OMB Control Number: 2040-0281 Plant ID: Insert Plant ID

Approval Expires: 05/31/2013 Plant Name: Insert Plant Name

Section Title Tab Name

Part I Instructions

Part I Section 1

Part I Section 2

Part I Section 3

Part I Section 4.1

Part I Section 4.2

Part I Section 5.1

 Financial Information

Steam Electric Generating Unit Operating Information Part I Section 5.2

Planned and Forced Outages and Annual Operating Cost Part I Section 5.3

Part I Comments

Steam Electric Questionnaire 

PART I - ECONOMIC AND FINANCIAL DATA

Part I Instructions

Primary Immediate Parent Firm Economic and 

Table of Contents

Immediate Parent Economic and Financial 

 Information

Part I Comments

Ultimate Parent Economic and Financial Information

Basic Plant Economic and Financial Information

Basic Steam Electric Generating Unit Economic and 

Detailed Plant Financial Information

 Financial Information

Approved: May 20, 2010
Steam Electric Questionnaire Part I. Instructions

Plant ID: Insert Plant ID

Plant Name: Insert Plant Name

In cases where a plant has multiple immediate parent firms and where it is not possible 

to identify a primary parent firm based on equity share, you may make copies of Section 

2 of this questionnaire and provide the requested information for each immediate parent 

listed in Section 1.

PART I. ECONOMIC AND FINANCIAL DATA

Use the Part I Comments tab to do the following: provide additional information as 

requested in certain questions within Part I; indicate atypical data (e.g., if the analytical 

data provided from the sample collection is not representative of normal operations); 

and note methods used to make estimates based on professional judgment in the event 

that exact data are not available.

INSTRUCTIONS

Complete Part I of the questionnaire for your plant . As you are completing the electronic 

form, note the following: When you enter your plant name and plant ID on the Part I 

TOC tab, all name and ID fields throughout Part I will automatically populate. Refer to 

the overall questionnaire instructions and the list of abbreviations for additional 

assistance with completing Part I. Refer to the glossary for definitions of selected 

economic and financial terms used in this Part.

Please provide all free response answers in the highlighted yellow areas.

You may wish to assemble the following documents in order to efficiently fill out this part 

of the questionnaire: 

(1) For the entity/entities that own your plant : income statements, balance 

sheet statements, and cash flow statements for the last three fiscal years. 

(2) For your plant : data on electricity generated, operating expenses, income 

statement, balance sheet, and other operational statements for the last three 

fiscal years of operation. 

Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

Plant ID: Insert Plant ID

Plant Name: Insert Plant Name

Part: I

Section Title:

Instructions:

CBI? I1-1.

Start (mm) End (mm)

2007 1,200,000 800,000 15,400,400

2008 1,560,000 851,000 15,851,700

2009 1,720,000 867,000 15,110,890

2007 552,000 502,800 6,570,000

2008 550,000 513,100 6,858,000

2009 487,000 479,200 6,253,000

2007 126,000 20,000 250 235,200

2008 120,000 10,000 265 259,100

2009 89,000 11,500 207 231.985

2007

2008

2009

2007

2008

2009

2007

2008

2009

1. Immediate Parent Economic and Financial Information

Number

Name of 

Immediate 

Parent 

Mailing 

Address

% 

Ownership 

or Financial 

Interest in 

Plant in 

2009 NAICS

DUNS 

Number

Fiscal Year

Year

Total 

Revenue 

(‘000$)

Revenue 

from 

Electricity 

Generation 

(‘000$)

Total Employment 

(FTE)

Throughout Section 1, provide financial information for the immediate parent firm or, in case where multiple entities have financial participation or interest in the plant , for every entity with an 

equity stake (or any other form of financial participation or interest) in this plant. For the purpose of this questionnaire, the immediate parent is the first entity in the plant’s ownership structure. A 

plant may have more than one immediate parent if more than one firm owns or has another form of financial participation or interest in the generating units located at the plant. Please provide all 

free response answers in the highlighted yellow areas.

