Private Sector

OMB Control Number: 2040-XXXX
Approval Expires: 05/dd/2013

Plant ID: Enter Plant ID
Plant Name: Enter Plant Name

Steam Electric Questionnaire
PART I - ECONOMIC AND FINANCIAL DATA
Table of Contents
Section Title

Tab Name

Part I Instructions
Immediate Parent Economic and Financial
Information
Primary Immediate Parent Firm Economic and
Financial Information
Ultimate Parent Economic and Financial Information
Basic Plant Economic and Financial Information
Detailed Plant Financial Information
Basic Steam Electric Generating Unit Economic and
Financial Information
Steam Electric Generating Unit Operating Information
Planned and Forced Outages and Annual Operating Cost
Part I Comments

Part I Instructions
Part I Section 1
Part I Section 2
Part I Section 3
Part I Section 4.1
Part I Section 4.2
Part I Section 5.1
Part I Section 5.2
Part I Section 5.3
Part I Comments

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Instructions

Plant ID: Enter Plant ID
Plant Name: Enter Plant Name
PART I. ECONOMIC AND FINANCIAL DATA

INSTRUCTIONS
Complete Part I of the questionnaire for your plant. As you are completing the electronic
form, note the following: When you enter your plant name and plant ID on the Part I
TOC tab, all name and ID fields throughout Part I will automatically populate. Refer to
the overall questionnaire instructions and the list of abbreviations for additional
assistance with completing Part I. Refer to the glossary for definitions of selected
economic and financial terms used in this Part.
You may wish to assemble the following documents in order to efficiently fill out this part
of the questionnaire:
(1) For the entity/entities that own your plant: income statements, balance
sheet statements, and cash flow statements for the last three fiscal years.
(2) For your plant: data on electricity generated, operating expenses, income
statement, balance sheet, and other operational statements for the last three
fiscal years of operation.
Please provide all free response answers in the highlighted yellow areas.
Use the Part I Comments tab to do the following: provide additional information as
requested in certain questions within Part I; indicate atypical data (e.g., if the analytical
data provided from the sample collection is not representative of normal operations);
and note methods used to make estimates based on professional judgment in the event
that exact data are not available.
In cases where a plant has multiple immediate parent firms and where it is not possible
to identify a primary parent firm based on equity share, you may make copies of Section
2 of this questionnaire and provide the requested information for each immediate parent
listed in Section 1.

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data

Plant Name: Enter Plant ID
Plant ID: Enter Plant Name
Part: I
Section Title: 1. Immediate Parent Economic and Financial Information
Instructions: Throughout Section 1, provide financial information for the immediate parent firm or, in case where multiple entities have financial participation or interest in the plant, for every entity with an
equity stake (or any other form of financial participation or interest) in this plant. For the purpose of this questionnaire, the immediate parent is the first entity in the plant’s ownership structure. A
plant may have more than one immediate parent if more than one firm owns or has another form of financial participation or interest in the generating units located at the plant. Please provide all
free response answers in the highlighted yellow areas.

CBI?
Yes

I1-1. In Table I-1, provide the following information for the immediate parent firm or, in case where multiple entities have financial participation or interest in the plant, for every entity with an equity
stake (or any other form of financial participation or interest) in this plant. If the financial participation shares vary by generating units at the plant, please estimate the plant-level share based on
the relative electricity generation capacity (nameplate capacity) of all units at this plant.
Table I-1. Immediate Parent Firm Financial Information
Fiscal Year

Number

Example

Example

Example

1

2

3

Name of
Immediate
Parent

Mailing
Address

ABC LLC

123 A
Street,
City, State,
ZIP

EFG Inc.

12500,
Some
Blvd., City,
State, ZIP

XYZ Corp.

789 Z
Street,
City, State,
ZIP

%
Ownership
or Financial
Interest in
Plant in
2009

34.50%

45%

20.50%

NAICS

2211

2211

2211

DUNS
Number

123456789

587426985

925486982

Start (mm)

January

January

April

Month

Month

Month

I-1

End (mm)

December

December

March

Month

Month

Month

Year

Total
Revenue
(‘000$)

Revenue
from
Electricity
Generation
(‘000$)

2007

1,200,000

800,000

1,000-1,249

15,400,400
15,851,700
15,110,890

Total Employment
(FTE)

Total Electricity
Sales (MWh)

