hydraulic oil system
5121 Hydraulic oil system pumps
5122 Hydraulic oil system piping/valves
5130 Starting system (including motor)
5140 Battery and charger system
5151 Load gear compartment
5160 Cooling and seal air system
5170 Cooling water system
5180 Anti-icing system
5190 Other auxiliary system problems
5200 Reduction gear

5201 Load shaft and bearings
5205 Main coupling between the turbine and generator
5206 Clutch
5210 Intercoolers
5220 Regenerators
5230 Heat shields
5240 Fire detection and extinguishing system (including hazardous gas detection system)
5241 Fire in unit
5245 Gas Turbine Control System - data highway
5246 Gas Turbine Control System - hardware problems (including card failure)
5247 Gas Turbine Control System - internal and termination wiring
5248 Gas Turbine Control System - logic problems
5249 Gas Turbine Control System - upgrades
5250 Other Controls and instrumentation Problems
5255 Computer
5261 Gas turbine/compressor washing
5262 Gas turbine exchange
5269 Combustion Inspection (CI)
5270 Hot end inspection
5272 Boroscope inspection
5274 General unit inspection
5280 Vibration (not engine) in unit not attributable to bearings or other components

Page B-GT-9
5285 Gas turbine vibration

5286 Gas Turbine lockout
5290 Gas turbine performance testing - individual engines (use code 9999 for total unit performance
testing)
5295 Synchronous condenser equipment
5298 Main gas filter
5299 Other miscellaneous gas turbine problems
4830 Major overhaul (more than 720 hours) (use for non-specific overhaul only; see page B-FS-2)
2)
4840 Inspection
EXPANDER TURBINE
7800 Couplings
7810 Shaft
7820 Bearings
7830 Blades
7840 Discs
7850 Spacers
7860 Nozzles/vanes
7870 Heat shields
7880 Exhaust diffusers
7900 Inner casing
7910 Outer exhaust casing
7940 Evactor
7950 Major overhaul
7960 Other expander turbine problems

Page B-GT-10

8800 Reagent
8801 Carrier gas
8802 Control system
8810 Reactor
8811 Reagent
8812 Catalyst
8815 Soot blowers
8816 Plugging
8817 Control system
8820 SCR NOx Ammonia injection grid piping/valves
8821 SCR NOx Ammonia tanks, piping and valves (not injection)
8822 SCR NOx Ammonia air blowers
8823 SCR NOx Other ammonia system problems

8832 Plugging
CO Reduction

8842 Plugging

Page B-GT-11
EXTERNAL
Catastrophe
9000 Flood
9001 Drought
9020 Lightning
9030 Earthquake
9031 Tornado
9035 Hurricane
Economic

9140 Plant modifications to burn different fuel (not regulatory mandated)
management control.

Page B-GT-12

Fuel Quality


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


Page B-GT-13
Stack Emission
9603 SO2 stack emissions – gas turbines

9613 NOx stack emissions – gas turbines
9623 Particulate stack emissions – gas turbines
9633 Opacity – gas turbines
9653 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)
9657 Other stack or exhaust emissions testing - gas turbines
9663 Thermal discharge limits – gas turbines

9673 Noise limits (not for personnel safety) – gas turbines
9683 Fish kill – gas turbines
9693 Other miscellaneous operational environmental limits – gas turbines
Safety


9900 Operator error
9960 Staff shortage
INACTIVE STATES
9990 Retired unit
PERFORMANCE

Page B-GT-14
Appendix B7 Jet Engine Unit Cause Codes
JET ENGINE UNITS

(Unit Codes 300–399 and 700–799)
Cause Code
BALANCE OF PLANT Ranges PageNo.
Electrical 3600-3690 B-JE-2

Power Station Switchyard 3700-3730 B-JE-3
Auxiliary Systems 3810-3899 B-JE-3
Miscellaneous (Balance of Plant) 3950-3999 B-JE-5
GENERATOR
Generator 4500-4590 B-JE-5

Exciter 4600-4609 B-JE-6
Cooling System 4610-4650 B-JE-6
Controls 4700-4750 B-JE-6
Miscellaneous (Generator) 4800-4899 B-JE-6
JET ENGINE
Inlet Air System and Compressors 5400-5439 B-JE-7

Fuel, Ignition and Combustion Systems 5440-5479 B-JE-7
Turbine 5480-5499 B-JE-8
Exhaust Systems 5500-5509 B-JE-8
Auxiliary Systems 5510-5590 B-JE-8
Miscellaneous (Jet Engine) 5600-5699 B-JE-9
EXPANDER TURBINE 7800-7960 B-JE-9
Miscellaneous (Pollution Control Equipment) 8656 B-JE-10

Continuous Emissions Monitoring Systems (CEMS) 8700-8790 B-JE-10
NO x Reduction Systems 8800-8835 B-JE-10
CO Reduction 8840-8845 B-JE-11
EXTERNAL
Catastrophe 9000-9040 B-JE-11

Economic 0000, 9130-9160 B-JE-11
Economic (for internal use at plants only) 9180-9199 B-JE-11
Fuel Quality 9200-9291 B-JE-12
Miscellaneous (External) 9300-9340 B-JE-12
Appendix B – System/Component Cause Codes – Jet Engine
Cause Code
Ranges Page No.
Regulatory 9504-9590 B-JE-13

Stack Emission 9604-9658 B-JE-13
Other Operating Environmental Limitations 9664-9694 B-JE-13
Safety 9700-9720 B-JE-13
PERSONNEL OR PROCEDURE ERRORS 9900-9960 B-JE-13
INACTIVE STATE 0002, 9990-9991 B-JE-14

PERFORMANCE 9997-9999 B-JE-14
BALANCE OF PLANT
Electrical

3643 AC Inverters

Page B-JE-2


Auxiliary Systems



Page B-JE-3
Auxiliary Steam

Service Air

Instrument Air




Page B-JE-4

GENERATOR
Generator
4500 Rotor windings

4511 Rotor, General
4536 Generator heaters

Page B-JE-5

Exciter

Cooling System

4613 Hydrogen seals
Controls


4830 Major overhaul (more than 720hours) (use for non-specific overhaul only; see page B-FS-2)
2)
4840 Inspection

Page B-JE-6
JET ENGINE

Ducts and Filters

5401 Inlet air vanes/nozzles
5403 Inlet and exhaust cones
Compressors

5414 Compressor diaphragms/vanes
5440 Fuel tanks

5443 Fuel filters
5454 Water injection system
5455 Fuel nozzle/vane cooling air system

Page B-JE-7

5472 Combustor caps
5473 Flame scanners
5474 Flashback (including instrumentation)
Turbine

5484 High pressure casing/expansion joint
5485 Interstage gas passages
5487 Thrust Bearing
5499 Shaft seals
Exhaust Systems
5500 Chamber
5501 Hoods
5502 Vanes/nozzles
5503 Silencer
5504 Cones
5509 Other exhaust problems (including high exhaust temperature not attributable to a specific problem)
Auxiliary Systems


Page B-JE-8

Miscellaneous (Jet Engine)
5600 Reduction gear

5606 Clutch
5610 Intercoolers
5620 Regenerators
5630 Heat shields
5640 Fire detection and extinguishing system
5641 Fire in unit
5645 Jet Engine Control System - data highway
5646 Jet Engine Control System - hardware problems (including card failure)
5647 Jet Engine Control System - internal and termination wiring
5648 Jet Engine Control System - logic problems
5649 Jet Engine Control System - upgrades
5661 Engine/compressor washing
5662 Engine exchange
5665 Engine shafts and bearings
5685 Engine vibration
5686 Jet engine lockout
5690 Engine performance testing - individual engines (use code 9999 for total unit performance
testing)
5699 Other miscellaneous jet engine problems
EXPANDER TURBINE
7800 Couplings
7810 Shaft
7820 Bearings
7830 Blades
7840 Discs
7850 Spacers
7860 Nozzles/vanes
7870 Heat shields
7900 Inner casing

Page B-JE-9

7940 Evactor
7950 Major overhaul

8800 Reagent
8801 Carrier gas
8802 Control system
8810 Reactor
8811 Reagent
8812 Catalyst
8815 Soot blowers
8816 Plugging
8817 Control system

Page B-JE-10

8832 Plugging
CO Reduction

8842 Plugging
EXTERNAL
fuel, labor strikes, etc.); operator training; and, transmission system problems external to the plant.
Catastrophe
9000 Flood
9001 Drought
9020 Lightning
9030 Earthquake
9031 Tornado
9035 Hurricane
Economic

9140 Plant modifications to burn different fuel (not regulatory mandated)
management control.

Page B-JE-11

Fuel Quality


Page B-JE-12

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

9506 Regulatory (environmental) proceedings and hearings Χ intervenor initiated
9604 SO2 stack emissions – Jet engines

9614 NOx stack emissions – Jet engines
9624 Particulate stack emissions – Jet engines
9634 Opacity – jet engines
9654 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)
9658 Other stack or exhaust emissions testing - Jet engines
9664 Thermal discharge limits – jet engines

9674 Noise limits (not for personnel safety) – Jet engines
9684 Fish kill – jet engines
9694 Other miscellaneous operational environmental limits – Jet engines
Safety


9900 Operator error
9960 Staff shortage

Page B-JE-13
INACTIVE STATES
9990 Retired unit
PERFORMANCE
9999 Total unit performance testing (use appropriate codes for individual component testing

Page B-JE-14
Appendix B8 Combined Cycle Cogeneration Block Cause Codes
UNITS IN COMBINED CYCLE or COGENERATION BLOCKS

(Gas Turbine Codes 300–399 or 700–799)
(Steam Turbine Codes 100–199)
(With Block Identifier 800–899)
Cause Code
GAS TURBINE Ranges Page No.
Inlet Air System and Compressors 5000-5039 B-CC-3

Fuel, Ignition and Combustion Systems 5040-5079 B-CC-4
Turbine 5080-5099 B-CC-4
Exhaust Systems 5100-5109 B-CC-5
Auxiliary Systems 5110-5190 B-CC-5
Miscellaneous (Gas Turbine) 5200-5299 B-CC-6
JET ENGINE
JET ENGINE
Inlet Air System and Compressors 5400-5439 B-CC-6

Fuel, Ignition and Combustion Systems 5440-5479 B-CC-7
Turbine 5480-5499 B-CC-7
Exhaust Systems 5500-5509 B-CC-8
Auxiliary Systems 5510-5590 B-CC-8
Miscellaneous (Jet Engine) 5600-5699 B-CC-8
MISCELLANEOUS
Instruments and control 6200 B-CC-9
EXPANDER TURBINE 7800-7960 B-CC-9
STEAM TURBINE
High Pressure Turbine 4000-4099 B-CC-10

Intermediate Pressure Turbine 4100-4199 B-CC-10
Low Pressure Turbine 4200-4250 B-CC-10
Valves 4260-4269 B-CC-11
Piping 4270-4279 B-CC-11
Lube Oil 4280-4289 B-CC-11
Controls 4290-4314 B-CC-11
Miscellaneous (Steam Turbine) 4400-4499 B-CC-12
GENERATOR
Generator 4500-4580 B-CC-12

Exciter 4600-4609 B-CC-13
Cooling System 4610-4650 B-CC-13
Controls 4700-4750 B-CC-13
Appendix B – System/Component Cause Codes – Combined Cycle Units or Co-generation Blocks
Miscellaneous (Generator) 4800-4899 B-CC-13
Cause Code
HRSG BOILER Ranges Page No.
HRSG Boiler Fuel Supply 0111-0121 & B-CC-14

0358-0480
HRSG Boiler Piping System 0540-0570 & B-CC-15
6110-6183 &
0670-0799
HRSG Boiler Internals and Structures 0800-0859 B-CC-17
HRSG Boiler Tube Leaks 6005-6090 B-CC-17
Miscellaneous HRSG Boiler Tube Problems 1300-1599 B-CC-18
HRSG Boiler Control Systems 1700-1799 B-CC-18
HRSG Boiler Overhaul and Inspections 1800-1820 B-CC-19
HRSG Boiler Water Condition 1850 B-CC-19
HRSG Boiler Design Limitations 1900-1910 B-CC-19
Miscellaneous (HRSG Boiler) 1980-1999 & B-CC-19
6000 & 6100
BALANCE OF PLANT
Condensing System 3110-3199 B-CC-19

Circulating Water Systems 3210-3285, 3299 B-CC-20
Waste Water (zero discharge) System 3290-3295 B-CC-21
Condensate System 3300-3399 B-CC-21
Feedwater System 3401-3499 B-CC-22
Heater Drain Systems 3501-3509 B-CC-23
Extraction Steam 3520-3549 B-CC-23
Electrical 3600-3690 B-CC-23
Power Station Switchyard 3700-3730 B-CC-24
Auxiliary Systems 3800-3899 & B-CC-25
6299 & 6399
Miscellaneous (Balance of Plant) 3950-3999 B-CC-27
Continued Emissions Monitoring Systems (CEMS) 8700-8790 B-CC-27

NOx Reduction Systems 8800-8835 B-CC-27
CO Reduction 8840-8845 B-CC-28
EXTERNAL
Catastrophe 9000-9040 B-CC-28

Economic 0000, 9130-9160 B-CC-29
Economic (for internal use at plants only) 9180-9199 B-CC-29

Page B-CC-2
Fuel Quality 9200-9291 B-CC-29

Miscellaneous (External) 9300-9340 B-CC-30
Regulatory 9504-9590 B-CC-30

Stack Emission 9600-9658 B-CC-30
Other Operating Environmental Limitations 9660-9694 B-CC-31
Safety 9700-9720 B-CC-31
PERSONNEL OR PROCEDURE ERRORS 9900-9960 B-CC-32
INACTIVE STATE 0002, 9990-9991 B-CC-32
PERFORMANCE 9997-9999 B-CC-32
GAS TURBINE
Inlet Air System and Compressors (use HP compressor if only one)
Ducts and Filters

5001 Inlet air vanes / nozzles
5003 Inlet cone
Compressors

5013 Compressor casing and bolts
5014 Compressor diaphragms
5015 Compressor seals
5016 High pressure compressor bleed valves
5017 Low pressure compressor bleed valves

Page B-CC-3

5037 Inlet Bleed Heat Valve
5040 Fuel tanks

5043 Fuel filters
5054 Water Injection System (Gas Turbine)
5065 NOx water injection system including pump
5066 NOx Steam Injection System
5072 Combustor caps
5073 Flame scanners
Turbine

5084 High pressure casing/expansion joints
5085 Interstage gas passages - HP
5087 Thrust Bearing
5088 Gas Turbine cooling steam

Page B-CC-4

5095 Interstage gas passages - LP
5096 Low pressure shaft seals
5099 HP to LP coupling
Exhaust Systems
5100 Chamber
5101 Hoods
5102 Vanes/nozzles
5103 Silencer
5104 Cones
5106 Exhaust Stack
5109 Other exhaust problems (including high exhaust system temperature not attributable to a specific
problem)
Auxiliary Systems
5110 Lube oil system - general

5111 Lube oil pumps
5113 Lube oil valves/piping
5114 Lube oil filters
5115 Oil vapor extractor
5117 Power Augmentation piping
5118 Power augmentation valves
5119 Power augmentation controls
5121 Hydraulic oil system pumps
5122 Hydraulic oil system piping/valves

Page B-CC-5
5200 Reduction gear

5206 Clutch
5210 Intercoolers
5220 Regenerators
5230 Heat shields
5241 Fire in unit
5245 Gas Turbine Control System - data highway
5246 Gas Turbine Control System - hardware problems (including card failure)
5247 Gas Turbine Control System - internal and termination wiring
5248 Gas Turbine Control System - logic problems
5249 Gas Turbine Control System – upgrades
5250 Controls and instrumentation Problems
5255 Computer
5261 Gas turbine/compressor washing
5262 Gas turbine exchange
5269 Combustion inspection (CI)
5285 Gas turbine vibration
5286 Gas Turbine lockout caused by OEM specifications
5290 Gas turbine performance testing - individual engines (use code 9999 for total unit performance
testing)
5298 Main gas filter
5299 Other miscellaneous gas turbine problems
JET ENGINE

Ducts and Filters

5401 Inlet air vanes/noozles
5403 Inlet and exhaust cones

Page B-CC-6
Compressors
5414 Compressor diaphragms/vanes
5435 Jet Engine Compressor Washing
5440 Fuel tanks

5443 Fuel filters
5447 Gas fuel system
5454 Water Injection System (Jet Engine)
5455 Fuel nozzle/vane cooling air system
5472 Combustor caps
5473 Flame scanners
Turbine

5484 High pressure casing/expansion joint
5485 Interstage gas passages
5487 Thrust Bearing
Page B-CC-7

5499 Shaft seals
Exhaust Systems
5500 Chamber
5501 Hoods
5502 Vanes/nozzles
5503 Silencer
5504 Cones
5509 Other exhaust problems (including high exhaust temperature not attributable to a specific
problem)
Auxiliary Systems
Miscellaneous (Jet Engine)

5600 Reduction gear
5606 Clutch
5610 Intercoolers
5620 Regenerators
5630 Heat shields
5641 Fire in unit
5645 Jet Engine Control System - data highway
5646 Jet Engine Control System - hardware problems (including card failure)
5647 Jet Engine Control System - internal and termination wiring
5648 Jet Engine Control System - logic problems
5649 Jet Engine Control System – upgrades
5660 Major overhaul (use for non-specific overhaul only; see page B- FS-2)

Page B-CC-8
5661 Engine/compressor washing

5662 Engine exchange
5665 Engine shafts and bearings
5685 Engine vibration
5686 Jet engine lockout caused by OEM specifications
5690 Engine performance testing - individual engines (use code 9999 for total unit performance testing)
5699 Other miscellaneous jet engine problems
MISCELLANEOUS
Instrument and Control
6200 Combined cycle instruments and controls. (Report instruments and controls specific to the gas
turbine; steam turbine; boiler; generator; or balance of plant using the codes for the appropriate
piece of equipment.)
EXPANDER TURBINE
7800 Couplings
7810 Shaft
7820 Bearings
7830 Blades
7840 Discs
7850 Spacers
7860 Nozzles/vanes
7870 Heat shields
7900 Inner casing
7940 Evactor
7950 Major overhaul
STEAM TURBINE

Page B-CC-9
4000 Outer casing

4001 Inner casing
4009 Nozzle bolting
4011 Diaphragms
4020 Shaft seals
4021 Dummy rings
4022 Gland rings
4030 Rotor shaft
4040 Bearings
4099 Other high-pressure turbine problems
Intermediate-Pressure Turbine
4100 Outer casing

4101 Inner casing
4109 Nozzle bolting
4111 Diaphragms
4120 Shaft seals
4121 Dummy rings
4122 Gland rings
4130 Rotor shaft
4140 Bearings
Low-Pressure Turbine
4200 Outer casing

4201 Inner casing
4209 Nozzle bolting
4211 Diaphragms
4220 Shaft seals
4221 Dummy rings
4222 Gland rings
4230 Rotor shaft
4240 Bearings

Page B-CC-10
Valves

4261 Control valves
Piping

Lube Oil
4280 Lube oil pumps

Controls


Page B-CC-11

4400 Major turbine overhaul (720 hours or longer) (use for non-specific overhaul only; see page B- FS-2)
4401 Inspection
4402 Minor turbine overhaul (less than 720 hours) (use for non-specific overhaul only; see page B- FS-2)
GENERATOR
Generator
4500 Rotor windings

4511 Rotor, General
Exciter


Page B-CC-12

Cooling System

4613 Hydrogen seals
Controls


see Page B- FS-2)
see Page B- FS-2)
4840 Inspection

Page B-CC-13
HEAT RECOVERY STEAM GENERATOR (HRSG)

(Waste Heat Boiler)
HRSG Boiler Fuel Supply
Solid Fuel Feed Equipment from Bunkers to Boiler (FBC only)
0111 Solid fuel feeder conveyors

0112 Solid fuel feed tanks/hoppers
0113 Solid fuel tank/hopper fires
0114 Solid fuel volumetric feeder
0115 Solid fuel gravimetric feeder
0116 Solid fuel feeder motors
0117 Solid fuel pneumatic transport system including piping and valves
0118 Solid fuel drying system including screens
0119 Solid fuel crushers
0120 Solid fuel crusher motors
0121 Other solid fuel feed problems
Burners (Duct Burners)

0360 Duct burners
0361 Duct burner orfices
0370 Duct burner instruments and controls (except light-off)
0380 Light-off (igniter) systems (including fuel supply)
0385 Igniters
0410 Other duct burner problems
Oil and Gas Systems (except light-off)

0480 Other oil and gas fuel supply problems (see codes 0360-0410 for burner problems)
Steam System Desuperheaters/Attemperators
See cause codes 6140 to 6154

Page B-CC-14
HRSG Boiler Piping System
HRSG Startup Bypass
See cause codes 6160 to 6183
HRSG Main Steam
6110 HP steam piping up to turbine stop valves – Greater than 600 PSIG
(see 0790 for piping supports)
6111 HP steam relief/safety valves
6112 Other HP steam valves (including vent and drain valves but not including the turbine stop valves)
6113 Other HP steam system problems
6114 HP steam isolation/boundary valves
6120 IP steam piping up to turbine stop valves – Between 200 & 600 PSIG
(see 0790 for piping supports)
6121 IP steam relief/safety valves
6122 Other IP steam valves (including vent and drain valves but not including the turbine stop valves)
6123 Other IP steam system problems
6124 IP steam isolation/boundary valves
6130 LP steam piping up to turbine stop valves – Less than 200 PSIG (see 0790 for piping supports)
6131 LP steam relief/safety valves
6132 Other LP steam valves (including vent and drain valves but not including the turbine stop valves)
6133 Other LP steam system problems
6135 LP steam isolation/boundary valves
HRSG Cold and Hot Reheat Steam
0540 Reheat steam piping up to turbine stop valves

0560 Other reheat steam valves (not including turbine stop or intercept valves)
HRSG Desuperheaters/Attemperators
6140 HP Desuperheater/attemperator piping – Greater than 600 PSIG.

6141 HP Desuperheater/attemperator valves
6142 HP Desuperheater/attemperator spray nozzles
6143 HP Desuperheater/attemperator drums
6144 Other HP desuperheater/attemperator problems
6145 IP Desuperheater/attemperator piping – Between 200-600 PSIG
6146 IP Desuperheater/attemperator valves
6147 IP Desuperheater/attemperator spray nozzles
6148 IP Desuperheater/attemperator drums
6149 Other IP desuperheater/attemperator problems

Page B-CC-15
6150 LP Desuperheater/attemperator piping – Less than 200 PSIG

6151 LP Desuperheater/attemperator valves
6152 LP Desuperheater/attemperator spray nozzles
6153 LP Desuperheater/attemperator drums
6154 Other LP desuperheater/attemperator problems
HRSG Startup Bypass
6160 HP Startup bypass system piping (including drain lines up to heaters or condenser)- Greater than
600 PSIG
6161 HP Startup bypass system valves
6162 HP Startup bypass tanks or flash tanks
6163 Other HP startup bypass system problems
6164 HP startup bypass instrumentation and controls
6170 IP Startup bypass system piping (including drain lines up to heaters or condenser) – Between 200-
600 PSIG
6171 IP Startup bypass system valves
6172 IP Startup bypass tanks or flash tanks
6173 Other IP startup bypass system problems
6174 IP startup bypass instrumentation and controls
6180 LP Startup bypass system piping (including drain lines up to heaters or condenser) – Less than 200
PSIG
6181 LP Startup bypass system valves
6182 LP Startup bypass tanks or flash tanks
6183 Other LP startup bypass system problems
6184 LP startup bypass instrumentation and controls

0720 Blowdown system controls / instrumentation

0750 Boiler recirculation piping including downcomers

Page B-CC-16

HRSG Boiler Internals and Structures
0800 Drums and drum internals (single drum only)

0801 HP Drum (including drum level trips not attributable to other causes)
0802 IP Drum (including drum level trips not attributable to other causes)
0803 LP Drum (including drum level trips not attributable to other causes)
0820 Casing
0830 Doors
0848 Inlet panel
0855 Drum relief/safety valves (Single drum only)
0856 HP Drum relief/safety valves
0857 IP Drum relief/safety valves
0858 LP Drum relief/safety valves
HRSG Boiler Tube Leaks

6005 HP Evaporator tubes

6006 IP Evaporator tubes
6007 LP Evaporator tubes
6010 HP superheater
6011 HP reheater
6012 HP economizer
6020 IP superheater
6021 IP reheater
6022 IP economizer
6030 LP reheater
6031 LP superheater
6032 LP economizer
6090 Other HRSG tube Problems

Page B-CC-17
Miscellaneous HRSG Boiler Tube Problems

1305 Fireside cleaning (which requires a full outage)
1360 Boiler Drain System
Air Supply
1400 Forced draft fans

1407 Forced draft fan lubrication system
1410 Forced draft fan motors
1411 Forced draft fan motors – variable speed
1412 Forced draft fan drives (other than motor)
1415 Forced draft fan controls
1420 Other forced draft fan problems
1430 Air supply ducts
1451 Fluidized Air Fan (FBC Only)
1590 Stacks
1592 Stack damper linkage motors
HRSG Boiler Control Systems

(including instruments which input to the controls)
1700 Feedwater controls (report local controls --- feedwater pump, feedwater regulator valve, etc., --- with
1710 Combustion/steam condition controls (report local controls with component or system)
1720 Desuperheater/attemperator controls (not local controls)
1740 Gage glasses

Page B-CC-18
HRSG Boiler Overhaul and Inspections
1800 Major boiler overhaul (720 hours or more) (use for non-specific overhaul only; see page B- FS-2)
1801 Minor boiler overhaul (less than 720 hours) (use for non-specific overhaul only; see page B- FS-2)
1811 Boiler Inspections – problem identification/investigative
HRSG Boiler Water Condition
HRSG Boiler Design Limitations
(use more specific codes - other slagging and fouling problems, other control problems, etc. whenever possible.
Describe miscellaneous problems in the verbal description.)

