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pdfSUPPORTING STATEMENT FOR THE
ELECTRIC POWER SURVEYS
OMB NUMBER 1905-0129
September 2007
Energy Information Administration
Office of Coal, Nuclear, Electric and Alternate Fuels
U.S. Department of Energy
Washington, DC 20585
2007 Electric Power Surveys Supporting Statement - 09/26/2007
Page 1 of 48
Contents
Background and Purpose ...............................................................................................................................................4
A. Justification ..............................................................................................................................................................8
A.1. Legal Justification .................................................................................................................................................8
A.2. Needs and Uses of Data on the Electric Power Industry.......................................................................................9
A.2.1. Overview of Data Uses .....................................................................................................................................10
A.2.2. Overview of Data Collections..........................................................................................................................12
A.2.3. Individual Form Data Uses and Modifications ................................................................................................14
A.3. Use of Technology and Reduction of Burden .....................................................................................................27
A.4. Efforts to Reduce Duplication ............................................................................................................................28
A.4.1. Analysis of Similar Existing Information ........................................................................................................30
A.5. Provisions for Reducing Burden on Small Businesses .......................................................................................33
A.6. Consequences of Less-Frequent Reporting.........................................................................................................34
A.7. Compliance with 5 CFR 1320.5..........................................................................................................................34
A.8. Summary of Consultations Outside the Agency .................................................................................................35
A.9. Payments or Gifts to Respondents .....................................................................................................................35
A.10 Provisions for Confidentiality of Information ...................................................................................................35
A.11. Justification for Sensitive Questions ..................................................................................................................40
A.12. Estimate of Respondent Burden Hours and Cost ...............................................................................................40
A.13. Annual Reporting and Record Keeping - Cost ..................................................................................................41
A.14. Annual Cost to the Federal Government............................................................................................................41
A.15. Changes in Burden.............................................................................................................................................40
A.16. Collection, Tabulation, and Publication Plans ...................................................................................................42
A.17. OMB Number and Expiration Date ...................................................................................................................45
A.18. Certification Statement ......................................................................................................................................45
B. Collection of Information Employing Statistical Methods ....................................................................................46
B.1. Respondent Universe .....................................................................................................................................…..46
B.2. Statistical Methodology .......................................................................................................................................47
B.3. Methods to Maximize Response Rates ...............................................................................................................57
B.4. Tests of Procedures ..............................................................................................................................................58
B.5. Forms Consultation..............................................................................................................................................58
Appendices
Appendix A, Partial List of Electric Power Data Users...............................................................................................59
Appendix B, Summary of Comments on Forms and Instructions ...............................................................................64
Appendix C, Revised Electric Power Cover Letters, Forms, and Instructions ............................................................86
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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Tables
Table 1. Electric Power Data Collection Forms ..........................................................................................................29
Table 2. Confidential Data Elements...........................................................................................................................37
Table 3. Electric Power Burden Information for OMB Number 1905-0129 ...............................................................39
Table 4. Change in Burden Hours ...............................................................................................................................41
Table 5. Internet Data Collection Submissions, 2007.................................................................................................42
Table 6. Proposed Electric Power Data Collection by EIA Form...............................................................................43
Table 7. Publications Using Proposed Electric Power Data by Form.........................................................................44
Table 8. Facility Types ...............................................................................................................................................50
Table 9. Energy Source Aggregations ........................................................................................................................50
Table 10. State/Census Division Aggregations ..........................................................................................................51
Table ll. Form EIA-923 Sample Coverage by Facility Type ......................................................................................53
Table 12. Form EIA-923 Sample Coverage by Energy Source ..................................................................................54
Table 13. Form EIA-923 RSE Comparisons for Current vs. Proposed Sample .........................................................54
Table 14. Form EIA-923 Capacity Cutoffs.................................................................................................................56
Table 15. Form EIA-923 Capacity Coverage .............................................................................................................56
Table B1. List of Commenters Responding to the April 4, 2007 2004, Federal Register Notice...............................84
Figures
Figure 1. EIA Electric Industry Data Collection ........................................................................................................13
Figure 2. US Level - Industrial Facilities – All Sources.............................................................................................55
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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SUPPORTING STATEMENT FOR THE
ELECTRIC POWER SURVEYS
OMB NUMBER 1905-0129
Part A
Background and Purpose
The Energy Information Administration (EIA) of the U.S. Department of Energy (DOE) is
required to publish, and otherwise make available to Federal government agencies, State and
local governments, the electric power industry, and the general public, independent, high-quality
statistical data that reflect national electric capacity, generation, sales, trade, transmission, and
pricing. To meet this obligation, the Electric Power Division of the EIA has developed statistical
surveys that encompass many significant electric power industry activities in the United States.
The EIA is requesting a 3-year approval for six surveys designed to collect this electric power
information. However, upon approval, the EIA will continue using the existing forms to collect
data for the remainder of 2007 and will begin using the revised forms in 2008.
The information collection proposed in this supporting statement has been reviewed in light of
applicable information quality guidelines. It has been determined that the information will be
collected, maintained, and used in a manner consistent with the Office of Management and
Budget (OMB), the DOE, and the EIA information quality guidelines.
Terms of Clearance
In November 2004, the OMB authorized the EIA to collect information under OMB No. 19050129 using the EIA Form Numbers: 411, 412, 423, 767, 826, 860, 860M, 861, 906, and 920. At
the time, OMB issued five terms of clearance which are listed below, along with the EIA
response.
OMB Comment on Form EIA-411:
The EIA will delay implementation of Form EIA-411, Schedule 7, until January 2006,
so that industry stakeholders may have an opportunity to update their reporting
systems and processes.
EIA Reply:
Implementation of Schedule 7 of the Form EIA-411 was delayed until January 2006 to allow the
NERC regions and their members to update their reporting systems. Since then, only five of the
eight regions have submitted the data to the EIA. Recently, the NERC has proposed to establish
a Transmission Availability Data System (TADS) to replace Schedule 7. While the EIA and the
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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NERC have had preliminary discussions, the EIA is not prepared at this time to accept this
proposal. The EIA will continue to consult with the NERC and encourage them to make their
proposal available to the rest of the Federal government.
OMB Comment on Confidentiality:
The EIA will not alter its existing confidentiality provisions for forms 423, 826, 906,
and 920. Although the EIA proposed a change to confidentiality provisions that
would have led to a release of firm-level data 6 months after the report year, OMB
does not approve this proposal at this time. However, EIA is encouraged to review its
overall policies concerning aging firm level data and may resubmit a justification to
release sensitive firm data based on this review and further consultation with
stakeholders for OMB's reconsideration.
EIA Reply:
The EIA held consultations with its stakeholders and reviewed the comments received
from the April 4, 2007 Federal Register notice. Taking all of that into account, the
EIA proposes only to release the monthly energy service providers’ data (collected on
Form EIA-826) 9 months after the reporting month, as the annual data for these
respondents are already released to the public 9 months after the end of the reporting
year, when the Electric Power Annual is released. The EIA will continue to withhold
the other sensitive data from the public, in accordance with the applicable laws, except
for State-level aggregations which pass EIA primary disclosure protection criteria.
OMB Comment on the Confidentiality Statement in the Form Instructions:
The EIA shall review statements on protecting data in the instructions for each form.
If the majority of the information collected on the form is public information and will
not be protected, EIA shall note this at the beginning of the statement prior to the
description of the information that EIA will protect as sensitive. This statement
currently appears at the end of the provisions regarding confidentiality of information
on some survey instructions.
EIA Reply:
The EIA reviewed the provisions regarding confidentiality of information on each
form’s instructions. Each data protection section now begins with a statement
explaining that the majority of the information collected on the form is public
information and will not be treated as sensitive. The remainder of the section
describes in detail the information that EIA will treat as sensitive and how it will be
handled and, if applicable, disseminated.
OMB Comment on the Form EIA-412:
Form EIA-412 is approved as a standby. If the EIA decides to implement Form EIA412 and collect information under the Confidential Information Protection and
Statistical Efficiency Act (CIPSEA), the EIA will redesign the form and submit it with
a Form 83-C to OMB for approval. The redesigned Form EIA-412 shall have separate
forms or schedules for utilities and nonutilities and shall also clearly distinguish
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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CIPSEA protected information by collecting this information on a separate form or
schedule from non-CIPSEA protected information. The EIA may include CIPSEA and
non-CIPSEA protected information on the same form for nonutilities if the CIPSEA
protected information is clearly identified on the form, and the EIA provides a
justification as to why a separate form for CIPSEA protected information is not
feasible or practical.
EIA Reply:
The EIA has decided to cancel the Form EIA-412 due to a lack of resources.
OMB Comment on the Form EIA-411
When the EIA requests an extension of this package, the agency should provide OMB
with additional information on Form EIA-411, Schedule 7, including details on how
the information was used, duplication with other public sources of transmission
information, input from NERC and its regions with respect to the burden associated
with reporting the information, and any concerns expressed by stakeholders with
regard to the quality of the survey data.
EIA Reply:
The EIA is using the data to monitor reliability planning, track changes in outage rates, and
determine issues affecting transmission outages. The data are not duplicative with other public
sources of transmission information. The EIA has been coordinating these issues with the
NERC. As mentioned above, the EIA has been briefed recently by the NERC on a proposal that
may serve the needs of both the NERC and the Federal government and keep the burden on
industry to a minimum. To this end, the NERC is proposing to establish a Transmission
Availability Data System (TADS). They have recently released their proposal for public
comment. It is the intent of the NERC that the data needs for the Federal government will be
collected within the TADS and that the EIA could use the NERC as the agent for collecting and
processing the information and avoid any issues related to duplication. Further discussions are
needed to come to a final determination on this matter.
EIA Proposals
The EIA has conducted a project, Electricity 2008, to evaluate its electric power surveys to
determine if changes need to be made to more accurately collect a comprehensive set of electric
power industry information while reducing the respondent burden and EIA processing time. As
part of this project, the EIA has consulted with data providers and data users to design a set of
electric power surveys that reflect the suggestions of both groups. Similar efforts were
undertaken with the Electricity 2002 and Electricity 2005 Projects. Electricity 2002 essentially
discarded all of the existing survey forms, processing systems, and reports and developed new
ones in response to the major changes to the electricity industry that were occurring at that time.
Included in this effort was the development of the Internet Data Collection (IDC) System.
Response to the IDC has expanded to the point that the EIA Electricity Power Division uses the
Internet to collect over 31,000 of the 35,000 electricity survey forms that are submitted each
year.
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In 2003, 1 year prior to the end of the previous approval period (November 2004), the EIA
requested and the OMB approved the Form EIA-920 which was designed to collect electric
power generation, fuel consumption, fuel heat content and fossil fuel stocks from combined heat
and power plants. Also, at that time, OMB approved modifications to the Form EIA-826 and
Form EIA-861, enabling the EIA to begin collecting information on electric power use in the
transportation sector. Electricity 2005 was a more modest effort that modified the surveys by
including questions on electricity transmission and fuel switching capabilities.
In the current proposal, the EIA is proposing the merging of five forms into two. In summary,
this project has four major objectives:
•
•
•
•
To merge the existing Form EIA-906 “Power Plant Report,” Form EIA-920, “Combined
Heat and Power Plant Report,” and Form EIA-423, “Monthly Cost and Quality of Fuels
for Electric Plants,” as well as transferring operational boiler-level information from the
Form EIA-767, “Steam-Electric Plant Operation and Design Report,” to the proposed
new Form EIA-923, “Power Plant Operations Report.” This would capture, for the first
time on one form fossil fuel receipts, consumption, and stocks to ensure that these data
balance, improving the quality of the data.
