State, Local, and Tribal Governments (SLTs)

Air Emissions Reporting Requirements (AERR) (Proposed Rule)

CAER System User Guide V4 01062023 Final

State, Local, and Tribal Governments (SLTs)

OMB: 2060-0580

Document [pdf]

Download: pdf | pdf

OMB 2060-0580
Expiration Date: 01/31/2025

Combined Air Emissions Reporting System
(CAERS) Version 4
User’s Guide Version 4.0
Last updated: 02/03/2023

OMB 2060-0580
Expiration Date: 01/31/2025

About CAERS and the Paperwork Reduction Act
CAERS supports both emissions data collection from owners/operators of facilities to state, local, and
tribal (SLT) agencies as well as collection from SLT agencies to the EPA. Data collection by a SLT from
owner/operators is subject to the regulations of the SLT agency. Historically, these data collections have
been done by SLTs prior to EPA’s creation of the Air Emissions Reporting Rule (AERR; 40 CFR Part 51,
Subpart A). The AERR built on the Consolidated Emissions Reporting Requirements (CERR), which was
created to consolidate several emissions reporting requirements for SLTs to the EPA.
Given this history, the burden included with the Information Collection Request for the AERR covers the
burden for SLTs to report to the EPA. The burden statement below covers that part of the emission data
collection process.

Burden Statement
This collection of information is approved by OMB under the Paperwork Reduction Act, 44 U.S.C. 3501
et seq. (OMB Control No. 2060-0580). Responses to this collection of information are mandatory (40 CFR
§ 51.15) and include voluntary aspects for reporting (40 CFR § 51.15 paragraphs (a)(2)-(4)). A federal
agency may not conduct or sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control number. The public reporting and
recordkeeping burden for this collection of the point source portion of the AERR information is
estimated to range from 50 -190 hours per response. Send comments on the Agency’s need for this
information, the accuracy of the provided burden estimates and any suggested methods for minimizing
respondent burden to the Regulatory Support Division Director, U.S. Environmental Protection Agency
(2821T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any
correspondence. Do not send the completed form to this address.

Table of Contents
About CAERS and the Paperwork Reduction Act ........................................................................................ ii
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Burden Statement ........................................................................................................................................ ii
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1
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Introduction .......................................................................................................................................... 1

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1.1
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Introduction to CAERS................................................................................................................... 1

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1.2

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Highlights of CAERS Features ........................................................................................................ 1

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1.3

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2
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Software Requirements for CAERS ............................................................................................... 2

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Initial Pre-Reporting Steps .................................................................................................................... 2

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2.1
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Determine Your Role as Preparer or Certifier............................................................................... 2

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2.2

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Option for Reporting TRI-bound Air Toxics Data .......................................................................... 3

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2.3

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Timing of Your NEI and TRI Submissions....................................................................................... 3

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Registration ........................................................................................................................................... 4

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3.1
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Registration in CDX ....................................................................................................................... 4

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3.2

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Add CAERS to your CDX Account .................................................................................................. 5

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3.3

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Gain Access to CAERS and your Facility ...................................................................................... 13

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3.4

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Opt in-Process for Facilities Reporting to GADNR ...................................................................... 15

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3.4.1
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If the Facility was Operating ............................................................................................... 16

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3.4.1.1
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Facilities Bellow All Pollutant Thresholds ....................................................................... 18

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3.4.1.2

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Facilities Above at Least One Pollutant Threshold.......................................................... 21

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3.4.2
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If the Facility was Temporarily or Permanently Shut Down ............................................... 21

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Reporting Emissions and Facility Information via the User Interface................................................. 21

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4.1
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Navigating the User Interface ..................................................................................................... 21

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4.1.1
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General Description of User Interface Features ................................................................. 21

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4.1.2

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Emissions Reports Page ...................................................................................................... 22

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4.1.3

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Report Summary Page ........................................................................................................ 24

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4.1.4

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Including an Attachment in Your Report ............................................................................ 25

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4.2
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Facility Inventory......................................................................................................................... 26

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4.2.1
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Facility Information ............................................................................................................. 26

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4.2.2

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Emission Units Page ............................................................................................................ 30

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4.2.3

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Release Points Page ............................................................................................................ 33

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4.2.4

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Control Devices Page .......................................................................................................... 36

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Control Paths Page .............................................................................................................. 41

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4.3
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Emissions inventory .................................................................................................................... 46
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4.3.1
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4.3.2
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Units .................................................................................................................................... 46

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Processes............................................................................................................................. 46
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4.3.2.1
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Associating a Process to a Release Point ........................................................................ 51

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4.3.2.2
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5
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The Bulk Upload Excel Template................................................................................................. 56

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5.2
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Bulk Upload Steps ....................................................................................................................... 60

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5.3
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JSON ............................................................................................................................................ 61

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Reporting Emissions Using Bulk Entry................................................................................................. 62

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Performing Quality Checks.................................................................................................................. 63

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Certifying and Submitting to your State, Local, or Tribal (SLT) Authority ........................................... 68

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8.1
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Certification and Submission of Report ...................................................................................... 69

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8.2
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Correcting Reports with Errors ................................................................................................... 70

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8.3
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Disputing or Repudiating a Report.............................................................................................. 70

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8.4
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CDX Submission History .............................................................................................................. 70

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5.1

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Entering and Calculating Emissions ................................................................................ 52

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Reporting Emissions and Facility Information Using Bulk Upload ...................................................... 56

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Submission Approval........................................................................................................................... 71

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Using Data Reported in CAERS for a TRI-MEweb submission ......................................................... 71

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11
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Where to Go for Help...................................................................................................................... 74

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11.1

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Help with the CAERS application itself........................................................................................ 75

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11.2
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Help with program-related questions:........................................................................................ 75
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Appendix A
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Control Devices in Facility Emissions Inventories ....................................... A-1

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Appendix B Types of Fugitive Release Points..................................................................B-1
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Appendix C Additional Resources ................................................................................... C-1
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Appendix D CAERS Submission Checklist ....................................................................... D-1
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Appendix E Monthly Reporting for DOEE Facilities ........................................................ E-1
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List of Figures
Figure 3-1. CDX Login Screen ....................................................................................................................... 5
Figure 3-2. CDX Terms and Conditions......................................................................................................... 5
Figure 3-3. CDX Program Service Page ......................................................................................................... 6
Figure 3-4. Role Selection Screen................................................................................................................. 6
Figure 3-5. User Information Data Entry ...................................................................................................... 7
Figure 3-6. Selection of Organization ........................................................................................................... 8
Figure 3-7. Organization Information Data Entry ........................................................................................ 8
Figure 3-8. Confirmation Code Entry ........................................................................................................... 9
Figure 3-9. CDX Lexis Nexis Identity Verification ......................................................................................... 9
Figure 3-10. CDX Lexis Nexis Identity Verification ..................................................................................... 10
Figure 3-11. Verification Questions ........................................................................................................... 11
Figure 3-12. CDX Electronic Signature Agreement .................................................................................... 11
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Figure 3-13. eSignature Screen .................................................................................................................. 12
Figure 3-14. MyCDX Page ........................................................................................................................... 12
Figure 3-15. “My Facilities” Page in CAERS ................................................................................................ 13
Figure 3-16. Facility Search in CAERS ......................................................................................................... 14
Figure 3-17. Request Access to Selected Facility ....................................................................................... 14
Figure 3-18. "My Facilities" Page Listing Facilities ..................................................................................... 15
Figure 3-19. Starting the GADNR Opt-in/Opt-out Process ......................................................................... 16
Figure 3-20. Selecting Operating Status for GADNR Facilities ................................................................... 17
Figure 3-21. Potential to Emit Threshold Questionnaire for GADNR Facilities .......................................... 18
Figure 3-22. Report Summary Page for a Facility that Opted Out ............................................................. 19
Figure 3-23. Attaching the Opt-out Form for GADNR Facilities that Opted Out ....................................... 20
Figure 3-24. Certify and Submit for GADNR Facilities that Opted Out ...................................................... 20
Figure 4-1. Begin Emissions Report ............................................................................................................ 23
Figure 4-2. Emissions Report Page ............................................................................................................. 24
Figure 4-3. Facility Report Summary Page ................................................................................................. 24
Figure 4-4. Including an Attachment.......................................................................................................... 26
Figure 4-5. Facility Information Page ......................................................................................................... 27
Figure 4-6. Editing Facility Information ...................................................................................................... 28
Figure 4-7. Edit Facility NAICS codes .......................................................................................................... 29
Figure 4-8. Find and Select NAICS Code ..................................................................................................... 29
Figure 4-9. Enter Facility Contact Information ........................................................................................... 30
Figure 4-10. Emissions Units Page ............................................................................................................. 31
Figure 4-11. Adding a New Unit ................................................................................................................. 31
Figure 4-12. Example of a Page for a Specific Unit .................................................................................... 32
Figure 4-13. Editing a Unit.......................................................................................................................... 32
Figure 4-14. Release Points Page ............................................................................................................... 34
Figure 4-15. Adding a New Release Point .................................................................................................. 35
Figure 4-16. Example of a Page for a Release Point................................................................................... 35
Figure 4-17. Editing a Release Point........................................................................................................... 36
Figure 4-18. Control Devices Page ............................................................................................................. 36
Figure 4-19. Adding a New Control ............................................................................................................ 38
Figure 4-20. Example of a Page for a Control Device ................................................................................. 38
Figure 4-21. Editing a Control Device ......................................................................................................... 39
Figure 4-22. Associating a Pollutant and Control Efficiency to a Control Device ...................................... 40
Figure 4-23. Control Paths Page ................................................................................................................. 42
Figure 4-24. Adding a New Path................................................................................................................. 42
Figure 4-25. Example of a Page for a Control Path .................................................................................... 43
Figure 4-26. Editing a Path ......................................................................................................................... 43
Figure 4-27. Adding a Path Assignment ..................................................................................................... 44
Figure 4-28. Example of a Facility with Complex Controls ......................................................................... 45
Figure 4-29. Adding a New Process............................................................................................................ 47
Figure 4-30. SCC Search ............................................................................................................................. 48
Figure 4-31. Example of a Page for a Process ............................................................................................ 49
Figure 4-32. Editing a Process .................................................................................................................... 50
Figure 4-33. Release Point Apportionment................................................................................................ 51
Figure 4-34. Adding a New Pollutant ......................................................................................................... 53
Figure 4-35. Selecting a Calculation Method ............................................................................................. 54
Figure 4-36. Using EPA Emission Factor Alternative .................................................................................. 56
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Figure 5-1. Example of Bulk Upload Template Worksheet ........................................................................ 60
Figure 5-2. JSON Upload Option in CAERS ................................................................................................. 61
Figure 6-1. Bulk Entry Process Information Tab......................................................................................... 62
Figure 6-2. Bulk Entry Emissions Information Tab ..................................................................................... 63
Figure 7-1. Quality Review Page ................................................................................................................ 65
Figure 7-2. Correcting an Error .................................................................................................................. 66
Figure 7-3. Completing Quality Checks ...................................................................................................... 67
Figure 7-4. Report Ready to Certify ........................................................................................................... 68
Figure 8-1. Submission Review Screen....................................................................................................... 69
Figure 8-2. Submission Certification .......................................................................................................... 69
Figure 8-3. CDX Submission History Page .................................................................................................. 71
Figure 10-1. Example of Section 5 Form R Screen in TRI-MEweb .............................................................. 72
Figure 10-2. Example of "NEI Data Available" Screen ................................................................................ 73
Figure 10-3. Example NEI Data Availability Pop-Up Window..................................................................... 73
Figure 10-4. Example Pop-Up Window for Comment................................................................................ 74
Figure 11-1. Help Screen in CAERS ............................................................................................................. 75
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Figure A. 1. Example of a Facility with No Control Device ....................................................................... A-2
Figure A. 2. Example of a Facility with a Single Control ........................................................................... A-3
Figure A. 3. Example of a Facility with Controls in Series ........................................................................ A-4
Figure A. 4. Conceptual Configuration for a Facility with Controls in Series ........................................... A-5
Figure A. 5. Example of Complex Controls ............................................................................................... A-6
Figure A. 6. Path Assignment for a Facility with Complex Controls ......................................................... A-7
Figure A. 7. Planer Mill Cyclofilter Path Assignment................................................................................ A-9
Figure A. 8. Example for Controls Working Alternately ......................................................................... A-10
Figure A. 9. Path Assignment for Controls Working Alternately............................................................ A-11
Figure A. 10. Flow of Uncontrolled Emissions........................................................................................ A-12
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Figure B. 1. Graphical Representation of Current "Area" Fugitive Release Points ...................................B-1
Figure B. 2. Graphical Representation of 2-Dimensional Fugitive Release Points ....................................B-2
Figure B. 3. Graphical Representation of 3-Dimensional Fugitive Release Points ....................................B-2
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List of Tables
Table 4-1. Example of Data Entry for Controls in Sequence for Path 1 ..................................................... 45
Table 4-2. Example of Data Entry for an Assignment including a Control and a Path Running in Parallel
for Path 2..................................................................................................................................................... 45
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Table A. 1.
Table A. 2.
Table A. 3.
Table A. 4.
Table A. 5.
Table A. 6.
Table A. 7.
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Example Associations for a Facility with No Controls ............................................................ A-2
Example Path Data for a Facility with a Single Control .......................................................... A-3
Example Associations for a Facility with a Single Control ...................................................... A-3
Example Control Device Data for a Facility with Controls in Series ....................................... A-5
Example Path Data for a Facility with Controls in Series ....................................................... A-5
Example Associations for a Facility with Controls in Series ................................................... A-6
Example Control Device Data for a Facility with Complex Configuration .............................. A-7
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Table A. 8. Example Path Data for a Facility with Complex Configuration .............................................. A-8
Table A. 9. Example Associations for a Facility with Complex Configuration .......................................... A-8
Table A. 10. Path Data for Planer Mill Cyclofilter..................................................................................... A-9
Table A. 11. Associations for Planer Mill Cyclofilter ................................................................................ A-9
Table A. 12. Path Data for Controls Working Alternately ...................................................................... A-11
Table A. 13. Associations for Controls Working Alternately .................................................................. A-11
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Table C. 1. Default Heat Values for Fuels .................................................................................................. C-1
Table C. 2. List of Simple Unit of Measure Conversions in CAERS ............................................................ C-4
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vii

1 Introduction
1.1 Introduction to CAERS
The Combined Air Emissions Reporting System (CAERS) is an application that allows industry from
subscribed State, Local, or Tribal authorities (or SLTs) to report their air emissions, so that you can:
•
•
•

meet specific SLT air emissions reporting requirements given individual SLT regulations,
report annual or triennial emissions to meet the requirements of the U.S. EPA’s Air Emissions
Reporting Rule (AERR), as per the Code of Federal Regulations (or CFR) 40, Part 51, and
optionally, get a head start on reporting your facility’s toxics air emissions to the U.S. EPA’s
Toxics Release Inventory (TRI), as per 40 CFR Part 372.

You should check with your SLT to determine if you meet the criteria for annual reporting.

1.2 Highlights of CAERS Features
The following basic features will help users navigate CAERS. By familiarizing yourself with these
features, you will have a smoother and less time-consuming reporting experience. You should
also consult the Checklist (Appendix D) at the end of this user guide to assist you in your
submission.
1. Previously reported data are prepopulated in a current inventory year report, as a starting
point.
2. All pages appear and function in a consistent predictable way.
3. All required fields are marked with an “*” symbol, and a “?” symbol next to data fields
provides a pop-up box with its definition and examples.
4. Three options for data entry are available:
a. User interface – for users with few changes to a previous year report, and with
different kinds of changes.
b. Bulk entry – for users with a few changes to their annual throughput and emissions,
and with few to no changes to their facility inventory.
c. Bulk upload – for users with many changes and/or with a variety of types of changes
from a previous year report, this includes new and/or large facilities with no previous
reporting history who will want to start a brand-new report.
i. Via excel template – for users who would like to work with excel.
ii. Via JSON upload – for users who would like to send data directly from their
custom systems – this feature is forthcoming in CAERS.
5. Attachments can be included: Your SLT may require you to provide supplemental information
to your estimates such as detailed calculations in a spreadsheet or word document.
6. Bulk download of data into the excel template you will need for bulk upload. This will allow
you to make the relevant changes directly to the template.
7. Summary reports can be downloaded: You can obtain a summary of your submission in an
excel file (different from the bulk download described above).
8. Toxics air pollutants and hazardous air pollutants (HAPs) reported to CAERS can be shared
with Toxics Release Inventory (TRI) to save users time: When using the calculation features
and/or uploading calculations for toxics emissions in CAERS, CAERS will aggregate toxics
emissions for the facility, and leave that data ready for TRI-MEweb to pick up so it can be used
for that facility’s air emissions reporting.

9. A “Report History” page shows major activities from reporters and certifiers such as
attachments, certification, and submission of the report are recorded.
10. A “Report Log” page alerts users to any changes made to uploaded data, such as updates in
EPA emission factors.

1.3 Software Requirements for CAERS
To use the CAER system, you will need:
•

•

Internet browser and connectivity: This should be a recent version of any internet
browser such as Chrome, Explorer, Edge, or Firefox. Your internet connectivity will
determine how fast data can be uploaded, as will the amount of data you are uploading
at one time.
Microsoft Excel: Bulk uploads will be in “XLSX” format, and Excel 2013 or later is
required.

