Elec 2011 Supporting Statement Part A

SUPPORTING STATEMENT FOR THE
ELECTRIC POWER SURVEYS
OMB NUMBER 1905-0129
May 2010
Revised September 2010

All of the electric power surveys contained herein are mandatory surveys
and are solely sponsored and conducted by the EIA. The original summary
of the proposed revisions to the forms is provided in Part A of this
Supporting Statement. However, due to comments received during the
second Federal Register Notice, there have been changes made to the
original list of revisions. Appendices D and E contain a copy of the EIA’s
response to the second set of comments and provide an outline of the
further changes that are being made. In addition, Appendix C, which
contains a copy of each form, has been updated accordingly.

U.S. Energy Information Administration
Office of Coal, Nuclear, Electric and Alternate Fuels
U.S. Department of Energy
Washington, DC 20585

1

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 ....................................................................................................................................... 9
A.2.2. Overview of Data Collections ........................................................................................................................... 11
A.2.3. Individual Form Data Uses and Modifications ................................................................................................. 13
A.3. Use of Technology ............................................................................................................................................... 23
A.4. Efforts to Reduce Duplication ............................................................................................................................. 24
A.4.1. Analysis of Similar Existing Information ......................................................................................................... 26
A.5. Provisions for Reducing Burden on Small Businesses ........................................................................................ 30
A.6. Consequences of Less-Frequent Reporting.......................................................................................................... 30
A.7. Compliance with 5 CFR 1320.5........................................................................................................................... 31
A.8. Summary of Consultations Outside the Agency .................................................................................................. 31
A.9. Payments or Gifts to Respondents ....................................................................................................................... 31
A.10. Provisions for Confidentiality of Information ................................................................................................... 31
A.11. Justification for Sensitive Questions .................................................................................................................. 34
A.12. Estimate of Respondent Burden Hours and Cost ............................................................................................... 35
A.13. Annual Reporting and Record Keeping Cost ..................................................................................................... 36
A.14. Annual Cost to the Federal Government............................................................................................................ 37
A.15. Changes in Burden ............................................................................................................................................. 37
A.16. Collection, Tabulation, and Publication Plans ................................................................................................... 39
A.17. OMB Number and Expiration Date ................................................................................................................... 41
A.18. Certification Statement ...................................................................................................................................... 41
B. Collection of Information Employing Statistical Methods .................................................................................. 42
B.1. Respondent Universe ........................................................................................................................................... 42
B.2. Statistical Methodology ....................................................................................................................................... 43
B.3. Methods to Maximize Response Rates ................................................................................................................ 51
B.4. Tests of Procedures .............................................................................................................................................. 52
B.5. Forms Consultation .............................................................................................................................................. 52

Tables
Table 1. Electric Power Data Collection Forms .......................................................................................................... 25
Table 2. Confidential Data Elements .......................................................................................................................... 34
Table 3. Electric Power Burden Information for OMB Number 1905-0129 .............................................................. 36
Table 4. Change in Burden Hours .............................................................................................................................. 38
Table 5. Internet Data Collection Submissions, 2009 ................................................................................................. 39
Table 6. Proposed Electric Power Data Collection by EIA Form............................................................................... 39
Table 7. Publications Using Proposed Electric Power Data by Form......................................................................... 40
Table 8. Facility Types ............................................................................................................................................... 46
Table 9. Energy Source Aggregations ........................................................................................................................ 46
Table 10. State/Census Division Aggregations .......................................................................................................... 47
Table 11. Form EIA-923 Sample Coverage by Facility Type .................................................................................... 49
Table 12. Form EIA-923 Sample Coverage by Energy Source .................................................................................. 50

Figures
Figure 1. EIA Electric Industry Data Collection ........................................................................................................ 12

2

Appendices (in separate documents)
Appendix A, Partial List of Electric Power Data Users
Appendix B, Summary of Comments on Forms and Instructions
Appendix C, Revised Electric Power Cover Letters, Forms, and Instructions
Appendix D, EIA Letter to OMB Documenting August 18, 2010 Meeting and Giving EIA’s Recommendations
on the Comments Received In Response to Federal Register Notice
Appendix E, EIA Letter to OMB Regarding Comments Received From the Environmental Protection Agency
in Response to Federal Register Notice

3

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 2010 and will begin using the revised forms in 2011.
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.
All of the electric power surveys contained herein are mandatory surveys and are solely
sponsored and conducted by the EIA. The original summary of the proposed revisions to the
forms is provided in Part A of this Supporting Statement. However, due to comments received
during the second Federal Register Notice, there have been changes made to the original list of
revisions. Appendices D and E contain a copy of the EIA’s response to the second set of
comments and provide an outline of the further changes that are being made. In addition,
Appendix C, which contains a copy of each form, has been updated accordingly.
Terms of Clearance
In December 2007, the OMB authorized the EIA to collect information under OMB No. 19050129 using the EIA Form Numbers: 411, 826, 860, 860M, 861, and 923. At the time, OMB
issued one term of clearance which is listed below, along with the EIA response.
TERM OF CLEARANCE: To allow sufficient time to fully assess the usefulness of the NERC
Transmission Data Availability System (TADS) and its potential to provide the Federal
government with electric power outage data, Schedule 7 of EIA Form 411 will be submitted by
respondents on a voluntary basis pending future discussions with NERC, EIA, OMB, and
Federal users of Schedule 7. If TADS or a modified version is acceptable, the EIA will assess
the impact on the Form EIA-411 and work with OMB on any agreed-upon changes.