6000 HRSG Boiler to gas turbine connecting equipment.
6100 Steam turbine to gas turbine coupling
BALANCE OF PLANT
Condensing System
Condenser Tubes

3119 Other air-cooled condenser tube casing or shell and internal problems

Page B-CC-19
3120 Tube sheets

3123 Hot well
Vacuum Equipment
3130 Air ejectors

3133 Vacuum pumps
3149 Loss of vacuum not attributable to a particular component such as air ejectors or valves; high back
pressure not attributable to high circulating water temperature, or vacuum losses from a known
cause.
Condenser Controls


3231 Waterbox

Page B-CC-20

equipment problem)

Condensate System


Page B-CC-21



controls: see codes 3150-3159, 3344, 3502.
Feedwater System

3410 Feedwater pump

Page B-CC-22


Extraction Steam

Electrical


Page B-CC-23

3643 AC Inverters
3700 Powerhouse switchyard (non generating unit equipment)


Page B-CC-24
Auxiliary Systems



Auxiliary Steam

Service Air

Page B-CC-25
Instrument Air



Seal Air Fans
3880 Seal air fan

6299 Other combined cycle block problems (Use other gas turbine problem codes, other steam turbine
codes, etc., whenever appropriate.)
6399 Other coal gasification equipment problems

Page B-CC-26



(Use code 0360 for Low NOx Burners)
8800 Reagent
8801 Carrier gas
8802 Control system

Page B-CC-27
8810 Reactor
8811 Reagent
8812 Catalyst
8815 Soot blowers
8816 Plugging
8817 Control system

8832 Plugging
CO Reduction

8842 Plugging
EXTERNAL
Catastrophe
9000 Flood
9001 Drought
9020 Lightning
9030 Earthquake
9031 Tornado
9035 Hurricane

Page B-CC-28
Economic

management control.
Fuel Quality


Page B-CC-29

9270 Wet coal (OMC)

equipment due to regulation are reported using the appropriate equipment cause codes, and the fact that it was
Regulatory

Stack Emission
9600 SO2 stack emissions – Fossil

9603 SO2 stack emissions – Gas Turbine
9604 SO2 stack emissions – Jet Engines
9610 NOx stack emissions – Fossil
9613 NOx stack emissions – Gas Turbine
9614 NOx stack emissions – Jet Engines
9616 CO Stack emissions
9620 Particulate stack emissions – Fossil
9623 Particulate stack emissions – Gas Turbine
9624 Particulate stack emissions – Jet Engines

Page B-CC-30
9630 Opacity – Fossil

9633 Opacity – Gas Turbine
9634 Opacity – Jet Engines
9650 Other stack or exhaust emissions – Fossil
9653 Other stack or exhaust emissions – Gas Turbine
9654 Other stack or exhaust emissions – Jet Engines
9656 Other stack or exhaust emissions testing - Fossil
9657 Other stack or exhaust emissions testing – Gas Turbine
9658 Other stack or exhaust emissions testing – Jet Engines
9660 Thermal discharge limits – Fossil

9663 Thermal discharge limits – Gas Turbines
9664 Thermal discharge limits – Jet Engines
9670 Noise limits (not for personnel safety) – Fossil
9673 Noise limits (not for personnel safety) – Gas Turbines
9674 Noise limits (not for personnel safety) – Jet Engines
9677 Noise limits testing - Fossil
9678 Noise limits testing - Gas Turbine
9679 Noise limits testing - Jet Engines
9680 Fish kill
9683 Fish kill (gas turbine)
9684 Fish kill (jet engine)
9690 Other miscellaneous operational environmental limits – Fossil
9693 Other miscellaneous operational environmental limits – Gas Turbines
9694 Other miscellaneous operational environmental limits – Jet Engines
Safety


Page B-CC-31

9900 Operator error
9960 Staff shortage
INACTIVE STATES
9990 Retired unit
PERFORMANCE

Page B-CC-32
Appendix B9 Geothermal Unit Cause Codes
GEOTHERMAL UNITS
(Unit Codes 800–899)
Cause Code
Boiler Piping System 0500-0620 B-GE-2
BALANCE OF PLANT
Condensing System 3110-3199 B-GE-3

Circulating Water Systems 3210-3285 B-GE-4
Waste Water (zero discharge) 3290-3299 B-GE-4
Condensate System 3300-3399 B-GE-5
Electrical 3600-3690 B-GE-5
Power Station Switchyard 3700-3730 B-GE-6
Auxiliary Systems 3800-3899 B-GE-6
Miscellaneous (Balance of Plant) 3950-3999 B-GE-8
STEAM TURBINE
Low Pressure Turbine 4200-4250 B-GE-8

Valves 4260-4269 B-GE-9
Piping 4270-4279 B-GE-9
Lube Oil 4280-4289 B-GE-9
Controls 4290-4314 B-GE-9
Miscellaneous (Steam Turbine) 4400-4499 B-GE-10
GENERATOR
Generator 4500-4580 B-GE-10

Exciter 4600-4609 B-GE-11
Cooling System 4610-4650 B-GE-11
Controls 4700-4750 B-GE-11
Miscellaneous (Generator) 4800-4899 B-GE-12
MISCELLANEOUS - GEOTHERMAL
Plants and Auxiliaries 6410-6499 B-GE-12

Appendix B – System/Component Cause Codes – Geothermal Units
Cause Code
POLLUTION CONTROL EQUIPMENT Ranges Page No.
Wet Scrubbers 8000-8499 B-GE-12

Continued Emissions Monitoring Systems (CEMS) 8700-8790 B-GE-14
EXTERNAL
Catastrophe 9000-9040 B-GE-14

Economic 0000, 9130-9160 B-GE-15
Economic (for internal use at plants only) 9180-9199 B-GE-15
Miscellaneous (External) 9300-9340 B-GE-15
Regulatory 9504-9590 B-GE-16

Safety 9700-9720 B-GE-16
PERSONNEL OR PROCEDURE ERRORS 9900-9950 B-GE-16
INACTIVE STATE 0002, 9990-9991 B-GE-16
PERFORMANCE 9997-9999 B-GE-16
BOILER
Main Steam

0510 Main steam relief/safety valves off superheater


Page B-GE-2
BALANCE OF PLANT
Condensing System
Condenser Tubes and Support Equipment

3120 Tube sheets

3123 Hot well
Vacuum Equipment
3130 Air ejectors

3133 Vacuum pumps
3149 Loss of vacuum not attributable to a particular component such as air ejectors or valves; or, high
known cause.
Condenser Controls


Page B-GE-3


3231 Waterbox
equipment problem)


Page B-GE-4

Condensate System


controls: see codes 3150-3159, 3344, 3502).
Electrical

3643 AC Inverters

Page B-GE-5


Auxiliary Systems



Page B-GE-6


Auxiliary Steam

3839 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

Instrument Air


3864 Fire protection system instruments and controls

Page B-GE-7
Seal Air Fans
3880 Seal air fan


STEAM TURBINE
4200 Outer casing

4201 Inner casing
4209 Nozzle bolting
4211 Diaphragms

Page B-GE-8

4220 Shaft seals
4221 Dummy rings
4222 Gland rings
4230 Rotor shaft
4240 Bearings
Valves

4261 Control valves
Piping

Lube Oil
4280 Lube oil pumps

Controls


Page B-GE-9
4314 Steam Turbine Control System – upgrades
4400 Major turbine overhaul (720 hours or longer) (use for non-specific overhaul only; see page B-FS-2)
4401 Inspection
4402 Minor turbine overhaul (less than 720 hours) (use for non-specific overhaul only; see page B-FS-2)
GENERATOR
Generator
4500 Rotor windings

4511 Rotor, General

Page B-GE-10

Exciter

Cooling System

4613 Hydrogen seals
Controls


Page B-GE-11

see page B-FS-2)
see page B-FS-2)
4840 Inspection
MISCELLANEOUS - GEOTHERMAL
Plant and Auxiliaries
6410 Steam wells/steam field piping problems

6415 Low steam pressure
6420 Condensate reinjection system
6430 Unit H2S emission limitations - regulatory
6435 Steam field H2S emission limitations - regulatory
6440 H2S abatement system problems - general
6450 Heat exchanger problems due to H2S abatement system
6460 Condenser problems due to H2S abatement system
6470 Cooling tower problems due to H2S abatement system
6480 Steam strainer plugging - mineral deposits
6490 Turbine plugging - mineral deposits
6499 Geothermal

Wet Scrubbers
Chemical Supply

8006 Weigh feeders

Page B-GE-12
8010 Crushers/mills
8030 Classifiers
Wet Scrubber

8110 Spray nozzles
8150 Tubes
8200 Piping
8210 Valves
8225 Drain pots
8230 Ducting
8235 Demister
8240 Bypass dampers
*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-13
Miscellaneous (Wet Scrubber)

8420 Heat tracer
8440 Major overhaul
8450 Inspection
8460 Testing
8470 SO2 monitor

EXTERNAL
fuel, labor strikes, etc.); operator training; and, transmission system problems external to the plant.
Catastrophe
9000 Flood
9001 Drought
9020 Lightning
9030 Earthquake
9031 Tornado
9035 Hurricane

Page B-GE-14
Economic

management control.

Page B-GE-15

Regulatory

Safety


9900 Operator error
INACTIVE STATES
9990 Retired unit
PERFORMANCE

Page B-GE-16
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:
Table 1: Unit Identification Codes

Unit Type Coding Series
Fossil (Steam)
100 - 199
(Use 600-649 if additional numbers are needed)
Nuclear 200 - 299
Combustion Turbines (Gas Turbines or Jet Engines)

300 - 399
Diesel Engines 400 - 499
Hydro/Pumped Storage
500 - 599
Fluidized Bed Combustion 650 - 699
Miscellaneous
(Multi-Boiler/Multi-Turbine, Geothermal, Combined Cycle Block, 800 - 899
Concentrated Solar Power, etc.)

Page C-1
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; 212-921-1040
Utility Code Utility Name
003 Ontario Power Generation, Inc.

004 NB Power
008 Emera Energy Inc.
043 Nova Scotia Power
098 Dynegy Generation
100 Brookfield Power
102 Constellation Energy
105 Central Maine Power Company
107 Connecticut Light And Power Co.
108 Consolidated Edison Co. Of New York, Inc.
108 Astoria Energy, LLC
108 Astoria Energy II LLC
109 Glenwood Energy Center
110 Port Jefferson Energy Center
111 Connecticut Light And Power Co.
113 National Grid
117 Upstate New York Power Producers, Inc.
117 Somerset Operatin Company
118 NRG Energy
119 Dominion Energy
120 New York Power Authority
121 Public Service Of New Hampshire
122 Rochester Gas & Electric Corp.
126 Mass. Municipal Wholesale Elec. Co.
127 Dominion Nuclear Connecticut
127 Brayton Point Energy
130 Covanta SEMASS
131 Exelon New England Holding, LLC
132 Hawkeye Energy Greenport
133 NextEra Energy Resources
136 Mirant New England
137 Ocean State Power
141 NRG Energy - New England
144 Entergy Nuclear Northeast
145 Berkshire Power Company
147 Braintree Electric Light Department
149 Milford Power Company
150 Connecticut Municipal Electric Energy Coop.

Page C-2
Northeast Power Coordinating Council (NPCC) (Continued)
151 US Power Generating Company

152 NRG Energy - New York
153 Broome Energy Resources
155 Calpine Corporation
161 PPL Generation Co.
161 Wallingford Energy, LLC
164 EP Energy Massachusetts LLC
164 EP Newington Energy
167 Taunton Municipal Light
170 Masspower
173 NextEra Energy Seabrook
175 Wheelabrator Millbury, Inc.
176 Wheelabrator Technologies, Inc.
190 FirstLight Hydro Generating Company
191 PS&H Ipps
192 ReEnergy Stratton Lp
197 Peabody Municipal Light
1A0 Brookfield Power (NYISO)
1A1 Brookfield Power
1A2 Morris Energy
1A3 Rensselaer Cogeneration LLC
1A4 NAES Corporation-Kleen Energy Systems
1A6 Cogen Technologies
1A7 Selkirk Cogen Partners, L.P.
1A9 Bayonne Energy Center
1B3 Allegany Generating Station
1B4 Wheelabrator Bridgeport, L.P.
1B6 Velco 182
1B8 Dartmouth Power Associates
1B9 Lockport Energy Associates
1C1 Tiverton Power Inc.
1C5 Fortistar North Tonawanda
1C8 AP (Curtis Palmer)
1D1 Waterside Power, LLC
1D2 Indeck – Silver Springs
1D8 Lakeside Energy
1D9 ReEnergy Black River
1E1 Dighton Power, LLC
1E2 Indeck-Corinth LP
1E3 Capital District Energy Center
1E4 ReEnergy Lyonsdale
1E5 CCI Roseton LLC
1E7 Astoria II LLC
1E8 Plainfield Renewable Energy

Page C-3
Northeast Power Coordinating Council (NPCC) (Continued)
1E9 New Athens

1F2 Indeck-Olean LP
1F3 Nassaue Energy Corp
1F4 Niagara Generation
1F5 Kendall Green Energy
1F6 Danskammer Energy
1F7 Binghamton BOP
1F8 Bucksport Generation
1F9 SBF New York
1G1 Verso Maine Energy LLC
1G2 Indeck-Oswego LP
1G3 L’Energia Energy Center
1H2 Indeck-Yerkes LP
1H3 Pittsfield Generating Company LP
1J2 Jamestown Board of Utilites
1L2 Carthage Energy LLC
1L3 Lake Road Generating Company, LP
1M3 Burlington Electric Department
1N1 Saranac Energy
1N2 Seneca Power Partners, L.P.
1N3 Firstlight Hydro Generating Company
1P3 Rumford Power Inc.
1Q1 CLI Energy Center
1Q2 Dynegy Generation
1R2 Sterling Power Partners, L.P.
1R3 Millennium Power Partners L.P.
1S1 Empire Generating Co, LLC
1S3 Waterbury Generation
1T1 Bridgeport Energy LLC
1T2 Wheelabrator Westchester Inc
1U1 Nextera Energy Resources
1U2 PSEG Power New York
1V2 PSEG Power Connecticut
1W2 Shoreham Energy LL
1X2 Edgeewood Energy LLC
1Y2 Equus Power LP 1
1Z1 Castleton Power, LLC
1Z2 Pinelawn Power LLC

Page C-4
ReliabilityFirst (RF)
ReliabilityFirst
3 Summit Park Drive, Suite 600
Cleveland, Ohio 44131
216-503-0660
200 Safe Harbor Water Corporation – Brookfield Utility

201 Conectiv (AE)
201 Chambers Cogeneration
202 Constellation Maryland Peaker Fleet
203 Delaware Municipal Utilities
205 Jersey Central Power & Light Company
206 Easton Utilites Commission
207 Forked River Power
208 First Energy (Metropolitan Edison Company)
209 Vineland Municipal Electric Utilities
210 Panda Brandywine LP
211 First Energy (Pennnsylvania Electric Company)
212 PPL Generation Co
212 Schuylkill Energy
213 Exelon Generation Co., LLC (Philadelphia Electric Company)
215 Public Service Electric And Gas Co.
216 UGI Corporation
218 Horthampton
220 EME Homer City Generation
222 PEI Power Corp.
223 Nextera Energy Resources
223 Wisconsin Electric Power Co.
230 Integrys Energy Services
231 Pedricktown Cogen
232 Amergen - MAAC
234 Commonwealth Chesapeake
235 GenOn Energy
236 Genon Energy (East)
237 Genon Energy (Central)
238 Genon Energy (West)
242 NRG Energy - Mid Atlantic
244 Convanta Energy
248 Old Dominion Electric Cooperative
249 AES Energy
251 Delaware City Refining Company
253 Dominion Energy

Page C-5
ReliabilityFirst (RF) (Continued)
254 East Coast Power

256 Newmarket Power Company, LLC
257 Liberty Electric Power, LLC.
260 Ontelaunee Power Operating Co.
261 Allegheny Energy Supply
263 Sunbury Generation LP
265 Cape May Holdings
267 Elmwood Park Power, LLC
270 EFS Parlin
271 Wheelabrator Frackville
275 Monmouth Energy
280 Eagle Point Power Generation, LLC
281 Covanta Essex
282 Scrubgrass Generating Company
284 USACE – Detroit District
287 US Operating Services Company – Logan
288 Northeast Maryland
290 Brandon Shores LLC
291 C.P. Crane LLC
292 H.A. Wagner LLC
294 Wheelabrator Baltimore, L.P.
297 Seneca Generation, LLC (LS Power)
298 West Deptford Energy
2A2 Invenergy Nelson
2A3 Newark Energy Center
2A4 CPV Shore
2A7 Panda Liberty
2A8 Wabash Valley Power Association
2A9 Panda Patriot LLC
2B1 CPV Maryland,
2B2 Lightstone Generation
2B5 Troy Energy, LLC
2B6 Armstrong Power
325 Warrick
394 Wheelabrator Portsmouth
400 Duke Energy Commercial Asset Management
401 Appalachian Power Co. (AEP)
404 First Energy
406 Consumers Energy
407 Dayton Power And Light Company
408 Detroit Edison Co.
411 Indiana Michigan Power Company (AEP)
412 Indiana-Kentucky Electric Corp. (OVEC)
413 Indianapolis Power & Light Company

Page C-6
414 Kentucky Power Company (AEP)

417 FirstEnergy – Regulated NUG’s
418 Northern Indiana Public Service Co.
419 First Energy
421 Ohio Valley Electric Corp. (OVEC)
422 First Energy (Pennsylvania Power Co)
425 Vectren Power Supply
426 First Energy (Toledo Edison Co.)
427 Allegheny Energy Supply
430 Cinergy
431 Genon Energy (Reliant Energy Midwest)
437 Duke Energy Trading
440 DPL Energy LLC
441 American Municipal Power-Ohio, Inc
442 Indiana Municipal Power Agency (IMPA)
445 LS Power
447 Hoosier Energy
449 Tenaska
449 Rolling Hills Generating, L.L.C
449 Wolf Hills Energy, LLC
450 Buckeye Power
452 Entergy Nuclear Northeast
453 New Covert Generating Company, LLC
454 Midland Cogeneration Venture, L.P.
456 Michigan South Central Power Agency
458 CMS Enterprise
458 Dearborn Industrial Generation, L.L.C
458 Consumers Energy
459 Whiting Clean Energy
464 Michigan Public Power Agency
470 City of Lansing Board Of Water & Light
472 GenPower Services LLC/Longview Power
476 Richland Stryker Generation
498 Birchwood
499 AEP Generation Resources Inc
501 University Park Energy, LLC
502 Cordova Energy Company
505 Wheelabrator Falls
506 Exelon Generation , LLC
509 Elwood Energy LLC
510 Edison Mission Energy
518 LS Power (University Park North)
521 Wisconsin Electric Power Company
526 Genon Energy (RRI Energy)

Page C-7
527 Duke Energy Trading

529 Lincoln Generating Facility, LLC
531 Tenaska (Crete)
532 Exelon Generation , Llc
534 LS Power (Kendall)
535 NRG Energy
539 Fox Energy Company LLC
552 LSP-Whitewater L.P.
556 Rocky Road Power, LLC
631 Wolverine Power Supply Cooperative, Inc

Page C-8
SERC Reliability Corporation (SERC)
SERC Reliability Corporation

3701 Arco Corporate Drive, Suite 300
Charlotte, NC 28273
704-357-SERC(7372)
301 Powersouth Energy Cooperative

302 Alabama Power Co. (SOCO)
303 Progress Energy Carolina
304 Southern Power
307 Duke Energy
311 Old Dominion Electric Cooperative
312 Georgia Power Co. (SOCO)
313 Gulf Power Co. (SOCO)
315 Mississippi Power Co. (SOCO)
316 Municipal Electric Authority Of Georgia
318 Georgia Power Co. (SOCO)
319 South Carolina Electric & Gas Co.
320 So. Carolina Public Service Authority
321 So. Mississippi Electric Power Assoc.
323 Southern Electric Gen. Co. (SOCO)
325 Yadkin
326 Tennessee Valley Authority
328 Dominion Virginia Power
328 Covanta Fairfax
328 Edgecombe Genco LLC
328 Roanoke Valley Energy Facility
328 Spruane Genco
331 Oglethorpe Power Coop.
340 Tenaska
349 Batesville Generating Facility (LSP Energy Lp)
354 Plum Point Energy
356 Owensboro Municipal Utilities
357 Sowega Power, LLC
358 Baconton Power, LLC
359 Hot Spring Power Company, LLC
361 Choctaw Generation Limited Partnership
364 James River Genco LLC
365 Portsmouth Genco LLC
366 Occidental Chemical Corporation
369 Effingham County Power

Page C-9
SERC Reliability Corporation (SERC) (Continued)
370 Calhoun Power Company, LLC

371 Doswell Limited Partnership
372 Cherokee County Cogeneration Partners, LLC
373 Alabama Municipal Electric-Authority
374 CPI USA North Carolina LLC (Southport)
375 CPI USA North Carolina LLC (Southport)
376 Craven County Wood Energy Ltd Partnership
377 AL Sandersonville Power Plant
378 MPC Generating
379 Walton County Power
380 Washington County Power
381 South Eastern Generating Corporation
382 Lee County
385 Dow Chemical Company Louisiana
386 Eagle US 2, LLC
387 GenOn Energy
388 Union Power Partners
410 East Kentucky Power Cooperative
415 Kentucky Utilities Company
416 Louisville Gas And Electric Co.
423 ExxonMobil Oil Corporation – Beaumont Refinery
428 North Carolina Electric Membership Corporation
429 ExxonMobil – Baton Rouge
467 Big Rivers Electric Corporation
475 East Texas Electric Cooperative
479 Mid Georgia Cogen L.P.
481 USACE Charleston District
482 USACE Fort Worth District
483 USACE Mobile District
484 USACE Nashville District
485 USACE Savannah District
486 USACE Wilmington District
488 Brookfield Smoky Mountain LLC
489 Broad River Energy LLC
491 Carville Energy
492 Decatur Energy Center
493 Santa Rosa Energy Center
494 Mobile Energy
495 Piedmont Green Power
496 Columbia Energy
497 Entergy Texas, Inc
4A2 Lumberton
4A3 Panda Stonewall, LLC
503 Ameren - Cilco
504 Ameren - CIPS

Page C-10
SERC Reliability Corporation (SERC) (Continued)
507 Electric Energy, Inc.

508 Dynegy Midwest Generation
514 Southern Illinois Power Coop.
516 City Water, Light & Power (Springfield)
517 Ameren - UE
545 Prairie Power, Inc
556 LS Power (Rocky Road)
701 Arkansas Electric Cooperative Corporation
703 Arkansas Power & Light Co. (Entergy)
704 Associated Electric Cooperative
711 Prairie State Generating Company
717 Gulf States Utilities Co. (Entergy)
717 E.I. du Pont de Nemours and Company
722 Louisiana Power & Light Co. (Entergy)
723 Mississippi Power & Light Co. (Entergy)
728 New Orleans Public Service, Inc. (Entergy)
739 System Energy Resources, Inc. (Entergy)
740 NRG - Louisiana Generating, LLC
870 Coastal Carolina Clean Power (CCCP)

Page C-11
Florida Reliability Coordinating Council (FRCC)
Florida Reliability Coordinating Council

Bayport Plaza
3000 Bayport Drive, Suite 600
Tampa, Florida 33607-8407
813-289-5644
300 Gainesville Renewable Energy Center

304 Southern Power
305 Tallahassee Electric Dept.
308 Florida Power & Light Company
309 Progress Energy Florida
310 Shady Hills Power Company LLC
314 Jacksonville Electic Authority
317 Orlando Utilities Commission GenOn Energy
324 Tampa Electric Company
330 Seminole Electric Coop., Inc.
338 Hardee Power Partners Limited
343 Florida Municipal Power Agency
347 Lakeland Electric
355 Vandolah Power Company
360 Florida Power Development
367 Indiantown Cogeneration, L.P.
368 Covanta Pasco
383 Gainesville Regional Utilities (GRU)
387 GenOn Energy (NRG Florida LP)
391 Wheelabrator South Broward
392 City of Lake Worth Florida Utilities
395 Calpine

Page C-12
Midwest Reliability Organization (MRO)
Midwest Reliability Organization

380 St. Peter St, Suite 800
St. Paul, Minnesota 55102
651-855-1760
005 Manitoba Hydro-Electric Board

044 Saskpower
431 GenOnPower Midwest
520 Madison Electric And Gas Co.
522 Alliant Energy
523 Wisconsin Public Service
528 Kincaid Generation, LLC
533 Wisconsic Public Power Inc.
537 Morris Cogeneration LLC
540 Upper Peninsula Power Company
541 Wisconsin River Power Company
557 Marshfield Utilities
601 Basin Electric Power Coop., Inc.
602 Integrys Energy
605 Dairyland Power Coop.
607 Alliant Energy
608 Alliant Energy
609 Mid American Energy Co.
612 Alliant Energy
614 Lincoln Electric System
615 Otter Tail Power Company
616 Minnesota Power
617 Minnkota Power Coop., Inc.
618 Montana-Dakota Utilities Co.
619 Muscatine Power & Water
620 Nebraska Public Power District
621 Xcel Energy
622 Northwestern Energy
623 Omaha Public Power District
624 Great River Energy
625 U.S. Army Corp. Of Engineers – Omaha District
626 Missouri Basin / Missouri River Energy Services
627 Minnkota Power Coop., Inc.
630 Minnesota Municipal Power Agency

Page C-13
Midwest Reliability Organization (MRO) (Continued)
637 Invenergy Cannon Falls Energy Center

639 New Ulm Public Utilities
652 Marshall Municipal Utilities
658 Hastings Utilities
659 City of Grand Island, NE
661 Rochester Public Utilities
662 NRG Energy
664 Southern Power Company
995 Heartland Consumers Power District

Page C-14
Southwest Power Pool (SPP)
Southwest Power Pool, Inc.