In Table I-1, provide the following information for the immediate parent firm or, in case where multiple entities have financial participation or interest in the plant, for every entity with an equity 

stake (or any other form of financial participation or interest) in this plant . If the financial participation shares vary by generating units at the plant, please estimate the plant-level share based on 

the relative electricity generation capacity (nameplate capacity ) of all units at this plant.

Example ABC LLC 2211 123456789

123 A 

Street, 

City, State, 

ZIP 34.50%

Example EFG Inc. 2211 587426985

12500, 

Some 

Blvd., City, 

State, ZIP 45%

Example XYZ Corp. 2211 925486982

789 Z 

Street, 

City, State, 

ZIP 20.50%

1

2

Total Electricity 

Sales (MWh)

Table I-1. Immediate Parent Firm Financial Information

3

Yes

I-1 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

Plant ID:

Plant Name:

Part: I

Section Title:

Instructions:

Unit 1 (non-steam) Unit 2 (steam)

45% 35%

100% 0%

70% 63%

30% 37%

CBI? I2-1.

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

Plant

% of Plant Total 

Capacity

Immediate 

parent firm

EFG Inc.

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

ABC LLC.

XYZ Corp.

2. Primary Immediate Parent Firm Economic and Financial Information

Throughout Section 2, EPA is interested in obtaining financial and economic data regarding the plant owner to support a detailed evaluation of the 

economic impacts of the regulations on firms that own steam electric power generation assets. When answering questions in Section 2, please 

provide data for the immediate parent firm and not only for the steam electric plant covered in this questionnaire. 

If the plant has multiple owners (immediate parent firms identified in Question I1-1), please report detailed information in Questions I2-1 through I2-

13 only for the entity that has the largest equity stake (or the largest share of financial participation or interest) in the steam electric portion of the 

plant . This immediate parent firm is referred to as the “primary immediate parent” firm in the remainder of this section.

For example, a hypothetical steam electric plant has three generation units, two of which are steam. Table I-2 below provides the 

distribution of plant capacity and ownership shares for this plant. Since ABC LLC has the largest ownership share in the steam electric 

capacity at this hypothetical plant, the detailed information requested in the remainder of this section would be provided for ABC LLC.

Please select the primary immediate parent firm for which you are providing detailed information in this section. (Lists immediate parent firm(s) 

provided in Question I1-1)

In cases where a plant has multiple immediate parent firms and where it is not possible to identify a primary parent firm based on equity shares, 

you may make copies of Section 2 of this questionnaire, using the "Copy Section 2" button below, and provide the requested information for each 

immediate parent listed in Section 1. In the example above, you have the option of providing information for both ABC LLC and XYZ Corp.

Ownership Share of 

Plant Steam Electric 

Capacity(1)

XYZ Corp. share:

Table I-2. Distribution of Plant Capacity and Ownership Shares for Example Plant

Unit 3 (steam)

20%

Ownership Share

50%

50%

Insert Plant ID

Insert Plant Name

(1) details of ownership share calculations:

0% since only has shares in non-steam generation capacity.

ABC LLC share:

EFG Inc. share:



Yes

I-2 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

I-3 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

CBI? I2-2.

Other, specify:

CBI? I2-3. 

CBI? I2-4.

CBI? I2-5.

(Continue to Question I2-5)

(Skip to Question I2-6)

Has the primary immediate parent firm engaged in revenue generating activities other than electricity generation during the period of FY 2007 

through FY 2009?

NOTE: Economic activities other than generation of electricity may include, but are not limited to, production activities or the leasing of 

land. Please include only those economic activities that are carried out by the plant’s owner; do not include activities carried out on the 

plant’s property by third parties for which the plant’s owner does not incur cost or receive revenue.

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

Please indicate the legal structure of the plant’s ownership.

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

Yes

Yes

Yes

No

Yes

Yes

I-4 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

CBI? I2-6.

Costs (‘000$)

CBI? I2-7.

(Continue to Question I2-7)

(Skip to Question I2-12)

FY Description of Economic Activity Revenue (‘000$)

Please provide a description of each of the entity’s revenue generating activities other than generation of electricity and the revenue and costs 

associated with this(ese) activity(ies).

