## Form EIA

- 861S ANNUAL ELECTRIC POWER INDUSTRY REPORT (SHORT FORM) INSTRUCTIONS OMB No. 1905

- 0129 Approval Expires: 05 / 31 / 2017 Burden: 0.75 Hours



### Page **1** PURPOSE Form EIA

- 861 S collects information on the status of select ed electric power industry participants involved in the sale , and distribution of electric energy in the United States. The data collected on this form are used to monitor the current status and trends of the electric power industry and to evaluate the future of the industry

.



### REQUIRED RESPONDENTS Form EIA

- 861 S is to be completed by all electric utilities with annual retail sales in the prior year of 1 0 0,000 megawatt

- hours or less, with the following exceptions:

1. A respondent has retail sales of unbundled service ; 2. A full set of data is required from the respondent to ensure that statistical estimates for a state , sector, and balancing authority are of acceptable quality ; 3. A respondent reports in aggregate under the Tennessee Valley Aut hority (TVA) or WPPI Energy; or 4. You report on the Form EIA

- 826.

Utilities for which a ny of the exceptions apply must complete the long version of Form EIA

- 861 survey. Note that respondents can only complete one type of Annual Electric Power Industry Report
, either the Form EIA

- 861 or the Form EIA

- 861 S, but not both.
Also note that responses are collected at the business (operating) level (not at the holding company level).
Once every five years and in lieu of the short form, a ll entities that normally complete the Form EIA

- 861 S will be required to complete the Form EIA

- 861

. This is necessary to acquire the data needed to maintain the accuracy of the statistical imputation procedure used to estimate data not collected on the Form EIA

- 861S. As currently scheduled this requirement will not come into play for the first time until 201 7

. 

### RESPONSE DUE DATE Submit the completed Form EIA

- 861 S to EIA by April 30 th , following the end of the prior calendar year.



### METHODS OF FILING RESPONSE Submit your data electronically using EIA’s secure internet data collection system (e

- file). This system uses security protocols to protect information against unauthorized access during transmission.

• If you have not registered with EIA’s Single Sign

- On system, send an email requesting assistance to: EIA

- 861@eia.gov.

• If you have regis tered with Single Sign

- On, log on at https://signon.eia.gov/ssoserver/login

• If you are having a technical problem with logging into e

- file or using e

- file contact the Help Desk for further informa tion. Contact the Help Desk at:

Email: EIA

- 861@eia.gov

• If you need an alternate means of filing your response, contact the Help Desk.
Please retain a completed copy of this form for your files.

## Form EIA

- 861S ANNUAL ELECTRIC POWER INDUSTRY REPORT (SHORT FORM) INSTRUCTIONS OMB No. 1905

- 0129 Approval Expires: 05 / 31 / 2017 Burden: 0.75 Hours



### Page **2** CONTACTS **Internet System Questions**  : For questions related to e

- file, see the help contact information immediately above. **Data Questions:** For questions about the data requested on Form EIA

- 861 S , contact the Survey Manager , preferably by email at EIA

- 861@eia.gov.

Jorge Luna

- Camara Stephen Scott 202

- 586

- 3945 202

- 586

- 5140 FAX Number: 202

- 287

- 1938



### GENERAL INSTRUCTI ONS

1. If your entity has r etail sales that could be reported in S chedule 4 Part B or Part C or Part D of the FORM EIA

- 861 L (long form) , then you cannot use the Form EIA

- 861 S . You should email EIA

861@eia.gov 

### or call one of the contacts listed above

.
2. Report energy val ues in megawatthours. One megawatthour equals 1,000 kilowatthours. To convert kilowatthours to megawatthours , divide by 1,000 and round to the nearest whole number. For example, sales of 5,245,790 kilowatthours should be reported as 5,246 megawatthours.

3. Report in whole numbers , except for revenue on schedule 4A

. 

### SCHEDULE 1. IDENTIFICATION

1. Survey Contact: Verify contact name, title, email address, telephone number, fax number.

2. Supervisor of Contact Person for Survey: Verify the contact’s supervisor’s name, title, address, telephone number, fax number and email address. Supervisor contact must be different than t he survey contact.

i. If any of the above information is incorrect, revise the incorrect entry and /or provide the correct information to EIA staff . Provide any missing information.
Entity and Preparer Information

3. Legal Name of Entity: Enter the legal name of the entity for which this form is being prepared.

4. Current Address of Entity’s Principal Business Office: Enter the complete address, excluding the legal name, of the entity’s principal business office (i.e., headquarters, main off ice, etc.).

5. Preparer’s Legal Name: Enter the legal name of the company, which prepares this form, if different from the Legal Name of Entity

.
6. Current Address of Preparer’s Office: Enter the address to which this form should be mailed, if different from th e Current Address of Entity’s Principal Business Office

.



