Part B - SS-2008-Coal-Supplemental

Collections of Information Employing Statistical Methods
1. Description of the Survey Plan
Forms EIA-1, EIA-3, EIA-4, EIA-5, and EIA-20 collect data at the plant level. Forms
EIA-6Q and EIA-8A collect data at the company level. Form EIA-7A is sent to individual mines
and all data are reported at the mine level, i.e., a separate report must be filed for each mining
operation.
For all surveys, the number of respondents equals the number of entities receiving the
form each reporting period. Response rates are expected to remain high for the collection as a
whole because response is mandatory. The response rate for Forms EIA-1, EIA-4, and EIA-20
when last conducted during a 1985 coal strike was 100 percent. Form EIA-6Q has never been
used.
Response rate is measured as the percentage of surveys returned out of all surveys sent to
respondents. In 2006, the Form EIA-3 had a response rate of 100 percent with 2,035 forms
submitted. When non-respondents are encountered, EIA imputes values for coal use based upon
use in prior periods. When data are not reported for other data elements, such as for origin of
coal and ash and Btu contents of coal, EIA records the data as unknown.
Form EIA-5 had a response rate of 100 percent in 2006. When there are nonrespondents, EIA employs the same imputation procedure for Form EIA-5 as it uses for Form
EIA-3.
Form EIA-6A had a response rate of 98.8 percent in 2006 accounting for 100 percent of
coal distributed. For non-respondents, EIA does not impute data.
Form EIA-7A had a response rate of 96 percent in 2006 accounting for 100 percent of
coal produced. For non-respondents, EIA imputes values for coal prices based upon averages
calculated using data for respondents that are located in the same counties as the nonrespondents. To impute coal reserves, EIA uses prior year reserve estimates reduced by the
current year’s production estimate. MSHA collects current year production data at a 100 percent
response rate. Values for productive capacity at the mine level are estimated (imputed) using
prior year data, if available, or current year data for similar mining operations in the same
county.
2. Sampling Methodology and Estimation Procedures
The number of respondents equals the universe frame for all survey forms with the
following exceptions:

Coal Program Package – January 2008
1

a. Mines with annual production of less than 10,000 short tons and preparation plants
recording fewer than 5,000 person hours annually are not required to file a "Coal
Production Report," Form EIA-7A.
b. Form EIA-3 requires a report only from plants or entities consuming in excess of
1,000 short tons of coal annually.
c. The Coal Stocks Report – Annual, Form EIA-8A does not require companies (coal
brokers, coal traders and coal terminals) that owned less than 10,000 tons of coal stocks
at the end of the reporting year to report.
d. The Quarterly Coal Report, Form EIA-6Q has a reporting threshold of 30,000 short
tons annually for coal producing companies and 10,000 short tons for coal stocks held by
non-producing coal distributors.
There are no issues related to stratification since the coal surveys are census surveys with
cutoff thresholds. Estimation for non-response and missing data elements is only done for the
Form EIA-7A survey and partially for the Form EIA-3 and EIA-5 surveys when sites do not
respond.
3. Maximizing the Response Rate
To help ensure maximum response, EIA uses a two-pronged approach for the surveys
with an Internet Data Collection system (EIA-3, EIA-5, EIA-7A, and EIA-8A). First,
approximately 7 to 10 business days before the start of the next reporting period, respondents on
the latest respondent list are sent an e-mail inquiring whether they will continue to submit or if
not, to reply with the name, telephone number and e-mail address of the new preparer. This
advance query helps EIA keep its list of e-mail addresses and names current. It is important to
keep e-mail addresses up to date because most communication is done via e-mail messages. The
second prong is to send e-mail messages reminding respondents that on an upcoming date their
survey forms will be due. Then, once the due date has passed, EIA sends e-mail messages
indicating overdue survey forms. If a firm still does not respond, non-respondents are contacted
by telephone, and finally, a noncompliance letter requesting submission by a specific date is
sent. After the Internet Data Collection system is implemented for Form EIA-8A (2008), EIA
will follow its standard two-prong procedure to maximize response rate.
4. Test of the Procedures
The new Internet Data Collection forms have been successfully used by EIA since 2004.
We are drawing upon respondent feedback and experiences on other EIA data surveys to
improve our methods of operation and procedures.

Coal Program Package – January 2008
2

5. Statistical Consultations
The data collection for the Forms EIA-1, EIA-4, and EIA-20 would be done by
contracted services if surveys are needed. The data collection for the Forms EIA-3, EIA-5, EIA7A, and EIA-8A is done by the Coal, Nuclear, and Renewables Division (CNRD), Office of
Coal, Nuclear, Electric and Alternate Fuels, with contractor assistance. The CNRD will also do
the form EIA-6Q survey if activated. The CNRD conducts the analysis on all forms. For more
information please contact William Watson at (202) 586-1707.

Coal Program Package – January 2008
3