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2004

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Primarily informal (e.g., informal self-reporting, industry association report, expert opinion)

Mix of informal and more formal (e.g., observed data on one or few key inputs)

Primarily formal (e.g., observed, measured, required self-reporting to EPA, EIA, FERC)

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EPA Rule, Study

CFC Phaseout (Hammitt 2000) Broad Explicit

Enhanced I&M (Harrington et al 2000) Broad Explicit

Locomotive (Kopits 2014) Broad Explicit

Arsenic (Morgan & Simon 2014) Broad Explicit

MBr Phaseout (Wolverton 2014) Broad Explicit

Surface Coating (Wolverton et al 2017) Broad Explicit

MACT II (Morgan et al 2015) Broad Explicit

Cluster (Morgan et al 2015) Broad Explicit

Cluster (Elrod & Malik 2017) Narrow Partial

Gasoline Lead Phaseout (Kerr & Newell 2003) Narrow

Boutique Fuels (RFG&RVP) (Brown et al. 2008) Narrow

Boutique Fuels (RFG&OXL) (Chakravorty et al. 2008)

Narrow

RFS2 (Lade et al. 2018a, 2018b) Narrow Partial

NOx Budget (Linn 2008) Narrow Partial

NOx Budget (Popp 2010) Narrow

NOx Budget (Fowlie 2010) Narrow Partial

SO2 Title IV Phase I (Carlson et al. 2000) Broad Explicit

SO2 Title IV Phase I (Ellerman et al. 2000) Broad Explicit

SO2 Title IV Phase I (Swift 2001) Broad Explicit

SO2 Title IV Phase I (Arimura 2002) Narrow Partial

SO2 Title IV Phase I (Popp 2003) Narrow

SO2 Title IV Phase I (Swinton 2002, 2004) Broad Partial

SO2 Title IV Phase I (Busse & Keohane 2007) Narrow

SO2 Title IV Phase I & II (Frey 2013) Narrow

SO2 Title IV Phase II (Chan et al. 2018) Broad Partial

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Renewable Fuels

Standard 2

Assumed mandated production and use of

cellulosic ethanol would be met with average

cost/gallon at ~$1 below cost of gasoline in 2022

Title IV SO2 Program

Cluster & MACT II

Did not model non-technology compliance

strategies; did not account for compliance

flexibilities

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Renewable Fuels Standard 2 Renewable Fuels Standard 2

Boutique Fuels (RVP/RFG) Boutique Fuels (RFG, RVP, & OXL)

Title IV SO2 Title IV SO2 Program

NOx Budget Program NOx Budget Program

Cluster Cluster and MACT II Rules

CARB RFG Chlorofluorocarbon (CFC) Phaseout

RECLAIM Enhanced Emissions I&M Program

NA Designation Lead Phase Down in Gasoline

Arsenic Drinking Water Regulations

Light-Duty Surface Coating NESHAP

Methyl Bromide (MBr) Phase-Out

Locomotive Emission Standards

Lead Phase Down in

Gasoline

1979, 1982,

1985

Individual facility refinery performance standards followed by

trading program Y N

Chlorofluorocarbon (CFC)

Phaseout

1988, 1992,

1993

Tradable permit program for CFC consumption plus excise tax with

eventual phase out (to implement provisions of the Montreal

Protocol)

Y N

Boutique Fuels Program

(RFG, RVP, & OXL)

1989, 1990,

1992, 1994

Set fuel emission standards for regions with local air quality

problems; some programs also allow states to adopt unique fuel

programs

N Mix

Title IV SO2 Program 1992Two-phased cap-and-trade program for SO2 emissions from power

plantsY N

Enhanced Emissions I&M

Program1992

Required states to put in place vehicle inspection and maintenance

programs for ozoneN Y

NOx Budget Program 1998Cap-and-trade program to limit summer NOx emissions in eastern

states from power plants and other sourcesY Y

Locomotive Emission

Standards1998

Emission standards (for HC, CO, NOx, PM, smoke) and test

procedures for new and remanufactured locomotives Y N

Cluster Rule 1998BAT and effluent guidelines for and MACT standards for

air HAP emissions from pulp and paper millsN N

MACT II 2001 Y N

National Primary Drinking

Water Regulations for

Arsenic

2001Drinking water BAT standard for residential and non-residential

systems N Y

Light-Duty Surface Coating

NESHAP2004 MACT standard for HAP air emissions from vehicle paint shops N N

Methyl Bromide Phase-Out 2004-2008 Critical use exemption from ban on MBr use for agricultural

productionN N

Renewable Fuels Standard 2 2010Volume requirements for renewable fuel to replace (via blending)

petroleum-based fuelY N

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EPA Rule, Study Focus of StudyCFC Phaseout (Hammitt 2000) Compare ex ante vs ex post marginal control cost

Enhanced I&M (Harrington et al 2000) Compare ex ante vs. ex post cost per vehicle and identify key drivers; AZ program only

Title IV Phase I (Swift 2001) Performance of the SO2 trading program and compliance behavior

Locomotive (Kopits 2014) Compare ex ante vs. ex post cost and identify key drivers

