SAAQIS II NAEIS Pilot User Training Manual (Facility) · PDF fileDEA & SAWS NAEIS Pilot User Training Manual (Facility) Page 2 of 19 Acronyms and Symbols AEL Atmopsheric Emission Licence

DEA & SAWS NAEIS Pilot User Training Manual (Facility)

Page 1 of 19

SAAQIS II NAEIS

Pilot User Training Manual

(Facility)

Prepared for:

Department of Environmental Affairs

And

South African Weather Service

Version: 1.1

30 May 2013

1368 How Lane

North Brunswick, New Jersey 08902 United States of America

www.enfotech.com

http://www.enfotech.com/


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Acronyms and Symbols

AEL Atmopsheric Emission Licence

AO Accounting Officer (of facility)

AQO Air Quality Officer

CEM Continuous Emission Monitoring

ECO Emission Control Officer

EF Emission Factor

EI Emission Inventory

EPA Envirnonmental Protection Agency (of the United States of America)

EU Emission Unit

GHG Greenhouse gas

GIS Geographic Information System

NAEIS National Atmospheric Emission Inventory System

PEM

SCC Source Classification Code

SIC Source Industrial Code


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Tables of Contents

Acronyms and Symbols ................................................................................................................................ 2 1 Document Overview ............................................................................................................................... 4

1.1 Introduction to NAEIS .................................................................................................................... 4 1.2 Document Objective and Intended Audience ................................................................................ 4 1.3 Document Structure ...................................................................................................................... 4

2 High Level System Overview ................................................................................................................. 5 2.1 The BIG Picture ............................................................................................................................. 5 2.2 Emission Inventory Data Model .................................................................................................... 6 2.3 Process Overview ......................................................................................................................... 7 2.4 Actors and Roles ........................................................................................................................... 7

3 User Account Creation and Management ............................................................................................. 8 3.1 Facility User Account Creation ...................................................................................................... 8

3.1.1 Method 1: Self-Registration ....................................................................................................... 8 3.1.2 Method 2: Account Creation via Facility Portal (AO and ECO Only) ........................................ 8 3.1.3 Method 3: Account Creation via Authority Portal (Authorities Only) ......................................... 8

3.2 Facility User Association (AO and ECO Only) .............................................................................. 9 3.3 Facility User Account Management .............................................................................................. 9

4 System Login and Structure ................................................................................................................ 10 4.1 Logging into the System .............................................................................................................. 10 4.2 Structure and Layout ................................................................................................................... 10

5 Industrial Source Reporting ................................................................................................................. 12 5.1 Emission Types and Reference Data Lookup ............................................................................. 12 5.2 Reporting Obligation Confirmation .............................................................................................. 13 5.3 Report Preparation and Submission ........................................................................................... 13 5.4 Track Submissions ...................................................................................................................... 17 5.5 Audit Reponse ............................................................................................................................. 18


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1 Document Overview

1.1 Introduction to NAEIS

The National Atmospheric Emissions Inventory System (NAEIS) is a Web-based application accessible to the participating regulated facilities via the Internet. The system serves as an electronic file cabinet to manage Emission Inventory (EI) Reporting forms and to receive/store EI reports submitted by regulated facilities. Participating facility access privileges are administrated through the use of a PIN, username, and password. All EI Report submissions are verified via PIN/Security Question authentication with software security to ensure that the content of the data is original, truthful, legitimate, and unaltered.

1.2 Document Objective and Intended Audience

The purpose of this document is to serve as a supplement to the Pilot Training Session. It is not intended to serve as a user’s guide, and will instead focus on important process flows to be covered during the training. In addition to using this document in conjunction with the training session, participants should also reference the training manual as they start testing during the Pilot User Acceptance Phase of the project.

1.3 Document Structure

This document should be used in parallel with the Pilot Training Agenda. The flow of the document should match the standard process flow of the system. The general sequence is as follows: 1. Authority Account Creation – Performed by NAEIS System Administrator

2. Facility Account Creation – Performed by Facility or Authority User

3. Master List Preparation – Performed by Authority User

4. Confirmation of Reporting Obligation – Performed by Facility User (specifically, AO)

5. EI Year Reporting – Performed by Facility User (for Industrial Sources) and Authority User (for Non-Industrial Sources)

6. EI Year Compliance Check – Performed by Authority User

7. EI Year Auditing – Performed by Authority User

8. Response and Revision to EI Year Audits – Performed by Facility User (for Industrial Sources) and Authority User (for Non-Industrial Sources)

The tasks performed by the facility users will be outlined within this training manual in the subsequent sections.