Table I-3. Description of Each Entity's Other Revenue Generating Activities

Has the immediate parent firm submitted data to FERC in Form 1 for the period of FY 2007 through FY 2009? FERC Form No. 1 (FERC Form 1) 

is an annual regulatory requirement for Major electric utilities, licensees and others (18 C.F.R. § 141.1) and is designed to collect financial and 

operational information from electric utilities, licensees and others subject to the jurisdiction of the Federal Energy Regulatory Commission. If you 

answer YES, please attach a copy of your FERC Form 1 report for 2009 in pdf format to your submittal to ensure that EPA has the most recent 

data for your firm. EPA will also be using the data you already reported on your FERC Form 1 filing for 2007 and 2008 to support its economic 

impact and other analyses. 

2009

Economic activities not associated with electricity generation (e.g., manufacturing production, leasing of land)

2007

2008

Yes

Yes

Yes, attach FERC Form 1.

No

FERC Form 1 is NOT attached. Explain why: 

I-5 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

CBI? I2-8.

CBI? I2-9.

Total expenses (‘000$)

Operation expenses

Maintenance expenses

Depreciation, depletion, and amortization expense

All other expenses (i.e. including total cost of activities 

described in Question I2-5)

After-tax income (Subtract Total operating expenses from 

Total revenue)

Interest expense (Total. Firms with debt should have 

interest expenses)

Income taxes (Total federal, state, and local income 

taxes)

In Table I-5, please provide the following balance sheet information for the immediate parent firm . This information may be available from SEC 

filings, depending on how the firm presents its statement, if your immediate parent firm is a publicly traded company.

Total revenue (‘000$)

Revenue from electric power generation and sales

Other revenue (i.e., total revenue from activities described 

in Question I2-5)

Revenue from sources indirectly related to the generation 

of electricity (e.g., sale of steam or ash, waste 

combustion)

In Table I-4, please provide the income statement information for the immediate parent firm . This information may be available from SEC filings, 

depending on how the firm presents its statement, if your immediate parent firm is a publicly traded company.

FY 2008

Inventories (Raw materials, supplies, fuels, etc.)

FY 2007

FY 2007

Table I-4. Income Statement Information

Table I-5. Balance Sheet Information

FY 2008

Owner equity (Total assets minus total (current and non-current) 

liabilities)

Current liabilities (Liabilities due for payment within the reporting 

year)

Liability/Equity (‘000$)

Non-current liabilities (Including long-term debt, such as bonds, 

debentures, and bank debt)

FY 2009

FY 2009

Assets (‘000$)

Other current assets (Prepared expenses, cash, accounts 

receivable, etc.

Non-current assets (land, buildings, equipment, machinery, 

other physical capital and intangibles, capital stocks and bonds, 

etc., including expansions and renovations and net of 

depreciation and amortization)

Yes

Yes

I-6 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

CBI? I2-10.

CBI? I2-11.

Amortization of electricity generating plants

Net change in accounts receivable/ accounts payable

Change in inventories

Net change in other current assets/current liabilities

Non-cash charges (credits) to income

Cash flow from operating activities (‘000$)

Cash flow from investing activities (‘000$)

Depreciation and depletion

In Table I-6, please provide the following cash flow information for the immediate parent firm . This information may be available from SEC filings, 

depending on how the firm presents its statement, if your immediate parent firm is a publicly traded company.

Net cash provided by (used in) operating activities

Cost of purchases from nonutilities (‘000$)

Total sources of electric energy (MWh) including net energy exchanged

Investments

Net increase/decrease in cash and cash equivalents

Other cash flows from investing activities

In Table I-7, please provide the following information regarding the immediate parent’s sources of electric energy during each year. This 

information may be available from SEC filings, depending on how the firm presents its statement, if your immediate parent firm is a publicly traded 

company.