4

EIA REPLY: Schedule 7 of the Form EIA-411 has been submitted on a voluntary basis while
the NERC TADS program has initiated. TADS data will satisfy Schedule 7 and Schedule 7 will
become mandatory with the approval of the Electricity 2011 forms.
EIA Proposals
The EIA has conducted a project, Electricity 2011, 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, Electricity 2005, and Electricity 2008 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 that effort was the development of EIA’s Internet Data
Collection (IDC) System. Response to the IDC has expanded to the point that EIA’s Electric
Power Division uses the Internet to collect approximately 37,000 of the nearly 39,000 electricity
survey forms that are submitted each year.
The Electricity 2005 project was a more modest effort that modified the surveys by including
questions on electricity transmission and fuel switching capabilities. In the Electricity 2008
Project, the EIA proposed the merging of 5 of the existing 8 forms into two.
This request is made for the clearance of the following six EIA electric power survey forms:
•
•
•
•
•
•

Form EIA-411, “Coordinated Bulk Power Supply & Demand 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.”

Form EIA-411, “Coordinated Bulk Power Supply Program Report”
•

Change form name to "Coordinated Bulk Power Supply & Demand Program Report;" return
to collecting projected reliability data on a 10-year basis as opposed to 5 years. Change
“Council” to “Regional Entity” and add submission of Sub-regional level breakout of data.

•

Adopt the current NERC 2009 Schedule 3 for summer and winter aggregated demand and
supply information. Changes are as follows: Demand category additions include “Demand
Response,” "Critical Peak-Pricing with Control," and "Load as a Capacity Resource;" supply
category additions include "Existing-Certain," “Existing-Other," "Existing-Inoperable,"
"Future-Planned," “Future-Other," and "Conceptual" categories; break out capacity
categories of Wind, Solar, Hydro, and Biomass to cover both expected on-peak and derated
values; and expand coverage of types of reserve margin calculations.

5

•

Delete Schedule 4 - Regional Imports and Export detail. (Transaction summaries are added to
Schedule 3.)

•

For Schedule 5, permit the submission of Computer-Aided Design and/or Computer-Aided
Design and Drafting (CAD/CADD) file types. Schedule 6 changes include: Part A will now
collect the following Existing Transmission Circuit Miles values: AC (kV) - 115, 138, 161,
230, 345, 500, 765; DC (kV) 100-299, 300, 400, 450, 500; Part B will now collect Projected
Transmission Additions starting at 100kV and information on the reasons why Projected
Transmission Additions are being added.

•

Change reporting of selected transmission outage data to a mandatory basis on Schedule 7.

Form EIA-826, “Monthly Electric Sales and Revenue with State Distributions Report”
•

Schedule 3 Part A. Green Pricing: Collect, by State and sector, the number of green pricing
customers, green pricing sales and revenue as well as green pricing sales and revenue from
Renewable Energy Certificates (REC).

•

Schedule 3 Part B. Net Metering: collect, by State and sector, the number of net metering
customers, net metering capacity and technology type, as well as energy displaced by net
metered generating facilities.

•

Schedule 3 Part C. Advanced Metering: Collect, by State and sector, the number of
Advanced Meter Reading (AMR) and Advanced Metering Infrastructure (AMI) meters
installed, as well as the energy served through AMI meters.

Form EIA-860, “Annual Electric Generator Report”
•

Change the collection of the planning horizon from 5 years to 10 years.

•

Schedule 3 Generator Information: Make revisions (prime movers and energy sources) to
distinguish the reporting of energy storage technologies; make revisions (prime movers and
energy sources) to distinguish the reporting of hydrokinetic technologies and related
information; add geothermal to the technologies for which tested heat rate data are required;
add the data element, “Annual Average Operating Efficiency,” for solar photovoltaic, wind,
and hydroelectric generators to the data collection; and replace the questions on reactive
power output (MVAR) with new questions related to reactive power output.

•

Schedule 6 Part F. Cooling System Information: Add new codes to capture additional cooling
system types, source of cooling water and type of cooling water; add a question to collect the
percent of cooling load served by dry cooling components (for hybrid cooling systems); and
expand the survey frame for cooling system data collection to include all thermoelectric
plants greater than or equal to 100 MW in size.

6

Form EIA-860M, “Monthly Update to the Annual Electric Generator Report”
•

Schedule 2 (Updates To Proposed New Generators) and Schedule 3 (Updates To Proposed
Changes To Existing Generators): Make revisions (prime movers and energy sources) to
distinguish the reporting of energy storage technologies; and make revisions (prime movers
and energy sources) to distinguish the reporting of hydrokinetic technologies and related
information.

Form EIA-861, “Annual Electric Power Industry Report”
•

Schedule 2, Part C. Green Pricing: Add, by State and sector, the green pricing sales and
revenue from Renewable Energy Certificates (REC).

•

Schedule 2, Part D. Net Metering: By State and sector, add the capacity and technology type
for net metering generating facilities.