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2 High Level System Overview

2.1 The BIG Picture

The NAEIS is an all-in-one data reporting and management system that aims to achieve the following goals by providing a user-friendly platform for:

Authority to add, remove, and manage facilities

Reporters to report necessary EI Reports

Quality Assurance Staff to check and verify prepared EI Reports

Authority to audit submitted EI Reports

Authority to view reports that break down emission information by different categories

The NAEI System has the capability to track emissions for Industrial as well as Non-Industrial Sources. Examples of Industrial Sources are factories, plants, drill sites, etc. Examples of Non-Industrial Sources are Residential Areas, Sea Ports, Vehicle Emission, etc.

The NAEI System will include Stack, Emission Unit, Reporting Group, Activity, and Individual Pollutant Reporting.

The reported data can assist the National Air Quality Department with further emission analysis. The NAEI System includes some analysis features such as the GHG Data Analysis Report and the Emission Search by GIS.


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2.2 Emission Inventory Data Model

The below diagram shows the emission inventory data model. This outlines the hierarchical relationship of facilities, their emission units and stacks, and processes and emissions. Modules:

Facility

Emission Unit and/or Reporting Group

Stack

Process (Activity)

Emissions

Relationship:

Reporting Year

Data Hierarchy


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2.3 Process Overview

NAEIS Process Overview

Au

tho

rity

NA

EI S

ys

tem

Fa

cilit

y R

ep

ort

er

(AO

, E

CO

, P

rep

are

r,

Re

vie

we

r)

Phase

Generate, Review,

and Publish Master

List

Does Facility have

AO registered in

System?

Create AO Account

(AO Only)

Login to Prepare

and Submit Report

No

Yes

Need

Auditing?

Perform Pre-Audit

Review is Complete

– No further action

needed

No

Pass Audit? YesYes

Send Report Back

for Revision

No

2.4 Actors and Roles

The table below lists all the possible facility actors and roles within NAEIS. Their task description and permissions are also listed.

Actors and Roles (Facility)

Actors Task Description

Facility Accounting Officer

- Create/Associate Facility Users

- Confirm e-mail for source - Enter or Revise Emission Data for relevant source - Check and edit Emission Data completeness for relevant source

- Certify and Submit/Re-Submit Emission Data for relevant source

Facility ECO

- Create/Associate Facility Users - Confirm e-mail for source

- Enter or Revise Emission Data for relevant source - Check and edit Emission Data completeness for relevant source

Facility Preparer/Consultant

- Enter or Revise Emission Data for relevant source

- Check and edit Emission Data completeness for relevant source

Facility Reviewer - View Emission Data for relevant sources

- Check Emission Data completeness for relevant sources


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3 User Account Creation and Management

3.1 Facility User Account Creation

3.1.1 Method 1: Self-Registration

Step 1: Go to http://196.24.218.38/NAEIS_FACILITY

Step 2: Under the Login Box located on the right side of the page, click the link “Self-Registration”.

Step 3: Within the Registration Page, please perform the following tasks:

Select your role (ie. AO, ECO, Preparer, Reviewer).

Enter in your Account Information (ie. Name, Email, Company, Contact).

Read the Agreement and Policy Section and check the “I have read and accepted the agreements” checkbox.

Step 4: Click the “Create Account” button.

3.1.2 Method 2: Account Creation via Facility Portal (AO and ECO Only)


Step 2: Login using your already-established AO or ECO account.

Step 3: Go to System Utilities>>Manage Users.

Step 4: Click on the “Add New” button.

Step 5: Within the Registration Page, please perform the following tasks:

Enter in the General Information for the user you are creating (ie. Name, Email, Company, Contact).

Enter in a username and any comment/notes about this user.

Step 6: Click the “Save User Info” button.

3.1.3 Method 3: Account Creation via Authority Portal (Authorities Only)

This method is only available for the NAEIS Authority Users only. Hence, the steps will not be described. It will only be mentioned in this training manual as a reference.

http://196.24.218.38/NAEIS_FACILITY



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3.2 Facility User Association (AO and ECO Only)



Step 3: Go to System Utilities>>Manage Users. Note: you may refer to screenshot in Section 3.1.3.

