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Eo" EPA

- United States Office of Water EPA-821-R-02-003Environmental Protection (4303) February 12, 2004Agency

Regional Analysis Documentfor the Final Section 316(b)Phase II Existing Facilities Rule

Regional Analysis Document for the FinalSection 316(b) Phase II E sting Facilities Rule

U.S. Environmental Protection AgencyOffice of Science and TechnologyEngineering and Analysis Division

Washington, DC 20460February 12, 2004

ACKNOWLEDGMENTS AND DISCLAIMER

This document was prepared by the Office of Water staff. The following contractors provided assistance and support inperforming the underlying analysis supporting the conclusions detailed in this document.

Stratus Consulting Inc.Abt Associates Inc.

Tetra TechScience Applications International Corporation

The Office of Water has reviewed and approved this document for publication. The Office of Science and Technologydirected, managed, and reviewed the work of the contractors in preparing this document. Neither the United StatesGovernment nor any of its employees, contractors, subcontractors, or their employees makes any warranty, expressed orimplied, or assumes any legal liability or responsibility for any third party's use of or the results of such use of anyinformation, apparatus, product, or process discussed in this document, or represents that its use by such party would notinfringe on privately owned rights.

Section 316(b) Phase II Final Rule - Regional Studies Table of Contents

Section 316Cb) Phase II Final Rule - Regional Studies Table of Contents

Table of ContentsIntroduction

Part A: Evaluation Methods

Chapter Al: Ecological Risk Assessment FrameworkAl-I Problem FormulationAl-2 AnalysisAl-3 Risk Characterization

Chapter A2: Everything You Ever Wanted to Know About FishA2-1 Fish Diversity and AbundanceA2-2 Influence of Fish on Aquatic SystemsA2-3 Exterior Fish AnatomyA2-4 Interior Anatomy

Chapter A3: Other Vulnerable Aquatic OrganismsA3-1 PlanktonA3-2 MacroinvertebratesA3-3 Sea Turtles and Marine MammalsA3-4 Conclusions

Chapter A4: Direct and Indirect Effects of CWIS on BirdsA4-1 Direct Effects on BirdsA4-2 Indirect Effects on Fish-Eating BirdsA4-3 Understanding the Effects of Food Reduction on Bird Populations

Chapter A5: Methods Used to Evaluate I&EA5-I Objectives of EPA's Evaluation of I&E DataA5-2 Rationale for EPA's Approach to Evaluating I&E of Harvested SpeciesA5-3 Source DataA54 Methods for Evaluating I&EA5-5 Extrapolation of I&E Rates

Chapter A6: UncertaintyA6-4 Types of UncertaintyA6-2 Monte Carlo Analysis as a Tool for Quantifying Uncertainty

TOC i

Section 316(b) Phase II Final Pule - Regional Studies Table of ContentsSection 316Cb) Phose II Final �ule - Regionot Studies Toble of Contents

A6-3 EPA's Uncertainty Analysis of Yield EstimatesA64 Conclusions

Chapter A7: Entrainment SurvivalA7-1 The Causes of Entrainment MortalityA7-2 Factors Affecting the Determination of Entrainment SurvivalA7-3 Detailed Analysis of Entrainment Survival Studies ReviewedA7-4 Discussion of Review CriteriaA7-5 Applicability of Entrainment Survival Studies to Other FacilitiesA7-6 Conclusions

Chapter A8: Impingement & Entrainment by Waterbody TypeA8-1 CWIS Impingement and Entrainment Impacts in Rivers and StreamsA8-2 CWIS Impingement and Entrainment Impacts in Lakes and ReservoirsA8-3 CWIS Impingement and Entrainment Impacts in the Great LakesA84 CWIS Impingement and Entrainment Impacts in EstuariesA8-5 CWIS Impingement and Entrainment Impacts in OceansA8-6 Summary and Conclusions

Chapter A9: Economic Benefit Categories and ValuationA9-1 Economic Benefit Categories Applicable to the Final Section 316(b) RuleA9-2 Direct Use BenefitsA9-3 Indirect Use BenefitsA94 Non-Use BenefitsA9-5 Summary of Benefits CategoriesA9-6 Causality: Linking the Final Section 316(b) Rule to Beneficial OutcomesA9-7 Conclusions