•

Schedule 6, Demand-Side Management Information: Collect Demand-Side Management
(DSM) information from all respondents, 1 regardless of size; and expand collection of DSM
data to include State and sector level breakdown of costs, energy efficiency, and load
management effects.

•

Schedule 7, Distributed and Dispersed Generation: Collect the capacity for distributed and
dispersed generating technologies by State (replaces the percent for each technology); and
add “Photovoltaic (PV)” and “Storage” as choices for reporting distributed and dispersed
generation types.

Form EIA-923, “Power Plant Operations Report”

1

•

Schedule 1. Total Plant Efficiency for Combined Heat and Power (CHP) Plants: Add the
annual average total CHP efficiency (i.e., the energy output’s percentage of the energy input)
from combined heat and power plants only.

•

Schedule 8D. Cooling System Information, Annual Operations: Add a column to collect
amount of water diverted; and expand directions to include definitions of diversion,
withdrawal, consumption, and discharge.

•

Expand respondent pool to include any thermoelectric power plant greater than or equal to
100 MW.

Respondents are entities in a frame.

7

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,
rationing, and allocation of all forms of energy as are appropriate in
connection with only those authorities or functions:

8

(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; . . .
(4) ...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
A.2.1. Overview of Data Uses
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 for many
other uses. For example, the State of California used EIA electric power data in 2007 to assess

9

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. 2 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:

2

•

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

•

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

•

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

The Clean Air Act, as amended, is codified at 42 USC, Chapter 85.

10

•

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
4. Electricity sales (i.e., retail and wholesale sales, revenues, number of customers, demandside management programs, and electricity sources and disposition).
Figure 1 illustrates how each survey collects information from each important facet of the
industry.

11

Figure 1. EIA Electric Industry Data Collection
EIA-923
Monthly data on cost and
quality of fuels delivered
to generating plants

EIA-923
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

Sales for
Resale/Transmission
Indicates Non-EIA Forms

12

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 proposed 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 & Demand Program Report”
The Form EIA-411 is filed annually. 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, (5) projected transmission lines, and (6) transmission
outages. The various NERC Regions 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:
1. Adopt the current NERC 2009 Schedule 3 for summer and winter aggregated
demand and supply information. Demand category additions include various
types of demand response, and supply category additions include Existing, Future,
and Conceptual categories and breakout categories for Wind, Solar, Hydro, and
Biomass for derated and expected on-peak values. Regions and subregions will
report expected rerates, including derates for variable generation such as wind or
solar, and capacity provided by demand response programs.
2. Collect data on existing transmission mileage on Schedule 6A
3. Change reporting of selected transmission outages, Schedule 7, from voluntary to
mandatory
4. Require all reporting on transmission lines starting at 100 kV for DC and 115 kV
for AC on all pertinent schedules, with the exception of 7A and 7C, with the
expectation of lowering the reporting requirement to 115 kV for 7A and 7C in the
next round of survey form updates
5. Return to reporting on capacity and transmission planning for a 10-year horizon,
rather than a 5-year horizon.

13

Uses of Data:
The information is used by the Department of Energy and/or other entities:
1. To answer queries from the Congress, other Federal and State agencies, the
electric power industry, and the general public
2. As input to the National Energy Modeling System (NEMS)
3. To monitor the electric power industry’s health and evaluate its future plans
4. To monitor the adequacy and reliability of transmission line capacity
5. To determine the adequacy of electricity supply in the eight NERC regions and
the Nation
6. To monitor reliability planning for adequacy of supply, track changes in peakload demand, review new planned transmission line additions, and determine
issues affecting transmission outage rates
7. To analyze the adequacy of short- and long-term electricity supply
8. To monitor the transition to open transmission line access
9. To evaluate transmission line constraints and system reliability
10. To forecast short- and long-term electricity supply and demand
11. As input to the following reports issued by the EIA:
• Electric Power Annual
• Annual Energy Review
• 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 480 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.

14

Modifications:
EIA proposes to:
1. Collect the names of the companies that deliver electricity on behalf of power
marketers and retail service providers on Schedule 2. Part B. Sales to Ultimate
Customers – Energy-Only Service
2. Collect, by State and sector, the number of green pricing customers, green pricing
sales and revenue, as well as Renewable Energy Certificate (REC) sales and revenue
on Schedule 3 Part A. Green Pricing
3. Collect, by State and sector, the number of net metering customers, net metering
capacity and technology type, as well as energy displaced by net metered generating
facilities on Schedule 3 Part B. Net Metering
4. Collect, by State and sector, the number of Advanced Meter Reading (AMR) and
Advanced Metering Infrastructure (AMI) meters installed, as well as the energy
served through AMI meters on Schedule 3 Part C. Advanced Metering.
Uses of Data:
The information is used by the Department of Energy and/or other entities:
1. To answer queries from the Congress, other Federal and State agencies, the
electric power industry, and the general public
2. As input to the Short-Term Integrated Forecasting System, used to forecast
quarterly electricity sales for up to 8 future quarters
3. As input to the National Energy Modeling System (NEMS)
4. To estimate monthly electric sales and price data by State and sector (residential,
commercial, industrial, and transportation)
5. To monitor the progress of State retail competition
6. To evaluate industry concentration and the resulting market power of retail sellers
7. To monitor national and local sales and prices, by sector, including transportation
data used by the Federal Reserve Board, Congress, other Federal agencies, the
electric power industry, and the general public
8. To evaluate unbundled retail electricity rates
9. To monitor and analyze the economic impact of industry restructuring by
financial analysts
10. To evaluate industry concentration and the resulting market power of retail sellers
used by Standard & Poor’s
11. To use by the public utility commissions when reviewing rate cases
12. To verify information provided to State and other Federal agencies in other
forums
13. To evaluate unbundled retail electricity rates
14. To monitor and analyze the economic and operational impacts of industry
restructuring
15. To monitor sales and prices of electricity for use by the Public Utility
Commissions when reviewing rate cases
16. To monitor the progress towards retail competition