2 Initial Pre-Reporting Steps
2.1 Determine Your Role as Preparer or Certifier
Your first step will be to determine if you are a preparer or certifier as follows:
You are a Preparer if you are authorized to prepare an emissions report for National Emissions Inventory
(NEI). You may be a consultant, or a staff person for the company owning the facility, for example. Note
that:
•
•
•

There may be more than one Preparer for a facility and that facility is associated with each
Preparer’s account. There may not be a single account for multiple preparers.
There may be a single Preparer for more than one facility, and all those facilities are associated
with that Preparer’s account.
A Preparer cannot sign and submit the report like a Certifier can.

You are an NEI Certifier if you are authorized to sign the emissions report on behalf of the facility to
meet your legal obligation for reporting to your State, Local, or Tribal authority (SLT). Note that:
•
•
•

The Certifier can do everything a Preparer does in the System. Therefore, a Certifier who is also
the Preparer for a facility only needs to register as a Certifier for that facility and does not
require an additional Preparer account.
There may be only one Certifier for a facility. Only one individual can sign the report for that
facility. You should consult your SLT to determine who from the facility should be the certifier.
There may be a single Certifier for more than one facility (multiple facilities associated with the
certifier account). However, your SLT may have additional limitations to those the system
allows, so you should check with your SLT for specific instructions.

If your facility does not submit toxics air emissions data to TRI-MEweb, you may skip to Section 3.
•

If your facility also submits air toxics data to TRI-MEweb, and your facility will use shared toxics
data reported to CAERS in the TRI reporting (as per sections 2.2 and 2.3), you should note the
following: TRI data is certified in TRI-MEweb, not CAERS. However, when the NEI Certifier
certifies their annual report in CAERS, they will also be signaling to the system that reporting is
complete and that shared data is ready to be made available to TRI-MEweb. So long as a report
is still in progress, CAERS will not make the data available for TRI-MEweb pick up. Furthermore,
2

TRI bound data will be certified in TRI-MEweb, not CAERS. The NEI Certifier may not be the
same person as the TRI certifier so NEI and TRI certifiers may want to coordinate amongst
themselves to ensure they are reporting data to CAERS appropriately. Please direct any
questions about this to [email protected].

2.2 Option for Reporting TRI-bound Air Toxics Data
CAERS has an optional feature that allows you to get a jump start on air toxics emissions reporting
for your facility. You can enter air toxics/HAP data in CAERS in conjunction with your NEI reporting.
When you are finished, CAERS will then add toxics data up to your facility total and leave that data
available for TRI-MEweb to pick up and prepopulate your air toxics report.
Regulations do not require your report to be reviewed by your SLT for your toxics data to be made
available for TRI reporting. Additionally, your SLT may not require you to report your facility’s air
toxics/HAP emissions through CAERS. However, we encourage facilities to submit HAPS data at the
process level in CAERS for the following reasons:
•
•

•

You’ll be able to enter this data and take advantage of the CAERS aggregating air toxics data to
the facility total.
Having your SLT review your criteria pollutant data before your data gets to TRI-MEweb gives
you the opportunity to correct any related toxics data. For example, assume your SLT finds an
error with throughput for a unit/process affecting your facility’s CO and NOX emissions, that is
also affecting your VOC calculations. As you correct that throughput, all affected emissions are
corrected as well.
If no HAPS are reported for the facility, then EPA estimates these emissions from your criteria
emissions data via HAP augmentation calculations. These estimates may not be as accurate as
your own data. By submitting your own HAPs emissions at process level in CAERS you take
charge of your data.
You should consult your SLT to determine if you are required to submit HAPS data to comply
with SLT requirements.

2.3 Timing of Your NEI and TRI Submissions
CAERS will add up all shared toxics/HAP emissions entered and calculated at the unit/processlevel and make those totals available to you in TRI-MEweb (see Section 10). The goal is for reporters to
save time in doing calculations separately for each program when common or shared input data (for
example, throughput, emissions) entered for one program can be used for reporting to another
program, in this case TRI reporting. Therefore, a reporter should create the CAERS emissions report
leaving time for the submission to take place before the SLT submission deadline, as well as the TRI
deadline of July 1st. TRI data submissions do not require review by your SLT authority and are picked up
by TRI-MEweb by the submission deadline. A submission that, upon SLT review, requires edits after that
date, will be updated accordingly for submission to NEI. However, any toxics data affected by such edits
will be updated in TRI-MEweb later. Furthermore, you will also want to account for your SLT’s
submission deadline. For example, GADNR EI deadline is June 30th of each year.
P

Finally, it is important to leave time in case issues come up that require intervention by the help desk,
SLT, or EPA staff to resolve. Were we to find any glitches in the software, those will take time to resolve
as well. Therefore, we recommend that you:
•

•
•

If you are already registered as Preparer/Certifier for a facility from last year’s
submission, you do not need to re-register, but you should follow any additional steps
your SLT may require.
o If staff changes:
▪ For new GADNR preparers and certifiers: go to GECO to register first, then
proceed to CDX to register only after you have gone through the steps in GECO.
▪ For new non-GDNR SLT preparers and certifiers: please notify your SLT
immediately with the name, email address, mailing address and phone number
of the new staff person. Then, new staff should register to CDX immediately to
start and/or continue the report. You should consult with your SLT, as they may
have additional SLT specific verification steps to complete the process as well.
▪ For preparers and certifiers that will no longer be working on a facility’s reports,
please let your SLT know as soon as possible so your link to the facility can be
removed promptly. You should consult with your SLT, as they may have
additional SLT specific verification steps to complete the process as well.
Coordinate your NEI and TRI reporters so that you start your report no later than one month
before the first program deadline you are facing.
Complete your report no later than two weeks before your submission deadline, to allow for
unforeseen circumstances that might delay your emissions report.

For example, given that GADNR’s submission deadline is June 30th, it is best for the facility to submit its
emissions inventory through CAERS at least two weeks before that deadline to allow GADNR Reviewer’s
advanced QA reviewing process.
Once your SLT has reviewed your report, it will then send that report to EPA in two steps (first facility
information, second throughput and emissions data). While every effort has been made to provide
preparers with quality assurance checks that will help you submit the highest quality data, both your SLT
staff and EPA’s Emissions Inventory System (EIS) may present additional checks (either new, or checks
that are not possible to include in CAERS given their nature). These checks may require you to make
corrections to your report after you have certified it. In that case your SLT will return your report for
revisions. These revisions usually take place in the Fall. To avoid some of these issues, we encourage
you to review the “Additional Considerations” sections after each section and chapter.

3 Registration
3.1 Registration in CDX
To enter CAERS, you will need to be registered in EPA’s Central Data Exchange (CDX). If you
already have a CDX account but have not registered to use CAERS, go to section 3.2. If you are new to
CDX, click on the “Register with CDX” button (Figure 3-1). You will be directed to the Terms and
Conditions screen for CDX registration (Figure 3-2). After reading these, check the box confirming that
you are the registrant and click “Proceed” at the bottom left of your screen.
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Figure 3-1. CDX Login Screen

Figure 3-2. CDX Terms and Conditions

3.2 Add CAERS to your CDX Account
If you are both an authorized Certifier and Preparer, you do not need to go through this process
twice. Instead, just register as Certifier in CAERS once you are in. Once you have accepted terms and
5

conditions, you will be taken to the Program Services page. You can search “CAER: Combined Air
Emissions Reporting” from the list, or you can type it in the search list as shown in Figure 3-3.
Figure 3-3. CDX Program Service Page

Figure 3-4. Role Selection Screen

You will be taken to the role access screen where you can choose your role as Preparer or NEI Certifier,
as shown in Figure 3-4. Remember that if you are both Preparer and NEI Certifier, you only need to
register as Certifier. You will only need one NEI Certifier account if you are handling both roles.
After selecting your role click on “Request Role Access”. This will take you through a few screens where
you will enter information about yourself, and your organization. On the User and Organization screen
(Figure 3-5) complete the User Information section, including your preferred User ID, password, and CDX
security questions and answers. Make sure to follow all instructions that are provided, including the
identity authentication questions asked. Make sure you remember the answers to those questions. The
authentication questions are an additional step that is needed to ensure that only you, the authorized
staff, can work on and submit the report (see Section 8 for more information).
Figure 3-5. User Information Data Entry

Next, scroll down to the bottom of the screen and enter Organization Information in the relevant box. If
multiple individuals work for a company, then they should all register for the same company in CDX. If
your facility already reports to other EPA air programs, your organization may already exist in CDX. If
you can’t find it call the help desk who may be able to assist you in either doing a deeper search to find
it. If your organization is not listed and your company doesn’t already report to other EPA programs in
CDX, you can add your organization by clicking on the relevant link. After you find your organization
click on an Organization ID link to select it (Figure 3-6).

Figure 3-6. Selection of Organization

Figure 3-7. Organization Information Data Entry

Once you’ve selected your organization, you will be required to enter an email address and phone
number where you can be contacted. Click “Submit Request for Access” (Figure 3-7). This will generate
an email that will be delivered to the email address you provided and forward you to the confirmation
screen. This email will contain a code you will need to enter to complete your registration. Make sure
to check all your email folders to ensure it was not lost in a spam folder.
Locate the email that was automatically sent to your address and enter the provided code. Once you
have located the email and code, enter the code in the “Code” box. Then, click “Create Account” (Figure
3-8).
You will then be redirected to the ‘Identity Verification’ screen where you will provide your personal
information to gain access to CDX. You MUST provide accurate personal information during CDX
registration to pass LexisNexis Electronic Identity Verification (Figure 39).
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Figure 3-8. Confirmation Code Entry

Figure 3-9. CDX Lexis Nexis Identity Verification

If you do not pass LexisNexis verification you will be prompted to view, print, and sign a paper ESA. If
this happens simply view and sign the paper ESA by clicking the ‘Paper Verification’ link and then closing
the resulting window. This will bring you to the “MyCDX” screen. Reach out to the CDX help desk for
further instructions.
When you are done filling out your personal information, scroll to the bottom of the Identity Verification
screen. Then, check the box as shown below and click the ‘Proceed to Verification’ button (Figure 3-10).
Figure 3-10. CDX Lexis Nexis Identity Verification

Once you have passed identity verification, you will be directed to choose and answer 5 challenge
questions. These will be used when signing and submitting reports in CAER. After entering your answers,
click the ‘Save Answers’ button (Figure 3-11).
You will then be prompted to electronically sign an ESA. Click the ‘Sign Electronically’ button as seen
below. Click ‘Accept’ in the pop-up window that appears after clicking the button (Figure 3-12).
Remember that you may be able to use the same Electronic Signature Agreement (ESA) in CDX that you
use for other programs and/or systems in CDX. You may need additional ESAs for additional
organizations you are associated with. You should reach out to the help desk if you have questions
about this.

Figure 3-11. Verification Questions

Figure 3-12. CDX Electronic Signature Agreement

Figure 3-13. eSignature Screen

Figure 3-14. MyCDX Page

Enter all required information in the ‘eSignature Widget’ pop-up (Figure 3-13). After the 3 steps, click
the ‘Sign’ button to complete the process.
Once you have clicked to sign the ESA, you should receive an email that the process is complete. You will
also be redirected to the “MyCDX” screen (Figure 3-14) inside your CDX account. When this happens,
your account should be activated automatically. If you are a certifier, then the ‘NEI Certifier’ link in the

‘Role’ column on the “MyCDX” screen will be active and clickable. If you are a preparer, then “Preparer”
will appear under your Role.
Whenever you want to access CAERS, you’ll go to CDX and login to enter your credentials. For security
reasons, CDX forces users to change their password every 90 days, so make sure you have your most
recent password available to you. Once you’ve entered your login and password, you will be taken to
your “My CDX” page.

3.3 Gain Access to CAERS and your Facility
Once you click on your role, you will be re-directed to enter CAERS, and you will see “My
Facilities” (Figure 3-15). Click on the “Request Access to a New Facility” button to request that your SLT
verify that you are associated with the correct facility.
The next screen will allow you to search for your facility by entering your SLT agency and Agency Facility
ID. If you do not know your facility ID, you may enter more search criteria (such as part of the facility
name) to find your facility. Once you’ve entered it, click “Search” to find your facility (Figure 3-16).
A list of facilities matching your search criteria will appear. Be sure to only select the facility you are
reporting and/or certifying for. Once you have selected it, click “Request Access” (Figure 3-17). You will
be asked to confirm you have selected the correct facility. Click “Confirm” or click “Cancel” to go back to
the previous screen. You will receive an email from your SLT confirming or rejecting your request for
access to the facility you selected. When your request has been accepted, upon reentry to CAERS, you
should see your facility, listed in your “My Facilities” page (Figure 3-18).
Figure 3-15. “My Facilities” Page in CAERS

Figure 3-16. Facility Search in CAERS

Figure 3-17. Request Access to Selected Facility

Figure 3-18. "My Facilities" Page Listing Facilities

3.4 Opt in-Process for Facilities Reporting to GADNR
This section applies only to all Georgia Department of Natural Resources (GADNR) facility
preparers and certifiers. If you do not report to GADNR, you may proceed to Section 4.
After logging in and having received access to your facility from GADNR, you will be redirected to the
Emissions Reports page. Now, you will begin your opt-in/opt-out process. Click on “Create New
Report”, you will be generating a report no matter whether you opt in or opt out, but the process for
each will be different. See Figure 3-19.

Figure 3-19. Starting the GADNR Opt-in/Opt-out Process

Via a pop-up window (Figure 3-20), the system will ask about the status of your facility. Only select
“Permanently” or “Temporarily” Shutdown if the facility had no activity in the inventory year you are
reporting. For annual reports, “shutdown”, either temporarily or permanently means that the facility
did not operate from January 1st to Dec. 31st of the inventory year. If the facility operated at all, even one
day, in that inventory year, then the facility is considered to have been operating for that inventory year.
If you have further questions, please reach out to your SLT before you select an operating status to avoid
having to go through the process again. Otherwise, your facility was “Operating”.
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3.4.1 If the Facility was Operating
Your selection will take you to another pop-up window asking if the facility met the Potential to
Emit (PTE) thresholds listed for the inventory year you are reporting (Figure 3-21).

Figure 3-20. Selecting Operating Status for GADNR Facilities

Figure 3-21. Potential to Emit Threshold Questionnaire for GADNR Facilities

3.4.1.1

Facilities Bellow All Pollutant Thresholds
If you answered “Yes” to the question “Is the facility below ALL of the thresholds listed?” (Figure
3-21), then your facility will be opting out of emissions inventory reporting for the inventory year. The
next screen you see, will show you the Summary Screen in CAERS where the summary will appear
empty. Your previous year data will not be used to prepopulate the current inventory year, as your
facility will not be submitting an annual report, but instead, will be saved for the next time your facility
reports. Your report for this inventory year is effectively reporting that the facility opted out from the
requirement to submit an emissions inventory report for this inventory year (Figure 3-22).
Please review your facility information carefully before certifying and submitting. Even if you are going
to opt out, you will need to have updated facility information so that it is current, including a point of
contact, for any subsequent submissions. If any information is incorrect or missing, please edit it. If
there are corrections that you cannot make, as your SLT may not authorize you to do so, please reach
out to them as soon as possible before you certify and submit. Otherwise, you may have to go through
this process again until the correction is provided.

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If you are opting out, GADNR requires a specific Opt-out form that you may attach by clicking on you will
“Attach Report Document” (Figure 3-23). The opt-out form for GADNR reporters can be found in the
GECO website in the Emission Inventory Application section. Reach out to GADNR staff if you need
further guidance on this. Failure to attach the Opt-out form will result in an error that will not allow
the certifier to proceed with certification (Figure 3-24). Once the Opt-out form is attached the certifier
will click “Certify and Submit to SLT”. GADNR will only reject this submission and return to the facility if
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it encountered errors in the analysis. If so, the process must be re-started by going back to the
“Emissions Reports” page and clicking “Delete”. Once that is done, the system will re-set and you will
start the Opt in/Opt out process again.
Figure 3-22. Report Summary Page for a Facility that Opted Out

Figure 3-23. Attaching the Opt-out Form for GADNR Facilities that Opted Out

Figure 3-24. Certify and Submit for GADNR Facilities that Opted Out

3.4.1.2

Facilities Above at Least One Pollutant Threshold
If you answer “No” to the question “Is the facility below ALL of the thresholds listed?” (Figure
3-21), then your facility will be opting in. The next screen you will see will be the “Report Summary”
screen. If you have submitted a previous year report, your data from that report will have prepopulated
this screen and you can begin your report per section 4.1.3 of this User Guide. Note that if the facility
PTE emissions exceeds some of the pollutants, the actual emissions of all pollutants emitted at the
facility must be reported.

3.4.2 If the Facility was Temporarily or Permanently Shut Down
After selecting either “Temporarily Shutdown” or “Permanently Shutdown” you will be re-directed
to the facility summary page, but the previous year report will not pre-populate your current year
report. The Report Summary screen for facilities that have shut down will be the same for a facility that
has opted out (see Figure 322). Your report for this inventory year, is effectively reporting the status
change for your facility, and the status year will automatically be marked as the previous year (inventory
year). See section 4.2.1 for more details on facility operating status. You will not be required to submit
an opt-out form if your facility was shut down.

