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FERC FINANCIAL REPORT
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This report is mandatory under the Federal Power Act, Sections 304(a), and 18 CFR 141.2. Failure to report may result in criminal fines, civil penalties and other sanctions as provided by law. The Federal Energy Regulatory Commission does not consider this report to be of a confidential nature.
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Exact Legal Name of Respondent (Company) |
Year/Period of Report End of: |
Nonmajor Accounts Part Number | Major Accounts Schedule Page (FERC Form No. 1) |
III | 110-113 |
IV | 114-117 |
V | 118-119 |
XII | 219 |
XVI | 300-301 |
XVII | 320-323 |
XVIIII | 310-311 |
XIX | 326-327 |
XX | 200-201, 204-207 |
Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
Table of Contents |
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ScheduleListOfSchedulesAbstract Table of Contents |
1 | |
ScheduleInstructionsAbstract Instructions |
2 | |
I |
ScheduleIdentificationAbstract Identification |
3 |
II |
ScheduleAnnualReportCorporateOfficerCertificationAbstract Annual Report Corporate Officer Certification |
3a |
III |
ScheduleComparativeBalanceSheetAssetsAndOtherDebitsAbstract Comparative Balance Sheet |
4-5 |
IV |
ScheduleStatementOfIncomeAbstract Statement of Income for the Year |
6-8 |
V |
ScheduleRetainedEarningsAbstract Statement of Retained Earnings |
9 |
VI |
ScheduleStatementOfCashFlowsAbstract Statement of Cash Flows |
10-11 |
VII |
ScheduleStatementOfAccumulatedOtherComprehensiveIncomeAndHedgingActivitiesAbstract Statement of Accumulated Other Comprehensive Income and Hedging Activities |
12(a)(b) |
VIII |
ScheduleNotesToFinancialStatementsAbstract Notes to Financial Statements |
13-14 |
IX |
ScheduleAllowanceInventoryAbstract Allowances |
15-16 |
X |
ScheduleOtherRegulatoryAssetsAbstract Other Regulatory Assets |
17 |
XI |
ScheduleDataOnOfficersAndDirectorsAbstract Data on Officers and Directors |
18 |
XII |
ScheduleAccumulatedProvisionForDepreciationAndAmortizationOfUtilityPlantAbstract Accumulated Provision for Depreciation and Amortization of Utility Plant |
19 |
XIII |
ScheduleCapitalStockAbstract Capital Stock Data |
19 |
XIV |
ScheduleLongTermDebtAbstract Long-Term Debt Data |
19 |
XV |
ScheduleOtherRegulatoryLiabilitiesAbstract Other Regulatory Liabilities |
20 |
XVI |
ScheduleElectricSalesDataForTheYearAbstract Electric Sales Data for the Year |
21 |
XVII |
ScheduleElectricOperationsAndMaintenanceExpensesShortAbstract Electric Operation and Maintenance Expense |
21 |
XVIII |
ScheduleSalesForResaleShortAbstract Sales for Resale |
22 |
XIX |
SchedulePurchasedPowerShortAbstract Purchased Power |
23 |
XX |
ScheduleUtilityPlantDataAbstract Utility Plant Data |
24 |
XXI |
ScheduleFootnoteDataAbstract Footnote Data |
25 |
XXII |
SchedulePurchasesSalesOfAncillaryServicesAbstract Purchases and Sales of Ancillary Services |
26 |
XXIII |
ScheduleMonthlyTransmissionSystemPeakLoadAbstract Monthly Transmission System Peak Load |
27-28 |
XXIV |
ScheduleTransmissionServiceAndGenerationInterconnectionStudyCostsAbstract Transmission Service and Generation Interconnection Study Costs |
29 |
XXV |
ScheduleAmountsIncludedInIsoOrRtoSettlementAbstract Amounts Included in ISO/RTO Settlement Statements |
30 |
ScheduleEnergyStorageOperationsSmallPlantsAbstract Energy Storage Operations (Small Plants) |
419 | |
SubstitutePagesForNonmajorRespondentsUsingAccountsDesignatedForMajorClassificationAbstract SUBSTITUTE PAGES FOR NONMAJOR RESPONDENTS USING ACCOUNTS DESIGNATED FOR MAJOR CLASSIFICATION (Part 101) |
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III |
ScheduleComparativeBalanceSheetAbstract Comparative Balance Sheet (110-113) |
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IV |
ScheduleStatementOfIncomeAbstract Statement of Income for the Year (114-117) |
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V |
ScheduleRetainedEarningsAbstract Statement of Retained Earnings for the Year (118-119) |
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XX |
ScheduleSummaryOfUtilityPlantAndAccumulatedProvisionsForDepreciationAmortizationAndDepletionAbstract Summary of Utility Plant and Accumulated Provisions for Depreciation, Amortization and Depletion (200-201, 204-207) |
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XII |
ScheduleAccumulatedProvisionForDepreciationOfElectricUtilityPlantAbstract Accumulated Provision for Depreciation of Electric Utility Plant (219) |
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XVI |
ScheduleElectricOperatingRevenuesAbstract Electric Operating Revenues (300-301) |
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XVIII |
ScheduleSalesForResaleAbstract Sales for Resale (310-311) |
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XVII |
ScheduleElectricOperationsAndMaintenanceExpensesAbstract Electric Operation and Maintenance Expenses (320-323) |
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XIX |
SchedulePurchasedPowerAbstract Purchased Power (326-327) |
PART I: IDENTIFICATION |
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01 Exact Legal Name of Respondent
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02 Year of Report
End of: |
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03 Previous Name and Date of Change (If name changed during year)
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04 Address of Principal Business Office at End of Year (Street, City, State, Zip Code)
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05 Name of Contact Person
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06 Title of Contact Person
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07 Address of Contact Person (Street, City, State, Zip Code)
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08 Telephone of Contact Person, Including Area Code
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09 This Report is An Original / A Resubmission (1) ☑ An Original (2) ☐ A Resubmission |
10 Date of Report (Mo, Da, Yr)
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11 Name of Officer Having Custody of the Books of Account
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12 Title of Officer
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13 Address of Officer Where Books of Account Are Kept (Street, City, State, Zip Code)
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14 Name of State Where Respondent Is Incorporated
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15 Date of Incorporation (Mo, Da, Yr)
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16 If applicable, Reference to Law Incorporated Under
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17 Explanation of Manner and Extent of Corporate Control (If the respondent controls or is controlled by any other corporation, business trust, or similar organization)
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PART II: ANNUAL REPORT CORPORATE OFFICER CERTIFICATION |
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The undersigned officer certifies that: I have examined this report and to the best of my knowledge, information, and belief all statements of fact contained in this report are correct statements of the business affairs of the respondent and the financial statements and other financial information contained in this report, conform in all material respects to the Uniform System of Accounts. | |||||