15

17. To produce the following reports issued by EIA:
• Monthly Energy Review
• Monthly Flash Estimates of Electric Power Data
• Electric Power Monthly
• Electric Power 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-860, “Annual Electric Generator Report”
The Form EIA-860 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:
1. Change the planning horizon from 5 years to 10 years
2. Make revisions (prime movers and energy sources) to distinguish the reporting of
energy storage technologies, hydrokinetic technologies, and related information; add
geothermal to the technologies for which tested heat rate data are required; add the
data element, “Annual Average Operating Efficiency,” for solar photovoltaic, wind,
and hydroelectric generators to the data collection; and replace the questions on
reactive power output (MVAR) with new questions related to reactive power output
on Schedule 3, Generator Information
3. Add new codes to capture additional cooling system types, source of cooling water,
and type of cooling water; add a question to collect the percent of cooling load served
by dry cooling components (for hybrid cooling systems); and expand the survey
frame for cooling system data collection to include all thermoelectric plants greater
than or equal to 100 MW in size on Schedule 6, Part F. Cooling System Information.

16

Uses of Data:
These data are used by the Department of Energy and/or other entities:
1. As the primary source of information on the characteristics and capabilities of the
Nation’s generating fleet
2. As background for answering requests from the general public and Congress for
power plant generator level information
3. As input to the National Energy Modeling System and the Short-Term Integrated
Forecasting System
4. As input to many private sector models of the electric generating system
5. As a source for studies of capacity additions and fuel switching
6. As input to emission calculations in combination with the EPA E-GRID and
Continuous Emissions Monitoring System data
7. To monitor compliance with air pollution control programs
8. As an electric power capacity resource for emergency and contingency planning
in the event of power interruptions
9. As an electric power capacity resource to the regulatory requirements developed
in accordance with the Clean Air Act
10. To analyze the adequacy of short- and long-term electricity supply
11. To verify information provided to State and other Federal agencies in other
forums
12. To forecast short- and long-term electricity supply and demand
13. To evaluate the need for additional electric generating capacity
14. To estimate stranded costs of utility generating assets
15. To allocate emission credits to individual generators
16. To design future environmental trading programs
17. To estimate the cost of environmental equipment to meet standards
18. To establish budgets and standards for air quality programs
19. To assess compliance with existing environmental programs
20. To evaluate multi-pollutant control proposals
21. To monitor and analyze the economic and operational impacts of industry
restructuring
22. 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
23. To assist the EPA in developing programs for the Clean Air Act’s Acid Rain
Program
24. To assist the EPA in developing regulations to comply with such statutes as the
Clean Air Act, the Clean Water Act, and the Resource Conservation and
Recovery Act
25. To model air quality rules and procedures

17

26. As input into the following reports issued by the EIA:
• Electric Power Monthly
• Electric Power Annual
• Annual Energy Review
• Renewable Energy Annual
• State Electricity Profiles
• 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; 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 concerning the proposed on-line date, prime mover type, capacity,
and energy sources. During 2011, EIA anticipates collecting the Form EIA-860M from
approximately 124 entities each month.
Modifications:
The EIA proposes to:
1. Make revisions (prime movers and energy sources) to distinguish the reporting of
energy storage technologies, hydrokinetic technologies, and related information on
Schedule 2 (Updates To Proposed New Generators) and Schedule 3 (Updates To
Proposed Changes To Existing Generators).
Uses of Data:
These data are used by the Department of Energy and/or other entities:
1. 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
2. As background for answering requests from the general public and Congress for
power plant generator level information
3. As input to the National Energy Modeling System and the Short-Term Integrated
Forecasting System
4. As input to many private sector models of the electric generating system

18

5. 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
6. As a source of information for answering the many public and private requests for
up-to-date information on proposed power plants, including public and private
analysts evaluating the market for new projects
7. As a source for studies of capacity additions and fuel switching
8. As input into the following reports issued by the EIA:
• Electric Power Monthly
• 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, green pricing, net
metering, electric operating revenue, demand-side management information, demand
response information, and distributed generator information.
Modifications:
The EIA proposes to:
1. Add, by State and sector, Renewable Energy Certificate (REC) sales and revenue on
Schedule 2, Part C. Green Pricing
2. Add, by State and sector, the capacity and technology type for net metering
generating facilities on Schedule 2, Part D. Net Metering
3. Collect demand-side management (DSM) information from all respondents,
regardless of size; and expand collection of DSM data to include State and sector
level breakdown of costs, energy efficiency, and load management effects on
Schedule 6, Demand-Side Management Information
4. Collect the capacity for distributed and dispersed generating technologies by State
(replaces the percent for each technology); and add “Photovoltaic (PV)” and
“Storage” as choices for reporting distributed and dispersed generation types on
Schedule 7, Distributed and Dispersed Generation.