Table I-7. Sources of Energy

Net cash provided by (used in) investing activities

Cash flows provided by (used in) financing activities

Purchases from utilities and power marketers (MWh)

Cost of purchases from utilities and power marketers (‘000$)

Purchases from nonutilities (MWh)

Capital expenditures

Capital expenditures for electric plant and equipment

Gross energy generation (MWh)

Cash flow from financing activities ('000$)

Net income from operations

Table I-6. Cash Flow Information

FY 2007 FY 2008 FY 2009

FY 2007 FY 2008 FY 2009

Yes

Yes

I-7 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

CBI? I2-12.

CBI? I2-13.

Example

60% % % %

30% % % %

10% % % %

100% 0 % 0 % 0 %

CBI? I2-14.

80 % %

20 % %

% %

Electric energy used by the parent (MWh)

Total uses of electric energy (MWh) including energy losses

Sales for resale (MWh)

Revenue from sales for resale (‘000$)

In Table I-9, please provide the following information regarding the fraction of the immediate parent’s electricity sales (on a MWh basis) subject to 

different pricing terms. 

Revenue from sales to end users (‘000$) 

Electric energy furnished without charge (MWh)

Sales to end users (MWh)

In Table I-8, please provide the following information regarding the immediate parent’s disposition of electric energy generated, purchased, 

exchanged, and wheeled during each year. This information may be available from SEC filings, depending on how the firm presents its statement, 

if your immediate parent firm is a publicly traded company.

Table I-8. Disposition of Electricity

NOTE: EPA is looking for information regarding the approximate share of electricity that is sold under various terms and conditions to 

help in conducting economic impact and other types of analyses. You may provide approximate shares based on information readily 

available from immediate parent’s filings and statements. 

Table I-9. Electricity Sales

FY 2007 FY 2008 FY 2009

Table I-10. Approximate shares of the Immediate Parent’s Contracted Electricity Sales

% sales subject to cost-of-service based 

regulated pricing

% contracted sales

% sales subject to short-term auction 

pricing

FY 2007 FY 2008 FY 2009

If the share of contracted sales indicated in Question I2-12 is greater than 0% in FY2009, please indicate in Table I-10 the approximate shares of 

the immediate parent firm’s contracted electricity sales (on a MWh basis) that are of different durations and terms. 

FY 2009

Contracted sales under contracts more than one year in 

duration that include clauses permitting price adjustments 

based on changes in environmental regulatory 

Example

% contracted sales in FY 2009 subject to contract pricing under 

contracts of one year or less duration. 

% sales in FY 2009 subject to contract pricing under contracts 

more than one year in duration

TOTAL

None

All 

Other, specify:

None

All 

Other, specify: _________

Yes

Yes

Yes

I-8 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

Plant ID: Insert Plant ID

Plant Name: Insert Plant Name

Part: I

Section Title:

Instructions:

CBI? I3-1.

(Skip to Section 4.1)

(Continue to Question I3-2)

CBI? I3-2.

Start (mm) End (mm)

2007

2008

2009

U.S. DIAMOND CORP 2007 52,358,000 25,875 45,400,400

2008 55,582,000 25,786 45,851,700

2009 56,889,200 26,850 55,110,890

2007

2008

2009

2007

2008

2009

2007

2008

2009

2007

2008

2009

Is (are) the ultimate parent firm(s) the same as the immediate parent(s) identified in Question I1-1? 

In Table I-11, please provide the following information for the ultimate parent firm of each immediate parent firm identified in Question I1-1 or, in case of joint ownership or partnership in the immediate parent 

firm , for the entity having the largest equity stake in the immediate parent firm. If the ultimate parent firm is the same as the immediate parent firm, you may indicate so in column 2 and do not need to provide 

the information requested in columns 3 through 10 of the table. This information may be available from SEC filings, if your ultimate parent firm is a publicly traded company.

Throughout Section 3, please provide information for the ultimate parent firm of each immediate parent firm identified in Question I1-1 or, in case of joint ownership or partnership in the immediate parent firm, 

for the entity having the largest equity stake in the immediate parent firm. Please provide all free response answers in the highlighted yellow areas.