201 Worthen Drive
Little Rock, Arkansas 72223-4936
501-614-3200
560 City Utilities of Springfiled, MO

700 Rain CII Carbon
701 Arkansas Electric Cooperative Corp
702 Lafayette Utilities System
706 Green County Energy LLC
707 Hobbs Generating Station
708 Central Louisiana Electric Co.
709 Denver City Energy Associates
712 PowerSmith Cogeneration
714 Blackhawk Station
715 Empire District Electric Co.
716 Grand River Dam Authority
718 Kansas City Power & Light Co.
719 Westar Energy (KGE)
720 Westar Energy (KPL)
721 Sikeston Board of Municipal Utilities
722 Louisiana Power & Light Co (Entergy)
724 USACE – Little Rock District
725 AES Shady Point
726 PIC Group, Inc
727 City of Alexandria, LA
729 Oklahoma Gas and Electric Co.
730 Public Service Co of Oklahoma (American Electric Power West)
731 Yoakum Electric Generating Cooperative
732 Southwestern Electric Generating Coop. (American Electric Power West)
733 Southwestern Power Administration
734 Xcel Energy
735 Sunflower Electric Coop., Inc.
736 USACE – Kansas City District
737 Western Farmers Electric Cooperative
738 USACE – St. Louis District
741 USACE – Vicksburg District
742 Clarksdale Public Utilities
743 LEPA
744 Independence Power & Light
745 LCEC Generation
746 City Water & Light – Jonesboror, Arkansas
747 Oneta Power

Page C-15
Southwest Power Pool (SPP) (Continued)
748 Oklahoma Municipal Power Authority

749 Board of Public Utilities, City of McPherson, Kansas
757 Dogwood Energy LLC
759 Northeast Texas Electric Cooperative HCPP
859 Eastman Cogeneration

Page C-16
Appendix C – Utility Identification Codes
Texas Regional Entity (TRE)
Texas Regional Entity

805 Las Cimas Pkwy,
Austin, TX 78746
512-583-4900
800 CCO (Equistar Chemical, LP)

801 Austin Energy
802 Exelon Generation, LLC
806 Tenaska
806 Kiowa Power Partners
808 Brazos Electric Power Coop., Inc.
809 Wolf Hollow LP
812 Topaz Power Group
813 The Dow Chemical Co.
815 Channelview Cogeneration
818 Odessa Ector Power Partners
819 Luminant Power
820 Guadalupe Power Partners
821 Power Resources Limited
825 Gregory Power Partners, L.P
826 Sweeny Cogen Limited Partnership
828 Garland Power & Light Co.
829 Oxy Vinyls LP
830 Ingleside Cogeneration LP
831 Victoria Power Station
832 Air Liquide Large Industries U.S. LP
833 South Houston Green Power
835 ExxonMobil Refining and Supply Company
836 South Texas Electric Cooperative, Inc.
837 Bryan Texas Utilities
840 NRG Texas, LLC
842 NRG Cedar Bayou Development LLC
843 Bastrop Energy Partners, LP
845 Paris Generation, LP
846 Formosa Utility Venture, Ltd
847 Sandy Creek Energy Station
848 Silas Ray
849 Petra Nova Parish Holdings LLC
850 OptimaEnergy Altura Cogen LLC
851 Optim Energy Twin Oaks LP
853 Panda Sherman Power

Page C-17
Appendix C – Utility Identification Codes
Texas Regional Entity (TRE) (Continued)
854 Lower Colorado River Authority

855 Panda Temple
856 Quail Run Energy Center
857 Ector County Energy
858 Nacogdoches Power LLC
861 Dynegy
862 Texas Medical Center Central Heating and Cooling Services Corp
868 CPS Energy
879 Exelon Generation, LLC
880 Luminant Power
884 American Electric Power West
887 Luminant Power
888 Texas Municipal Power Agency
889 San Miguel Electric Coop., Inc.
891 Signal Hill Llc

Page C-18
Western Electricity Coordinating Council (WECC)
Western Electricity Coordinating Council

155 North 400 West, Suite 200
Salt Lake City, Utah 84103
801-582-0353
001 B.C. Hydro

007 Trans Alta Utilities
015 Constellation Energy - Canada
902 Arizona Electric Power Coop., Inc.
903 Sycamore Cogeneration Company
904 Arizona Public Service Company
908 Oxy Elk Hills Power, LLC
909 Tri-State G & T Association, Inc.
90G Colorado Springs Utilities
90H Clark Public Utility District
90J Frederickson Power LP
90L Avista Corp
90M City of Farmington, New Mexico
90P Termoelectrica de Mexicali (TDM)
90Q South Feather Water & Power Agency
90R Blythe Energy, LLC
90T Crockett Cogeneration
90U Tri Center Naniwa Energy
911 Burbank Water & Power
912 Black Hills Power, Inc.
913 El Paso Electric Company
914 Eugene Water & Electric Board
915 Black Hill Wyoming
916 Kern River Cogeneration Company
917 Idaho Power Company
918 Southwest Generation
918 SWG Colorado
918 Valencia Power
920 L.A. Dept. Of Water And Power
921 La Paloma Generating
922 PPL-Montana
924 Nevada Power Co.
925 Pacific Gas And Electric Co.
926 PacifiCorp Energy - Pacific Power
928 NRG Marsh Landing
930 Platte River Power Authority
931 Portland General Electric Co.

Page C-19
Western Electricity Coordinating Council (WECC) (Continued)
932 Xcel Energy

933 Public Service Co. Of New Mexico
936 PUD #1 Of Chelan County
938 PUD #1 Of Douglas County
940 Genon Energy (Reliant Energy)
942 Sacramento Municipal Utility Dist.
943 TransCanada
944 Salt River Project
945 San Diego Gas & Electric Co.
946 City Of Roseville (California)
947 Seattle City Light
948 Sierra Pacific Power Company
949 Southern California Edison Co.
950 Cheyenne Light Fuel & Power
952 Black Hills/Colorado Electric Utility Company
954 PacifiCorp Energy - (Utah Power & Light Co)
955 Grays Harbor Energy LLC
956 Energy Northwest
958 Tucson Electric Power Company
959 US Army Corp. Of Engineers - Portland District
960 US Army Corp Of Engineers - Walla Walla District
961 US Army Corp. Of Engineers - Seattle District
962 Inland Empire Energy Center
963 Spindle Hill Energy Center
964 Black Hills Colorado Independent Power Producer (Bhcipp)
965 Deseret Generation & Transmission Coop.
966 Imperial Irrigation District
967 AES - Redondo Beach
968 US Bureau Of Reclamation
969 NRG Energy – Western
970 High Desert Power Project, LLC
971 AES - Alamitos LLC
972 NRG Energy – Western
976 Wildflower Energy LLP
976 Indigo Generation, LLC
977 Wellhead Electric Co. Inc.
978 Griffith Energy
979 Sunrise Power Company
981 Calpeak Power - Border LLC
983 Calpeak Power - Enterprise LLC
984 Calpeak Power - Panoche LLC
985 Calpeak Power - Vaca Dixon LLC
987 Dynegy Power
989 California Power Holdings LLC (Chowchilla)
Page C-20
989 California Power Holdings LLC (Red Bluff)

990 CalPeak Power - Starwood Power-Midway LLC
991 Arlington Valley
993 Watson Cogeneration, LLC
994 Northwestern Energy
995 Orange Grove Energy, L.P.
996 Puget Sound Energy
997 Panoche Energy Center
9A1 Rathdrum Power LLC
9A2 Nevada Cogeneration Associates #1
9A3 Yuma Cogeneration Associates
9A5 Colstrip Energy Limited Partnership
9A6 Midway Sunset Cogeneration Company
9A7 Hetch Hetchy Water and Power
9A8 Colorado Energy Management – BCP
9A9 Colorado Energy Management – CPP
9B1 Colorado Energy Management – BIV
9B2 Colorado Energy Management – MPC
9B3 Colorado Energy Management – RMP
9B5 Gila River Power
9B6 New Harquahala
9B7 Turlock Irrigation District
9B8 Utah Associated Municipal Power Systems
9B9 Mesquite Power
9C1 City of Redding
9C2 Donnells Powerhouse
9C3 Coso Finance Partners
9C4 COSO Power Developers
9C5 COSO Energy Developers
9C6 Terra-Gen Dixie Valley
9C7 AES Huntington Beach
9C8 Hermiston Generating Co., L.P.
9C9 Modesto Irrigation District
9D1 Kings River Conservation District
9D3 Grand Coulee Project Hydro Authority
9D4 Boise-Kuna Irrigation District
9D6 Burney Forest Products
9D7 POPD (Pend Oreille County Public Utility)
9D9 PPME (Iberdrola Renewables)
9E1 City of Tacoma
9E4 Thermal Energy Development Partnership
9E6 Sierra Pacific Industries
9E7 Public Utility District No. 1 of Snohomish County
9F1 Swift
9F3 Mariposa GT
Page C-21
9F4 KES Kingsburg L.P.

9F5 Ripon GT1
9F6 NRG Marsh Landing, LLC
9F7 CPV Sentinal, LLC
9F9 Wheelabrator Spokane
9G2 RockTenn
9G3 Spokane Regional
9G4 West Valley Power
9G5 Silicon Valley Power
9G6 Public Utility District No. 2 of Grant County, Washington
9G7 Greenleaf Energy
9G8 Calpeak Malaga Power
9G9 SPI Anderson 2
9H2 Energy Keepers
9H3 AltaGas San Joaquin Energy
9H4 Yuba County Water Agency
9H5 Pio Pico Energy Center
9H6 Merced Irrigation District

Page C-22
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 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 items such 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.. An auxiliary air system or a service water system is not considered a part of a major component.
Major Components for Fossil Steam Units
Boiler (casing, tubes & headers) Feedwater Pumps

Preheaters Circulating Water Pumps
Induced Draft Fans Precipitators
Forced Draft Fans Turbines
Recirculation Fans Generators
Pulverizers Main Transformers
Burners Condensers Boiler Circulation Pumps
Condensate/Feedwater Heaters Condensate Pumps
Scrubbers Condensate Booster Pumps
Major Components for Nuclear Units
Reactor Coolant System Pressure Boundaries Feedwater Pumps

(including safety and/or relief valves) Condensate/Feedwater Pumps
Control Rod Drives & Mechanisms Condensers
Reactor Internals Circulating Water Pumps
Fuel Moisture Separator Reheaters
Reactor Coolant Pumps Turbines
Condensate Pumps Generators
Condensate Booster Pumps Main Transformers
Major Components for Gas Turbines and Jet Engines
Engines Generators
Startup System Exciter
Major Components for Pumped Storage and Hydro Units
Turbines Generators
Exciters
Appendix D – List of Major Components
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
Appendix E – Unit Design Data Forms
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 items such 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.. The auxiliary air system or service water system is not considered a part of a major component.
Page
Manufacturers E-2
Fuel Codes E-2
Unit Type Page(s)
Fossil Steam E-FS-1 to E-FS-37

(Unit Codes 100-199 and 600-649)
Fluidized Bed E-FB-1 to E-FB-49

Nuclear E-NU-1 to E-NU-7

Diesel E-DI-1 to E-DI-4

Hydro/Pumped Storage E-HY-1 to E-HY-5

(Unit Codes 500-599 and 900-999)
Gas Turbine/Jet Engine E-GT-1 to E-GT-6

(Unit Codes 300-399 and 700-799)
Combined Cycle & Co-generation Unit Blocks E-CC-1 to E-CC-25

(Block Codes 800-899)
Miscellaneous (Geothermal, multi-boilers, etc.) E-MS-1 to E-MS-5

Appendix E – Unit Design Data Forms
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
Fuel Codes
BM Biomass
PC Petroleum Coke
CC Coal
PR Propane
LI Lignite
SL Sludge Gas
PE Peat
GE Geothermal
WD Wood
NU Nuclear
OO Oil
WM Wind
DI Distillate Oil (No. 2)
SO Solar
KE Kerosene
WH Waste Heat
JP JP4 or JP5
OS Other-Solid (Tons)
WA Water
OL Other-Liquid (BBL)
GG Gas
OG Other-Gas (Cu. Ft.)

Page E-2
Unit Design Data
Fossil Steam (Voluntary Reporting)
(Note: The NERC Board of Trustees approved the GADS Task Force Report (dated July 20, 2011) i, which states
that design data collection outside the required nine fields is solely voluntary. However, the GADS staff
encourages reporters to report and update GADS design data frequently. This action can be completed by
sending in this form to gads@nerc.net. GADS staff encourages using the software for design entry and updating.
Instructions
Use these forms to report design and installed equipment information for FOSSIL (steam) units. FOSSIL units are
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 equipment that is not used to carry normal load unless specifically requested.
Some data fields are designated as M1 and M2. These fields 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 manufacturer’s equipment and M2 for the other
Unit name:
Location of unit (State):
Energy Information Administration (EIA) Number:
Regional Entity:
Subregion:
Data reporter:
Telephone number:
Date:
Appendix E – Unit Design Data Forms – 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 Unit Code
Name of Unit
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 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 Unit’s Design

Enter the number from the list below that best describes the mode of operation the unit was originally designed for:
1 – Base load with minor load following

2 – Periodic start-up, load follow daily, reduced load nightly
3 – Weekly start-up, load follow daily, reduced load nightly
4 – Daily start-up, load follow daily, off-line nightly
5 – Start-up chiefly to meet daily peaks
9 – 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
5. Boiler – Manufacturer
Enter the name of the manufacturer and the model or series name or number of the boiler:
Boiler manufacturer
Manufacturers’ model, series name, or number
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 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.
I – Stoker – overfeed method combined with suspension firing.

Page E-FS-3
9. Boiler – Type of Circulation
Enter the type of circulation the boiler was originally designed for:
1 – Natural (thermal) – water flows through furnace wall tubes unaided by circulating pumps.
Primarily used with subcritical units.
2 – 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.
3 – 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 – Injection (or injection seal) – controlled-leakage boiler recirculation pumps mounted vertically with
a rigid shaft designed to carry its own thrust.
2 – Leakless (or canned, canned-motor, or zero-leakage) – pump and its motor are an integral
pressurized sealed unit.
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.
2 – 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 Btu’s 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 Btu’s/SqFt/Hr)

▲

Page E-FS-4
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
Btu’s 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 Btu’s/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. PRIMARY is the first fuel of choice for economic or control reasons,
or that fuel contributing 50% or more of the load-carrying Btu’s. Fuel characteristics are based on design
specifications. Additional notes are provided where appropriate.
Primary Fuel Secondary Fuel Fuel Codes

CC Coal PR Propane
WD Wood NU Nuclear
OO Oil WM Wind
DI Distillate Oil (#2) SO Solar
JP JP4 or JP5 OS Other - Solid (Tons)
WA Water OL Other - Liquid (BBL)
GG Gas OG 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)

▲ ▲
% 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

% Vanadium & Phosphorous (to one decimal place)

▲
▲
(oil units only)

Page E-FS-5
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
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 – Light (distillate) oil

B – Heavy oil
C – Gas
D – Coal
E – Oil and Gas
F – Propane
M – More than one
Enter igniter type:
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 that is energized and used to ignite the fuel.
3 – High energy arc – a low voltage, high energy pulse arc that is used to ignite the fuel.
4 – Plasma arc – a high dc voltage current used to ionize the air resulting in a high energy arc that
ignites the fuel.
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
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 – Gravimetric belt – system that weighs the coal as it is fed to the pulverizer or coal mill.
2 – Volumetric belt – system that measures the volume of coal fed to the pulverizer or coal mill.
3 – Star roll – a multi-blade rotor that turns about a fixed, hollow, cylindrical core feeding a fixed
measure of coal.
4 – 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.
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

M1 M2
Enter the type of pulverizer(s) or coal mill(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 coal through a series of rollers or wheels supported
within the pulverizer or coal mill.
3 – Ball tube (Hardinge) – horizontal, rotating, grinding cylinder containing steel balls that move within
the cylinder and grind or crush the coal.
4 – Impact (Attrition) – series of fixed or hinged hammers that rotate within a closed chamber
impacting and crushing the coal.

Page E-FS-8
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.
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.

Page E-FS-9
25. Boiler – Balanced Draft or Pressurized Draft
Enter the type of draft the boiler was designed for:
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 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:
M1 M2
Enter the type of forced draft fan drives(s) at the unit:
1 – Single speed motor

2 – Two speed motor
3 – Variable speed motor
4 – Steam turbine

Page E-FS-10
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:
M1 M2
Enter the type of induced draft fan drive(s) at the unit:

4 – Steam turbine
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

M1 M2
Enter the type of gas recirculating fan(s) at the unit:

Page E-FS-11
28. Boiler – Gas Recirculating Fan System (Continued)
M1 M2
Enter the type of gas recirculating fan drive(s) at the unit:
4 – Steam Turbine
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.
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)
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.
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.

Page E-FS-12
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 M2 M3
Type Number Type Number Type Number
1 – Steam
2 – Air
3 – Water
4 – Sonic
5 – Steam/Air
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 – Before air heaters

2 – After air heaters
3 – Both – precipitators installed both before and after the air heaters.
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:

3 – Both – Flue gas is extracted both before and after the air heaters.

Page E-FS-13
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 – Reverse – clean flue gas is blown in the direction counter to normal operation to remove 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 to dislodge the entrapped fly ash.
3 – Shaker – the bag is literally shaken to remove the fly ash collected on its surface.
Enter the type of baghouse booster fan(s) at the unit:
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 – Vacuum – ash conveying system operates at a vacuum relative to the fly ash collection hoppers.
2 – Pressure – ash conveying system operates at a pressure greater than the pressure in the fly ash
collection hoppers.
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 and water slurry
37. FGD Manufacturer

Enter the following information on the FGD system (venturi scrubbers covered in Item 33):
FGD system manufacturer

Page E-FS-14
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 – Single loop – single recirculation loop for controlling the reagent.

2 – Dual loop – two separate and distinct recirculation loops for controlling the reagent (same reagent
used in both loops).
3 – Dual alkali – two separate and distinct reagents controlled through the use of separate
recirculation loops operated in series.
9 – 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 unit’s 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 Bypass Capacity

The flue gas bypass capacity is the percent of the total flue gas flow (maximum design condition) that can be
bypassed around the FGD while permitting the unit to operate within compliance. Enter the following information:
Percent of scrubber bypass capacity at compliance levels. (Enter 0% if no bypass capacity exists.)
43. FGD Modules

Page E-FS-15
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 – Venturi – a conveying throat to accelerate the inlet flue gas to a higher velocity.
2 – Spray – an open gas absorption vessel in which scrubbing slurry is introduced into the gas stream
from atomizing nozzles.
3 – Tray – tray(s) internal to the scrubber/absorber consists of a horizontal metal surface perforated
with holes or slots mounted transversely across the vessel.
4 – Packed – a bed of stationary (static) or mobile (moving bed) packing, mounted transversely across
the vessel.
5 – Combination – two or more of the above-noted designs used in the same tower.
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.
M1 M2
Enter the location of the FGD fan(s) with respect to the FGD:
1 – Before
2 – After

Page E-FS-16
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 – In-line – installation of a heat exchanger in the flue gas duct downstream of the mist eliminators.
2 – Direct combustion – firing of gas or oil burners and mixing product gases with the cooler scrubbed
flue gas.
3 – Indirect hot air – heating of ambient air in an external heat exchanger (using steam) and injecting
this heated air into scrubbed flue gas discharge.
4 – Waste heat recovery – use of unscrubbed flue gas in a heat exchanger to reheat the scrubbed
stack gas.
5 – 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.
6 – Bypass reheater – bypass of a portion of the hot unscrubbed flue gas around the FGD system for
injection into the cooler scrubbed flue gas.
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 – 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.
2 – Electrostatic – mist removal through the use of an electrostatic field.
3 – Centrifugal – uses baffles that impart a centrifugal force on the gas.
4 – Cyclonic – uses tangential inlets which impart a swirl or cyclonic action to the gas as it passes
through the separator chamber.
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.

Page E-FS-17
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 turbine’s nameplate or published on the turbine
guarantee flow diagram. In cases where the steam turbine’s 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 unit’s generator (or nameplates in the case of cross compound units).
Steam turbine’s nameplate rating (MW).

▲
52. Steam Turbine – Type of Steam Turbine

Identify the steam turbine’s 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.
53. Steam Turbine – Manufacturer’s 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:
Manufacturer’s code, first shaft
Manufacturer’s 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 First Reheat Second Reheat

Temperature ( F)
Pressure (psig)

Page E-FS-18
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 – Partial arc – main steam flow is restricted to one sector of the turbine’s first stage at startup.
2 – Full arc – main steam is admitted to all sectors of the turbine’s first stage at startup.
3 – Either – capable of admitting steam using either partial or full arc techniques.
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.

Page E-FS-19
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 – Motor
2 – Shaft
3 – Steam turbine
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 Second* Third*

Design (Nameplate) Item Generator Shaft Shaft
Voltage to nearest one-tenth kV

▲ ▲ ▲
Megavoltamperes (MVA) Capability
RPM
Power Factor (enter as %)

▲ ▲ ▲
*Cross compound units.

Page E-FS-20
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.
Enter the mediums used to cool the generator’s stator and rotor:
Stator Medium Rotor
A Air A
H Hydrogen H
O Oil O
W Water 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 – 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
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

Page E-FS-21
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 – Vacuum pump
2 – Steam jet air ejector
3 – Both
9 – Other, describe ___________________________________________________________
Enter the type of cooling water used in the condenser:
1 – Fresh – salinity values less than 0.50 parts per thousand.

2 – Brackish – salinity value ranging from approximately 0.50 to 17 parts per thousand.
3 – Salt – salinity values greater than 17 parts per thousand.
9 – Other, describe ___________________________________________________________
Enter the origin of the circulating water used in the condenser:
1 – River
2 – Lake
3 – Ocean or Bay
4 – Cooling Tower
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 – Ball sponge rubber

2 – Brushes

Page E-FS-22
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

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 unit’s maximum capacity that can be achieved with a single
▲ feedwater pump.

Page E-FS-23
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 – Motor – single speed 6 – Motor gear

2 – Motor – two speed 7 – Steam gear
3 – Motor – variable speed 8 – Shaft gear
4 – Steam turbine 9 – Other, describe
5 – Shaft
M1 M2
Specify coupling type used for feedwater (boiler feed) pump.
1 – Hydraulic
2 – Mechanical
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 unit’s maximum capacity that can be achieved with a single
▲ startup feedwater pump.
M1 M2
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 when the feedwater pumps are inoperative.
3 – STARTUP only: cannot be used in lieu of the feedwater pumps.
72. Auxiliary Systems – High Pressure Feedwater Heaters

High pressure feedwater heaters are 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.

Page E-FS-24
72. Auxiliary Systems – High Pressure Feedwater Heaters (Continued)
M1 M2
Enter the type of HIGH pressure feedwater heater(s):
1 – Horizontal – longitudinal axis of the heater shell is horizontal.

2 – Vertical – longitudinal axis of the heater shell is vertical.
3 – Both
73. Auxiliary Systems – Intermediate Pressure Feedwater Heaters

Intermediate pressure feedwater heaters are 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.
M1 M2
Enter the type of INTERMEDIATE pressure feedwater heater(s):

3 – Both
74. Auxiliary Systems – Low Pressure Feedwater Heaters

Low pressure feedwater heaters are 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.
M1 M2
Enter the type of LOW pressure feedwater heater(s):

3 – Both

Page E-FS-25
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 – Spray – high-velocity stream jet atomizes and scrubs the condensate.
2 – Tray – series of trays over which the condensate passes and is deaerated.
3 – Vacuum – a vacuum condition inside the shell for deaeration.
4 – Combination
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 – Mechanical draft (induced, forced, cross-flow and counterflow) – fan(s) used to move ambient air
through the tower.
2 – Atmospheric spray – air movement is dependent on atmospheric conditions and the aspirating
effect of the spray nozzles.
3 – 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.

Page E-FS-26
78. Auxiliary Systems – Cooling Tower and Auxiliaries (Continued)
4 – 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.
5 – Coil shed – a combination structure of a cooling tower installed over a substructure that houses
atmospheric coils or sections.
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

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 – Single phase
2 – Three phase
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
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 – One computer for this unit only.