19

Uses of Data:
The information is used by the Department of Energy and/or other entities:
1. To answer queries from the Congress, other Federal and State agencies, the
electric power industry, and the general public
2. As input to the National Energy Modeling System, sales data are used to project
long-term electricity demand, sales for resale and purchases are used to validate
the wholesale model results
3. 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
4. To develop and maintain time series data showing average wholesale electric
power volumes and average prices by NERC region
5. To report time series data showing distributed and dispersed generation resources
6. To report the development of net metering and green pricing programs
7. To report annual and incremental effects of DSM programs and their costs
8. To monitor the changes in electricity prices in the various States and sectors of the
economy
9. To assess the affect of price changes on the demand for electricity
10. To monitor the progress of energy service providers as they expand in the States
with retail competition
11. To verify information provided to State and other Federal agencies in other
forums
12. To assess the degree of market concentration in market-based applications
13. To evaluate unbundled retail electricity rates
14. To monitor and analyze the economic and operational impacts of industry
restructuring
15. To monitor sales and prices of electricity for use by the Public Utility
Commissions when reviewing rate cases
16. To provide input into the following reports issued by the EIA:
• Electric Power Monthly
• Electric Power Annual
• Annual Energy Review
• Renewable Energy Annual
• State Electricity Profiles
• Electric Sales and Revenue
• Monthly Energy Review
• 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.

20

• Form EIA-923, “Power Plant Operations Report”
The Form EIA-923 is a mandatory report that collects fuel receipts, consumption, electric
generation, fuel stocks, combustion byproducts, operational cooling water data, and
operational data for NOx, SO2, and particulate matter control equipment from 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 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
include mode of transportation, mine name, MSHA ID, type of mine, and the State and
county where the mine is located. The data on this survey are collected monthly from a
statistically determined sample of relatively large plants. The remaining smaller plants
are surveyed annually. (The sampling methodology is described in Section B,
“Collection of Information Employing Statistical Methods,” Item 2, Statistical
Methodology.)
The Form EIA-923 also collects 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).
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.
Modifications:
EIA proposes to:
1. Add the annual average total CHP efficiency (i.e., the energy output as a percentage
of energy input) from combined heat and power plants only on Schedule 7. Annual
Revenues from Sales for Resale
2. Collect the amount of water diverted; and expand directions to include definitions of
diversion, withdrawal, consumption, and discharge on Schedule 8D. Cooling System
Information, Annual Operations
3. Expand the respondent pool to include any thermoelectric power plant greater than or
equal to 100 MW on Schedule 8D. Cooling System Information, Annual Operations.
Uses of Data:
The information will be used by the Department of Energy and/or other entities:
1. To answer queries from the Congress, other Federal and State agencies, the
electric power industry, and the general public
2. 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
3. As input to calculate plant capacity factors and plant heat rates in order to
evaluate efficiency and unit effectiveness
21

4. As input to intermediate- and long-term energy models such as the National
Energy Modeling System
5. To monitor fuel switching during the year
6. To evaluate compliance with State implementation programs
7. To monitor fuel stock levels in cases of energy or weather emergencies and
strikes
8. To monitor fuel usage and the dependence on particular fuels
9. To calculate emissions of carbon dioxide and other air pollutants
10. To provide data that the EPA and State and local regulators need to develop and
implement air pollution control, energy, and utility regulatory programs
11. To provide data that can be used to accurately gauge the need for emission
allowances under cap and trade programs
12. To monitor the costs of fossil fuels used to generate electricity
13. 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
14. To monitor the electric power industry, its sectors, and reliance on each fuel type
15. To analyze the progress toward meeting renewable energy portfolio standards
16. To analyze the adequacy of short- and long-term electricity supply
17. To forecast short- and long-term electricity supply and demand
18. To evaluate the need for additional electric generating capacity
19. To allocate emission credits to individual generators
20. To design future environmental trading programs
21. To estimate the cost of environmental equipment to meet standards
22. To establish budgets and standards for air quality programs
23. To assess compliance with existing environmental programs
24. To evaluate multi-pollutant control proposals
25. To monitor and analyze the economic and operational impacts of industry
restructuring
26. To provide input to the EPA’s “Emissions and Generation Resource Integrated
Database” (E-GRID), which is used by State regulatory authorities to evaluate
their environmental programs
27. To assist the EPA in developing programs for the Clean Air Act’s Acid Rain
Program
28. To assist the EPA in developing regulations to comply with such statutes as the
Clean Air Act, the Clean Water Act, and the Resource Conservation and
Recovery Act
29. To model air quality rules and procedures
30. To monitor the cost and quality of the fossil fuels used to generate electricity
31. To monitor sales and prices of electricity for use by the Public Utility
Commissions when reviewing rate cases, and

22

32. As input to the following publications issued by the EIA:
1) Monthly Flash Estimates of Electric Power Data
2) Electric Power Monthly
3) Electric Power Annual
4) Annual Energy Review
5) Annual Energy Outlook
6) Monthly Energy Review
7) Quarterly Coal Report
8) Natural Gas Annual
9) Renewable Energy Annual
10) Short-Term Energy Outlook
11) State Energy Data Report
12) State Electricity Profiles
13) Cost and Quality of Fuels for Electric Plants
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.