To require companies currently reporting on the FERC Form 423, “Monthly Report of
Cost and Quality of Fuel for Electric Plants,” to report cost and quality of fuel
information on the Form EIA-923. This would enable the EIA to capture all of the fossil
fuel receipts data on one form for the first time for the entire industry. The FERC has
agreed to consider terminating the FERC Form 423 in favor of the information proposed
to be collected on the Form EIA-923.
To transfer the static information collected on Form EIA-767, “Steam-Electric Plant
Operation and Design Report,” to the Form EIA-860, “Annual Electric Generator
Report.”
To discontinue Form EIA-767, “Steam-Electric Plant Operation and Design Report,”
Form EIA-423, “Monthly Cost and Quality of Fuels for Electric Plants Report,” Form
EIA-906, “Power Plant Report,” and Form EIA-920, “Combined Heat and Power Plant
Report,” as their data would be subsumed on other forms.
In addition to addressing the OMB terms of clearance and the current EIA form proposals, this
supporting statement addresses the information needs of government (Federal, State, and local)
agencies, utilities, nonutility power producers, investment analysts, consumers, and other
stakeholders interested in analyzing and monitoring the changing electric power industry. This
request is made for the clearance of the following six EIA electric power survey forms:
•
•
•
•
•
•
Form EIA-411, “Coordinated Bulk Power Supply Program Report”
Form EIA-826, “Monthly Electric Sales and Revenue with State Distributions Report”
Form EIA-860, “Annual Electric Generator Report”
Form EIA-860M, “Monthly Update to the Annual Electric Generator Report”
Form EIA-861, “Annual Electric Power Industry Report”
Form EIA-923, “Power Plant Operations Report.”
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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All of these forms are mandatory surveys and all are solely sponsored and conducted by the EIA.
Copies of the proposed forms, instructions, and their cover letters are contained in Appendix C.
A. Justification
A.1. Legal Justification
The authority for the data collections is derived from the following provisions:
Section 13(b), 15 U.S.C. §772(b), of the Federal Energy Administration Act of 1974 (FEA Act),
Public Law 93-275, outlines the types of individuals subject to the data collection authority
delegated to the Administrator and the general parameters of the type of data which can be
required. Section 13(b) states:
“All persons owning or operating facilities or business premises who are
engaged in any phase of energy supply or major energy consumption shall
make available to the [Secretary] such information and periodic reports,
records, documents, and other data relating to the purposes of this Act,
including full identification of all data and projections as to source, time,
and methodology of development, as the [Secretary] may prescribe by
regulation or order as necessary or appropriate for the proper exercise of
functions under this Act.”
The objectives of the FEA Act are set forth in Section 5(b), 15 U.S.C. §764(b), of the FEA Act,
which states that the Secretary shall, to the extent (s)he is authorized by Section 5(a) of the FEA
Act,
“(2) assess the adequacy of energy resources to meet demands in the
immediate and longer range future for all sectors of the economy and for
the general public;...
(9) collect, evaluate, assemble, and analyze energy information on
reserves, production, demand, and related economic data;...
(12) perform such other functions as may be prescribed by law.”
As the authority for invoking Section 5(b) above, Section 5(a), and 15 U.S.C. §764(a), of the
FEA Act in turn states:
“Subject to the provisions and procedures set forth in this Act, the
[Secretary] shall be responsible for such actions as are taken to assure that
adequate provision is made to meet the energy needs of the Nation. To
that end, he shall make such plans and direct and conduct such programs
related to the production, conservation, use, control, distribution,
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rationing, and allocation of all forms of energy as are appropriate in
connection with only those authorities or functions:
(1) specifically transferred to or vested in him by or pursuant to this Act;...
(3) otherwise specifically vested in the [Secretary] by the Congress.”
Authority for invoking Section 5(a) of the FEA Act is provided by Section 52, 15 U.S.C. §790(a)
and (b), of the FEA Act, which states that the Administrator of the EIA:
“(a)...[Shall] establish a National Energy Information System...[which]
shall contain such information as is required to provide a description of
and facilitate analysis of energy supply and consumption...
(b) ...the System shall contain such energy information as is necessary to
carry out the Administration's statistical and forecasting activities..., and
such energy information as is required to define and permit analysis of...
(1) the institutional structure of the energy supply system, including
patterns of ownership and control of mineral fuel and non-mineral
energy resources and the production, distribution, and marketing of
mineral fuels and electricity;
(2) the consumption of mineral fuels, non-mineral energy resources,
and electricity by such classes, sectors, and regions as may be
appropriate for the purposes of this Act;
(3) the sensitivity of energy resource reserves, exploration,
development, production, transportation, and consumption to
economic factors, environmental constraints, technological
improvements, and substitutability of alternate energy sources; . . .
(5) ...industrial, labor, and regional impacts of changes and patterns of
energy supply and consumption...”
A.2. Needs and Uses of Data on the Electric Power Industry
The electric power industry in the United States currently consists of traditionally regulated
entities 1 (also known as electric utilities), as well as nonutility 2 participants, which include
1
Any entity that generates, transmits, or distributes electricity and recovers the cost of its generation, transmission
or distribution assets and operations, either directly or indirectly, through cost-based rates set by a separate
regulatory authority (e.g., State Public Service Commission), or is owned by a governmental unit or the consumers
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electric power marketers. At the end of 2005 (the last full year of final data), there were 3,332
entities involved in retail distribution of electricity, 213 of which were nonutility entities. In the
generation portion of the industry, there were an additional 1,865 nonutility entities.
Collectively, the industry owned and operated approximately 978 gigawatts of generating
capability, produced nearly 4.1 trillion kilowatthours of electricity, and earned revenues in
excess of $298 billion during 2005. In addition, the industry (including the production of useful
thermal output) consumed over 1,065 million tons of coal, 231 million barrels of oil products and
over 7.0 trillion cubic feet of natural gas, making the industry the single largest consumer of
fossil fuels.
Competition in power generation accelerated in response to Federal Energy Regulatory
Commission (FERC) Order Nos. 888 and 889 in 1996. Those FERC orders required that access
to transmission facilities must be shared with all generators on terms and conditions that are the
same for all users, including the owners of the facilities. In addition, currently 14 States and the
District of Columbia have measures to expand competition at the retail level since the FERC
Orders were issued. (Another eight States who had begun to deregulate their retail sales but
have suspended these activities, as the anticipated benefits have not materialized.) These
initiatives are contributing to significant changes in the industry’s structure and operations.
Historically, electric utilities have owned most of the electric generating capacity and produced
most of the industry’s electricity. In response to the restructuring activities occurring at the State
and national levels, the EIA data show major shifts in the industry’s structure. For example, in
1996, electric utilities owned 91 percent of the industry’s capacity and produced 89 percent of
the net electricity generated in the country. However, by 2005, they owned 57 percent of the
capacity and provided 63 percent of net generation. The nonutility share of capacity has
correspondingly increased from 9 percent to 43 percent and their share of electricity generation is
now at 37 percent, up from 11 percent in 1996.
These developments in generation, retail competition, access to transmission facilities, market
share, and other industry changes require that the EIA adapt its industry data collection program
periodically to reflect their impact to the users of EIA data.
A.2.1. Overview of Data Uses
that the entity serves. Examples of these entities include: investor-owned entities, public power districts, public
utility districts, municipalities, rural electric cooperatives, and State and Federal agencies. Electric utilities may
have Federal Energy Regulatory Commission approval for interconnection agreements and wholesale trade tariffs
covering either cost-of-service and/or market-based rates under the authority of the Federal Power Act.
2
Any entity that generates, transmits, or sells electricity, or sells or trades electricity services and products, where
costs are not established and recovered by regulatory authority. Examples of these entities include, but are not
limited to, independent power producers, power marketers and aggregators (both wholesale and retail), merchant
transmission service providers, self-generation entities, and cogeneration firms with Qualifying Facility Status.
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The proposed set of EIA forms is designed to capture data from the emerging participants (power
marketers, and all individuals or entities engaged in the production, sales, or distribution of
electricity), as well as the traditional set of utilities. Policy makers, regulators, energy planners,
and the electric power industry use much of the electric power data that the EIA collects for all
of the issues discussed below and more.
State government regulators and analysts use the EIA electric power data for assessing regionaland State-level market conditions, determining energy and environmental policies, and many
other uses. For example, the State of California used EIA electric power data in 2007 to assess
supply conditions in that State and to estimate sulfur dioxide and other greenhouse gas
emissions. In some cases, States have reduced their own data collection efforts with the
intention of relying on the EIA for many of their information needs. The EIA data are
particularly important to the States as they are used to meet compliance verification requirements
under the Federal Clean Air Act. 3 In the absence of the centralized and public data collection by
the EIA, each State would have to undertake its own data collection effort, in many cases
requesting duplicative information from firms with electric power industry operations that cross
State lines. The EIA data collection ensures consistent data at minimum cost to the public and
respondents. In addition to government and power industry customers, the EIA data are the core
information source for other private sector and academic analyses of the electric power industry.
A partial listing of recent users of the EIA electric power data is included in Appendix A.
Examples of uses of EIA electric power data are:
3
•
Monitoring the electric power industry, its sectors, and reliance on each fuel type
•
Monitoring fuel stock inventories during energy or weather emergencies
•
Analyzing the progress of renewable energy portfolios
•
Analyzing the adequacy of short and long-term electricity supply
•
Verifying information provided to State and other Federal agencies in other forums
•
Monitoring the transition to open transmission line access
•
Evaluating transmission line constraints and system reliability
•
Forecasting short- and long-term electricity supply and demand
•
Evaluating the need for additional electric generating capacity
•
Assessing the degree of market concentration in market-based applications
•
Evaluating unbundled retail electricity rates
•
Estimating stranded costs of utility generating assets
•
Allocating emission credits to individual generators
•
Designing future environmental trading programs
The Clean Air Act, as amended, is codified at 42 USC, Chapter 85.
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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•
Estimating the cost of environmental equipment to meet standards
•
Establishing budgets and standards for air quality programs
•
Assessing compliance with existing environmental programs
•
Evaluating multi-pollutant control proposals
•
Monitoring and analyzing the economic and operational impacts of industry restructuring
•
Providing input to the Environmental Protection Agency’s “Emissions and Generation
Resource Integrated Database” (E-GRID), which is used by State regulatory authorities to
evaluate their environmental programs
•
Developing programs for the Clean Air Act’s Acid Rain Program
•
Developing regulations to comply with such statutes as the Clean Air Act, the Clean
Water Act, and the Resource Conservation and Recovery Act
•
Modeling air quality rules and procedures
•
Monitoring the cost and quality of the fossil fuels used to generate electricity
•
Monitoring sales and prices of electricity for use by the Public Utility Commissions when
reviewing rate cases
•
Monitoring the progress towards retail competition.
A.2.2. Overview of Data Collections
The EIA electric power data forms will collect a full range of information about the industry,
while minimizing respondent burden and avoiding duplicate data collection. Most of the EIA
electric power data are collected annually; the remainder is collected monthly. Each annual form
has a different set (or subset) of respondents, as data are collected to focus on each sector of the
electric power industry. The monthly forms collect information only from a sample/subset of the
overall universe in order to minimize the burden on the industry.
