OMB COAL 2011 Part A

SUPPORTING STATEMENT FOR COAL SURVEY FORMS
(EIA-1, 3, 4, 5, 6Q, 7A, 8A and 20)
OMB number 1905-0167?

Request is made for a three-year extension with revisions for the Energy Information
Administration (EIA) Coal Program:
Χ

EIA-1

"Weekly Coal Monitoring Report - General Industries and
Blast Furnaces" (Standby)

Χ

EIA-3

"Quarterly Coal Consumption and Quality Report –
Manufacturing and Transformation/Processing Coal Plants
and Commercial and Institutional Coal Users”

Χ

EIA-4

"Weekly Coal Monitoring Report - Coke Plants" (Standby)

Χ

EIA-5

"Quarterly Coal Consumption and Quality Report – Coke
Plants"

Χ

EIA-6Q

"Quarterly Coal Report" (Standby)

Χ

EIA-7A

"Coal Production and Preparation Report"

Χ

EIA-8A

“Coal Stocks Report – Annual”

Χ

EIA-20

"Weekly Telephone Survey of Coal Burning Utilities and
Independent Power Producers” (Standby)

Changes proposed for the Forms EIA-3, EIA-5, EIA-7A and EIA-8A are described in the
following sections. No changes are proposed for the remaining surveys in the Package (EIA-1,
EIA-4, EIA-6Q and EIA-20). Copies of the forms and instructions are included in Appendix A.
Form EIA-3 (Quarterly Coal Consumption and Quality Report – Manufacturing and
Transformation/Processing Coal Plants and Commercial and Institutional Coal Users)
EIA proposes to make several changes to the Form EIA-3 survey and instructions. The
proposed changes are to obtain additional information about the facility, including county, and
additional information about the details of the coal origins including U.S. Department of Labor’s
Mine Safety and Health Administration (MSHA) ID and the costs of the coal receipts.

Coal Program Package – January 2011
1

EIA proposes to make the data on the survey form publicly available except for the data
element “Total Cost of Coal Received During the Quarter on a C.I.F. Basis (dollars)” in Section
II, item F, and “Commodity Cost” in Section VI, item J.
EIA proposes to make additional minor revisions to the EIA-3 instructions and definitions
to provide respondents detailed information on the additional data elements and to clarify
existing data elements and instructions.
Form EIA-5 (Quarterly Coal Consumption and Quality Report – Coke Plants)
EIA proposes to make changes to the Form EIA-5 survey form and instructions. The
proposed changes are to obtain additional information about the details of the coal plants,
including county, additional information about the details of the coal origins including MSHA ID
and the costs of the coal receipts.
EIA proposes to make the data on the survey form publicly available except for the data
element “Total Cost of Coal Received During the Quarter on a C.I.F. Basis (dollars)” in Section
II, item F, “Total Revenues from Commercial Sales” of coke and breeze in Section III, item I and
“Commodity Cost” Section IV, item K.
EIA proposes to make additional minor revisions to the EIA-5 instructions and definitions
to provide respondents detailed information on the additional data elements and to clarify
existing data elements and instructions.

Form EIA-7A (Coal Production Report)
EIA proposes to make changes to the Form EIA-7A survey form and instructions. The
proposed changes are to obtain additional information about the coal preparation, coal stocks at
remote locations, and exports of coal. EIA also proposes to raise the threshold on the amount of
coal mined during the year that is the basis of the requirement for a mine to complete the survey.
Increasing the threshold will result in fewer respondents to the Form EIA-7A.
EIA proposes to make the data on the survey form publicly available except for the data
element “Total Revenue or Value (dollars)” from open market sales (excluding exports), from
captive market sales, and from exports of coal, each in Section V.
EIA proposes to make additional minor revisions to the EIA-7A instructions and
definitions to provide respondents detailed information on the additional data elements and to
clarify existing data elements and instructions.

Coal Program Package – January 2011
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Form EIA-8A (Coal Stocks Report)
EIA proposes to make changes to the Form EIA-8A survey form and instructions. The
proposed changes are to obtain additional detailed information on the specific origin of the coal
stocks. EIA also proposes to collect data on the coal exported by coal brokers including the
amount of coal exports; the State of origin of the coal exports; the rank of the coal exports; and
the total revenue associated with the coal exports.
EIA proposes to make the data on the survey form publicly available except for the “Total
Revenue of Coal Exports”, in Section III, item J.
EIA proposes to make additional minor revisions to the EIA-8A instructions and
definitions to provide respondents detailed information on the additional data elements and to
clarify existing data elements and instructions.