2008

1,560,000

851,000

1,000-1,249

2009

1,720,000

867,000

1,250-1,499

2007

552,000

502,800

250-499

6,570,000

2008

550,000

513,100

250-499

6,858,000
6,253,000

2009

487,000

479,200

250-499

2007

126,000

20,000

250-499

250

235,200

265

259,100

207

231.985

2008

120,000

10,000

250-499

2009

89,000

11,500

100-249

2007

Employment

2008

Employment

2009

Employment

2007

Employment

2008

Employment

2009

Employment

2007

Employment

2008

Employment

2009

Employment

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data

Plant Name: Enter Plant ID
Plant ID: Enter Plant Name
Part: I
Section Title: 2. Primary Immediate Parent Firm Economic and Financial Information
Instructions: Throughout Section 2, EPA is interested in obtaining financial and economic data regarding the plant owner to support a detailed evaluation of the
economic impacts of the regulations on firms that own steam electric power generation assets. When answering questions in Section 2, please
provide data for the immediate parent firm and not only for the steam electric plant covered in this questionnaire.
If the plant has multiple owners (immediate parent firms identified in Question I1-1), please report detailed information in Questions I2-1 through I2-13
only for the entity that has the largest equity stake (or the largest share of financial participation or interest) in the steam electric portion of the plant.
This immediate parent firm is referred to as the “primary immediate parent” firm in the remainder of this section.
For example, a hypothetical steam electric plant has three generation units, two of which are steam. Table I-2 below provides the
distribution of plant capacity and ownership shares for this plant. Since ABC LLC has the largest ownership share in the steam electric
capacity at this hypothetical plant, the detailed information requested in the remainder of this section would be provided for ABC LLC.

Table I-2. Distribution of Plant Capacity and Ownership Shares for Example Plant
Plant
% of Plant Total
Capacity
Immediate
parent firm

EFG Inc.
ABC LLC.
XYZ Corp.
(1)

Unit 1 (non-steam)
45%

Unit 2 (steam)

Unit 3 (steam)
20%

35%
Ownership Share

100%
70%
30%

50%
50%

Ownership Share of
Plant Steam Electric
Capacity(1)
0%
63%
37%

details of ownership share calculations:
EFG Inc. share:
0% since only has shares in non-steam generation capacity.
ABC LLC share:

0.70 x 0.35 / (0.35+0.20) + 0.50 x 0.20 / (0.35+0.20) = 0.63

XYZ Corp. share:

0.30 x 0.35 / (0.35+0.20) + 0.50 x 0.20 / (0.35+0.20) = 0.37

In cases where a plant has multiple immediate parent firms and where it is not possible to identify a primary parent firm based on equity shares, you
may make copies of Section 2 of this questionnaire and provide the requested information for each immediate parent listed in Section 1. In the
example above, you have the option of providing information for both ABC LLC and XYZ Corp.

I-2

Approved: May XX, 2010

Steam Electric Questionnaire

CBI?

Part I. Economic and Financial Data

I2-1. Please indicate the type of ownership for the primary immediate parent firm.

Yes
Type of Ownership

Other, specify:
CBI?

I2-2. Please indicate the state in which the primary immediate parent firm is organized as a legal entity.

Yes
State

CBI?

I2-3. Please indicate the legal structure of the plant’s ownership.

Yes
Legal Structure

CBI?
Yes

I2-4. Has the primary immediate parent firm engaged in revenue generating activities other than electricity generation during the period of FY 2007 through
FY 2009?
NOTE: Economic activities other than generation of electricity may include, but are not limited to, production activities or the leasing of
land. Please include only those economic activities that are carried out by the plant’s owner; do not include activities carried out on the
plant’s property by third parties for which the plant’s owner does not incur cost or receive revenue.

Yes
No

(Continue to Question I2-5)
(Skip to Question I2-6)

I-3

Approved: May XX, 2010

Steam Electric Questionnaire

CBI?
Yes

Part I. Economic and Financial Data

I2-5. Please provide a description of each of the entity’s revenue generating activities other than generation of electricity and the revenue and costs
associated with this(ese) activity(ies).
Table I-3. Description of Each Entity's Other Revenue Generating Activities

Costs (‘000$)
FY
Description of Economic Activity
Revenue (‘000$)
Economic activities not associated with electricity generation (e.g., manufacturing production, leasing of land)
2007
2008
2009
CBI?
Yes

I2-6. Has the immediate parent firm submitted data to FERC in Form 1 for the period of FY 2007 through FY 2009? FERC Form No. 1 (FERC Form 1) is
an annual regulatory requirement for Major electric utilities, licensees and others (18 C.F.R. § 141.1) and is designed to collect financial and
operational information from electric utilities, licensees and others subject to the jurisdiction of the Federal Energy Regulatory Commission. If you
answer YES, please attach a copy of your FERC Form 1 report for 2009 in pdf format to your submittal to ensure that EPA has the most recent data
for your firm. EPA will be using the data you already reported on your FERC Form 1 filing for 2007 and 2008 to support its economic impact and other
analyses.
Yes, attach FERC Form 1.