4 Reporting Emissions and Facility Information via the User Interface
4.1 Navigating the User Interface
4.1.1 General Description of User Interface Features
This section will help you understand the basics about navigating the CAERS User Interface (UI), that
will be helpful whether you choose to do your reporting via UI, bulk entry, or bulk upload. The UI has
many pages and data entry points, however, there are some common themes throughout the UI. This
list will help you understand the general layout of the UI and its characteristics. Specific features are
explained in more detail, including screenshots, in subsequent sections and are not duplicated here to
avoid repetition.
General features (refer to Section 4.1.3, Figure 4-3):
•
•
•
•
•

Breadcrumbs at the top of the screens displaying the path that got you to the current screen
from the main "My Facilities” page.
Submission steps bar at the top of the screen that indicates what step you are on in the
submission process.
A menu with links to different facility and emissions data pages on the left-hand side of the
screen, that will help you find the relevant screens for viewing and data entry. Where multiple
units exist, the menu can be expanded and collapsed.
Link to “MyCDX” at the bottom of the screen.
Link to “Help” at the top right of your screen that takes you to a page containing the help desk
contact information and additional resources.

User interface data entry features:
•

•

Organization of data in each screen in boxes. For example, facility information is organized in
the following boxes: Facility Information, Facility North American Industrial Classification
System (NAICS) Codes, Contact Information (Section 4.2.1, Figure 4-5. Facility Information
Page).
Greyed out data entry boxes indicating where data is not expected to be changed by the user
(Section 4.2.1, Figure 4-6, for example).
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•
•
•
•
•
•

•
•

Asterisk “*” symbols indicate required data fields. Error messages for missing data fields and for
data fields that are conditionally required (for example, entering one data field may require
entry of a companion data field)
Question mark icons next to data fields to explain what they are and how to use them. In
addition, the glossary in the help section contains all these definitions and can be downloaded
for your reference.
Drop down menus for data entry boxes to assist the user in entering the relevant data without
errors (Section 4.2.1, Figure 4-6 for example).
Pop-up windows directing the user to make a choice or enter specific information related to the
page the user is in (Section 4.2.1, Figure 4-7, for example).
Data entry quality checks (warnings in purple, critical errors in red) to help the user to address
issues and corrections before submission (Section 4.2.2, Figure 4-11, for example)
“Trash can” icons to delete specific sub-facility components. These are not to be used when that
component existed in a previous submission. If data was entered in error during the current
submission, the trash can should be used. If the data existed in a previous submission, then the
component operating status should be changed to temporarily or permanently shut down (as
the case may be), and the year of that change should be recorded as well (Section 4.2.1, Figure
4-6 for example).
Links for sub-facility components on lists to indicate when the user can edit them from there
(Section 4.2.2, Figure 4-10, for example).
Process of adding sub-facility components. These must be added first before they can be
associated with other components. When a component is added as new, the associations won’t
show up on the screen for that component until the component information has been filled out
and saved (for example, compare screens for Figure 4-11 and Figure 4-13 in Section 4.2.2).
Then, the component page can be re-opened and boxes for the associations will appear.

4.1.2 Emissions Reports Page
From “My Facilities”, click on Begin/Continue Reporting. This will take you to the “Emissions
Reports” page, where you can see all the reports for that facility (See Figure 4-1 for a new report, and
Figure 4-2 for a report in progress). The CAER system will contain your report from the last year you
submitted one, which will serve as a starting point for you to begin a new report for the current
inventory year you are reporting. Note: For facilities reporting to GADNR, make sure to see section 3.4
for Georgia’s op-in/opt-out process before you proceed with this section.
From this screen you have options to work on your report as follows:
•

•

If you will be reporting via the UI or Bulk Entry:
o To start your current report, click on “Create New Report” (Figure 4-1) to start
reporting. This will prepopulate your current year report with your previous year data.
You will be re-directed to the facility “Report Summary” page. If your facility has control
equipment, you should also familiarize yourself with Appendix A before beginning a
report.
o To continue your current report if you have already started it in a previous session, click
“Continue” to be redirected to the UI (Figure 4-2).
If you will be reporting using Bulk Upload:
o You can download your previous year data in the pre-formatted template. This can be
used as a starting point to edit and enter your current year report. If you are using bulk

•
•

upload to enter your report, refer to Section 5 and, if your facility has control
equipment, refer to Appendix A before beginning a report.
o Once you’ve filled out your template with your current report, you can upload it from
this screen as well by clicking on “Upload Report”.
If you would like to view a previous year report, you can click on “View” to enter the UI and see
the report without modifying it.
If you find that your current year report is in error and would like to start over, you can click on
the “Delete” button. Note that if you delete a previous year report, you will not be able to get
that data back easily and recovery may take several weeks. If you have any doubts, download a
copy of your current report in the bulk upload template before you click “Delete” to ensure you
can save this information.

Note that, at this time, you will not be able to re-submit a previous year report for a previous reporting
year.
Figure 4-1. Begin Emissions Report

Figure 4-2. Emissions Report Page

4.1.3 Report Summary Page
Once you have selected a facility and report from the “My Facilities” page, you will be taken to a
“Report Summary” page (Figure 4-3). Your new report will be preloaded based on your previous year
submission, and include a list of pollutants for that facility, the reported emissions in the current report,
and the tons for each pollutant that were reported in your facility’s previous submission.
Figure 4-3. Facility Report Summary Page

You will see breadcrumbs in the dark blue bar at the top of the screen. These display the path that got
you to the current screen from the “My Facilities” page. By clicking on any of the links, you will be
returned to a previous page. For example, from “2022 Emissions Report” you can click on “Emissions
Reports” to be taken back to that page.
Below the breadcrumbs, at the top center of the screen, you’ll see a bar showing the four main steps of
submission that will help guide you through the submission process:
•
•
•
•

Report Facility & Emissions Information,
Perform Quality Checks,
Submit to SLT (your State, Local, or Tribal) Authority, and
Approved by SLT Authority.

On the left-hand side you will see an expandable menu with links that will take you to different pages:
•
•
•
•
•

Report History (shows a list of actions associated with the report over time and who performed
them, for example, when it was created, submitted, whether the SLT has approved it).
Quality Assurance (QA) Checks (takes you to the list of QA checks that your report, as it stands,
is currently generating) see Section 7.
Data Bulk Entry (takes you to the bulk entry tabs).
Facility Inventory data (with summary pages at different levels of detail: facility information,
emissions units, release points, control devices, control paths) see Section 4.2.1.
Emissions Inventory (a collapsible list of units that you can expand to view the processes
associated with each unit) see Section 4.3.

4.1.4 Including an Attachment in Your Report
You can add a file to your report to explain your calculations where CAERS has not done the
calculations for you (e.g., when your estimation method is mass balance, engineering judgement, or the
emission factor you are using is not listed in the CAERS menu). To attach a file to your report, go to the
“Report Summary” page from the left-hand side menu. Below the “Report Summary” section you will
see a section titled “Preparer/NEI Certifier Attachments”. Click on the “Attach Report Document” on the
bottom right of that section (see Figure 4-4). A window will pop up where you will be able to enter
comments if needed, and then select the file to attach by using the “Browse” button to find and retrieve
your attachment. Click “OK” when you have selected the right file to attach. Your SLT may require that
the attachment should show the formulas and their application in an excel file. For your SLT, a verbal
description may not be sufficient, as your SLT should be able to verify your estimates. Please be advised
that if you do not submit your attachment in the format your SLT requires, this may result in your report
being rejected and sent back to you automatically.

Figure 4-4. Including an Attachment

Once you have attached the file you will see it listed in the attachments section. It will also appear listed
in the “Report History” page that you can get to from the left-hand side menu of your screen.
If you need to remove an attachment, from within the “Report Summary” page, click on the garbage
icon to the right of the document attachment name. You will be asked to confirm the deletion. Once
deleted, the attachment will no longer appear in the list of attachments. However, a record of the
attachment upload and its removal will appear in the “Report History” page to help you keep track of
your work and ensure you have the most updated attachment you wish to submit with your report.

4.2 Facility Inventory
4.2.1 Facility Information
From the left-hand side menu, click on “Facility Inventory” to expand that menu. Click on
“Facility Information” to get to the facility information screen (Figure 4-5).

Figure 4-5. Facility Information Page

You will be able to edit facility information by clicking on the “Edit” button at the far right, which will
take you to the facility information edit page (Figure 4-6). Note that fields that have been locked will
not be editable. They will appear in gray. You should contact your SLT authority (for example, GA DNR)
if you think there is an error in locked fields. A gray arrow within a data field box indicates a drop-down
menu is available to choose your entry.
•

Facility Operating Status: If the facility operated partially in the reporting year and was
permanently shut down in the reporting year, you will need to leave the “Operating” status
unchanged for the year you are reporting and change it the following reporting year. For
example, if the facility operated in part in 2019 and shut down for the rest of 2019, you would
change its status to permanently shut down in your 2020 inventory year report but would have
it as operating in 2019. Once you change the operating status to “Permanently Shut-down”, all
units, processes, control devices, and release points will also be automatically set to
“Permanently Shutdown”, and you will no longer be able to enter data for the facility. The
operating status year can be set to a year in the past, but not if emissions were reported in that
year in a previous year report. An operating facility that reported 0 emissions in a previous year,
will still be considered “Operating”, so you should ensure consistency in your reports over time.

Figure 4-6. Editing Facility Information

•

Adding NAICS Codes: Under the “Facility Information” box, you will be able to add a NAICS code
if your SLT allows it. More than one NAICS are allowed as secondary and tertiary NAICS codes,
but a single NAICS should be designated as the primary NAICS code. When you click the “+”
button at the bottom right of that box, a pop-up window will appear to help you search for your
NAICS (Figure 4-7). Type the digits of your NAICS and a menu for the NAICS that contain those
numbers will appear to help you select the correct code (Figure 4-8). Once you’ve selected your
NAICS, click the “Submit” button. If you have questions about NAICS you can reference the U.S.
Census Bureau. NAICS change every 5 years. For inventory year 2022 NAICS are being updated.
If you have an outdated NAICS the system will indicate this to you.
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If your SLT does not allow you to edit the NAICS and you have an outdated or incorrect NAICS,
you should reach out to them to make the correction before you certify and submit.

Figure 4-7. Edit Facility NAICS codes

Figure 4-8. Find and Select NAICS Code

•

Facility Contact Information: Below the NAICS code box, you should find the “Facility Contact
Information” box(es). Note that if you have not submitted information to CAERS before, no
boxes will be displayed yet. You can enter as many contacts for the facility as you need. For
29

example, you may enter a point of contact as the facility expert on emissions inventory criteria
pollutant questions, and another for the Toxics Release Inventory expert. Click on the “Add
Facility Contact Information” at the bottom right of the screen to open a window to enter new
facility contact information (Figure 4-9). Enter all relevant information such as name, number,
and make sure to select a “Contact Type”.
You will be required to enter at least one contact for Emissions Inventory (EI) reporting. This
should be the person that your SLT authority can reach out to if they have questions about the
submission. If a contact person for the NEI is missing, a QA error will appear at the top of the
“Facility Information” page. For the NEI contact select contact type: “Emissions Inventory”.
Click “Save” after adding the information. The application will automatically take you back to
the “Facility Information” page and you should be able to see your contact information
displayed at the bottom of the page. You can also edit an existing contact by clicking on the
“Edit” button for that contact. This will take you to that contact’s edit page where you will be
able to make changes.
Figure 4-9. Enter Facility Contact Information

4.2.2 Emission Units Page
From the left-hand side menu, click on “Emissions Units” to go to a list of units in your facility
(Figure 4-10).

•

To add a unit, click on the plus sign at the bottom of the list. This will take you to a blank unit
page (Figure 4-11). Add all the data fields. Messages will appear where required information is
missing. When you have entered all unit information, click “Save” and this will take you back to
the Units page. After you have finished with your entries or edits, click “Save” to go back to the
“Emissions Units” page. Your new unit will now be listed on that page as an existing unit. If you
are entering new unit data and find you have begun entering it in error, click “Cancel” to take
you back to the “Emissions Units” page without saving any edits. You should consult with your
SLT on what should be used to determine a “Unit ID,” such as what is listed in a permit, etc.
before assigning an ID to a new unit.

Figure 4-10. Emissions Units Page

Figure 4-11. Adding a New Unit

•

To edit an existing unit, from the “Emissions Units” page click on the corresponding unit ID from
the list of units to be taken to that unit’s page (Figure 4-12). On the unit page, you’ll see the
“Emission Unit Information” box. Click on the “Edit” button at the top right of the screen to
make changes to the emissions unit information. This will take you to that unit’s edit screen
(Figure 4-13). When you are finished with your edits click “Save” to take you back to the
“Emissions Units” page. If you entered data by mistake, click “Cancel”, the changes will not be
saved, and you will be returned to the “Emissions Units” page.

Figure 4-12. Example of a Page for a Specific Unit

Figure 4-13. Editing a Unit

•

To delete a unit, you should only delete a unit using the garbage can icon if you added it to this
year’s report and that addition was an error. If the unit existed in a previous year’s report and is
32

•

no longer in use for the entirety of this reporting year, you should click on its ID and change its
status from “Operating” to “Permanently Shutdown” and mark the status year as the year when
it was shut down. If the unit operated part of the reporting year and then was permanently shut
down, then the unit is considered as operating during that reporting year and should be marked
as permanently shut down the next year.
Important additional considerations about units:
o New but inactive units: Please do not create a new unit and then mark it as temporarily
or permanently shut down. If you have a new unit that will report emissions in a future
year, add it in that future year report.
o Relabeling pitfall: Please do not relabel current units in the bulk upload template with
new ID’s. The system will not recognize these units as existing, effectively adding units
to your facility instead of simply replacing the ID’s. If you do, your facility inventory of
record with EPA will reflect additional units and potential emissions that do not really
exist in your facility. Your efforts in this regard will help us keep your facility inventory
up to date.
o Choosing IDs: If your SLT allows it, the reporter can choose the ID for the unit. There is
a requirement that no two units be labeled with the exact same ID. You should choose
ID’s that you will not find confusing to use in future.
Editing processes: At the bottom of each unit’s page, you will also see processes and controls
associated with that unit. You can add, edit, or delete processes associated with this unit from
this page by clicking on the process ID. See section 4.3.2 to learn how to add, edit, or delete
processes.
Editing controls: You can also edit controls from this page. Note that if no controls appear on
the unit’s page, but there are existing controls that should be associated with this unit, you must
add those controls to the system first. They will appear on this unit page once you have done
so. See section 4.2.4 to learn how to add, edit or delete controls.

4.2.3 Release Points Page
From the left-hand side menu, click on “Release Points” under the “Facility Inventory” heading.
You will see a list of release points associated with the facility (Figure 4-14).

Figure 4-14. Release Points Page

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To add a new release point, click on the “+” sign at the bottom right of the list. This will take
you to a blank release point page. Enter all relevant information. Messages will appear for
required fields. Dropdown menus are available for some data fields by clicking on the arrow in
the data field box (Figure 4-15). Click “Save” to take you back to the “Release Points” page.
Your new release point will now appear in the list of existing release points. If you entered new
release point data by mistake, click “Cancel” so the changes will not be saved. You will be taken
back to the “Release Points” page. Consult with your SLT on what should be used to determine
a “Release Point ID,” such as what is listed in a permit, etc.
To edit an existing release point, click on the release point ID from the list of release points.
This will take you to that release point’s information page (Figure 4-16). Click on “Edit” at the
top right of the screen for that release point. You will also be taken to the release point page
where you will enter all relevant information about that release point (Figure 4-17). A gray
arrow icon next to a data field indicates a drop-down menu that will allow you to make a choice.
Consult with your SLT before attempting to edit the ID of an existing release point in case the
SLT has requirements on how those IDs should be set, and whether they should be modified.
To delete a release point, note that the garbage can icon on the “Release Points” page should
only be used if you added a release point by mistake during this submission. If you are retiring a
release point that existed in a previous report, then you must go into that release point’s screen
by clicking on the release point ID from the list and change the operating status to “Permanently
Shutdown”.
Important additional considerations about release points:
o New inactive release points: Please do not create a new release point and then mark it
as temporarily or permanently shut down. If you have a new release point that will
report emissions in a future year, add it in that future year report.
o Relabeling pitfall: Please do not relabel current release points in the bulk upload
template with new ID’s. The system will not recognize these release points as existing,
effectively adding release points to your facility instead of simply replacing the ID’s. If
you do, your facility inventory of record with EPA will reflect additional release points

and potential emissions that do not really exist in your facility. Your efforts in this
regard will help us keep your facility inventory up to date.
Choosing IDs: If your SLT allows it, the reporter can choose the ID for the release point.
There is a requirement that no two release points be labeled with the exact same ID.
You should choose ID’s that you will not find confusing to use in future. Consult your
SLT on any rules the SLT may have regarding IDs. For example, the SLT may want your
release point to be labelled by a specific naming convention.