The information to be collected will provide important profiles for each major portion of the
electric power industry, such as:
1) electricity generation (i.e., fuel consumption, electric generation, fuel stocks, fuel
receipts, fuel costs, plant capacity [both existing and planned], projected electricity
demands, and environmental control equipment)
2) electricity transmission (i.e., types, locations, additions, maintenance and reliability of
transmission lines)
3) electricity distribution (i.e., revenues)
4) electricity sales (i.e., retail and wholesale sales, revenues, number of customers,
demand-side management programs, and electricity sources and disposition).
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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Figure 1 illustrates how each survey collects information from each important facet of the
industry.
2007 Electric Power Surveys Supporting Statement - 09/26/2007
Page 13 of 48
Figure 1. EIA Electric Industry Data Collection
EIA-923
EIA-923
Monthly data on cost and
quality of fuels delivered
to generating plants
Annual environmental,
operations, and emissions data
for organic-fueled or combustible
renewable steam-electric plants
EIA-860
Annual data on existing and
proposed power plants, ownership,
generators, and environmental
equipment
EIA-923
Monthly/annual data on generation,
consumption, useful thermal
output, and fuel stocks
EIA-860M
Energy
Sources
Monthly data on new power plants,
generators, and ownership
Coal
Petroleum
Steam Production
Electric Power Generation
Natural Gas
Other Gas
Nuclear
FERC 1 (Majors) or
FERC 1F (Nonmajors)
Renewables (excluding hydroelectric)
Wood, Waste,
Geothermal, Solar, Wind
Steam for Commercial
Industrial Use
Hydroelectric
Other
Annual data on investor-owned
finances and operations
RUS 7 (Distributors) or
RUS 12 (Generation &
Transmission)
Annual data on cooperative
borrowers finances and operations
EIA-411
Residential
EIA-826
OE-781R
Annual data on international
electric export/import transactions
Canada
Canada
Exports
Imports
Mexico
Mexico
Annual data on NERC peak
demand and energy
Monthly data on retail sales
and revenue by State
Commercial
EIA-861
Industrial
Electricity
Uses
Transportation
Annual data on electric sources
and dispositions, electric
operating revenue, retail sales
and revenue by State, demand-side
management, and distribution
system information
Distribution
OE-417
Incident data on electric
emergencies and disturbances
2007 Electric Power Surveys Supporting Statement - 09/26/2007
Sales for
Resale/Transmission
Indicates Non-EIA Forms
Page 14 of 48
A.2.3. Individual Form Data Uses and Modifications
Information on the specific electric power data forms in this clearance package is
provided in this section. The discussions address the data collected, the entities that
submit the forms, modifications made to the currently approved forms, and data uses.
The confidential nature and protection of sensitive information submitted on the forms is
addressed in Section A.10.
All of the forms and instructions included in this clearance package have been
standardized around a consistent design, layout, section order, and content where
practical. The forms, instructions, and cover letters for each form are presented in
Appendix C.
● Form EIA-411, “Coordinated Bulk Power Supply Program Report”
The Form EIA-411 is filed annually. It has been a voluntary report; however, the EIA is
proposing to make it mandatory in 2008. The form was originally voluntary as
participation in the North American Electric Reliability Council (NERC) was voluntary.
This made it difficult for the NERC Regional Councils to accurately collect and submit
all of the data, as they could not obtain it from those who were not members of the
NERC. Now that the North American Electric Reliability Corporation has replaced the
North American Electric Reliability Council (through the implementation of the Energy
Policy Act of 2005), all electric industry participants are required to belong to it.
Therefore, completing the form will now be possible. The information reported includes:
(1) peak demand and energy for the preceding year and 5 future years; (2) existing and
planned generating capacity; (3) scheduled capacity purchases and sales; (4) bulk electric
transmission system maps and power flow cases, and (5) projected transmission lines.
The various NERC Regions will report information to the NERC headquarters, using data
collected from their members. The NERC headquarters then compiles the data and
provides consolidated regional reports to the EIA.
Modifications:
EIA proposes to:
(a) eliminate Schedule 2, “Capacity for Existing Generator in Reporting Year,” as this
information will be subsumed in Schedule 3
(b) modify Schedule 3, “Historical and Projected Demand and Capacity.” The
modifications require that the NERC Regions provide data on specific supply
conditions which affect capacity (summer and winter) reliability, yielding better
information about the reliability conditions that determine available supply resources
by region. The modifications will also enable the EIA to reconcile differences
between the total net capacity reported to EIA by its respondents on the Form EIA860 and the reliable capacity estimated by the NERC Regions.
Uses of Data:
The information is used by the Department of Energy:
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(a) to answer queries from the Congress, other Federal and State agencies, the electric
power industry, and the general public
(b) as input to the National Energy Modeling System (NEMS)
(c) to monitor the electric power industry’s health and evaluate its future plans
(d) to monitor the adequacy and reliability of transmission line capacity
(e) to determine the adequacy of electricity supply in the eight NERC regions and the
Nation
(f) to monitor reliability planning for adequacy of supply, track changes in peak-load
demand, review new planned transmission line additions, and determine issues
affecting transmission outage rates
(g) to analyze the adequacy of short and long-term electricity supply
(h) to monitor the transition to open transmission line access
(i) to evaluate transmission line constraints and system reliability
(j) to forecasting short- and long-term electricity supply and demand
(k) as input to the following reports issued by the EIA:
1) Electric Power Annual
2) Annual Energy Review
3) Annual Energy Outlook.
Other data users include electricity-related trade associations; independent system
operators; electric utility companies; nonutility companies; energy service providers;
wholesale electricity traders; electrical equipment companies; numerous local, State, and
Federal government agencies; environmental associations; consumer groups; financial
analysts; and the news media.
● Form EIA-826, “Monthly Electric Sales and Revenue Report with State
Distributions”
The mandatory Form EIA-826 is used to collect monthly data by State from a
sample consisting of approximately 450 utility and nonutility entities that have
sales to end-use customers. Data are collected separately for: utilities with
regulated sales; entities with market-based sales (for energy-only service); and
entities that provide only energy delivery services, where the energy is supplied
by another entity. Data collected on the Form EIA-826 include revenue
(associated with the sale of electricity), sales (megawatthours delivered), and
number of customers. The sampling methodology is described in Section B,
“Collection of Information Employing Statistical Methods,” Item 2, Statistical
Methodology. Data are collected from entities with sales within States for use in
developing monthly average price estimates by State.
Modifications:
EIA proposes to:
(a) reduce the due date for the form from 40 to 30 calendar days after the end of the
reporting month to aid in validating the data against other survey data and to release the
data to the public in a timely manner, consistent with the other monthly surveys
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(b) modify Schedule 1. Part C. “Sales to Ultimate Customers, Delivery Only Service
Additional,” to provide the names of the energy service providers for whom distributors
deliver electricity.
Uses of Data:
The information is used by the Department of Energy:
(a) to answer queries from the Congress, other Federal and State agencies, the electric
power industry, and the general public
(b) as input to the Short-Term Integrated Forecasting System, used to forecast quarterly
electricity sales for up to 8 future quarters
(c) as input to the National Energy Modeling System (NEMS)
(d) to estimate monthly electric sales and price data by State and sector (residential,
commercial, industrial and other)
(e) to monitor the progress of State retail competition
(f) to evaluate industry concentration and the resulting market power of retail sellers
(g) to monitor national and local sales and prices, by sector, including transportation data
by the Federal Reserve Board, Congress, other Federal agencies, the electric power
industry, and the general public
(h) to evaluate unbundled retail electricity rates
(i) to monitor and analyze the economic impact of industry restructuring by financial
analysts
(j) to evaluate industry concentration and the resulting market power of retail sellers by
Standard & Poor’s
(k) to use by the public utility commissions when reviewing rate cases
(l) to verify information provided to State and other Federal agencies in other forums
(m) to evaluate unbundled retail electricity rates
(n) to monitor and analyzing the economic and operational impacts of industry
restructuring
(o) to monitor sales and prices of electricity for use by the Public Utility Commissions
when reviewing rate cases
(p) to monitor the progress towards retail competition
(q) to produce the following reports issued by EIA:
1) Monthly Energy Review
2) Electric Power Flash
3) Electric Power Monthly
4) Electric Power Annual
5) Short-Term Energy Outlook
6) Annual Energy Outlook.
Other data users include electricity-related trade associations; independent system
operators; electric utility companies; nonutility companies; energy service providers;
wholesale electricity traders; electrical equipment companies; numerous local, State, and
Federal government agencies; environmental associations; consumer groups; financial
analysts; and the news media.
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● Form EIA-860, “Annual Electric Generator Report”
The Form EIA-860, “Annual Electric Generator Report,” is a mandatory annual census
used to collect data on electric generators in the United States that are located at
generating facilities with a total generator nameplate capacity of 1 megawatt or greater,
and where the generators, or the facility where the generators reside, are connected to the
grid. The Form EIA-860 is filed by approximately 2,700 companies that operate 5,500
(both existing and planned) plants containing over 17,000 generators. Data collected on
the Form EIA-860 include ownership, generator capacity, fuel capability, operational
status, commercial operations date and actual or planned retirement date, fuel switching
and co-firing capability, generator interconnection cost information, regulatory status,
and static environmental data. In addition to existing units, the form collects data on
planned and modified units expected to enter commercial operation within 5 years.
Modifications:
The EIA proposes to:
(a) add the static environmental control information from the former Form EIA-767. The
EIA proposes to add the following data items:
1. Schedule 1. “Identification”
a. whether the reporting entity is an electric utility
2. Schedule 2. “Power Plant Data”
a. boiler status
b. boiler plant type
c. name of the owner of the transmission or distribution system to
which the power plant is interconnected and the grid voltage at the
point of interconnection (for all plants).
3. Schedule 3. “Generator Information”
a. whether the generator is an electric utility or nonutility generator
b. associated boiler IDs (organic-fueled steam-electric generators
only)
c. response to unit code required for combined cycle generators
d. for combined cycle steam generators, whether there is an
associated duct-burner
e. for combined heat and power producers, whether the generators are
associated with bottoming or topping cycle
f. leading and lagging reactive power output at net summer and at net
winter capacity for generators 10 megawatts or greater (generator
nameplate capacity)
g. start-up and flame stabilization energy sources
h. factors that limit the ability to switch from natural gas to oil
i. whether the unit can switch between oil and natural gas while
operating
j. whether the generator is part of a site that was previously reported
as indefinitely postponed or cancelled
k. type of technology for existing and proposed coal-fired and
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petroleum coke-fired generators.
4. Schedule 6: “Boiler Information”
a. Part A. Plant configuration
b. Part B. Air emission standards, including:
• is the boiler subject to New Source Review Requirements
• strategies to meet nitrogen oxides requirements of Title IV
of the Clean Air Act Amendments of 1990.
c. Part C. Design parameters
d. Part D. Nitrogen oxide emission controls
e. Part E. Mercury emission controls
f. Part F. Cooling system information – design parameters
g. Part G. Flue gas particulate collector information
h. Part H. Flue gas desulfurization unit – design parameters
i. Part I. Stack and flue information – design parameters, including
seasonal flue gas exit temperature.
(b) The EIA proposes to eliminate collecting the following items:
1. Schedule 1. “Identification”
a. electric utility class of ownership
2. Schedule 2. “Power Plant Data”
a. the name of the electric utility in whose service area the plant is
located (applicable only to independent power producers and
combined heat and power producers)
b. NERC Subregion
3. Schedule 3. “Generator Information”
a. the EIA generator code
b. if any part of the generator is owned by an entity that is not an
electric utility
c. identification of distributed generators
d. modes of transportation for energy sources
e. the requirements to explicitly report the following for existing
generators:
• proposed deactivated shutdown status
• proposed change in ownership
• proposed fuel change
• proposed reactivation from retirement.