For the purpose of this questionnaire, the ultimate parent firm is the highest level domestic business entity in a plant’s ownership structure. A firm that is owned by another U.S. firm is not an ultimate domestic 

parent firm. In contrast, a U.S. firm that is owned by a foreign firm is an ultimate domestic parent firm.

NOTE: EPA is interested in financial information about ultimate parent firm of entity(ies) that own or have financial participation or interest in your plant to conduct regulatory and economic 

impact analyses and to identify the relevant firm size category for corporate entities potentially affected by the regulations.

3. Ultimate Parent Economic and Financial Information

Table I-11. Ultimate Parent Firm Financial Information

Immediate 

Parent (from 

Question I-1)

Name of Ultimate 

Parent 

Mailing 

Address

% Financial 

Interest in 

Immediate 

Parent in 2009 NAICS

DUNS 

Number

Fiscal Year

Year

Total Revenue 

(‘000$)

Total 

Employment 

(FTE)

Total Electricity

Sales (MWh)

885785963

EFG Inc.

2255 5 th 

Avenue, City, 

State, ZIP

85%

XYZ Corp.

ABC LLC.

5239

Yes

No

Same as Immediate Parent

Same as Immediate Parent

Same as Immediate Parent

Same as Immediate Parent

Same as Immediate Parent

Same as Immediate Parent

Yes

Yes

I-8 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

I-9 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

Plant ID:

Plant Name:

Part: I

Section Title:

Instructions:

CBI? I4-1.

Start (dd/mm) /

End (dd/mm) /

CBI? I4-2.

FY 2007 FY 2008

CBI? I4-3.

(Continue to Question I4-4)

(Skip to Question I4-7)

NOTE: For Section 4.1, EPA is interested in obtaining financial and economic data regarding the specific plant covered by this 

questionnaire.

Number of Months

At any time during the three reporting years, did the plant engage in revenue generating activities other than generation of electricity?

NOTE: Economic activities other than generation of electricity may include, but are not limited to, production activities or the 

leasing of land. Please include only those economic activities that are carried out by the plant’s owner; do not include activities 

carried out on the plant’s property by third parties for which the plant’s owner does not incur cost or receive revenue. If such third 

party activities are significant, you may note them in the comments section at the end of Part I.

Throughout Section 4.1, please provide the requested economic and financial information for the plant . Please provide all free response 

answers in the highlighted yellow areas.

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

In Table I-12, please indicate the number of months in each fiscal year for which you have financial and operational information for your 

plant . In some cases, such as new plants, records may cover only part of a year.

Table I-12. Number of Months in Each Fiscal Year

4.1 Basic Plant Economic and Financial Information

Yes

No

Yes

Yes

Yes

I-9 Approved: May 20, 2010
Part I. Economic and Financial Data

Insert Plant ID

Insert Plant Name

FY 2009

pecific plant covered by this 

han generation of electricity?

production activities or the 

wner; do not include activities 

 or receive revenue. If such third 

Please provide all free response 

s section? 

perational information for your 

I-10 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

CBI? I4-4.

CBI? I4-5.

(Continue to Question I4-6)

(Skip to Question I4-7)

Table I-13. Description of Economic Activities

2007

2008

2009

Fiscal Year

Economic activities not associated with electricity generation (e.g., manufacturing production, leasing of land)

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

Description of Economic Activity(ies)

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

Yes

No

Yes

Yes

I-11 Approved: May 20, 2010
Part I. Economic and Financial Data

y generation.

ivity(ies)

I-12 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

CBI? I4-6.

Revenue (‘000$)

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

CBI? I4-7.

FY 2007 FY 2008

In Table I-15, please provide information on total plant employment in terms of full-time equivalent employees (FTE).

Total Employment (FTE)

Table I-15. Plant Employment Information

SE Unit ID

Table I-14. Financial Data by Steam Electric Unit

In Table I-14, please provide the following information for each of these generating units. Use steam electric generating unit IDs assigned in 

Yes Table A-8.