(Skip to Question I2-12)

FERC Form 1 is attached.
FERC Form 1 is NOT attached. Explain why:

No

(Continue to Question I2-7)

I-4

Approved: May XX, 2010

Steam Electric Questionnaire

CBI?
Yes

Part I. Economic and Financial Data

I2-7. In Table I-4, please provide the income statement information for the immediate parent firm . This information may be available from SEC filings,
depending on how the firm presents its statement, if your immediate parent firm is a publicly traded company.
Table I-4. Income Statement Information
FY 2007

FY 2008

FY 2009

Total revenue (‘000$)
Revenue from electric power generation and sales
Revenue from sources indirectly related to the generation of
electricity (e.g., sale of steam or ash, waste combustion)
Other revenue (i.e., total revenue from activities described
in Question I2-5)
Total expenses (‘000$)
Operation expenses
Maintenance expenses
Depreciation, depletion, and amortization expense
Interest expense (Total. Firms with debt should have
interest expenses)
Income taxes (Total federal, state, and local income taxes)
All other expenses (i.e. including total cost of activities
described in Question I2-5)
After-tax income (Subtract Total operating expenses from
Total revenue)
CBI?
Yes

I2-8. In Table I-5, please provide the following balance sheet information for the immediate parent firm. This information may be available from SEC filings,
depending on how the firm presents its statement, if your immediate parent firm is a publicly traded company.
Table I-5. Balance Sheet Information
FY 2007

FY 2008

FY 2009

Assets (‘000$)
Inventories (Raw materials, supplies, fuels, etc.)
Other current assets (Prepared expenses, cash, accounts
receivable, etc.
Non-current assets (land, buildings, equipment, machinery, other
physical capital and intangibles, capital stocks and bonds, etc.,
including expansions and renovations and net of depreciation and
amortization)
Liability/Equity (‘000$)
Current liabilities (Liabilities due for payment within the reporting
year)
Non-current liabilities (Including long-term debt, such as bonds,
debentures, and bank debt)
Owner equity (Total assets minus total (current and non-current)
liabilities)
I-5

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Steam Electric Questionnaire

CBI?
Yes

Part I. Economic and Financial Data

I2-9. In Table I-6, please provide the following cash flow information for the immediate parent firm. This information may be available from SEC filings,
depending on how the firm presents its statement, if your immediate parent firm is a publicly traded company.
Table I-6. Cash Flow Information
FY 2007

FY 2008

FY 2009

Cash flow from operating activities (‘000$)
Net income from operations
Non-cash charges (credits) to income
Depreciation and depletion
Amortization of electricity generating plants
Net change in accounts receivable/ accounts payable
Change in inventories
Net change in other current assets/current liabilities
Net cash provided by (used in) operating activities
Cash flow from investing activities (‘000$)
Capital expenditures
Capital expenditures for electric plant and equipment
Investments
Other cash flows from investing activities
Net cash provided by (used in) investing activities
Cash flow from financing activities ('000$)
Cash flows provided by (used in) financing activities
Net increase/decrease in cash and cash equivalents
CBI?
Yes

I2-10. In Table I-7, please provide the following information regarding the immediate parent’s sources of electric energy during each year. This information
may be available from SEC filings, depending on how the firm presents its statement, if your immediate parent firm is a publicly traded company.
Table I-7. Sources of Energy
FY 2007

FY 2008

FY 2009

Gross energy generation (MWh)
Purchases from utilities and power marketers (MWh)
Cost of purchases from utilities and power marketers (‘000$)
Purchases from nonutilities (MWh)
Cost of purchases from nonutilities (‘000$)
Total sources of electric energy (MWh) including net energy exchanged

I-6

Approved: May XX, 2010

Steam Electric Questionnaire

CBI?
Yes

Part I. Economic and Financial Data

I2-11. In Table I-8, please provide the following information regarding the immediate parent’s disposition of electric energy generated, purchased,
exchanged, and wheeled during each year. This information may be available from SEC filings, depending on how the firm presents its statement, if
your immediate parent firm is a publicly traded company.
Table I-8. Disposition of Electricity
FY 2007