(c) The EIA proposes to change the effective date for reporting from January 1 to
December 31.
(d) The EIA proposes to change the reporting of Federal Energy Regulatory Commission
Qualifying Facility information from being reported at the generator level to reporting at
the plant level.
Uses of Data:
These data are used by the Department of Energy:
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(a) as the primary source of information on the characteristics and capabilities of the
Nation’s generating fleet
(b) as background for answering requests from the general public and Congress for
power plant generator level information
(c) as input to the National Energy Modeling System (NEMS) and the Short-Term
Integrated Forecasting System (STIFS)
(d) as input to many private sector models of the electric generating system
(e) as a source for studies of capacity additions and fuel switching
(f) as input to emission calculations in combination with the EPA E-GRID and
Continuous
Emissions Monitoring System (CEMS) data
(g) to monitor compliance with air pollution control programs
(h) as an electric power capacity resource for emergency planning and contingency
energy
source interruptions
(i) as an electric power capacity resource to the regulatory requirements developed in
accordance with the Clean Air Act
(j) to analyze the adequacy of short and long-term electricity supply
(k) to verify information provided to State and other Federal agencies in other forums
(l) to forecast short- and long-term electricity supply and demand
(m) to evaluate the need for additional electric generating capacity
(n) to estimate stranded costs of utility generating assets
(o) to allocate emission credits to individual generators
(p) to design future environmental trading programs
(q) to estimate the cost of environmental equipment to meet standards
(r) to establish budgets and standards for air quality programs
(s) to assess compliance with existing environmental programs
(t) to evaluate multi-pollutant control proposals
(u) to monitor and analyzing the economic and operational impacts of industry
restructuring
(v) to provide input to the Environmental Protection Agency’s “Emissions and
Generation Resource Integrated Database” (E-GRID), which is used by State
regulatory authorities to evaluate their environmental programs
(w) to assist the EPA to develop programs for the Clean Air Act’s Acid Rain Program
(x) to assist the EPA to develop regulations to comply with such statutes as the Clean
Air Act, the Clean Water Act, and the Resource Conservation and Recovery Act
(y) to model air quality rules and procedures
(z) as input into the following reports issued by the EIA:
1. Electric Power Monthly
2. Electric Power Annual
3. Annual Energy Review
4. Renewable Energy Annual
5. State Electricity Profiles
6. Short-Term Energy Outlook
7. Annual Energy Outlook.
Other data users include electricity-related trade associations; independent system
operators; electric utility companies; nonutility companies; energy service providers;
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wholesale electricity traders; electrical equipment companies; numerous local, State, and
Federal government agencies; environmental associations; consumer groups; financial
analysts; data aggregators; modelers; independent research groups; and the news media.
•
Form EIA-860M, Monthly Update to the Annual Electric Generator Report
The Form EIA-860M is a mandatory monthly report that collects data on the status of
proposed new generators or changes to existing generators, within 1 to 12 months of the
new or modified generator beginning commercial operations. The form is designed to
collect information on changes to plans previously reported to the EIA on the annual
Form EIA-860. The plant characteristics of interest are changes to the previously
reported information on the proposed on-line date, prime mover type, capacity, and
energy sources. During 2008, EIA anticipates collecting the Form EIA-860M from
approximately 124 entities each month.
Modifications:
a) The EIA proposes to eliminate collecting the following items:
1. Schedule 3. “Generator Information”
a. modes of transportation for energy sources
b. the requirements to explicitly report the following for existing
generators:
• proposed deactivated shutdown status
• proposed change in ownership
• proposed fuel change
• proposed reactivation from retirement.
Uses of Data:
These data are used by the Department of Energy:
(a) as a primary source of information on the characteristics and capabilities of the
Nation’s existing generating fleet and the primary source for up-to-date information on
new plant capacity additions and new generators proposed for initial operation within the
near-term
(b) as background for answering requests from the general public and Congress for power
plant generator level information
(c) as input to the National Energy Modeling System (NEMS) and the Short-Term
Integrated Forecasting System (STIFS)
(d) as input to many private sector models of the electric generating system
(e) as a critical source of information for evaluating the adequacy of national and regional
power supply based on up-to-date information on near-term planned new generators and
changes in existing capacity
(f) as a source of information for answering the many public and private requests for upto-date information on proposed power plants, including public and private analysts
evaluating the market for new projects
(g) as a source for studies of capacity additions and fuel switching
(h) as input into the following reports issued by the EIA:
1) Electric Power Monthly
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2)
3)
4)
5)
6)
Electric Power Annual
Annual Energy Review
Renewable Energy Annual
Short-Term Energy Outlook
Annual Energy Outlook.
Other data users include electricity-related trade associations; independent system
operators; electric utility companies; nonutility companies; energy service providers;
wholesale electricity traders; electrical equipment companies; numerous local, State, and
Federal government agencies; environmental associations; consumer groups; financial
analysts; and the news media.
● Form EIA-861, “Annual Electric Power Industry Report”
The Form EIA-861 is a mandatory annual census of approximately 3,300 regulated
entities and power marketers in the United States involved in the generation,
transmission, and distribution of electric energy. Data collected on the Form EIA-861
include revenues (associated with the sale of electricity), sales (megawatthours
delivered), number of customers, energy sources and disposition, customer service
programs, electric operating revenue, demand-side management information, demand
response information, and distribution system information.
Modifications:
(a) The EIA proposes to collect the following additional items:
1. Schedule 2C. “Customer Service Programs”
a. green pricing revenue and volumes
2. New Schedule 2D. “Net Metering”
a. net metering volumes and electricity sales foregone by customers’ use
of
net metering
3. Schedule 6C. “Demand-side Management”
a. number of customers participating in incentive-based demand response
programs
b. number of customers participating in time-based rate programs
4. Schedule 6D. “Advance Metering”
a. the number of billing or revenue meters
b. the number of advanced customer meters and associated volumes
5. Schedule 7A. “Distributed and Dispersed Generation, Number and Capacity”
a. the number of generators and their capacity by State that are less than
1 megawatt, and the percent of capacity owned by the respondent.
(b) The EIA proposes to eliminate:
1. Schedule 7C. “Types of Energy Sources Used” for distributed and dispersed
generators.
Uses of Data:
The information is used by the Department of Energy:
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(a) to answer queries from the Congress, other Federal and State agencies, the electric
power industry, and the general public
(b) as input to the National Energy Modeling System (NEMS), sales data are used to
project long-term electricity demand, sales for resale and purchases are used to
validate the wholesale model results
(c) to accurately maintain the electric power frame and to be a source from which
samples are drawn for other electric power surveys, e.g. Form EIA-826
(d) to develop and maintain time series data showing average wholesale electric power
volumes and average prices by NERC region
(e) to report time series data showing distributed and dispersed generation resources
(f) to report the development of net metering and green pricing programs
(g) to report annual and incremental effects of demand-side management programs and
their costs
(h) to monitor the changes in electricity prices in the various States and sectors of the
economy
(i) to assess the affect of price changes on the demand for electricity
(j) to monitor the progress of energy service providers as they expand in the States with
retail competition
(k) to verify information provided to State and other Federal agencies in other forums
(l) to assess the degree of market concentration in market-based applications
(m) to evaluate unbundled retail electricity rates
(n) to monitor and analyzing the economic and operational impacts of industry
restructuring
(o) to monitor sales and prices of electricity for use by the Public Utility Commissions
when reviewing rate cases
(p) to provide input into the following reports issued by the EIA:
1) Electric Power Monthly
2) Electric Power Annual
3) Annual Energy Review
4) Renewable Energy Annual
5) State Electricity Profiles
6) Electric Sales and Revenue
7) Monthly Energy Review
8) Annual Energy Outlook.
Other data users include electricity-related trade associations; independent system
operators; electric utility companies; nonutility companies; energy service providers;
wholesale electricity traders; electrical equipment companies; numerous local, State, and
Federal government agencies; environmental associations; consumer groups; financial
analysts; data aggregators; modelers; independent research groups; academia;
consultants; and the news media.
• Form EIA-923, “Power Plant Operations Report”
The Form EIA-923 is a new mandatory report that combines the EIA Forms EIA-423,
EIA-906, and EIA-920, plus operational information from the Form EIA-767. Also,
plants currently reporting on the FERC Form 423, “Monthly Report of Cost and Quality
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of Fuels for Electric Plants,” would instead be required to file the information on the cost
and quality of delivered fossil fuels on the Form EIA-923. The form will collect fuel
consumption, electric generation, and fuel stocks of all power plants and combined heat
and power producers in the United States with a generating capacity of 1 megawatt and
greater (i.e., all operating plants included in the survey frame for the Form EIA-860). For
fuel receipts, data to be collected include the fuel quantity received, quality (Btu, sulfur,
ash, and mercury content), purchase type, cost, contract expiration date, tolling
agreements, and supplier of fossil fuels delivered for the generation of electric power for
facilities 50 megawatts or greater in size. In addition, for coal only, data will include
mode of transportation, type of mine, and the State and county where the mine is located.
The data on this survey will be collected monthly from a statistically determined sample
of relatively large plants. The remaining smaller plants will be surveyed annually. (The
sampling methodology is described in Section B, “Collection of Information Employing
Statistical Methods,” Item 2, Statistical Methodology.)
This is a new survey. It is designed to minimize the burden for respondents and to make
the EIA data collection more efficient. The form, as is the case with all of the EIA
electric surveys, is intended to be used exclusively for electronic data collection.
However, a paper option will be available to respondents unable or unwilling to use the
Internet Data Collection System.
By merging Forms EIA-423, EIA-906, and EIA-920, and the data formerly collected on
the FERC Form 423, the information can be collected and checked at the same time. For
example, the previous month’s ending stocks, plus receipts, minus consumption must
equal the current month’s ending stocks. The consolidation into one form is expected to
facilitate reporting, and respondents will be able to review and correct their data prior to
submission, thereby improving the quality and timeliness of the data.
Combining information collected by both the EIA and the Federal Energy Regulatory
Commission on a single form is expected to increase the overall efficiency of the Federal
program to collect monthly fuel information as well as improve the utility of the resulting
information products.
The Form EIA-923 will also collect fuel consumption information at the boiler level for
plants with steam turbines of 10 megawatts or greater capacity that burn fossil or organic
fuels (excluding steam turbines whose source of steam is from nuclear, geothermal, or
solar resources), which was formerly collected on the Form EIA-767. This will maintain
the existing data series for use in analysis and reduce the burden on the monthly
respondents, as they will only have to provide these data once, rather than on both the
Form EIA-767 and either the former Form EIA-906 or the Form EIA-920. In addition,
the other operational information collected on the Form EIA-767 will be transferred to
the new Form EIA-923.
Modifications:
(a) The EIA proposes to collect the following additional items not already collected on
the existing forms:
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1. Schedule 2. “Plant-Level” (for all fossil-fueled plants including those who
also
receive and maintain a fuel inventory at a remote or off-site
storage facility)
a. commodity cost (only for coal and natural gas) for the quantity of
fuel receipts
b. mercury content for the quality of fuel received (only for coal)
c. primary and secondary mode of transportation (only for coal)
d. Mine Safety and Health Administration (MSHA) identification
number (for coal mine type and location)
2. Schedule 7. “Plant-Level for Annual Data Sources and Disposition”
a. revenues associated with the resale of electricity.