Yes

I-13 Approved: May 20, 2010
Part I. Economic and Financial Data

Costs (‘000$)

FY 2009

yees (FTE).

ctric generating unit IDs assigned in 

I-14 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

CBI? I4-8.

FY 2007 FY 2008

CBI? I4-9.

FY 2007 FY 2008

NOTE: If your fiscal year coincides with the calendar year, please indicate so below and skip this question. The requested 

information is already provided in Question A1-14 of questionnaire on a calendar year basis.

 This plant’s fiscal year coincides with calendar years (i.e., fiscal year period is January 1 – December 31). Refer 

 to answer to Question A1-14 for the requested data.

Capital outlays for plant and equipment 

(‘000$)

Table I-17. Capital Outlays for Plant

Gross Electricity Generated (MWh)

Net Electricity Generated (MWh)

Table I-16. Gross and Net Electricity Generated by Plant

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

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

Yes

Yes

I-15 Approved: May 20, 2010
Part I. Economic and Financial Data

FY 2009

FY 2009

question. The requested 

 31). Refer 

I-16 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

Plant ID: Insert Plant ID

Plant Name: Insert Plant Name

Part: I

Section Title:

Instructions:

CBI? I4-10.

FY 2007 FY 2008 FY 2009

Other non-current assets (Equipment, machinery, 

other physical capital and intangibles, capital stocks 

and bonds, etc., net of depreciation and amortization)

Table I-18. Balance Sheet Information for Plant

4.2 Detailed Plant Financial Information

In Section 4.2, please provide financial information for the plant . Your parent firm may not customarily compile financial reports at the 

level of the plant. In that case, you may estimate plant-level information from data reported at the level of reporting closest to your plant. 

This may be a division, the immediate parent firm , or some other business unit. You should report information about your plant either 

from existing reports or by estimating plant-level data. If you have to estimate plant-level data, you may use any method and information 

that, in your judgment, will yield the best estimate of plant-level data and describe the method in Question I4-12. If no such method or 

information is available, you may follow the default methodology outlined below.

Default Methodology: Please estimate plant-level data by using aggregate data from the financial reports for the business unit that is 

closest to your plant in terms of business activity performed. Please estimate plant data by multiplying that business unit’s numbers 

corresponding to electricity generation activities by the ratio of your plant’s net generation to the business unit’s net generation. For 

example, if you have aggregate data for a business unit consisting of three plants, each with 100 MWh in net generation, the plant-level 

data are estimated based on 1/3 of the aggregate data.

In Table I-18, please provide the following balance sheet information for the plant. As needed, you may estimate plant-level data based 

on balance sheet information for the relevant business unit or immediate parent.

Assets (‘000$)

Inventories (Raw materials, supplies, fuels, etc.)

Other current assets (Prepared expenses, cash, 

accounts receivable, etc.

 Plant-level balance sheet data have been estimated for the purpose of answering this questionnaire. Provide details in Question I4-

12.

Land and buildings (Original land cost and cost of 

buildings, including expansions and renovations, net 

of depreciation)

Yes

I-13 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

CBI? I4-11.

FY 2007 FY 2008 FY 2009

In Table I-19, please provide the following income statement information for the plant . As needed, you may estimate plant-level data 

based on income statement information for the relevant division, business unit or immediate parent.

 Plant-level income statement data have been estimated for the purpose of answering this questionnaire. Provide details in Question 

I4-12.

Table I-19. Income Statement for Plant

Total revenue (‘000$)

Liability/Equity (‘000$)

Current liabilities (Liabilities due for payment within 

the reporting year)

Non-current liabilities (Including long-term debt, such 

as bonds, debentures, and bank debt)

Owner equity (Total assets minus total (current and 

non-current) liabilities

Total expenses (‘000$)

Revenue from electric power generation and 

sales

Other revenue (i.e., total revenue from the 

economic activities described in Question I4-4) 

(describe below)

Fuel expenses

Revenue from sources indirectly related to the 

generation of electricity (e.g., sale of steam or 

ash, waste combustion)

Interest expense

Taxes

Depreciation

All other expenses, including fixed expenses 

(describe below)

Other operating expenses

Total maintenance expenses

Total sales and customer accounts, service, 

and informational expenses

Cost of contract work

Yes

I-14 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

CBI? I4-12.