FY 2008

FY 2009

Sales for resale (MWh)
Revenue from sales for resale (‘000$)
Sales to end users (MWh)
Revenue from sales to end users (‘000$)
Electric energy furnished without charge (MWh)
Electric energy used by the parent (MWh)
Total uses of electric energy (MWh) including energy losses
CBI?
Yes

I2-12. In Table I-9, please provide the following information regarding the fraction of the immediate parent’s electricity sales (on a MWh basis) subject to
different pricing terms.
NOTE: EPA is looking for information regarding the approximate share of electricity that is sold under various terms and conditions to help
in conducting economic impact and other types of analyses. You may provide approximate shares based on information readily available
from immediate parent’s filings and statements.
Table I-9. Electricity Sales
Example
% sales subject to cost-of-service based
regulated pricing
% contracted sales
% sales subject to short-term auction
pricing
TOTAL

CBI?
Yes

FY 2007

FY 2008

FY 2009

60%
30%

%
%

%
%

%
%

10%
100%

%
100 %

%
100 %

%
100 %

I2-13. If the share of contracted sales indicated in Question I2-12 is greater than 0%, please indicate in Table I-10 the approximate shares of the immediate
parent’s contracted electricity sales (on a MWh basis) that are of different durations and terms.
Table I-10. Approximate shares of the Immediate Parent’s Contracted Electricity Sales
FY 2009

Example
% contracted sales in FY 2009 subject to contract pricing under
contracts of one year or less duration.
% sales in FY 2009 subject to contract pricing under contracts
more than one year in duration
Contracted sales under contracts more than one year in
duration that include clauses permitting price adjustments
based on changes in environmental regulatory
requirements and their associated costs

%

80 %

%

20 %
None

None

All
Other, specify: _________

I-7

All

%

Other, specify:

%

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data

Plant Name: Enter Plant ID
Plant ID: Enter Plant Name
Part: I
Section Title: 3. Ultimate Parent Economic and Financial Information
Instructions: Throughout Section 3, please provide information for the ultimate parent firm of each immediate parent firm identified in Question I1-1 or, in case of joint ownership or partnership in the immediate parent firm,
for the entity having the largest equity stake in the immediate parent firm. Please provide all free response answers in the highlighted yellow areas.
For the purpose of this questionnaire, the ultimate parent firm is the highest level domestic business entity in a plant’s ownership structure. A firm that is owned by another U.S. firm is not an ultimate domestic
parent firm. In contrast, a U.S. firm that is owned by a foreign firm is an ultimate domestic parent firm.
NOTE: EPA is interested in financial information about ultimate parent firm of entity(ies) that own or have financial participation or interest in your plant to conduct regulatory and economic
impact analyses and to identify the relevant firm size category for corporate entities potentially affected by the regulations.

CBI?

I3-1. Is (are) the ultimate U.S. parent(s) the same as the immediate parent(s) identified in Question I1-1?

Yes

CBI?
Yes

Yes

(Skip to Section 4.1)

No

(Continue to Question I3-2)

I3-2. In Table I-11, please provide the following information for the ultimate parent firm of each immediate parent firm identified in Question I1-1 or, in case of joint ownership or partnership in the immediate parent
firm, for the entity having the largest equity stake in the immediate parent firm. If the ultimate parent is the same as the immediate parent, you may indicate so in column 2 and do not need to provide the
information requested in columns 3 through 10 of the table. This information may be available from SEC filings, if your immediate parent firm is a publicly traded company.

Table I-11. Ultimate Parent Firm Financial Information

Immediate
Parent (from
Question I-1)
EFG Inc.

Name of Ultimate
Parent

Mailing
Address

% Financial
Interest in
Immediate
Parent in 2009

Fiscal Year
NAICS

DUNS Number

Start (mm)

End (mm)

Year

Total
Total Revenue Employment
(‘000$)
(FTE)

Total Electricity
Sales (MWh)

2007
2008

Same as Immediate Parent
Month

ABC LLC.
U.S. DIAMOND CORP
Same as Immediate Parent

2255 5 th
Avenue, City,
State, ZIP

85%

885785963

5239

October

Month

September

XYZ Corp.