Arsenic (Morgan & Simon 2014) Compare ex ante vs. ex post cost and identify key drivers

MBr Phaseout (Wolverton 2014) Compare ex ante vs. ex post cost and identify key drivers

Surface Coating (Wolverton et al 2017) Compare ex ante vs. ex post cost and identify key drivers

Cluster (Morgan et al 2014) Compare ex ante vs. ex post cost and identify key drivers

MACT II (Morgan et al 2014) Compare ex ante vs. ex post cost and identify key drivers

Cluster (Elrod & Malik 2017)* Estimate extent of product mix shifts as a compliance strategy

Lead Phaseout (Kerr & Newell 2003)Estimates impact of trading program on technology adoption (isomerization) relative to performance

stds

Boutique Fuels (RFG&RVP) (Brown et al. 2008)Estimate impact on wholesale gasoline prices, and role of competitors vs. geographic market

segmentation

Boutique Fuels (RFG&OXL) (Chakravorty et al.

2008)Examine effect of fragmented gasoline markets and regulatory program on wholesale gasoline prices

NOx Budget (Linn 2008)* Examine trading program impact on compliance via smaller-scale boiler modifications relative to CAC

NOx Budget (Popp 2010)Examine linkages between innovation (using patent data) and adoption of NOx pollution control

techniques

NOx Budget (Fowlie 2010) Examine how heterogeneity in electricity market regulation affected compliance methods

RFS2 (Lade et al. 2018a, 2018b)Estimate effect of three mandate reducing “shocks” on value of fuel industry’s compliance obligation,

commodity markets, and market value of publicly-traded biofuel firms

Title IV Phase I (Carlson et al. 2000)Develop ex ante cost prediction, and then estimate how actual compliance costs (1995-6) compare to

least cost projection

Title IV Phase I (Swinton 2002, 2004) Examine if MAC converged across plants; did they minimize costs? (2002: FL only; 2004: US)

Title IV Phase I &II (Frey 2013)How unit level characteristics, regulatory structure, estimated installation costs affected scrubber

adoption

Title IV Phase I (Popp 2003) Study innovation (using patent data) in scrubbers technology across SO2 CAC and cap-and-trade regimes

Title IV Phase I (Busse & Keohane 2007)* Examine effect of SO2 trading on the market for low-sulfur coal

Title IV Phase I (Arimura 2002) Examine utilities’ SO2 compliance responses and the role of local and state regulations

Title IV Phase I (Ellerman, et al. 2000)Describe and evaluate performance and behavior of markets during the first three years of the SO2

program

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EPA Rule, StudyRegulated source-level data Market data Other input

cost dataControl strategy Control Cost Other Permit price Product prices

CFC Phaseout (Hammitt 2000) X

Enhanced I&M (Harrington et al 2000) X X X

Title IV Phase I (Swift 2001) X X X X

Locomotive (Kopits 2014) X

Arsenic (Morgan & Simon 2014) X X X

MBr Phaseout (Wolverton 2014) X X X X

Surface Coating (Wolverton et al 2017) X X X X

Cluster (Morgan et al 2014) X X X

MACT II (Morgan et al 2014) X X

Cluster (Elrod & Malik 2017) * X X

Gasoline Lead Phaseout (Kerr & Newell 2003) X X X

Boutique Fuels (RFG& RVP) (Brown et al. 2008) X

Boutique Fuels (RFG & OXL) (Chakravorty et al.

2008)X

NOx Budget (Linn 2008)* X X

NOx Budget (Popp 2010) X X

NOx Budget (Fowlie 2010) X X

RFS2 (Lade et al. 2018a, 2018b) X X

Title IV Phase I (Carlson et al. 2000) X X X X

Title IV Phase I (Swinton 2002, 2004) X X X

Title IV Phase I & II (Frey 2013) X X X

Title IV Phase I (Popp 2003) X X X X X

Title IV Phase I (Busse & Keohane 2007)* X X X

Title IV Phase I (Arimura 2002) X X X

Title IV Phase I (Ellerman, et al. 2000) X X X X X

Title IV Phase II (Chan et al. 2018)* X X X X

Lead Phase Down in Gasoline

Many refineries adopted isomerization to comply; individual

refinery strategies diverged and had different compliance

cost characteristics due to trading

Title IV SO2 Program

NOx Budget Program SCR costs were overestimated

Cluster and MACT II Rules

Did not model non-technology compliance

strategies; did not account for compliance

flexibilities

Locomotive Emission Standards

small fuel economy penalty, static fuel

price; continued normal schedule for retrofit of

existing fleet

National Primary Drinking Water

Regulations for Arsenic

for some systems (e.g. small), cost not

used to model treatment choice; non-treatment

compliance strategies (e.g., blending) not considered

Light-Duty Surface Coating NESHAP

While aware of low-VOC coatings, compliance costs

based mainly on end of pipe controls; modeled plant

by plant compliance decision

Renewable Fuels Standard 2

Assumed mandated production and use of cellulosic

ethanol would be met with ave cost/gallon at ~$1

below cost of gasoline in 2022

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