Justification
1. Legal Authority
The following provisions provide the authority for these mandatory data collections:
Section 13(b), 15 U.S.C., Section 772(b), of the Federal Energy Administration Act of 1974
(FEAA) Public Law 93-275 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
the Act."
The functions of the Secretary are set forth in Section 5(b), 15 U.S.C., Section 764(b), of the
FEAA, which states that the Secretary shall, to the extent he is authorized by Section 5(a) of the
FEAA ... "
(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; ...
Coal Program Package – January 2011
3

(12) perform such other functions as may be prescribed by law."
As the authority for invoking Section 5(b) above Section 5(a), 15 U.S.C., Section 764(a), of the
FEAA 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 -(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 FEAA is provided by section 52, 15 U.S.C., Section
790a, of the FEAA, which states that the Administrator of the EIA:
"...[Shall] establish a National Energy Information System...[which] shall contain such
information as is required to provide a description 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... energy resources and the production, distribution, and
marketing of mineral fuels and electricity;
(2) the consumption of mineral fuels, non-mineral energy resources, and electricity by
such classes, sectors, and regions as may be appropriate for the purposes of this Act;
(3) the sensitivity of energy resource reserves, exploration , development, production,
transportation , and consumption to economic factors, environmental constraints,
technological improvements, and substitutability of alternate energy sources…
(5) industrial, labor, and regional impacts of changes in patterns of energy supply and
consumption."
2. Needs for and Uses of the Data
Coal Program Package – January 2011
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EIA coal data and analyses are used by Congress, Federal agencies, and State and local
governments to reach decisions on national and local policies and a variety of important coalrelated issues, including energy development and use, environmental protection, domestic
welfare, and the health of the coal industry. EIA provides information essential to Presidential
and Congressional commissions dealing with Federal coal leasing actions, assessing coal mine
safety and health issues, and evaluating the potential for the DOE Clean Coal Technology
program. EIA coal data are used for conducting nonutility power producer growth analysis,
evaluating electric utility responses to the Clean Air Act Amendments of 1990, determining
appropriate changes to surface mining regulations, estimating Black Lung tax revenues,
estimating coal export potential, and assessing transportation capabilities and rates.
Principal Federal users include the Departments of Energy, Interior, Labor, Commerce,
Agriculture and Transportation, as well as the U.S. Army Corps of Engineers, the Environmental
Protection Agency, and the Federal Reserve Board.
Within DOE, coal data are widely used for policy analysis, economic modeling,
forecasting, coal supply and demand studies, and in guiding research and development programs.
Numerous Congressional committees, particularly those dealing with energy, the
environment, public lands, health and safety, commerce, transportation, water resources, research
and development, the Federal budget, and taxes need detailed coal supply and disposition data.
Legislative analyses conducted by the Congressional Research Service of the Library of Congress
also require reliable and comprehensive coal industry information.
Typical of some of the regional and State agencies that use EIA coal data and statistics for
economic and energy supply and demand analyses are: the Geological Survey of Alabama; the
Kentucky Department of Mines and Minerals; the New Jersey Energy Department; the New York
State Energy Office; the Southern Governors' Association; the Utah Energy Office; the Virginia
Department of Mines, Minerals and Energy Administration; the West Virginia Department of
Energy; New Mexico Energy, Minerals and Natural Resources Department; Kentucky Governor's
Office for Coal and Energy Policy; and Pennsylvania State University.
Trade associations also depend upon EIA coal data for economic, regulatory, and
legislative analyses. Included in this group are: the Association of American Railroads, the
Edison Electric Institute, the Indiana Coal Association, the Mining and Reclamation Council of
America, the National Mining Association, the Mississippi Valley Coal Exporters Council, the
West Virginia Coal Association and the Wyoming Mining Association.
Additional users of EIA data are coal producers and distributors, coal-consuming
companies, financial/analytic service firms, publishing organizations, the media (electronic and
printed), transportation companies, law firms, academic researchers, and coal labor unions, all of
Coal Program Package – January 2011
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which employ coal data for economic, financial, technical, and market analyses. EIA data also
are used in provisions that support commercial contracts and labor agreements. EIA coal data
was used in a research study by Stanford University in 2010 on the effect of unionization on coal
mine safety. In 2009, the National Institute of Occupational Safety and Health began using EIA
coal data and Mining Safety and Health Administration data as inputs to develop a model that
generates predictions on mines that pose the highest statistical risk of serious injuries and
fatalities.
EIA provides the only comprehensive data on coal production, distribution, and
consumption in the United States. EIA coal data are presented in numerous publications
including the following reports published by agencies of the U.S. Government:
o
o
o
o
o
o
o

Annual Energy Outlook (EIA)
Annual Energy Review (EIA)
Annual Coal Distribution Report (EIA)
Annual Coal Report (EIA)
Industrial Production Report (monthly, Federal Reserve Board)
Monthly Energy Review (EIA)
Productivity Measures for Selected Industries
(annual, Bureau of Labor Statistics, Department of Labor)
o Quarterly Coal Distribution Report (EIA)
o Quarterly Coal Report (EIA)
o Short-Term Energy Outlook (monthly, EIA)
o Statistical Abstract of the United States (annual,
Bureau of the Census, U.S. Department of Commerce)
o Weekly Coal Production (EIA).
EIA coal data are an integral part of international statistical reports on energy and are
included in:
o Coal Information, annual report published by the International Energy Agency
o Energy Statistics of OECD Countries, annual report published by the Organization for
Economic Cooperation and Development.
EIA coal data also provide the foundation for the development of the EIA’s short- and
long-term forecasts of coal supply and demand in domestic and world markets. The results of
these forecasts are contained in numerous EIA publications, including:
o Short-Term Energy Outlook (monthly, EIA)
o Annual Energy Outlook (EIA).
The EIA models which use these data directly include:
Coal Program Package – January 2011
6