2009
2007

52,358,000

25,875

45,400,400

2008

55,582,000

25,786

45,851,700

2009

56,889,200

26,850

55,110,890

2007
2008

Same as Immediate Parent
Month

Month

2009
2007
2008

Same as Immediate Parent
Month

Month

2009
2007
2008

Same as Immediate Parent
Month

Month

2009
2007
2008

Same as Immediate Parent
Month

I-8

Month

2009

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data
Plant Name: Enter Plant ID
Plant ID: Enter Plant Name

Part: I
Section Title: 4.1 Basic Plant Economic and Financial Information
Instructions: Throughout Section 4.1, please provide the requested economic and financial information for the plant. Please provide all free
response answers in the highlighted yellow areas.
NOTE: For Section 4.1, EPA is interested in obtaining financial and economic data regarding the specific plant covered
by this questionnaire.

CBI?

I4-1. What is the Fiscal Year period covered by plant-level financial and operational information provided in this section?

Yes

CBI?
Yes

Start (dd/mm)

Day

/

Month (Number)

End (dd/mm)

Day

/

Month (Number)

I4-2. In Table I-12, please indicate the number of months in each fiscal year for which you have financial and operational information
for your plant . In some cases, such as new plants, records may cover only part of a year.
Table I-12. Number of Months in Each Fiscal Year
FY 2007

FY 2008

FY 2009

Number of Months
CBI?
Yes

I4-3. At any time during the three reporting years, did the plant engage in revenue generating activities other than generation of
electricity?
NOTE: Economic activities other than generation of electricity may include, but are not limited to, production activities
or the leasing of land. Please include only those economic activities that are carried out by the plant’s owner; do not
include activities carried out on the plant’s property by third parties for which the plant’s owner does not incur cost or
receive revenue. If such third party activities are significant, you may note them in the comments section at the end of
Part I.

Yes

(Continue to Question I4-4)

No

(Skip to Question I4-7)
I-9

Approved: May XX, 2010

Steam Electric Questionnaire

CBI?

Part I. Economic and Financial Data

I4-4. In Table A-13, please provide a description of each of the plant ’s economic activities other than electricity generation.

Yes

Table I-13. Description of Economic Activities
Fiscal Year
Description of Economic Activity
Economic activities not associated with electricity generation (e.g., manufacturing production, leasing of land)
2007
2008
2009
CBI?

I4-5. Is(are) this(ese) business activity(ies) associated with (a) specific generating unit(s)?

Yes
Yes
No

(Continue to Question I4-6)
(Skip to Question I4-7)

I-10

Approved: May XX, 2010

Steam Electric Questionnaire
CBI?
Yes

Part I. Economic and Financial Data

I4-6. In Table I-14, please provide the following information for each of these generating units. Use steam electric generating unit
IDs assigned in Table A-8.
Table I-14. Financial Data by Steam Electric Unit
Revenue (‘000$)

SE Unit ID

CBI?
Yes

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Costs (‘000$)

I4-7.
In Table I-15, please provide information on total plant employment in terms of full-time equivalent employees (FTE).
Table I-15. Plant Employment Information
FY 2007

FY 2008

FY 2009

Total Employment (FTE)

I-11

Approved: May XX, 2010

Steam Electric Questionnaire
CBI?

Part I. Economic and Financial Data

I4-8. In Table I-16, please provide gross and net electricity generated by the plant on a fiscal year basis.

Yes

NOTE: If your fiscal year coincides with the calendar year, please indicate so below and skip this question. The
requested information is already provided in Question A1-14 of questionnaire on a calendar year basis.

This plant’s fiscal year coincides with calendar years (i.e., fiscal year period is January 1 – December 31). Refer
to answer to Question A1-14 for the requested data.
Table I-16. Gross and Net Electricity Generated by Plant
FY 2007

FY 2008

FY 2009

Gross Electricity Generated
(MWh)
Net Electricity Generated
(MWh)
CBI?

I4-9. In Table I-17, please provide information regarding capital outlays for plant and equipment for the plant.

Yes

Table I-17. Capital Outlays for Plant
FY 2007

FY 2008

FY 2009

Capital outlays for plant and
equipment (‘000$)

I-12

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data

Plant Name: Enter Plant ID
Plant ID: Enter Plant Name
Part: I
Section Title: 4.2 Detailed Plant Financial Information
Instructions: In Section 4.2, please provide financial information for the plant. Your parent firm may not customarily compile financial reports at the
level of the plant. In that case, you may estimate plant-level information from data reported at the level of reporting closest to your plant.
This may be a division, the immediate parent firm, or some other business unit. You should report information about your plant either
from existing reports or by estimating plant-level data. If you have to estimate plant-level data, you may use any method and information
that, in your judgment, will yield the best estimate of plant-level data and describe the method in Question XX. If no such method or
information is available, you may follow the default methodology outlined below.
Default Methodology: Please estimate plant-level data by using aggregate data from the financial reports for the business unit that is
closest to your plant in terms of business activity performed. Please estimate plant data by multiplying that business unit’s numbers
corresponding to electricity generation activities by the ratio of your plant’s net generation to the business unit’s net generation. For
example, if you have aggregate data for a business unit consisting of three plants, each with 100 MWh in net generation, the plant-level
data are estimated based on 1/3 of the aggregate data.