2 – Two computers for this unit only.
3 – One computer shared by one or more units.
4 – Two computers shared by one or more units.
M1 M2
Describe how the plant process computers are linked within the plant:
1 – Centralized
2 – Distributive
3 – Stand alone

Page E-FS-28
84. Balance of Plant – Plant Process Computer (Continued)
M1 M2
Enter the system capability of the plant process computer:
1 – Monitor only
2 – Monitor and control
85. 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

Page E-FS-29
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 – Ultraviolet
2 – Infrared
3 – Fluorescence
M1 M2
Instrument range (parts per million)
1 – 0-50
2 – 0-150
3 – 0-500
9 – Other, describe __________________________________________________________
M1 M2
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 – Infrared
2 – Chemiluminescent

Page E-FS-30
86. CEMS – Pollutant Gas and Diluent Gas Analyzers/Monitors (Continued)
9 – Other, describe ___________________________________________________________
M1 M2
1 – 0-50
2 – 0-150
3 – 0-500
9 – Other, describe ___________________________________________________________
M1 M2
3. Carbon Monoxide (CO) Analyzers
Manufacturer(s)
Model number(s)
M1 M2
M1 M2
M1 M2
Type(s)
1 – Infrared solid state

2 – Infrared luft
3 – Gas filter correlation
9 – Other, describe _________________________________________________________
M1 M2
1 – 0-50
2 – 0-150
3 – 0-500
9 – Other, describe _________________________________________________________

Page E-FS-31
4. Carbon Dioxide (CO2) Analyzers

Manufacturer(s)
Model number(s)
M1 M2
M1 M2
M1 M2
1 – 0-50
2 – 0-150
3 – 0-500
M1 M2
5. Oxygen (O2) Analyzers

Manufacturer(s)
Model number(s)
M1 M2
M1 M2
M1 M2
Type(s)
1 – Zirconia oxide
2 – Paramagretic
3 – Fuel cell
9 – Other, describe _________________________________________________________
M1 M2
1 – 0-50
2 – 0-150
3 – 0-500
9 – Other, describe __________________________________________________________
M1 M2

Page E-FS-32
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 – Before scrubber
2 – 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 – Thermal sensing (hot-wire anemometer or dispersion)

2 – Differential pressure array
3 – Acoustic velocimetry (ulrasonic transducers)
4 – Combination

Page E-FS-33
88. CEMS – Data Acquisition and Reporting System
Hardware manufacturer
Hardware architecture
1 – Vendor-supplied dedicated system

2 – Modified existing plant computer
3 – Stand alone, pc-based system not supplied by CEMS system vendor
Software supplier
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
Injector Type
1 – Wall nozzles
2 – Lance
Injection Equipment Location

1 – Furnace
2 – Superheater
3 – Economizer
Number of Injectors

Page E-FS-34
89. Selective Non-Catalytic Reduction System (SNCR) (Continued)
Carrier Gas Type
1 – Steam
2 – Air
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 – Furnace
2 – Superheater
3 – Economizer
4 – Zoned
Duct Configuration
1 – Flow straighteners
2 – Turning vanes
3 – Dampers

Page E-FS-35
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

Page E-FS-36
91. Catalytic Air Heaters
Element Type
1 – Laminar surface
2 – Turbulent surface
Support Material, if any
2 – Carbon steel
Catalyst Material Configuration
1 – Horizontal air shaft

2 – Carbon steel
Total face area (sq. ft.)

Open face area (sq. ft.)
i
http://www.nerc.com/pa/RAPA/gads/MandatoryGADS/Revised_Final_Draft_GADSTF_Recommendation_Report.pdf)

Page E-FS-37
Unit Design Data
Fluidized Bed Combustion (Voluntary Reporting)
(Note: The NERC Board of Trustees approved the GADS Task Force Report (dated July 20, 2011) i, which states that
design data collection outside the required nine fields is solely voluntary. However, the GADS staff encourages
that reporters report and update GADS design data frequently. This action can be completed by sending in this
form to gads@nerc.net. GADS staff encourages using the software for design entry and updating.
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 for equipment that is not used to carry normal load unless
specifically requested.
Some data fields are 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 manufacturer’s equipment and M2 for the other.
Unit name:
Regional Entity:
Subregion:
Data reporter:
Telephone number:
Date:
Appendix E – Unit Design Data Forms – Fluidized Bed Combustion 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 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 Unit Code
Name of unit
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 Unit’s Design

Enter the number from the list below that best describes the mode of operation the unit was originally
designed for:
1 - Base load with minor load following

2 - Periodic start-up, load follow daily, reduced load nightly
3 - Weekly start-up, load follow daily, reduced load nightly
4 - Daily start-up, load follow daily, off-line nightly
5 - Start-up chiefly to meet daily peaks
9 - None of the above

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
Manufacturer’s model or series name or number (original)
Manufacturer’s 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 (ºF)
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.
2 - 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 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.
2 Under-bed feed (BFB) – injection of solids through multiple points to the bottom of the
fluidized bed into a positive pressure environment.
3 Both over–bed and under-bed feed (BFB) - combination of the two above.
4 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 Over-bed feed (BFB) - defined above

2 Under-bed feed (BFB) - defined above
3 Both over-bed and under-bed feed (BFB) - defined above
4 Within-bed feed (CFB) - defined above
Feed with fuel:
1 - Yes
2 - No
For bed material:
1 - Over-bed feed (BFB) - defined above

2 - Under-bed feed (BFB) - defined above
3 - Both over-bed and under-bed feed (BFB) - defined above
4 - Within-bed feed (CFB) - defined above
10. Boiler - Type of Circulation
Enter the type of circulation:
1 Natural (thermal) – water flows through furnace wall tubes unaided by circulating pumps
(primarily used with subcritical units).
2 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).
3 Once through – no recirculation of water through the furnace wall tubes and no steam
drum (used on super and subcritical units).
4 Combination natural and controlled

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

M1 M2
Enter the type of boiler recirculation pump(s) used:
1 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

Page E-FB-5
12. Boiler – Heat Exchanger
In bed: Reheat Supht Evap Preheat

Type of heat exchanger ____
Tube materials* ____
Manufacturer ____
Total number of exchangers including spares ____
Minimum number of exchangers for full load operation ____
Location of exchangers (external/internal) ____
Square feet of surface ____
Convective: Reheat Supht Evap Preheat

Manufacturer ____
Minimum number of exchangers for full load operation ____
Radiant: Reheat Supht Evap Preheat

Manufacturer ____
Miminum number of exchangers for full load operation ____
*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
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 by-passing or wasting
some of the capacity of the machine. The discharge pressure will vary with the resistance on the
discharge side of the system.

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

Btu’s/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 Coal PR Propane
WD Wood NU Nuclear
OO Oil WM Wind
DI Distillate Oil (#2) SO Solar
JP JP4 or JP5 OS Other - Solid (Tons)
WA Water OL Other - Liquid (BBL)
GG Gas OG 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 (ºF) (in a reducing atmosphere)
Grindability Hardgrove Index
% 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
▲
▲
Sorbent top (largest particle size)
Non-sorbent:
Primary Secondary Type
Initial Ash Fushion Temperature (ºF)
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


Page E-FB-11
21. Boiler – Burner Systems

Enter the following information on the installed burner systems used for the preliminary heat up of the
boiler:
Duct burner:
Duct burner manufacturer
Btu rating
Enter the type of duct burner fuel used:

A – Light (distillate) oil E – Oil and Gas
B – Heavy oil F – Propane
C – Gas M – More than one
D – Coal
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.
Warmup burner:
Warmup burner manufacturer
Btu rating
Enter the type of warmup burner fuel used:

D – Coal

Page E-FB-12
21. Boiler – Burner Systems (Continued)
Enter the type of warmup 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.
Lance injection burner:
Lance injection burner manufacturer.
Btu rating
Enter the type of lance injection burner fuel used:

D – Coal
Enter the type of lance injection 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.

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.

Page E-FB-14
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.

seal).
Number of solid fuel trains including installed spares.

Page E-FB-15
25. Boiler – Secondary Fuel Feed (other than coal)
Type of secondary boiler fuel feed system:
1 – Lance
2 – Nozzle
Percent (%) load carrying capability

▲
Enter the type of solid fuel feed(s):

seal).
Number of secondary solid fuel trains including installed spares.

Page E-FB-16
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

Sorbent stacker/reclaimer manufacturer.
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.

Page E-FB-17
27. Boiler – Sorbent Feed System to Boiler

Enter the following information on the sorbent feeder equipment used to supply sorbent from the in-
plant sorbent-holding bunkers to the boiler:
Manufacturer(s) of the motor(s) that drives the volumetric

feeder(s).

seal).
Number of sorbent feed trains including installed spares.

Page E-FB-18
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:

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

Page E-FB-19
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

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:
M1 M2
Enter the type of primary air (forced draft) fan drive(s) at the unit:

4 – Steam turbine
5 – Fluid drive

Page E-FB-20
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)

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

M1 M2
Enter the type of induced draft fan(s) at the unit:
M1 M2
Enter the type of induced draft fan drive(s) at the unit:

4 – Steam turbine
5 – Fluid drive

Page E-FB-21
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).

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

M1 M2
Enter the type of secondary air fan(s) at the unit:
M1 M2
Enter the type of secondary air fan(s) drives at the unit:

4 – Steam turbine
5 – Fluid drive
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.

Page E-FB-22
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.
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 ½”) and the air through the
narrower passages (3/4” to ¼”) 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.
34. 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 – Regenerative (Ljungstrom)
2 – Tubular
3 – Steam Coil
5 – Recuperative (plate type)
6 – Heat Pipe

Page E-FB-23
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 Type Number Type Number
1 – Steam
2 – Air
3 – Water
4 – Sonic
5 – Steam/Air
36. 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 (ºF).

Page E-FB-24
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.
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.
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).

Page E-FB-25
39. Boiler – Electrostatic Precipitator (Continued)
Enter the location of the electrostatic precipitator with respect to the air

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)
Enter the type of baghouse booster fan(s) at the unit:

Page E-FB-26
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.
9 – Other, describe_________________________________________________

Steam turbine manufacturer

Is 50% or more of the steam turbine outdoors (not enclosed in building framing and siding)?
1 – Yes 2 – No

“Nameplate” is the design capacity stamped on the steam turbine’s nameplate or published on the
turbine guarantee flow diagram. In cases where the steam turbine’s 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 unit’s generator (or nameplates in the case of cross
compound units).
Steam turbine’s nameplate rating (MW).

▲

Page E-FB-27

Enter the type of steam turbine at the unit:
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.

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:
Manufacturer’s code, first shaft
Manufacturer’s code, second shaft (cross or triple compound
Turbine configuration and number of exhaust flows (e.g. tandem

compound, four flow)

Main Steam First Reheat Second Reheat
Temperature (ºF)
Pressure (psig)

Page E-FB-28
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.
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-29

Enter the type of governing system used at the unit:
1 – Partial arc – main steam flow is restricted to one sector of the turbine’s first stage at
startup.
2 – Full arc – main steam is admitted to all sectors of the turbine’s first stage at startup.
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.

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 – Motor
2 – Shaft
3 – Steam turbine
4 – More than one

Page E-FB-30

Generator manufacturer

Is 50% or more of the generator outdoors (not enclosed in building framing and siding)?
1 – Yes 2 – No

Main Second* Third*


▲ ▲ ▲
RPM

▲ ▲ ▲

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:

Enter the mediums used to cool the generator’s stator and rotor:
Stator Medium Rotor

A Air A
H Hydrogen H
O Oil O
W Water W
M More than one M

Page E-FB-31
Enter the generator hydrogen pressure IN PSIG at nameplate MVA.

▲

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.
1 – Shaft direct
2 – Shaft gear
3 – Motor

Page E-FB-32

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 – Vacuum pump
3 – Both
Enter the type of cooling water used in the condenser:

Enter the orgin of the circulating water used in the condenser:
1 – River 4 – Cooling Tower

2 – Lake 5 – Fresh water wells
3 – Ocean or Bay 9 – Other, describe

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:

2 – Brushes
3 – Chlorination
4 – On-line backwash

Page E-FB-33

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.
Condensate polishing system manufacturer
Enter the % treated of the condensate flow at maximum unit capacity that can be treated:
% Treated
▲

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


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


Page E-FB-34
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

PERCENT (%) of the unit’s 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)

3 – Motor – variable speed 8 – Staft gear
5 – Shaft
M1 M2
Specify coupling type used for feedwater (boiler feed) pump.
1 – Hydraulic
2 – Mechanical

Page E-FB-35
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 unit’s maximum capacity that can be achieved using a single startup
▲
feedwater pump.
M1 M2
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.
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):

3 – Both

Page E-FB-36

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):

3 – Both
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):

3 – Both

Page E-FB-37

Enter the following information on the deaerator heater at the unit:
Deaerator manufacturer(s)
M1 M2
Enter the type of deaerator heater(s):

4 – Combination

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).

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.

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).

Page E-FB-38
71. Auxiliary Systems – Cooling Tower and Auxiliaries (Continued)
M1 M2
Enter the type of cooling tower used by the unit:
1 – Mechanical draft (induced, forced, cross-flow and counterflow) – fan(s) used to move
ambient air through the tower.
2 – Atmospheric spray – air movement is dependent on atmospheric conditions and the
aspirating effect of the spray nozzles.
3 – 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.
4 – 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.
5 – Coil shed – a combination structure of a cooling tower installed over a substructure that
houses atmospheric coils or sections.
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


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

Page E-FB-39
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

55º, per manufacturer.

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 55º, per manufacturer.
LOW SIDE voltage in kilovolts (kV) of the station service transformer(s)
at 55º, 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

Page E-FB-40
77. 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 – One computer for this unit only.
2 – Two computers for this unit only.
3 – One computer shared by one or more units.
4 – Two computers shared by one or more units.
M1 M2
Describe how the plant process computers are linked within the plant:
1 – Centralized
2 – Distributive
3 – Stand alone
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
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

Page E-FB-41
79. CEMS – Pollutant Gas and Diluent Gas Analyzers/Monitors
1. Sulfur Dioxide (SO2) Analyzers
Manufacturer(s)
Model number(s)
M1 M2
M1 M2
M1 M2
Type(s)
1 – Ultraviolet
2 – Infrared
3 – Fluorescence
M1 M2
1 – 0-50
2 – 0-150
3 – 0-500
M1 M2
Shared? (1 - Yes, 2 – No)
2. Oxides of Nitrogen (NOx) Analyzers
Manufacturer(s)
Model number(s)
M1 M2
M1 M2
M1 M2
Type(s)

Page E-FB-42
79. CEMS - Pollutant Gas and Diluent Gas Analyzers/Monitors (Continued)
1 - Infrared
2 - Chemiluminescent
9 - Other, describe
M1 M2
1 – 0-50
2 – 0-150
3 – 0-500
M1 M2
3. Carbon Monoxide (CO) Analyzers
Manufacturer(s)
Model number(s)
M1 M2
M1 M2
M1 M2
Type(s)
1 – Infrared solid state

2 – Infrared luft
3 – Gas filter correlation
M1 M2
1 – 0-50
2 – 0-150
3 – 0-500

Page E-FB-43
4. Carbon Dioxide (CO2) Analyzers

Manufacturer(s)
Model number(s)
M1 M2
M1 M2
M1 M2
1 - 0-50
2 - 0-150
3 - 0-500
9 - Other, describe
M1 M2
5. Oxygen (O2) Analyzers
Manufacturer(s)
Model number(s)
M1 M2
M1 M2
M1 M2
Type(s)
1 – Zirconia oxide
2 – Paramagretic
3 – Fuel cell
M1 M2
1 – 0-50
2 – 0-150
3 – 0-500
M1 M2

Page E-FB-44
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 – 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 – Thermal sensing (hot-wire anemometer or dispersion)

2 – Differential pressure array
3 – Acoustic velocimetry (ulrasonic transducers)
4 – Combination

Page E-FB-45
81. CEMS – Data Acquisition and Reporting System
Hardware manufacturer
Hardware architecture
1 – Vendor-supplied dedicated system

2 – Modified existing plant computer
3 – Stand alone, pc-based system not supplied by CEMS system vendor
Software supplier
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
Injector Type
1 – Wall nozzles
2 – Lance
Injection Equipment Location
1 – Furnace
2 – Superheater
3 – Economizer
Number of Injectors

Page E-FB-46
82. Selective Non-Catalytic Reduction System (SNCR) (Continued)
Carrier Gas Type
1 – Steam
2 – Air
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
Ammonia Injection Grid Location
1 – Furnace
2 – Superheater
3 – Economizer
4 – Zoned
Duct Configuration
1 – Flow straighteners
2 – Turning vanes
3 – Dampers
Catalyst Element Type
1 – Plate
2 – Honeycomb

Page E-FB-47
83. Selective Catalytic Reduction System (SCR) (Continued)
Catalyst Support Material
2 – Carbon steel
Catalytic Material Configuration
1 – Vertical
2 – Horizontal
Surface face area (sq. ft.)
Catalyst volume (cu. ft.)
Number of layers
Sootblowers (if applicable)
1 – Air
2 – Steam
3 – Both air and steam
Manufacturer(s)
Number of sootblowers

Page E-FB-48
84. Catalytic Air Heaters
Element Type
1 – Laminar surface
2 – Turbulent surface
Support Material, if any
2 – Carbon steel
Catalyst Material Configuration
1 – Horizontal air shaft

2 – Carbon steel
Total face area (sq. ft.)
Open face area (sq. ft.)
i

Page E-FB-49
Unit Design Data
Nuclear (Voluntary Reporting)
encourages that reporters report and update GADS design data frequently. This action can be completed by 1)
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 enter a (9) to indicate an alternative other than those specified. Whenever you enter a (9),
write the column number and the answer on the reverse side of the form.
If submitting a copy of an original form, make sure that it is legible.
Utility name:
Station name:
Unit name:
Regional Entity:
Subregion:
Data reporter:
Telephone number:
Date:
Appendix E – Unit Design Data Forms – Nuclear Units
GENERAL DATA Col. No.
01 Utility identification number
04 Unit identification number
07 Card code
09 Columns 09 through 12 are blank
13 Year unit first paralleled for load
17 Month unit first paralleled for load
19 Day unit first paralleled for load
NUCLEAR REACTOR DATA
21 Manufacturer – (1) Westinghouse; (2) General Electric;

(3) Babcock and Wilcox; (4) Combustion Engineering;
(5) General Atomics; (9) Other
22 Type – (1) Pressurized (light) water (PWR); (2) Boiling (light)

water (BWR); (3) CANDU; (9) Other
23 Nameplate capacity in MWt
27 Outlet temperature in F at nameplate capacity
31 Outlet pressure in PSIG at nameplate capacity
35 Reactor flow in thousands of pounds per hour at nameplate

capacity
42 Secondary loop flow in thousands of pounds per hour at nameplate

Capacity, if applicable
49 Number of primary loop or recirculating pumps
50 Primary loop or recirculating pump manufacturer – (1) Westinghouse;

2) Worthington; (3) Byron-Jackson; (4) Ingersoll-Rand; (9) Other

Page E-NU-2
NUCLEAR REACTOR DATA (Continued)
51 Primary loop or recirculating pump type drives – (1) Motor variable

speed; (2) Motor constant speed; (9) Other
52 Steam generator manufacturer, if applicable – (1) Westinghouse;

(2) Combustion Engineering; (3) Babcock and Wilcox; (4) Foster
Wheeler; (9) Other
53 Type of control rod drive – (1) Magnetic jack; (2) Hydraulic water;
(3) Rack and pin; (9) Other
54 Control rod configuration – (1) Cruciform; (2) Rod cluster; (9) Other
55 Enter (1) if chemical shim is used
56 Initial weight of uranium in thousands of pounds
60 Highest initial enrichment to one-tenth percent


62 Fuel type – (1) U-235 oxide; (9) Other
63 Fuel cladding material – (1) Zirconium; (2) Stainless steel; (9) Other
64 Containment type – (1) Dry; (2) Pressure suppression; (9) Other
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
STEAM TURBINE DATA
2 2 07 Card code
13 Manufacturer (see table of Manufacturers, page E-123)
16 Type – (1) Single cylinder; (2) Tandem compound; (3) Cross

Compound; (4) Triple compound; (9) Other
16 Enter (1) if more than 50% of turbine is outdoors
17 Total nameplate capacity in MW
22 Main steam pressure in PSIG, full load at throttle
26 Main steam temperature in F, full load at throttle
30 First reheat temperature in F, if applicable
34 Second reheat temperature in F, if applicable
38 Back pressure to nearest one-tenth inch of Hg for nameplate capacity

and design water temperature
CONDENSER DATA
40 Manufacturer – (1) Foster Wheeler; (2) Ingersoll-Rand;

(3) Westinghouse; (4) Yuba; (5) Worthington;
(6) C. H. Wheeler; (9) Other
41 Passes – (1) Single; (2) Double
42 Number of shells
43 Tube material – (1) Arsenical Admirality; (2) Arsenical Aluminum

Brass; (3) Stainless Steel; (4) Cupro-Nickel; (5) Aluminum Bronze;
(6) Arsenical Phosphorized Copper; (9) Other
44 Type cooling water – (1) Fresh; (2) Salt
45 Cooling water origin – (1) River; (2) Lake; (3) Ocean or bay;
(4) Cooling tower

Page E-NU-4
CONDENSER DATA (Continued)
46 Number of condensate pumps
47 Condensate pump manufacturer – (1) Worthington; (2) Allis

Chalmers; (3) Byron-Jackson; (4) DeLaval; (5) Ingersoll-Rand;
(6) Fairbanks-Morse; (7) Pacific Pump; (9) Other
48 Number of circulating water pumps
49 Circulating water pump manufacturer – (1) Worthington; (2) Allis

Chalmers; (3) Ingersoll-Rand; (4) Westinghouse; (5) Foster Wheeler; (9)
Other
AUXILIARIES DATA
50 Number of secondary loop or single loop feed pumps required for

normal operation at full load
51 Number of spare feed pumps which are approximately the same size
as one normally used pump
52 Number of spare or startup feed pumps which are smaller than one
normally used pump
53 Normal feed pump manufacturer – (1) Worthington; (2) DeLaval;

(3) Ingersoll-Rand; (4) Byron-Jackson; (5) Pacific Pump; (9) Other
54 Normal feed pump type drive – (1) Motor; (2) Steam; (3) Shaft;
(4) Motor gear; (5) Steam gear; (6) Shaft gear; (9) Other
55 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 Number of feed water heaters on high side of feed pump
58 High pressure feed water heater manufacturer – (1) Foster

Wheeler; (2) Worthington; (3) Westinghouse; (4) Yuba;
(5) Baldwin-Lima-Hamilton; (6) Southwestern Engineering;
(9) Other
59 Number of feed water heaters on low side of feed pump

Page E-NU-5
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
62 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
63 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
64 Computer system capability, if applicable – (1) Monitor only;

(2) Monitor and control
GENERATOR DATA
2 3 07 Card code
16 Type – (1) Three-phase, 60-cycle; (9) 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 if any

Page E-NU-6
GENERATOR DATA (Continued)
41 Speed in RPM, third shaft if any
45 Nameplate power factor in percent
47 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
49 Hydrogen pressure in PSIG at nameplate 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) Rotatingalternator

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 generator is outdoors
56 Name of Unit (Columns 56-80)
i

Page E-NU-7
Unit Design Data
Diesel (Voluntary Reporting)
encourages that reporters report and update GADS design data frequently. This action can be completed by
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:
Regional Entity:
Subregion:
Data reporter:
Telephone number:
Date:
Appendix E – Unit Design Data Forms – Diesel Units

4 1 07 Card code
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
22 Fuel, type – (1) No. 2 fuel oil; (2) Diesel oil; (3) JP 5 fuel;
(4) Kerosene; (5) Heavy oil; (9) Other
23 Cylinders, number per engine
25 Cycle, type – (1) 2-stroke; (2) 4-stroke; (9) Other
25 Startup system, type – (1) Automatic, on site; (2) Automatic

remote; (9) Other
27 Time for normal cold start to full load in seconds
30 Time for emergency cold start to full load in seconds
33 Coolant, type – (1) Water; (2) Oil; (3) Air; (9) Other

Page E-DI-2
DIESEL ENGINE DATA (Continued)
4 2 07 Card code
GENERATOR DATA
4 3 07 Card code
14 Manufacturer – (see table of Manufacturers, page E-123)
 17 Nameplate voltage to nearest one-tenth KV
47 Cooling medium, stator/rotor – (1) Air/air; (2) Hydrogen/ hydrogen;

48 Cooling method, stator/rotor – (1) Intercooled/intercooled;

(2) Conventional/conventional; (3) Intercooled/conventional;
(9) Other
49 Hydrogen pressure in PSIG at nameplate MVA, if applicable

Page E-DI-3
49 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

56 Name of Unit (Columns 56-80)
i

Page E-DI-4
Unit Design Data
Hydro or Pumped Storage (Voluntary Reporting)
(Note: The NERC Board of Trustees approved the GADS Task Force report (dated July 20, 2011)1, which
states that design data collection outside the required nine fields is solely voluntary. However, the GADS
staff encourages that reporters report and update GADS design data frequently. This action can be
completed by sending in this form to gads@nerc.net. GADS staff encourages using the software for design
entry and updating.
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, enter a (9) to indicate an alternative other than those specified. Whenever you enter
a (9), write the column number and the answer on the reverse side of the form.
When submitting an original copy of the form, make sure that it is legible.
Unit name:
Regional Entity:
Sub region:
Data reporter:
Telephone number:
Date:
Appendix E – Unit Design Data Forms – Hydro/Pumped Storage Units
5 1 07 Card code
09 These columns are blank
13 Year unit first in service (see page II-1)
17 Month unit first in service
19 Day unit first in service
HYDRO TURBINE/PUMP DATA
21 Hydro or Pumped Storage – (1) Hydro; (2) Pump/turbine;

(3) Pump
22 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;
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

Page B-HY-2
38 Turbine runner, type – (1) Single; (2) Twin; (3) Triplex; (4) Double
discharge; (9) Other
39 Number of buckets/blades per runner
41 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 Thrust bearing location – (1) Above generator; (2) Below

generator
43 Guide bearing, location - (1) Above generator; (2) Below

generator
*****************************
5 2 07 Card code
18 Nameplate rating of unit (MVA times power factor)

Page B-HY-3
HYDRO TURBINE/PUMP DATA (Continued)
GENERATOR DATA
5 3 07 Card code
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
37 Nameplate capability MVA, third shaft in any
41 Speed in RPM, third shaft in any

Page B-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 nameplate MVA, if applicable.

rated Output.
52 Type normal exciters – (1) Rotating DC generator; (2) Rotating

alternator rectifier; (3) Static; (9) Other.