### SCHEDULE 4. PART A. SALES TO ULTIMATE CUSTOMERS. FULL SERVICE

– ENERGY AND DELIVERY SERVICE (BUNDLED)

## Form EIA

- 861S ANNUAL ELECTRIC POWER INDUSTRY REPORT (SHORT FORM) INSTRUCTIONS OMB No. 1905

- 0129 Approval Expires: 05 / 31 / 2017 Burden: 0.75 Hours



### Page **3** Enter the reporting year revenues in thousands of dollars, megawatt hours of retail sales of electricity to ultimate customers
, and number of customers in total by state and by balancing authority . Note if you had energy only sales or delivery only sales then you cannot submit the short form and need email EI A

- 861@eia.gov for further help

.


### SCHEDULE 5. MERGERS AND/OR ACQUISITIONS

Select “ YES ” or “ NO ” to ind icate whether your company engaged in these activities during the reporting year.



### SCHEDULE 6. PARTS A&B. DEMAND

- SIDE MANAGEMENT INFORMATION

Demand

- side management (DSM) programs are designed to modify patterns of electricity usage, including the timing and level of electricity demand

. C ompany
- administered DSM programs DO NOT INCLUDE changes in energy and load attributable to:

1. Non

- participants (e.g., customers known as free

- riders, who would adopt program

- recommended actions even without the program);

2. G overnment

- mandated energy

- efficiency standards that legislate improvements in building and appliance energy usage;

3. Natural operations of the m arketplace (e.g., reductions in customer energy usage due to higher prices); and

4. Weather and business

- cycle fluctuations.

Check “ YES ” in the space provided if your company administered Demand

- Side Management Programs as described above; otherwise select “NO.”
If your company administered a Demand Side Management Program for grid interactive water heaters (as defined DOE’s EERE ) , enter the number of grid interactive water heaters th at you added to your program this year. A grid interactive water heater is an electric storage water heater that is capable of being controlled remotely by a third party (usually an electricity service provider) that provides the third party the ability to control the operation of the uni t by storing thermal energy during off

- peak times. DOE’s Office of Energy Efficiency and Renewable Energy is in the process of issuing a final rule for efficiency standards for residential water heaters. Once those standards are finalized, EIA will, if n ecessary, adjust the definition above to be in accordance with the minimum efficiency standards for grid

- enabled water heaters.



### SCHEDULE 6. P ART C. TIME

- BASED RATE PROGRAMS (DYNAMIC PRICING PROGRAMS )
Dynamic pricing programs (also known as time

- based rate programs) are designed to modify patterns of electricity usage, including the timing and level of electricity demand

. Please indicate, by checking “YES” or “NO”, whether your company currently operates any time

- based rate programs, e.g., real

- time pricing, critical peak pricing, critical peak rebate, variable peak pricing and time

- of

- use rates administered through a tariff If you check “yes”, for each state, balancing authority, and customer sector report the num ber of customers enrolled in all type s of d ynamic pricing program s

. Report those customers that are enrolled in the program and are billed accordingly whether or not they are active participants

.

## Form EIA

- 861S ANNUAL ELECTRIC POWER INDUSTRY REPORT (SHORT FORM) INSTRUCTIONS OMB No. 1905

- 0129 Approval Expires: 05 / 31 / 2017 Burden: 0.75 Hours



### Page **4** 1. Time of Use Prices (TOU) is a program in which customers pay different prices at different times of th e day. On

- peak prices are higher and off

- peak prices are lower than a “standard” rate. Price schedule is fixed and predefined, based on season, day of week, and time of day.

2. Real Time Pricing (RT ) is a program of rate and price structure in which the retail price for electricity typically fluctuates hourly or more often, to reflect changes in the wholesale price of electricity on either a day

- ahead or hour

- ahead basis.

3. Variable Peak Pricing (VPP) is a program in which a form of Time

- Of

- Day (TOD) pricing allows customers to purchase their generation supply at prices set on a daily basis. Standard on

- peak and off

- peak time

- of

- day rates are in effect throughout the month. Under the VPP program, the on

- pe ak price for each weekday becomes available the previous day (typically late afternoon) and the customer gets billed for actual consumption during the billing cycle at these prices.

4. Critical Peak Pricing (CPP) is a program in which rate and/or price struc ture is designed to encourage reduced consumption during periods of high wholesale market prices or system contingencies, by imposing a pre

- specified high rate or price for a limited number of days or hours. Very high “critical peak” prices are assessed f or certain hours on event days (often limited to 10

- 15 per year). Prices can be 3

- 10 times as much during these few hours. Typically, CPP is combined with a TOU rate, but not always.

