[Federal Register: January 7, 2003 (Volume 68, Number 4)]
[Notices]
[Page 756-759]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr07ja03-28]
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DEPARTMENT OF ENERGY
Energy Information Administration
Policy Statement; Policy for Statistical Tables Based on
Historical Electric Power Survey Information Collected Under a Pledge
of Confidentiality
AGENCY: Energy Information Administration (EIA), Department of Energy
(DOE).
ACTION: Policy statement.
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[[Page 757]]
SUMMARY: The EIA has established a policy regarding the use of
disclosure limitation methods for statistical tables derived from
historical electric power survey information collected under a pledge
of confidentiality. Disclosure limitation methods are used to ensure
that sensitive table cell values are suppressed; i.e., withheld from
public release. A sensitive data cell value is one that, if publicly
disseminated, may be used to closely estimate confidential information
that an individual survey respondent reported to EIA.
Under this policy, EIA will use disclosure limitation methods on
statistical tables based on aggregated historical electric power survey
information collected under a pledge of confidentiality only if the
information is currently collected under a pledge of confidentiality.
(As of December 2002, electric power information collected under a
pledge of confidentiality includes costs of fuels for unregulated
plants, tested heat rates, fuel inventories, plant costs and expenses
for unregulated plants, monthly electricity sales information reported
for energy-only service, and latitude/longitude for electric power
facilities.) For information not currently collected under a pledge of
confidentiality, EIA will not use disclosure limitation methods for
statistical tables derived from the historical electric power survey
information previously collected under a pledge of confidentiality.
This policy applies to any information collected in an EIA electric
power survey under a pledge of confidentiality during a survey period
at least three years prior to the date of its proposed release in a
statistical table. The three-year period includes the reporting year
(the year for which information is currently being collected) and two
prior years where information has been finalized. In accordance with
applicable laws and regulations, EIA will continue to not publicly
release survey forms collected under a pledge of confidentiality.
This policy is based on the need to provide additional statistical
tabulations that will improve and broaden the understanding of the
United States electric power industry by releasing additional
statistical tabulations. These tables may present information at the
national, State, and/or regional levels in various EIA information
products. (EIA's electric power information is available on the web at
http://www.eia.doe.gov/.)
DATES: This policy becomes effective on January 7, 2003.
ADDRESSES: Requests for additional information or questions about this
policy should be directed to Dean Fennell. He may be contacted by FAX
(202-287-1934), e-mail (Dean.Fennell@eia.doe.gov), or telephone (202-
287-1744). These contact methods are recommended to expedite contact.
His mailing address is Energy Information Administration, EI-53, U.S.
Department of Energy, 1000 Independence Ave. SW, Washington, DC 20585-
0650.
FOR FURTHER INFORMATION CONTACT: Requests should be directed to Mr.
Fennell at the address listed above. EIA's electric power information
is available on the web at http://www.eia.doe.gov/.
SUPPLEMENTARY INFORMATION:
I. Background
II. Discussion of Comments
III. Current Actions
I. Background
The Federal Energy Administration Act of 1974 (Pub. L. 93-275, 15
U.S.C. 761 et seq.) and the DOE Organization Act (Pub. L. 95-91, 42
U.S.C. 7101 et seq.) require the EIA to carry out a centralized,
comprehensive, and unified energy information program. This program
collects, evaluates, assembles, analyzes, and disseminates information
on energy resource reserves, production, demand, technology, and
related economic and statistical information. This information is used
to assess the adequacy of energy resources to meet near and longer-term
domestic demands.
The EIA conducts surveys to collect information about the electric
power industry from companies and organizations involved in the
generation, transmission, distribution, and sales of electric power.
This survey information is disseminated in a variety of information
products and electronic data files used by government and private
sector policymakers and analysts.
On October 24, 2002, EIA issued a Federal Register notice (67 FR
65345) requesting public comments on a proposed policy regarding the
use of disclosure limitation methods for statistical tables derived
from historical electric power survey information collected under a
pledge of confidentiality. A second notice was issued on November 4,
2002 (67 FR 67253) to correct a publication mistake in the date for
submission of comments. In the October 24 notice, EIA discussed the
reasons for the proposed policy as well as reasons for proposing it. In
addition to publishing the notice, EIA sent a copy of the notice to
each of its over 6,000 electric power survey respondents.