Methodology description:

CBI? I4-13.

FY 2007 FY 2008 FY 2009

Total administrative and general expenses

Fuel expenses

Other operating expenses

Total maintenance expenses

Total sales and customer accounts, services, and 

informational expenses

In Table I-20, please provide the following information regarding the cost of steam electricity generation for the plant . If the information 

for steam electricity generation is the same as reported above for the plant as a whole, please indicate so below and skip this question.

Table I-20. Cost of Steam Electricity Generation

NOTE: This information represents a subset of the total expenses reported in Question I4-11; the data are for steam electricity 

generation more specifically. 

 Expenses for steam electricity generation are the same as for the plant as a whole.

If you estimated balance sheet and/or income statement for the plant in questions I4-10 and I4-11, please indicate the methodology 

used.

 Used default methodology described in Instructions to Section 4.2 (i.e., based on ratio of net generation)

 Used alternative methodology (describe below)

Taxes

Depreciation

Yes

Yes

I-15 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

Plant ID: Insert Plant ID

Plant Name: Insert Plant Name

Part: I

Section Title:

Instructions:

CBI? I5-1.

SE Unit ID

Immediate parent 

firm(s) in 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

In Table I-21, please provide information for each non-retired (as of January 1, 2007) steam electric generating unit of your plant. Use steam electric 

generating unit IDs assigned in Table A-8.

5.1 Basic Steam Electric Generating Unit Economic and Financial Information

Remaining undepreciated value (‘000$) Nonutility status of each steam electric generating unit

Please provide the economic and financial information requested for each steam electric generating unit at your plant . Use steam electric generating unit IDs 

assigned in Table A-8. Please provide all free response answers in the highlighted yellow areas.

Table I-21. Basic Financial Steam Electric Generating Information

NOTE: If a generating unit is owned by more than one entity, please provide the name(s) of the immediate parent firm(s) and their respective 

equity shares (or financial participation or interest) in this generating unit.

Example

FY 2007 250,000

FY 2008

FY 2009 200,000

225,000

ABC LLC. (70%) 

XYZ Corp. (30%)

FY 2008

FY 2007

FY 2009

Cogenerator

FERC qualifying cogenerator

FERC qualifying small power producer

FERC exempt wholesale generator

Cogenerator not qualified under PURPA

Check here if not applicable

Other (specify):

Cogenerator

FERC qualifying cogenerator

FERC qualifying small power producer

FERC exempt wholesale generator

Cogenerator not qualified under PURPA

Check here if not applicable

Other (specify):

Cogenerator

FERC qualifying cogenerator

FERC qualifying small power producer

FERC exempt wholesale generator

Cogenerator not qualified under PURPA

Check here if not applicable

Other (specify):

Cogenerator

FERC qualifying cogenerator

FERC qualifying small power producer

FERC exempt wholesale generator

Cogenerator not qualified under PURPA

Check here if not applicable

Other (specify):

Yes

I-16 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2008

FY 2009

FY 2008

FY 2009

FY 2007

FY 2007

Cogenerator

FERC qualifying cogenerator

FERC qualifying small power producer

FERC exempt wholesale generator

Cogenerator not qualified under PURPA

Check here if not applicable

Other (specify):

Cogenerator

FERC qualifying cogenerator

FERC qualifying small power producer

FERC exempt wholesale generator

Cogenerator not qualified under PURPA

Check here if not applicable

Other (specify):

Cogenerator

FERC qualifying cogenerator

FERC qualifying small power producer

FERC exempt wholesale generator

Cogenerator not qualified under PURPA

Check here if not applicable

Cogenerator

FERC qualifying cogenerator

FERC qualifying small power producer

FERC exempt wholesale generator

Cogenerator not qualified under PURPA

Check here if not applicable

Other (specify):

Cogenerator

FERC qualifying cogenerator

FERC qualifying small power producer

FERC exempt wholesale generator

Cogenerator not qualified under PURPA

Check here if not applicable

Other (specify):