Figure 4-15. Adding a New Release Point

On an existing release point’s page, you can view processes and controls associated with that specific
release point. See Section 4.3.2 on how to edit processes and Section 4.2.4 on how to edit controls.
Once you have done so, they will appear in the release points page.
Figure 4-16. Example of a Page for a Release Point

Figure 4-17. Editing a Release Point

4.2.4 Control Devices Page
Appendix A in this document explains the concepts surrounding controls. You should familiarize
yourself with that section before proceeding to set up your facility’s controls. Depending on your
control set up, you will have the choice to work in the control device effectiveness and control device
pollutant removal efficiencies of your control equipment either at the individual control level, or at the
path level. While you are highly encouraged to provide the data at the individual equipment level, a
very complex control set up with combinations of controls in sequence and in parallel may make it more
tenable for you to report control efficiencies at the path level. Your SLT may require you to provide
more detailed information, so you should check with your SLT authority before creating the controls and
control paths portion of your emissions report.
From the left-hand side menu, click on “Control Devices” under the “Facility Inventory” heading. Once
you have entered control equipment data, you will see a list of control devices associated with the
facility (Figure 418).
Figure 4-18. Control Devices Page

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To add a new control device, click on the “+” sign at the bottom right of the list of controls. This
will take you to a blank control page (Figure 4-19). As with other sub-facility components, dropdown menus are available for fields that require a selection. For example, to select the
operating status click on the gray arrow icon. Note that the control ID for each individual
control must be unique within the facility. On the control’s page, you will add the percent
effectiveness. To ensure adding all relevant information, QA check messages will appear for
data fields that are required, for value ranges (for example, percent effectiveness must be less
than 100%), and for other errors. Click on “Save” to add the new control to the list of existing
controls. Now that the control has been added to the list of controls, you can edit it and
associate it to paths and pollutants.
To edit an existing control device, click on the control device ID from the list of controls. This
will take you to that control device’s information page (Figure 4-20). Click on “Edit” which will
open the edit screen for the control (Figure 4-21).

Figure 4-19. Adding a New Control

Figure 4-20. Example of a Page for a Control Device

Figure 4-21. Editing a Control Device

To associate a pollutant with this control device, click on the “+” sign at the bottom right of
the “Control Device Pollutants” box. You will be taken to a pop-up window that will allow
you to select a pollutant. Start typing the name of the pollutant or its abbreviation (for
example, PM) and a list of possible pollutants will appear for you to make your selection
(Figure 4-22). When you have chosen the pollutant and entered the control percent
reduction efficiency, click “Save” and you will be returned to the control device’s
information page. Now, the pollutant you entered will appear in the list of pollutants.

Figure 4-22. Associating a Pollutant and Control Efficiency to a Control Device

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Control device assignment: The Control Device Assignment box will show the components that
are related to the control. For example, it will show the release point, emission unit, and
emission process that are used by the control. You cannot do edits on this list in this screen.
Instead, you may associate the control with these components through the Control Paths page
(see Section 4.2.5).
Paths associated with this control: The path(s) that contain this control are also listed on the
control device’s page. These are also not editable from this screen. You must go to the Control
Paths link on the left-hand side menu on your screen to edit paths (see Section 4.2.5).
To delete a control device, if you find you have started to enter a new control in error, you can
click “Cancel” to avoid saving the changes, and you will be returned to the “Control Devices”
page. Please do not delete a control device if it was reported in a previous year. Instead, mark
it as temporarily or permanently shut down to avoid having it remain idle in your facility
inventory.
Important additional considerations about control devices:
o Finding individual control equipment information: Resources to find out information about
your control release point apportionment (previously control capture efficiency) and control
efficiency can include vendor specifications, and trade associations that may be able to
provide you with averages for the industry. However, you should consult with staff at your
SLT with your questions about controls and your planned approach to make sure they
approve of it before you have submitted the data.
o Use of the control efficiency percentage: Note that the overall percent controlled, as
described in Section 4.3.2.2, will be the value factored into the emissions calculations when
the calculation method calls for its application. For example, the overall control % will not
be applied to your calculations if you are reporting stack test data.
o New but inactive control devices: As with other sub-facility components, please do not
create a new control device in your report, and then mark it as temporarily or permanently
shut down. If you have a new control device that will report emissions in a future year, add
it in that future year report.
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Relabeling pitfall: Please do not relabel current control devices in the bulk upload template
with new ID’s. The system will not recognize these controls as existing, effectively adding
control to your facility instead of simply replacing the ID’s. If you do, your facility inventory
of record with EPA will reflect additional controls and potential emissions that do not really
exist in your facility. Your efforts in this regard will help us keep your facility inventory up to
date.
Choosing IDs: If your SLT allows it, the reporter can choose the ID for the control
equipment. There is a requirement that no two control devices be labeled with the exact
same ID. You should choose ID’s that you will not find confusing to use in future. Consult
your SLT on any rules the SLT may have regarding IDs. For example, the SLT may want your
control device to be labelled by a specific naming convention.

4.2.5 Control Paths Page
To report control devices, these must be associated with specific paths. Appendix A in this
document explains the concepts surrounding controls and control paths. You should familiarize yourself
with that section before proceeding to set up your facility’s control paths.
By clicking on the left-hand side menu, click on “Control Paths” under the “Facility Inventory” heading.
You will be taken to the control paths page (Figure 4-23), where you will be able to see a list of control
paths associated with that facility. If the first time you are reporting paths, you will not see any paths
displayed, and you will be creating paths and populating that list from this screen.
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To add a new control path, click on the “+” sign. This will take you to a blank path page (Figure
4-24). You will be asked to enter a Path ID, which should be unique within the facility, and a brief
description to help identify which path it is. Click “Save” and this will take you back to the Control
Paths page. Now your new path will appear on the list of existing paths, and you will be able to
edit it.
To edit a control path, click on its ID from the “Control Paths” page and you will be taken to that
path’s information page (Figure 4-25). Click on “Edit” to edit the path information (Figure 4-26).
When you are finished with your edits click “Save”. This will take you back to the information
page for that path. If the changes are an error, you can click “Cancel”.
o Adding control devices to a path: Click on the path you want to add controls to from the
"Control Paths” page. This will take you to that path’s information page (Figure 4-25). On
the bottom right of the “Control Path Assignment” box, click on the “+”. This will take you
to a pop-up window that will allow you to place either a control or a child path into the path
you are editing (Figure 4-27). Enter the sequence number for its position in the path with
respect to other controls. For example, if it is the second control device in the path you will
enter 2.
Next, enter either a control device or a control path (you must select one or the other, but
not attempt to enter both a control and a path here). Drop-down menus will allow you to
select either an existing control device or an existing path. Note that you must enter the
controls first, so they will appear in the corresponding menu. You must build children paths
first, then create parent paths that contain child paths.

Figure 4-23. Control Paths Page

Figure 4-24. Adding a New Path

Figure 4-25. Example of a Page for a Control Path

Figure 4-26. Editing a Path

Figure 4-27. Adding a Path Assignment

Enter the control apportionment percentage. For example, if the control device or path you
have selected will be first in the sequence and will be receiving 100% of the emissions from the
emissions process, you would enter 100. If a control receives all emissions from the previous
control device or path in the sequence, enter 100. If the control will be receiving 50% of the
emissions from the previous control or path in the sequence, enter 50. Click “Save” to go back
to that path’s screen. Your assignment should appear in the list of assignments.
Here is an example of how data would be entered for a facility with complex controls (also see
the example facility in Appendix A, 11.2A. 4). For the example facility, controls are configured as
shown in Figure 4-28. Additionally, Control Device 1 sends 60% of its emissions to Path 1 and
40% of its emissions to Control Device 3. Controls 2 and 4 are configured in sequence and
would be added to Path 1 from Path 1’s screen as shown in Table 4-1. In Path 2, Path 1 and
Control 3 run in parallel and thus, have the same sequence number. Path 2 would include the
following as shown in Table 4-2 where Path 1 and Control 3 have been highlighted.

Figure 4-28. Example of a Facility with Complex Controls

Table 4-1. Example of Data Entry for Controls in Sequence for Path 1
Control or Control Path
Control 2
Control 4

Sequence Number
1
2

% Apportionment
100
100

Table 4-2. Example of Data Entry for an Assignment including a Control and a Path Running in Parallel
for Path 2
Control or Control Path
Control 1
Path 1
Control 3
Control 5
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Sequence Number
1
2
2
3

% Apportionment
100
60
40
100

To associate the control path to one or more processes and release points, select the relevant
unit from the “Emissions Inventory” menu on the left-hand side or from the list in the “Emissions
Unit” page under “Facility Inventory”. Then, choose the relevant process for that unit that you
want to associate and follow the instructions in Section 4.3.2 on how to associate release points
with processes.
Important additional considerations about control paths:
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Relationship between control devices, children, parent, and main path: It is important to
remember that a path can include one or more controls as well as another path. While
there may be many “children” paths within “parent” paths, there should be one main path
between each process, and the controls between it and its release point(s). As you create
paths, keep in mind that while one path may contain other paths, ultimately, you will want
to ensure that you’ve created a path that includes all controls leading from any process to a
release point. Each relationship between an emissions process and a release point (i.e., the
release point apportionment) can only be associated with one control path. All processes
from a unit to a release point can share the same path.
Relabeling pitfall: Please do not relabel current control devices or control paths in the bulk
upload template with new ID’s. The system will not recognize these controls as existing,
effectively adding control to your facility instead of simply replacing the ID’s. If you do, your
facility inventory of record with EPA will reflect additional controls and potential emissions
that do not really exist in your facility. Your efforts in this regard will help us keep your
facility inventory up to date.
Avoid idle paths: Empty paths add unnecessary data to your report. You are encouraged to
create only paths that contain controls in them and avoid creating empty paths.
Choosing IDs: If your SLT allows it, the reporter can choose the ID for the control path.
There is a requirement that no two control paths be labeled with the exact same ID. You
should choose ID’s that you will not find confusing to use in future. Consult your SLT on any
naming conventions they may require you to use to label control paths.

4.3 Emissions inventory
The left-hand side menu of the application shows a list of units for the facility under “Emissions
Inventory”. You can click on the arrow to the left of the Unit ID to show a list of processes associated
with that unit. Click on any one of those units or processes to show the unit’s information.

4.3.1 Units
Click on the unit you are interested in. This will take you to that unit’s information page. Click
on the “Edit” button at the top right of the screen to make changes to the emissions unit information.
For more information on adding or editing a unit, see Section 4.2.2.

4.3.2 Processes
From the left-hand side menu, click on the relevant unit. Once you are in that unit’s information
page, you will be able to add or edit a process.
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To add a process, click on the “+” at the bottom of the list of processes in the “Processes
Associated with this Emissions Unit” box. This will take you to a process page (Figure 4-29) where
you can enter all relevant information for that process. Drop-down menus will assist you in
selecting some data fields. Error messages will appear for items that have been entered
incorrectly or for missing fields that are required.

Figure 4-29. Adding a New Process

Note that your process Source Classification Code (SCC) can be found via search. Click on the
“Search for SCC Code” button and enter a search term (for example, boiler). The search will be
performed and return a list of options for you to choose from. Click on the SCC you want to use.
Note that the SCC Level descriptions for that code will pre-populate in the SCC Description box.
You may also enter an SCC if you already know it (for example, 10100201). See Figure 4-30.
The form will crosscheck that the code you are entering is a valid point source code and is a
code that has not been retired before the inventory year you are reporting. A warning will be
displayed if the selected SCC is being retired the year of your report, or in the future, but you
will still be able to use that code. However, if the SCC you select was retired before the year of
your report, you will see a critical error. If you want to see a full list of codes or perform
different searches, go to https://epa.gov/scc.
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Figure 4-30. SCC Search

Once you add a process, it will appear in the list of processes associated with that unit on the
unit’s information page.
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To edit a process, from the unit’s information page, you can also edit a process. Click on the
process you want to edit. This will take you to a page with all the information about that process
(Figure 4-31). Click on the “Edit” button at the top right of the screen to make changes to the
process information (Figure 4-32). You can edit operating details and reporting period
information by clicking “Edit” in each of those boxes. Note that this version of CAERS is for annual
reporting only. Future versions of the system will offer more reporting periods. Click “Save” when
your edits are finished. Click “Cancel” if you find your edits are an error and wish to discard them.
o Editing throughput: When throughput for a process is changed, the CAER system will
automatically calculate the emissions for all pollutants associated with the process, where
this is possible given the calculation method selected for each pollutant. A message in a
green box will appear at the top right of the screen indicating that calculations were
successful. If a calculation is not possible, an orange or red box will appear with an error
message indicating the problem encountered with the calculation.
o Entering fuel data: Certain fuel-based processes must be reported by using the fuel
material listed in the description. You will be asked to enter the fuel (e.g., diesel, natural
gas, anthracite) as per the fuel listed for the process SCC, the amount of fuel used (value),
and that fuel’s heat content, together with units of measure. Because it is highly likely that
the fuel material you report will be the same as the throughput material you would have
reported, you can enter the fuel and then copy it as the throughput material for that
process. To do so, click on “Copy Fuel Data to Throughput Data Fields”. Check that the fuel
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type and units of measure match the fuel listed in the SCC. For example, SCC 10200101 has
the following description: External Combustion, Industrial: Boilers, Anthracite Coal,
Pulverized Coal. The fuel reported would be “Anthracite”, and it is likely that you would
have listed the throughput material for this SCC as “Anthracite” so you can simply click to
copy it in. You might, in addition, choose to use an alternative throughput for one of the
pollutants for this process in order to use an emission factor to match that alternative
throughput, as described in the next bullet. Refer to Appendix C, Section C.1 for default
heat content values. CAERS will prepopulate the default heat content value if the units of
measure the user enter match up exactly to those as listed in the default heat content list.
Entering alternative throughput: When using emission factors with different materials
and/or units of measure for different pollutants for the same process (SCC), CAERS allows
you to enter an alternative throughput. CAERS will create a copy of your original process
when you click on the “Add Alternative Throughput for this Process” button at the top of the
screen for that process. A pop-up window will appear, asking if you are sure this is what you
want to do. If you accept, you will be taken to a new screen where all your process data has
been prepopulated for you except for the process ID, throughput data fields, and emissions.
From there, you can enter a new ID, your alternative throughput data, and list the pollutants
for which you’ll be using this throughput to calculate emissions.

Figure 4-31. Example of a Page for a Process

Figure 4-32. Editing a Process

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To delete a process, from a unit’s page, you should only delete a process using the garbage can
icon if you added it to this year’s report and that addition was an error. If the process existed in a
previous year’s report, and is no longer in use, you can click on its ID and change its status from
“Operating” to “Permanently Shutdown”. Once you have done so, the data on the operating
details and reporting period for that process will be hidden from view. However, the “Release
Point Apportionment” and “Controls Associated with this Process” will remain.
Other items in the process page: In this page you will also see pollutants, release points, and
controls associated with the process.
o To add a release point to a process, see Section 4.3.2.1. Associated control paths and
controls will appear once the process has been associated to the release point as described
in Section 4.3.2.1.
o To add pollutants to a process, see Section 4.3.2.2.
o To add controls, see Section 4.2.4.
Important additional considerations about processes:
o New but inactive processes: As with other sub-facility components, please do not create a
new process in your report, and then mark it as temporarily or permanently shut down. If
you have a new process that will report emissions in a future year, add it in that future year
report.
o Relabeling pitfall: Please do not relabel current processes in the bulk upload template with
new ID’s. The system will not recognize these processes as existing, effectively adding
processes to your facility instead of simply replacing the ID’s. If you do, your facility
inventory of record with EPA will reflect additional processes and potential emissions that
50

do not really exist in your facility. Your efforts in this regard will help us keep your facility
inventory up to date.
Choosing IDs: If your SLT allows it, the reporter can choose the ID for the process. There is
a requirement that no two processes for the same unit be labeled with the exact same ID.
You should choose ID’s that you will not find confusing to use in future. Consult your SLT on
any naming conventions they may require you to use to label processes.
Caution with processes for alternative throughput: When using the alternative throughput
option, the system will recognize that the new throughput is in a copy of an existing process.
Be careful not to alter the process copy, or the system may interpret it as a different process
and flag it for any relevant errors. Additionally, if the copy process is altered, and it is for an
SCC where fuel is required, the system will require you to enter fuel use for that process
again, and fuel use will be double counted. Similarly, a process copy should only list the
pollutants that are using the alternative throughput, otherwise, emission from pollutants
may be compounded.

4.3.2.1

Associating a Process to a Release Point
Go to the process information page (Figure 4-31). You can get there by clicking on the
corresponding unit from the left-hand side menu, and then clicking on the relevant process ID. First, in
the “Release Points Associated with this Process” box, click on the “+” sign to add a release point
associated with the current process. A pop-up window will appear requesting information about the
release point, and the percentage of the process’ emissions being directed to that release point (Figure
4-33). If there are no controls between the process and a release point, you do not have to enter a
control path. You will simply apportion the corresponding emissions to the release point.
If there are controls to associate the control path to one or more processes and release points, you
should associate them here. Note that the control and path assignments should have been defined
before attempting this step (Sections 4.2.4 and 4.2.5). This will allow you to select from existing release
points, and control paths. All emissions from the process must be apportioned to a release point so that
100% of total emissions have been assigned to one or more release points.
Figure 4-33. Release Point Apportionment

After entering the relevant information, click “Save”. Now you will be able to see, in the “Controls
Associated with this Process” box at the bottom left of the screen, the path you have associated with
the release point and process.
You will not be able to edit the controls associated with the process from this page. If you need to edit
the controls and/or paths, you must ensure you have entered the relevant control devices and their
paths as in the steps described above, and that you have associated them to the relevant process.
4.3.2.2

Entering and Calculating Emissions
In the page for that process, go to the “Emissions Associated with this Process” box in the lower
left side of the screen (Figure 4-32). Click the “+” sign to add emissions. This will take you to a new
pollutant page (Figure 4-34). In the “Pollutant” data field start typing in the name, code, or CAS number.
The form will assist in finding the name of the pollutant. Once you have found the pollutant you are
looking for, select it. The form will then prepopulate the other pollutant data fields: Pollutant Code,
Pollutant Name, and CAS ID if it exists. For example, typing in sulfur will render Sulfur Hexafluoride –
SF6, and Sulfur Dioxide – SO2-9-5-7446. Note that some pollutants, such as Volatile Organic Compounds
(VOC) do not have a CAS number because they are groups of pollutants, as opposed to single pollutants.
You will still be able to select such pollutants even if the CAS number field appears blank.
EPA augments triannual reports to reflect Hazardous Air Pollutants (HAPs). Alternatively, if you wish to
reflect your own HAP calculations instead of EPA’s, you will be able to do so by entering your own HAP
data when entering pollutant emissions (see Section 4.3.2.2). You are encouraged to provide HAP
information even if your SLT does not require it, so that you avoid EPA having to estimate that
information, which may not be as accurate as your own information.
Note that for any estimation method that does not involve an emission factor and thus, does not occupy
the CAERS calculator, you will be required to enter a comment and provide an attachment. Only one
attachment is required for your entire report, but it should contain an explanation of each of the
situations where a factor was not used. Check with your SLT staff to ensure you provide them with the
information they require before creating the attachment and submitting it with your report, and in the
correct format they require. Your SLT may require, specifically, that your attachment be an excel file
showing all the data used in your calculations so that the SLT staff person can replicate your estimates.
If you do not provide all the relevant information, your SLT may return your report to you.