CBI?
Yes

I4-10. In Table I-18, please provide the following balance sheet information for the plant. As needed, you may estimate plant-level data based
on balance sheet information for the relevant business unit or immediate parent.
Plant-level balance sheet data have been estimated for the purpose of answering this questionnaire. Provide details in Question I412.
Table I-18. Balance Sheet Information for Plant
FY 2007

FY 2008

FY 2009

Assets (‘000$)
Inventories (Raw materials, supplies, fuels, etc.)
Other current assets (Prepared expenses, cash,
accounts receivable, etc.
Land and buildings (Original land cost and cost of
buildings, including expansions and renovations, net
of depreciation)
Other non-current assets (Equipment, machinery,
other physical capital and intangibles, capital stocks
and bonds, etc., net of depreciation and amortization)

I-13

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Steam Electric Questionnaire

Part I. Economic and Financial Data

Liability/Equity (‘000$)
Current liabilities (Liabilities due for payment within the
reporting year)
Non-current liabilities (Including long-term debt, such
as bonds, debentures, and bank debt)
Owner equity (Total assets minus total (current and
non-current) liabilities
CBI?
Yes

I4-11. In Table I-19, please provide the following income statement information for the plant . As needed, you may estimate plant-level data
based on income statement information for the relevant division, business unit or immediate parent.
Plant-level income statement data have been estimated for the purpose of answering this questionnaire. Provide details in Question
I4-12.
Table I-19. Income Statement for Plant
FY 2007

FY 2008

FY 2009

Total revenue (‘000$)
Revenue from electric power generation and
sales
Revenue from sources indirectly related to the
generation of electricity (e.g., sale of steam or
ash, waste combustion)
Other revenue (i.e., total revenue from the
economic activities described in Question I4-4)
(describe below)
Total expenses (‘000$)
Fuel expenses
Other operating expenses
Total maintenance expenses
Total sales and customer accounts, service,
and informational expenses
Cost of contract work
Interest expense
Taxes
Depreciation
All other expenses, including fixed expenses
(describe below)

I-14

Approved: May XX, 2010

Steam Electric Questionnaire

CBI?
Yes

Part I. Economic and Financial Data

I4-12. If you estimated balance sheet and/or income statement for the plant in questions I4-10 and I4-11, please indicate the methodology
used.
Used default methodology described in Instructions to Section 4.2 (i.e., based on ratio of net generation)
Used alternative methodology (describe below)

Methodology description:

CBI?
Yes

I4-13. In Table I-20, please provide the following information regarding the cost of steam electricity generation for the plant . If the information
for steam electricity generation is the same as reported above for the plant as a whole, please indicate so below and skip this question.

Expenses for steam electricity generation are the same as for the plant as a whole.
NOTE: This information represents a subset of the total expenses reported in Question I4-11; the data are for steam electricity
generation more specifically.
Table I-20. Cost of Steam Electricity Generation
FY 2007

FY 2008

FY 2009

Fuel expenses
Other operating expenses
Total maintenance expenses
Total sales and customer accounts, services, and
informational expenses
Taxes
Depreciation
Total administrative and general expenses

I-15

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data

Plant Name: Enter Plant ID
Plant ID: Enter Plant Name
Part: I
Section Title: 5.1 Basic Steam Electric Generating Unit Economic and Financial Information
Instructions: Please provide the economic and financial information requested for each steam electric generating unit at your plant. Use steam electric generating unit IDs
assigned in Table A-8. Please provide all free response answers in the highlighted yellow areas.

