Small Refinery Exemption Study

U.S. DEPARTMENT OF ENERGY
Policy and International Affairs
Washington, D.C. 20585

OMB No. xxx
Expiration Date: xxx
(Initial version 05/2010)

PI-588
RFS2 Small Refinery Survey 2010
INSTRUCTIONS
...........................................................................................................................................................................................

QUESTIONS

be entered interactively on the website.

If you have any questions about the Small Refinery Exemption
Survey after reading the instructions, please contact the Policy
and International Affairs (PI) Survey Manager at (202)
586-1393 or at (202) 586-1010.

GENERAL INSTRUCTIONS

PURPOSE
The purpose of this survey is to collect information to assist in
determining a small refinery’s eligibility for exemption from the
requirements of the RFS2 (CAA § 211(o) )

WHO MUST SUBMIT
This survey is optional. Small refineries may submit data to
provide
technical
support
for
a
determination
of
disproportionate economic hardship. Each refinery should fill
out a separate survey.

All definitions are to be construed as consistent with the Energy
Information Administration’s Form EI-810, “Monthly Refinery
Report,” EIA-815, “Monthly Bulk Terminal and Blender Report,”
and EI-28, “Financial Reporting System,” and other forms as
appropriate.
Renewable Identification Numbers (RINs) are construed as
defined by EPA here. Other definitions of petroleum products and
terms are available on the EIA website www.eia.doe.gov . A
Glossary of terms used in the EI-28 is also available, with
additional terms here. Please refer to these definitions before
completing the survey form.
PART 1. RESPONDENT IDENTIFICATION DATA
•

Enter the 3 digit number you received with the survey form.
If you do not have a number, submit your report leaving this
field blank. PI will advise you of the number.

•

Enter the name of the reporting company.

•

Enter the Doing Business As “DBA” name if appropriate.

•

Enter the refinery site name.

•

Enter the Terminal Control Number (TCN) used for
identification of terminals and other facilities in the IRS
ExSTARS system.

•

Enter the physical address of the reporting company.

•

Enter the mailing address of the Contact. (Note: If the
physical address and mailing address are the same,
provide the information only for the physical address.)

•

Enter the name, telephone number, facsimile number, and
e-mail address of the person to contact concerning
information shown on the report. The person listed should
be the person most knowledgeable of the specific data
reported.

WHEN TO SUBMIT
This is a one-time data collection.

HOW TO SUBMIT
Instructions on how to report via facsimile, secure file transfer,
or e-mail are printed on PART 2 of the survey form.
•

Secure File Transfer: This form may be submitted to PI by
facsimile, e-mail, or secure file transfer. Should you choose to
submit your data via e-mail or facsimile, we must advise you
that e-mail and facsimile are insecure means of transmission
because the data are not encrypted, and there is some
possibility that your data could be compromised. You can
also send your Excel files to PI using a secure method of
transmission: HTTPS. This is an industry standard method to
send information over the web using secure, encrypted
processes. (It is the same method that commercial
companies use to communicate with customers when
transacting business on the web.) To use this service, we
recommend the use of Microsoft Internet Explorer 5.5 or later
or Netscape 4.77 or later. Send your surveys using this
secure method to:
https://signon.eia.doe.gov/upload/noticeoog.jsp

COPIES OF SURVEY FORMS, INSTRUCTIONS
AND DEFINITIONS
Copies in portable document format (PDF) and spreadsheet
format (XLS) are available on the Office of Policy and
International Affairs (PI’s) website. You may access the
materials by following the steps:
•

PART 2. SUBMISSION/RESUBMISSION INFORMATION
Submission
Refer to “How to Submit” section for more details or
methods for submitting data.
Resubmission
A resubmission is required whenever an error greater than
5 percent of the true value is discovered by a respondent or
if requested by PI.
Enter "X" in the resubmission box if you are correcting
information previously reported.

