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-861S collects information on the status of selected 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-861S is to be completed by all electric utilities with annual retail sales in the prior year 

of 100,000 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 Authority (TVA) or WPPI 

Energy; or

4. You report on the Form EIA-826.

Utilities for which any 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-861S, 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, all entities that normally complete the Form

EIA-861S 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 2017.

RESPONSE DUE 

DATE

Submit the completed Form EIA-861S to EIA by April 30th, 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 registered 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 information. 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-861S, 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 INSTRUCTIONS

1. If your entity has retail sales that could be reported in Schedule 4 Part B or Part C or Part D of the 

FORM EIA-861L (long form), then you cannot use the Form EIA-861S. You should email EIA861@eia.gov or call one of the contacts listed above.

2. Report energy values 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 the 

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 office, 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 the 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 EIA-861@eia.gov for further help.

SCHEDULE 5. MERGERS AND/OR ACQUISITIONS

Select “YES” or “NO” to indicate 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.

Company-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. Government-mandated energy-efficiency standards that legislate improvements in building and 

appliance energy usage; 

3. Natural operations of the marketplace (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 that 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 unit 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 necessary, adjust the 

definition above to be in accordance with the minimum efficiency standards for grid-enabled water 

heaters.

SCHEDULE 6. PART 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 number of customers enrolled in all types of dynamic pricing programs. 

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 

the 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-peak 

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 structure 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 for 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 structure 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 provider. 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 its 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 billing 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 capabilities 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 built-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 the 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. On line 3, the energy served via AMI meters.

SCHEDULE 7. PART A. NET METERING

Net Metering tariff arrangements permit a facility, generating electricity from a renewable resource, 

using a meter that reads inflows 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 company 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-861S 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 than $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 

willingly 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 information 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 any 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 number.

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 Contact Person for Survey” on Schedule 1.

All other information reported on Form EIA-861S is public information and may 

be released in identifiable form