o National Energy Modeling System (NEMS), Coal Market Module,
o Short-Term Integrated Forecasting System (STIFS).
Much of EIA’s coal data are available on the World Wide Web.
3. Use of Improved Technology to Reduce Respondent Burden
EIA continues to use information technology to improve reporting options to all coal
survey respondents by making all survey forms and instructions available for download and
printing from the EIA website. All respondents are encouraged to provide email addresses to
facilitate and expedite communications.
EIA has implemented an Internet Data Collection system for Forms EIA-3, EIA-5 and
EIA-7A. The Form EIA-8A currently uses a secure file transfer (SFT) technology and may be
incorporated into the Internet Data Collection (IDC) system in the future. Reduced burden will
occur because electronic submission reduces the time required to fill out the form and to correct
edits, as the IDC has an edit function within its system, and it eliminates the respondent
processing steps associated with sending the paper forms back to EIA by mail.
4a. Efforts to Identify Data Duplication
As part of a continuing effort to avoid data duplication, the EIA routinely reviews and
evaluates coal industry information available from a variety of sources, including other Federal
agencies, industry trade associations, State governments, and commercial information services, to
identify instances of duplication. Additionally, in the public notices and consultations associated
with the triennial re-clearance of the Coal Program Package, the EIA specifically encourages
respondents and data users to identify alternate sources of the coal information the EIA proposes
to collect.
Instances of potential data duplication identified by the EIA are evaluated in terms of data
coverage, level of aggregation, frequency of collection, data reliability, and statutory
requirements to determine whether alternate data sources represent a suitable substitute for EIA
data.
4b. Why Similar Existing Information Cannot Be Used
The EIA has identified potential areas of duplication among Federal forms collecting coal
production and related data, specifically the Form EIA-7A, "Coal Production Report," the MSHA
Form 7000-2, "Quarterly Mine Employment and Coal Production Report," the Form OSM-1,
"Production and Reclamation Fee Report," the Minerals Management Service's Form MMS-

Coal Program Package – January 2011
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Χ

4293, Product Valuation and Associated Allowances - Coal" and the Department of Justice's
Form ATR-139, "Federal Coal Lease Review."
To make data collection and processing more efficient, EIA works closely with MSHA in
a cooperative program aimed at reducing redundant work. MSHA runs a data survey to collect
coal production and employment information used by both MSHA and EIA. For its part, EIA
applies quality checks to the data before it is released. Consequently, EIA does not collect coal
production and employment data on Form EIA-7A. The other data collected by EIA on Form
EIA-7A is not duplicated on the MSHA and OSM surveys.
EIA’s Manufacturing Energy Consumption Survey collects some similar information to
the EIA-3, but it is conducted only every four years. To provide timely data EIA conducts the
EIA-3 quarterly.
5. Provisions for Reducing Burden on Small Businesses
The EIA recognizes the need to minimize the reporting burden on small businesses and
designs data surveys so that small operations are not unduly affected. Additionally, the EIA has
established reporting thresholds for surveys likely to affect small businesses. These thresholds
either eliminate the reporting requirement for small businesses or limit the amount of information
they are asked to supply.
Reporting on the Form EIA-3, " Quarterly Coal Consumption and Quality Report –
Manufacturing and Transformation/Processing Coal Plants and Commercial and Institutional
Coal Users," is limited to manufacturing facilities including coal transformation plants,
commercial entities and institutional entities consuming more than 1,000 short tons of coal
annually.
All companies operating coke plants within the United States must submit Form EIA-5.
EIA is proposing to raise the reporting threshold on the Form EIA-7A “Coal Production
and Preparation Report .“ Reporting on the Form EIA-7A is required for all coal mines (except
those producing anthracite) that produced 25,000 or more short tons of coal during the report
year, and other coal facilities that worked 5,000 hours or more during the report year. The
previous threshold was 10,000 short tons of annual production. All anthracite coal mines that
produced 10,000 short tons or more during the year must also report. Small bituminous and
lignite coal mine operators producing fewer than 25,000 short tons of coal annually, anthracite
coal mine operators producing fewer than 10,000 short tons annually and coal preparation plants
recording fewer than 5,000 hours per year are not required to file the Form EIA-7A.
Reporting on the proposed Form EIA-8A, “Coal Stocks Report – Annual” shall be limited
to all coal brokers, coal traders and coal terminals in the 50 United States and the District of
Coal Program Package – January 2011
8