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 responses 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
respondents 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
23

data. As of December 31, 2008, approximately 95 percent of all monthly forms and 99
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 over 95 percent of the forms
will be submitted electronically by the end of 2010. 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. Approximately 99 percent of the
2009 monthly forms were received on time, and it is estimated that 80 percent of the
annual forms will be 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 provide the data that varies from year
to year or month to month.

A.4. Efforts to Reduce Duplication
As part of the 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 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:
1)
2)
3)
4)
5)
6)
7)

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 Projects 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
24

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.
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
OE-781R
Monthly Electricity Imports and Exports Report
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 Nonmajor Public Utilities and Licensees
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
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
25

Responsible
Group
Form No.
Title
North American Electric Reliability Corporation
NERC GADS
Generating Availability Data System
NERC TADS
Transmission Availability Data System
Nuclear Regulatory Commission
NRC ODR
Operating Data Report
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
*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 & Demand 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 5 years. The Form EIA-411 provides the power
supply planning projected by the members and/or a sub-regional grouping of members of
the 8 NERC regions for the reporting year and forthcoming 5-year period. The Form
EIA-411 is 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
26

collects, rather than duplicating data already collected. Bulk power transmission maps by
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 2,840 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 of the approximately 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 Form
1. Information collected on Schedule 1, Schedule 2 column e, and (if the utility has
revenue in more than one State) Schedule 4 of the Form EIA-861 is not duplicative of the
FERC Form 1.

27

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 provide the new annual data.
●

Form EIA-923, “Power Plant Operations Report”

The Form EIA-923 is a mandatory report for all electric power plants and CHP plants
that meet the following criteria: 1) have a total generator nameplate capacity (sum for
generators at a single site) of 1 MW or greater; and 2) where the generator(s), or the
facility in which the generator(s) resides, is connected to the local or regional electric
power grid and has the ability to draw power from or deliver power to the grid. To lessen
the reporting burden, a sample of plants is collected on a monthly basis. Plants that are
not selected to respond monthly must respond annually for the calendar year. The Form
EIA-923 collects fuel receipts, consumption, electric generation, fuel stocks, combustion
byproducts, operational cooling water data, and operational data for NOx, SO2, and
particulate matter control equipment. Prior to 2008, there were several areas of possible
duplication in the power plant data collected by the FERC on FERC Form 423 and by
EIA’s Electric Power Division on the Forms EIA-423, EIA-906, EIA-920, and certain
items from Form EIA-767. By merging those surveys into the Form EIA-923, any
duplication was eliminated. In addition, certain coal data collected on the Form EIA-923
enabled the discontinuation of a form in EIA’s Coal Division – the Form EIA-6A “Coal
Distribution Report,” thereby further eliminating possible duplication of data collected by
the two Divisions.
● 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 DSM programs, breakdowns of electricity
consumption by end use, and presence of selected state-of-the-art and advanced
electronic technologies.
Several of the Form EIA-846 questions overlap with questions on the Forms EIA-860
and EIA-923. 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 establishmentlevel 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.

28

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 PURPA.
● Other EIA Forms
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:
1) Name and address of the applicant, and location of the facility
2) A brief description of the facility, including a statement indicating if it is a
cogeneration or small power production facility
3) Primary energy source used or to be used
4) Percent ownership by an electric utility or by an electric utility holding company
5) 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 do 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
29

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
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 Forms EIA-923 and EIA-826 and the thresholds or
cutoffs for the Forms EIA-860 and EIA-861 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 with its built-in edits 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 4.2 million user sessions in December 2009. 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
30

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.

A.8. Summary of Consultations Outside the Agency
Consultations were conducted using a Federal Register Notice (FR Doc. E9-24777
covering all collections) published October 14, 2009. Emails explaining the proposals,
including the link to the notice and to EIA’s Electricity 2011 Webpage, were sent 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 summary of the comments received, along with the EIA
responses, 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. Disclosure of Information
The EIA is not proposing changes to its procedure concerning the treatment of sensitive
electric power data collected through the surveys contained in this information collection
package.
The current procedure is based on the review of all comments received during past
clearance exercises coupled with consideration of the applicable laws and regulations
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)
31

4. The Paperwork Reduction Act, (44 U.S.C. 35)
5. The Clean Air Act, (CAAA90, Public Law 101-549)
1. Trade Secrets Act
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.
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
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.

32

Determination
Most elements are considered public information 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
considered public information and may be released in identifiable form.
The electric power surveys do include some elements that are considered protected and
those elements will not be publicly released in identifiable form, although they may be
shared under written agreements designed to protect the identifiability of respondents and
their reported values.
For electric power survey elements that EIA considers protected, the following notice is
provided to survey respondents:
The information elements (name of 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.
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.
The EIA has determined that the elements listed in Table 2 are those data elements that
are considered protected and will not be publicly released in identifiable form. All other
data elements not listed in Table 2 are considered public information and may be
disclosed in identifiable form.