Step 4: Click the “Associate User” button.

Step 5: A pop-up will appear that prompts you to enter the user’s e-mail address. Enter in the user’s e-mail address and click the “Search” button.

Step 6: Confirm that the user is correct and click the “Associate Found Users” button.

Step 7: Return to the table grid view. The system will list all users associated with your facility.

Click the icon.

Step 8: Go to the “Associate Facilities” tab.

Step 9: Within the table, specify the user’s role that is mapped to the facility

3.3 Facility User Account Management



Step 3: Go to My Account.



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4 System Login and Structure

4.1 Logging into the System

1. Go to http://196.24.218.38/NAEIS_FACILITY 2. Enter your system generated username and password provided to you.

Note: If you are a Facility Account Officer logging in for the first time, the system will prompt you to enter your system-generated PIN and answer 5 security questions. Pins and Security Questions are used as a security precaution when certifying and submitting NAEIS reports.

3. If an invalid user name and/or password are entered, the system will not allow the user to login and display the following message: “User name and password are not matched”.

4.2 Structure and Layout

The System is organized into four horizontal static tabs; Home, NAEIS Report, System Utilities, and My Account.

1. Home: Displays all announcements set by the authorities. Announcements may contain

important information about the reporting period, system maintenance, or any additional tips. An example of the announcement webpart is shown below:

2. NAEIS Report: Displays the report obligations for the current EI Year. In addition, it also

shows all historical reports from previous years.

Tool Tip: If you have forgotten your password, please click the “Forgot Password” link on the Login Page. The system will then prompt you to enter your user name and password. Upon successful request, the system will send you a temporary system-generated password.



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3. System Utilities: Displays all reference data that may be useful when filling out an EI Report. Reference data include: Emission Factor, Material Code, Substance Code, SCC Code, and Unit. In addition, system utilities allows AOs and ECOs to manage and link users to their sources to assist in the report submission preparation.

4. My Account: Displays account information (general information, password, pin and security questions for AO) for the user who is logged in.

Under each of the four main tabs, there may be several vertical tabs. Each of these tabs will bring you to a different page.


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5 Industrial Source Reporting

5.1 Emission Types and Reference Data Lookup

The NAEI System consists of various reference data (Emission Factor, Material Code, Substance Code, Source Classification Code (SCC), Unit) that is used/needed to complete an EI Year Report. The following outlines the steps on accessing these reference data. Step 1: Go to the System Utilities Module.

Step 2: To view Emission Factors, select the Emission Factor Tab on the left side panel. Note: you may narrow your search by selecting inputting the specific SCC Code (or process) you wish to look up the emission factors for.

Step 3: To view Material Codes, select the Material Code Tab on the left side panel.

Step 4: To view Substance Codes, select the Substance Code Tab on the left side panel.

Step 5: To view SCC Codes, select the SCC Code Tab on the left side panel. Note: the SCC Code is displayed in a expand/compress diagram view. To expand, click on the (+) icon on the left of each category. To compress, click on the (-) icon on the left of each category or SCC Code value.

Step 6: To view Units, select the Unit Tab on the left side panel. In addition to the reference data, the two sections below also list the Emission Unit Types as well as Emission Basis (Methods) accepted by the system. These may come into use when filling out your EI year report. Emission Unit Type:

Boiler

Turbine

Combined Cycle (Boiler/Gas Turbine)

Duct Burner

Reciprocating IC Engine

Engine Test Cell

Process Heater

Furnace

Kiln

Calciner

Direct-fired Dryer

Dryer, unknown if direct or indirect.

Indirect-fired Dryer

Incinerator

Flare

Open Burning

Other combustion

Open Air Fugitive Source

Roof vents/Building vents

Process Equipment Fugitive Leaks

Process Equipment and Process Area Drains

Other fugitive

Storage Tank

Open Tank or Vat

Degreaser

Spray Booth or Coating Line

Printing Line

Gasoline Loading Rack or Arm

Other evaporative sources

Chemical Reactor

Oxidation Unit

Distillation Column/Stripper

Mixer

Cooling Tower

Other process equipment

Crusher

Grinder

Screen

Conveyor

Transfer Point

Silo

Open Storage Pile

Other bulk material equipment

Unclassified

Tool Tip: For all the reference codes described in the steps above, you may export the data into an excel format by clicking on the “Export to Excel” button located on the bottom of every grid view table.