Columbia that owned stocks of 10,000 or more short tons of coal at the end of the reporting year
or exported more than 10,000 short tons of domestically produced coal.
6. Results of Collecting Data Less Frequently
In keeping with its mandate, EIA is recognized as the major collector of comprehensive
and reliable U.S. energy supply and demand data. The Federal Government, State governments,
as well as the private sector of the economy rely on the EIA for energy statistics and consider its
publications reliable and timely indicators of current energy conditions and trends. The nonstandby coal forms proposed in the Package represent two quarterly surveys (EIA-3 and EIA-5)
and two annual surveys (EIA-7A and EIA-8A). Less frequent reporting on any of these four
forms would prevent EIA from meeting its mandate of providing timely, essential, and reliable
information.
7. Compliance with 5 CFR 1320.5 Controlling Paperwork Burden on the Public
All EIA coal surveys are operated in accordance with the guidelines in 5 CFR 1320.5. In
the event of a coal supply disruption, information could be collected weekly on Forms EIA-1,
EIA-4, and EIA-20. This weekly frequency is justified by the need to provide rapid response
during such a supply disruption to prevent adverse national economic impacts or to alleviate
potential human suffering.
8. Summary of Consultations Outside the Agency
On July 19, 2010, the EIA published Federal Register notice 75 FR 41838 outlining proposed
changes to the Coal Program Package and inviting interested parties to comment. All comments
filed and EIA responses are provided in Appendix B. The National Mining Association (NMA)
was the only set of comments received. Further, the NMA comments support the changes to the
forms and the protection of data as proposed.
9. Remuneration
Respondents will not be paid or provided any gifts in return for responding to EIA coal
data surveys.
10. Provisions for Confidentiality of Information ----

For Forms EIA-3, EIA-5, EIA-7A and EIA-8A , information collected will be
considered public information and may be publicly released in identifiable form subject to
the following exceptions:.
The information elements “Total Cost of Coal Received During the Quarter on a C.I.F.
Coal Program Package – January 2011
9

Basis” (EIA-3, EIA-5), “Commodity Cost” (EIA-3, EIA-5) “Total Revenues from Commercial
Sales” (EIA-5), “Total Revenue or Value” (EIA-7A), “Total Revenue of Coal Exports” (EIA-8A)
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 Energy Information Administration
to provide company-specific data to other Federal agencies when requested for official use. The
information reported on these forms may also be made available, upon request, to another
component of the Department of Energy (DOE); to any Committee of Congress, the Government
Accountability Office, or other Federal agencies authorized by law to receive such information.
A court of competent jurisdiction may obtain this information in response to an order. The
information may be used for any non-statistical purposes such as administrative, regulatory, law
enforcement, or adjudicatory purposes.
Disclosure limitation procedures are applied to the statistical data published from
protected survey information to ensure that the risk of disclosure of identifiable information is
very small.
For Forms EIA-1, EIA-4, EIA-6Q and EIA-20 the following data confidentiality
provisions are used:
The information reported on this form will be protected and not disclosed to the public to
the extent that it satisfies the criteria for exemption under the Freedom of Information Act
(FOIA), 5 U.S.C. §552, the DOE regulations, 10 C.F.R. §1004.11, implementing the FOIA, and
the Trade Secrets Act, 18 U.S.C. §1905.
The Federal Energy Administration Act requires the Energy Information Administration
to provide company-specific data to other Federal agencies when requested for official use. The
information reported on these forms may also be made available, upon request, to another
component of the Department of Energy (DOE); to any Committee of Congress, the Government
Accountability Office, or other Federal agencies authorized by law to receive such information.
A court of competent jurisdiction may obtain this information in response to an order. The
information may be used for any non-statistical purposes such as administrative, regulatory, law
enforcement, or adjudicatory purposes.
Disclosure limitation procedures are applied to the statistical data published from survey
information to ensure that the risk of disclosure of identifiable information is very small.
For all the survey forms in this information collection package, the following provision
applies:

Coal Program Package – January 2011
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Upon request specific to any of the forms, the name, address, and location (state or zip
code) of the responding companies will be released in the form of a full or partial list of
respondents.
11. Justification for Sensitive Questions
There are no questions of a sensitive nature on the coal survey forms.
12. Burden Estimates
a. Estimates of Hour Burden
The estimated respondent burden for each coal form is shown in Appendix C. The total
annual burden is estimated to be 4,530 hours. There are a total of 1639 respondents to
various coal surveys, and on average the estimated annual burden on each is 2.76 hours.
In the previous authorization package (2008 -2011), EIA estimated an annual total
respondent burden of 4,474 hours. The 1.3 percent increase in respondent burden is
occurring because the additions to the EIA-3, EIA-5, and EIA-7A will require additional
respondent hours. The number of respondents to the Form 7-A is being reduced, but will
be less than the increase resulting from the additional data elements. The burden
calculations can be seen in the table below.
Coal Program Burden Estimates
Form
EIA-3
Manufacturing
EIA-3 Coal Synfuel
EIA-5
EIA-7A
EIA-8A
Total