Go to PI’s website at www.pi.energy.gov

Files must be saved to your personal computer. Data cannot
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PI-588, Small Refinery Survey 2010

Identify only those data cells and lines which are affected by
the changes. You are not required to file a complete form
when you resubmit, but be sure to complete the ID number
and contact information.

claiming disproportionate economic hardship.
Comments on Statement of Income (3.9). Report any items
on your Balance Sheet that you judge to be noteworthy with
regards to claiming disproportionate economic hardship.

Cost of Capital
All values in thousands of dollars unless otherwise stated

SPECIFIC INSTRUCTIONS
PART 3. FINANCIAL HEALTH OF THE REFINERY
Do not report the data elements in this Part if you are a public
company and the data are publicly available. Note where to
locate the data items you did not report in the comments.

Current Debt/equity ratio (3.10): Report the current debt/equity
ratio (fraction).
Current weighted average cost of capital (3.11). Report your
weighted average cost of capital for capital expenditures
(percent).
Internal Rate of Return (IRR): (3.12) Report the current
required rate of return.

Balance Sheet Items
All values in thousands of dollars unless otherwise stated.
Start of Fiscal Year (3.01). Report the month the fiscal year
started in 2007, 2008, 2009.

Anticipated cost of incremental capital (3.13). Report based
on current market conditions, your weighted average cost of
capital for anticipated capital expenditures (percent).

Cash and marketable securities. (3.1) Report available cash
and marketable securities at the end of the fiscal year 2007,
2008 and 2009.

Anticipated cost of financing incremental operational
expenditures. (3.14). Report based on current market
conditions, your interest rate for anticipated incremental working
capital (percent).

Current liabilities (3.2) Report current liabilities, defined as
debt or obligations (including long term debt interest) due
within one year at the end of the fiscal year 2007, 2008 and
2009.

Credit rating (3.15). Report yes if the company has a credit
rating by a NRSRO (e.g. Moody’s).

Long Term Debt (3.3) Report long term debt is defined as
debt due over a horizon longer than one year at the end of the
fiscal year 2007, 2008 and 2009.

Name of Credit Rating Company (3.16). Report the name of
the credit rating company, if available.
Credit Rating (3.17). Report the rating, if available.

Statement of Income
Report for fiscal year 2007, 2008 and 2009 unless otherwise
stated.
All values in thousands of dollars unless otherwise stated.

Debt restriction or covenants (3.18). If financing is required for
future projects related to purchasing or holding RINS, report any
debt loan covenants that may pose restrictions on borrowing.

Capital Expenditures (3.4). Report capital expenditures for
the fiscal years 2007, 2008 and 2009.

Anticipated cash flow or credit issues (3.19): Report any
anticipated cash flow or credit issues (such as loan covenants)
that may present problems for compliance with the Renewable
Fuel Standard (RFS) program

Yearly operating expenditures (3.5). Report annual
operational expenditures for the fiscal years 2007, 2008 and
2009.

Historical Capital Improvements: Report percent of capital
expenditures over last three years for

Gross Refining Margin (dollars per barrel) (3.6) Report the
difference between the revenue from the sale of petroleum
products (e.g., motor gasoline) and the refinery acquisition cost
of the raw materials (e.g., crude oil) used to produce the
products.
Net Refinery Margin (dollars per barrel) (3.7) Report the
difference between the gross refining margin and the costs of
producing and selling the petroleum products (e.g., refining
energy costs and selling costs). The net margin measures
before-tax cash earnings from the production and sale of
refined products. The net margin excludes peripheral activities
such as non-petroleum product sales at convenience stores.

(3. 20) Required environmental projects
(3.21) Required Safety projects
Use of internal funds (3.22) for historical capital
improvements.
Report the percent of historical capital
improvements in (3.20 – 3.21) funded through internal funds.
Future environmental projects: Report anticipated capital
expenditures over next three years for:

Comments on Balance Sheet (3.8). Report any items on your
Balance Sheet that you judge to be noteworthy with regards to
PI-588, Small Refinery Survey 2010
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(3.23) Low (and ultra-low) sulfur diesel
(3.24) Low sulfur gasoline
(3.25) MSAT2

(3.26) Consent decrees

the market.