(2) Shaft gear; (3) Motor; (9) Other.
55 Enter (1) if more than 50% of the generator is outdoors.
56 Name of Unit (Columns 56 through 80)
1

Page B-HY-5
Unit Design Data
Gas Turbine or Jet Engine (Voluntary Reporting)
(Note: The NERC Board of Trustees approved the GADS Task Force report (dated July 20, 2011 i, which
states that design data collection outside the required nine fields is solely voluntary. However, the
GADS staff encourages that reporters report and update GADS design data frequently. This action can
be completed by sending in this form to gads@nerc.net. GADS staff encourages using the software for
design entry and updating.
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, enter a (9) to indicate an alternative other than those specified. Whenever you
enter a (9), write the column number and the answer on the reverse side of the form.
If submitting a copy of the original form, make sure that it is legible.
Unit name:
Regional Entity:
Subregion:
Data reporter:
Telephone number:
Date:
Appendix E – Unit Design Data Forms – Gas Turbine or Jet Engine Units

3 1 07 Card code
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
21 Engine type – (1) Gas turbine single shaft; (2) Gas turbine split shaft; (3)
Jet engine; (9) Other
22 Engines, number per unit
25 Expander turbines, number per unit if applicable
26 Type expander, if applicable – (1) Single flow; (2) Double flow
27 Cycle type – (1) Reheat; (2) Simple; (3) Regenerative;

(4) Recuperative; (5) Intercooled; (6) Precooled; (7) Complex;
(8) Compound; (9) Other
28 Startup system – (1) Air; (2) Auxiliary motor; (3) Electric motor;
(4) Natural gas; (5) Flow turbine; (6) Supercharging fan;
(7) Hydraulic; (9) Other
29 Startup type – (1) Automatic, on site; (2) Automatic, remote;

(9) Other

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)
32 Enter (1) if sound attenuators located at inlet
33 Enter (1) if sound attenuators located at outlet
34 Enter (1) if sound attenuators located in building enclosures
35 Time for normal cold start to full load in seconds
38 Time for emergency cold start to full load in seconds
41 Black start capability – (1) Yes; (2) No
71 Engine Model Number (MS 7001EA, W501AA, FT4A11, etc.)
POLLUTION CONTROL EQUIPMENT DATA
3 2 07 Card code

Page E-GT-3
SELECTIVE NON-CATALYTIC REDUCTION SYSTEM (SNCR)
22 SNCR reagent – (1) Ammonia; (2) Urea; (9) Other
23 SNCR injector type – (1) Wall nozzle; (2) Lance; (9) Other
24 SNCR injection equipment location – (1) Furnace;

(2) Super-heater; (3) Economizer; (9) Other
25 Number of SNCR injectors
28 SNCR carrier gas type – (1) Steam; (2) Air; (9) Other
 29 SNCR carrier gas total flow rate (thousands of lbs./hr.) i.e.

6,000,000 lbs./hr. enter 6000
34 SNCR carrier gas pressure at nozzle (psi)
38 SNCR carrier gas nozzle exit velocity (thousands of ft./sec.)


SELECTIVE CATALYTIC REDUCTION SYSTEM (SCR)
43 SCR reactor – (1) Separate; (2) In Duct
44 SCR reagent – (1) Ammonia; (2) Urea; (9) Other
45 SCR ammonia injection grid location – (1) Furnace;

(2) Super-heater; (3) Economizer; (4) Zoned
46 SCR duct configuration – (1) Flow straighteners;

(2) Turning vanes; (3) Dampers
47 SCR Catalyst Element Type (1) Plate; (2) Honeycomb;

(9) Other
48 SCR catalyst support material – (1) Stainless steel;

(2) Carbon steel; (9) Other
49 SCR catalytic material configuration – (1) Vertical;

(2) Horizontal; (9) Other
50 SCR catalyst surface face area (thousands of square feet)


 55 SCR catalyst volume (thousands of cubic feet)
60 Number of SCR catalytic layers

Page E-GT-4
SELECTIVE CATALYTIC REDUCTION SYSTEM (SCR) (Continued)
62 SCR catalytic layer thickness (1/1000 inches)


65 SCR sootblower type – (1) Air; (2) Steam; (3) Both
66 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
69 CAH catalyst material – (1) Titanium oxide; (2) Vanadium

pentoxide; (3) Iron (II) oxide; (4) Molybdenum oxide; (9) Other
70 CAH catalyst support material – (1) Stainless steel;

(2) Carbon steel; (9) Other
71 CAH catalyst material configuration – (1) Horizontal air shaft;

(2) Vertical air shaft
72 CAH catalyst material total face area (thousands of square feet)


75 CAH catalyst material open face area (thousands of square feet)

78 CAH catalyst material layer thickness (1/1000 inches)

GENERATOR DATA
3 3 07 Card code
13 Nameplate voltage to nearest one-tenth KV



Page E-GT-5
47 Cooling medium, stator/rotor – (1) Air/air; (2) Hydrogen/ hydrogen;

48 Cooling method, stator/rotor – (1) Intercooled/intercooled;

(2) Conventional/conventional; (3) Intercooled/ conventional;
(9) Other
49 Hydrogen pressure in PSIG at nameplate, MVA, if applicable

rated output
52 Type normal exciters – (1) Rotating DC generator; (2) Rotating

alternator rectifier; (3) Static; (9) Other

56 Unit Name (columns 56-80)

Page E-GT-6
Unit Design Data
Miscellaneous (Voluntary Reporting)
(Note: The NERC Board of Trustees approved the GADS Task Force report (dated July 20, 2011 1, which
states that design data collection outside the required nine fields is solely voluntary. However, the GADS
staff encourages that reporters report and update GADS design data frequently. This action can be
completed by sending in this form to gads@nerc.net. GADS staff encourages using the software for design
entry and updating.
INSTRUCTIONS
Use these forms when no other forms in this appendix are appropriate. Specifically, use them for multi-
boiler/multi-turbine units, combined-cycle units, 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, enter a (9) to indicate an alternative other than those specified, and whenever a (9) is
entered, write the column number and the answer on the reverse side of the form.
If submitting a copy of the original form, make sure that it is legible.
Utility name:
Station name:
Unit name:
Data reporter:
Telephone number:
Date:
Appendix E – Unit Design Data – Miscellaneous
MISCELLANEOUS
GENERAL DATA COL. NO.
8 1 07 Card code
21 Energy source – (1) Fossil (Multi-Boiler – Multi-Turbine);

(3) Geothermal; (4) More than one; (9) Other
22 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
23 Enter (1) if header unit
24 Enter (1) if noncondensing steam turbine

 25 Columns 25 through 80 are blank

Page E-MS-2
8 2 07 Card code
16 Nameplate MW Rating of the unit
SELECTIVE NON-CATALYTIC REDUCTION SYSTEM (SNCR)
22 R reagent – (1) Ammonia; (2) Urea; (9) Other
23 SNCR injector type – (1) Wall nozzle; (2) Lance; (9) Other
21 SNCR injection equipment location – (1) Furnace; (2) Super-

heater; (3) Economizer; (9) Other
25 Number of SNCR injectors
28 SNCR carrier gas type – (1) Steam; (2) Air; (9) Other
26 R carrier gas total flow rate (thousands of lbs./hr.) i.e. 6,000,000


lbs./hr. enter 6000
33 SNCR carrier gas pressure at nozzle (psi)
 38 SNCR carrier gas nozzle exit velocity (thousands of ft./sec.)
SELECTIVE CATALYTIC REDUCTION SYSTEM (SCR)
43 reactor – (1) Separate; (2) In Duct
41 SCR reagent – (1) Ammonia; (2) Urea; (9) Other
45 SCR ammonia injection grid location – (1) Furnace; (2) Super-

heater; (3) Economizer; (4) Zoned
46 SCR duct configuration – (1) Flow straighteners; (2) Turning

vanes; (3) Dampers

Page E-MS-3
SELECTIVE CATALYTIC REDUCTION SYSTEM (SCR) (cont.)
47 SCR Catalyst Element Type (1) Plate; (2) Honeycomb;

(9) Other
47 SCR catalyst support material – (1) Stainless steel; (2) Carbon

steel; (9) Other
48 SCR catalytic material configuration – (1) Vertical;

(2) Horizontal; (9) Other
49 SCR catalyst surface face area (thousands of square feet)


 55 SCR catalyst volume (thousands of cubic feet)
60 Number of SCR catalytic layers
62 SCR catalytic layer thickness (1/1000 inches)


64 SCR sootblower type – (1) Air; (2) Steam; (3) Both
65 SCR sootblower manufacturer – (see table of Manufacturers –

page E-125)
CATALYTIC AIR HEATERS (CAH)
67 CAH element type – (1) Laminar surface; (2) Turbulent surface;

(9) Other
68 CAH catalyst material – (1) Titanium oxide; (2) Vanadium

pentoxide; 3) Iron (II) oxide; (4) Molybdenum oxide; (9) Other
69 CAH catalyst support material – (1) Stainless steel; (2) Carbon

steel; 9) Other
71 CAH catalyst material configuration – (1) Horizontal air shaft;

(2) Vertical air shaft
 72 CAH catalyst material total face area (thousands of square feet)
 75 CAH catalyst material open face area (thousands of square feet)
 78 CAH catalyst material layer thickness (1/1000 inches)

Page E-MS-4
GENERAL DATA
8 3 07 Card code
15 Total nameplate rating in MW
19 Type electrical output – (1) Three-phase, 60 cycle; (9) Other
48 Name of Unit
1

Page E-MS-5
Unit Design Data
Combined-Cycle Units and Block Design Data (Voluntary Reporting)
(Note: The NERC Board of Trustees approved the GADS Task Force report (dated July 20, 2011 – here i which
states that design data collection outside the required nine fields is solely voluntary. However, the GADS staff
encourages that reporters report and update GADS design data frequently. This action can be completed by 1)
Company name:
Station name:
Block name:
Data reporter:
Telephone number:
Date:
Appendix E – Unit Design Data Forms – Combined-Cycle and Co-Generation Blocks
Combined-Cycle Units and Block Design Data
Instructions
Here are some definitions used to eliminate some of the ambiguity concerning combined-cycle blocks.
o Combined-Cycle Block (referred to 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 electric generating
technology that produces electricity 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. Reporters should complete a form for each
individual block.
o Units – Each gas turbine/jet engine and each steam turbine is considered a “unit.” Each unit
contributes to the total electric generation or steam production of the block. Each unit has its
own or shares its generator for providing electric power. They should be considered individual
parts of the block.
o Heat Recovery Steam Generator (HRSG) – There may be one or more HRSG or waste heat boilers
in a block. Some blocks may have a single HRSG per GT/jet; others may have several GT/jets
feeding a single HRSG or any combination thereof. The HRSG does not contribute electricity to
the output of the block so is considered a component rather than a “unit.”
o Other Balance of Plant Equipment – There is other equipment in the block used to support the
production of electricity/heat energy, but they are not related to any specific generating unit
and are also considered 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, enter a (9) to indicate an alternative other than those specified. Whenever you enter a (9),
write the column number and the answer on the reverse side of the form.
If you’re submitting copy of the original form, 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 a 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 codes 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 specified 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 megavolt amperes (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 – Base load with minor load following

2 – Periodic start up, load follow daily, reduced load nightly
3 – Weekly start up, load follow daily, reduced load nightly
4 – Daily start up, load follow daily, off-line nightly
5 – Start up chiefly to meet daily peaks

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: _________________________________________

Page E-CC-3
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 turbine’s nameplate rating cannot be determined,
approximate the rating by multiplying the MVA (megavolt amperes) by the rated power factor found on
the nameplate affixed to each unit’s generator (or nameplates in the case of cross compound units).
Total block rating (MW) based on sum of nameplate ratings on all units: __________________________.
6. Does the block have co-generation (steam for other than electric generation) capabilities (yes/no)?
_____
7. 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.
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

Page E-CC-4
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 megavolt amperes (MVA) and the rated power factor
as stamped on the generator nameplate(s)).

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

The nameplate is the design capacity stamped on the gas turbines/jet engines or published on the
guarantee flow diagram. In cases where the gas turbine’s nameplate rating cannot be determined,
the nameplate affixed to each unit’s generator (or nameplates in the case of cross compound units).
Gas turbine/jet engine rating (MW):

Page E-CC-5
16. Engine manufacturer – (1) Pratt & Whitney; (2) General Electric; (3) Siemens Westinghouse; (4) Alstom
(ABB); (5) Rolls Royce; (6) Cooper Bessemer; (7) Worthington; (8) Allison; (9)
Other.___________________________________________
17. Engine type – (1) Gas turbine single shaft; (2) Gas turbine split shaft; (3) Jet engine; (9) Other
____________________________________________
18. Expander turbines, number per unit if applicable: ___________________
19. Type expander, if applicable – (1) Single flow; (2) Double flow
20. Cycle type – (1) Reheat; (2) Simple; (3) Regenerative; (4) Recuperative; (5) Intercooled;
(6) Pre-cooled; (7) Complex; (8) Compound; (9) Other
21. Start-up system – (1) Air; (2) Auxiliary motor; (3) Electric motor; (4) Natural gas; (5) Flow turbine; (6)
Supercharging fan; (7) Hydraulic; (9) Other
22. Start-up type – (1) Automatic, on site; (2) Automatic, remote; (9) Other
23. Type of Fuel(s) that will be used: _____________________
24. Enter (1) if sound attenuators located at inlet: __________
25. Enter (1) if sound attenuators located at outlet: _________
26. Enter (1) if sound attenuators located in building enclosures: ________
27. Time in seconds for normal cold start to full load: _________________
28. Time in seconds for emergency cold start to full load: ______________
29. Black start capability – (1) Yes; (2) No _________________
30. Engine Model Number (MS 7001EA, W501AA, FT4A11, etc.)
________________________________________________________
Gas Turbine Selective Non-Catalytic Reduction System (Sncr)
31. SNCR reagent – (1) Ammonia; (2) Urea; (9) Other: ___________________________
32. SNCR injector type – (1) Wall nozzle; (2) Lance; (9) Other: ____________________
33. SNCR injection equipment location – (1) Furnace; (2) Super-heater; (3) Economizer;
(9) Other: ______________________________

Page E-CC-6
34. Number of SNCR injectors: ___________________________
35. SNCR carrier gas type – (1) Steam; (2) Air; (9) Other: _____________________
36. SNCR carrier gas total flow rate (thousands of lb./hr.) i.e. 6,000,000 lbs./hr. enter 6000
____________________________________________________
37. SNCR carrier gas pressure at nozzle (psi): ______________________
38. SNCR carrier gas nozzle exit velocity (thousands of ft./sec.): _________________
Gas Turbine Selective Catalytic Reduction System (Scr)
39. CR reactor – (1) Separate; (2) In Duct; (3) Other: ________________________
40. 40SCR reagent – (1) Ammonia; (2) Urea; (9) Other: ____________________
41. SCR ammonia injection grid location – (1) Furnace; (2) Super-heater; (3) Economizer;
(4) Zoned; (5) Other: ____________________________________
42. SCR duct configuration – (1) Flow straighteners; (2) Turning vanes; (3) Dampers
43. SCR catalyst element type (1) Plate; (2) Honeycomb; (9) Other: ________________
44. SCR catalyst support material – (1) Stainless steel; (2) Carbon steel;
(9) Other: __________________________________
45. SCR catalytic material configuration – (1) Vertical; (2) Horizontal;

(9) Other: _________________________
46. SCR catalyst surface face area (thousands of square feet): ___________________________
47. SCR catalyst volume (thousands of cubic feet): _____________________________________
48. Number of SCR catalytic layers: _________________________
49. SCR catalytic layer thickness (1/1000 inches): ___________________________
50. SCR sootblower type – (1) Air; (2) Steam; (3) Both
51. SCR sootblower manufacturer: ________________________________________________

Page E-CC-7
Gas Turbine Catalytic Air Heaters (Cah)
52. CAH element type – (1) Laminar surface; (2) Turbulent surface;
(9) Other: ____________________________________
53. CAH catalyst material – (1) Titanium oxide; (2) Vanadium pentoxide; (3) Iron (II) oxide;
4) Molybdenum oxide; (9) Other: _____________________________________
54. CAH catalyst support material – (1) Stainless steel; (2) Carbon steel;
(9) Other: ________________________________
55. CAH catalyst material configuration – (1) Horizontal air shaft; (2) Vertical air shaft
56. CAH catalyst material total face area (thousands of square feet): _____________________
57. CAH catalyst material open face area (thousands of square feet): _____________________
58. CAH catalyst material layer thickness (1/1000 inches): _____________________________
For Electric Generator on Each Gt/Jet Engine

Generator manufacturer:
60. Number of generators per gas turbine/jet engine:__________________________

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

Main Second* Third*

RPM

Page E-CC-8

Enter the type of cooling method used by the generator: _________

Enter the mediums used to cool the generator’s stator (air, hydrogen, oil, water): ______________
Enter the mediums used to cool the generator’s rotor (air, hydrogen, oil, water): ______________

Enter the generator hydrogen pressure IN PSIG at nameplate MVA:______________________
Exciter on Each Gt/Jet Engine Generator

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: _______________________
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

Page E-CC-9
For each heat recovery steam generator (HRSG)

(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. HRSG – Enclosure

Is 50% or more of the HRSG is outdoors (not enclosed in building framing and siding)? (Y/N):_______
69. HRSG – Nameplate Steam Conditions When fired situation

Enter the following steam conditions at the full load, valves-wide-open design point at the exit of the
HRSG to the steam turbine when the HRSG is experiencing supplemental firing:
HIGH-PRESSURE
Steam flow rate (in lbs/hr): ______________________
Design temperature (ºF): ______________
Design pressure (psig): __________________________

Page E-CC-10
INTERMEDIATE PRESSURE
LOW-PRESSURE
REHEAT PRESSURE
70. HRSG – Nameplate Steam Conditions When unfired situation

Enter the following steam conditions at the full load, valves-wide-open design point at the exit of the
HRSG to the steam turbine when the HRSG is not experiencing supplemental firing:
HIGH-PRESSURE
INTERMEDIATE PRESSURE
LOW-PRESSURE
Steam flow rate (in lb/hr): ______________________
REHEAT PRESSURE
Steam flow rate (in lb/hr): ______________________

Page E-CC-11
71. Is the HRSG top-supported (pressure parts hang like in a utility boiler) or bottom-supported?
______________________
72. Does the HRSG have vertical or horizontal heat exchangers? ________________
73. Is the duct insulation cold casing (insulation on the inside of the duct) or hot casing (insulation on the
outside of the duct)? ___________________________
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. Does the HRSG have a drum or is it a once-through design? ___________________
77. 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 – Injection (or injection seal) – controlled-leakage HRSG recirculation pumps mounted

vertically with a rigid shaft designed to carry its own thrust.
2 – Leakless (or canned, canned-motor, or zero-leakage) – pump and its motor are an integral
pressurized and sealed component.
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:

Page E-CC-12
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:
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 HRSG’s 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: ___________

3 – Motor – variable speed 8 – Shaft gear
5 – Shaft
Specify coupling type used for feedwater (HRSG feed) pump: ___________
1 – Hydraulic
2 – Mechanical

Page E-CC-13
82. Auxiliary Systems – Start-up Feedwater (HRSG Feed) Pumps
Start-up feedwater pump(s) manufacturer(s):
Manufacturer(s) of the motor(s) that drives the start-up feedwater pump(s):
PERCENT (%) of the HRSG’s maximum capacity that can be achieved with a single
Start-up feedwater pump: _______________
Indicate the additional capabilities of the start-up feedwater pump: ____________
1 – ADDITIVE: operated in conjunction with the feedwater (HRSG feed) pumps.

2 – REPLACEMENT: can carry load when the feedwater pumps are inoperative.
3 – START-UP only: cannot be used in lieu of the feedwater pumps.
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): ________________

3 – Both

Page E-CC-14

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:
Enter the type of INTERMEDIATE pressure feedwater heater(s): _____________

3 – Both
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:
Enter the type of Low-pressure feedwater heater(s): _____________

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

4 – Combination

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

Page E-CC-16
For each steam turbine

(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. Does the steam turbine have bypass capability? (y/n) _________

Steam turbine manufacturer:

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

Nameplate is the design capacity stamped on the steam turbine’s nameplate or published on the turbine
guarantee flow diagram. In cases where the steam turbine’s nameplate rating cannot be determined,
the nameplate affixed to the unit’s generator (or nameplates in the case of cross compound units).
Steam turbine’s nameplate rating (MW) (in XXXX.X format): _____________

Enter the type of steam turbine at the unit: ____________
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: ___________________________________________

Page E-CC-17

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:
Manufacturer’s code, first shaft: ________________________
Manufacturer’s code, second shaft (cross or triple compound units): __________________________
Turbine configuration and number of exhaust flows (e.g., tandem compound, four flow): ______________

Main steam: Temperature (ºF): ____________ Pressure (psig): ______________

First reheat steam: Temperature (ºF): ____________ Pressure (psig): ______________
Second reheat steam: Temperature (ºF): ____________ 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: __________________

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-18

Enter the type of governing system used at the unit: _____________
1 – Partial arc – main steam flow is restricted to one sector of the turbine’s first stage at
start-up.
2 – Full arc – main steam is admitted to all sectors of the turbine’s first stage at start-up.
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.

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 – Motor
2 – Shaft
3 – Steam turbine
FOR ELECTRIC GENERATOR ON A STEAM TURBINE

Generator manufacturer:

Page E-CC-19

Is 50% or more of the generator outdoors (not enclosed in building framing and siding)? (Y/N)
__________

Main Second* Third*


  
Megavolt amperes (MVA) Capability
RPM

  

Enter the type of cooling method used by the generator: ______________

Enter the mediums used to cool the generator’s stator (air, hydrogen, oil, water): ______________
Enter the mediums used to cool the generator’s rotor (air, hydrogen, oil, water): _______________

Enter the generator hydrogen pressure IN PSIG at nameplate MVA (XX.X format): _____________

Page E-CC-20
Exciter for Each Steam Turbine Generator

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 – Shaft direct
2 – Shaft gear
3 – Motor

Page E-CC-21
Auxiliary Systems
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 Vacuum pump
3 – Both
Enter the type of cooling water used in the condenser: _______________

Enter the origin of the circulating water used in the condenser: ________________
1 – River
2 – Lake
3 – Ocean or Bay
4 – Cooling Tower

Page E-CC-22

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: _________________________

2 – Brushes

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.
Condensate polishing system manufacturer:
Enter the % of the condensate flow at maximum unit capacity that can be treated: __________________

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:

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:

Page E-CC-23

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.

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 – Mechanical draft (induced, forced, cross-flow and counterflow) – fan(s) used to move
ambient air through the tower.
2 – Atmospheric spray – air movement is dependent on atmospheric conditions and the
aspirating effect of the spray nozzles.
3 – 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.
4 – 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.
5 – Coil shed – a combination structure of a cooling tower installed over a substructure that
houses atmospheric coils or sections.
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-24
Balance of Plant
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:
Megavolt ampere (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 – Single phase
2 – Three phase
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:

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:
i http://www.nerc.com/pa/RAPA/gads/MandatoryGADS/Revised_Final_Draft_GADSTF_Recommendation_Report.pdf)

Page E-CC-25
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. Service Hours - SH Sum of all Unit Service Hours.
2. Synchronous Condensing 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.
3. Pumping Hours Sum of all hours the pumped storage unit is in

pumping mode. The units are considered to be in
a non-generating service operation.
4. Available Hours - AH Sum of all Service Hours (SH) +

Reserve Shutdown Hours (RSH) + Pumping Hours +
Synchronous Condensing Hours.
5. Planned Outage Hours - POH Sum of all hours experienced during Planned Outages
(PO) + Planned Outage Extensions (PE) of any Planned
Outages (PO).
6. Unplanned Outage Hours - UOH 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).
7. Forced Outage Hours - FOH Sum of all hours experienced during

Forced Outages (U1, U2, U3) + Startup Failures (SF).
8. Maintenance Outage Hours - MOH Sum of all hours experienced during Maintenance
Outages (MO) + Maintenance Outage Extensions (ME) of
any Maintenance Outages (MO).
9. Unavailable Hours - UH Sum of all Planned Outage Hours (POH) + Forced Outage
Hours (FOH) + Maintenance Outage Hours (MOH).
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).
11. Period Hours - PH Number of hours in the period being reported that the
unit was in the active state.
12. Equivalent Seasonal Net Maximum Capacity (NMC) -

Derated Hours - ESEDH Net Dependable Capacity (NDC) x Available Hours (AH) /
Net Maximum Capacity (NMC).
(NMC - NDC) x AH
NMC
13a. Equivalent Forced Each individual Forced Derating (D1, D2, D3) is
Derated Hours - EFDH transformed (D1, D2, D3) 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.