Individual
Response
Burden

Respondents

Annual
Reporting
Frequency

460
56
20
1006
97

4
4
4
1
1

1.25
0.9
1.5
1.8
1

Total Burden
2300
201.6
120
1810.8
97
4530

b. Estimates of Annualized Cost to Respondents
Based on the estimated rate of $66.86 per hour for employees who would complete these
forms, the total annual respondent cost for all forms is estimated to be:
$66.86/hour x 4,530 hours/year = $302,876
Coal Program Package – January 2011
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An average cost per hour of $66.86 is used because that is the average loaded (salary plus
benefits) cost for an EIA employee assigned to data survey work. EIA assumes that the
survey respondent workforce completing surveys for EIA is comparable with the EIA
workforce.
13. Estimate of Total Annual Cost Burden to Respondents
The EIA estimates that there are no capital, start-up, or operating costs to respondents
beyond the cost of the hours described in Item 12.
14. Estimated Annualized Costs to the Federal Government
Federal Government activities and costs associated with the surveys included in the Coal
Program Package are included in the Annual Operating Plans for the Office of Coal, Nuclear,
Electric and Alternate Fuels (CNEAF) of EIA. The estimated annualized cost to the government,
including personnel, for forms development, maintenance, data collection, processing, analysis,
and publication is $586,000. The overall annual costs to the Federal Government have fallen
from about $785,000 estimated for the last year of the current authorization cycle) representing a
25% savings in Federal costs.
The Federal Government coal forms cost estimate for FY 2008 is shown below:

ANNUAL COST TO THE FEDERAL GOVERNMENT, COAL FORMS (ESTIMATED)
Maintenance
Data Collection & Processing
Programming and System Enhancement
Data Analysis & Publication
Total

$ 110,000
300,000
70,000
60,000
_________
$ 540,000

15. Changes in Respondent Burden
It is estimated that there will be a 56 burden-hour (1.3 percent) increase because of
proposed changes to the coal forms. In the previous authorization package (2008 -2011), EIA
estimated an annual total respondent burden of 4,474 hours. The burden associated with this
proposed authorization package is 4,530 hours. The proposed changes are necessary to adapt to
changes in the coal market and to provide improved information, in terms of both coverage and
quality, about the coal industry. In addition, the proposed changes will permit additional quality

Coal Program Package – January 2011
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checks, and cross-survey quality reviews between coal surveys and electricity surveys. The result
will be improvements in both coal and electricity data provided by EIA.

16. Schedule for Collecting and Publishing Data
Plans to tabulate and publish data collected by the coal data collection forms are
described below.
a. Weekly Forms
The weekly data reported on Forms EIA-1, EIA-4, and EIA-20 will be collected only
during coal supply disruptions from a sample of respondents and will not be published in an
individually identifiable form. The data collected from Forms EIA-1, and EIA-4 from
manufacturing and coke plants will be used in the compilation of public statistical reports for
monitoring coal consumption and stocks. Form EIA-20, if and when activated, will include
electric utilities and independent power producers, and is designed to gather up-to-date
information that will enable DOE to closely monitor electric power coal consumption and stocks
and evaluate the potential impact of a coal supply disruption.
A report week is defined as a calendar week beginning 12:01 A.M. on Sunday and ending
at midnight on the following Saturday. A telephone call will be made to collect the data on each
form beginning each Monday of each report week during the coal supply disruption.
b. Quarterly Forms
The data collected on Form EIA-3 (manufacturing and transformation/refining plants, and
commercial and institutional users) and Form EIA-5 (coke plants) will be used in the compilation
of aggregated statistical reports to provide Congress with basic statistics concerning coal receipts,
coal consumption, coal stocks, coal prices at reporting facilities, coal origin, transport mode, and
coal quality. Schedule EIA-6Q would, if activated, collect coal production data from U.S. coal
producers and distributors. Currently, EIA-6Q type quarterly production data are collected by the
Mine Safety and Health Administration (MSHA) and provided to EIA under a cooperative
agreement. EIA plans to continue to obtain quarterly coal production data from MSHA and only
would activate form EIA-6Q in the eventuality that MSHA discontinued its coal production
survey.
Data from Forms EIA-3 and EIA-5 appear in the EIA publications, Quarterly Coal
Report, Monthly Energy Review, Annual Energy Review, and the Annual Coal Report. In
addition, EIA uses the data for coal supply analyses and in short-term modeling efforts requested
by Congress that forecast coal supply, prices, and environmental quality.