Figure 4-34. Adding a New Pollutant

Next, select calculation method from the drop-down menu (Figure 4-35). The form will require the user
to enter specific data fields according to the calculation method selected.
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Using emission factors: There are multiple options in CAERS for using emission factors.
o If you have selected a U.S. EPA Emission Factor, the form will allow you to search for an
emission factor by clicking on the corresponding box under the calculation method. EPA
emission factors in CAERS can also be searched in US EPA’s WebFIRE. However, the list of
EPA emission factors in CAERS may not contain factors listed in WebFIRE if those factors are
of a quality “U”. CAERS Version 4 will show if an emission factor has been revoked, and is
thus, no longer appropriate to use. For an EPA Emission Factor to be used in CAERS, the
SCC, pollutant and units of measure listed for the emission factor must match with the
throughput units of measure and pollutant you are reporting exactly, or the units of
measure must be easily convertible so that CAERS can do the conversion for you. For
example, you may use an emission factor in tons/pound, for throughput measured in
pounds, or any weight unit of measure that can be converted into from pounds. You may
not be able to use a factor in tons/gallon when your throughput is in hours. Finally, you may
not be able to use an emission factor if the SCC listed for that factor has been retired. If you
and your SLT, in consultation with EPA, determine that an EPA factor from a retired SCC is
still valid and can be used for a process, you should select “Other Emission Factor” as your
calculation method and enter it there. We encourage you to discuss this with your SLT staff
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before you enter the data to your report to avoid having the report sent back to you for
corrections. Some emission factors have been corrected by EPA, and you may get an error
message requiring you to review your existing factor or select a new one. If you feel there
are errors in an emission factor listed in CAERS, please reach out to your SLT. For EPA
factors, the system will flag a factor from your previous year report, or upon bulk upload, if
it doesn’t recognize the factor you have used as an EPA factor. If that is the case, you should
search and select the correct factor or select another calculation method.
S/L/T Emission Factor can be used as well by entering an SLT specific and SLT approved
emission factor for your process. CAERS will prepopulate SLT factors from other states if
your SLT allows you to use them, you can select your factor from there or enter it yourself.
You should discuss the factor you intend to use if selecting this option with your SLT to
ensure it is appropriate for use with your process.

Figure 4-35. Selecting a Calculation Method

Formulas: Note that some factor searches will return formulas. The form will require
the user to then supply additional parameters for that formula. For example, sulfur
content %. If the emission factor units of measure (UoM) are different from the
throughput UoM’s, the form will return an error. However, the form will perform a
simple conversion for units of the same kind (for example, weight UoM conversions
from lbs to tons). See Appendix B for more information on conversions in CAERS. After
entering all required fields, click on “Calculate Emissions” and the form will calculate the
emissions for you. A green confirmation message at the top right of your screen will

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appear to indicate the calculations have been performed. Click “Save” to be taken back
to the emission unit information page.
o EPA Factors requiring additional explanation: If you have selected an EPA emission
factor because one exists but its use is not straightforward you can check the box “I
prefer to calculate the total emissions of this pollutant” located under the Emissions
UoM box, and the calculator will disengage. If you disengage the calculator, you must
enter a description of your calculation process in “Description of Calculation” box and
add the explanation in the attachment to justify the use of an alternative emission
factor or total emissions you calculated (Figure 436). EPA factors that may fall under
this category include, for example: factors for retired SCCs being used for a new map to
SCC, factors within range where the factor is listed as being a mid-range value, or as
being expected to be lower than the value listed, factors not available through the
CAERS search feature but that exist in AP42 (consult WebFIRE and make sure that those
factors have not been either revoked, or marked as lower quality).
Controls: If controls are present (associated with this process via a path), enter the overall control
efficiency for the path in the “Overall Control %” box so that CAERS can calculate the post-controls
emissions for you. For a single control this is equal to the multiplication of: (percent capture) x
(percent effectiveness) x (percent efficiency). Note that this will happen if you are using a precontrol emission factor only. For more than one control (including control paths) it is the total
percent of the pollutant that is removed by the controls (or control paths). You should reach out
to your SLT if you have questions about how to calculate this value for your specific control device
configuration. For a numerical example on controls and how the different percentages are used
to calculate emissions, see Appendix A, Section A.6.

Figure 4-36. Using EPA Emission Factor Alternative

5 Reporting Emissions and Facility Information Using Bulk Upload
5.1 The Bulk Upload Excel Template
If you will have relatively few changes between your previous year report and your current year
report, we encourage you to use the user interface instead of bulk upload (BU) because this may be
more time saving for you in the longer term. If you have a variety of changes, and/or your facility is very
large, BU may be the best choice for you. You should familiarize yourself with this section of the
instructions before beginning any data entry. There is a special template for bulk upload in Excel format.
You should use extreme care when entering data into the spreadsheet making sure you have not
created an error in the template inadvertently. This section will help you avoid errors that will be time
consuming to you. You should also consult the checklist in Appendix D at the back of this user guide
before submitting your data.
Before you download your excel template, if you have submitted a previous year report, we strongly
encourage you to run the Quality Checks via the user interface. Doing so will alert you to any new QA
checks that have come online since your previous report, and you will be able to address these errors
while creating your new report. Failing to do so may result in rework of your template and more than
one upload attempt.
Also, if this is your first time using CAERS for reporting, we encourage you to enter a few items in the UI
first, then download the template. You should see the items you edited in the UI appear in the version
of the template you downloaded. This may help you understand how data fields are related from one
data tab to the next. Even if you plan to do all your work in the BU template, having the UI open to
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specific screens you can reference and where you can test data entry, may be extremely helpful in
understanding what and how to enter data in each tab and cell.
Note that while testing is useful, you should be aware that whatever you enter in the BU will override
data in the UI, so you should take care not to enter some items in the UI and some in the BU, unless the
changes in the UI have been done before you downloaded your template.
Also, tips and tools for data entry under the “important additional considerations”, that have been
explained throughout the User Interface portion of this guide (Section 4) will be helpful for bulk upload.
We strongly encourage you to review those sections before attempting to use the template, as this may
save you time and a potential rejection of your report after you’ve submitted it.
Facilities that have reported in previous years can download an excel template, which contains their
previous year report pre-populated with your previous year annual emissions (National Emissions
Inventory) report. We strongly recommend that you make a copy of that pre-loaded template and work
with the copy in case you need to revert to the original. You can obtain this pre-loaded template by
clicking on “Download as Template” from the Emissions Reports page (Figure 4-1). While you can
always download another copy from the UI, having an extra copy may help you reference the previous
year report as well.
When you open your file, if a yellow bar appears at the top asking if you want to enable content or allow
edits, click on the button provided to enable content or edits. Once you have your Excel file template
open, you should enter your edits into this file, to reflect the current year submission data.
The template contains several tabs (Figure 5-1). The first tab in the excel file is an “Information” tab.
This worksheet shows the version of your template, the date the version of the template was updated,
some general instructions, as well as a list of recent changes from a previous version. You should make
sure that you download your previous year data in the most recent version of the workbook available in
CAERS. Using a workbook from a previous year report, for example, will cause errors in upload, further
QA checks, and a potential rejection due to an incomplete submission further down the process.
Versioning of workbooks is kept at a minimum during reporting, but updates do happen. When they do,
it is recommended you upload your report with changes you have already made, and then download
your report again, in the new template, to continue reporting. This helps ensure that you have an
updated version of the template, which may prevent errors in future.
In general, the template contains two sets of tabs:
Reference tabs are highlighted in gray. These are an Information tab, Worksheet Map and lists of codes
for entry of different data fields. Please do not attempt to edit these lists as they are part of the data
validation for the data entry tabs. The list of tabs is as follows:
•
•
•
•
•
•
•
•

Information Tab
Worksheet Map (containing JSON Keys)
Aircraft Engine Type Code (for airport SCCs only)
Calculation Material Code
Calculation Method Code
Calculation Parameter Type Code
Contact Type Code
Control Measure Code
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•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•

Emission Factor Code
Emission Formula Variable Code
Emissions Operating Type Code
Facility Category Code
Facility Source Type Code
FIPS County Code
FIPS State Code
HAP Facility Category Code
NAICS Code
Operating Status Code
Pollutant
Program System Code
Release Point Type Code
Reporting Period Type Code
Source Classification Code
Tribal Code
Unit of Measure Code
Unit Type Code

Data entry tabs are highlighted in blue. Each tab contains specific types of data to be submitted. Dropdown menus help you avoid errors when entering codes, by displaying the allowed choices. The data
entry tabs are:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•

Facility
Facility Contacts
NAICS
Release Points
Emission Units
Emission Processes
Controls
Control Paths
Control Assignments
Control Pollutants
Apportionment
Reporting Period
Operating Details
Emissions
Emission Formula Variables

The blue data entry worksheets have the same entities that are presented in the web application, for
example: facility level data, release points, and emissions units. There are several fields that are
required in the spreadsheet so that it can be used in CAERS successfully. These fields are denoted by an
asterisk in the column header (row 10). Be sure to enter values or select an option from the dropdown
menu in each of the required fields.
There are also relationships among some of the blue data entry worksheets. For example, the “Emission
Processes” worksheet will ask for the corresponding Unit ID for each process row. The options in the
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“Unit ID” dropdown menu on the “Emission Processes” worksheet are based on the units that are
available on the “Emission Units” worksheet. As new units are added on the “Emission Units”
worksheet, they will be automatically added to the “Unit ID” dropdown menu on the “Emission
Processes” worksheet. Therefore, you need to enter your emission units before they are available in the
“Emission Processes” worksheet. Other instances where fields are dependent on other worksheets
include:
•

•
•

•
•
•
•

“Control Assignments” worksheet:
o Path ID relies on entries from the “Control Paths” worksheet,
o Control ID relies on entries from the “Controls” worksheet,
o Control Path (Child) relies on entries from the “Control Paths” worksheet
“Control Pollutants” worksheet: Control ID relies on entries from the “Controls” worksheet
“Apportionment” worksheet:
o Release Point ID relies on entries from the “Release Points” worksheet,
o Process ID relies on entries from the “Emission Processes” worksheet,
o Control Path ID relies on entries from the “Control Paths” worksheet
“Reporting Period” worksheet: Process ID relies on entries from the “Emission Processes”
worksheet
“Operating Details” worksheet: Reporting Period relies on entries from the “Reporting Periods”
worksheet
“Emissions” worksheet: Reporting Period relies on entries from the “Reporting Periods”
worksheet
“Emission Formula Variables” worksheet: Reporting Period Name relies on entries from the
“Emissions” worksheet

There is special formatting in the bulk upload template, such as hidden fields and formulas. Ensure that
you are keeping with the correct format for each data field and are using the codes as indicated by the
drop-down menus. Many fields that are required by CAERS are hidden from view in the spreadsheet to
help avoid uploading mismatched data, for example associating an emissions process to the wrong
emissions unit. Use caution when performing certain actions within the bulk upload spreadsheet. Here
are examples of potential risks:
•

•
•

•

Overriding formulas: Within Excel, if you copy several horizontally adjacent cells of data and
paste them into the CAERS Bulk Upload spreadsheet then you risk overwriting a necessary
formula in a hidden field. However, you can safely copy and paste data vertically within a
column.
Overriding drop-down menu values: Pasting data into a field which has a drop-down menu will
allow you to enter any data; however, if the value does not precisely match one of the values in
the drop-down menu then the upload will return an error.
Deleting drop-down menu: Deleting a cell that has a drop-down menu can potentially delete
the drop-down menu completely. While deleting the entire cell will cause a problem, deleting
the content of the cell is not a problem. For example, if cell E24 has a value of “CAP” then you
can delete “CAP” but should not delete cell E24.
Overlooking changes to other worksheets: when an error is fixed in a parent cell, connected
cells do not refresh automatically. Be sure to update the connected cells even if the change
doesn’t alter the connected cells. For example, when you enter a Unit ID on the “Emission
Units” tab, that value will be available as an option in the Unit ID dropdown menu on the
“Emission Processes” tab. If you navigate back to the “Emission Units” tab and change a Unit ID
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•

then you will need to manually update all of the rows on the “Emission Processes” tab that have
the unit chosen. There may be a cascading effect with this example if the process has already
been chosen from the Process ID dropdown menu on the “Apportionment” tab. In this scenario,
you would need to update the Unit ID on the “Emission Units” tab, reselect the unit from the
Unit ID dropdown on the “Emission Processes” tab, and reselect the Process ID on the
“Apportionment” tab.
Skipping or clearing rows: If a row is skipped or cleared in a worksheet, the identifiers below the
cleared or skipped rows may not cascade to subsequent worksheets. For example, if a row of
data is cleared in the “Emission Units” worksheet, then the units below the cleared rows do not
always appear in the drop down for available units in the “Emissions Process” worksheet.

Figure 5-1. Example of Bulk Upload Template Worksheet

5.2 Bulk Upload Steps
Once your data is ready in the bulk upload template, from the “Emissions Reports” screen (Figure
42), click on “Upload Report”. Click on the “Browse” button to find the location of your bulk upload
workbook on your computer. Once you have found the workbook, select it and the file name will now
appear on your screen. Click the “Upload” button. A pop-up window will appear to show that the
workbook is being uploaded. The speed at which this happens will depend on your internet connectivity
speed. The upload may take several minutes depending on the size of the file.
It is good practice to give yourself extra time to address any errors that may emerge when using bulk
upload and/or the actual report content. CAERS will run validations checks on your Excel file before
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allowing you to submit it, such as verifying that the required fields are present and that text fields do not
exceed maximum lengths. These validation checks will be different than the additional QA checks that
will be run on the data contents once the file has been uploaded. Validation checks are run for the data
file structure and format, whereas QA checks are run on the data contained in the file.
If the file contains errors that prevent it from uploading to CAERS successfully then you will see a list of
“Data Errors” on the screen. Each error will indicate the worksheet and row containing the error, as well
as a brief message describing it. After all the errors have been resolved, you can attempt to upload the
file again. If there are not errors in the file, then you will be brought directly to the “Report Summary”
page. At this stage you can navigate the CAER System as described in Section 4.
Note that there are two kinds of errors you may get with BU. The first, as described above, are upload
errors. These errors are separate from reporting errors. Once your report is uploaded, you should now
click on the “Quality Checks” (per Section 7) to ensure that you do not have data errors that need to be
addressed. Depending on how many errors you encounter, it may be easier for you to address them in
the UI instead of attempting another upload. This is a matter of personal preference.

5.3 JSON

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JSON upload is forthcoming in CAERS but is not in the current version of the system. If you would like to
upload your file in JavaScript Object Notation (JSON), you should select that option from the drop-down
menu on the “Download as Template” button. To upload the report, you will similarly use the “Upload
Report” button. For reference data, you can use the gray tabs in the BU template, as explained in the
previous section (section 5.15.1 above). If you are interested in this option, send an email to
[email protected] and we will send you a schema to follow, as one is not currently available in CAERS. A
schema will eventually be available by clicking on the “Help” link from the top left-hand side of your
screen, and scrolling down to “Additional Resources”, then clicking on the “JSON Upload Schema” link.
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Figure 5-2. JSON Upload Option in CAERS

6 Reporting Emissions Using Bulk Entry
If there are few to no changes in the facility inventory data, the reporter may benefit from bulk
entry. Note that to use bulk entry, facility data will have to be present in the system beforehand. If you
need to add a unit, process, release point, or controls information, refer to the sections in this guide for
reporting through the user interface. If you have many changes, you may prefer to use the bulk upload
capability. Also note, that if emission factors changed, you should re-select the emission factors from
the emissions calculation page to allow CAERS to update it. Then you can proceed to enter data via bulk
entry.
Click on “Bulk Entry” from the left-hand side menu. There are two tabs to work on for bulk entry. The
first one is for “Process Information”. Here, you should enter the throughput value information that has
changed since your previous year report. Click on the “Save and Update” button at the bottom right of
the tab to save your changes. See Figure 6-1.
Note that this is the only information that can be edited from this screen. If there are changes to
throughput material, or units of measure of throughput, those changes must be made in the page for
the relevant process. You can access that process page by clicking on the process ID. This will re-direct
you to the process page. Once you have made the edits there, you can return to the bulk entry screen
and continue with your report.
Figure 6-1. Bulk Entry Process Information Tab

The second page for Bulk Entry is the “Emissions Information” tab, which you can click on from the
“Process Information” tab after entering your throughput data. Enter the total emissions if they have
changed since your previously reported emissions. Click on the “Save and Update” button at the bottom
right of the tab to save your changes. Again, in this tab, note that any changes to the calculation
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method, or units of measure must be entered in the relevant pollutant page. To go to that page, click on
the pollutant and this will re-direct you to the relevant page. See Figure 6-2.
Figure 6-2. Bulk Entry Emissions Information Tab

7 Performing Quality Checks
When you have finished entering or uploading your data, the next step is to run the quality checks.
Before doing so, please consult the checklist in Appendix D of this user guide. When you are ready to
perform the quality checks, click on “Report Summary” on the left-hand side menu of your screen to go
to the Report Summary page. Click on the “Run Quality Checks” button below the “Report Summary”
table. This will take you to a “Quality Review” page where you will see two types of errors listed (Figure
7-1):
•
•

Critical errors will appear in red. These errors must be addressed for the report to go through.
Warnings will appear in purple. These errors will not prevent you from submitting the report,
but they will alert you to potential issues you may want to address before submitting.