5. Critical Peak Rebate (CPR) is a program in which rate and/or price struct ure is designed to encourage reduced consumption during periods of high wholesale market prices or system contingencies, by providing a rebate to the customer on a limited number of days and for a limited number of hours, at the request of the energy provi der. Under this structure the energy provider can call event days (often limited to 10

- 15 per year) and provide a rebate typically several times the average price for certain hours in the day. The rebate is based on the actual customer usage compared to i ts baseline to determine the amount of the demand reduction each hour.


### SCHEDULE 6. PART D. ADVANCED METERING

1. Standard (Electric) Meters are electromechanical or solid state meters measuring aggregated kWh where data are manually retrieved over monthly bil ling cycles for billing purposes only. Standard meters may also include functions to measure time

- of

- use and/or demand with data manually retrieved over monthly billing cycles.

2. Automated Meter Reading (AMR) : Meters that collect data for billing purposes only and transmit this data one way , usually from the customer to the distribution utility. Aggregated monthly kWh data captured on these meters may be retrieved by a variety of methods including drive

- by vans with short

- distance remote reading capabiliti es and communication over a fixed network such as a cellular network.

3. Advanced Metering Infrastructure (AMI ; often referred to as “smart meters” ) : Meters that have the capability to measure and record usage data at hourly or shorter intervals, and provide usage data to energy companies and may also provide the data to customers at least once daily. Data are used for billing and other purposes. Advanced meters include basic hourly interval meters and extend to real

- time meters with b uilt

- in two
- way communication capable of recording and transmitting instantaneous data.

4. Energy Served through AMI (MWh) should be entered in megawatt hours for customers served

.

## Form EIA

- 861S ANNUAL ELECTRIC POWER INDUSTRY REPORT (SHORT FORM) INSTRUCTIONS OMB No. 1905

- 0129 Approval Expires: 05 / 31 / 2017 Burden: 0.75 Hours



### Page **5** 5. Select “YES” or “NO” to indicate whether you operated an AMR system during th e reporting year
. If you select “ YES , ”

6. Enter the state and balancing authority and on line 1 enter the number of AMR meters, by state by balancing authority and by customer class.

7. Select “YES” or “NO” to indicate whether you operated an AMI system during the reporting year. If you select “YES,”

8. Enter the state and balancing authority and on line 2, report by state
, balancing authority
, and sector the number of AMI meters.

9. O n line 3, the energy served via AMI meters

. 

### SCHEDULE 7. PART A . NET METERING
Net Metering tariff arrangeme nts permit a facility, generating electric ity from a renewable resource, using a meter that reads infl ows and outflows of electricity to sell any excess power it generates over its load requirement back to the electrical grid, typically at a rate equivalent to the retail price of electricity.
If your company had a net metering program during the reporting year , select “YES .”
If your c ompany had no net metering program during the reporting year, select “NO.”

## Form EIA

- 861S ANNUAL ELECTRIC POWER INDUSTRY REPORT (SHORT FORM) INSTRUCTIONS OMB No. 1905

- 0129 Approval Expires: 05 / 31 / 2017 Burden: 0.75 Hours



### Page **6** GLOSSARY The glossary for this form is available online at the following URL: http://www.eia.gov/glossary/index.html 

### SANCTIONS The timely submission of Form EIA

- 861 S by those required to report is mandatory under Section 13(b) of the Federal Energy Administration Act of 1974 (FEAA) (Public Law 93

- 275), as amended. Failure to respond may result in a penalty of not more th an $2,750 per day for each civil violation, or a fine of not more than $5,000 per day for each criminal violation. The government may bring a civil action to prohibit reporting violations, which may result in a temporary restraining order or a preliminary or permanent injunction without bond. In such civil action, the court may also issue mandatory injunctions commanding any person to comply with these reporting requirements. Title 18 U.S.C. 1001 makes it a criminal offense for any person knowingly and will ingly to make to any Agency or Department of the United States any false, fictitious, or fraudulent statements as to any matter within its jurisdiction. 

### REPORTING BURDEN Public reporting burden for this collection of informa tion is estimated to average 0. 75 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or a ny other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Energy Information Administration, Office of Survey Development and Statistical Integration , EI

- 21 Forrestal Building, 1000 Independence Avenue SW, Washington, D.C. 20585

- 0670; and to the Office of Information and Regulatory Affairs, Office of Management and Budget, Washington, D.C. 20503. A person is not required to respond to the collection of information unless the form displays a valid OMB nu mber. 

### DISCLOSURE OF INFORMATION The following information reported on this survey will be protected and not disclosed to the extent that it satisfies the criteria for exemption under the Freedom of Information Act (FOIA), 5 U.S.C. §552, the Department of Energy (DOE) regulations, 10 C.F.R. §1004.11, implementing the FOIA, and the Trade Secrets Act, 18 U.S.C. §1905:

• All information associated with the “Survey Contact” and the “Supervisor of Contac t Person for Survey” on Schedule 1.

All other information reported on Form EIA

- 861 S is public information and may be released in identifiable form