Line No. |
Name of Certifying Official |
Signature |
Title |
Date |
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1 |
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Title 18, U.S.C. 1001 makes it a crime for any person to 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. |
Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
COMPARATIVE BALANCE SHEET (ASSETS AND OTHER DEBITS) |
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Line No. |
Title of Account (a) |
Ref. Page No. (b) |
Current Year End of Quarter/Year Balance (c) |
Prior Year End Balance 12/31 (d) |
1 |
UtilityPlantAbstract UTILITY PLANT |
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2 |
UtilityPlant Utility Plant (101-106, 114) |
200 |
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3 |
ConstructionWorkInProgress Construction Work in Progress (107) |
200 |
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4 |
UtilityPlantAndConstructionWorkInProgress TOTAL Utility Plant (Enter Total of lines 2 and 3) |
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5 |
AccumulatedProvisionForDepreciationAmortizationAndDepletionOfPlantUtility (Less) Accum. Prov. for Depr. Amort. Depl. (108, 110, 111, 115) |
200 |
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6 |
UtilityPlantNet Net Utility Plant (Enter Total of line 4 less 5) |
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7 |
NuclearFuelInProcessOfRefinementConversionEnrichmentAndFabrication Nuclear Fuel in Process of Ref., Conv., Enrich., and Fab. (120.1) |
202 |
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8 |
NuclearFuelMaterialsAndAssembliesStockAccountMajorOnly Nuclear Fuel Materials and Assemblies-Stock Account (120.2) |
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9 |
NuclearFuelAssembliesInReactorMajorOnly Nuclear Fuel Assemblies in Reactor (120.3) |
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10 |
SpentNuclearFuelMajorOnly Spent Nuclear Fuel (120.4) |
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11 |
NuclearFuelUnderCapitalLeases Nuclear Fuel Under Capital Leases (120.6) |
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12 |
AccumulatedProvisionForAmortizationOfNuclearFuelAssemblies (Less) Accum. Prov. for Amort. of Nucl. Fuel Assemblies (120.5) |
202 |
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13 |
NuclearFuelNet Net Nuclear Fuel (Enter Total of lines 7-11 less 12) |
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14 |
UtilityPlantAndNuclearFuelNet Net Utility Plant (Enter Total of lines 6 and 13) |
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15 |
OtherElectricPlantAdjustments Utility Plant Adjustments (116) |
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16 |
GasStoredUndergroundNoncurrent Gas Stored Underground - Noncurrent (117) |
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17 |
OtherPropertyAndInvestmentsAbstract OTHER PROPERTY AND INVESTMENTS |
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18 |
NonutilityProperty Nonutility Property (121) |
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19 |
AccumulatedProvisionForDepreciationAndAmortizationOfNonutilityProperty (Less) Accum. Prov. for Depr. and Amort. (122) |
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20 |
InvestmentInAssociatedCompanies Investments in Associated Companies (123) |
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21 |
InvestmentInSubsidiaryCompanies Investment in Subsidiary Companies (123.1) |
224 |
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23 |
NoncurrentPortionOfAllowances Noncurrent Portion of Allowances |
228 |
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24 |
OtherInvestments Other Investments (124) |
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25 |
SinkingFunds Sinking Funds (125) |
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26 |
DepreciationFund Depreciation Fund (126) |
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27 |
AmortizationFundFederal Amortization Fund - Federal (127) |
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28 |
OtherSpecialFunds Other Special Funds (128) |
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29 |
SpecialFunds Special Funds (Non Major Only) (129) |
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30 |
DerivativeInstrumentAssetsLongTerm Long-Term Portion of Derivative Assets (175) |
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31 |
DerivativeInstrumentAssetsHedgesLongTerm Long-Term Portion of Derivative Assets - Hedges (176) |
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32 |
OtherPropertyAndInvestments TOTAL Other Property and Investments (Lines 18-21 and 23-31) |
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33 |
CurrentAndAccruedAssetsAbstract CURRENT AND ACCRUED ASSETS |
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34 |
CashAndWorkingFunds Cash and Working Funds (Non-major Only) (130) |
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35 |
Cash Cash (131) |
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36 |
SpecialDeposits Special Deposits (132-134) |
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37 |
WorkingFunds Working Fund (135) |
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38 |
TemporaryCashInvestments Temporary Cash Investments (136) |
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39 |
NotesReceivable Notes Receivable (141) |
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40 |
CustomerAccountsReceivable Customer Accounts Receivable (142) |
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41 |
OtherAccountsReceivable Other Accounts Receivable (143) |
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42 |
AccumulatedProvisionForUncollectibleAccountsCredit (Less) Accum. Prov. for Uncollectible Acct.-Credit (144) |
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43 |
NotesReceivableFromAssociatedCompanies Notes Receivable from Associated Companies (145) |
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44 |
AccountsReceivableFromAssociatedCompanies Accounts Receivable from Assoc. Companies (146) |
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45 |
FuelStock Fuel Stock (151) |
227 |
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46 |
FuelStockExpensesUndistributed Fuel Stock Expenses Undistributed (152) |
227 |
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47 |
Residuals Residuals (Elec) and Extracted Products (153) |
227 |
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48 |
PlantMaterialsAndOperatingSupplies Plant Materials and Operating Supplies (154) |
227 |
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49 |
Merchandise Merchandise (155) |
227 |
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50 |
OtherMaterialsAndSupplies Other Materials and Supplies (156) |
227 |
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51 |
NuclearMaterialsHeldForSale Nuclear Materials Held for Sale (157) |
202/227 |
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52 |
AllowanceInventoryAndWithheld Allowances (158.1 and 158.2) |
228 |
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53 |
NoncurrentPortionOfAllowances (Less) Noncurrent Portion of Allowances |