33

Table 2. Protected Data Elements
Form
EIA411
EIA411

Data Element
Power flow cases and bulk
electric transmission
system maps
Transmission Outages

EIA826-

Monthly electric sales,
revenue, and number of
customers reported for
energy-only service or by
energy service providers
and marketers

EIA826

Green Pricing

EIA860

Tested heat rate under full
load

EIA923

Delivered costs of coal,
natural gas, and petroleum
received at nonutility
power plants

EIA923-

Commodity costs for coal
and natural gas received at
utility and nonutility power
plants

EIA923-

End of month coal and
petroleum stocks

Details
EIA will protect bulk transmission facility power
flow cases and bulk electric transmission system
maps and will not disclose them to the public.
EIA will protect outage data from individual
transmission lines or individual transformers and
will not publicly release it in identifiable form.
EIA will protect from disclosing in identifiable
form, for 9 months after the end of the reporting
year, data reported in Schedule 2, Part B (Energy
Only Sales (Without Delivery Service)) and Part
D (Bundled Service by Retail Energy Providers or
any Power Marketer that Provides “Bundled
Service”) relating to Revenue, Megawatthours
Sold, and Number of Customers.
EIA will protect individual green pricing
renewable energy credit data and will not publicly
release it in identifiable form for 9 months after
the end of the reporting year. .
EIA will protect the Tested Heat Rate reported on
Schedule 3, Part B and will not publicly release it
in identifiable form.
EIA will continue to protect the nonutility
delivered fuel cost data and will not publicly
release it in identifiable form. EIA will continue
to treat the utility delivered fuel cost data as public
information.
EIA will continue to protect the utility and
nonutility coal and natural gas commodity cost
data and will not publicly release it in identifiable
form. (EIA does not collect the commodity cost
of petroleum fuels.)
EIA will protect the utility and nonutility stocks
data at the end of the reporting period and will not
publicly release it in identifiable form.

A.11. Justification for Sensitive Questions
There are no questions of a sensitive nature.

34

A.12. Estimate of Respondent Burden Hours and Cost
The overall annual burden for this package is estimated to be 146,789 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 increased by approximately 48,066 hours from the
previous package due to respondent frame enlargements and the addition of data elements
to several surveys. We continue to collect data via the Internet Data Collection System
which helps to minimize respondent burden.
The cost to the respondents is estimated to be $9,814,312.54 (146,789 burden hours times
$66.86 per hour). An average cost per hour of $66.86 is used because that is the
estimated average loaded (salary plus benefits) cost for an EIA employee in 2011. The
EIA assumes that the survey respondent workforce completing surveys for the EIA is
comparable with the EIA workforce.

35

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 &
Demand Program Report
NERC Regions
Members
Total for EIA-411
Monthly Electric Sales and Revenue
with State Distribution Report

Annual Electric Generator Report
Filers with environmental information
Filers without environmental
information
Total for EIA-860

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
16.0

960
12,800
13,760

480

12

5,760

1.6

9,216

908

1

908

12.5

11,350

1,045

1

1,045
1,953

6.75

7,054
18,404

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

3,278

1

3,278

9.0

29,502

1,776
3,805

12
1

21,312
3,805

2.7
3.2

57,542
12,176

1,360

1

1,360
26,477
38,958

4.4

5,984
75,702

Form
EIA-923

Power Plant Operations Report
Monthly
Annual
Annual reporting requirement
(Schedules 6, 7, and 8) for a portion of the
monthly respondents
Total for EIA-923
Total Responses
Total Burden Hours

146,789

A.13. Annual Reporting and Record Keeping Cost
There are no capital and start-up cost components or operations and maintenance costs
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.

36

A.14. Annual Cost to the Federal Government
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 $6.2 million in
FY 2011.

A.15. Changes in Burden
The currently approved burden for OMB Number 1905-0129 is 98,723 hours and the
proposed burden for this request is 146,789 hours; this is an increase of 48,066 hours,
mostly due to a recalculation of the EIA-923 frame size (see details below).
Modifications affecting burden include adding or deleting data elements on some forms,
adding or deleting respondents on some forms, pre-populating static information on the
forms, and enhancing the 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 will experience a 6-percent increase in burden hours due to the
addition of data elements.

•

Form EIA-826 has added several more data elements to the survey and 30
respondents to the frame. These changes result in an increase of 3,276 hours or
55 percent.

•

Form EIA-860 burden hours have decreased by over 10 percent due to a decrease
in the frame size.

•

Form EIA-860M will not experience a change in burden hours. While the
number of respondents cannot be determined from year to year, we estimate the
burden based on an average number of respondents in prior years.

•

Form EIA-861 will collect new information from a frame that has increased by
22 respondents. These factors have resulted in a 12-percent increase in burden
hours.