Coal Program Package – January 2011
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The quarterly forms are due approximately one month after the close of each quarter. The
quarters are:
(1st)
(2nd)
(3rd)
(4th)

January 1- March 31
April 1 - June 30
July 1 - September 30
October 1 - December 31

The approximate due dates are May 1, August 1, November 1, and February 1,
respectively, following each quarter.
Data compiled from the quarterly surveys (EIA-3 and EIA-5) are available for distribution
to the public as web-accessible data about 75 days after the close of the quarter.
Tables showing the distribution of coal by origin, by destination and by transport mode
developed from the EIA-3, EIA-5, and alternatives to the EIA-6A survey (if approved) would be
posted to EIA’s public website about 75 days after the close of the quarter. This posting schedule
would represent an improvement in data timeliness. EIA normally posts EIA-6A annual
distribution data about 9 to 12 months after the close of the survey year. Producer and distributor
end-of-year stock data gathered on the EIA-7A and EIA-8A forms would be posted annually,
approximately six months after the close of the reporting year.
c. Annual Forms
Form EIA-7A collects information on coal production and related information from U.S.
coal mining operations. Form EIA-8A collects coal stocks data from U.S. coal brokers, coal
traders and coal terminals. These data appear in the Weekly Coal Production Report, Annual
Coal Report, Quarterly Coal Report, and Annual Energy Review. These data are also used
extensively in the EIA's coal analysis and forecasting models. Respondents are required to
submit Forms EIA-7A and EIA-8A no later than April 1st of the year following the reporting
period, based on the calendar year.
The Annual Coal Report, developed primarily from EIA-7A data is posted to EIA’s
public website about mid-August following the end of the reporting year.
17. Expiration Date Exception
The expiration date will be included on the forms.
18. Certification

Coal Program Package – January 2011
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There are no exceptions to the certification statement identified in Item 19, "Certification
for Paperwork Reduction Act Submissions," of OMB Form 83-I.

Coal Program Package – January 2011
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Appendix A
Public Consultation

September 17, 2010
Mr. William Watson
Energy Information Administration
Coal, Nuclear and Renewables Division, EI-52
Forrestal Building
U.S. Department of Energy
Washington D.C. 20585

RE: Comments on Energy Information Administration (EIA) Data Collection Revisions and Extension
Proposals

Dear Mr. Watson:
The National Mining Association (NMA) appreciates the opportunity to provide comments on EIA’s proposed
revisions and extension to the Coal Program package (Federal Register Notice, July 19, 2010, Volume 75, No. 137,
Page 41838).
The National Mining Association represents the interests of the nation’s coal and non-fuel mineral producers; coal
and mineral transporters; mining and mineral processing machinery and equipment manufacturers and suppliers;
energy consulting firms and financial institutions that serve the mining industry. Its coal producing members and
those members dependent on the coal industry use the data collected in the coal package for market and trend
analysis and for forecasting. Complete, timely, reliable and publicly available data on the coal sector is vital to the
coal industry and the public and private sectors for sound business, energy and environmental policy decisions.
NMA appreciates the EIA Coal Team’s continuing quest to improve coal survey data collection and reporting.
EIA-3 and EIA-5 Survey Forms
NMA supports the agency’s proposal to obtain more detailed information about coal plants, specific origins and costs
of coal receipts, as well as keeping the cost of coal received (CIF) data elements confidential.
EIA-7A Survey Form
The proposal to add additional information on coal preparation and coal stocks held at remote off-site locations will be
beneficial in further understanding coal supply and inventory levels. We are supportive of the higher producer
reporting threshold to be raised from mines producing greater than 10,000 tons to greater than 25,000 tons, assuming it
does not result in a loss of collection quality, and the data remain compatible with prior data collection.
Regarding release of revenue and value data elements, the release of sensitive economic data may result in revealing
competitive information and may result in some producers becoming unwilling to provide survey data. We therefore

Coal Program Package – January 2011
16

support the withholding of sensitive data elements such as revenue and value for individual companies.
EIA-8A Survey Form
The added collection of detailed information on coal stock origins as well as from coal exported by brokers (origin
state and rank), as proposed, should be helpful to EIA in better quantifying coal movements and export patterns
nationally.
We appreciate the opportunity to offer these comments.

Sincerely,
/s/ Leslie Coleman
Leslie Coleman
Director, Statistical Services
National Mining Association
101 Constitution Avenue, NW, Suite 500E
Washington, DC 20001
202-463-9780

Coal Program Package – January 2011
17

Appendix B
Coal Program Package

EIA Survey/
Frequency
EIA-3
Manufacturing/
Quarterly
EIA-3
Coal Synfuel/
Quarterly

Respondent Burden Hour Estimates
Number of
Reports
Number of
Total Number
Annually
Sites
of Annual
Per
Per Cycle
Site
Responses

Burden
Hours Per
Response

Response
Burden
Total Hours

460

4

1,840

1.25

2,300

56

4

224

0.9

202

EIA-5/Quarterly

20

4

80

1.5

120

EIA-8A/Annual

97

1

97

1

97

EIA-7A/Annual

1,006

1

1,006

1.8

1,811

Totals

1,639

3,247

Note: No data are shown for Forms EIA-1, EIA-4, EIA-6 Schedule Q, and EIA-20 since they are
standby forms.
* Response rate is based upon the number of sites submitting forms.

Coal Program Package – January 2011
18

4,530

Appendix C
Sample Correspondence from EIA to Survey Respondents
The following pages contain sample correspondences to EIA coal survey respondents. The
correspondences are delivered via letter or e-mail.