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Emission Basis:

CEM

EPA EmissionFactor

Landfill Model

NAEIS EmissionFactor

Mass Balance

PEM

Stack Test

Tank Model

Facility Emission Factor

Other

5.2 Reporting Obligation Confirmation

In the beginning of every EI Year, the NAEI Authorities will send out an e-mail to notify all facilities of their reporting obligations. The e-mail will show the source name as well as a confirmation link for facility AO’s to click on. The confirmation link signifies that the accounting officer has read the e-mail and understands his/her reporting obligations for the current EI Year.

Upon clicking the confirmation, the following message will appear on the NAEI System Browser:

5.3 Report Preparation and Submission

The steps for starting your non-industrial source reporting obligation is outlined below.

Step 1: Go to NAEIS Report >> Current Year NAEIS Report.

Step 2: Click the icon for the source in which you wish to report.


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Source – collects basic information about the facility including

location and ownership.

Contact – collects information for the emission inventory contact

person (primary and secondary).

Stack – collects information about stacks that are connected to

emission units listed on the Emission Unit Form.

Emission Unit – identifies and describes a facility’s emission units.

Reporting Group – used to combine emission units into reporting

groups to simplify emission calculations. If this form is used, the Activity form and the Emissions form will be completed at the reporting group level.

Activity & Emission –describes operating schedules, material

information, and emission reporting for an emission unit or reporting group. One activity form must be completed for each reporting group or each emission unit that is not part of a reporting group.

Submit – last step of the reporting process. Accounting Officers

may add any additional preparers that may have been involved in preparing the report.

Completeness Check – ensures that there are reasonable

responses in required data fields. If fields are incomplete or incorrect, the System will generate warning or error messages.

NAEIS Report Site Map – Contains the report in an

expand/compress diagram format.

Step 3 – Source: Edit the Source Page. Make sure to enter all required fields, which are marked with red asterisks. Step 4 – Contact: Edit the Contact Page. This page allows you to enter the primary contact of the source (required) as well as a secondary contact (optional).

Step 5 – Stack (Optional): If your source contains stacks, you may add stack information by clicking the “Add New Stack” button. Enter all required fields, edit all relevant data, and click save. Note: you may obtain the latitude and longitude of the stack by performing the same actions in tool tip.

Step 6 – Emission Unit: Click the “Add New Emission Unit” button to create a new Emission Unit. Enter all required fields, edit all relevant data, and click save.

Step 7 – Reporting Group (Optional): Click the “Add New Reporting Group” button to create a new Reporting Group. Enter all required fields, edit all relevant data, and click save.

Step 8 – Activity & Emission (Activity Detail): Activity Forms will be prepopulated based on

your reported Emission Units and Reporting Groups. Click the icon to report the activities for your emission units/reporting groups.

Tool Tip: If you do not know the Latitude and Longitude of your source, you can click the “Get Lat/Long” button. This will launch a map that will obtain the Lat/Long information based on the address you have provided. You may also drag and drop the pin on the map to get an even more accurate Lat/Long measurement.

Tool Tip: You may add multiple activities per emission unit/reporting group. To do so, go into the activity form of the emission unit/reporting group, and click the “Add New Activity” button.


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At this time, make sure to know your Section 21 Code as well as your corresponding SCC Code. The first step is to select your Section 21 Code. The pick list is designed in an expand/compress format, as shown below. The grey selections define groups and subgroups whereas the blue selections define the actual Section 21 Codes to be selected.

Based on your selection of Section 21 Code, the dropdown for the SCC Code selection will narrow. The image below shows an example of how choosing different Section 21 Codes will yield different SCC Code selections. A reference guidance document has been created to show the linkage between Section 21 Codes and SCC Codes. Please contact the National DEA Air Quality and Climate Control Office for more information.

Step 9 – Activity & Emission (Emission): There are two methods to report annual emissions: 1. Manual Entry: Manual Entry will be used when your Emission Basis is NOT NAEIS

Emission Factor. This means you have performed your own testing and already have emission values. Valid testing methods include: CEM, Landfill Model, Mass Balance, PEM, Stack Test, Tank Model, or Other. Enter in your annual emission for the criteria pollutants in the “Annual Emission” column.