3. The operational environmental information from the former Form EIA767 to be collected on Schedule 8. “Annual Environmental Information”
for steam-electric organic-fueled power plants with a total steam turbine
capacity of 10 megawatts or greater
a. Part A. Annual Byproduct Disposition
b. Part B. Financial Information
c. Part C. Boiler Information on Nitrogen Oxide Emission Controls
d. Part D. Cooling System Information, Annual Operations
e. Part E. Flue Gas Particulate Collection Information
f. Part F. Flue Gas Desulfurization Unit Information, Annual
Operations
Uses of Data:
The information will be used by the Department of Energy:
(a) to answer queries from the Congress, other Federal and State agencies, the electric
power industry, and the general public
(b) as input to the Short-Term Integrated Forecasting System, used to forecast quarterly
net generation and fuel consumption for up to 8 future calendar quarters
(c) as input to calculate plant capacity factors and plant heat rates in order to evaluate
efficiency and unit effectiveness
(d) as input to intermediate- and long-term energy models such as the National Energy
Modeling System (NEMS)
(e) to monitor fuel switching during the year
(f) to evaluate compliance with State Implementation Programs
(g) to monitor fuel stock levels in cases of emergencies and strikes
(h) to monitor fuel usage and the dependence on particular fuels
(i) to calculate emissions of carbon dioxide and other air pollutants
(j) to provide data that the EPA and State and local regulators need to develop and
implement air pollution control, energy, and utility regulatory programs
(k) to provide data that can be used to accurately gauge the need for emission allowances
under cap and trade programs.
(l) to monitor the costs of fossil fuels used to generate electricity
(m) to evaluate the changes in the sources of the fuels and their quality to evaluate the
impact of the Clean Air Act and its Amendments
(n) to monitor the electric power industry, its sectors, and reliance on each fuel type
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(o) to monitor fuel stock inventories during energy or weather emergencies
(p) to analyze the progress of renewable energy portfolios
(q) to analyze the adequacy of short and long-term electricity supply
(r) to forecast short- and long-term electricity supply and demand
(s) to evaluate the need for additional electric generating capacity
(t) to allocate emission credits to individual generators
(u) to design future environmental trading programs
(v) to estimate the cost of environmental equipment to meet standards
(w) to establish budgets and standards for air quality programs
(x) to assess compliance with existing environmental programs
(y) to evaluate multi-pollutant control proposals
(z) to monitor and analyze the economic and operational impacts of industry
restructuring
(aa) to provide input to the Environmental Protection Agency’s “Emissions and
Generation Resource Integrated Database” (E-GRID), which is used by State
regulatory authorities to evaluate their environmental programs
(bb) to assist the EPA to develop programs for the Clean Air Act’s Acid Rain Program
(cc) to assist the EPA to develop regulations to comply with such statutes as the Clean
Air Act, the Clean Water Act, and the Resource Conservation and Recovery Act
(dd) to model air quality rules and procedures
(ee) to monitor the cost and quality of the fossil fuels used to generate electricity
(ff) to monitor sales and prices of electricity for use by the Public Utility Commissions
when reviewing rate cases, and
(gg) as input to the following publications issued by the EIA:
1)
Monthly Energy Review
2)
Quarterly Coal Report
3)
Natural Gas Annual
4)
Renewable Energy Annual
5)
Short-Term Energy Outlook
6)
State Energy Data Report
7)
State Electricity Profiles
8)
Cost and Quality of Fuels
9)
Electric Power Flash
10)
Electric Power Monthly
11)
Electric Power Annual
12)
Annual Energy Review
13)
Annual Energy Outlook.
Other data users include electricity-related trade associations; independent system
operators; electric utility companies; nonutility companies; energy service providers;
wholesale electricity traders; electrical equipment companies; numerous local, State, and
Federal government agencies; environmental associations; consumer groups; financial
analysts; data aggregators; modelers; independent research groups; and the news media.
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A.3. Use of Technology
The EIA is utilizing information technology to improve reporting options for respondents
to all the electric power surveys. The EIA will continue to make all survey forms and
instructions available for printing or downloading from the EIA web site.
In 2002, the EIA developed a new, completely electronic reporting option that
respondents may use to complete and submit the electric power surveys via a secure,
Internet browser-based system. Respondents choosing this option for filing will not have
any requirements for submission of paper forms or signatures. The electronic reporting
system allows respondents to enter their data directly into the EIA survey databases. The
use of data communicated electronically reduces the time needed for data collection and
processing, and also improves the timeliness of reporting the information to the public.
The only equipment and software the respondent is required to have is a connection to the
Internet and a standard industry Web Browser that supports secured socket layering, such
as Microsoft Internet Explorer or Netscape.
The Internet Data Collection (IDC) System collects the data via screens that closely
resemble the paper form. The IDC System edits the response identifying potential errors,
while still under control of the respondent. Since the IDC will identify responses that fail
established edits (i.e., comparisons to some of their previous data or internal calculations
compared to technically established ranges, such as Btu values), the respondent will make
corrections or append explanations of unusual occurrences before submitting their data.
This reduces respondent burden and the EIA workload by reducing the need for the EIA
to contact the respondent to discuss the accuracy of questionable data. As of August 1,
2007, approximately 91 percent of all monthly forms and 80 percent of all annual forms
were submitted via IDC. Considering that the monthly forms are submitted 12 times
during a year, the EIA estimates that approximately 88 percent of all forms (over 31,000
forms) will be submitted electronically by the end of 2007. By comparison, these
numbers are significantly higher than the same statistics in 2004 when EIA requested
approval of their forms for the following 3 years. At that time, only about 80 percent of
all monthly forms and 60 percent of all annual forms were being submitted electronically.
In addition, more of the data are arriving by the established due date. In 2004, 53 percent
of the annual forms and 84 percent of the monthly forms were received by the due date.
In 2007, 76 percent of the annual forms and 90 percent of the monthly forms for March
2007 were received by the due date.
Also, to minimize respondent burden, the EIA electric power data collection systems are
based on an “update” philosophy. That is, the EIA updates and pre-populates all
previously reported static data entries. The respondent only needs to verify or correct
these static data and enter any changes, as well as the data that varies year to year or
month to month.
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A.4. Efforts to Reduce Duplication
As part of this effort to address the data needs of a restructured industry, the EIA has had
many interactions with its stakeholders. These efforts have been on-going since the
industry began its transition from vertically integrated utilities to an unbundled and more
competitive industry. More recent interaction has been extensive. The EIA held
numerous meetings to discuss the potential for future data needs with States, industry
organizations, other Federal agencies, and consumer groups.
When the EIA redesigns the electricity data collection forms to comply with changes in
the industry, every effort is made to ensure that data are not collected by more than one
Federal government agency. To that end, the EIA has compiled a list of significant
electric power-related data collections, both in the Federal government and in private
industry (Table 1). Some of the organizations collecting and publishing electric power
data include:
(a)
(b)
(c)
(d)
(e)
(f)
the American Public Power Association (APPA)
the Edison Electric Institute (EEI)
the Rural Utilities Service (RUS), U.S. Department of Agriculture
the Federal Energy Regulatory Commission (FERC), U.S. Department of Energy
the Nuclear Regulatory Commission (NRC)
the DOE Office of Electricity Delivery and Energy Reliability (OEDER) and the
Office of Civilian Radioactive Waste Management (RW).
Sources of data collected for specific regulatory purposes or having limited general use
are not included in Table 1. An example is the FERC Form 500, “Application for
License/Relicense for Hydropower Project Greater than 5 MW Capacity,” used to collect
data for hydroelectric licensing. Information collected by the FERC and the State Public
Utility Commissions that are limited in scope and not sufficient for the purposes of the
EIA electric power surveys are also not included in Table 1. It is important to note that
the FERC also collects other electric power information for specific regulatory purposes,
but those are not sufficient to provide aggregated information about the entire industry.
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Table 1. Electric Power Data Collection Forms
Responsible
Group
Form No.
Title
American Public Power Association
APPA PIS
Performance Indicators Survey
Edison Electric Institute
EEI T&D
Transmission and Distribution Line Information (not published)
EEI TEB
Typical Electric Bills
EEI USR
Uniform Statistical Report
EEI WEO
Weekly Electric Output
Energy Information Administration (U.S. Department of Energy)
EIA-20
Weekly Telephone Survey of Coal Burning Utilities (standby
form)
EIA-411
Coordinated Bulk Power Supply Program Report
EIA-457
Residential Energy Consumption Survey (Household Electricity
Usage)
EIA-826
Monthly Electric Sales and Revenue with State Distributions
Report
EIA-846
Manufacturing Energy Consumption Survey
EIA-860
Annual Electric Generator Report
EIA-860M
Monthly Update to the Annual Electric Generator Report
EIA-861
Annual Electric Power Industry Report
EIA-871
Commercial Buildings Energy Consumption Survey (electricity
usage)
EIA-923*
Power Plant Operations Report
Office of Electricity Delivery and Energy Reliability (U.S. Department of Energy)
OE-417
Electric Incident and Disturbance Report
FE-781R
Annual Report of International Electrical Import/Export Data
Federal Energy Regulatory Commission (U.S. Department of Energy)
FERC-1
Annual Report of Major Electric Utilities Licensees and Others
FERC-1-F
Annual Report of Non-major Public Utilities and Licensees
FERC-423
Monthly Report of Cost and Quality of Fuels for Electric Plants
FERC-516**
Electric Rate Schedule Filings
FERC-519**
Corporate Applications
FERC-556**
Cogeneration and Small Power Production (Qualifying Facilities
Applications)
FERC-561
Annual Report of Interlocking Positions
FERC-566**
Report of Utility's 20 Largest Purchasers
FERC-580
Interrogatory on Fuel and Energy Purchase Practices Pursuant to
Section 205(f)(2) of the Federal Power Act
FERC-585**
Reports on Electric Energy Shortages and Contingency Plans
under PURPA 206
FERC-714
Annual Electric Control and Planning Area Report
FERC-715
Annual Transmission Planning and Evaluation Report
FERC-717
Open Access Same-Time Information Systems
North American Electric Reliability Corporation
NERC GADS
Generating Availability Data System
Nuclear Regulatory Commission
NRC ODR
Operating Data Report
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Responsible
Group
Form No.
Title
Office of Civilian Radioactive Waste Management (U.S. Department of Energy)
NWPA-830G
Appendix G - Standard Remittance Advice for Payment of Fees
Rural Utilities Service (U.S. Department of Agriculture)
RUS-7
Financial and Statistical Report
RUS-12
Operating Report for Electric Power Supply Borrowers and
Electric Distribution Borrowers with Generating Facilities
*This includes the Forms EIA-423, EIA-906, and EIA-920 which currently exist but are proposed to be
included in the Form EIA-923 beginning in 2008.
**No form. These data requirements are stated in the Code of Federal Regulations.
A.4.1. Analysis of Similar Existing Information
The EIA evaluated all known sources of data relating to the electric power industry and
has found no other source as comprehensive, timely, or detailed, to replace these
proposed EIA data collections surveys. The EIA has determined that other sources
cannot replace or even approximate the information proposed for collection here because
of differences in classification, inconsistency, incompleteness, unavailability, or lack of
universal coverage. In fact, some of the EIA data collections complement, rather than
duplicate, other Federal agency data collections. These efforts taken together capture the
entire electric power industry and keep the burden on industry to a minimum.
The following are explanations regarding the collection of similar data and the reasons
why these similarities are not duplicative collections.