F-2
13b. Equivalent Maintenance Derated Each individual Maintenance Derating (D4,

Hours - EMDH DM) is transformed into equivalent full
(D4, DM of D4) outage hour(s). This is calculated by multiplying the
actual duration of the derating (hours) by the size of
summed.

NMC
13c. Equivalent Planned Derated Each individual Planned Derating (PD,

Hours - EPDH DP) is transformed into equivalent full
(PD, DP of PD) outage hour(s). This is calculated by multiplying the
summed.

NMC
NOTE: Includes Planned Deratings (PD) during

Reserve Shutdowns (RS).
See 13d, below.
13d. Equivalent Scheduled Derated Each individual Planned Derating (PD,

Hours - ESDH DP) and Maintenance Derating (D4, DM) is
(PD, DP of PD, D4 and DM of D4) transformed into equivalent full
outage hour(s). This is calculated by multiplying the
summed.

NMC
*Size of Reduction is determined by subtracting the Net Available Capacity (NAC) from the Net Dependable

F-3
13e. Equivalent Unplanned Derated Each individual Unplanned Derating

Hours - EUDH (D1, D2, D3, D4, DM) is transformed
(D1, D2, D3, D4, DM) 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.

NMC
NOTE: Incudes Unplanned Deratings (D1, D2, D3,

D4, DM) during Reserve Shutdowns (RS).
See 13d, Page F-3.
13f. Equivalent Forced Each individual Forced

Derated Hours During Reserve Derating (D1, D2, D3) or the portion
Shutdowns - EFDHRS of any Forced derating
(D1, D2, D3) which occurred during a Reserve
Shutdown (RS) is transformed into equivalent full outage
summed.

NMC
13g. Equivalent Planned Each individual Planned Derating

Derated Hours During Reserve (PD) or the portion
Shutdowns - EPDHRS of any Planned derating
(PD) which occurred during a Reserve
summed.

NMC

F-4
13h. Equivalent Maintenance Each individual Maintenance Derating

Derated Hours During Reserve (D4) or the portion
Shutdowns - EMDHRS of any Maintenance derating
(D4) which occurred during a Reserve
summed.

NMC
14. Number of Planned Outages A count of the number of all Planned

(PO) which occur from Outages (PO) reported on the GADS
in-service state only 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.)
15. Number of Unplanned Outages A count of the number of all Unplanned

(MO, U1, U2, U3) which Outages (U1, U2, U3, MO) reported on
occur from in-service the GADS Event Report (07).
state only (IEEE Standard 762 does not include Startup Failures (SF)
in this count.)
* Size of Reduction is determined by subtracting the Net Available Capacity (NAC) from the Net Dependable
as a result of the derating

F-5
16. Number of Forced A count of the number of all Unplanned

Outages (U1, U2, U3) which (Forced) Outages (U1, U2, U3) reported
occur from in-service state on the GADS Event Report (07).
only (IEEE Standard 762 does not include Startup Failures (SF)
in this count.)
17. Number of Maintenance A count of the number of all

Outages (MO) which occur Maintenance Outages (MO) reported on
from in-service state only 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.)
* Size of Reduction is determined by subtracting the Net Available Capacity (NAC) from the Net Dependable

F-6
Performance Indexes
The following sections describe performance indexes used to measure the performance of generating units. The
sections are divided into:
1. Unweighted (time-based) methods for calculating single unit statistics.

2. Unweighted (time-based) methods for calculating pooled (grouping) unit statistics.
3. Weighted (capacity-based) methods for calculating pooling (grouping) unit statistics.
4. 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.
Calculation Notes
Please note that when you are calculating a single generating unit’s 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 these
cases, a group of units of similar size will show only small differences, but a 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 on 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 these 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.
Data Pooling Notes

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, and 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).
However, the current IEEE 762 Standard's unweighted equations should not be abandoned 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) change somewhat.

F-7
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 x 100%

PH
2. Unplanned Outage Factor – UOF
UOF = UOH x 100%

PH
UOF = MOH + FOH x 100% Reason for change: ME of MO is included in MOH

PH
3. Forced Outage Factor – FOF
FOF = FOH x 100%

PH
4. Maintenance Outage Factor – MOF
MOF = MOH x 100%

PH
5. Scheduled Outage Factor – SOF
SOF = SOH x 100%

PH
SOF = POH + MOH x 100%

PH

F-8
6. Unavailability Factor – UF
UF = UH x 100%
PH
UF = POH + MOH + FOH x 100%

PH
7. Availability Factor – AF
AF = AH x 100%
PH
AF = SH + RSH + Synchronous Hours + Pumping Hours x 100%

PH
8. Service Factor – SF
SF = SH x 100%
PH
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

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 x 100%

[FOHd + SH]
where
FOHd = f x FOH
The FOHd is the number of hours a unit was in a U1, U2, U3, or SF AND the unit would have operated had it been available.
FOHd can be determined directly if periods of demand are

recorded. Demand can be defined as the traditional demand for the
generating unit for economic or reliable operation of the system, or it can
be any other user-defined condition, such as specific weather condition,

F-11
load level, or energy price. When FOHd is determined directly from recorded periods of demand, service hours (SH)
in the above equation should include only those under the specified demand condition
If periods of demand are not recorded, FOHd may be estimated using the demand factor f. The demand factor is
applicable to traditional demand for economic or reliable system operation.
1 1 1 1 1 r=Average Forced outage duration = (FOH) / (# of FO occurrences)

𝑓𝑓 = ( + )/( + + ) D=Average demand time = (SH) / (# of unit actual starts)
𝑟𝑟 𝑇𝑇 𝑟𝑟 𝑇𝑇 𝐷𝐷
T=Average reserve shutdown time = (RSH) / (# of unit attempted starts)
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)
FOHd and EFDHD can be determined directly if periods of demand are

load level, or energy price. When FOHd and EFDHd are determined directly from recorded periods of demand, service
hours (SH) in the above equation should include only those under the specified demand condition
1 1 1 1 1 r=Average Forced outage deration = (FOH) / (# of FO occurrences)

𝑓𝑓 = ( + )/( + + ) 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 x 100%

MOH + SH + Synchronous Hrs + Pumping Hrs + EMDHRS

F-12
28. Equivalent Unplanned Outage Rate – EUOR
EUOR = (UOH + EUDH ) x 100%

UOH + SH + Synchronous Hrs + Pumping Hrs + EUDHRS
EUOR = FOH + EFDH + MOH + EMDH x 100%

FOH + MOH + SH + Synchronous Hrs + Pumping Hrs + EFDHRS + EMDHRS
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 = Σ POH x 100%

Σ PH
34. Unplanned Outage Factor – UOF
UOF = Σ (FOH + MOH) x 100%

Σ PH

F-14
35. Forced Outage Factor – FOF
FOF = Σ FOH x 100%

Σ PH
36. Maintenance Outage Factor – MOF
MOF = Σ MOH x 100%

Σ PH
37. Scheduled Outage Factor – SOF
SOF = Σ (POH + MOH) x 100%

Σ PH
38. Unavailability Factor – UF
UF = Σ (POH + MOH + FOH) x 100%

Σ PH
39. Availability Factor – AF
AF = Σ AH x 100%
Σ PH
AF = Σ (SH + RSH + Synchronous Hours + Pumping Hours) x 100%
Σ PH
40. Service Factor – SF
SF = Σ SH x 100%
Σ PH
41. Seasonal Derating Factor – SEDF
SEDF = Σ ESEDH x 100%

Σ PH

F-15
42. Unit Derating Factor – UDF
UDF = Σ (EUDH + EPDH) x 100%

Σ PH
UDF = Σ (EFDH + EMDH + EPDH) x 100%

Σ PH
43. Equivalent Unavailability Factor – EUF
EUF = Σ ( POH + UOH + EUDH + EPDH) x 100%

Σ PH
EUF = Σ ( SOH + FOH + ESDH + EFDH) x 100%

Σ PH
EUF = Σ ( POH + MOH + FOH + EFDH + EMDH + EPDH) x 100%

Σ PH
44. Equivalent Availability Factor – EAF
EAF = Σ ( AH – EUDH – EPDH -ESEDH) x 100%

Σ PH
EAF = Σ ( AH – EFDH – EMDH – EPDH -ESEDH) x 100%

Σ PH
45. * Gross Capacity Factor – GCF
GCF = Σ (Gross Actual Generation) x 100%

Σ (GMC x PH)
46. * Net Capacity Factor – NCF
NCF = Σ (Net Actual Generation) x 100%

Σ (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.

F-16
47. * Gross Output Factor – GOF
GOF = Σ (Gross Actual Generation) x 100%

Σ (GMC x SH)
48. * Net Output Factor – NOF
NOF = Σ (Net Actual Generation) x 100%

Σ (NMC x SH)
49. Equivalent Maintenance Outage Factor – EMOF
EMOF = Σ (MOH + EMDH) x 100%

Σ PH
50. Equivalent Planned Outage Factor – EPOF
EPOF = Σ (POH + EPDH) x 100%

Σ PH
51. Equivalent Forced Outage Factor – EFOF
EFOF = Σ (FOH + EFDH) x 100%

Σ PH
52. Equivalent Scheduled Outage Factor – ESOF
ESOF = Σ (SOH + ESDH) x 100%

Σ PH
ESOF = Σ (MOH + POH + EMDH + EPDH) x 100%

Σ PH
* Special energy-weighted equations are not necessary for “energy terms” (GCF, NCF, GOF, NOF), because these
the equations.

F-17
53. Equivalent Unplanned Outage Factor – EUOF
EUOF = Σ (UOH + EUDH) x 100%

Σ PH
EUOF = Σ (MOH + FOH + EMDH + EFDH) x 100%

Σ PH
54. Forced Outage Rate – FOR
FOR = Σ FOH x 100%

Σ (FOH + SH + Synchronous Hours + Pumping Hours)
55. Forced Outage Rate demand – FORd (See Notes 1 and 2 at the end of this section)
FORd = Σ FOHd x 100%

Σ FOHd + SH
Where
FOHd = f x FOH
FOHd can be determined directly if periods of demand are

load level, or energy price. When FOHd is determined directly from recorded periods of demand, service hours (SH)
in the above equation should include only those under the specified demand condition
r = Average Forced outage deration = (FOH) / (# of FO occurrences)
1 1 1 1 1 D = Average demand time = (SH) / (# of unit actual starts)
𝑓𝑓 = ( + )/( + + ) T = Average reserve shutdown time = (RSH) / (# of unit attempted starts)
56. Equivalent Forced Outage Rate – EFOR
EFOR = Σ ( FOH + EFDH ) x 100%

Σ (FOH + SH + Synchronous Hours + Pumping Hours + EFDHRS)

F-18
57. Equivalent Forced Outage Rate demand – EFORd (See Notes 1 and 2 at the end of this section)
EFORd = [ Σ [FOHd + (EFDHd)] x 100%

Σ (SH + FOHd)
where
FOHd = f x FOH
fp = (SH/AH)
The FOHd is the number of hours a unit was in a U1, U2, U3, or SF AND the unit would have operated had it been
available.
FOHd and EFDHd can be determined directly if periods of demand are recorded. Demand can be defined as the
traditional demand for the generating unit for economic or reliable operation of the system, or it can be any other
user-defined condition, such as specific weather condition, load level, or energy price. When FOHd and EFDHd are
determined directly from recorded periods of demand, service hours (SH) in the above equation should include only
those under the specified demand condition
1 1 1 1 1 r = Average Forced outage deration = (FOH) / (# of FO occurrences)

𝑓𝑓 = ( + )/( + + ) D = Average demand time = (SH) / (# of unit actual starts)
T = Average reserve shutdown time = (RSH) / (# of unit attempted starts)
58. Equivalent Planned Outage Rate – EPOR
EPOR = Σ ( POH + EPDH) x 100%

Σ (POH + SH + Synchronous Hours + Pumping Hours + EPDHRS)
59. Equivalent Maintenance Outage Rate – EMOR
EMOR = Σ ( MOH + EMDH) x 100%

Σ (MOH + SH + Synchronous Hours + Pumping Hours + EMDHRS)
60. Equivalent Unplanned Outage Rate – EUOR
EUOR = Σ ( UOH + EUDH) x 100%

Σ (UOH + SH + Synchronous Hours + Pumping Hours + EUDHRS)
EUOR = Σ ( FOH + MOH + EFDH + EMDH) ___ x 100%

Σ (FOH+MOH+SH+ Synchronous Hours + Pumping Hours + EFDHRS + EMDHRS)

F-19
61. Average Run Time – ART
ART = Σ SH x 100%
Σ (Actual Unit Starts)
62. Starting Reliability – SR
SR = Σ (Actual Unit Starts) x 100%

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

F-20
64a. Mean Planned Outage Duration (MPOD)
Σ (Planned Outage Hours which occur from in-service state only)

MPOD =
Σ (Number of Planned Outages which occur from in-service state only)
64b. Mean Unplanned Outage Duration (MUOD)
Σ (Unplanned Outage Hours which occur from in-service state only)

MUOD =
Σ (Number of Unplanned Outages which occur from in-service state only)
64c. Mean Forced Outage Duration (MFOD)
Σ (Forced Outage Hours which occur from in-service state only)

MFOD =
Σ (Number of Forced Outages which occur from in-service state only)
64d. Mean Maintenance Outage Duration (MMOD)
Σ (Maintenance Outage Hours which occur from in-service state only)

MMOD =
Σ (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 = Σ (FOH x NMC) x 100%

Σ (PH x NMC)
66. Weighted Maintenance Outage Factor – WMOF
WMOF = Σ (MOH x NMC) x 100%

Σ (PH x NMC)
67. Weighted Planned Outage Factor – WPOF
WPOF = Σ (POH x NMC) x 100%

Σ (PH x NMC)
68. Weighted Unplanned Outage Factor – WUOF
WUOF = Σ [(UOH) x NMC] x 100%

Σ (PH x NMC)
WUOF = Σ [(FOH+MOH) x NMC] x 100%

Σ (PH x NMC)
69. Weighted Scheduled Outage Factor – WSOF
WSOF = Σ [(SOH) x NMC] x 100%

Σ (PH x NMC)
WSOF = Σ [(POH+MOH) x NMC] x 100%

Σ (PH x NMC)
70. Weighted Unavailability Factor – WUF
WUF = Σ [(POH+MOH+POH) x NMC] x 100%

Σ (PH x NMC)
71. Weighted Availability Factor – WAF
WAF = Σ (AH x NMC) x 100%

Σ (PH x NMC)

F-22
72. Weighted Service Factor – WSF
WSF = Σ ( SH x NMC) x 100%

Σ (PH x NMC)
73. Weighted Seasonal Derating Factor – WSEDF
WSEDF = Σ ( ESEDH x NMC) x 100%

Σ (PH x NMC)
74. Weighted Unit Derating Factor – WUDF
WUDF = Σ [( EUDH + EPDH) x NMC] x 100%

Σ (PH x NMC)
WUDF = Σ [(EFDH + EMDH + EPDH) x NMC] x 100%

Σ (PH x NMC)
75. Weighted Equivalent Unavailability Factor – WEUF
WEUF = Σ [( POH + UOH + EUDH + EPDH) x NMC] x 100%

Σ (PH x NMC)
WEUF = Σ [( SOH + FOH + ESDH + EFDH) x NMC] x 100%

Σ (PH x NMC)
WEUF = Σ [(POH + MOH + FOH + EFDH + EMDH + EPDH) x NMC] x 100%

Σ (PH x NMC)
76. Weighted Equivalent Availability Factor – WEAF
WEAF = Σ [( AH – EUDH – EPDH -ESEDH)x NMC] x 100%

Σ (PH x NMC)
WEAF = Σ [( AH – EFDH – EMDH – EPDH -ESEDH) x NMC] x 100%

Σ (PH x NMC)
77. * Gross Capacity Factor – GCF
GCF = Σ (Gross Actual Generation) x 100%

Σ (GMC x PH)
78. * Net Capacity Factor – NCF
NCF = Σ (Net Actual Generation) x 100%

Σ (NMC x PH)

F-23
79. * Gross Output Factor – GOF
GOF = Σ (Gross Actual Generation) x 100%

Σ (GMC x SH)
80. * Net Output Factor – NOF
NOF = Σ (Net Actual Generation) x 100%

Σ (NMC x SH)
.
81. Weighted Equivalent Maintenance Outage Factor – WEMOF
WEMOF = Σ [(MOH+EMDH) x NMC] x 100%

Σ (PH x NMC)
82. Weighted Equivalent Planned Outage Factor – WEPOF
WEPOF = Σ [(POH+EPDH) x NMC] x 100%

Σ (PH x NMC)
83. Weighted Equivalent Forced Outage Factor – WEFOF
WEFOF = Σ [(FOH+EFDH) x NMC] x 100%

Σ (PH x NMC)
84. Weighted Equivalent Scheduled Outage Factor – WESOF
WESOF = Σ [(SOH + ESDH) x NMC] x 100%

Σ (PH x NMC)
WESOF = Σ [(MOH+POH+EMDH+EPDH) x NMC] x 100%

Σ (PH x NMC)
* Special energy-weighted equations are not necessary for “energy terms” (GCF, NCF, GOF, NOF), because these
the equations.

F-24
85. Weighted Equivalent Unplanned Outage Factor – WEUOF
WEUOF = Σ [(UOH + EUDH) x NMC] x 100%

Σ (PH x NMC)
WEUOF = Σ [(MOH + FOH + EFDH + EMDH) x NMC] x 100%

Σ (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
WFOR = Σ ( FOH x NMC) x 100%

Σ [(FOH + SH + Synchronous Hours + Pumping Hours) x NMC]
87. Weighted Forced Outage Rate demand – WFORd (See Notes 1 and 2 at the end of this section)
WFORd = Σ [FOHd x NMC] x 100%

Σ [(SH + FOHd) x NMC]
Where
FOHd = f x FOH
available.
FOHd can be determined directly if periods of demand are recorded. Demand can be defined as the traditional
demand for the generating unit for economic or reliable operation of the system, or it can be any other user-defined
condition, such as specific weather condition, load level, or energy price. When FOHd is determined directly from
recorded periods of demand, service hours (SH) in the above equation should include only those under the
specified demand condition
88. Weighted Equivalent Forced Outage Rate – WEFOR
WEFOR = Σ [( FOH + EFDH ) x NMC] __ x 100%

Σ [(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 = Σ [(FOHd + EFDHd)x NMC] x 100%

where
FOHd = f x FOH
fp = (SH/AH)
available.
FOHd and EFDHd can be determined directly if periods of demand are recorded. Demand can be defined as the
traditional demand for the generating unit for economic or reliable operation of the system, or it can be any other
user-defined condition, such as specific weather condition, load level, or energy price. When FOHd and EFDHd are
determined directly from recorded periods of demand, service hours (SH) in the above equation should include only
those under the specified demand condition
90. Weighted Equivalent Planned Outage Rate – WEPOR
WEPOR = Σ [( POH + EPDH) x NMC] x 100%

Σ [(POH+SH+ Synchronous Hours + Pumping Hours + EPDHRS) x NMC]
91. Weighted Equivalent Maintenance Outage Rate – WEMOR
WEMOR = Σ [( MOH + EMDH) x NMC] x 100%

Σ [(MOH+SH+ Synchronous Hours + Pumping Hours +EMDHRS) x NMC]
92. Weighted Equivalent Unplanned Outage Rate – WEUOR
WEUOR = Σ [( UOH + EUDH) x NMC] x 100%

Σ [(UOH+SH+ Synchronous Hours + Pumping Hours + EUDHRS) x NMC]

F-26
93a. Weighted Mean Service Time to Planned Outage – MSTPO
Σ [(Service Hours) x NMC]

WMSTPO =
Σ [(Number of Planned Outages which occur from in-service state only) x NMC]
93b. Weighted Mean Service Time to Unplanned Outage – MSTUO

WMSTUO =
Σ [(Number of Unplanned Outages which occur from in-service state only) x NMC]
93c. Weighted Mean Service Time To Forced Outage – MSTFO

WMSTFO =
Σ [(Number of Forced Outages which occur from in-service state only) x NMC]
93d. Weighted Mean Service Time to Maintenance Outage – MSTMO

WMSTMO =
Σ [(Number Maintenance Outages which occur from in-service state only) x NMC]
94a. Weighted Mean Planned Outage Duration – MPOD
Σ [(Planned Outage Hours which occur from in-service state only) x NMC]
WMPOD =
Σ [(Number of Planned Outages which occur from in-service state only) x NMC]
94b. Weighted Mean Unplanned Outage Duration – MUOD
Σ [(Unplanned Outage Hours which occur from in-service state only) x NMC]
WMUOD =
Σ [(Number of Unplanned Outages which occur from in-service state only) x NMC]
94c. Weighted Mean Forced Outage Duration – MFOD
Σ [Forced Outage Hours which occur from in-service state only) x NMC]
WMFOD =
Σ [(Number of Forced Outages which occur from in-service state only) x NMC]

F-27
94d. Weighted Mean Maintenance Outage Duration – MMOD
Σ [(Maintenance Outage Hours which occur from in-service state only) x NMC]
WMMOD =
Σ [(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
97. OMC Forced Outage Factor – XFOF
98. OMC Maintenance Outage Factor – XMOF
99. OMC Scheduled Outage Factor – XSOF
100. OMC Unavailability Factor – XUF

F-28
101. OMC Availability Factor – XAF
102. OMC Service Factor – XSF
103. OMC Unit Derating Factor – XUDF
104. OMC Equivalent Unavailability Factor – XEUF
105. OMC Equivalent Availability Factor – XEAF
106. OMC Equivalent Maintenance Outage Factor – XEMOF
107. OMC Equivalent Planned Outage Factor – XEPOF
108. OMC Equivalent Forced Outage Factor – XEFOF
109. OMC Equivalent Scheduled Outage Factor – XESOF
110. OMC Equivalent Unplanned Outage Factor – XEUOF

F-29
111. OMC Forced Outage Rate – XFOR
112. OMC Forced Outage Rate Demand – XFORd (See Notes 1 and 2 at the end of this section)
113. OMC Equivalent Forced Outage Rate – XEFOR
114. OMC Equivalent Forced Outage Rate demand – XEFORd (See Notes 1 and 2 at the end of this section)
115. OMC Equivalent Planned Outage Rate – XEPOR
116. OMC Equivalent Maintenance Outage Rate – XEMOR
(See equations 27 and 59of this Appendix)
117. OMC Equivalent Unplanned Outage Rate – XEUOR
118. OMC Average Run Time – XART

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
121. OMC Weighted Planned Outage Factor – XWPOF
122. OMC Weighted Unplanned Outage Factor – XWUOF
123. OMC Weighted Scheduled Outage Factor – XWSOF
124. OMC Weighted Unavailability Factor – XWUF
125. OMC Weighted Availability Factor – XWAF

F-31
126. OMC Weighted Service Factor – XWSF
127. OMC Weighted Unit Derating Factor – XWUDF
128. OMC Weighted Equivalent Unavailability Factor – XWEUF
129. OMC Weighted Equivalent Availability Factor – XWEAF

(also known as Unit Capability Factor in Europe and other parts of the world)
130. OMC Weighted Equivalent Maintenance Outage Factor – XWEMOF
131. OMC Weighted Equivalent Planned Outage Factor – XWEPOF
132. OMC Weighted Equivalent Forced Outage Factor – XWEFOF
133. OMC Weighted Equivalent Scheduled Outage Factor – XWESOF
134. OMC Weighted Equivalent Unplanned Outage Factor – XWEUOF

(also known as Unit Capability Loss Factor in Europe and other parts of the world.)
135. OMC Weighted Forced Outage Rate – XWFOR

F-32
136. OMC Weighted Forced Outage Rate demand – XWFORd (See Notes 1 and 2 at the end of this section)
137. OMC Weighted Equivalent Forced Outage Rate – XWEFOR
138. OMC Weighted Equivalent Forced Outage Rate demand – XWEFORd (See Notes 1 and 2 at the end of this section)
139. OMC Weighted Equivalent Planned Outage Rate – XWEPOR
140. OMC Weighted Equivalent Maintenance Outage Rate – XWEMOR
141. OMC Weighted Equivalent Unplanned Outage Rate – XWEUOR

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:
 Consistency – 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).

F-34
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 group’s 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. Table 1 shows the raw data reported by 5 steam turbine generating units. Table 2
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.