The proposed policy was based on the need to provide additional
statistical tabulations that will improve and broaden the understanding
of the electric power industry. These statistical tables will provide
electric power information at national, State, and/or regional levels.
(An example of this is publishing national level fuel consumption
information in EIA's Annual Energy Review, or publishing State or
regional level information for fuel consumption, useful thermal output,
or generation in reports such as EIA's Electric Power Monthly or
Natural Gas Annual.)
II. Discussion of Comments
In response to the Federal Register notice and EIA's mailing of the
notice to its survey respondents, EIA received 19 sets of comments.
Most of the comments were from electric power companies and trade
groups.
Of the comments received, nine were in favor of a policy of not
using disclosure limitation methods on statistical tables based on
historical electric power survey information, nine objected to the
proposal, and one commenter did not take a position. After analyzing
the comments, EIA decided to propose using disclosure limitation
methods on statistical tables based on historical electric power survey
information collected under a pledge of confidentiality only if the
survey information is currently collected under a pledge of
confidentiality. If the historical survey information was collected
under a pledge of confidentiality but is not currently collected under
such a pledge, EIA will not use disclosure limitation methods on
statistical tables based on the aggregated historical information.
The decision is based on the fact that for information not
currently collected under a pledge of confidentiality, the public has
access to the most recent information in individually-identifiable
form. Therefore, the release of statistical tables not subjected to
disclosure limitation methods for historical survey information
previously collected under a pledge of confidentiality should not cause
substantial competitive harm to the position of any survey respondent.
Examples of information meeting this criteria include generation and
fuel consumption information collected under a pledge of
confidentiality prior to 1999 on the Form EIA-867, but the generation
and fuel consumption information are currently collected with no pledge
of confidentiality.
[[Page 758]]
Following is a summary of the major supporting and opposing
arguments received in response to EIA's proposed policy.
General Concerns--Arguments for Release of Aggregated Information
Collected Under a Pledge of Confidentiality
Nine responders to the October 24, 2002, Federal Register notice
generally supported EIA's approach to not using disclosure limitation
methods before disseminating information collected under a pledge of
confidentiality at an aggregate level in statistical tables after a
three-year period. They stated that the release of such information at
least three years after collection and aggregated at the State,
regional, or national level will adequately safeguard the competitive
position of any survey respondent. If an affected survey respondent
disagrees, the respondent has the option to request confidential
treatment through the DOE's Office of Hearings and Appeals or in court.
Further, some stated that disseminating historically confidential
information at the State level is especially important as States move
into an era characterized by the need for portfolio management of power
supply, demand, and related factors. Others believe that the release of
aggregated information after a three-year period expands the historical
information available and has the potential to benefit information
users, researchers, and policymakers.
Other persons argued that the industry has failed to document any
specific harm that will arise from the release of EIA aggregated survey
information despite the fact that competition has existed in the
industry for several years. They also stated that much of the
information is already available, that the statistical tables will not
have any competitive impact by the time they are released by EIA, and
that public policy goals depend on this information.
Some supporters of the release of aggregated information after
three years believe that both EIA's enabling statute and the Freedom of
Information Act (FOIA) mandate that EIA disseminates its information.
They state that the FOIA contains nine exemptions from public
disclosure, and only Exemption 4 (which protects against release of
confidential commercial or financial information), potentially relates
to the type of information collected on EIA's electric power surveys.
In fact, one commenter stated that the purpose of FOIA is to promote
disclosure, not to justify secrecy.
Another commenter in favor of the release of historical information
stated that with the movement toward a more competitive market, it
should be clear to all that energy markets can function best in the
presence of wide access to information.
Also in support of the proposed policy, many commenters to previous
EIA Federal Register notices published March 13, 2001 (Vol. 66, No. 49)
who opposed the release of individually-reported information believed
that EIA could fulfill its statutory duties without disclosure of
individual plant level information by disseminating the information in
an aggregated form. In addition, several supported a delay in the
disclosure of sensitive information to protect against competitive
harm.