● Form EIA-411, “Coordinated Bulk Power Supply Program Report”
The EIA and the North American Electric Reliability Corporation (NERC) both have a
need for similar information on existing and planned generating units. To avoid
duplication and to keep the burden on industry to a minimum, representatives of the EIA
and the NERC formed a working group to accomplish this for the Form EIA-860 and
Form EIA-411. The Form EIA-860 contains information on existing generators and
those planned to begin operating within five years. The Form EIA-411 provides the
power supply planning projected by the members and/or a sub-regional grouping of
members of the eight NERC regions for the reporting year and forthcoming five-year
period. The Form EIA-411 is being proposed to be a mandatory data collection effort
prepared through the regional structure of the NERC. The specific data elements are
carefully identified to allow both the NERC and the DOE to meet their objectives and to
keep the burden on industry to a minimum by requesting the information only once. The
NERC assembles the data and passes it on to the EIA using the Form EIA-411.
The power flow case information for planned transmission facilities complements the
data collected by the FERC on the FERC Form 715 for existing transmission facilities.
Therefore, this requirement fills in a gap in the information that the Federal government
collects, rather than duplicating data already collected. Bulk power transmission maps by
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reliability region are also collected on the FERC Form 715. However, since the Form
715 maps are specific to a single utility, duplication occurs only if these individual maps
are combined at the NERC regional level. In addition, the burden of providing a copy of
the maps is minimal.
● Form EIA-826, “Monthly Electric Utility Sales and Revenue Report with State
Distributions”
The Form EIA-826 collects information on electric sales to and revenue from, end-user
customers by State. The data are similar to data reported on the annual Form EIA-861
and the FERC Form 1 (total only, but not by State). However, the Form EIA-826 is a
monthly survey of a sample of electric power entities, distributors and retailers and is the
only source of monthly data. These data are essential for timely tracking of the progress
of retail competition and prices while minimizing the burden on industry. The Form
EIA-826 takes its sample from the universe of respondents on the annual Form EIA-861
and imputes for the other approximately xx members of the universe.
● Form EIA-860, “Annual Electric Generator Report”
As stated above, the EIA and the NERC both have a need for similar information on
existing and planned generating units. The Form EIA-860 serves as the “frame” of
generating plants, from which samples are drawn and is used to determine the subsets of
frames for other plant-based surveys. To avoid duplication and to keep the burden on
industry to a minimum, the Form EIA-860 is entirely pre-populated with the most recent
data reported by the respondent. The respondent is merely required to verify the data and
make any updates or corrections. These data are then shared with the NERC on an ongoing basis as the data are collected.
● Form EIA-861, “Annual Electric Power Industry Report”
The Form EIA-861 serves as the frame of utilities from which statistical samples are
drawn (e.g., Form EIA-826). Although the Form EIA-861 has data elements that are
similar to other EIA forms, the Form EIA-826 surveys only a limited number of electric
utilities. The Form EIA-861 also collects information about the utility’s energy balance,
demand-side management, demand response, and location of distribution systems, data
items that are not collected on any other EIA forms. The Form EIA-861 is the only EIA
survey to collect data from all 3,300 electric power industry participants in the United
States.
The FERC Form l collects some similar information for utilities that meet the criteria for
major electric utilities. Since there are only approximately 200 FERC Form 1
respondents, most of the data on the Form EIA-861 are not collected on the FERC Form1. Information collected on Schedule I, Schedule II column e, and (if the utility has
revenue in more than one State) Schedule IV of the Form EIA-861 is not duplicative of
the FERC Form 1.
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To keep the burden on industry to a minimum, the Form EIA-861 survey is pre-populated
with any known static information, so respondents only need to verify the static
information, revise the incorrect data, and fill in the new annual data.
●
Form EIA-923, “Power Plant Operations Report”
By merging Forms EIA-423, FERC-423, EIA-906, and EIA-920 and certain items from
Form EIA-767, any duplication is eliminated.
● Form EIA-846, “Manufacturing Energy Consumption Survey (MECS)”
The Form EIA-846, (OMB No. 1905-0169), “Manufacturing Energy Consumption
Survey (MECS),” collects calendar year data once every 4 years from a statistical sample
of manufacturing establishments, as opposed to the monthly and annual data collected on
the EIA electric power data forms. Data are collected on the quantity and cost of
purchased electricity, site generation, electricity sales to utilities, transfers to other
establishments, consumption, participation in demand-side management programs,
breakdowns of electricity consumption by end use, and presence of selected state-of-theart and advanced electronic technologies.
Several of the Form EIA-846 questions overlap with questions on the Forms EIA-860,
EIA-767 and EIA-906. However, a number of considerations require independent efforts
to collect similar data. First, the Census Bureau (the EIA collection agent for this survey)
collects the Form EIA-846 data from a sample of establishments, and therefore
establishment level data are confidential and not available to EIA under the provisions of
Title 13 of the U.S. Code. Estimates are published for the Census regions only, and a
number of those estimates are not releasable due to the confidentiality restriction. Since
the location, size, and technology of individual generating facilities cannot be released,
aggregates for qualifying facilities (QFs) under the Public Utility Regulatory Policies Act
of 1978 (PURPA) and non-QF projects cannot be addressed. Data are also not available
for analysis by electric utility service territory.
In addition, many QFs are not included in the Form EIA-846 respondent base. Few, if
any, wind power facilities are located within the manufacturing sector. The same is true
for many hydroelectric and solar facilities. Municipal authorities or independent
operators own most of the solid waste facilities. Such facilities would not be included in
the Form EIA-846 frame. The Form EIA-846 is conducted with a sample of
establishments, which are defined according to specific criteria set forth in the North
American Industrial Classification System. The unit of data collection for the Forms
EIA-860 and EIA-923 is the plant, generator or boiler level. The Form EIA-846 collects
data every 4 years, while the Form EIA-923 collects data on a monthly and annual basis.
This allows the government to more closely monitor the industry’s activities. Finally, the
use of a stratified statistical sample for the Form EIA-846 is not compatible with the need
to obtain the status of a fixed set of facilities, particularly the QFs under the PURPA.
● Other EIA Forms
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The EIA has two other quadrennial consumption surveys: the Form EIA-457,
“Residential Energy Consumption Survey (RECS),” (OMB No. 1905-0092), and the
Form EIA-871, “Commercial Buildings Energy Consumption Survey (CBECS),” (OMB
No, 1905-0145). Both the RECS and the CBECS are collected in two stages: first an
interview is conducted with the household or building manager, then a survey is done of
the suppliers of electricity (and other energy sources) to the households or buildings.
Consumption surveys are sample surveys that are designed to collect end-use data, rather
than electricity production data, for only a small (5,000-6,000) nationwide sample of
households and buildings. In addition to collecting the data from users as opposed to
suppliers, the data collected on these surveys are limited by frequency and coverage.
● Other Non-EIA Forms
The FERC publishes a cumulative listing of the facilities that have sought QF status
under PURPA. The data are derived from information docketed under the FERC QF
program, including:
•
•
•
•
•
name and address of the applicant, and location of the facility
a brief description of the facility, including a statement indicating if it is a
cogeneration or small power production facility
primary energy source used or to be used
percent ownership by an electric utility or by an electric utility holding company; and
the date installation of the facility began or will begin.
These data cover only a small portion of the universe that the EIA needs and it does not
capture the breadth of information that the EIA forms collect.
The Census Bureau collects data through their “Annual Survey of Manufactures,”
(ASM) (OMB Number 0607-0449) on electricity generation, sales, and purchases from a
sample of manufacturing establishments, similar to the MECS. Annual estimates from
the ASM are published on purchases and on-site generation used within the
establishments. The ASM purchase data include both inter-company sales and sales to
electric utilities. The amount of power going to the grid cannot be separated. Since the
ASM results are confidential under Title 13, many of the same limitations associated with
the Form EIA-846 apply to the ASM.
The Federal Reserve Board (FRB) conducts the “Monthly Survey of Industrial
Electricity Use,” (OMB Number 7100-0057) through its district banks. The survey is
voluntary. It collects information from electric utilities on the volume of electricity sold
to mining and manufacturing establishments and data from self-generators on the amount
of electricity generated by such establishments for their own use. The EIA electric power
data forms do not collect data on the electricity sold at that level of detail.
A.5. Provisions for Reducing Burden on Small Businesses
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The EIA is mindful of the need to minimize burden on small business and, to that end,
designs its data surveys, to the extent possible, so that small operations are not unduly
affected. Statistical sampling for the Form EIA-826, the thresholds or cutoffs for the
Form EIA-860 and Form EIA-861, and the merging of the Forms EIA-906, EIA-920,
EIA-423, EIA-767, and FERC-423 are examples of the EIA concern for burden on small
business. The EIA pre-populates many data elements reported on prior surveys for items
that do not change frequently. This allows respondents (both large and small) to simply
verify that the information has not changed as opposed to reporting it each period. In
addition, use of the IDC System has reduced the burden on businesses by reducing the
call-backs to verify or correct questionable data.
A.6. Consequences of Less-Frequent Reporting
The monthly data to be reported on the Form EIA-826 and the Form EIA-923 will be
collected, reviewed and tabulated by the EIA and used to provide statistics on net
generation; sales and revenues of electric power; consumption of fuels used to generate
electricity; fuel receipts and costs; and fuel stocks for the electric power industry. These
data are used to monitor the state of one of the Nation’s most important industries on a
monthly basis. The data appear in several agency publications. The most prominent are
Electric Power Monthly, Monthly Energy Review, Electric Power Annual, Natural Gas
Monthly, Natural Gas Annual, Quarterly Coal Report, Annual Coal Report, and Annual
Energy Review. These EIA reports are made available through the Internet to the
Congress, State and local governments, private industry, various offices of the Federal
government, both within the EIA and in other agencies, and the general public. The EIA
web site had over 1.7 million user sessions in June 2007. The data are also used in other
EIA products such as the State Energy Data System and for EIA short-term forecast
models.
Eliminating the EIA’s ability to provide monthly status reports on the electric power
industry would deprive the Congress, State and local governments, private industry and
various offices of the Federal government from monitoring a critical industry that is
making sweeping changes to its operations and the progress towards competition. It
would place a large burden on the State governments to collect and process their data and
then try to obtain similar information from other States for comparison and monitoring
purposes. It would also place a larger burden on the industry to provide its information to
more than one data collection agency.
A.7. Compliance with 5 CFR 1320.5
The data are being collected consistent with the guidelines in 5 CFR 1320.5, except for
requiring respondents to report information more frequently than quarterly. See item A.6
above for justification for monthly reporting.
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A.8. Summary of Consultations Outside the Agency
Consultations were conducted using a Federal Register notice (FR Doc.E7—6268
covering all collections) published April 4, 2007. Copies of the notice were mailed to
potential respondents, industry associations, and environmental and consumer groups for
comment. It was also available on the EIA web site, along with drafts of the proposed
new forms and instructions. (A crosswalk of how the Form EIA-767 data are proposed to
be split between the Form EIA-860 and the Form EIA-923 was also posted on the EIA
web site.) A summary of the comments received, along with the EIA responses, for the
Forms are detailed in Appendix B (Comments on the Forms and Instructions).
A.9. Payments or Gifts to Respondents
No payments or gifts are made to the respondents to any of the surveys.
A.10. Provisions for Confidentiality of Information
The EIA is updating its procedure concerning the treatment of sensitive electric power
data collected through the surveys contained in this information collection package. With
the merging of the EIA survey forms and changes to the data elements collected on those
forms, the EIA is modifying the data protection procedures for some electric power data.