228 |
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54 |
StoresExpenseUndistributed Stores Expense Undistributed (163) |
227 |
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55 |
GasStoredCurrent Gas Stored Underground - Current (164.1) |
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56 |
LiquefiedNaturalGasStoredAndHeldForProcessing Liquefied Natural Gas Stored and Held for Processing (164.2-164.3) |
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57 |
Prepayments Prepayments (165) |
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58 |
AdvancesForGas Advances for Gas (166-167) |
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59 |
InterestAndDividendsReceivable Interest and Dividends Receivable (171) |
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60 |
RentsReceivable Rents Receivable (172) |
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61 |
AccruedUtilityRevenues Accrued Utility Revenues (173) |
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62 |
MiscellaneousCurrentAndAccruedAssets Miscellaneous Current and Accrued Assets (174) |
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63 |
DerivativeInstrumentAssets Derivative Instrument Assets (175) |
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64 |
DerivativeInstrumentAssetsLongTerm (Less) Long-Term Portion of Derivative Instrument Assets (175) |
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65 |
DerivativeInstrumentAssetsHedges Derivative Instrument Assets - Hedges (176) |
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66 |
DerivativeInstrumentAssetsHedgesLongTerm (Less) Long-Term Portion of Derivative Instrument Assets - Hedges (176) |
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67 |
CurrentAndAccruedAssets Total Current and Accrued Assets (Lines 34 through 66) |
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68 |
DeferredDebitsAbstract DEFERRED DEBITS |
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69 |
UnamortizedDebtExpense Unamortized Debt Expenses (181) |
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70 |
ExtraordinaryPropertyLosses Extraordinary Property Losses (182.1) |
230a |
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71 |
UnrecoveredPlantAndRegulatoryStudyCosts Unrecovered Plant and Regulatory Study Costs (182.2) |
230b |
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72 |
OtherRegulatoryAssets Other Regulatory Assets (182.3) |
232 |
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73 |
PreliminarySurveyAndInvestigationCharges Prelim. Survey and Investigation Charges (Electric) (183) |
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74 |
PreliminaryNaturalGasSurveyAndInvestigationChargesAndOtherPreliminarySurveyAndInvestigationCharges Preliminary Natural Gas Survey and Investigation Charges 183.1) |
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75 |
OtherPreliminarySurveyAndInvestigationCharges Other Preliminary Survey and Investigation Charges (183.2) |
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76 |
ClearingAccounts Clearing Accounts (184) |
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77 |
TemporaryFacilities Temporary Facilities (185) |
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78 |
MiscellaneousDeferredDebits Miscellaneous Deferred Debits (186) |
233 |
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79 |
DeferredLossesFromDispositionOfUtilityPlant Def. Losses from Disposition of Utility Plt. (187) |
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80 |
ResearchDevelopmentAndDemonstrationExpenditures Research, Devel. and Demonstration Expend. (188) |
352 |
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81 |
UnamortizedLossOnReacquiredDebt Unamortized Loss on Reaquired Debt (189) |
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82 |
AccumulatedDeferredIncomeTaxes Accumulated Deferred Income Taxes (190) |
234 |
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83 |
UnrecoveredPurchasedGasCosts Unrecovered Purchased Gas Costs (191) |
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84 |
DeferredDebits Total Deferred Debits (lines 69 through 83) |
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85 |
AssetsAndOtherDebits TOTAL ASSETS (lines 14-16, 32, 67, and 84) |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
COMPARATIVE BALANCE SHEET (LIABILITIES AND OTHER CREDITS) |
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Line No. |
Title of Account (a) |
Ref. Page No. (b) |
Current Year End of Quarter/Year Balance (c) |
Prior Year End Balance 12/31 (d) |
1 |
ProprietaryCapitalAbstract PROPRIETARY CAPITAL |
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2 |
CommonStockIssued Common Stock Issued (201) |
250 |
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3 |
PreferredStockIssued Preferred Stock Issued (204) |
250 |
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4 |
CapitalStockSubscribed Capital Stock Subscribed (202, 205) |
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5 |
StockLiabilityForConversion Stock Liability for Conversion (203, 206) |
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6 |
PremiumOnCapitalStock Premium on Capital Stock (207) |
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7 |
OtherPaidInCapital Other Paid-In Capital (208-211) |
253 |
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8 |
InstallmentsReceivedOnCapitalStock Installments Received on Capital Stock (212) |
252 |
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9 |
DiscountOnCapitalStock (Less) Discount on Capital Stock (213) |
254 |
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10 |
CapitalStockExpense (Less) Capital Stock Expense (214) |
254b |
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11 |
RetainedEarnings Retained Earnings (215, 215.1, 216) |
118 |
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12 |
UnappropriatedUndistributedSubsidiaryEarnings Unappropriated Undistributed Subsidiary Earnings (216.1) |
118 |
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13 |
ReacquiredCapitalStock (Less) Reaquired Capital Stock (217) |
250 |
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14 |
NoncorporateProprietorship Noncorporate Proprietorship (Non-major only) (218) |
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15 |
AccumulatedOtherComprehensiveIncome Accumulated Other Comprehensive Income (219) |
122(a)(b) |
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16 |
ProprietaryCapital Total Proprietary Capital (lines 2 through 15) |
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17 |
LongTermDebtAbstract LONG-TERM DEBT |
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18 |
Bonds Bonds (221) |
256 |
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19 |
ReacquiredBonds (Less) Reaquired Bonds (222) |
256 |
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20 |
AdvancesFromAssociatedCompanies Advances from Associated Companies (223) |
256 |
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21 |
OtherLongTermDebt Other Long-Term Debt (224) |
256 |
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22 |
UnamortizedPremiumOnLongTermDebt Unamortized Premium on Long-Term Debt (225) |
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23 |