Chapter A10: Methods for Estimating Commercial Fishing BenefitsA10-1 Overview of the Commercial Fishery SectorA10-2 The Role of Fishing Regulations and Regulatory ParticipantsA 10-3 Overview of U.S. Commercial FisheriesA104 Prices, Quantities, Gross Revenue, and Economic SurplusA10-5 Economic SurplusA10-6 Regional Results: A Context of No Anticipated Change in PriceA 10-7 Surplus Estimation Under Scenarios in Which Price May ChangeA10-8 Estimating Producer SurplusA10-9 Estimating Post-Harvest Economic Surplus in Tiered MarketsA10-10 Nonmonetary Benefits of Commercial FishingA10-11 Methods Used to Estimate Commercial Fishery Benefits from Reduced I&EA10-12 Limitations and Uncertainties

TOCii

Section 316(b) Phase Ir Final Rule - Regional Studies Table of ContentsSection 316Cb) Phase ir Final Rule - Regional Studies Table of Contents

Chapter All: Estimating Benefits with a Random Utility ModelAl l-l Site Choice ModelAl1-2 Trip Frequency ModelAl 1-3 Welfare EstimationAl 1-4 Data SourcesAl 1-5 Limitations and Uncertainties

Chapter A12: Non-Use Meta-Analysis MethodologyA12-1 Literature Review Procedure and OrganizationA12-2 Description of StudiesA12-3 Semi-Log Meta-Analysis Regression ModelA12-4 Log-Log Meta-Analysis Regression ModelA12-5 Application of the Meta-Analysis Results to the Analysis of Non-Use Benefits of the

Section 316(b) RuleA12-6 Limitations and Uncertainties

Chapter A13: Threatened & Endangered Species Analysis MethodsA13-1 Listed Species BackgroundA13-2 Framework for Identifying Listed Species Potentially at Risk of I&EA13-3 Identification of Species of Concern at Case Study SitesA134 Benefit Categories Applicable for Impacts on T&E SpeciesA13-5 Methods Available for Estimating the Economic Value Associated with I&E of T&E SpeciesA13-6 Issues in the Application of the T&E Valuation Approaches

Chapter A14: Discounting BenefitsA14-1 Discounting to Account for the Time it Takes to Enact New TechnologiesA14-2 Discounting to Account for the Time it Takes Fish Spared 1&E to Grow to Harvestable Age

Chapter A15: Habitat Based Methodology for Estimating Non-Use ValuesA 15-1 Estimating the Amount of Habitat Needed to Offset Losses for Specific SpeciesA 15-2 Development of WTP Values for Fish Production Services of HabitatAl 5-3 Estimating the Value of Habitat Needed to Offset l&E LossesA154 Limitations and Uncertainties

Appendix Al

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Section 316(b) Phase HI Final Rule - Regional Studies Table of ContentsSection 3 16(b) Phase II Final Rule - Regional Studies Table of Contents

Part B: California

Chapter B1: BackgroundB1-l OverviewB 1-2 Operating and Economic CharacteristicsB 1-3 Technical and Compliance CharacteristicsB1-4 Phase II Facilities in the California Regional Study

Chapter B2: Evaluation of Impingement and Entrainment in CaliforniaB2-1 Fishery Species Impinged and EntrainedB2-2 I&E Species and Species Groups EvaluatedB2-3 Life Histories of Primary Species Impinged and Entrained in CaliforniaB2-4 I&E Data EvaluatedB2-5 EPA's Estimate of Current I&E in California Expressed as Age I Equivalents, Foregone

Yield, and Production ForegoneB2-6 Assumptions Used in Calculating Recreational and Commercial Losses

Chapter B3: Commercial Fishing ValuationB3-1 Baseline LossesB3-2 Benefits

Chapter B4: RUM AnalysisB4-1 Data SummaryB4-2 Site Choice ModelsB4-3 Welfare EstimatesB4-4 Limitations and Uncertainties

Chapter B5: Non-Use BenefitsB5-1 Qualitative Assessment of Ecological Benefits for the California Region

Chapter B6: Threatened and Endangered Species AnalysisB6-1 A Potential Method for Valuing Special Status SpeciesB6-2 An Exploration of Benefits Transfer to Estimate Non-use Benefits of Reduced l&E in

Northern California

Appendix 81: Life History Parameter Values Used to Evaluate I&E in the Northern and

Southern California RegionsAppendix B2: Valuing Water Use Foregone

Appendix B3: Special Status Species Population Estimates

TOC iv

Section 316(b) Phase II Final Rule - Regional Studies Table of Contents

Part C: North Atlantic

Chapter Cl: BackgroundCl-i OverviewCl-2 Operating and Economic CharacteristicsCl-3 Technical and Compliance CharacteristicsC14 Phase II Facilities in the North Atlantic Regional Study

