QUESTIONS AND ANSWERS ABOUT EXCEPTIONS
Below are answers to some questions commonly asked by firms that are
required to file forms with the Energy Information Administration (EIA).
Why do I have to file the forms?
As a result of the energy crises in the 1970's, Congress discovered that
there was no reliable source of information regarding the nation's oil
supply. This lack of information made it difficult for Congress to respond
to the very serious national oil crisis. To prevent this problem from
happening again, Congress and the President needed a way of keeping track
of the supply and demand of energy in the United States. To that end,
Congress directed the Department of Energy (DOE) to establish a method of
monitoring the supply and demand of energy. A series of survey forms were
developed to collect this vital information from firms of all sizes,
including the nation's largest and smallest firms. These forms have been
periodically modified to meet changing needs of both the nation and the
survey participants.
What does the DOE do with the information I report?
The DOE and EIA use the information to conduct analyses and make
projections related to energy supplies, demand, and prices on a national,
regional and state basis. The data are used by Congress, public and
private research organizations, trade associations, and more than 35 State
governments to perform various energy analyses. Information obtained from
the surveys also appears in government publications such as Monthly
Energy Review, Short Term Energy Outlook, Petroleum Marketing Monthly,
Fuel Oil and Kerosene Sales Report, and Weekly Petroleum Status
Report. You will note, however, that information about your firm
remains confidential and is not available to the public.
How was I chosen?
You were one of many firms selected from a listing of all firms in the
energy industry. Certain companies, because of their relative impact and
importance in their market area, are always included in the survey sample.
A sample of other firms is randomly selected. The likelihood of selection
varies by survey, state, products sold, company size, and demographic
data. This sample is reselected periodically to reduce the burden on
individual companies. Every effort is made by EIA to limit the number of
respondents required to file the survey.
What if these forms are especially burdensome to my firm?
If you feel that your firm is unusually burdened by EIA's survey forms,
you should send a letter to the Office of Hearings and Appeals (OHA) at
the address on the back of this sheet. Your letter should detail the
reasons your business is especially hindered by the forms and include
supporting documentation. For instance, if your firm is undergoing
financial difficulties, you should include financial statements or tax
returns. Or, if your business is experiencing other unusual circumstances,
please describe those in detail. After the OHA receives your letter, it
may contact you to ask for more information.
The information you supply to the OHA constitutes your "Application
for Exception," and you will be considered an "applicant."
You do not, however, need to fill out an application form. Once the OHA
has received all of the information it needs from you, it will make a
decision about your request. In order to do so, it will compare your
request with others it has received in the past and the decisions made
about them. The OHA will also consult the regulations which establish
guidelines for granting and denying requests. The OHA will then write a "Decision
and Order" which describes your request, states whether it will be
granted or denied, and explains the reasons for its decision. The OHA will
send you a copy of this Decision and Order.
How long will all of this take?
It will take at least one month, and can take several months, from the
time the OHA receives your request to the time it makes a decision. The
length of this period often depends on how long it takes you to respond to
the OHA's questions and send in any information which it requests. During
this time you MUST continue to fill out the EIA forms. You may
only stop filling out the forms if you receive a decision from the OHA or
a letter from EIA stating that you no longer have to do so.
If I apply for exception, what are my chances for success?
Exceptions are granted only in extraordinary circumstances. Only 10%
of these Applications for Exception have been granted.
What are the possible outcomes of an Application for Exception?
Dismissal Your application for exception will be dismissed if
you decide not to pursue your request or if you do not send the requested
information.
Temporary Relief Your firm will be allowed to stop filing the
forms temporarily if you demonstrate that certain circumstances have made
it extremely difficult to file the forms. Relief can range from a few
months to several years. Firms may reapply once relief expires.
Time extension Your firm will be given extra time to file the
forms if you demonstrate that it is experiencing temporary time
constraints. This outcome differs from temporary relief in that once your
time extension is over, you are obligated to file all overdue reports.
Denial Your application will be denied if you do not
demonstrate that your firm is especially burdened by the EIA filing
requirement in a way that is significantly different from similar firms
that file the forms.
What are some examples of claims that are routinely denied?
Since many small firms are required to file the forms, the fact that you
are a small firm is not enough to relieve you of the requirement to
report. Many small firms, even firms with few employees and no computer
capability, are survey participants. All survey participants are burdened
by the requirement to file these forms. However, since all firms which
file the forms must bear this burden, to receive an exception you must
show that you are somehow especially burdened in a way that is
significantly different from similar firms that file the forms. You should
know that if you have not attempted to file the forms since being
selected, or if you have neglected to file forms in the past, your claims
of hardship will not be as convincing.
What are some examples of businesses that have been granted exception?
Generally speaking, exceptions are granted only in extreme
circumstances. Some examples include:
- owner experiencing a protracted illness and able to work only a few
days a week, and firm lacked sufficient personnel to complete the forms;
- firm showed it was in precarious financial position or in bankruptcy
proceedings and its viability was threatened by added burden of filing
forms;
- recent flood in area, and employee illness;
- owner out of office due to open heart surgery and firm lacks
sufficient personnel to take over his duties in his absence;
- firm's manager departed without notice and firm's operations were
disrupted; and
- firm's computer operator suffered a broken wrist.
Have more questions?
- Call us at (202) 287-1439 or (202) 287-1659 and ask to speak to an Exceptions
Representative.
- Write to us at:
Exception Questions
Office of Hearings and Appeals
Department of Energy
1000 Independence Ave., SW
Washington, DC 20585-0107
 Back
to OHA Home Page
| 