UnamortizedDiscountOnLongTermDebtDebit (Less) Unamortized Discount on Long-Term Debt-Debit (226) |
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24 |
LongTermDebt Total Long-Term Debt (lines 18 through 23) |
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25 |
OtherNoncurrentLiabilitiesAbstract OTHER NONCURRENT LIABILITIES |
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26 |
ObligationsUnderCapitalLeaseNoncurrent Obligations Under Capital Leases - Noncurrent (227) |
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27 |
AccumulatedProvisionForPropertyInsurance Accumulated Provision for Property Insurance (228.1) |
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28 |
AccumulatedProvisionForInjuriesAndDamages Accumulated Provision for Injuries and Damages (228.2) |
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29 |
AccumulatedProvisionForPensionsAndBenefits Accumulated Provision for Pensions and Benefits (228.3) |
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30 |
AccumulatedMiscellaneousOperatingProvisions Accumulated Miscellaneous Operating Provisions (228.4) |
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31 |
AccumulatedProvisionForRateRefunds Accumulated Provision for Rate Refunds (229) |
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32 |
LongTermPortionOfDerivativeInstrumentLiabilities Long-Term Portion of Derivative Instrument Liabilities |
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33 |
LongTermPortionOfDerivativeInstrumentLiabilitiesHedges Long-Term Portion of Derivative Instrument Liabilities - Hedges |
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34 |
AssetRetirementObligations Asset Retirement Obligations (230) |
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35 |
OtherNoncurrentLiabilities Total Other Noncurrent Liabilities (lines 26 through 34) |
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36 |
CurrentAndAccruedLiabilitiesAbstract CURRENT AND ACCRUED LIABILITIES |
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37 |
NotesPayable Notes Payable (231) |
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38 |
AccountsPayable Accounts Payable (232) |
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39 |
NotesPayableToAssociatedCompanies Notes Payable to Associated Companies (233) |
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40 |
AccountsPayableToAssociatedCompanies Accounts Payable to Associated Companies (234) |
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41 |
CustomerDeposits Customer Deposits (235) |
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42 |
TaxesAccrued Taxes Accrued (236) |
262 |
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43 |
InterestAccrued Interest Accrued (237) |
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44 |
DividendsDeclared Dividends Declared (238) |
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45 |
MaturedLongTermDebt Matured Long-Term Debt (239) |
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46 |
MaturedInterest Matured Interest (240) |
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47 |
TaxCollectionsPayable Tax Collections Payable (241) |
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48 |
MiscellaneousCurrentAndAccruedLiabilities Miscellaneous Current and Accrued Liabilities (242) |
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49 |
ObligationsUnderCapitalLeasesCurrent Obligations Under Capital Leases-Current (243) |
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50 |
DerivativesInstrumentLiabilities Derivative Instrument Liabilities (244) |
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51 |
LongTermPortionOfDerivativeInstrumentLiabilities (Less) Long-Term Portion of Derivative Instrument Liabilities |
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52 |
DerivativeInstrumentLiabilitiesHedges Derivative Instrument Liabilities - Hedges (245) |
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53 |
LongTermPortionOfDerivativeInstrumentLiabilitiesHedges (Less) Long-Term Portion of Derivative Instrument Liabilities-Hedges |
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54 |
CurrentAndAccruedLiabilities Total Current and Accrued Liabilities (lines 37 through 53) |
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55 |
DeferredCreditsAbstract DEFERRED CREDITS |
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56 |
CustomerAdvancesForConstruction Customer Advances for Construction (252) |
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57 |
AccumulatedDeferredInvestmentTaxCredits Accumulated Deferred Investment Tax Credits (255) |
266 |
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58 |
DeferredGainsFromDispositionOfUtilityPlant Deferred Gains from Disposition of Utility Plant (256) |
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59 |
OtherDeferredCredits Other Deferred Credits (253) |
269 |
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60 |
OtherRegulatoryLiabilities Other Regulatory Liabilities (254) |
278 |
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61 |
UnamortizedGainOnReacquiredDebt Unamortized Gain on Reaquired Debt (257) |
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62 |
AccumulatedDeferredIncomeTaxesAcceleratedAmortizationProperty Accum. Deferred Income Taxes-Accel. Amort.(281) |
272 |
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63 |
AccumulatedDeferredIncomeTaxesOtherProperty Accum. Deferred Income Taxes-Other Property (282) |
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64 |
AccumulatedDeferredIncomeTaxesOther Accum. Deferred Income Taxes-Other (283) |
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65 |
DeferredCredits Total Deferred Credits (lines 56 through 64) |
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66 |
LiabilitiesAndOtherCredits TOTAL LIABILITIES AND STOCKHOLDER EQUITY (lines 16, 24, 35, 54 and 65) |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART IV: STATEMENT OF INCOME FOR THE YEAR |
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Total (d to k) | Electric Utility | Gas Utility | Other Utility | |||||||
Line No. |
Account (a) |
Total Current Year to Date Balance for Quarter/Year (b) |
Total Prior Year to Date Balance for Quarter/Year (c) |
Total Current Year to Date Balance for Quarter/Year (d) |
Total Prior Year to Date Balance for Quarter/Year (e) |
Total Current Year to Date Balance for Quarter/Year (f) |
Total Prior Year to Date Balance for Quarter/Year (g) |
Total Current Year to Date Balance for Quarter/Year (h) |
Total Prior Year to Date Balance for Quarter/Year (i) |
Account (j) |
1 |
UtilityOperatingIncomeAbstract UTILITY OPERATING INCOME |
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2 |
OperatingRevenues Operating Revenues (400) |
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400 |
3 |
OperatingExpensesAbstract Operating Expenses |
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4 |
OperationExpense Operating Expenses (401) |
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401 |
5 |
MaintenanceExpense Maintenance Expenses (402) |
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402 |
6 |
DepreciationExpense Depreciation Expense (403) |
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403 |
7 |
DepreciationExpenseForAssetRetirementCosts Depreciation Expense for Asset Retirement Costs (403.1) |