The EIA requested comments from interested parties who might be affected by changes
in the EIA confidentiality procedures. The proposed changes are based on the review of
all comments received (Appendix B) and consideration of the applicable laws and
regulations. It is the intent of the EIA to release as much information as is needed for
evaluating market conditions and assessing future market demand and supply factors.
The EIA weighed the concerns of the commenters with the implications of any action(s)
taken, the laws governing the EIA survey collection series, and the data needed by the
Congress, other federal agencies, States, and other users. The laws and regulations
considered are:
1. the Trade Secrets Act, (18 U.S.C. 1905)
2. the Freedom of Information Act (FOIA), (5 U.S.C. 552)
3. the Department of Energy, Freedom of Information Act (FOIA) Regulations,
(10 C.F.R. 1004)
4. the Paperwork Reduction Act, (44 U.S.C. 35)
5. the Clean Air Act, (CAAA90, Public Law 101-549)
6. the Confidential Information Protection and Statistical Efficiency Act of 2002,
(CIPSEA, Title 5 of Public Law 107-347).
1. Trade Secrets Act
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For purposes of the Act, a trade secret is defined in narrow terms, as a secret,
commercially-valuable plan, formula, process, or device that is used for the making,
preparing, compounding or processing of trade commodities and that can be said to be
the end product of either innovation or substantial effort.
2. Freedom of Information Act (FOIA)
The Freedom of Information Act is an open policy favoring disclosure of information
held by Federal agencies, and consequently the burden rests on the party or agency
seeking non-disclosure to establish that an enumerated exemption to FOIA applies in the
circumstances. One such exemption, Exemption 4, covers confidential commercial or
financial information and trade secrets, the release of which would cause substantial harm
to submitters in a competitive market. Exemptions to FOIA are narrowly construed,
however, and the question of whether substantial competitive harm will in fact occur
from public information disclosure depends on the specific facts and circumstances
involving the requested information. For Exemption 4 to apply there must be actual
competition in the industry and the information must be valuable commercial or financial
data that are not available from other sources. Even after such a showing is made,
however, an agency may balance competing interests and release contested information if
the competitive danger is outweighed by the public interest in accessing the information.
3. Department of Energy (DOE), FOIA Regulations
The DOE regulations implementing FOIA allow a reevaluation of the data protections for
information collected by the agency. The electric power industry is undergoing a period
of widespread restructuring, and the EIA data collection and reporting requirements must
necessarily keep pace reflecting these changes in the industry. The fact that the EIA did
or did not at one time consider specific data elements to be confidential does not preclude
a reevaluation of its position on confidentiality at any time. Even if the EIA finds that
underlying data are sensitive commercial or financial information, it may yet disseminate
the data at an aggregated level that does not reveal the identity of the data submitter.
4. Paperwork Reduction Act
The DOE also complies with the Paperwork Reduction Act of 1995 that provides that a
Federal agency may make confidential information available to other Federal agencies if
the disclosure is not inconsistent with applicable law. The Office of Legal Counsel of the
Department of Justice concluded on March 20, 1991, that the Federal Energy
Administration Act requires the EIA to provide company-specific data to other Federal
entities for official use. However, this requirement is not applicable for data collected
under the Confidential Information Protection and Statistical Efficiency Act.
5. Clean Air Act
Since 1963, a series of Clean Air legislation has been enacted to control air pollution.
This includes the Clean Air Act of 1963, the Air Quality Act of 1967, the Clean Air Act
Amendments of 1970 and 1977 and various additional amendments and extensions of the
Clean Air Act passed in 1971, 1973, 1974, and 1976. The latest major addition to the
Clean Air Act, the Clean Air Act Amendments of 1990 (CAAA90, Public Law 101-549),
established new provisions designed to reduce emissions of sulfur dioxide, as well as
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nitrogen oxides that are primarily emitted by fossil-fueled electric power plants, other
industrial sources, and from the transportation sector. To achieve certain emissions
criteria and to monitor individual and aggregate emission levels, these laws require the
collection of a variety of electricity-related data and the release of it to the public during
rulemaking procedures by the Environmental Protection Agency.
6. Confidential Information Protection and Statistical Efficiency Act of 2002
The primary purpose of the Confidential Information Protection and Statistical Efficiency
Act (CIPSEA) is to protect information collected by the Federal government for
exclusively statistical purposes from improper disclosure and to ensure that the
information is not used for non-statistical purposes. To achieve this, the CIPSEA
establishes limitations on the use and disclosure of the statistical data or information.
Data or information acquired under a pledge of confidentiality to be used for exclusively
statistical purposes cannot be disclosed for a non-statistical purpose, except with the
informed consent of the respondent. The CIPSEA creates a process for agencies to share
information with approved agents to be used for exclusively statistical purposes. Under
the CIPSEA, a statistical agency or unit may designate agents, by contract or by entering
into a special agreement containing the provisions required under section 502(2), who
may perform exclusively statistical activities, subject to the limitations and penalties
described in the CIPSEA.
Determination
There are no elements on the EIA electric power surveys that will be covered under the
CIPSEA. Most elements are considered as non-sensitive and will be publicly released in
identifiable form. For those elements, the survey respondents will be told the following:
The information elements (names of elements) reported on Form EIA-xxx will be
treated as non-sensitive and may be publicly released in identifiable form. In
addition to the use of the information by EIA for statistical purposes, the
information may be used for any non-statistical purposes such as administrative,
regulatory, law enforcement, or adjudicatory purposes.
The electric power surveys do include some elements that are considered sensitive and
those elements will not be publicly released in identifiable form, although they may be
shared under agreements designed to protect the information for uses approved by the
EIA.
For electric power survey elements that EIA considers sensitive, the following notice is
provided to survey respondents:
The information elements (name elements) reported on Form EIA-xxx will be
protected and not disclosed to the public to the extent that it satisfies the criteria
for exemption under the Freedom of Information Act (FOIA), 5 U.S.C. §552, the
DOE regulations, 10 C.F.R. §1004.11, implementing the FOIA, and the Trade
Secrets Act, 18 U.S.C. §1905.
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The Federal Energy Administration Act requires the EIA to provide companyspecific data to other Federal agencies when requested for official use. The
information reported on this form may also be made available, upon request, to
another DOE component, to any Committee of Congress, the Government
Accountability Office, or other Federal agencies authorized by law to receive such
information. A court of competent jurisdiction may obtain this information in
response to an order. The information may be used for any non-statistical
purposes such as administrative, regulatory, law enforcement, or adjudicatory
purposes.
Disclosure limitation procedures are applied to the statistical data published from
the Form EIA-XXX protected survey elements to ensure that the risk of disclosure
of identifiable information is very small.
After reviewing the comments received in response to the Federal Register Notice, the
EIA has determined that the elements listed in Table 2 are those data elements that are
considered sensitive and will not be publicly released in identifiable form. All other data
elements not listed in Table 2 are considered non-sensitive and may be disclosed in
identifiable form.
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Table 2. Confidential Data Elements
Data Elements
Delivered cost of fuels
for non-utility plants
Forms Affected
EIA-923 -- costs of coal,
natural gas and petroleum
received at non-utility
power plants.
Fuel inventory –
stocks
EIA-923 -- end-of-month
coal and petroleum stocks.
Commodity costs
EIA-923 -- commodity
costs for fossil fuels
Monthly electricity
sales information
reported for energyonly service
EIA-826 -- monthly
electric sales, revenue and
number of customers
reported for energy-only
service or by energyservice-providers and
marketers.
Tested heat rates
EIA-860 -- tested heat rate
under full load.
Latitude and longitude
EIA-860 -- latitude and
longitude
Power flow cases and
bulk electric
transmission system
maps
EIA-411 -- power flow
cases and bulk electric
transmission system maps
Proposed Changes
Continue to withhold the nonutility data and
treat it as sensitive data. Continue to treat the
utility fuel cost data as non-sensitive data,
consistent with the manner in which the
FERC Form-423 handles these data.
No Change: Stocks at End of Reporting
Period for both utilities and nonutilities will
continue to be treated as sensitive and will not
be disclosed to the public in identifiable form.
These data have never been collected before
and they are considered to be extremely
sensitive to both the supplier and buyer of the
fuels. They will be treated as sensitive data
and not disclosed to the public in identifiable
form.
Data reported in Schedule 1, Part B (Energy
Only Sales (Without Delivery Service))and
Part D (Bundled Service by Retail Energy
Providers or Power Marketer that Provides
“Bundled Service”) relating to Revenue,
Megawatthours Sold, and Number of
Customers will be treated as sensitive data
until 9 months after the end of the reporting
year and then released. As the Form EIA-861
annual data for these respondents is not
sensitive, these Form EIA-826 monthly data
will be released to the public 9 months after
the end of the reporting year.
No change. Schedule 3, Part B, Tested Heat
Rate will continue to be treated as sensitive
and will not be disclosed to the public in
identifiable form.
Latitude and longitude will no longer be
treated as sensitive and may be released to the
public. However, the EIA will not make the
information available on its Internet site.
No Change. Bulk transmission facility power
flow cases and bulk electric transmission
system maps will be treated as sensitive and
not disclosed to the public.
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A.11. Justification for Sensitive Questions
There are no questions of a sensitive nature.
A.12. Estimate of Respondent Burden Hours and Cost
The overall annual burden for this package is estimated to be 98,722 burden hours (Table
3). As in the past, the burden estimate includes time for follow-up on survey responses
to clarify any questions, and correct or edit information reported by respondents. The
burden has been reduced by approximately 42,298 hours (30 percent) from the previous
package due partly to the merging of forms, plus the EIA effort to collect data via its
Internet Data Collection System.
The cost to the respondents is estimated to be $5,890,741.74 (98,722 burden hours times
$59.67 per hour). An average cost per hour of $59.67 is used because that is the average
loaded (salary plus benefits) cost for an EIA employee. The EIA assumes that the survey
respondent workforce completing surveys for the EIA is comparable with the EIA
workforce.
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Table 3. Electric Power Burden Information for OMB Number 1905-0129
EIA
Form
Number
Form
EIA-411
Form
EIA-826
Form
EIA-860
Title
Coordinated Bulk Power Supply Report
NERC Regions
Members
Total
Monthly Electric Sales and Revenue
with State Distribution Report
Annual Electric Generator Report
Filers with environmental information
Filers without environmental
information
Total
Number of
Respondents
Per Year
Number of
Reports
Annually
Total
Number of
Responses
Burden
Hours Per
Response
Annual
Burden
Hours
8
800
1
1
8
800
808
120.0
15.0
960
12,000
12,960
450
12
5,400
1.1
5,940
872
1
872
11.3
9,854
1,782
1
1,782
2,654
6.0
10,692
20,546
Form
EIA860M
Monthly Update to the Annual Electric
Generator Report
124
5.5
682
0.3
205
Form
EIA-861
Annual Electric Power Industry Report
3,300
1
3,300
8.0
26,400
Power Plant Operations Report
Monthly
Annual
Annual with boiler level data
Total
810
1,690
300
12
1
1
9,720
1,690
300
11,710
2.7
3.2
3.4
26,244
5,408
1,020
32,672
Form
EIA-923
Total Burden Hours
98,722
A.13. Annual Reporting and Record Keeping - Cost
There are no capital and start-up cost components or operations and maintenance
associated with this data collection. The information is maintained in the normal course
of business. Therefore, other than the cost of burden hours, there are no additional costs
for generating, maintaining, and providing the information.