Coal Program Package – January 2011
19

Dear EIA-3 Respondent,
Welcome to the Energy Information Administration (EIA) Internet Data Collection (IDC)
system. By using the IDC system for the Quarterly Coal Consumption and Quality Report
(Form EIA-3) you will be able to easily enter and submit your data to EIA.
As soon as possible please complete IDC Registration by clicking:
https://signon.eia.doe.gov/ssoserver/login
Then follow the steps in the attached guide.
In order to register you will need a Mail ID and Code. The Mail ID will be provided in this
letter. The code will be sent within the next several days in a separate e-mail from our OIT
Department. Wait until you have the Mail ID and Code before registering. Please keep
this email containing your Mail ID and the email containing your Code in an accessible
place so you can complete registration.
The second email containing your Code has
From:
OITDevelopment@eia.doe.gov
Subject:
DOE Energy Information Administration – code
The Code is found near the bottom of the email message.
The Single Sign-On Registration (pages 1-4 in the attached guide) takes approximately 5 minutes
to complete. Please record the Userid and Password that you assign to yourself exactly as you
type them into the Registration Window. Also, please put the Userid and Password in an
accessible place. In all subsequent logons to the EIA system you will need to enter the Userid
and Password.
Once you have set your Userid and Password, proceed to the next step, which is to gain access to
your EIA-3 Survey Form. Start at the bottom of page 4 in the attached guide. When you arrive
at the screen (page 6 in the Guide) where you enter your Mail Id, enter this number:
1000000000
Enter your case-sensitive code in the Code input box (see page 6 in the Guide). Follow the
instruction on pages 7 and 8 in the attached guide to gain access to your survey forms.
A second separate guide attached to this email will help you to complete the Survey form.
Print both guides and put them in a folder for future reference
Sincerely,
Coal Program Package – January 2011
20

Nicholas Paduano

Coal Program Package – January 2011
21

Dear EIA-7A Respondent:

We are attempting to close-out the Form EIA-7A survey and need your
2009 submission. With 99% response rate, we hope to make this
year a first for the EIA-7A survey, by receiving a survey form from
every respondent.
We would appreciate your 2009 EIA-7A data as soon as possible. You
can submit your data for this survey by facsimile or mail:
By Facsimile: 202-287-1944
Attn: Form EIA-7A
By Mail:

U.S. Energy Information Administration, EI-24
Office of Oil, Gas and Coal Supply Statistics
U.S. Department of Energy
1000 Independence Avenue, SW
Washington, DC 20585
Attn: Form EIA-7A

If you have any questions or need help in filing, I can be reached at
202-586-9787. You may also contact the EIA-7A Survey Manager,
Paulette Young, at 202-586-1719. We fully understand the many priorities
our respondents have in their day-to-day responsibilities. However, your
data is valuable and critical to our mission to report to Congress and our
customers accurate data for the coal industry. Thank you, in advance,
for your coal production information.
Sincerely,

Barbara Mariner-Volpe
Coal Statistics Team Leader
Office of Oil, Gas and Coal Supply Statistics
U.S. Energy Information Administration

Coal Program Package – January 2011
22

Dear EIA-8A Respondent:
You were recently sent a pre-populated Form EIA-8A, “Coal Stocks Report,”
that contained an invalid or obsolete URL for transmitting your data to the Energy
Information Administration (EIA) via the secure file transfer (SFT) option. We
apologize for the error. After completing your EIA-8A form, please submit it using the
following URL:
https://signon.eia.doe.gov/upload/notice8a.jsp
If you have any questions or need further assistance, please contact me (202-586-1719)
or Michael Lintner (202-586-0667). Thank you, in advance, for your coal stocks data
submission.
Sincerely,

Paulette Young
EIA-8A Survey Manager
Office of Oil, Gas, and Coal Supply Statistics
U.S. Energy Information Administration

Coal Program Package – January 2011
23

Attention:
Dear EIA-8A Respondent:
The purpose of this email is to confirm that you will be preparing and submitting 2010 data on
Form EIA-8A, "Coal Stocks Report." We will be announcing the start of the 2010 reporting
period on January 3, 2011.
According to our records, you either submitted Form EIA-8A "Coal Stocks Report" for the 2009
reporting period, or you have been identified in our database as the person who will submit this
report for the 2010 reporting period.
If you are no longer the person submitting the EIA-8A form, please provide the following
information:
Name of New Preparer:
New Preparer's telephone #:
New Preparer's email address:
Name of Alternate Preparer/Supervisor:
Alternate/Supervisor's telephone #:
Alternate/Supervisor's email address:
Please send this information to:
EIA-8A@eia.doe.gov
on/or before December 30, 2010. The subject line should be New Contact.
For questions, please contact Paulette Young (202-586-1719) or Michael Lintner (202-5860667). Thank you, in advance, for your assistance.
Sincerely,

Paulette Young
Form EIA-8A Survey Manager
U.S. Energy Information Administration
paulette.young@eia.gov
Coal Program Package – January 2011
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202-586-1719