F-35
Raw data used as sample:
Table 1: Raw Data Used as a Sample
Capacity Attempted
Unit (MW) SH RSH AH Actual Starts Starts EFDH FOH FO Events
48 55 4556 1963 6519 31 31 110.51 407 5
49 57 4856 2063 6918 34 34 146.99 773 12
50 60 6460 516 6978 17 18 131.03 340 14
51 53 3942 3694 7635 36 36 19.92 504 11
52 55 6904 62 6968 14 16 35.81 138 12
Total 280 26718 8298 35018 132 135 444.26 2162 54
Table 2: Calculated Values Used in EFORd Formula

Unit 1/r 1/t 1/D F f x FOH fp fp x EFDH EFORd x MW EFORd
48 0.0123 0.0158 0.0068 0.8049 327.608 0.6989 77.233 4.5594 8.290%
49 0.0155 0.0165 0.0070 0.8205 634.247 0.7019 103.178 7.6560 13.432%
50 0.0412 0.0349 0.0026 0.9666 328.630 0.9258 121.303 3.9766 6.628%
51 0.0218 0.0097 0.0091 0.7756 390.920 0.5163 10.285 4.9075 9.259%
52 0.0870 0.2581 0.0020 0.9942 137.194 0.9908 35.481 1.3488 2.452%
Method 1
1818.598 347.480 7.591%
Summed
Method 2
Calculated from 0.0250 0.0163 0.0049 0.8930 1930.734 0.762979 338.961 7.922%
reported totals
Method 3
22.4483 8.017%
Summed
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)
• 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

F-36
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 Table 3 is added to show the weighted values used in the calculations.
Table 3: Weighted Values Used in EFORd Formula

Unit wSH wFOH wEFDH F wFOHd fp wEFDHd wEFORd
48 250580 22385 6078.05 0.8049 18018.42 0.69888 4247.829 8.290%
49 276792 44061 8378.43 0.8205 36152.06 0.701937 5881.130 13.432%
50 387600 20400 7861.80 0.9666 19717.79 0.925767 7278.193 6.628%
51 208926 26712 1055.76 0.7756 20718.75 0.516306 545.096 9.259%
52 379720 7590 1969.55 0.9942 7545.65 0.990815 1951.460 2.452%
Method 1
1503618 102152.67 19903.71 7.601%
Summed
Method 2
Calculated from 1503618 121148 25343.59 0.8930 108185.164 0.763 19337.16 7.990%
reported totals
Average wEFORd 8.012%
Weighted values in Table 3 are denoted with preceding w to indicate that the value has been weighted by its
NMC. Below we substitute the weighted value for the expanded multiplication – wEFORd 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)
o
• 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

F-37
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 earlier, and you will see that the relationship between the methods does
not remain constant and is dependent on the distribution of the data.
Table 4: Raw Data Used as a Sample

Capacity Actual Attempted
Unit (MW) SH RSH AH Starts Starts EFDH FOH FO Events
41 100 183 8576 8759 35 35 0 1 1
42 150 198 8562 8760 31 31 0 0 0
43 125 186 6867 7052 37 38 0 9 2
44 170 105 4128 4233 29 29 0 4528 3
45 180 62 8259 8319 20 20 0 98 1
Total 725 734 36392 37123 152 153 0 4636 7

F-38
Table 5: Calculated Values used in EFORd Formula
Unit 1/r 1/t 1/D F f x FOH fp fp x EFDH EFORd x MW EFORd
41 1.000 0.004 0.191 0.840 0.840 0.021 0.000 0.457 0.457%
42 0.000 0.004 0.157 0.023 0.000 0.023 0.000 0.000 0.000%
43 0.222 0.006 0.199 0.534 4.804 0.026 0.000 3.147 2.518%
44 0.001 0.007 0.276 0.027 122.623 0.025 0.000 91.581 53.871%
45 0.010 0.002 0.323 0.038 3.691 0.007 0.000 10.114 5.619%
Method 1
131.959 0.000 15.238%
Summed
Method 2
Calculated from 0.002 0.004 0.207 0.027 124.488 0.020 0.000 14.501%
reported totals
Method 3
105.299 37.607%
Summed
Table 6: Weighted Values Used in EFORd Formula

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

F-39
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 cannot be calculated or produce a
reasonable result. The discussion below demonstrates 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.

F-40
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 7. 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-41
Table 7: Limiting Conditions for Forced Outage Indexes
Case SH FOH RSH FORd EFORd
Base >0 >0 >0 Applicable Applicable
1 0 >0 >0 Cannot be determined Cannot be determined
2 0 0 >0 Cannot be determined Cannot be determined
3 0 >0 0 Cannot be determined Cannot be determined
4 >0 0 >0 0 EFDH/AH
5 >0 0 0 0 EFDH/SH
6 >0 >0 0 FOR EFOR
7 0 0 0 Cannot be determined Cannot be determined
The following numerical example illustrates the limiting conditions and how the indexes can become meaningless.
Case FOH EFDH SH No. of RSH Attempted Actual AH r T D f fp FORd% EFORd%
FO Starts Starts Factor Factor
Base 50 30 400 5 1600 80 80 2000 10 20 5 0.4 0.2 5.1 6.5
1 50 30 0 5 1600 1 1 2000 10 1600 0.001 0.0 0.0 83.4 83.7
2 0 30 0 1 1600 1 1 2000 0 1600 0.001 0.5 0.0 33.3 34.3
3 50 30 0 5 0 1 1 2000 10 0 0.001 0.5 0.0 100.0 100
4 0 30 400 1 1600 80 80 2000 0 20 5 1.0 0.2 0 1.5
5 0 30 400 1 0 1 1 2000 0 0 400 1.0 0.2 0 1.5
6 50 30 400 5 0 1 1 2000 10 0 400 1.0 0.2 11.1 12.4
7 0 30 0 1 0 1 1 0 0 0 0.001 0.7 1.0 40.0 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.

F-42
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
fictional 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 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 failure’s 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 – Simple Outage

Example 2 – Simple Derating
Example 3A – Overlapping Deratings Second Derating Begins and Ends During First Derating
Example 3B – Overlapping Deratings. Second Derating Begins and Ends During First Derating. Second is
Partially Shadowed
Example 3C – Overlapping Deratings. First Derating Ends Before Second Derating. Capability of Unit
Changes
Example 3D – Overlapping Deratings. First Derating Ends Before Second Derating. Capability of Unit
Does Not Change
Example 4 – Derating During a Derating of a Greater Reduction.
Example 5 – Derating During a Reserve Shutdown
Example 6A – Derating Overlapped by a Full Outage. Derating Ends Before Full Outage
Example 6B – Derating Overlapped by a Full Outage. Full Outage Begins and Ends During Derating
Example 7 – Startup Failure
Example 8 – Fuel Conservation
Example 9 – Event Transitions: U2 to RS to SF
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 Low
Pressure (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: 0001

Event Type: U1
Start of Event: January 3 at 04:30
End of Event: January 8 at 17:00
Dominant Derating Column (blank) Record 01
System/Component Cause Code: 4240

Time: Work Started: January 3 at 08:00
Time: Work Completed: January 8 at 09:30
Man Hours Worked: Records 02/03
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.).

G-2
600_ Unit Capacity (MW)
500_
400_
300_
200_
100_
0_
Jan 3 Jan 8
04:30 17:00
Figure 1-G - Simple Outage

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.
Event Number: 0002

Event Type: D4
Event of Event: January 11 at 16:00
Gross Available Capacity as a Result of Event: *
Net Available Capacity as a Result of Event: 200

Man Hours Worked: 100 Records 02/03

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 unit’s 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.

G-4
500_
400_
300_
200_
100_
0_
Jan 10 Jan 11
08:00 16:00
Figure G-2 — Simple Derating

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.
Derating “A”
Event Number: 0003

Event Type: D1
Start of Event: March 9 at 08:45
End of Event: March 9 at 18:00
Gross Available Capacity as a Result of the Event: *
Net Available Capacity as a Result of the Event: 525

Time: Work Started: *
Time: Work Completed: *
Man Hours Worked: Records 02/03
Derating “B”
Event Number: 0004

Event Type: D1


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

G-6
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.

G-7
Derating “A”
500_
Derating “B”
400_
300_
200_
100_
0_
March 9 March 9 March 9 March 9
08:45 10:00 11:00 18:00
Figure G-3A — Overlapping Deratings
Second derating begins and ends during first derating

G-8
Example 3B: Overlapping Deratings

Second Derating Begins and Ends During First Derating
Second is Partially Shadowed
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: 0005

Event Type: D4
Start of Event: July 3 at 14:30
End of Event: July 23 at 11:45

Time: Work Started: July 13 at 08:00
Time: Work Completed: July 23 at 11:45
Derating “B”
Event Number: 0006

Event Type: D1
Start of Event: July 19 at 11:15
End of Event: July 19 at 12:00

Man Hours Worked: * Records 02/03

G-9

GADS assumes these deratings are additive, and treats them like the deratings described in Example 3A.
The second derating caused the unit’s 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 unit’s 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.

G-10
600_ Unit Capacity (MW) “A” shadows “B”
Derating “A”
500_
Derating “B”
400_
300_
200_
100_
0_
July 3 July 19 July 19 July 23
14:30 11:15 12:00 11:45
Figure 2: G-3B — Overlapping Deratings
Second derating begins and ends during first derating

Second is partially shadowed

G-11
Example 3C: Overlapping Deratings

First Derating Ends Before Second Derating Capability of Unit Changes
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 unit’s Net Available Capacity.
Derating “B” ended on January 14 at 8:00 p.m. after completing pulverizer repairs.
Derating “A”
Event Number: 0007

Event Type: PD

Derating “B”
Event Number: 0008

Event Type: D1


G-12

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.

G-13
DERATING “A”
500_
400_
300_ DERATING “B”
200_
100_
0_
Jan 13 Jan 13 Jan 13 Jan 14
08:00 10:00 13:00 20:00
Figure G-3C - Overlapping deratings
First derating ends before second derating capability changes

G-14
Example 3D: Overlapping Deratings

First Derating Ends Before Second Derating
Capability of Unit Does Not Change
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 unit’s circulating water pumps to shut
down (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.
Derating “A”
Event Number: 0009

Event Type: D1

Time: Work Started: March 10 at 08:00
Time: Work Completed: March 10 at 10:30
Derating “B”
Event Number: 0010

Event Type: D1
Dominant Derating Column D Record 01


G-15

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” of 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 2.50 clock hours of repair and 11.25 clock hours of
repair, respectively.

G-16
600_ Unit Capacity (MW) “B” Shadows “A”
Derating “A”
500_
Derating “B”
Derating “B”
400_
300_
200_
100_
0_
March 10 March 10 March 10 March 10
06:30 07:45 10:30 19:00
Figure G-3D - Overlapping Deratings
First derating ends before second derating

Capability of unit does not change

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, and 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: 0012

Event Type: D1
Start of Event: April 10 at 06:30
End of Event: April 10 at 19:00

Contribution Code: 1
Time: Work Started: April 10 at 08:00
Time: Work Completed: April 10 at 19:00

Contribution Code: 3
Time: Work Started: April 10 at 08:30
Time: Work Completed: April 10 at 15:45

The generator output breaker caused the problem that affected Riverglenn’s availability. The feedwater
chemistry problem did not impact availability because it occured 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.

G-18
Additional Components
Worked
500_
400_
300_
200_
100_
0_
April 10 April 10
06:30 19:00
Figure G-4 – Derating During Derating of a Greater Reduction

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 off-line 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.
Event Number: 0013

Event Type: RS
Start of Event: May 31 at 19:30
End of Event: June 3 at 08:30
Event Number: 0014

Event Type: D4
Start of Event: June 1 at 08:00
End of Event: June 2 at 15:30

Time: Work Started: June 1 at 08:00
Time: Work Completed: June 2 at 15:30

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
unit’s 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:
Component Repair
The feedwater pump steam turbine required 31.50 hours to repair.

G-20
500_
Derating
400_
300_
200_
Reserve Shutdown
100_
0_
May 31 June 1 June 2 Jan 8
19:30 08:00 15:30 17:00
Figure G-5 — Derating During a Reserve Shutdown

G-21
Example 6a: Derating Overlapped by a Full Outage

Derating Ends Before Full Outage
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.
Event Number: 0015

Event Type: D1
Start of Event: February 27 at 09:45

Event Number: 0016

Event Type: U1


The feedwater heater problem impacts availability until the outage begins:
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.

G-22
600_ Unit Capacity (MW) Outage Shadows Derating
Derating
500_
400_
300_
Outage
200_
100_
0_
Feb 27 Mar 2 Mar 4 Mar 5
0
1
09:45 : 18:30 09:22
1
5

G-23
Example 6B: Derating Overlapped by a Full Outage

Full Outage Begins and Ends During Derating
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.
Event Number: 0017

Event Type: D1
End of Event: May 25 at 14:30

Event Number: 0018

Event Type: U1
End of Event: May 24 at 02:42


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.

G-24
Outage Shadows Derating

500_
400_
300_
Outage
200_
100_
0_
May 18 May 20 May 24 May 25
09:45 18:45 02:42 14:30
Figure G-6B — Derating Overlapped by an Outage

Outage Begins and Ends during Derating

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.
Event Number: 0019

Event Type: SF
Start of Event: October 1 at 22:00*
End of Event: October 3 at 03:00

Time: Work Started: October 1 at 23:00
Time: Work Completed: October 2 at 16:00
Event Contribution Code: 1
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).

G-26
500_
Planned Outage
400_
Startup Failure
300_
200_
100_
0_
From Oct 1 Oct 3
September 22:00 03:00
Figure G-7 — Startup Failure

G-27
Example 8: Fuel Conservation
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.
Riverglenn’s 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: 0029

Event Type: D1
Start of Event: August 25 at 05:00
End of Event: September 3 at 21:00
Gross Available Capacity as a Result of Event: *
Net Available Capacity as a Result of Event: 300

Time: Work Ended *
Event Number: 0030

Event Type: U1
Start of Event: September 3 at 21:00
End of Event: September 6 at 16:00

Time: Work Ended: *
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 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

G-28
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.
500_
Forced
Derating
400_
300_ Forced
Outage
200_
100_
0_
From Aug 25 Sept 3 Sept 6
June 05:00 21:00 16:00
Figure G-8 — Fuel Conservation

G-29
Example 9: Transitions - U2 to RS to SF
After experiencing several hours of excessive scrubber ID fan vibration, Riverglenn was taken off line 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.
Event Number: 0026

Event Type: U2
Start of Event: December 3 at 15:30
End of Event: December 5 at 21:30

Time: Work Started: December 3 at 16:00
Time: Work Completed: December 5 at 06:30
Event Number: 0027

Event Type: RS **
Event Number: 0028

Event Type: SF

Event Contribution Code: 1 Records 02/03

G-30

In this sequence of events — U2 to RS to SF — Riverglenn’s availability is affected for 54.00 actual hours due to ID
fan problems and 80.00 actual hours due to the water wall tube failure.
Component Repair
The scrubber ID fan is charged with 38.50 repair hours, and the water wall tubes with 80.00 repair hours.
** Reporting a primary cause of event for Reserve Shutdowns is optional. In this example, Records 02/03 were
omitted.

G-31
500_
400_
Forced Reserve Startup

300_ Outage Shutdown Failure
200_
100_
0_
Dec 3 Dec 5 Dec 6 Dec 9
15:30 21:30 09:00 17:00
Figure G-9 — Event Transitions

U2 to RS to SF

G-32
Appendix H – Failure Mechanism Codes
GADS
Codes Description
F010 Alignment/clearance not within limits – axial

F020 Alignment/clearance not within limits – radial
F030 Arced/flashover – electrical
F040 Balance, not within limits
F050 Binding – radial related contacts (use F670 if contact is in axial direction)
F060 Broken
F070 Burned/fire damage – initiated by component (ex. burned motor)
F080 Burned/fire damage – not initiated by component (ex. pump fire damage due to motor fire)
F090 Calibration, not within limits
F100 Carbon, covered
F110 Chemical excursion damage
F120 Clogged
F130 Closed
F140 Condensation --- oil
F150 Condensation --- water
F160 Connection, loose
F170 Contaminated – liquid fluids (use F320 for air contamination)
F180 Contaminated – metals and solids
F190 Cooling, inadequate --- liquid
F200 Cooling, inadequate --- air
F210 Corrosion – general
F220 Corrosion – caustic
F230 Corrosion – fatigue
F240 Corrosion – high temperature coal ash
F250 Corrosion – high temperature oil ash
F260 Corrosion – low temperature
F270 Corrosion – waterwall fire-side
F280 Cracked
F290 Creep, high temperature
F300 Damaged, foreign object
F310 Damaged, insulation
F320 Dirty (use for air contamination or particulate/dirt buildup)
F330 Disengage, failed to
F340 Engage, failed to
F350 Erosion – coal particle
F360 Erosion – falling slag
GADS
Codes Description
F370 Erosion – sootblower

F380 Erosion – fly ash
F390 Erosion – cause unknown
F400 Erratic or unexplained operating behavior
F410 Erratic, circuit
F420 Error, operator
F430 Error, wiring
F440 Explosion damage – initiated by the component (ex. pump explosion)
F450 Explosion damage – not initiated by the component (ex. pipe damage due to pump explosion)
F460 Flameout
F470 Foaming
F480 Frozen (temperature related)
F490 Grounded electrical component
F500 Hydrogen damage
F510 Impact damage
F520 Indication, false
F530 Inspection
F540 Leaks
F550 Loose
F560 Lubrication – excessive
F570 Lubrication – lack of
F580 Maintenance – cleaning damage
F590 Maintenance – general
F600 Material defects
F610 Modification(s)
F620 Noisy
F630 Open
F640 Overload
F650 Pitting (localized corrosion)
F660 Pressure, not within limits
F670 Rubbing damage – axial related contacts (use F050 if contact is in radial direction)
F680 Secondary damage
F690 Seized (not moving)
F700 Shorted electrical component
F710 Short-term overheating
F720 Sticking
F730 Stress corrosion cracking
F740 Temperature – compressor discharge, not within limits
F750 Temperature – exhaust, not within limits
F760 Temperature – oil, not within limits
F770 Temperature – wheel spacers, not within limits
F780 Temperature – general, not within limits

H-2
GADS
Codes Description
F790 Testing
F800 Thermal fatigue
F810 Torn
F820 Tripped/shutdown component --- automatic controls
F830 Tripped/shutdown component --- manual
F840 Unknown – investigation underway (change this code once failure mechanism is determined)
F850 Vibration, not within limits
F860 Vibration fatigue, leading to failure
F870 Voltage, not within limits
F880 Welded relay contacts
F890 Weld failure – broken weld
F900 Weld failure – dissimilar metals
F910 Weld failure – weld defects
F920 Wiped
F930 Worn, excessively
FA00 Silica restriction
FC00 Cleaning
FD00 Water Induction
FE00 Emission/environmental restrictions
FF00 Fouling
FP00 Personnel error
FR00 Fire
FS00 Slagging
FU00 Parts Unavailable
FV00 Vibration
FW00 Wet coal/frozen coal/debris
FX00 External equipment malfunction (outside plant management control)

H-3
Appendix I - GADS Data Release Guidelines
Introduction
The NERC Generating Availability Data System (GADS) contains information which can be broadly classified into
two categories: design data, which is descriptive of the physical and operational characteristics of equipment,
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, equipment suppliers and manufacturers,
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

NERC has some restrictions on providing GADS data about power generators, pools, Regions, or specific units. If
you wish to obtain GADS data about these things, you must obtain authorization from the appropriate power
generator. Power generators are any owners or operators of electric generating units. Examples of power
generators include: investors, independent power projects (IPP), municipalities, cooperatives, the federal
government, state governments, or any other group of electricity providers. NERC will only provide special reports
or studies that describe or rank power generators, pools, or Regions with the authorization of that party. Obtaining
this approval is the responsibility of the requester.
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 GADS Statistical Brochure. The latest versions can
be downloaded from the NERC website i.
Power Generation Representatives

Power generator owners and operators who report GADS data for all units outlined in the GADS Data Reporting
Instructions Table III-1 may receive any special data analyses or data analysis-type software products like pc-GAR
or standard publication without restriction. 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.
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 Table 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 NERC 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 Region(s).
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.

Appendix I-2
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), 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.
i
http://www.nerc.com/pa/RAPA/gads/Pages/Reports.aspx

Appendix I-3
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-25). 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 analysts to further explore the common causes of outages.
There are a few cases where the amplification code is limited to specific event types or conditions. The table below
captures the specific limits. “None” means that the amplification codes can be used with any event types.
GADS Event
Amplification Description Type
Code Limits
01 Alignment/clearance not within limits – axial None
02 Alignment/clearance not within limits – radial None

03 Arced/flashover – electrical None
04 Balance, not within limits None
Binding – radial related contacts (use F670 if
05 None
contact is in axial direction)
06 Broken None
Burned/fire damage – initiated by component (ex.
07 None
burned motor)
Burned/fire damage – not initiated by component
08 None
(ex. pump fire damage due to motor fire)
09 Calibration, not within limits None
10 Carbon, covered None
11 Chemical excursion damage None
C0 Cleaning None
12 Clogged None
13 Closed None
14 Condensation --- oil None
15 Condensation --- water None
16 Connection, loose None
GADS Event
Code Limits
Contaminated – liquid fluids (use F320 for air
17 None
contamination)
18 Contaminated – metals and solids None
20 Cooling, inadequate --- air None
19 Cooling, inadequate --- liquid None
22 Corrosion – caustic None
23 Corrosion – fatigue None
21 Corrosion – general None
24 Corrosion – high temperature coal ash None
25 Corrosion – high temperature oil ash None
26 Corrosion – low temperature None
27 Corrosion – waterwall fire-side None
28 Cracked None
29 Creep, high temperature None
30 Damaged, foreign object None
31 Damaged, insulation None
Dirty (use for air contamination or particulate/dirt
32 None
buildup)
33 Disengage, failed to None
E0 Emission/Environmental Restriction None
34 Engage, failed to None
35 Erosion – coal particle None
36 Erosion – falling slag None
38 Erosion – fly ash None
37 Erosion – sootblower None
39 Erosion – cause unknown None
40 Erratic or unexplained operating behavior None
41 Erratic, circuit None
42 Error, operator None
43 Error, wiring None
Explosion damage – initiated by the component
44 None
(ex. pump explosion)
Explosion damage – not initiated by the component
45 None
(ex. pipe damage due to pump explosion)

J-2
GADS Event
Code Limits
External equipment malfunction (outside plant
X0 None
management control)
R0 Fire None
46 Flameout None
47 Foaming None
F0 Fouling None
48 Frozen (temperature related) None
FR Fuel related None
49 Grounded electrical component None
50 Hydrogen damage None
51 Impact damage None
52 Indication, false None
53 Inspection None
54 Leaks None
55 Loose None
56 Lubrication – excessive None
57 Lubrication – lack of None
58 Maintenance – cleaning damage None
59 Maintenance – general None
60 Material defects None
61 Modification(s) None
NF No fuels None
62 Noisy None
NF No Fuel None
63 Open None
64 Overload None
U0 Parts unavailable None
P0 Personnel error None
65 Pitting (localized corrosion) None
66 Pressure, not within limits None
Rubbing damage – axial related contacts (use F050
67 None
if contact is in radial direction)
68 Secondary damage None
69 Seized (not moving) None
71 Short-term overheating None

J-3
GADS Event
Code Limits
70 Shorted electrical component None
A0 Silica restriction None
S0 Slagging None
ST Steam transfer None
72 Sticking None
73 Stress corrosion cracking None
H0 Temperature – high, not within limits None
Temperature – compressor discharge, not within
74 None
limits
75 Temperature – exhaust, not within limits None
78 Temperature – general, not within limits None
76 Temperature – oil, not within limits None
77 Temperature – wheel spacers, not within limits None
79 Testing None
80 Thermal fatigue None
81 Torn None
82 Tripped/shutdown component – automatic Deratings only
83 Tripped/shutdown component – manual Deratings only
In-service U1
T1 Tripped/shutdown grid separation – automatic
outage only
In-service U1
T2 Tripped/shutdown grid separation – manual
outage only
Unknown – investigation underway (change this In-service U1
84
code once failure mechanism is determined) outage only
V0 Vibration (other) None
86 Vibration fatigue, leading to failure None
85 Vibration, not within limits None
87 Voltage, not within limits None
D0 Water induction None
89 Weld failure – broken weld None
90 Weld failure – dissimilar metals None
91 Weld failure – weld defects None
88 Welded relay contacts None
W0 Wet coal/frozen coal/debris None
92 Wiped None
93 Worn, excessively None

J-4
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 the 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) Out
Utility Distribution Co. ISO
Metering Metering
In
Disconnect Device Owned &
Operated by Generation Entity
High Side Breaker or

B Recloser Owned by
Generation Entity
(1) Dedicated Transformer Owned

by Generation Entity
Generator
Auxiliary Load
AUX Generator
PT A
Breaker
Generator
Figure D-1
The Physical Boundary of Outside Management Control
GADS Data Reporting Instructions – January 2018 Page K-1

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.
Page K-2 GADS Data Reporting Instructions – January 2018

 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 company’s 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.