General Concerns--Arguments Against Release of Aggregated Information
Collected Under A Pledge of Confidentiality
Nine responders to the October 24, 2002, Federal Register notice
opposed EIA's proposal to release information collected under a pledge
of confidentiality at an aggregate level after a three-year period.
They believe that disclosure even at an aggregate level of
competitively sensitive information will harm respondents, the
electricity market, and the consumer. In particular, some believe their
entities hold market share in certain States and regions. If the number
of entities included in the aggregate is small, they believe that their
information could be easily discerned. Others understood that the
confidential information would remain proprietary even when
disseminated at aggregate levels. They stated that EIA is changing its
policy on confidentiality.
Some had an issue with the three-year time period. Their concern is
that much of the information provided in the responses to the EIA
surveys would potentially change little over time. Thus, if the number
of entities included in a particular aggregate is small, individually
reported information could be discerned. If the information changes
little over time, competitive harm could occur with respect to fuel
purchase prices and plant operating costs.
One commenter opposed the proposal to release aggregate information
collected under a pledge of confidentiality after three years stating
that the proposal is too broad and unfounded. The person also stated
that the new proposal violates the expectations of companies that have
submitted the information in reliance on confidentiality assurances.
The person went on to say that the mere passage of time does not ensure
that information treated as confidential because of commercial and
security concerns no longer need to be treated as confidential. The
commenter believes that the proposal is a generalization, which can not
be made for all categories of information or for all facilities and
companies. Also, companies have provided the information in reliance on
EIA assurances, which should not now be withdrawn after the information
has been submitted.
EIA's Response to Comments
EIA finds that the comments on the issue are thoughtful and reflect
the nature of the tradeoff in ensuring information is available for
monitoring and analyzing the electric power industry and markets while
at the same time ensuring that information collected under a pledge of
confidentiality in EIA's electric power surveys is not released in
statistical tables in such a way as to cause potential substantial
competitive harm to the survey respondents.
EIA's final policy is to discontinue the use of disclosure
limitation methods such as suppression and complimentary suppression
for statistical tables derived from historical electric power survey
information collected under a pledge of confidentiality only if the
information is not currently collected under a pledge of
confidentiality. This decision is based on the need to provide
additional tabulations that will improve and broaden the understanding
of the electric power industry by releasing more aggregated information
(State, regional, or national level) while using disclosure limitation
methods to ensure the confidentiality of information currently
collected under a pledge of confidentiality. The potential disclosure
of data that were confidential and older than three years will not have
a major impact on the competitiveness of the respondents, as their
current data are no longer confidential.
III. Current Actions
The EIA is establishing a policy regarding the use of disclosure
limitation methods for information in statistical tables derived from
historical electric power survey information collected under a pledge
of confidentiality. (Disclosure limitation methods are used to ensure
that sensitive table cell values are suppressed; i.e., withheld from
public release.) Under this policy, disclosure limitation methods will
be used on statistical tables based on aggregated historical electric
power survey information collected under a pledge of confidentiality
only if the information is
[[Page 759]]
currently collected under a pledge of confidentiality. (As of December
2002, electric power survey information collected under a pledge of
confidentiality includes costs of fuels for unregulated plants, tested
heat rates, fuel inventories, plant costs and expenses for unregulated
plants, monthly electricity sales information reported for energy-only
service, and latitude/longitude for electric power facilities.) If the
survey information is not currently collected under a pledge of
confidentiality, EIA will not use disclosure limitation methods for
statistical tables derived from the historical electric power survey
information.
This policy would apply to any information collected in an EIA
electric power survey under a pledge of confidentiality during a survey
period at least three years prior to the date of its proposed release
in a statistical table. The three-year period includes the reporting
year (the year for which information is currently being collected) and
two prior years where information have been finalized. In accordance
with applicable laws and regulations, EIA will not publicly release
survey forms collected under a pledge of confidentiality.
Statutory Authority: Section 52 of the Federal Energy
Administration Act (Pub. L. No. 93-275, 15 U.S.C. 790a).
Issued in Washington, DC, December 31, 2002.
Guy F. Caruso,
Administrator, Energy Information Administration.
[FR Doc. 03-259 Filed 1-6-03; 8:45 am]
BILLING CODE 6450-01-P