•

Form EIA-923 was a new form in 2008 which combined 5 other forms. The
original estimate of burden hours was based on assumptions about its frame sizes.
37

The EIA-923 has a monthly survey, an annual survey, and a supplemental survey.
During the first year of data collection, the frame sizes shifted between the three
and increased from an estimated total of 11,710 respondents to 26,477
respondents (1,360 of which file data monthly and then file a supplemental survey
annually to capture 3 additional schedules of data.) This resulted in a large (128
percent) increase in burden hours during 2008. During 2009 the burden did not
increase and EIA anticipates no increase in burden in 2010. The proposed
addition of several questions on the Form EIA-923 in 2011 will have a small
effect, i.e. an additional burden hour for 1,360 respondents. It should be noted
that the Form EIA-923 burden is still less than the total burden of the forms that it
combined.
Table 4. Change in Burden Hours
EIA Form
Old Burden New Burden
Number
Form EIA-411

Form EIA-826

Form EIA-860

Form EIA-860M

Form EIA-861

Change
+800 hours

12,960 hours

13,760 hours

(808 respondents)

(808 respondents)

(same number
of respondents)

9,216 hours

+3276 hours

(5,760 respondents)

(+360
respondents)

5,940 hours
(5,400 respondents)

20,546 hours

18,404 hours

(2,654 respondents)

(1,953 respondents)

205 hours

205 hours

(682 respondents)

(682 respondents)

-2142 hours
(-701
respondents)

Reason for Change
Addition of demand categories; extension of
reliability planning horizon from 5 to 10
years; expansion of coverage of types of
reserve margin calculations
Addition of 30 respondents to the frame plus
additions to the form, i.e. green pricing and
sales data, net metering data, and number of
AMR and AMI meters installed
Reduction of 701 respondents from the frame,
mostly due to plant retirements

0 hours
(same number
of respondents)

+3102 hours

26,400 hours

29,502 hours

(3,300 respondents)

(3,278 respondents)

(-22
respondents)

Form EIA-923

32,672 hours

75,702 hours

+ 43,030hours

(11,710
respondents)

(26,477
respondents)

(+14,767
respondents)

Total overall
change

98,723 hours

146,789 hours

(24,554
respondents)

(38,958
respondents)

+48,066
hours

No change
Addition of green pricing sales and revenue
from RECs, capacity and technology type for
net metering, and capacity for distributed and
dispersed generation; expansion of the
collection of DSM information
Shift in the number and distribution of
respondents required to file the monthly vs.
annual vs. supplemental surveys and the
addition of questions in Schedule 8D.
Addition of important data elements and shifts
in frame sizes

(+14,404
respondents)

The burden hours for the electric surveys are less for those who file electronically. 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 or provide a comment explaining the anomaly before
submitting the survey. 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.

38

Table 5. Internet Data Collection Submissions, 2009
(Percent of Submissions)
EIA Form Number 2004 2007 2009
0
0
0
Form EIA-411
80
95
98
Form EIA-826
59
86
89*
Form EIA-860
0
100 100*
Form EIA-860M
53
89
92*
Form EIA-861
n/a
n/a
94
Form EIA-923M
n/a
n/a
93
Form EIA-923A
n/a
n/a
96
Form EIA-923S
*Estimated based on submissions of 2008 data

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.
Table 6. Proposed Electric Power Data Collection by EIA Form
Form

Date
Notified

Form Due
Date

EIA-411

12/1

To NERC: 4/30
To EIA: 7/15

Annual

Monthly

Period

EIA-826

27 of each
month

30 calendar
days
following the
end of the
month

EIA-860

12/15

2/15

Annual

EIA860M

27th of each
month

15 calendar
days after the
end of the
reporting month

Monthly

EIA-861

1/15

4/30

Annual

th

Elements Collected
Actual energy and peak demand for prior year
plus next 10 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, number of customers, and data on
energy-only service, green pricing, net
metering, and advanced metering
Existing and planned (in next 10 years)
capacity additions and retirements; new
generator interconnection costs; and
environmental control information
Changes to proposed plant additions or
changes in next 12 months

Level of
Detail

NERC
Region and
Subregion

Company/
State

Boiler/Generator/Plant/
Company
Generator/
Plant/
Company

Energy sources, disposition, peak load, sales,
revenue, number of customers, demand-side
management information, green pricing, net

Company/
State

39

Form

EIA-923
Monthly

EIA-923
Annual

EIA-923

Date
Notified

Form Due
Date

27th
of each
month

30 calendar
days
following the
end of the
month

1/15

1/15

3/30

3/30

Period

Monthly

Elements Collected
metering, advanced metering, and names of
counties with utility distribution equipment
Electric power generation, fuel consumption,
fossil fuel stocks, delivered fossil fuel cost,
combustion byproducts, operational cooling
water data, and operational data for NOx, SO2,
and particulate matter control equipment.

Annual

Electric power generation, fuel consumption,
fossil fuel stocks, delivered fossil fuel cost,
combustion byproducts, operational cooling
water data, and operational data for NOx, SO2,
and particulate matter control equipment.

Supplemental

Operational environmental information (The
other data elements on the EIA-923 mentioned
above will have already been submitted on the
monthly survey.)

Level of
Detail

Boiler/
Generator/
Prime Mover/
Plant
Boiler/
Generator/
PrimeMover/
Plant
Boiler/
Generator/
PrimeMover/
Plant

Table 7. Publication Details
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
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
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 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
Cost and Quality of Fuels for Electric Power Plants (Annual) – October

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

40

Form
EIA-923

Elements Published
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
EIA-923
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
National

National
National
National
National

National
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.

41