CBI?
Yes

I5-1. In Table I-21, please provide information for each non-retired (as of January 1, 2007) steam electric generating unit of your plant. Use steam electric
generating unit IDs assigned in Table A-8.
NOTE: If a generating unit is owned by more than one entity, please provide the name(s) of the immediate parent firm(s) and their respective
equity shares (or financial participation or interest) in this generating unit.
Table I-21. Basic Financial Steam Electric Generating Information

SE Unit ID

Remaining undepreciated value (‘000$)

Immediate parent
firm(s) in 2009

Nonutility status of each steam electric generating unit
Cogenerator
FERC qualifying cogenerator

FY 2007

250,000

FY 2008

225,000

FY 2009

200,000

Example

ABC LLC. (70%)
XYZ Corp. (30%)

FERC qualifying small power producer
FERC exempt wholesale generator
Cogenerator not qualified under PURPA
Other (specify):
Check here if not applicable
Cogenerator
FERC qualifying cogenerator

FY 2007

FERC qualifying small power producer

Steam Electric Unit ID

FERC exempt wholesale generator

FY 2008

Cogenerator not qualified under PURPA
Other (specify):

FY 2009

Check here if not applicable
Cogenerator
FERC qualifying cogenerator

FY 2007

FERC qualifying small power producer

Steam Electric Unit ID

FERC exempt wholesale generator

FY 2008

Cogenerator not qualified under PURPA
Other (specify):

FY 2009

Check here if not applicable
Cogenerator
FERC qualifying cogenerator

FY 2007

FERC qualifying small power producer

Steam Electric Unit ID

FERC exempt wholesale generator

FY 2008

Cogenerator not qualified under PURPA
Other (specify):

FY 2009

Check here if not applicable

I-16

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data
Cogenerator
FERC qualifying cogenerator

FY 2007

FERC qualifying small power producer

Steam Electric Unit ID

FERC exempt wholesale generator

FY 2008

Cogenerator not qualified under PURPA
Other (specify):

FY 2009

Check here if not applicable
Cogenerator
FERC qualifying cogenerator

FY 2007

FERC qualifying small power producer

Steam Electric Unit ID

FERC exempt wholesale generator

FY 2008

Cogenerator not qualified under PURPA
Other (specify):

FY 2009

Check here if not applicable
Cogenerator
FERC qualifying cogenerator

FY 2007

FERC qualifying small power producer

Steam Electric Unit ID

FERC exempt wholesale generator

FY 2008

Cogenerator not qualified under PURPA
Other (specify):

FY 2009

Check here if not applicable
Cogenerator
FERC qualifying cogenerator

FY 2007

FERC qualifying small power producer

Steam Electric Unit ID

FERC exempt wholesale generator

FY 2008

Cogenerator not qualified under PURPA
Other (specify):

FY 2009

Check here if not applicable
Cogenerator
FERC qualifying cogenerator

FY 2007

FERC qualifying small power producer

Steam Electric Unit ID

FERC exempt wholesale generator

FY 2008

Cogenerator not qualified under PURPA
Other (specify):

FY 2009

Check here if not applicable
Cogenerator
FERC qualifying cogenerator

FY 2007

FERC qualifying small power producer

Steam Electric Unit ID

FERC exempt wholesale generator

FY 2008

Cogenerator not qualified under PURPA
Other (specify):

FY 2009

Check here if not applicable
Cogenerator
FERC qualifying cogenerator

FY 2007

FERC qualifying small power producer

Steam Electric Unit ID

FERC exempt wholesale generator

FY 2008

Cogenerator not qualified under PURPA
Other (specify):

FY 2009

Check here if not applicable

I-17

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data

Plant Name: Enter Plant ID
Plant ID: Enter Plant Name
Part: I
Section Title: 5.2 Steam Electric Generating Unit Operating Information
Instructions: Throughout Section 5.2, please provide information regarding operations for each steam electric generating unit. Please provide all free response answers in the highlighted
yellow areas.
CBI?
Yes

I5-2. In Table I-22, please provide the following information regarding operations for each steam electric generating unit. Use steam electric generating unit IDs
assigned in Table A-8.
Table I-22. Steam Electric Generating Unit Operating Information

SE Unit ID

Fiscal Year
FY 2007
Steam Electric Unit ID FY 2008
FY 2009

Primary
Energy
Source

Number of
Days in
Operation

Plan to
Continue
Operating the
Unit During
the Next FY?

Steam Electric Unit ID

Yes/No

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Yes/No

FY 2007
FY 2008
FY 2009

Yes/No

FY 2007
FY 2008
FY 2009

Yes/No

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Yes/No

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Yes/No

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Yes/No

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Yes/No

FY 2007
FY 2008
FY 2009

Yes/No

Steam Electric Unit ID

Steam Electric Unit ID

Gross
Electricity
Generated
(MWh)

Net
Electricity
Generated
(MWh)

Net Peak
Demand on
Unit – MW
(60 minutes)

Quantity of Fuel
Burned (Units)a

Average Cost of
Fuel Per Unit of
Fuel Burned
($/unit)

Yes/No

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

Capacity
Utilization
(% of rated
capacity)

a – (coal in tons of 2,000 lbs; oil in barrels of 42 gals; gas in mcf; nuclear or other – indicate)

I-18

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data

Plant Name: Enter Plant ID
Plant ID: Enter Plant Name
Part: I
Section Title: 5.3 Planned and Forced Outages and Annual Operating Cost
Instructions: In Section 5.3, please provide information on the duration of planned and forced outages and annual operating cost for each steam
electric generating unit. Please provide all free response answers in the highlighted yellow areas.