A.14. Annual Cost to the Federal Government
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The six surveys in the clearance group are included in the Annual Operating Plan for the
EIA. The annual costs, including personnel, for development/maintenance, collection,
processing, analysis, and publication are estimated to be approximately $5.5 million in
FY 2007.
A.15. Changes in Burden
The currently approved burden for OMB Number 1905-0129 is 141,020 hours and the
proposed burden for this request is 98,722 hours; this is a decrease of 42,298 hours (30
percent). The reasons for the burden decrease are described below.
Modifications affecting burden include adding or deleting data elements on some forms,
adding or deleting respondents on some forms, merging forms, pre-populating static
information on the forms, and enhancing an electronic reporting option with built-in edits
that eliminates the need for any paper submissions or signatures. The modifications in
the individual electric power forms are described in detail in item A.2.
The changes in burden hours for the individual forms are shown in Table 4 and are
detailed below:
•
Form EIA-411 changes will result in a decrease in burden of 18 percent due to
the elimination of Schedule 2. “Capacity for Existing Generators in Reporting
Year.” This change results in a 2,400-hour-program decrease, for a total of
12,960 hours.
•
Form EIA-423 has been cancelled and combined with the Form EIA-923. Most
of the previously associated burden hours (11,544 hours) are transferred to the
Form EIA-923.
•
Form EIA-767 has been cancelled with some data being transferred to the Form
EIA-860 and other data being transferred to the new Form EIA-923. A portion of
the previously associated burden hours (43,724 hours) are transferred to those
respective forms.
•
Form EIA-826 has not changed. However, the burden hours are reduced from
6,480 hours to 5,940 hours due a 95-percent participation rate by the respondents
in the Internet Data Collection system.
•
Form EIA-860M collects monthly updates of new plants coming on line during
the upcoming 12 months. Respondent participation in the Internet Data
Collection option has reduced the burden to 205 hours.
•
Form EIA-860 collects data from utility and nonutility respondents. Because
some data from the now-cancelled Form EIA-767 are being transferred to this
form, the burden will increase to 20,546. This overall burden takes into account
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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Page
savings from the use of the Internet Data Collection System. Overall, the burden
will increase by 2,696 hours.
•
Form EIA-861 will collect new information on green pricing, net metering, and
demand-side management programs. However, the burden will actually decrease
by 330 hours (to 26,400 hours) due to the use of the Internet Data Collection
System.
•
Form EIA-923, as noted above, is a new form which is a combination of the
Forms EIA-423, FERC Form 423, EIA-906, EIA-920, and EIA-767. The burden
hours are estimated at 32,672 hours. This is a significant decrease in what the
burden was when the forms stood alone. It contains an internal balancing formula
which will greatly reduce the inconsistencies of data that were collected on the
former forms, thereby reducing respondent burden and EIA processing time.
Table 4. Change in Burden Hours
EIA Form
Old
New
Number
Burden
Burden
15,720
12,960
Form EIA-411
1
0
Form EIA-412
Form EIA-423
11,544
0
Form EIA-767
43,724
0
Form EIA-826
6,480
5,940
Form EIA-860
17,850
20,546
270
205
Form EIA-861
26,730
26,400
Form EIA-906
13,014
0
Form EIA-920
5,687
0
Form EIA-923
Total overall
change
0
141,020
32,672
98,722
Form EIA-860M
Change
Reason for Change
-2,760 Eliminated Schedule 2
-1 Survey cancelled
Survey cancelled and combined with
-11,544 Form EIA-923
Survey cancelled and split between
-43,724 Forms EIA-860 and EIA-923
No change in form, savings from
-540 Internet submissions
Questions from the former Form EIA767 offset by savings from Internet
2,696 submissions
Reduced sample in survey and all
-65 submissions on Internet
Added demand-side management
questions offset by savings from
-330 Internet submissions
Survey cancelled and combined with
-13,014 Form EIA-923
Survey cancelled and combined with
-5,687 Form EIA-923
Combination of Forms EIA-423,
FERC-423, EIA-906, EIA-920 and
EIA-767 and savings from Internet
32,672 submissions
-42,298 An overall decrease of 30 percent in
respondent burden for electricity
surveys
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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Page
With the increased use of the Internet for the respondents to submit their data, the burden
estimates have been reduced. This is because with the use of the Internet, the accuracy of
the data is increased by the respondent. Built-in edits alert the respondent when their data
are out of customary ranges. They then correct the data before submitting it. This
substantially reduces the amount of call-backs that are needed to research and correct the
data. Internet submission rates (in percentage terms) have increased as shown in Table 5.
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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Page
Table 5. Internet Data Collection Submissions, 2007
(Percent)
EIA Form Number
Form EIA-411
Form EIA-826
Form EIA-860
Form EIA-860M
Form EIA-861
Form EIA-906
Form EIA-920
2004 2007
0
0
80
95
59
86
0
100
53
89
72
87
80
80
A.16. Collection, Tabulation, and Publication Plans
The data collected on these six forms by the electric power program are released in EIA
reports, and are available on the EIA web site. Detailed information on the data elements
collected on each form and their associated collection, tabulation and publication time
schedules are contained in Table 6 and Table 7, respectively.
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Page
Table 6. Proposed Electric Power Data Collection by EIA Form
Date
Notified
12/1
Form Due
Date
To NERC: 4/30
To EIA: 7/15
EIA-826
27th of each
month
EIA-860
12/15
30 calendar
days
following the
end of the
month
2/15
EIA860M
27th of each
month
EIA-861
1/15
EIA-923
Monthly
27th
of each
month
30 calendar
days
following the
end of the
month
Monthly
EIA-923
Annual
1/15
3/30
Annual
Form
EIA-411
15 calendar
days after the
end of the
reporting month
4/30
Period
Annual
Monthly
Annual
Monthly
Annual
Elements Collected
Actual energy and peak demand for prior year
plus next 5 years; existing and future
generating capacity; scheduled capacity
transfers; projections of capacity, demand,
purchases, sales, and scheduled maintenance;
transmission line outages; and bulk electric
transmission system maps.
Revenue, electricity sales by residential,
commercial, industrial, and transportation
sectors, and number of customers.
Level of
Detail
Utility and
NERC
Region
Company/
State
Existing and planned capacity additions and
retirements; and new generator interconnection
costs; environmental control information.
Changes to proposed plant additions or
changes in next 12 months.
Boiler/Genera
tor/Plant/
Company
Generator/
Plant/
Company
Energy sources, disposition, peak load, sales,
revenue, number of customers, demand-side
management information, and names of
counties with utility distribution equipment.
Fuel purchase type, expiration date, energy
source, supplier, quantity received, quality
(Btu, sulfur, ash, and mercury content), fuel
cost, net generation by energy source,
consumption of fossil fuels, end-of-month
stocks of coal and petroleum, and heat content
of fuel, and for coal only: mine type, State &
county of origin; method of transportation, and
MSHA ID.
Fuel purchase type, expiration date, energy
source, supplier, quantity received, quality
(Btu, sulfur, ash, and mercury content), fuel
cost, net generation by energy source,
consumption of fossil fuels, end-of-month
stocks of coal and petroleum, and heat content
of fuel; and for coal only: mine type, State &
county origin, method of transportation, and
MSHA ID. Also, operational environmental
information and annual electricity balance of
nonutilities.
Company/
State
Table 7. Publications Using Proposed Electric Power Data by Form
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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Page
Boiler/
Generator/
Primer
Mover/
Plant
Boiler/
Generator/
Primer
Mover/
Plant
Form
Elements Published
Electric Power Monthly – 75 days after reporting month
EIA-826
Revenue and electricity sales by residential, commercial, industrial
and transportation sectors.
EIA-860
Existing and planned capacity additions and retirements;
EIA-860M
environmental control information.
EIA-923
Energy source, quantity received, quality (Btu content, sulfur content,
ash content), fuel cost, net generation by energy source, consumption
and heat content of fossil fuels, end-of-month stocks of coal and
petroleum, and useful thermal output, and for coal only: mine type,
and State & county origin.
Monthly Flash Estimates of Electric Power Data – 50 days after reporting month
EIA-826
Revenue and electricity sales by residential, commercial, industrial
and transportation sectors.
EIA-923
Net generation by energy source, consumption, and end-of-month
stocks of coal and petroleum
Electric Power Annual and supporting EXCEL spreadsheets – November
EIA-411
Non-coincidental peak load, net internal demand, planned capacity
resources and capacity margins.
EIA-860
Existing and planned capacity additions and retirements; Design
EIA-860M
parameters and annual operations data regarding the plants' boilers,
generators, cooling systems, flue gas particulate collectors, flue gas
desulfurization units, and stacks and flues.
EIA-861
Electricity sales, revenue, and number of customers; number of net
metering and green pricing customers; demand-side management
information; distributed and dispersed generator information.
EIA-923
Energy source, quantity received, quality (Btu content, sulfur content,
ash content), fuel cost, net generation by energy source, consumption
and heat content of fossil fuels, end-of-month stocks of coal and
petroleum, and useful thermal output, and for coal only: mine type,
State & county origin.
Cost and Quality of Fuels for Electric Power Plants (Annual) – October
EIA-923
Energy source, quantity received, quality (Btu content, sulfur content,
ash content), fuel cost. For coal only: mine type, State & county.
Monthly Energy Review – 3 months after reporting month
EIA-826
Revenue and electricity sales by residential, commercial, industrial
and transportation sectors.
EIA-923
Energy source and fuel cost; Net generation by energy source,
consumption and heat content of fossil fuels, end-of-month stocks of
coal and petroleum, and thermal output.
Annual Energy Review - June
EIA-411
Non-coincidental peak load, net internal demand, planned capacity
resources and capacity margins.
EIA-860
Existing and planned capacity additions and retirements and
EIA-860M
emissions equipment and estimates.
EIA-861
Electricity sales and retail price of electricity; demand-side
management information.
EIA-923
Energy source, quantity received, Btu content, fuel cost; net
generation by energy source, consumption and heat content of fossil
fuels, end-of-year stocks of coal and petroleum, and thermal output.
Quarterly Coal Report – 3 months after reporting month
EIA-923
Consumption and end-of-month stocks of coal.
Annual Coal Report – September
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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Level of Detail
National, Census Division,
State
National, Census Division,
State
National, Census Division,
State
National, Census Division
National, Census Division
National, NERC Region
National
National
National
National, Census Division,
State
National
National
National
National
National
National
National
Page
Form
EIA-923
Elements Published
Coal consumption and end-of-year stocks of coal.
Renewable Energy Annual – December
EIA-860
Existing and planned capacity additions and retirements.
EIA-860M
EIA-861
Number of green pricing and net metering customers.
EIA-923
Net generation by energy source.
Natural Gas Monthly – 4 months after reporting month
EIA-923
Natural gas fuel cost and consumption.
Natural Gas Annual – December
EIA-923
Natural gas fuel cost and consumption.
Level of Detail
National, Census Division,
State
National, State
National, State
National, State
National, State
National State
A.17. OMB Number and Expiration Date
The OMB number and expiration date are displayed on each form.
A.18. Certification Statement
This submission meets all certification requirements of the "Certification for Paperwork
Reduction Act Submissions," for OMB Form 83-11.
2007 Electric Power Surveys Supporting Statement - 09/26/2007
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Page
| File Type | application/pdf |
| File Title | SUPPORTING STATEMENT FOR THE |
| Author | Grace Sutherland |
| File Modified | 2007-09-26 |
| File Created | 2007-09-26 |