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403.1 |
8 |
AmortizationAbstract Amortization Expense (Specify by account) |
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AmortizationExpense Amorization Expense |
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404-405 |
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10 |
RegulatoryDebits Regulatory Debits (407.3) |
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407.3 |
11 |
RegulatoryCredits (Less) Regulatory Credits (407.4) |
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407.4 |
12 |
TaxesOtherThanIncomeTaxesUtilityOperatingIncome Taxes Other Than Income Taxes (408.1) |
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408.1 |
13 |
IncomeTaxesOperatingIncome Federal Income Taxes (409.1) |
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409.1 |
14 |
IncomeTaxesUtilityOperatingIncomeOther Other Income Taxes (409.1) |
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409.1 |
15 |
ProvisionsForDeferredIncomeTaxesUtilityOperatingIncome Provision for Deferred Income Taxes (410.1) |
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410.1 |
16 |
ProvisionForDeferredIncomeTaxesCreditOperatingIncome Provision for Deferred Income Taxes Credit (411.1) |
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411.1 |
17 |
InvestmentTaxCreditAdjustments Investment Tax Credit Adjustments - Net (411.4) |
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411.4 |
18 |
GainsFromDispositionOfPlant Gains from Disposition of Utility Plant (411.6) |
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411.6 |
19 |
LossesFromDispositionOfServiceCompanyPlant Losses from Disposition of Utility Plant (411.7) |
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411.7 |
20 |
GainsFromDispositionOfAllowances Gains from Disposition of Allowances (411.8) |
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411.8 |
21 |
LossesFromDispositionOfAllowances Losses from Disposition of Allowances (411.9) |
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411.9 |
22 |
AccretionExpense Accretion Expense (411.10) |
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411.10 |
23 |
UtilityOperatingExpenses TOTAL UTILITY OPERATING EXPENSES (Enter Total of lines 4 thru 22) |
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24 |
NetUtilityOperatingIncome Net Utility Operating Income (Enter total of line 02 less 23) |
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25 |
OtherIncomeAndDeductionsAbstract OTHER INCOME AND DEDUCTIONS |
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26 |
OtherIncomeAbstract Other Income: |
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27 |
NonUtilityOperatingIncome Nonutilty Operating Income (415-418.1) |
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415-418.1 |
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28 |
InterestAndDividendIncome Interest and Dividend Income (419) |
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419 |
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29 |
AllowanceForOtherFundsUsedDuringConstruction Allowance for Other Funds Used During Construction (419.1) |
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419.1 |
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30 |
MiscellaneousNonoperatingIncome Miscellaneous Nonoperating Income (421) |
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421 |
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31 |
GainOnDispositionOfProperty Gain on Disposition of Property (421.1) |
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421.1 |
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32 |
OtherIncome TOTAL OTHER INCOME (Enter Total of lines 27 thru 31) |
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33 |
OtherIncomeDeductionsAbstract Other Income Deductions: |
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34 |
LossOnDispositionOfProperty Loss on Disposition of Property (421.2) |
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421.2 |
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35 |
MiscellaneousAmortization Miscellaneous Amortization (425) |
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425 |
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36 |
MiscellaneousIncomeDeductions Miscellaneous Income Deductions (426.1 - 426.5) |
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426.1-426.5 |
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37 |
OtherIncomeDeductions TOTAL Other Income Deductions (Total of lines 34 thru 36) |
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38 |
TaxesApplicableToOtherIncomeAndDeductionsAbstract Taxes Applicable to Other Income and Deductions: |
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39 |
TaxesOtherThanIncomeTaxesOtherIncomeAndDeductions Taxes Other Than Income Taxes (408.2) |
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408.2 |
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40 |
IncomeTaxesFederal Federal Income Taxes (409.2) |
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409.2 |
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41 |
IncomeTaxesOther Other Income Taxes (409.2) |
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409.2 |
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42 |
ProvisionForDeferredIncomeTaxesOtherIncomeAndDeductions Provision for Deferred Income Taxes (410.2) |
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410.2 |
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43 |
ProvisionForDeferredIncomeTaxesCreditOtherIncomeAndDeductions Provision for Deferred Income (411.2) |
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411.2 |
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44 |
InvestmentTaxCreditAdjustmentsNonutilityOperations Investment Tax Credit Adjustments - Net (411.5) |
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411.5 |
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45 |
InvestmentTaxCredits Investment Tax Credits (420) |
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420 |
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46 |
TaxesOnOtherIncomeAndDeductions TOTAL TAXES APPLICABLE TO OTHER INCOME AND DEDUCTIONS (Enter total of lines 39 thru 45) |
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47 |
NetOtherIncomeAndDeductions Net Other Income and Deductions (Enter total of line 32 less 37 and 46) |
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48 |
InterestChargesAbstract INTEREST CHARGES |
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49 |
InterestOnLongTermDebt Interest on Long-Term Debt (427) |
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427 |
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50 |
AmortizationOfDebtDiscountAndExpense Amortization of Debt Discount and Expense (428) |
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428 |
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51 |
AmortizationOfLossOnReacquiredDebt Amortization of Loss on Reaquired Debt (428.1) |
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428.1 |
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52 |
AmortizationOfPremiumOnDebtCredit Amortization of Premium on Debt - Credit (429) |
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429 |