GADS Cause Codes Outside Plant Management Control

(as of January 1, 2006)
3600 Switchyard transformers and associated cooling systems - external

3611 Switchyard circuit breakers - external
3612 Switchyard system protection devices - external
3619 Other switchyard equipment - external
9000 Flood
9001 Drought
9010 Fire, not related to a specific component
9020 Lightning
9030 Earthquake
9031 Tornado
9035 Hurricane
9130 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
9135 Lack of water (hydro)
9150 Labor strikes company-wide problems or strikes outside the company’s jurisdiction such
as manufacturers (delaying repairs) or transportation (fuel supply) problems.
9200 High ash content
9210 Low grindability
9220 High sulfur content
9230 High vanadium content
9240 High sodium content
9250 Low Btu coal
9260 Low Btu oil
9270 Wet coal
9280 Frozen coal
9290 Other fuel quality problems
9300 Transmission system problems other than catastrophes (do not include switchyard
problems in this category; see codes 3600 to 3629, 3720 to 3730)
9500 Regulatory (nuclear) proceedings and hearings - regulatory agency initiated
9502 Regulatory (nuclear) proceedings and hearings - intervener initiated
9510 Plant modifications strictly for compliance with new or changed regulatory requirements
(scrubbers, cooling towers, etc.)
9520 Oil spill in Gulf of Mexico
9590 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)

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 unit’s 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 unit’s performance. In viewing the available hours we temporarily recalculate AH as
(Service + Reserve + Synchronous-Condensing. + Pumping + OMC).

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 isn’t
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 (un-
overlapped) 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, we’ll 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, we’ll 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.

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.

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 Unit available hours increase by the outage
shadowed derate. 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 The effect of removing the OMC event is to
an outage (any type) increase availability by the portions which
extend beyond the outage.

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.

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 unit-level basis and
creating combined-cycle block statistics from the unit-level event and performance information.
This document applies only to reporters who wish to report event and performance data for each generating
unit individually. This document does not apply to reporters wishing to continue reporting combined-cycle data
to GADS as a ‘single unit’ (or traditional method). GADS will still accept the traditional method but it 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 is identical in all respects. The differences are 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
To insure proper documentation, 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 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.
Appendix L-1 – Calculating Combined-Cycle and Co-generation Block Data
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
 Heat Recovery Steam Generator (HRSG) – There may be one or more HRSG or waste heat boilers 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 is straightforward and follow the usual guidelines. The
combined-cycle block is 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 is submitting 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 is reported as though each unit were a separate generator. This meaning 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 is 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 possible 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.

L-1-2
Reporting Event Records

Report events on the unit level only. DO NOT REPORT COMBINED-CYCLE BLOCK EVENTS TO NERC! Since the
design data links the units together with the combined-cycle block, the event records of the unit’s 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

Report performance records are reported on a unit basis only. DO NOT REPORT COMBINED-CYCLE BLOCK
PERFORMANCE RECORDS 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 nor 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 providing options to all
since the individual needs of GADS data users vary.

L-1-3
Special Rules Used in Calculating Synthesized Combined-Cycle Block Data from Unit-level
Data
Some rules for calculating synthesized combined-cycle block data are necessary. 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 when the first
unit’s 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 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.
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) is considered a coast down and is not
reported as a penalty against the combined-cycle block (See Example #7).

L-1-4
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

L-1-5
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
Combined-Cycle Block Impact
 Big Jumbo Block placed on RS from January 3 at 0015 to January 6 at 0215. The combined-cycle block
had 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 were no equipment restrictions; there were only load
requirements caused the reduced loading.
Diagrams of the units and combined-cycle block during this period are shown in Figure 1:
Combined Unit Events Single Block Event
Figure 1: Example 1
Summary of Example #1:
• 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.

L-1-6
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
 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.
 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 of generating 568 MW.
Combined Unit Events Single Block Event
Figure 2: Example 2
 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.)

L-1-7
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
 No impact on Big Jumbo Block. The combined-cycle block was capable of generating 710 MW during the
full period.
 Diagrams of the units and combined-cycle block during this period are shown in Figure 3:
Combined Unit Events CC Block Events
Figure 3: Example 3
 GT #1 on Reserve Shutdown 7.75 hours
 Combined-cycle block – no impact

L-1-8
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.
 The combined-cycle block was on derate from January 11 at 0700 to January 11 at 14:45. The combined-
cycle block was capable of generating 355 MW during the full period.
 The combined-cycle block was on RS from January 12 at 0015 until January 12 at 0930. The combined-
Figure 4: Example 4

L-1-9
 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.

L-1-10
Example 5 – Reserve Shutdowns of unit followed by a startup failure of

one unit.
Unit Event Report
 Steam turbine was placed on reserve shutdown from January 15 at 2300 to January 16 at 0600. The
 GT #1 on Startup Failure outage (SF) from January 16 at 0445 to January 16 at 0600 (cause code 5030 –
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 of generating 710 MW during 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 of generating 355 MW during the full period.
Figure 5: Example 5

L-1-11
 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

L-1-12
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-
 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 of generating 355 MW during the full period.
Figure 6: Example 6
 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).

L-1-13
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.
 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 of generating
 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 of generating 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.
when GT #2 came on-line. The combined-cycle block was capable of generating 225 MW during this
period.
when GT #1 came on-line. The combined-cycle block was capable of generating 450 MW during this
period.

L-1-14
Now, as the combined-cycle block was preparing to come off-line for the PO, each unit came off-line 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.
Figure 7: Example 7
 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.

L-1-15
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.
Table 1: Statistics from Unit Event and Performance Reports

Statistic GT #1 GT #2 ST #1 CC Block
Net Maximum Capacity 225 225 260 710
Period Hrs 744 744 744 744
Forced Outage Hrs 1.25 8.75 0.00 0.00
Planned Outage Hrs 172.75 178.00 174.25 172.50
Maintenance Outage Hrs 0.00 0.00 0.00 0.00
Reserve Shutdown Hrs 121.50 214.58 92.66 89.83
Service Hrs 448.50 342.67 477.09 481.67
Equiv.Forced Derated Hrs 0.80 0.80 5.72 5.77
EFDH During RS Hrs 0.00 0.00 0.63 0.50
Equiv. Sched. Derated Hrs 0.00 0.00 2.63 3.61
Net Actual Generation 100,000 77,000 124,000 301,000.00
Attempted Starts 6.00 7.00 4.00 4.00
Actual Starts 5.00 7.00 4.00 4.00
EDH (Equivalent Derate Hours) 0.80 0.80 8.98 9.88
Equiv. Availability Factor 76.51% 74.79% 75.46% 75.55%
Equiv. Forced Outage Rate 0.46% 2.72% 1.20% 1.20%
Forced Outage Factor 0.17% 1.18% 0.00% 0.00%
Forced Outage Rate 0.28% 2.49% 0.00% 0.00%
Scheduled Outage Factor 23.22% 23.92% 23.42% 23.19%
Net Capacity Factor 59.74% 46.00% 64.10% 56.98%
Starting Reliability 83.33% 100.00% 100.00% 100.00%

L-1-16
Sample Data Summary
Table 2: Sample Data Summary

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

L-1-17
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 only to reporters who wish to report event and performance data for each generating unit
individually. This document does not apply to reporters wishing to continue reporting combined-cycle data to
GADS as a ‘single unit’ (or traditional method). GADS will still accept the traditional method, but this 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 is 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
To insure proper documentation 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 electric generating
technology in which electricity and process steam are 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.
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, and 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 boilers
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, 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 is identified by the range 800-899 and is used to relate the individual units to the
block level. The gas turbine/jet units is numbered from 300-399 or 700-799. The steam turbine units is
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 is submitting GADS data 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 is reported as though each unit were a separate generator, this meaning
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 should 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
should 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 possible 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.
Reporting Event Records

Report events 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, NERC will use the unit level to perform block-
level roll up statistics using the fleet-type (sum of hours) method to calculate traditional industry statistics. All
the normal methods/rules would apply with the exception of cause codes crossing over between dissimilar unit
types.

L-2-2
Reporting Performance Records

Report performance records on a unit basis only. YOU SHOULD NOT REPORT COMBINED-CYCLE BLOCK
PERFORMANCE RECORDS TO NERC! Since the design data links the units together to the combined-cycle block,
NERC will use the performance records of the individual units to calculate traditional industry statistics using the
fleet-type roll-up method.
Therefore, if you operate a combined-cycle block with two gas turbines and one steam turbine, you will report 36
performance records annually – one set of twelve performance records for each gas turbine unit and one set of
twelve 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 are 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 – i.e. view gas turbine units in combined-cycle blocks
operation only.
 Combined-cycle blocks are available for each of the three groups shown below or groups 1 and 2 or 1 and
3:
1. Not rolled up (neither syntheses nor 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 providing options to all
since the individual needs of GADS data users also vary.

L-2-3
Calculating Fleet-type Combined-Cycle Block Statistics from the Unit Event & Performance
Records
Do not report combined-cycle block event and performance records to NERC. NERC only needs the individual unit
event and performance records.
Illustrated below are examples how to create a block performance record using the fleet-type roll up. 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 the resultant outage of the GT affected the steam production on the
steam turbine, resulting in the steam turbine’s 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 (doesn’t 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 are 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 violation.

L-2-4
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.
You can then use the rolled-up of unit hours 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, you are 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 unit’s maximum capacity (Net Maximum Capacity).
So, for instance, service hours become service MWh-
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 doesn’t 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 MWh for all units to create the values for the block
Σ(SMWh) = Σ(PMWh) - Σ(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.

L-2-5
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) is considered a coast
down and is not reported as a penalty 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

L-2-6
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
 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.
Figure 1: Combined Unit Events
 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.

L-2-7
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
 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.
 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

Total Block derated 568MWh (568 / 710 =0.80 Equivalent Hours)

L-2-8
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)

L-2-9
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.

 GT #2 on forced outage for 7.75 hrs x 225 MW = 1,743.75 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. RS of 2081.25 MWh
2. FO of 1743.75 MWh
3. RS of 13668.75 MWh
4. FO of 1007.50 MWh
5. RS of 2945.80 MWh

L-2-10
Example 5 – Reserve Shutdowns of unit followed by a startup failure of

one unit.
Unit Event Report
 Steam turbine was placed on reserve shutdown from January 15 at 2300 to January16 at 0600. The steam
turbine unit was capable of providing 260 MW during this period.
 GT #1 on Startup Failure outage (SF) from January 16 at 0445 to January 6 at 0600 (cause code 5030 –
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.)
 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. RS of 6,862.50 MWh
2. FO of 281.25 MWh
3. RS of 1481.25 MWh
4. RS of 1820.00 MWh
5. D1 of 162.50 MWh

L-2-11
Example 6 – Unit outage to unit outage affecting other units.

Unit Event Report
Note: Because the FO on GT#2 was so short, there was no loss of steam flow to the steam turbine. Therefore, the
 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

L-2-12
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.
 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

L-2-13
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 repeats of the seven earlier examples. 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.
Table 1: Statistics from Unit Event and Performance Reports

Statistic GT #1 GT #2 ST #1 CC Block
Period MWh 167,400 167,400 193,440 528,240.00
Forced Outage MWh 281.25 1,968.75 0 2,250.00
Planned Outage MWh 38,868.75 40,050.00 45,305.00 124,223.75
Maintenance Outage MWh 0 0 0 0.00
Reserve Shutdown MWh 27,337.50 48,281.25 24,091.60 99,710.35
Service MWh 100,912.50 77,100.00 124,043.40 302,055.90
Equiv. Forced Derated MWh 180.00 180.00 1,485.90 1,845.90
EFDH During RS MWh 0 0 162.50 162.50
Equiv. Sched. Derated MWh 0 0 0 0.00
Net Actual Generation 100,000 77,000 124,000 301,000.00
Attempted Starts 6 7 4 17.00
Actual Starts 5 7 4 16.00
Equiv Availability Factor 76.51% 74.79% 75.81% 75.71%

Equiv. Forced Outage Rate 0.46% 2.72% 1.20% 1.35%
Forced Outage Rate 0.17% 1.18% 0.00% 0.43%
Scheduled Outage Factor 0.28% 2.49% 0.00% 0.74%
Net Capacity Factor 59.74% 46.00% 64.10% 56.98%
Starting Reliability 88.80% 90.48% 90.05% 89.79%
Forced Outage Factor 83.33% 100.00% 100.00% 94.12%

L-2-14
Sample Data Summary
Table 2: Sample Data Summary

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

L-2-15
Appendix M – Differences Between NERC-GADS and ISO-GADS
Data Collection and Uses.
There are a number of differences between the NERC-GADS and the GADS run by Independent System
Operators (ISOs), known as ISO-GADS Some of these differences are minor; others are not.
NERC-GADS collects equipment outage data on a national basis. NERC-GADS is an equipment outage system
with a focus on plant reliability and assessments. The ISOs are charged with the reliability of the bulk electrical
grid and for the dispatching of the generating units in an economical manner, so the various ISO-GADS
databases have taken on some marketing functions or overtones. As a result, there are differences between the
NERC-GADS and the various ISO-GADS reporting instructions. This means there is a need to maintain two sets of
GADS records to meet the mandatory reporting requirements of NERC and curtain ISO groups.
Listed below is a brief description on how each ISO utilizes GADS data to support their marketing function, and
specifically how their GADS procedures differ from those established by NERC-GADS.
PJM Interconnection (PJM) – Uses GADS data for ISO reliability studies and determining capacity payments to
the Generator Owners. Significant features of the PJM-GADS are:
• PJM uses the GADS data to determine capacity payments. These payments are based on the following
equation:
Capacity Payment = ICAP x Market Capacity Payment Price x (1 - EFORd of unit)
• Use of Outside Management Control (OMC) event cause codes must be approved by PJM.
• GADS data is reported and calculated against the unit’s ICAP value, which is usually its NET DEPENDABLE
CAPACITY (NDC) not its NET MAXIMUM CAPACITY.
• Maintenance Outages and Derates (Event Type MO & D4) are limited to 9 days duration during the
summer months.
• Data must be submitted monthly to PJM on or before the 20th of the following month.
• Errors in a previously submitted month require access approval from PJM to change any data.
• Generator Owners must submit the results to Real Power Testing twice a year. Winter and summer
reporting periods are defined.
New York Independent System Operations (NYISO) – Uses GADS data for calculation of derating factors for the
Installed Capacity (ICAP) Market, NYISO, the New York State Reliability Council’s (NYSRC) Reliability Studies, and
the determination of the Installed Reserve Margin (IRM) for the New York Control Area (NYCA). Differences
between NERC-GADS and NYISO generating unit reporting instructions include:
Appendix M – Differences Between NERC-GADS and ISO-GADS Data Collection and Uses
NERC NYISO Implications

Weekend Friday at 2400 hours Friday at 10:01:00 PM This impacts the
Definition through Sunday at 2400 through Monday at 8:00:59 determination of
hours AM. whether an event is
categorized as a MO
as opposed to a FO;
EFORd
Plant boundary High side of unit Generator Owner This impacts the
transformer responsibility ends at the applicability of the
low side bushings of the OMC code - 9300
generator step-up
transformer
Outside Exception permitted for Only transmission

Management equipment failure that related events (9300)
Control (OMC) involves equipment located are excluded from
on the electric network consideration in the
beyond the generator step- EFORd calculation for
up transformer, and ICAP
including the step-up
transformer on the output
side of the Generator
(9300). This exception does
not apply to fuel related
outages or derates or other
cause codes that might be
classified as Outside
Management Control
(OMC) in the NERC GADS
Data Reporting Instructions
(DRI).

Page M-2
Appendix M – Differences Between NERC-GADS and ISO-GADS Data Collection and Uses
Maintenance An outage that can be An outage that received

Outage Definition deferred beyond the end NYISO’s approval (with
(MO) of the next weekend minimum two days
(Sunday at 2400 hours), notice) and there are no
but requires that the unit reliability issues if the
be removed from service, unit is removed from
another outage state, or service.
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.
Planned Derate A derating that is Planned/maintenance

(PD) scheduled well in advance deratings must be
and is of a predetermined coordinated by NYISO
duration. Operations with at least 2
days notice from unit’s
owner/operator.
Maintenance A derating that can be Approved by NYISO, and
Derating (D4) deferred beyond the end there are no reliability
of the next weekend but issues when the unit’s
requires a reduction in output is reduced,
capacity before the next flexible start time and
Planned Outage (PO). A does not require a
D4 can have a flexible predetermined duration
start date and may or may
not have a predetermined
duration.
Derate derates must be reported derates must be reported
for capacity loss > 2% or for capacity loss > 3% or
capacity loss lasts more capacity loss lasts more
than 30 minutes than 15 minutes
Event NYISO only receives

Contribution contribution code 1
Code
Submission Mandatory for 20 MW Required for ICAP
requirements or larger conventional suppliers
units in 2013

Page M-3
Appendix N - Changes to the GADS Data Reporting
Instructions for 2017.

Page III-5
Mothball text updated:
Previous text:
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 moment’s 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 it 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.
Updated text:
some action may be needed because the unit had been idle for a period of time and some equipment,
systems or parts may have deteriorated and should be replaced or repaired prior to the units return to
service. The unit may have also experienced a series of mechanical problems, prior to the MB event, for
which management may wish to wait for a period of time to determine if the unit should be returned to
service or retired. Granted IEEE 762 states that the unit must be capable of operation prior to being
placed in the deactivated state; however, in actual practice management may want to delay a decision
to fix the generator and ‘suspend’ it in a deactivated state until a decision to repair or retire is rendered.
If this option is chosen the unit must enter the MB event no earlier than 60 days after the preceding
outage event (In other words the unit must incur a forced outage of a minimum 60 days prior to the
start of an MB event if the unit is inoperable). If the choice is to retire the generator after a decision is
made, then the generator can be immediately retired coincident with the end of the MB event; If the
decision is to repair, all repairs to make the unit operable must be completed under an outage of same
type that preceded the MB event (in other words, if the generator entered the MB event on the heels of
a forced outage, it must return to a forced outage for repairs to make the generator operable). If repairs
Page N-1
are being made on the unit in order to restore it to operating status once the MB event has started, the
MB event must end prior to the commencement of those repairs and the appropriate outage type
started until those repairs have been completed and the outage ended. Also, if there are long lead-time
item(s) that are ordered (such as a GSU, a generator rotor or the like) the MB event should end when
the initial order has been placed, since a decision at that time has been rendered to repair the
generating unit. Again, once a decision is rendered to repair the unit, whether or not orders are placed
and/or work is started, the mothball event must end and the appropriate outage type started. Repair
work cannot be conducted on a unit in the mothball state. Use Cause Code “9991” for MB events.
Page III-6
Reference to testing updated from page III-13 to page III-11.
From:
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.
To:
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-11.
Page III-13
Reference to Notes on Derates updated from page III-18 to page III-14.
From:
Do not report deratings caused by ambient-related conditions or system dispatch requirements (see
notes on reporting deratings, Page III-18).
To:
Do not report deratings caused by ambient-related conditions or system dispatch requirements (see
notes on reporting deratings, Page III-14).
Page III-14
Reference to non-curtailing events updated from page III-19 to page III-18.
From:
Page N-2
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 non-curtailing event (NC). See Page III-19 for details.
To:
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 non-curtailing event (NC). See Page III-18 for details.
Page III-21
Reference to notes on deratings changed from page III-13 to Page III-14.
From:
See Notes on Reporting Deratings, Pages III-13 to III-17, for more information concerning the reporting
of deratings.
To:
See Notes on Reporting Deratings, Pages III-14 to III-17, for more information concerning the reporting
of deratings.
Section IV – Performance
Page IV-6:
Added text to Unit Load Characterics.
Generally, these are numbered from least starts to most starts.
Enter the code from the list below that best describes how the unit was operated or loaded during the
month being reported.
Page IV-9
Update reference to computing hours from event reports.
From:
Page N-3
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-12.
To:
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 below.
From:
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-12.
To:
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 below.
From:
Enter the sum of all hours the unit was off-line due to extensions of scheduled (maintenance and
planned) 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-9.
To:
Enter the sum of all hours the unit was off-line due to extensions of scheduled (maintenance and
planned) 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 below.
Page N-4
Enter the code from the list below that best describes how the unit was operated or loaded during the
month being reported. Generally, these are numbered from least starts to most starts.
Appendix A – Change in Unit Status Report From

Introductory text changed from:
Complete the following Change in Unit Status Report Form whenever you purchase, deactivate or
reactivate a unit 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 the GADS Data Reporting
Instructions. If a unit is purchased, continue to report that unit for the remainder of the calendar month
using the instructions shown on Page III-18 of the GADS Data Reporting Instructions. Submit the
completed Change in Unit Status Report Form to gads@nerc.net.
To:
Complete the following Change in Unit Status Report Form whenever you purchase, deactivate or
reactivate a unit 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 Section III of the GADS Data Reporting Instructions. Please fill out the
unit information in the Unit Purchase/Retirement section, and also the Unit Deactivation information.
If a unit is purchased, continue to report that unit for the remainder of the calendar month using the
instructions shown on Section III of the GADS Data Reporting Instructions. Submit the completed
Change in Unit Status Report Form to gads@nerc.net. Please fill out both sections of the Unit
Purchase/Retirement section, including original company and new company information. If you do not
know who the new company is, please contact NERC or your Regional Coordinator.
If a unit changes owners at a company level, but keeps the same utility and unit information, keep
reporting under the same utility and unit codes. Please fill out the NCR number information for Original
Company NCR Number and New Company NCR Number.
If a unit was previously retired but has come back into service, fill out the reactivation part on page A-3.
Regional Coordinator information can be found at the NERC website.

http://www.nerc.com/pa/RAPA/gads/Pages/default.aspx
Page N-5
Plus added NCR number and extra spots for unit IDs.

Factor 2 on page F-1:
“Synchronous Hours” changed to “Synchronous Condensing Hours”
This makes Factor 4 make more sense.
Formula 2 on page F-8:
Unplanned Outage Factor changed from:
UOF = MOH +FOH + ME of MO x 100
PH
To
Page N-6
UOF = MOH +FOH + x 100
PH
Since “ME of MO” is included in MOH
Formula 29 included “x100” improperly.
Now fixed to:
Formula 61 included x100 improperly.
Now fixed to:
Updated demand factor f in equation 23, 25, 55, 57, 87, and 89 to align division symbols.
From
Page N-7
To:
Updated text in formula 89 on Page F-26 to clarify.
From:
WEFORd = [ Σ [(FOHd + (EFDHd)x NMC] x 100%
To:
WEFORd = Σ [(FOHd + EFDHd)x NMC] x 100%
Appendix B5 – Hydro Cause Codes

Added:
7070 Speed Increaser
9345 text changed to “Pumping Operation” from “Pumped Storage Operation”
Page N-8
Appendix B4 – Diesel Cause Codes
Added:
Continued Emissions Monitoring Systems (CEMS)
Appendix B6 – Gas Turbine Cause Codes

Appendix B7 – Jet Engine Cause Codes

Appendix B8 – Combined Cycle CoGeneration Cause

Codes
Updated header/Component to 8265 and 8275 from “Miscellaneous (Pollution Control Equipment)” to
“Wet Scrubbers”
Page N-9

2018 GADS Data Reporting Instructions PDF

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

2018 GADS Data Reporting Instructions PDF

Uploaded by

Copyright:

Available Formats

Generating Availability Data

Effective January 1, 2018

3353 Peachtree Road NE

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-2

Section III: Event Reporting

Event Report (07 format) .............................................................................................. III-2

Record Code.................................................................................................................... III-2

Utility (Company) Code .................................................................................................. III-2

Unit Code ........................................................................................................................ III-3

Year ................................................................................................................................. III-3

Event Number................................................................................................................. III-3

Report Revision Code ..................................................................................................... III-3

Event Type ...................................................................................................................... III-4

Inactive States ................................................................................................................ III-5

Active States ................................................................................................................... III-6

Outages ........................................................................................................................... III-6

ME - Maintenance Outage Extension

Interpretation of Outages and their Reporting........................................................... III-10

Notes on Reporting Outages ...................................................................................... III-11

b. Off-line testing (not synchronized)

Outside Management Control Outages

Deratings ..................................................................................................................... III-12

Notes on Reporting Deratings .......................................................................................... III-14

Reserve Shutdowns - RS ................................................................................................... III-17

Non-curtailing Events - NC................................................................................................ III-18

Event Magnitude............................................................................................................... III-18

Primary Cause of Event; and ............................................................................................ III-22

Expanded Data Reporting................................................................................................. III-29

Section IV: Performance Reporting

Performance Report (05 format) ....................................................................................... IV-1

GADS Data Reporting Instructions – January 2018

B. Unit Generation Performance

C. Unit Starting Characteristics

D. Unit Time Information

GADS Data Reporting Instructions – January 2018

E. Primary Fuel; and

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

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 2018

Fuel Codes .................................................................................................................................... E-2

Appendix F: Performance Indexes and Equations

Appendix G: Examples and Recommended Methods

Introduction ................................................................................................................................. G-1

Example 1 - Simple Outage .......................................................................................................... G-2

GADS Data Reporting Instructions – January 2018

Appendix H: Failure Mechanism Codes ..................................................................................... H-1

Appendix I: GADS Data Release Guidelines ............................................................................... I-1

Appendix J: Cause Code Amplification Codes ............................................................................ J-1

Appendix K: Outside Management Control .............................................................................. K-1

Appendix L-1: Calculating Combined Cycle and

Appendix L-2: Calculating Combined Cycle and

Appendix N: Changes to DRI 2017 to 2018………………………………………………………………………….N-1

Tables and Figures

GADS Data Reporting Instructions – January 2018

GADS Data Reporting Instructions – January 2018