(3.27) Other

Comment on competitive price (4.15). Comment on ability for
competitive pricing of renewable fuels (4.14) describe above.

Use of internal funds (3.28) for future capital improvements.
Report the percent of anticipated capital improvements in (3.23 –
3.27) to be funded through internal funds.

Part 4. Market Compliance
All values in thousands of dollars unless otherwise stated.
Owned or controlled facilities (4.1). Report annual net inputs
in thousands of barrels of fuel per day of owned facilities capable
of blending renewable fuels. If there are multiple facilities, list
names in the comment section (4.17)
(4.2) Total average daily gasoline blendstock (including
GTAB, RBOB, and CBOB) net inputs in 2009
(thousands of barrels per day). (Note: I think you want
net inputs – look at Table 3 of the Petroleum Supply
Monthly)
(4.3) Total daily average diesel transportation fuels net
inputs in 2009 (thousands of barrels per day). The term
‘transportation fuel’ means fuel for use in motor
vehicles, motor vehicle engines, nonroad vehicles, or
nonroad engines (except for ocean-going vessels).

State and local restrictions (4.16). Report any state or local
restrictions that would impede either blending renewable fuels or
maintaining ownership of the generated RINS.
Comment on multiple constructed facilities (4.17). Report
any additional data on cost and construction time of facilities
listed in (4.1 – 4.10).

Part 5. Market Issues

Gasoline Blendstock produced. (5.1) Report total gasoline
blendstock (thousands of barrels per day) produced at your
refinery that could accept renewable fuels (i.e. ethanol) in 2007,
2008, and 2009.
Diesel Blendstock produced. (5.2) Report total diesel
blendstock (thousands of barrels per day) produced at your
refinery that could accept renewable fuels in 2007, 2008, and
2009.
Share of supply for gasoline (5.3) Report your market share
(in percent) of gasoline supplied in your primary market in 2007,
2008, and 2009.

(4.4) In-service dates.
(4.5) Total cost for all facilities.
(4.6) Report number of months needed to construct
facility(s) to allow blending by project.

Capital expenditures required to develop blending
capability. Report dollar value of facilities necessary to develop
sufficient blending capability to meet the 2011 Renewable
Volume Obligation listed below.

(4. 7) Modify refining operations
(4. 8) Modify terminal or blending operations

Description of gasoline market (5.4) Define your primary
market consistent with (5.3). Examples are a city, metropolitan
area, or a maximum distance from the supply point.
Share of supply for diesel (5.5) Report your market share (in
percent) of transportation diesel fuels supplied in your primary
market in 2007, 2008, and 2009. The term ‘transportation fuel’
means fuel for use in motor vehicles, motor vehicle engines,
nonroad vehicles, or nonroad engines (except for ocean-going
vessels).
Description of diesel market (5.6) Define your primary market
for diesel consistent with (5.5). Examples are a city, metropolitan
area, or a maximum distance from the supply point.

(4.9) Modify reporting and accounting operations to
include RINS
(4.10) Estimate number of months needed to construct
facility(s) to allow blending by project.
RINS generated through blending (4.11). Report number of
RINS (in thousands) separated through blending renewable fuels
in 2009.
Gasoline Blendstock produced. (4.12) Report total gasoline
blendstock (thousands of barrels per day) anticipated to be
produced in 2011.
Diesel Blendstock produced. (4.13) Report total diesel
blendstock (thousands of barrels per day) anticipated to be
produced in 2011
Competitive pricing (4.14) Report Yes if you believe that if your
refinery blended renewable fuels, it would you be able to price
the renewable fuels competitively with other conventional fuels in
Page 3

Contractual arrangements (5.7) Report the number (in
thousands of RINS) and share (percent) of (5.1) of any contracts
in which you sell gasoline blendstock and retained the RINS
separated 2009.
Contractual arrangements (5.8) Report the number (in
thousands of RINS) and share (percent) of (5.2) of any contracts
in which you sell diesel blendstock and retained the RINS
separated in 2009
Sales for resale of gasoline (5.9) Report the share (percent of
(5.1)) of sales to resellers in 2007, 2008, and 2009.
Sales for resale of transportation diesel (5.10) Report the
share (percent of (5.2)) of sales to resellers of transportation
diesel in 2007, 2008, and 2009. The term ‘transportation fuel’
means fuel for use in motor vehicles, motor vehicle engines,
nonroad vehicles, or nonroad engines (except for ocean-going
vessels).