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53 |
AmortizationOfGainOnReacquiredDebtCredit Amortization of Gain on Reaquired Debt - Credit (429.1) |
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429.1 |
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54 |
InterestOnDebtToAssociatedCompanies Interest on Debt to Associated Companies (430) |
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430 |
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55 |
OtherInterestExpense Other Interest Expense (431) |
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431 |
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56 |
AllowanceForBorrowedFundsUsedDuringConstructionCredit Allowance for Borrowed Funds Used During Construction - Credit (432) |
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432 |
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57 |
NetInterestCharges Net Interest Charge (Enter total of lines 49 thru 56) |
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58 |
IncomeBeforeExtraordinaryItems Income Before Extraordinary Items (Enter total of lines 24 and 47, less 57) |
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59 |
ExtraordinaryItemsAbstract EXTRAORDINARY ITEMS |
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60 |
ExtraordinaryIncome Extraordinary Income (434) |
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434 |
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61 |
ExtraordinaryDeductions Extraordinary Deductions (435) |
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435 |
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62 |
NetExtraordinaryItems Net Extraordinary Items (Enter total of line 60 less 61) |
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63 |
IncomeTaxesExtraordinaryItems Income Taxes - Federal and Other (409.3) |
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409.3 |
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64 |
ExtraordinaryItemsAfterTaxes Extraordinary Items After Taxes (Enter total of line 62 less 63) |
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65 |
NetIncomeLoss Net Income (Enter total of lines 58 and 64) |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART V: STATEMENT OF RETAINED EARNINGS |
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Line No. |
Item (a) |
Contra Primary Account Affected (b) |
Amount (c) |
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UnappropriatedRetainedEarningsAbstract UNAPPROPRIATED RETAINED EARNINGS (216) |
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1 |
UnappropriatedRetainedEarnings Balance Beginning of Year |
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2 |
AdjustmentsToRetainedEarningsAbstract Adjustments to Retained Earnings (Account 439) |
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3 |
AdjustmentsToRetainedEarningsCreditAbstract Adjustments to Retained Earnings Credit |
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3.1 |
AdjustmentsToRetainedEarningsCreditContraPrimaryAccountAffected Adjustment 1 |
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4 |
AdjustmentsToRetainedEarningsCredit Total Adjustments to Retained Earnings Credit |
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5 |
AdjustmentsToRetainedEarningsDebitAbstract Adjustments to Retained Earnings Debit |
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5.1 |
AdjustmentsToRetainedEarningsDebitContraPrimaryAccountAffected Adjustment 2 |
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6 |
AdjustmentsToRetainedEarningsDebit Total Adjustments to Retained Earnings Debit |
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7 |
BalanceTransferredFromIncome Balance Transferred from Income (Account 433) |
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8 |
AppropriationsOfRetainedEarningsAbstract Appropriations of Retained Earnings (Acct. 436) |
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8.1 |
AppropriationsOfRetainedEarningsContraPrimaryAccountAffected Adjustment 1 |
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8.2 |
AppropriationsOfRetainedEarningsContraPrimaryAccountAffected Adjustment 2 |
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9 |
AppropriationsOfRetainedEarnings Total Appropriations of Retained Earnings |
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10 |
DividendsDeclaredPreferredStockAbstract Dividends Declared - Preferred Stock (Account 437) |
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11 |
DividendsDeclaredPreferredStock Dividends Declared - Preferred Stock |
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12 |
DividendsDeclaredCommonStockAbstract Dividends Declared - Common Stock (Account 438) |
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12.1 |
DividendsDeclaredCommonStockContraPrimaryAccountAffected Common stock dividends |
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13 |
DividendsDeclaredCommonStock Dividends Declared - Common Stock |
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14 |
UnappropriatedRetainedEarnings Balance at End of Year (Enter total of lines 01 thru 13) |
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15 |
AppropriatedRetainedEarningsAbstract APPROPRIATED RETAINED EARNINGS (215) State below balance and purpose of each reserved and appropriated retained earnings (amount) at end of year. Give accounting entries for any applications of retained earnings during the year. |
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19 |
AppropriatedRetainedEarnings TOTAL APPROPRIATED RETAINED YEARS (Enter total of lines 15 thru 18) |
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20 |
AppropriatedRetainedEarningsAmortizationReserveFederal TOTAL APPROPRIATED RETAINED YEARS - AMORTIZATION RESERVE, FEDERAL (215.1) |
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21 |
AppropriatedRetainedEarningsIncludingReserveAmortization TOTAL APPROPRIATED RETAINED YEARS (215, 215.1) (Enter total of lines 19 and 20) |
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22 |
RetainedEarnings TOTAL APPROPRIATED RETAINED YEARS (215, 215.1, 216) (Enter total of lines 14 and 21) |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART VI: STATEMENT OF CASH FLOWS |
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Line No. |
Description (See Instructions for Explanation of Codes) (a) |
Current Year Amount (b) |
Previous Year Amount (c) |
1 |
NetCashFlowFromOperatingActivitiesAbstract Net Cash Flow from Operating Activities: |
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2 |
NetIncomeLoss Net Income (Line 65(b) on page 8) |
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3 |
NoncashChargesCreditsToIncomeAbstract Noncash Charges (Credits) to Income: |
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4 |
DepreciationAndDepletion Depreciation and Depletion |
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5 |
NoncashAdjustmentsToCashFlowsFromOperatingActivities Amortization of (Specify) |
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5.1 |
NoncashAdjustmentsToCashFlowsFromOperatingActivitiesDescription Amortization of Debt Discount and Expense |
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8 |
DeferredIncomeTaxesNet Deferred Income Taxes (Net) In |
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9 |