Broadly speaking, error messages fit in one of the following categories:
•

Calculation errors - Data calculated outside the form that doesn’t match up with what
the CAERS is calculating, for example:
o Your reported emissions for a process and pollutant are not within 1% (warning)
or 5% (critical) of the emissions CAERS is calculating.
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•

•
•

Inconsistent data entries - Data entered is not possible given some physical or temporal
constraint, for example:
o 100% of annual emissions for 52 weeks of operation have been entered as
occurring during the Winter season.
o The latitude for a release point has been reported but is too far from the facility
(outside of its facility latitude threshold).
o An emission factor was provided, but its denominator is in different units of
measure than throughput, so a simple conversion is not possible, and
o The reported emissions previous year reported emissions are identical to the
previous inventory year reported emissions.
Expected information is missing - Data are expected to be entered, but the data field is
empty. This includes data fields that are conditional on the entry of others. Examples
include:
o In the EPA emission factor, the” I prefer to calculate the total emissions of this
pollutant” has been checked but the “Description of Calculation” box has not
been populated.
o Existing controls have not been assigned to a path, and
o If a release point stack diameter is reported, then exit gas flow rate and exit gas
velocity should also be reported.
Incorrect format - Data must be entered in a specific format, for example:
o Postal code must be in five-digit or nine-digit format, and
o Value for a year must be four digits.
Data is not allowed – Data entered is not allowed, for example:
o Duplicate ID was entered for the same component (unit, release point, process,
or control), but IDs for sub-facility components must be unique within the
facility.
o Units of measure that are not supported are being used, and
o SCC entered has been retired in a year prior to the inventory year being
reported.

In the case of data that are not allowed, some legacy data may have been carried into CAERS for new
system users. While the old data will be displayed, the system may require you to update it. For
example, in a previous submission you used a unit of measure code “Million BTUS”, but the system now
requires you to enter the new code “E6BTU”. Be sure to update the information by selecting a valid
code from the drop-down list.

Figure 7-1. Quality Review Page

Note: Example errors here are not comprehensive in this figure.

To address each error on the quality review page, click on the name of the error (underlined), to be
taken to the screen where the error is occurring (Figure 7-2). You will see a red bar at the top of your
screen containing the error to be addressed. Click on the “Edit” button of the relevant box to make your
edits, then click “Save”. You can now click on the “x” at the top right of the error message in the red box
to remove it from view.

Figure 7-2. Correcting an Error

Click on “Quality Checks” link on the left-hand side of your screen to return to the “Quality Review”
page. When you return to the “Quality Review” screen the error will have disappeared. Once you have
finished correcting your errors you should re-run the quality checks. Once you have addressed all errors
you will see the “Quality Review” screen devoid of error messages. Note that warnings may still appear.
(Figure 7-3). You will also see the blue line has advanced on the top of your screen to show that the
quality checks step has been completed.

Figure 7-3. Completing Quality Checks

Preparers are now ready to move the report to certification. By clicking on report summary, you will see
a “Ready to Certify” button at the bottom right-hand side of your screen (Figure 7-4). When you click on
that button, the system will automatically send an email alerting the certifier that the report is ready to
be certified.

Figure 7-4. Report Ready to Certify

8 Certifying and Submitting to your State, Local, or Tribal (SLT)
Authority
As an NEI Certifier, you will log into CAERS and chose the “certifier” role from the “My CDX” page
(Figure 3-14). You will see the same screens as the preparer. However, when you are in the “Report
Summary” page, you will see an additional button “Certify and Submit to SLT”. When you are ready to
certify that your submission is complete and accurate, click on that button.
You will see a window stating that you can download and review the copy of record of your report
(Figure 8-1) and indicating the date and time since the last time the report was updated. Note that this
step ensures that you, as certifier, know the contents of the report you are about to certify.
If in a final review of your report, you find an error, please correct it before certifying and submitting, to
avoid delaying your submission further (see Section 8.2 for instructions on how to correct a report after
it has been certified).

Figure 8-1. Submission Review Screen

8.1 Certification and Submission of Report
If you are satisfied with the report, you can click “Proceed”. This will take you to a three-stage
(CROMERR) process. First, it will request your password, then it will ask you to answer a security
question. Finally, it will ask you to click certify and verify you are submitting correct information (Figure
8-2). You will see a “please wait” sign while you are waiting. Once the submission has been certified, a
message will appear in green at the top right of your screen. The progress bar at the top of your screen
will have changed and “Submit to SLT Authority” will now be highlighted in blue.
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Figure 8-2. Submission Certification

Once you have submitted your report, you will also be able to click the “Report” button on the “to
obtain a summary report for your records.
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8.2 Correcting Reports with Errors
Once your report has been certified and submitted to your SLT, it will be locked and in “view only”
mode. You will receive an email from the system notifying you that your report has been successfully
submitted. You will now only be able edit the report if your SLT pushes it back to you. This may happen
if your SLT has found errors and would like you to correct them. If so, you will receive an email with an
explanation of what the SLT would like you to change.
However, if you have already certified your report and realize it contains an error, you should
reach out to your SLT immediately, and have them reject the report and push it back to you so you may
edit the report. The point of contact information for your SLT can be found by clicking on the “Help” tab
and is also listed in this document in Section 11.2.

8.3 Disputing or Repudiating a Report
In the unlikely event that you receive an email notifying you that your report has been submitted
but:
•
•
•

you did not perform this submission,
you have any reason to dispute or repudiate this submission, or
you determine there is a discrepancy between the electronic document you signed and
submitted, and the record received by CDX.

then please reach out to the Help Desk immediately, within the first 24 hours of realizing there is an
issue with your report, so that the relevant action may be taken promptly. The email notification from
the original submission will contain instructions for how to proceed as well as the Help Desk
information. Please do not reach out to your SLT first for this issue, as this will only delay solving the
problem further. If you do, your SLT will have to direct you back to the Help Desk to start the
repudiation process. Your Help Desk staff will take the necessary steps to address the matter. The Help
Desk information can also be found in the Help tab at the top right of your screen, and in Section 11.1 of
this document.

8.4 CDX Submission History
You can obtain copies of record for your submissions by going to the CDX "Submission History"
page. From your MyCDX screen (Figure 3-14), at the top of your screen you will see the “Submission
History” tab. By clicking on that tab, you will find your submission history.

Figure 8-3. CDX Submission History Page

9 Submission Approval
Once the report has been submitted, your SLT Authority will review the report. The person listed as
preparer, certifier, and the “Emissions Inventory” contact for your facility, will be notified of whether the
report was approved or rejected.
Once your SLT has reviewed your report, it will then send that report to EPA. While every effort has
been made to provide preparers with quality assurance checks that will help you submit the highest
quality data, both your SLT staff and EPA’s Emissions Inventory System (EIS) may present additional
checks (either new, or checks that are not possible to include in CAERS given their nature). These checks
may require you to make corrections to your report after you have certified it. In that case your SLT will
return your report for revisions. These revisions usually take place in the Fall. To avoid some of these
issues, we encourage you to review the “Additional Considerations” sections after each section and
chapter.
If rejected, comments in the email will explain the issue(s) to be addressed. At that point you
should re-open and correct your report, as indicated by your SLT Authority. If your preparer or certifier
contact person will change at any time after the report was submitted, please let staff at your SLT know
so the new contact person can be approved to enter CAERS and issue any corrections as needed.

10 Using Data Reported in CAERS for a TRI-MEweb submission
If you are an NEI-TRI facility reporter, you may start a TRI and NEI reportable chemical Reporting
Year (RY) 2022 Form R in TRI-MEweb at anytime before the July 1 TRI reporting deadline. You must have
submited and certified your CAERS data before you start your TRI Form R in the TRI-MEweb application
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to use the API web service call to populate CAERS data into Section 5.1 and 5.2. You should follow these
steps to use data reported to CAERS in TRI-MEweb to save time reporting to both systems.
Note that currently in CAERS, for your data to be usable in TRI, you must have a one-to-one match
between your NEI and TRI facility, and pollutant. Your emission types should also match: in your
emissions inventory report you typically enter an emission operating type “routine”, and can also enter
shutdown, startup and upset. Your TRI report also includes a category of non-routine (catastrophic
events not associated with normal or routine production processes which can apply to air emissions
releases) in Form R, Section 8.8. You must ensure that your routine emissions in your annual inventory
report in NEI matches your routine emissions in TRI.
1.

Upon arriving to Section 5 of the RY 2022 TRI Form R, an an application to application
(Application Programming Interface or API) call between CAERS and TRI-MEweb will verify if
your EPA Facility Registration ID and CAS number match any data point in the CAERS database.
Data in the CAERS database must be certified for it to be used in TRI-MEweb. See Figure 10-1.

Figure 10-1. Example of Section 5 Form R Screen in TRI-MEweb

2. After a few seconds, if there is a match between the TRI-MEweb facility and chemical profile
with the CAER database, a green icon titled “NEI data available” will appear (Figure 10-2).
3. As the preparer of the TRI Form R, click on the green button to call the NEI widget to appear on
the Section 5 page of TRI-MEweb.

Figure 10-2. Example of "NEI Data Available" Screen

4. The following pop-up will appear (Figure 10-3). It contains the most recent active record that is
found in the CAERS database: Reporters for large NEI facilities will see the most recent annual
submission that is available in the CAER system.
Figure 10-3. Example NEI Data Availability Pop-Up Window

5. If you decide, for whatever reason, not to transfer the amount that was shown in the pop-up or
the facility information in the pop-up is inaccurate, a comment box will appear so that you can
provide a rationale for why the NEI data point was not used (Figure 10-4). This comment will be
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collected in Section 9.1 of the TRI Form R. We would like to make the submission process easier
for you, and we appreciate knowing how we can improve this process for you.
Figure 10-4. Example Pop-Up Window for Comment

6. If you select “Yes, copy my CY [year] NEI emission data into Section 5.1 and 5.2”, the quantities
will be copied into the TRI form R. You will then need to complete Form R, validate, and certify
to complete their TRI reporting requirement.

11 Where to Go for Help
You can get help and more resources by clicking on the “CAERS Help” tab on the top right side of your
screen (see Figure 11-1).

Figure 11-1. Help Screen in CAERS

11.1 Help with the CAERS application itself.
Reach out to the help desk for questions about how to enter data into CAERS: You can find that
help by clicking on the “Contact CDX” link at the top right of your screen at any time while you are in the
User Interface.
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Questions for the CDX help desk include the following types of issues:
•
•
•
•

Questions about logging into your CDX account
Unexplained errors while using the application
How to enter a specific piece of data
How to navigate from one screen to another

Note that the help desk above is not the right resource for questions about the data itself. Those
questions should be referred to your SLT Authority.

11.2 Help with program-related questions:
Reach out to your SLT for questions related to the content of your submission, such as:
•
•
•
•
•

Resolving critical errors (appearing in red that must be addressed for the report to go through)
Ensuring warnings are understood and have been addressed where appropriate
Selecting an appropriate SCC and/or emission factor
Finding out the unit capacity measure of a unit
The appropriateness of a specific type of unit of measure conversion for a specific kind of
process
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Points of contact from your SLT are:
Georgia Department of Natural Resources (GADNR): [email protected]
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Idaho Department of Environmental Quality (IDDEQ): [email protected]
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Maine Department of Environmental Protection (MEDEP): [email protected]
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Pima, AZ Department of Environmental Quality (PDEQ): Janice Easley, [email protected]
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Rhode Island Department of Environmental Management (RIDEM): [email protected]
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Washington, DC Department of Energy & Environment (DOEE): [email protected]
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34T

Please do not contact EPA directly, or EPA contractors for any questions, or this will only delay getting
you help further. Please reach out to the CDX help desk (registration, and CAERS application-related) or
your SLT first. This will ensure the right help gets to you as quickly as possible.

Appendix A

Control Devices in Facility Emissions Inventories

In this section, we introduce concepts regarding controls to help you understand how to set the
controls up for your facility in the CAERS.
It is important to enter accurate controls information so that your facility’s emissions may be calculated
and interpreted correctly by inventory developers.
CAERS captures controls information as follows:
•
•
•
•
•

A list of controls can exist for the facility as those controls exist in the real world.
A control device entered in CAERS represents a single piece of control equipment.
Only the pollutants impacted by this piece of equipment will be listed with the control.
The percent reduction for the pollutant will be the amount of pollutant emissions reduced due
to this one piece of equipment.
The controls configuration can be described with the data:
o Single control device
o More than one control device in series
o More than one control device in parallel
o Combinations or complex control device configurations

The following are important concepts for reporters to understand as they enter control device-related
data, examples follow to illustrate these concepts, and a detailed training can be found on the CAERS
website:
34T

34T

1. Control Path: Allows the user to represent how one or more controls at a facility are configured
(how they relate to each other). The path allows users to define multiple kinds of control
configurations. It can control devices as well as child paths. A path cannot refer to itself (or
another path that contains it). Ultimately, there should be a primary or main path that will
define the controls that are encountered from the emissions generation point of a unit-process
to one or more release points.
2. Control Apportionment: defined as the percentage of the emissions that are being directed to
the next control or path within a control device configuration. The emissions stream must be
apportioned so that all control apportionments add up to 100%. For example
a. If the emissions stream moves into a single control from the previous control or path in
a sequence, then the control apportionment is 100%.
b. if the emissions stream is split and is moving to two control devices in equal amounts,
then the control apportionment for those two devices will be 50%.
3. Control Path Assignment: defines the sequence or order in which controls are configured within
a path. The first control in a path would have sequence number 1, the second control would
have sequence number 2, and so forth. If there is a child path within a parent path, that path
will also have a sequence number. If, for example, two controls run in parallel, they will have
the same sequence number.
4. Path Effectiveness: The combined effectiveness of the controls in that path. Must be present
on a main or primary path.
5. Path Pollutant Percent Reduction Efficiency: The combined percent reduction efficiency of the
pollutant for the entire path. Must be present on a main or primary path.

A-1

Example of a Facility with No Controls
A reporter for a facility that has no controls does not need to create any paths. The user must
provide a release point apportionment(s) for the process(es). Figure A. 1 shows a graphic example of a
facility with no control devices. The red arrow represents emissions that ultimately move from the
process to both a stack and a fugitive release point. Assume that in this case, the entire emissions
stream emitted from P102 is directed so that 95% of the emissions are sent to the stack, and 5% are
fugitive emissions. Table A. 1 shows how the data would be entered into the CAERS for this example.
Figure A. 1. Example of a Facility with No Control Device

Table A. 1. Example Associations for a Facility with No Controls
Unit ID
Process ID
Path ID
Release Point ID
B102
B102

P102
P102

None is entered.
None is entered.