PI-588, Small Refinery Survey 2010

Pipeline sales of gasoline (5.11) Report the volume (in
thousands of barrels per day) and share (percent of (5.1)) of
pipeline sales (sales where custody changes at the refinery gate
or pipeline) through common carrier pipelines in 2007, 2008, and
2009.
Pipeline sales of diesel (5.12) Report the volume (in thousands
of barrels per day) and share (percent of (5.1)) of pipeline sales
(sales where custody changes at the refinery gate or pipeline)
through common carrier pipelines in 2007, 2008, and 2009.
Retail sales of gasoline (5.13) Report the share (percent of
(5.1)) of retail sales through your company-owned (including
lessee-dealers) or operated retail outlets in 2007, 2008, and
2009.
Retail sales of diesel (5.14) Report the share (percent of (5.1))
of retail sales through your company-owned (including lesseedealers) or operated retail outlets in 2007, 2008, and 2009.
For (5.15) and (5.16) ethanol and biodiesel are measured in
thousands of gallons per day and gasoline blendstock and
diesel are measured in thousands of barrels per day for
2009. Biomass-based diesel includes both biodiesel and
renewable diesel
Owned or controlled facilities (refinery rack) (5.15) Report
the volume of shipments from owned rack for ethanol, gasoline
blendstock, biodiesel and total diesel for 2009. Note: For
ethanol and biomass diesel, the form asks for volume blended.
For Gasoline blendstock and diesel, the form asks for
throughput)
Owned or controlled facilities (terminal) (5.16) Report the
volume (in thousands of barrels) of shipments from owned rack
for ethanol gasoline blendstock, biodiesel and total diesel for
2009.
Comments (5.17): Report any additional information for Part 5.

PROVISIONS REGARDING
CONFIDENTIALITY OF INFORMATION
The information reported on this form 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.
The Federal Energy Administration Act requires the DOE to
provide company-specific 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
component of the Department of Energy (DOE); 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 nonstatistical purposes such as administrative,
regulatory, law enforcement, or adjudicatory purposes.

PI-588, Small Refinery Survey 2010
Page 4

Disclosure limitation procedures are not applied to the statistical
data published from this survey's information. Thus, there may
be some statistics that are based on data from fewer than three
respondents, or that are dominated by data from one or two
large respondents. In these cases, it may be possible for a
knowledgeable person to estimate the information reported by a
specific respondent.
Company specific data are also provided to other DOE offices for
the purpose of examining specific petroleum operations in the
context of emergency response planning and actual
emergencies.
The data collected on Form PI-588, “Small Refinery Survey
2010” are used to report aggregate statistics on and conduct
analyses of the operation of U.S. petroleum refineries.

FILING
FORMS
WITH
THE
FEDERAL
GOVERNMENT AND ESTIMATED REPORTING
BURDEN
Respondents are not required to file or reply to any Federal
collection of information unless it has a valid OMB control
number. This is a one time survey. Public reporting burden for
this collection of information is estimated to average 30 hours per
response. This includes the time for reviewing instructions,
searching existing data sources, gathering and maintaining the
data needed, and completing and reviewing the collection of
information. Send comments regarding this burden estimate or
any other aspect of this collection of information including
suggestions for reducing this burden to: Policy and
International and Affairs, PI-42, 1000 Independence Avenue,
S.W., Washington, D.C. 20585; and to the Office of Information
and Regulatory Affairs, Office of Management and Budget,
Washington, D.C. 20503.

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PI-588, Small Refinery Survey 2010