InvestmentTaxCreditAdjustmentsNet Investment Tax Credit Adjustments (Net) |
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10 |
NetIncreaseDecreaseInReceivablesOperatingActivities Net (Increase) Decrease in Receivables |
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11 |
NetIncreaseDecreaseInInventoryOperatingActivities Net (Increase) Decrease in Inventory |
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12 |
NetIncreaseDecreaseInAllowancesInventoryOperatingActivities Net (Increase) Decrease in Allowances Inventory |
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13 |
NetIncreaseDecreaseInPayablesAndAccruedExpensesOperatingActivities Net Increase (Decrease) in Payables and Accrued Expenses |
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14 |
NetIncreaseDecreaseInOtherRegulatoryAssetsOperatingActivities Net (Increase) Decrease in Other Regulatory Assets |
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15 |
NetIncreaseDecreaseInOtherRegulatoryLiabilitiesOperatingActivities Net Increase (Decrease) in Other Regulatory Liabilities |
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16 |
AllowanceForOtherFundsUsedDuringConstructionOperatingActivities (Less) Allowance for Other Funds Used During Construction |
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17 |
UndistributedEarningsFromSubsidiaryCompaniesOperatingActivities (Less) Undistributed Earnings from Subsidiary Companies |
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18 |
OtherAdjustmentsToCashFlowsFromOperatingActivities Other: |
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18.1 |
OtherAdjustmentsToCashFlowsFromOperatingActivitiesDescription Net (Increase) Decrease in Deferred Charges |
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18.2 |
OtherAdjustmentsToCashFlowsFromOperatingActivitiesDescription Net Increase (Decrease) in Other Noncurrent Liabilities |
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22 |
NetCashFlowFromOperatingActivities Net Cash Provided by (Used in) Operating Activities (Total of Lines 2 thru 21) |
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24 |
CashFlowsFromInvestmentActivitiesAbstract Cash Flows from Investment Activities: |
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25 |
ConstructionAndAcquisitionOfPlantIncludingLandAbstract Construction and Acquisition of Plant (including land): |
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26 |
GrossAdditionsToUtilityPlantLessNuclearFuelInvestingActivities Gross Additions to Utility Plant (less nuclear fuel) |
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27 |
GrossAdditionsToNuclearFuelInvestingActivities Gross Additions to Nuclear Fuel |
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28 |
GrossAdditionsToCommonUtilityPlantInvestingActivities Gross Additions to Common Utility Plant |
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29 |
GrossAdditionsToNonutilityPlantInvestingActivities Gross Additions to Nonutility Plant |
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30 |
AllowanceForOtherFundsUsedDuringConstructionInvestingActivities (Less) Allowance for Other Funds Used During Construction |
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31 |
OtherConstructionAndAcquisitionOfPlantInvestmentActivities Other: |
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31.1 |
OtherConstructionAndAcquisitionOfPlantInvestmentActivitiesDescription Other |
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31.2 |
OtherConstructionAndAcquisitionOfPlantInvestmentActivitiesDescription Cost of Removal |
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34 |
CashOutflowsForPlant Cash Outflows for Plant (Total of lines 26 thru 33) |
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36 |
AcquisitionOfOtherNoncurrentAssets Acquisition of Other Noncurrent Assets (d) |
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37 |
ProceedsFromDisposalOfNoncurrentAssets Proceeds from Disposal of Noncurrent Assets (d) |
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39 |
InvestmentsInAndAdvancesToAssociatedAndSubsidiaryCompanies Investments in and Advances to Assoc. and Subsidiary Companies |
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40 |
ContributionsAndAdvancesFromAssociatedAndSubsidiaryCompanies Contributions and Advances from Assoc. and Subsidiary Companies |
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43 |
DispositionOfInvestmentsInAndAdvancesToAssociatedAndSubsidiaryCompanies Disposition of Investments in (and Advances to) Associated and Subsidiary Companies |
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44 |
PurchaseOfInvestmentSecurities Purchase of Investment Securities (a) |
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45 |
ProceedsFromSalesOfInvestmentSecurities Proceeds from Sales of Investment Securities (a) |
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46 |
LoansMadeOrPurchased Loans Made or Purchased |
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47 |
CollectionsOnLoans Collections on Loans |
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49 |
NetIncreaseDecreaseInReceivablesInvestingActivities Net (increase) Decrease in Receivables |
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50 |
NetIncreaseDecreaseInInventoryInvestingActivities Net (increase) Decrease in Inventory |
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51 |
NetIncreaseDecreaseInAllowancesHeldForSpeculationInvestingActivities Net (increase) Decrease in Allowances Held for Speculation |
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52 |
NetIncreaseDecreaseInPayablesAndAccruedExpensesInvestingActivities Net Increase (Decrease) in Payables and Accrued Expenses |
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53 |
OtherAdjustmentsToCashFlowsFromInvestmentActivities Other: |
||
53.1 |
OtherAdjustmentsToCashFlowsFromInvestmentActivitiesDescription Net Increase (Decrease) in Additional Paid in Capital |
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53.2 |
OtherAdjustmentsToCashFlowsFromInvestmentActivitiesDescription Net (Increase) Decrease in Temporary Investments |
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57 |
CashFlowsProvidedFromUsedInInvestmentActivities Net Cash Provided by (Used in) Investing Activities (Total of lines 34 thru 55) |
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59 |
CashFlowsFromFinancingActivitiesAbstract Cash Flows from Financing Activities: |
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60 |
ProceedsFromIssuanceAbstract Proceeds from Issuance of: |
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61 |
ProceedsFromIssuanceOfLongTermDebtFinancingActivities Long-Term Debt (b) |
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62 |
ProceedsFromIssuanceOfPreferredStockFinancingActivities Preferred Stock |
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63 |
ProceedsFromIssuanceOfCommonStockFinancingActivities Common Stock |
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64 |
OtherAdjustmentsToCashFlowsFromFinancingActivities Other: |
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64.1 |
OtherAdjustmentsToCashFlowsFromFinancingActivitiesDescription Contribution from parent |
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64.2 |