Cogenerator

FERC qualifying cogenerator

FERC qualifying small power producer

FERC exempt wholesale generator

Cogenerator not qualified under PURPA

Check here if not applicable

Other (specify):

Cogenerator

FERC qualifying cogenerator

FERC qualifying small power producer

FERC exempt wholesale generator

Cogenerator not qualified under PURPA

Check here if not applicable

Other (specify):

Other (specify):

I-17 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

Plant ID: Insert Plant ID

Plant Name: Insert Plant Name

Part: I

Section Title:

Instructions:

CBI? I5-2.

SE Unit ID Fiscal Year

Primary 

Energy 

Source

Number of 

Days in 

Operation

Plan to 

Continue 

Operating the 

Unit During 

the Next FY?

Capacity 

Utilization 

(% of rated 

capacity)

Gross 

Electricity 

Generated 

(MWh)

Net 

Electricity 

Generated 

(MWh)

Net Peak 

Demand on 

Unit – MW 

(60 minutes)

Quantity of Fuel 

Burned (Units)a

Average Cost of 

Fuel Per Unit of 

Fuel Burned 

($/unit)

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

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

5.2 Steam Electric Generating Unit Operating Information

Table I-22. Steam Electric Generating Unit Operating Information

In Table I-22, please provide the following information regarding operations for each steam electric generating unit. Use steam electric generating unit IDs 

assigned in Table A-8.

Throughout Section 5.2, please provide information regarding operations for each steam electric generating unit. Please provide all free response answers in the highlighted 

yellow areas.

Yes

I-18 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

Plant ID: Insert Plant ID

Plant Name: Insert Plant Name

Part: I

Section Title:

Instructions:

CBI? I5-3.

SE Unit ID Fiscal Year

Total Duration of 

Planned/Scheduled 

Routine Maintenance 

Outages (hours/year)

Total Duration of 

Outages Planned/ 

Scheduled to Address 

Major Upgrades a 

(hours/year)

Duration of 

Forced/Unscheduled 

Outages for this Unit 

(hours/year)

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

In Section 5.3, please provide information on the duration of planned and forced outages and annual operating cost for each steam 

electric generating unit. Please provide all free response answers in the highlighted yellow areas.

In Table I- 23, please provide information on the duration of planned and forced outages for each steam electric generating unit. Use 

steam electric generating unit IDs assigned in Table A-8.

Table I-23. Planned and Forced Outages

5.3 Planned and Forced Outages and Annual Operating Cost

Yes

I-19 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

a – Such as repowering, FGD/SCR installation, etc.

I-20 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

CBI? I5-4.

SE Unit ID Fiscal Year Total Costs ($)aFuel Costs ($) Variable O&M Costs ($) b

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

Select

Select

Select

Select

Select

In Table I-24, please provide the following annual operating cost information for each generating unit (refers to steam electric 

generating unit IDs assigned in Table A-8, as entered in Question I5-3). 

Select

Select

Table I-24. Annual Operating Cost

Yes

I-21 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

FY 2007

FY 2008

FY 2009

b - Refer to the glossary for a list of costs to be considered as variable O&M costs (e.g., fuel handling and steam expense and electric 

expense (other than other direct costs).

a - Total costs may include other operating costs (other than fuel costs or variable O&M ) such as the scheduled maintenance of boiler 

and electric plant and the scheduled maintenance of generating and electric equipment, which are considered fixed O&M for the 

purpose of this questionnaire.

Select

Select

Select

I-22 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

Plant ID: Insert Plant ID

Plant Name: Insert Plant Name

Part: I

Section Title: Part I Comments

Instructions:

Question 

Number

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

Comment

Cross reference your comments by question number and indicate the confidential status of your comment by checking the box 

next to "Yes" under "CBI?" (Confidential Business Information). 

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

I-23 Approved: May 20, 2010
Steam Electric Questionnaire Part I. Economic and Financial Data

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

CBI?

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

I-24 Approved: May 20, 2010