Chapter C2: Evaluation of Impingement and Entrainment in the North Atlantic RegionC2-1 Fishery Species Impinged and EntrainedC2-2 I&E Species and Species Groups EvaluatedC2-3 Life Histories of Primary Species Impinged and Entrained in the North Atlantic RegionC24 I&E Data EvaluatedC2-5 EPA's Estimate of Current l&E in the North Atlantic Region Expressed as Age I

Equivalents, Foregone Yield, and Production ForegoneC2-6 Assumptions Used in Calculating Recreational and Commercial Losses

Chapter C3: Commercial Fishing ValuationC3-1 Baseline LossesC3-2 Benefits

Chapter C4: RUM AnalysisC4-1 Data SummaryC4-2 The Nested Random Utility Model of Recreational DemandC4-3 Trip Frequency ModelC44 Welfare EstimatesC4-5 Limitations and Uncertainties

Chapter C5: Non-Use BenefitsC5-1 Qualitative Assessment of Ecological Benefits for the North Atlantic Region

Chapter C6: Habitat Based AnalysisC6-1 Data SummaryC6-2 Benefit Transfer for the North Atlantic RegionC6-3 Limitations and Uncertainty

Appendix Cl: Life History Parameter Values Used to Evaluate I&E in the North Atlantic

RegionAppendix C2: Scaling of Habitat Restoration

TOC v

Section 316(b) Phase II Final Pule - Regional Studies Table of ContentsSection 316(b) Phase II Final Rule - Re9ional Studies Table of Contents

Part D: Mid-Atlantic Region

Chapter D1: BackgroundDl-I OverviewD 1-2 Operating and Economic CharacteristicsDI-3 Technical and Compliance CharacteristicsDl-4 Phase II Facilities in the Mid-Atlantic Regional Study

Chapter 02: Evaluation of Impingement and Entrainment in the Mid-Atlantic RegionD2-1 Fishery Species Impinged and EntrainedD2-2 I&E Species and Species Groups EvaluatedD2-3 Life Histories of Primary Species Impinged and Entrained in the Mid-Atlantic RegionD2-4 I&E Data EvaluatedD2-5 EPA's Estimate of Current I&E in the Mid-Atlantic Region Expressed as Age I Equivalents,

Foregone Yield, and Production ForegoneD2-6 Assumptions Used in Calculating Recreational and Commercial Losses

Chapter D3: Commercial Fishing ValuationD3-1 Baseline LossesD3-2 Benefits

Chapter D4: RUM AnalysisD4-1 Data SummaryD4-2 Site Choice ModelD4-3 Trip Frequency ModelD4-4 Welfare EstimatesD4-5 Limitations and Uncertainties

Chapter D5: Non-Use BenefitsD5-I Qualitative Assessment of Ecological Benefits for the Mid-Atlantic Region

Chapter D6: Habitat Based AnalysisD6-l Data SummaryD6-2 Benefit Transfer for the Mid-Atlantic RegionD6-3 Limitations and Uncertainty

Appendix DI: Life History Parameter Values Used to Evaluate I&E in the Mid-Atlantic

Region

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Section 316(b) Phase II Final Rule - Regional Studies Table of ContentsSection 316Cb) Phose II Final Rule - Regional Studies Table of Contents

Port E: South Atlantic

Chapter El: BackgroundEl-I OverviewEl-2 Operating and Economic CharacteristicsEl-3 Technical and Compliance CharacteristicsEl-4 Phase II Facilities in the South Atlantic Regional Study

Chapter E2: Evaluation of Impingement and Entrainment in the South Atlantic RegionE2-1 Fishery Species Impinged and EntrainedE2-2 EPA's Estimates of Current l&E in the South Atlantic Region Expressed as Age I

Equivalents, Foregone Yield, and Production ForegoneE2-3 Assumptions Used in Calculating Recreational and Commercial Losses

Chapter E3: Commercial Fishing ValuationE3-4 Baseline LossesE3-2 Benefits

Chapter E4: RUM AnalysisE4-1 Data SummaryE4-2 Site Choice ModelsE4-3 Trip Frequency ModelE4-4 Welfare EstimatesE4-5 Limitations and Uncertainties

Chapter E5: Non-Use BenefitsE5-1 Qualitative Assessment of Ecological Benefits for the South Atlantic Region

TOC vii

Section 316(b) Phase IX Final Rule - Regional Studies Table of ContentsSection 316(b) Phase II Final Rule - Regional Studies Table of Contents

Part F: Gulf of Mexico

Chapter Fl: BackgroundFl-I OverviewFl-2 Operating and Economic CharacteristicsFl-3 Technical and Compliance CharacteristicsFl-4 Phase II Facilities in the Gulf of Mexico Regional Study