2. System Calculated: System Calculation will be used when your Emission Basis is NAEIS Emission Factor. The system will then use emission factor values, along with your input of Material Throughput and Control Efficiency to calculate annual emissions. To use this, perform the following steps:

- Select “NAEIS Emission Factor” as Emission Basis. - Input a Control Efficiency Percentage. - Click the “Calculate Emission” button.

- Review the calculated emissions displayed under the column “System Calculated Value”.

- If the values are in agreement, check the checkboxes under “Use System Calculated Value”.

- Click the “Save” button.

Tool Tip: You may add multiple additional pollutants in this page to report by clicking the

icon. This will bring out a list of pollutants for you to choose from.


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Step 10 – Completeness Check: Once all the forms are complete, preparers and submitters may use the Completeness Check function to scan the forms for possible warning/error message. The Completeness Check ensures that there are reasonable responses in required data fields. If fields are incomplete or incorrect, the System will generate warning or error messages.

The error report and messages will describe the potential problem and indicate on which form and field must be corrected. The completeness check does not verify whether the information you have entered is correct, but rather if the information entered is adequate for a complete submittal.

Errors generated from the Completeness Check must be corrected before the forms are submitted. However, warnings will not hold back the EI Report submissions. After the corrective actions are taken, running the Completeness Check again will then re-assess the result of these actions.

If errors are encountered in the Completeness Check, this message will display: "Failed Completeness Check".

If no error is generated from the Completeness Check, this message will display: "Passed Completeness Check".

Error messages can be viewed via the site map or the top of the corresponding form that contains the error. If users hover over the error, the system will display a short explanation detailing the reason for the incompleteness.

Tool Tip: The basic formula for calculating emissions is:

Where E = Emission, FC = Fuel Consumed, EF = Emission Factor, A = Exponent Amount, and CE = Control Efficiency


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Step 11 – Submit (Preparer Info): If a preparer assisted on the report, click the “Add New Preparer” button and fill in all required and relevant information.

Step 12 – Submit (Submittal Authorization): Verify the AO information, enter your PIN, answer your Security Question, Check the Certification Statement Checkbox, and click Submit.

5.4 Track Submissions

The status of your submission can be tracked via the NAEIS Report Tab. To access this page, please login and go to NAEIS Report >> Current Year NAEIS Report.

The following are all possible statuses for your NAEIS Report:

Statuses

Status Description

Blank The Report has been delegated to the Facility for Reporting, but has not yet been opened by the Facility.

Draft The Report has been delegated to the Facility for Reporting and the Facility is in the process of entering data.

Submitted The Report has been submitted by the Facility and is awaiting Authority Review


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Statuses

Status Description

Review Complete The Authority has reviewed and accepted the report. The report audit has passed.

Audit-Failed The Authority has reviewed and failed the audit for the report. The report has been sent back to the Facility for further action.

Audit-Failed-Revising The Facility has acknowledged the failed audit of the report and is in the process of revising its data.

Audit-Failed-Revising-Submitted The report that has failed audit has been re-submitted and is awaiting Authority Review.

5.5 Audit Reponse

You will receive two separate e-mails (in regards to audits) after submission of the EI Report; a pre-audit notification e-mail and an audit notification e-mail. The pre-audit e-mail will notify the facility AO on whether or not the submitted report requires an audit. If it doesn’t the report has passed Authority review. If it does, then the report will undergo a more detailed inspection. An example of the Pre-Audit e-mail is shown below:

The audit e-mail will notify the facility AO on the result of the audit for the submitted report. If it has passed, the report has passed Authority review. If it failed, the report will require further attention from the facility AO. The e-mail will detail all the comments made by the Authority and can prove helpful in revising the report.


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To revise your EI Report, please perform the following steps: Step 1: Go to NAEIS Report >> Current Year NAEIS Report.

Step 2: Click the icon for the source in which you wish to revise. Note: the status of your report should now be “Audit-Failed”.

Step 3: Fix all the necessary items that was included in your audit e-mail.

Step 4: Run the Completeness Check to make sure all data fields are valid and complete. If there are incomplete fields that need to be filled in, go to the Report Site Map to locate those areas.

Step 5: Verify the AO information, enter your PIN, answer your Security Question, Check the Certification Statement Checkbox, and click “Submit”.

Documents

SAAQIS II NAEIS Pilot User Training Manual (Facility) · PDF fileDEA & SAWS NAEIS Pilot User Training Manual (Facility) Page 2 of 19 Acronyms and Symbols AEL Atmopsheric Emission Licence