CBI?
Yes

I5-3. In Table I- 23, please provide information on the duration of planned and forced outages for each steam electric generating unit. Use
steam electric generating unit IDs assigned in Table A-8.
Table I-23. Planned and Forced Outages

SE Unit ID
Steam Electric Unit ID

Total Duration of
Planned/Scheduled
Routine Maintenance
Outages (hours/year)

Fiscal Year
FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

I-19

Total Duration of
Outages Planned/
Scheduled to Address
Major Upgrades a
(hours/year)

Duration of
Forced/Unscheduled
Outages for this Unit
(hours/year)

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

FY 2007
FY 2008
FY 2009
a – Such as repowering, FGD/SCR installation, etc.
Steam Electric Unit ID

I-20

Approved: May XX, 2010

Steam Electric Questionnaire

CBI?
Yes

Part I. Economic and Financial Data

I5-4. In Table I-24, please provide the following annual operating cost information for each generating unit (use steam electric generating
unit IDs assigned in Table A-8).
Table I-24. Annual Operating Cost

SE Unit ID
Steam Electric Unit ID

Total Costs ($)a

Fiscal Year
FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

I-21

Fuel Costs ($)

Variable O&M Costs ($) b

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

Steam Electric Unit ID

FY 2007
FY 2008
FY 2009

a - Total costs may include other operating costs (other than fuel costs of variable O&M) such as the scheduled maintenance of boiler
and electric plant and the scheduled maintenance of generating and electric equipment, which are considered fixed O&M for the
purpose of this questionnaire.
b - Refer to the glossary for a list of costs to be considered as variable O&M costs (e.g., fuel handling and steam expense and electric
expense (other than other direct costs).

I-22

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data

Plant Name: Enter Plant ID
Plant ID: Enter Plant Name
Part: I
Section Title: Part I Comments
Instructions: Cross reference your comments by question number and indicate the confidential status of your comment by checking the box
next to "Yes" under "CBI?" (Confidential Business Information).
Question Number
Comment
CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

I-23

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

CBI?
Yes

I-24

Approved: May XX, 2010

Steam Electric Questionnaire

Part I. Economic and Financial Data

Part I Drop Downs
Month
Month
Select
January
February
March
April
May
June
July
August
September
October
November
December

Type of Ownership
Type of Ownership
Select
Cooperative
Federal
Investor-owned
Municipality
Political Subdivision
State
Other, specify below
State
State
Select
ALABAMA
ALASKA
AMERICAN SAMOA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FEDERATED STATES OF MICRONESIA
FLORIDA
GEORGIA
GUAM
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA

Yes/No
Yes/No
Select
Yes
No
Day
Day
Select
01
02
03
04
05
06
07
08
09
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31

Approved: May XX, 2010

Steam Electric Questionnaire

KANSAS
KENTUCKY
LOUISIANA
MAINE
MARSHALL ISLANDS
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
NORTHERN MARIANA ISLANDS
OHIO
OKLAHOMA
OREGON
PALAU
PENNSYLVANIA
PUERTO RICO
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGIN ISLANDS
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING

Part I. Economic and Financial Data

Month (Number)
Month (Number)
Select
01
02
03
04
05
06
07
08
09
10
11
12
Steam Electric Unit ID
Steam Electric Unit ID
Select
SE Unit-1
SE Unit-2
SE Unit-3
SE Unit-4
SE Unit-5
SE Unit-6
SE Unit-7
SE Unit-8
SE Unit-9
SE Unit-10
Employment
Employment
Select
less than 50
50-99
100-249
250-499
500-749
750-999
1,000-1,249
1,250-1,499
1,500 or greater

Legal Structure
Legal Structure
Select
C corporation (income taxed at the level of the corporation)
S corporation (income taxed at the level of the individual owners)
Joint venture/partnership of other companies
Other Limited Liability Company or other non-corporate structure not taxed at the entity level

Approved: May XX, 2010