RP3
RP4

Release Point
Apportionment
95%
5%

Example of a Facility with a Single Control
Figure A. 2 shows the example of a facility with a single control. The yellow arrow indicates
emission moving from the process to the control device. The red arrow shows the emissions moving to
the release point. In this scenario, assume there is one process, Process 1. The Control 1 is placed in
A-2

Path 1. The control apportionment is 100% and the control assignment sequence number is 1. Table A.
3 shows the assignment of the control. Table A. 4 shows the associations for that control and the other
relevant sub-facility components. Note that if the emissions stream from more than once process or
units-processes share the same route through the control device to the release points, you may use the
same path to associate those unit-processes to the release points. You would not have to create a
primary path for each unit-process and release point.
Figure A. 2. Example of a Facility with a Single Control

Table A. 2. Example Path Data for a Facility with a Single Control
Path ID

Sequence Number

Path 1

Assignment
(Control of Path)
Control Device 1

Apportionment
(Control or Path)
100%

Table A. 3. Example Associations for a Facility with a Single Control
Unit ID
B301
B301

Process ID
P301
P301

Path ID
Path 1
Path 1

Release Point ID
RP1
RP2

Release Point
Apportionment
95%
5%

Example of a Facility with Controls in Series
Figure A. 3 shows an example of a facility with control devices in series. Assume there is one
process per unit, Process 1 and Process 2 for Boiler 1 and Boiler 2 respectively. In this case, there are
three control devices plus a fourth on one of the stacks. Controls 2 and 3 have been placed in Path 1.
Parent Path 2 contains Control Device 1 and Child Path 1.
A-3

How you configure your controls into paths depends on how your controls are configured in the facility,
bearing in mind that in some cases there may be more than one way to create paths and main paths.
There should ultimately be one main path between a process and a release point. In this case, that
primary path is Path 2. If more than one process is being run from the unit to the release point, then all
the processes would be associated with the same control path in the same manner as Process 1.
Figure A. 3. Example of a Facility with Controls in Series

Figure A. 4 shows the conceptual configuration of the facility in this example. The emissions flow
directly from one control to the other. Thus, the control apportionment for Control 1 to Path 1 is 100%,
and the control apportionment for each control within Path 1 is 100%. In Path 1, Control 2 is first in the
sequence, Control 3 is second. In Path 2, Control 1 is first in the sequence, Path 1 is second in the
sequence, and, and Control 4 is third. Table A. 4 shows s control devices and some examples of values
for the relevant data fields. Table A. 5 shows the assignment for this facility.
Table A. 6 shows the associations for the different sub-facility components. Also, note that all emissions
enter Stack 1 after leaving Path 2 (as indicated by the red arrow). Finally, 100% of emissions from
Process 1 move to Stack 1, and 100% of emissions from Process 2 are also routed to Stack 1. In this
example, we have assumed that capture is 100% (there are no fugitive emissions).

A-4

Figure A. 4. Conceptual Configuration for a Facility with Controls in Series

Table A. 4. Example Control Device Data for a Facility with Controls in Series
Control
ID
Control 1
Control 1
Control 2
Control 2
Control 3
Control 4

% Effectiveness

Pollutant

% Efficiency

95% VOC
CO
90% PM10-PRI
PM-CON
90% NOX
90% SO2

80%
95%
90%
100%
90%
90%

Overall % Reduction
76%
90%
81%
90%
81%
81%

Table A. 5. Example Path Data for a Facility with Controls in Series
Path ID
Path 1
Path 1
Path 1
Path 2

Sequence Number
1
2
3
1

Assignment
(Control of Path)
Control 2
Control 3
Control 4
Control 1
A-5

Apportionment
(Control or Path)
100%
100%
100%
100%

Path ID
Path 2

Sequence Number
2

Assignment
(Control of Path)
Path 1

Apportionment
(Control or Path)
100%

Table A. 6. Example Associations for a Facility with Controls in Series
Unit ID
Boiler 1
Boiler 2

Process ID
Process 1
Process 2

Path ID
Path 1
Path 2

Release Point ID
Stack 1
Stack 1

Release Point
Apportionment
100%
100%

Example of a Facility with Complex Controls
Figure A. 5 represents a more complex controls set up. Again, we show just one process for the unit, but
all processes associated with that unit would be treated in the same way as Process 1 and would share
the paths created for Process 1. This controls setup is a combination of controls in series and parallel. In
Path 1, Control 2 is first in the sequence, Control 4 is second, and 100% of emissions flow from Control 2
to Control 4, and 100% of the emissions flow to Control 5 from Path 1. Path 1 is a child path of Path 2.
In Path 2, Control 1 sends 60% of its emissions to Path 1 (where Control 2 is first in the sequence), and
40% of its emissions go on to Control 3. Then 100% of emissions go from Control 3 to Control 5, 100% of
emissions exit Path 2 (via Control 5) to Path 3. In Path 3, Path 2 (child path) is first in the sequence, then
Control 6 is second in the sequence. Figure A. 6. shows the conceptual representation of this
configuration example.
Figure A. 5. Example of Complex Controls

A-6

Figure A. 6. Path Assignment for a Facility with Complex Controls

Example values for the different data fields for the control devices in this example are shown in Table A.
8. How the different sub-facility components are associated is shown in Table A. 9. Note that 50% of
emissions from Process 1 go to Stack 1, and 50% of emissions from Process 1 went to Stack 3 (as
indicated by the red arrows in Figure A. 5).
Table A. 7. Example Control Device Data for a Facility with Complex Configuration
Control
ID
Control 1
Control 2
Control 2
Control 3
Control 4
Control 5
Control 6

% Effectiveness

Pollutant

95% VOC
90% PM10-PRI
PM-CON
90% CO
95% NOX
90% Pb
98% SO2

% Efficiency
80%
90%
100%
95%
99%
95%
97%

A-7

Overall % Reduction
68%
81%
90%
86%
75%
81%
95%

Table A. 8. Example Path Data for a Facility with Complex Configuration
Path ID
Path 1
Path 1
Path 2
Path 2
Path 2
Path 2
Path 3
Path 3

Sequence Number
1
2
1
2
2
3
1
2

Assignment
(Control of Path)
Control 2
Control 4
Control 1
Control 3
Path 1
Control 5
Path 2
Control 6

Apportionment
(Control or Path)
100%
100%
100%
40%
60%
100%
100%
100%

Table A. 9. Example Associations for a Facility with Complex Configuration
Unit ID
Boiler 2
Boiler 2
Boiler 2
Boiler 2

Process ID
Process 1
Process 1
Process 1
Process 1

Path ID

Release Point ID

Path 2
Path 3
Path 2
Path 3

Stack 3
Stack 1
Fugitive
Fugitive

Release Point
Apportionment
47%
47%
3%
3%

Additional Examples of Control and Path Assignments
The following are examples that further illustrate unique situations and how reporters may
handle them in CAERS.
Example 1: Planer Mill Cyclofilter (single control)
Figure A. 7 shows an example of a single control where a Planer Mill Cyclofilter is used. In this
case there is only one control, and it should be placed in one path. All processes (planer and planer trim
block hog) should be associated with that path and the corresponding release point. Table A. 9 and
Table A. 10 show path and association data respectively.

A-8

Figure A. 7. Planer Mill Cyclofilter Path Assignment

Table A. 10. Path Data for Planer Mill Cyclofilter
Path ID

Sequence Number

Path 1

Assignment
(Control of Path)

Apportionment
(Control or Path)

1 Planer Mill Cyclofilter

100%

Table A. 11. Associations for Planer Mill Cyclofilter
Unit ID

Process ID

Planer
Process 1
Planer Trim Block Hog Process 2

Path ID
Path 1
Path 1

Release Point ID
Stack 1
Stack 1

Release Point
Apportionment
100%
100%

Example 2: Controls Working Alternately Example
In this example, emissions go from a loading rack to a vapor combustor unit (VCU) or a vapor
recovery unit (VRU), but not to both. There are VOC emissions from the VRU. When the VRU is used,
the emissions go to a stack. The VCU works when the VRU is not working. The VCU is a backup to the
VRU, and in this example, assume it only works 1% of the time. However, when each one of these
controls is working, it takes in 100% of the emissions. When the VCU is operating, the emissions are
flared. The VCU uses propane, so its emissions are VOC as well as NOX and CO. See Figure A. 8

A-9

Figure A. 8. Example for Controls Working Alternately

In this case, while the vapors could go to either the VRU or the VCU, because of the use of propane in
the VCU, we effectively have two different processes with two different SCCs (Figure A. 9).
Furthermore, each process is going to a different release point. Specific information about the number
of hours each component is working would be entered in with the process information. For example,
the number of hours that each is run. Note that because in this case the original process has been
divided in two processes to run through each of the two control devices, effectiveness for each would be
100% and you would enter the hours that each control runs. Table A. 11 and Table A. 12 show path and
association data respectively.

A-10

Figure A. 9. Path Assignment for Controls Working Alternately

Table A. 12. Path Data for Controls Working Alternately
Path ID

Sequence Number

Path 1
Path 2

Assignment
(Control of Path)
1 VRU
1 VCU

Apportionment
(Control or Path)
100%
100%

Table A. 13. Associations for Controls Working Alternately
Unit ID
Unit 1

Process ID
Process 1
Process 2

Path ID
Path 1
Path 2

Release Point ID
Release Point 1
Release Point 2

Release Point
Apportionment
100%
100%

Example of Controls Calculations
The following example may help you understand how the different percentages involved in
controls calculations are related. This example may help you estimate your “Overall Control %” for your
individual control and/or control path. The example is illustrative, you should work with your SLT
authority to determine the best way to do these calculations for your specific control device
configuration.
The following definitions are used in this example:
Percent Release Point Apportionment: The percent of an exhaust gas stream moving from a process to
a release point (stack or fugitive) and routed through controls when they are present. This value could
be obtained from the vendor or measured at the facility. The percent apportioned to stack release
points is also referred to as capture efficiency. Any emissions that are not captured by the device and
routed to stack release points should be apportioned to a fugitive release point.

A-11

Percent Control Effectiveness: The percentage of time or activity throughput that a control approach is
operating as designed, including the capture and pollutant reduction devices. This percentage accounts
for the fact that controls typically are not 100 percent effective because of equipment downtime, upsets
and decreases in control efficiencies. This value could be estimated from the amount of time the
control is operational, versus down for maintenance or repairs. For example, assume that an emissions
process ran for 2,000 hours and the control was down for 200 hours, then the Control Effectiveness =
(2000-200) / (2000) *100 = 90%.
Percent Pollutant Reduction Efficiency: The percent reduction achieved for the pollutant when all
control measures are operating as designed. This could be obtained from the vendor. For example, the
device, when fully operational as intended, removes 95% of the pollutant, so its pollutant reduction
efficiency is 95%.
Controlled emissions are post-control emissions: the emissions that remain, vented through stack
release points, after emissions have been captured by the device, the device has operated at its
effectiveness, and efficiency.
Assume you have a control or control path for Particulate Matter with the following:
•
•
•
•

Stack Release Point Apportionment (cap) is 90%,
Control effectiveness (effect) is 80%,
Control efficiency (effic) is 95%, and
Uncontrolled (unc) or pre-control emissions total 100 tons.

Figure A. 10. Flow of Uncontrolled Emissions

Then:
Total uncontrolled emissions = captured emissions + fugitive (non-captured emissions) = [unc x cap] +
[unc x (1-cap)].

A-12

Captured emissions= emissions when control is not effective + emissions when control is effective = [unc
x cap x (1-effect)] + [unc x cap x (effect)]
Emissions when control is effective = emissions reduced from control efficiency (removed emissions) +
emissions from control inefficiency = [unc x cap (effect) x effic] +[unc x cap x (effect) x (1-effic)]
Emissions going to stacks = emissions when control is not effective + emissions from effective control
inefficiency = [unc x cap x (1-effect)] + [unc x cap x effect x (1-effic)] = unc x cap [(1-effect) + effect x (1effic)] = unc x cap (1-effect + effect x effic) = unc x cap x (1-effect x effic)
Fugitive emissions = 100 x (1-0.9) = 10
Stack emissions = 100 x 0.9 x (1-0.8 x 0.95) = 21.6
Removed emissions = unc x cap x effect x effic = 100 x 0.9 x 0.8 x 0.95 = 68.4
Controlled emissions = [unc x (1-cap)] + [unc x cap x (1-effect x effic)] = unc x (1-cap + cap – cap x effect x
effic) = unc x (1-cap x effect x effic) = 100 x (1-(0.9 x 0.8 x 0.95)) = 31.6
Total uncontrolled emissions = Removed emissions + Stack emissions + Fugitive emissions = 68.4 + 21.6 +
10 = 100

A-13

Appendix B

Types of Fugitive Release Points

EPA is moving to have more detailed representations of fugitive emissions. While in the past data
has only been entered using the “Fugitive – Area” format, there are now two new ways that you can
enter your fugitive emissions data, in addition to the current form of representation. When you choose
the format you will use, you will only need to enter data required by that format. Below are the three
types of fugitives for the reporter to select.
1. Fugitive – Area
This is the current format for entering fugitive release point data. The reporter is asked to enter:
1.
•
•
•
•
•
•

Fugitive “Area” Release Point
Width
Length
Height
Latitude from South-West corner of the facility blueprint
Longitude from South-West corner Longitude
Angle of Measure

Figure B. 1. Graphical Representation of Current "Area" Fugitive Release Points

2. 2-Dimensional Fugitive Release Points
This is an updated version of a Fugitive “Area” representation as described above. Examples of 2Dimensional release points include: a single elongated roof (horizontal) vent, opening, or window,
typically greater than or equal to 10 square feet, or a wastewater holding pond for building fugitives,
typically greater than 10 square feet. Data fields to be reported for this type of release point are:
•
•
•

Height
Width
Two Sets of Coordinates (Latitude/Longitude of the Midpoints of Opposing Sides of Source).
These should be within a default tolerance of 0.003, from the facility latitude and longitude. If
you feel your fugitive coordinates should be allowed beyond the default tolerance, please
contact your SLT as soon as possible.
o Coordinate 1 Latitude
o Coordinate 1 Longitude
o Coordinate 2 Latitude
B-1

Coordinate 2 Longitude

Figure B. 2. Graphical Representation of 2-Dimensional Fugitive Release Points

3. Graphical Representation of 3-Dimensional Fugitive Release Points
Unlike two-dimensional release points that emit only at a specific height, the emissions from threedimensional release points are emitted across the entire height of the release point. Typically, a single
vertical window should be reported as a “low flow vent” type of release point, unless there are multiple
windows of that nature in which case the 3D fugitive type is more appropriate.

Examples of this type of release point include: an entire building with multiple release point on walls
and/or roof where each release point could not be easily identified by using many low-flow-vent release
points, and an outdoor storage pile. The assumption is that the base of the release point is square.
While the shape of a storage pile, for example, is unlikely to be a shape with a square base, reporters
should simply set the width and length so that the horizontal dimension represents or encompasses, as
best as possible, the actual shape and set the height to represent the height span of the release. If the
release is not a square shape, the length and width must be set as best as possible to represent the
actual shape of the source, since width and length are required to be the same.
Figure B. 3. Graphical Representation of 3-Dimensional Fugitive Release Points

Data fields to be reported for this type of release point are:
•
•
•
•

Height
Width
Latitude of the footprint center
Longitude of the footprint center

Additional Considerations: Dimensions for height, width, and length (as the case may be) are expected
to be greater than 0. Also, latitude and longitude values are expected to be within a 0.003 tolerance of
B-2

the facility latitude and longitude coordinates. If you feel that the release point coordinates for your
facility should be allowed beyond that default tolerance, please get in touch with your SLT as soon as
possible.

B-3

Appendix C

Additional Resources

Heat Content for Energy Conversions
The following is a list of default heat content values for energy conversions for a variety of fuels.
You should reach out to your SLT to determine the best approach for your specific fuel type and fuel use,
as these default values may not be appropriate for you to use under your specific circumstances.
Table C. 1. Default Heat Values for Fuels
Fuel Name
Anthracite
Anthracite Culm

Default High
Heat Value

Units of Measure

Source

25.09

Million BTU/Short Ton

GHGRP

11.513

Million BTU/Short Ton

EIA A5

Bagasse at 50% moisture

4000

BTU/Pound

AP42 AA

Bark at 50% moisture

4,500

BTU/Pound

AP42 AA

Bituminous Coal

24.93

Million BTU/Short Ton

GHGRP

Bituminous/Subbituminous Coal

17.25

Million BTU/Short Ton

GHGRP

Butane

0.103

Million BTU/Gallon

GHGRP

19.292

Million BTU/Short Ton

EIA A5

Coal Mixed (Commercial sector)

21.39

Million BTU/Short Ton

GHGRP

Coal Mixed (Industrial coking)

26.28

Million BTU/Short Ton

GHGRP

Coal Mixed (Industrial sector)

22.35

Million BTU/Short Ton

GHGRP

Coal Mixed (Electric Power sector)

19.73

Million BTU/Short Ton

GHGRP

24.8

Million BTU/Short Ton

EIA A5

Coke Mixed (Commercial sector)

21.39

Million BTU/Short Ton

GHGRP

Coke Mixed (Industrial coking)

26.28

Million BTU/Short Ton

GHGRP

Coke Mixed (Industrial sector)

22.35

Million BTU/Short Ton

GHGRP

Coke Mixed (Electric Power sector)

19.73

Million BTU/Short Ton

GHGRP

Million BTU/Short Ton

GHGRP

Coal

Coke

Coke Petroleum Coke
Coke Oven Gas

BTU/Dry Standard Cubic Feet

AP42 AA

Crude Oil

0.138

590

Million BTU/Gallon

GHGRP

Digester Gas

0.619

EIA RNW

Distillate Oil Average

5.771

Million Btu/Thousand Dry Standard
Cubic Feet
Million BTU/Barrel

5.7

Million BTU/Barrel

EIA A1

Distillate Oil > 15 ppm to 500 ppm sulfur

5.817

Million BTU/Barrel

EIA A1

Distillate Oil >500 ppm sulfur

5.825

Million BTU/Barrel

EIA A1

Distillate Oil 15ppm sulfur and under

C-1

EIA A3

Fuel Name
Distillate Oil Diesel

Default High
Heat Value
137381

Units of Measure

Source

Btu/Gallon

EIA CC

Distillate Oil No. 1

0.139

Million BTU/Gallon

GHGRP

Distillate Oil No. 2

0.138

Million BTU/Gallon

GHGRP

Distillate Oil No. 4

0.146

Million BTU/Gallon

GHGRP

Million BTU/Dry Standard
Cubic Feet
Million BTU/Dry Standard
Cubic Feet
Million BTU/Dry Standard
Cubic Feet
Million BTU/Dry Standard
Cubic Feet
Million BTU/Barrel