Coal Program Package – January 2011
25

REMINDER
This is a reminder. The Form EIA-7A, “Coal Production and Preparation Report”,
for the current reporting year should be completed and returned to the Department
of Energy, U.S. Energy Information Administration (EIA), within 90 days after the close
of the calendar year. To date, we have not received your form. Your data are important
component of EIA’s coal program. The information filed on the Form EIA-7A is used by
Congress, as well as in the public and private sectors.
Response to this survey is required by law. If you have already submitted the form, please accept
our thanks and disregard this reminder. If not, please submit your data promptly. The Form EIA7A Internet Data Collection (IDC) system is available for your data submission. Using
https://signon.eia.doe.gov/ssoserver/login to report your data is quick and easy; please email us
your mailing contact information to begin. Our email address is EIA-7A@eia.doe.gov. Or,
please fax or mail your response promptly. Our fax number is (202) 287-1944.
If you need assistance with completing your form or need help with registering on
the EIA Single Sign-On System, please contact the Help Desk at (202) 586-9595,
or email CNEAFhelpcenter@eia.doe.gov.
If you have any questions about this survey or require assistance in completing it,
please contact the Survey Manager, Paulette Young, at (202) 586-1719, or
paulette.young@eia.doe.gov

Thank You

Coal Program Package – January 2011
26

Attention:
Dear EIA-5 Respondent,
Your EIA-5 data survey form is more than 3 weeks overdue. February 1, 2011 was the due date
for the EIA-5 2009 Quarter 4 survey data. Please submit your data survey no later than February
19, 2010. If you cannot meet this date then please click eia-5@eia.doe.gov and enter the date by
which you will submit your data.
First, you must complete registration in EIA’s Single Sign-On system where you self-assign a
Userid and Password that gives you access to your survey form.
To complete the SSO registration, again we are sending a Mail ID and Code. Here is your Mail
ID:
xxxxxx
You will receive the Code in a separate follow-on e-mail.
Please keep this email containing your Mail ID and the email from EIA containing your Code in
an accessible place so you can complete registration.
As soon as possible please complete IDC Registration by clicking:
https://signon.eia.doe.gov/ssoserver/login
Then follow the steps in the attached guide.
After you have set your Userid and Password, use them to access your EIA-5 survey form.
Please complete and submit the 2009 Q4 form as soon as possible.
A users guide for completing the EIA-5 Survey Form is attached.

Best regards,

Nicholas Paduano

Coal Program Package – January 2011
27

Attention:

Your EIA-5 data survey form for 2009 Quarter 4 is almost 4 weeks overdue. At this time we
have received data survey forms from over 99% of sites in our national survey. Your site is
among a few outstanding sites.
The purpose of this letter is to request your cooperation in submitting the Form EIA-5, “Quarterly Coal
Consumption and Quality Report – Coke Plants,” which your company is required to complete. The
completed form was due by February 1, 2011. We have made several attempts by e-mail and telephone to
obtain the data for your company. As of the date of this letter, our records indicate that we have not
received your company's completed survey form. Please provide the requested data immediately to avoid
possible penalties as described in the instructions to the survey. Under the Federal Energy Administration
Act of 1974 (Public Law 93-275), your company’s failure to respond to the survey could result in
monetary penalties being applied to your company.
It is very important for the completion of our survey that we receive your data as soon as possible and not
later than cob, Wednesday, March 4th. We greatly appreciate your cooperation in submitting this form.
Mr. Nicholas Paduano of my staff, who can be reached by e-mail at Nicholas.paduano@eia.doe.gov or by
phone at (202) 587-6326, is available to assist you.

Please logon at:
https://signon.eia.doe.gov/ssoserver/login
If you are registered, enter your userid as below or complete registration to set userid:
regesmg
I am attaching a guide for the EIA-5 Survey Form.

Sincerely,

Barbara Mariner-Volpe
Coal Statistics Team Leader
Office of Oil, Gas and Coal Supply Statistics
Coal Program Package – January 2011
28

U.S. Energy Information Administration

Coal Program Package – January 2011
29

Attention:
Dear EIA-3 Respondent:
We are now collecting the EIA-3 2010 QTR 4 data. You may now access the Internet Data
Collection (IDC) system. Please have your Userid and Password (which you created) handy. If
you forgot your Password, select “Forgot your password?” from the Single Sign On (SSO)
screen.
To help you get started we are providing your Userid:
Userid
Please submit the EIA-3, “Quarterly Coal Consumption and Quality Report, Manufacturing
Plants,” survey form for 2010, Quarter 4 by February 1, 2011.
https://signon.eia.doe.gov/ssoserver/login
If you are no longer the person submitting the EIA-3 forms then please provide the
following information in a reply email. Send e-mail to EIA-3@eia.doe.gov
The subject line should be New Preparer.
Name of New Preparer:
New Preparer’s telephone number:
New Preparer’s email address:
A visual guide to the EIA-3 form is attached.
Best regards,

Nicholas Paduano
Survey Manager

Coal Program Package – January 2011
30