Chapter F2: Evaluation of Impingement and Entrainment in the Gulf of MexicoF2-1 Fishery Species Impinged and EntrainedF2-2 I&E Species and Species Groups EvaluatedF2-3 Life Histories of Primary Species Impinged and Entrained in the Gulf RegionF2-4 Data EvaluatedF2-5 EPA's Estimate of Current I&E in the Gulf Region Expressed as Age I Equivalents,

Foregone Yield, and Production ForegoneF2-6 Assumptions Used in Calculating Recreational and Commercial Losses

Chapter F3: Commercial Fishing ValuationF3-1 Baseline LossesF3-2 Benefits

Chapter F4: RUM AnalysisF4-1 Data SummaryF4-2 Site Choice ModelsF4-3 Trip Frequency ModelF4-4 Welfare EstimatesF4-5 Limitations and Uncertainties

Chapter F5: Non-Use BenefitsF5-1 Qualitative Assessment of Ecological Benefits for the Gulf of Mexico Region

Appendix FI: Life History Parameter Values Used to Evaluate I&E in the Gulf of MexicoRegion

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Section 316(b) Phase II Final Pule - Regional Studies Table of ContentsSection 316Cb) Phase II Final Rule - Regional Studies Table of Contents

Part G: The Great Lakes

Chapter G1: BackgroundGI-I OverviewG1-2 Operating and Economic CharacteristicsG1-3 Technical and Compliance CharacteristicsG1-4 Phase II Facilities in the Great Lakes Regional Study

Chapter G2: Evaluation of Impingement and Entrainment in the Great Lakes RegionG2-I I&E Species and Species Groups EvaluatedG2-2 Life Histories of Primary Species Impinged and Entrained in the Great Lakes RegionG2-3 I&E Data EvaluatedG24 EPA's Estimate of Current I&E in the Great Lakes Region Expressed as Age I Equivalents,

Foregone Yield, and Production ForegoneG2-5 Assumptions Used in Calculating Recreational and Commercial Losses

Chapter G3: Commercial Fishing ValuationG3-I Baseline LossesG3-2 Benefits

Chapter G4: RUM AnalysisG4-1 Data SummaryG4-2 Site Choice ModelsG4-3 Welfare EstimatesG4-4 Limitations and Uncertainties

Chapter G5: Non-Use BenefitsG5-1 Qualitative Assessment of Ecological Benefits for the Great Lakes Region

Chapter G6: Habitat Based AnalysisG6-1 Data SummaryG6-2 Benefit Transfer for the Great Lakes RegionG6-3 Limitations and Uncertainty

Appendix GI: Life History Parameter Values Used to Evaluate I&E in the Great LakesRegionAppendix G2: Scaling Habitat Restoration

TOC ir

Section 316(b) Phase II Final Pule - Regional Studies Table of ContentsSection 316Cb) Phase II Final Rule - Regional Studies Table of Contents

Part H: The Inland Region

Chapter HI: BackgroundHI-I OverviewH1-2 Operating and Economic CharacteristicsHI-3 Technical and Compliance CharacteristicsH 1-4 Phase II Facilities in the Inland Regional Study

Chapter H2: Evaluation of Impingement and Entrainment in the Inland RegionH2-1 I&E Species and Species Groups EvaluatedH2-2 Life Histories of Primary Species Impinged and Entrained in the Inland RegionH2-3 I&E Data EvaluatedH2-4 EPA's Estimate of Current I&E in the Inland Region Expressed as Age I Equivalents,

Foregone Yield, and Production ForegoneH2-5 Assumptions Used in Calculating Recreational and Commercial Losses

Chapter H3: Commercial Fishing Valuation

Chapter H4: Recreational Benefits AnalysisH4-1 Data SummaryH4-2 Benefit Transfer MethodologyH4-3 Welfare EstimatesH4-4 Limitations and Uncertainties

Chapter H5: Non-Use BenefitsH5-1 Qualitative Assessment of Ecological Benefits for the Inland Region

Appendix HI: Life History Parameter Values Used to Evaluate I&E in the Inland Region

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Section 316(b) Phase II Final Rule - Regional Studies Table of ContentsSection 316Cb) Phase II Final Rule - Regional Studies Table of Contents

Part I: National Benefits

Chapter Il: National BenefitsI1-1 Calculating National Losses and Benefits11-2 Summary of Baseline Losses and Expected Reductions in M&EII-3 Value of National Losses and BenefitsAppendix to Chapter II

Glossary

References

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