GHGRP

Gas Blast Furnace Gas

0.092 × 10−3

Gas Coke Oven Gas

0.599 × 10−3

Gas Fuel Gas 4

1.388 × 10−3

Gas Other Biomass Gases

0.655 × 10−3

Gasoline

5.222

GHGRP
GHGRP
GHGRP
EIA A1

Gasoline Natural Gasoline

0.11

Million BTU/Gallon

GHGRP

Gasoline Motor Gasoline

0.125

Million BTU/Gallon

GHGRP

Gasoline Aviation Gasoline

0.12

Million BTU/Gallon

GHGRP

Kerosene-Type Jet Fuel

0.135

Million BTU/Gallon

GHGRP

Kerosene-Type Jet Fuel

5.67

Million BTU/Barrel

EIA A1

Special Naphtha

0.125

Million BTU/Gallon

GHGRP

Naphtha Type Jet Fuel

5.355

Million BTU/Gallon

EIA A1

Kerosene

0.135

Million BTU/Gallon

GHGRP
GHGRP

Landfill Gas
Lignite

14.21

Million BTU/Dry Standard
Cubic Feet
Million BTU/Short Ton

Liquid Waste Rendered Animal Fat

0.125

Million BTU/Gallon

GHGRP

0.12

Million BTU/Gallon

GHGRP

Liquid Waste Ethanol

0.084

Million BTU/Gallon

GHGRP

Liquid Waste Biodiesel (100%)

0.128

Million BTU/Gallon

GHGRP

Liquid Waste Vegetable Oil

Liquid Waste Black Liquor

0.485 × 10−3

Million Btu/Short Ton

EIA RNW

Liquid Waste Waste Alcohol

3.800

Million Btu/Barrel

EIA RNW

Liquified Petroleum Gas (LPG)

0.092

Million BTU/Gallon

GHGRP

Million BTU/Dry Standard
Cubic Feet
Million BTU/Thousand Dry
Standard Cubic Feet

GHGRP

Million BTU/Dry Standard
Cubic Feet

GHGRP

Million BTU/Gallon

GHGRP

Natural Gas (Weighted U.S. Average)
Natural Gas Methane
Propane Gas
Natural Gas Liquids Ethane 1

11.758

GHGRP

1.026 × 10−3
0.841
2.516 × 10−3
0.068

C-2

EIA RNW

Fuel Name

Units of Measure

Source

0.099

Million BTU/Gallon

GHGRP

0.11

Million BTU/Gallon

GHGRP

Oil Used Oil

0.138

Million BTU/Gallon

GHGRP

Oil Unfinished Oils

0.139

Million BTU/Gallon

GHGRP

Oil Heavy Gas Oils

0.148

Million BTU/Gallon

GHGRP

Oil Lubricants

0.144

Million BTU/Gallon

GHGRP

Oil Asphalt and Road Oil

0.158

Million BTU/Gallon

GHGRP

Petroleum Liquid Other Oil (>401 deg F)

0.139

Million BTU/Gallon

GHGRP

0.11

Million BTU/Gallon

GHGRP

Petroleum Liquid Petrochemical Feedstocks

0.125

Million BTU/Gallon

GHGRP

Petroleum Liquid Butylene 1

0.105

Million BTU/Gallon

GHGRP

Petroleum Liquid Ethylene 2

0.058

Million BTU/Gallon

GHGRP

Petroleum Liquid Isobutylene 1

0.103

Million BTU/Gallon

GHGRP

Petroleum Liquid Still Gas

0.143

Million BTU/Gallon

GHGRP

Naphtha (<401 deg F)

0.125

Million BTU/Gallon

GHGRP

Propylene

0.091

Million BTU/Gallon

GHGRP

Million BTU/Dry Standard
Cubic Feet
Million BTU/Dry Standard
Cubic Feet
Million BTU/Dry Standard
Cubic Feet
Million BTU/Thousand
Cubic Feet
Million BTU/Gallon

GHGRP

Natural Gas Liquids Isobutane 1
Natural Gas Liquids Natural Gasoline

Petroleum Liquid Pentanes Plus

Default High
Heat Value

Blast Furnace Gas

0.092 × 10−3

Process Gas

0.599 × 10−3

Landfill Gas

0.485 × 10−3

Methane

0.841

Propane

0.091

GHGRP
GHGRP
EIA RNW
GHGRP

Residual Oil No. 5

0.14

Million BTU/Gallon

GHGRP

Residual Oil No. 6

0.15

Million BTU/Gallon

GHGRP

Sludge Waste

7.512

Million BTU/Short Ton

EIA RNW

Sludge Wood

10.071

Million BTU/Short Ton

EIA RNW

Solid Waste Municipal Solid Waste

9.95 3

Million BTU/Short Ton

GHGRP

8.25

Million BTU/Short Ton

GHGRP

Million BTU/Short Ton

GHGRP

10.39

Million BTU/Short Ton

GHGRP

Solid Waste Tires

Million BTU/Short Ton

GHGRP

Solid Waste Plastics

Million BTU/Short Ton

GHGRP

Solid Waste Agricultural Byproducts

8.248

Million BTU/Short Ton

EIA RNW

Solid Waste MSW Biogenic

9.696

Million BTU/Short Ton

EIA RNW

Solid Waste Paper Pellets

13.029

Million BTU/Short Ton

EIA RNW

Solid Waste Railroad Ties

12.618

Million BTU/Short Ton

EIA RNW

Solid Waste Solid Byproducts

25.830

Million BTU/Short Ton

EIA RNW

Solid Waste Spent Sulfite Liquor

12.720

Million BTU/Short Ton

EIA RNW

Solid Waste Agricultural Byproducts
Solid Waste Peat
Solid Waste Solid Byproducts

C-3

Fuel Name

Default High
Heat Value

Solid Waste Utility Poles

Units of Measure

Source

12.500

Million BTU/Short Ton

EIA RNW

Subbituminous

17.25

Million BTU/Short Ton

GHGRP

Wood and Wood Residuals (dry basis)

17.48

Million BTU/Short Ton

GHGRP

Energy Conversion Sources:
•
•
•
•
•

EIA CC: https://www.eia.gov/energyexplained/units-and-calculators/energy-conversioncalculators.php
EIA A1-A5: https://www.eia.gov/totalenergy/data/monthly/#appendices
EIA RNW: https://www.eia.gov/renewable/annual/trends/pdf/table1_10.pdf
GHGRP: Table C-1 to Subpart C of part 98'; https://www.epa.gov/sites/production/files/201506/documents/ghg-mrr-finalrule.pdf
AP42 AA: https://www3.epa.gov/ttnchie1/ap42/appendix/appa.pdf
34T

34T

Unit Conversions in the CAER System
The following is a list of simple conversions that the CAER system can perform on units of
measure to the level of detail (decimal values) that the form is performing them:
Table C. 2. List of Simple Unit of Measure Conversions in CAERS
Type of
conversion:

Area
Area
Area

Amount
to
convert
from:
1
1
1

Units to convert
from:

Amount to convert to (application
conversion):

ACRES
SQUARE YARDS
ACRES

Length

MILES

Mass
Mass
Mass
Mass
Mass
Mass

1
1
1
1
1
1

KILOGRAMS
POUNDS
GRAMS
KILOGRAMS
POUNDS
GRAMS

Mass
Mass
Mass
Mass
Mass
Mass

1
1
1
1
1
1

KILOGRAMS
POUNDS
MEGAGRAMS
MILLIGRAMS
NANOGRAMS
TONS

Mass
Mass

1
1

GRAMS
KILOGRAMS

43560
9
4840
5280

SQUARE FEET
SQUARE FEET
SQUARE
YARDS
FEET

1000
0.45359237
0.000001
.001
.00045359237
1000000

GRAMS
KILOGRAMS
MEGAGRAMS
MEGAGRAMS
MEGAGRAMS
MICROGRAMS

1000000000
453592370
1E+12
1000
0.001
907,184,740,000

MICROGRAMS
MICROGRAMS
MICROGRAMS
MICROGRAMS
MICROGRAMS
MICROGRAMS

1000
1000000

C-4

Units to
convert to:

MILLIGRAMS
MILLIGRAMS

Type of
conversion:

Mass
Mass
Mass
Mass

Amount
to
convert
from:
1
1
1
1

Units to convert
from:

Amount to convert to (application
conversion):

POUNDS
MEGAGRAMS
GRAMS
KILOGRAMS

453592.37
1000000000
1000000000
1E+12

MILLIGRAMS
MILLIGRAMS
NANOGRAMS
NANOGRAMS

Mass
Mass
Mass
Mass
Mass
Mass

1
1
1
1
1
1

POUNDS
MEGAGRAMS
MILLIGRAMS
GRAMS
TONS
GRAMS

453592370000
1E+15
1000000
.0022046226218488
2000
.000001102311310924388

NANOGRAMS
NANOGRAMS
NANOGRAMS
POUNDS
POUNDS
TONS

Mass
Mass
Mass
Mass
Volume

1
1
1
1
1

KILOGRAMS
MEGAGRAMS
MILLIGRAMS
NANOGRAMS
DRY STANDARD
CUBIC FEET

.0011023113109244
1.102311310924388
.000000001102311310924388
.000000000000001102311310924388
.028316846592

Volume

GALLONS

Volume

.037037037037037

Volume
Volume
Volume

1
1
1

DRY STANDARD
CUBIC FEET
GALLONS
CUBIC METERS
DRY STANDARD
CUBIC FEET

TONS
TONS
TONS
TONS
DRY
STANDARD
CUBIC
METERS
DRY
STANDARD
CUBIC
METERS
CUBIC YARDS

.004951131682011
1.307950619314392
7.480519488424055

CUBIC YARDS
CUBIC YARDS
GALLONS

.00378541178

Units to
convert to:

Volume Conversions for Natural Gas
Volumetric conversions of natural gas depend on the physical conditions of the natural gas as
follows.
To convert the volume of natural gas below 60 psia:
Under these conditions the Ideal Gas Law can be applied. Subscript 1 indicates gas at one set of
conditions of absolute temperature (T) in degrees Rankine (˚R), and absolute pressure (P) in pounds per
square inch absolute (psia), subscript 2 indicates the same gas at a different set of conditions for the gas.
V1 = T1/P1 (P2 V2/T2), to get V1 in cubic feet (cf).
A dry standard cubic foot (scf) of gas is defined as a cubic foot at a temperature of 21 °C (70 °F or 530 ˚R)
and a pressure of 101.325 kilopascals [kPa] (14.696 psia), except for liquefied petroleum gas.
C-5

Therefore, if converting from a gas with volume V2 at standard cubic feet of gas to V1, the formula to
apply would be:
V1=T1/P1 (14.696 x V2)/530
To convert the volume of natural gas above 60 psia:
Natural gas does not behave like an ideal gas in this case. The formula requires a compressibility factor
(Z).
V1=V2(Z1 T1 P2)/(Z2 T2 P1), to get V1 in cf,
where Z1/Z2 is the compressibility ratio.
For example: If converting from a gas with volume V2 at 60 ˚F (or 520 ˚R) and 14.73 psia to another
volume, the formula would be:
V1=V2(Z1 x T1 x 14.73)/(Z2 x 520 x P1)
Sources:
Paul R. Ludtke, Natural Gas Handbook, National Bureau of Standards, U.S. Department of Commerce,
Boulder, CO, August 1986. p 14.
NIST, Uniform Laws and Regulations in the Areas of Legal Metrology and Engine Fuel Quality (2017 ed.).
National Institute of Standards and Technology (NIST). November 2016. p. 120.
doi:10.6028/NIST.HB.130-2017. Retrieved 21 November 2017.

State Emission Factor Compendium
If your SLT Authority allows it, you may use emission factors available from other states. To
browse the Emission Factor Compendium, go to the CAER website and look under the “Development of
a State-Local-Tribal Emission Factors Compendium”. You will find three spreadsheets (from Minnesota,
Michigan and South Carolina), that may contain an emission factor your SLT deems appropriate for you
to use.
34T

C-6

34T

Appendix D

CAERS Submission Checklist

While CAERS is equipped with many QA checks designed to prevent you from sending incorrect
data to EPA and your SLT, there are still some checks that CAERS cannot run. It is in your best interest to
check this list to remove as many issues as possible that may delay your submission, and/or cause your
report to be rejected by EPA’s Emissions Inventory System if it finds additional errors. EPA reserves the
right to send a report back to your SLT even if all these steps have been taken, if additional issues that
are not listed here, appear in your report.
Before Entering CAERS
Item
#
1
2
3
4

5
6
7

8
9
10
-

Before Entering CAERS
Make sure you’re registered and have an account with CDX as preparer or certifier.
Make sure you remember your password or have allowed time for password changes every
90 days.
Before Starting a Report or Downloading the Bulk Upload Template
Your facility is listed in “My Facilities” page, or you have requested access to your facility.
You have gone into the User Interface and have checked that your facility information is
correct before certifying the report and have reached out to the SLT to help with corrections
only the SLT can make.
You have run the QA checks in the User Interface to see any new QA checks that need to be
addressed in your report.
You have made any edits or corrections in the UI that you would prefer to do there, to have
them appear in your Bulk Upload template.
If your facility did not report last year, your operating status is set to “Operating”, and that
status year is not in conflict with a previously reported status year. E.g., you have not
reported your facility as “TS” in 2019 but are now reporting it as “Operating” also in 2019.
While Creating a Report
Bulk Upload Template
You have not deleted entire rows in the template.
You have not replaced entire rows in the template.
You have not attempted to enter component IDs in columns where you must select them
from the drop-down menu.
All Reporting Methods
You have not deleted a component (e.g., unit, control) that existed in a previous report. You
must report it or mark it as “PS” or “TS”.
You have not simply re-labeled a component, as you must keep the original ID, or mark as
“PS” a component you want to re-label, then you must recreate it.
You have not created a brand-new component and then marked it as “TS” or “PS”. Any new
components must be operating.
For any components you have marked “PS” or “TS” you have also provided an “operating
status year” that is greater than the last year you reported the component as operating. E.g.,
you cannot report that an item was operating in 2020 in a previous report, and then say it was
“PS” in this year’s (2020) report.
For any process you have marked as “PS” or “TS” you have also provided an operating status
year that is consistent with the operating status of its unit. E.g., you cannot have an operating
process in 2019 if the unit was “TS” in 2019 unless it is a landfill.
34T

D-1

34T

Item
#

Before Entering CAERS
You have not marked as “PS” or “TS” a component for the same year when that component
operated and had emissions and is reporting emissions. E.g., if a unit operated only 3 days in a
year, it is still considered “Operating” for that year.
You have put all controls in their respective paths and have no empty paths.
You have cleared all critical quality checks.

D-2

Appendix E

Monthly Reporting for DOEE Facilities

This section only applies to facilities reporting to DOEE as their SLT. Starting 2023, facility
reporters will be able to enter fuel data on a monthly basis. To do so, you should look for the “Monthly
Fuel Reporting“ link on the left hand side of your screen (Figure E. 1).
Figure E. 1. Monthly Fuel Reporting Link for DOEE Facilities

When you click on that link, you will be taken to a separate set of screens where you can see, at the top,
a tab for each month of the year (Figure E. 2). To report fuel for a specific process, that process must
already have been created in CAERS. If you have reported to DOEE in previous years, the list of
previously reported processes will be prepopulated for you. To this list you should add any data that
may be missing for new processes that operated that inventory year. You should not attempt to start
reporting monthly fuel for the inventory year 2023 until after you have completed your 2022 inventory
year report, as processes cannot be created for a future year in CAERS at this time.

E-1

Figure E. 2. Monthly Fuel Reporting Screens for DOEE Facilities

From Figure E. 2, we can see that in this example, the facility has no fuel material reported. The
reporter would click on the process ID to be taken to that process page (refer to section 4.3.2) and enter
the fuel material there. Then the fuel material will appear on the monthly reporting screen (see Figure
E. 3). Note that many SCCs have a single fuel allowed to be reported. While future versions of CAERS
may prepopulate this fuel for you, as of now, the reporter must enter it.
Figure E. 3. Monthly Fuel Reporting with Fuel Material Listed

Enter amount of fuel used in the “Total Fuel Value” column, as well as the total operating days that
month (Figure E. 4). Click “Save Monthly Data”.
Figure E. 4. Example of a Monthly Fuel Report

Once you have entered data from January to June for the year, you will be able to submit your SemiAnnual fuel report. Note that for 2021 inventory year, you will not be submitting that report, but
instead, will be entering monthly data for 2021. Please note that if the process operated at all during
the year, then it is considered as “Operating”. Any process that did not operate at all during the
E-2

inventory year can be marked as “Permanently” or “Temporarily” shut down, as the case may be.
However, this should be done at the beginning of reporting (before certifying) or so long as you have
reported zero fuel use throughout the year. Once you have submitted a Semi-Annual Report, and/or
once you have reported any emissions for a process, you will not be able to mark that process as shut
down nor edit previous process or fuel data entered unless the SLT has pushed back your report. If you
find an error in your semiannual submission after you have certified and submitted it, you should reach
out to your SLT to have them reject your report so you may edit it.

E-3

File Type	application/pdf
File Title	Combined Air Emissions Reporting System (CAERS) User's Guide Version 3.0
Author	Gamas, Julia
File Modified	2023-02-03
File Created	2023-02-03