OtherAdjustmentsToCashFlowsFromFinancingActivitiesDescription Contribution from members |
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66 |
NetIncreaseInShortTermDebt Net Increase in Short-Term Debt (c) |
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67 |
OtherAdjustmentsByOutsideSourcesToCashFlowsFromFinancingActivities Other: |
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67.1 |
DescriptionForOtherAdjustmentsByOutsideSourcesToCashFlowsFromFinancingActivities Short-term Debt from Affiliate - Proceeds |
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67.2 |
DescriptionForOtherAdjustmentsByOutsideSourcesToCashFlowsFromFinancingActivities Short-term Debt from Affiliate - Payments |
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70 |
CashProvidedByOutsideSources Cash Provided by Outside Sources (Total 61 thru 69) |
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72 |
PaymentsForRetirementAbstract Payments for Retirement of: |
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73 |
PaymentsForRetirementOfLongTermDebtFinancingActivities Long-term Debt (b) |
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74 |
PaymentsForRetirementOfPreferredStockFinancingActivities Preferred Stock |
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75 |
PaymentsForRetirementOfCommonStockFinancingActivities Common Stock |
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76 |
OtherRetirementsOfBalancesImpactingCashFlowsFromFinancingActivities Other: |
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76.1 |
DescriptionOfOtherRetirementsImpactingCashFlowsFromFinancingActivities Reversal of retirement |
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78 |
NetDecreaseInShortTermDebt Net Decrease in Short-Term Debt (c) |
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80 |
DividendsOnPreferredStock Dividends on Preferred Stock |
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81 |
DividendsOnCommonStock Dividends on Common Stock |
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83 |
CashFlowsProvidedFromUsedInFinancingActivities Net Cash Provided by (Used in) Financing Activities (Total of lines 70 thru 81) |
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86 |
NetIncreaseDecreaseInCashAndCashEquivalents Net Increase (Decrease) in Cash and Cash Equivalents (Total of line 18, 49 and 71) |
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88 |
CashAndCashEquivalents Cash and Cash Equivalents at Beginning of Year |
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90 |
CashAndCashEquivalents Cash and Cash Equivalents at End of Year |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART VII: STATEMENT OF ACCUMULATED OTHER COMPREHENSIVE INCOME AND HEDGING ACTIVITIES |
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Line No. |
Item (a) |
Unrealized Gains and Losses on Available-For-Sale Securities (b) |
Minimum Pension Liability Adjustment (net amount) (c) |
Foreign Currency Hedges (d) |
Other Adjustments (e) |
Other Cash Flow Hedges Interest Rate Swaps (f) |
Other Cash Flow Hedges [Specify] (g) |
Totals for each category of items recorded in Account 219 (h) |
Net Income (Carried Forward from Page 6, Line 65) (i) |
Total Comprehensive Income (j) |
1 | Balance of Account 219 at Beginning of Preceding Year |
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2 | Preceding Quarter/Year to Date Reclassifications from Account 219 to Net Income |
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3 | Preceding Quarter/Year to Date Changes in Fair Value |
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4 | Total (lines 2 and 3) |
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5 | Balance of Account 219 at End of Preceding Quarter/Year |
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6 | Balance of Account 219 at Beginning of Current Year |
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7 | Current Quarter/Year to Date Reclassifications from Account 219 to Net Income |
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8 | Current Quarter/Year to Date Changes in Fair Value |
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9 | Total (lines 7 and 8) |
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10 | Balance of Account 219 at End of Current Quarter/Year |
Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART VIII: NOTES TO FINANCIAL STATEMENTS |
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The following description of the National Grid USA Companies’ Incentive Thrift Plan II (the “Plan”) provides only general information. Participants should refer to the Plan document for a more complete description of the Plan’s provisions. Plan Description The Plan was established effective September 1, 1984, pursuant to the authorization of the Board of Directors of certain subsidiaries of the New England Electric System (“NEES”), to provide a long-range program of systematic savings for eligible employees (the “Participants”). The Plan was renamed National Grid USA Companies’ Incentive Thrift Plan II upon the merger between National Grid plc and NEES on March 22, 2000, at which time NEES was renamed National Grid USA. Employees of participating subsidiaries of National Grid USA (collectively, the “Employers” or the “Company”) who are covered by a collective bargaining agreement, are eligible to participate in the Plan, have various Employers’ Matching Contribution (“Matching Contribution”) formulas, and are eligible for Matching Contributions as determined under the terms of the respective collective bargaining agreement for each participating union group. The Plan was prepared in conformity with the Employee Retirement Income Security Act of 1974 (“ERISA”). The plan administrators were changed effective May 9, 2018 from the Benefits Committee and the Investment Committee to the Retirement Plans Committee of National Grid USA Service Company, Inc. (the “Administrator”). The Board of Directors of National Grid plc has the governing authority to amend the Plan, but has delegated certain amending authority to the Board of Directors of National Grid USA Service Company, Inc. (“Service Company”). Vanguard serves as record keeper of the Plan. The Vanguard Fiduciary Trust Company is trustee and custodian for all assets and Participant accounts with the exception of the Master Trust. Wells Fargo Bank, N.A. (“Wells Fargo”) is the Master Trustee and custodian for the assets of the Plan related to investments in the Galliard Stable Value Fund. The Plan was amended November 2, 2017, effective January 1, 2017, to update the clarity of certain plan language in response to their IRS determination letter approval process. The Plan was amended on December 21, 2017, effective January 1, 2015, to confirm that, effective February 10, 2013, Discount Employer Stock Contributions are no longer made on behalf of any Participants in the Plan. The Plan was amended effective January 1, 2018 to increase the Matching Contribution for Local IBEW 0097 to 50% of the first 7% of base pay. The Plan was amended effective January 1, 2019 to adopt a safe harbor design for hardship distributions. The Plan has evaluated subsequent events for recognition or disclosure through June 24, 2019 the date the financial statements were issued.
5 National Grid USA Companies’ Incentive Thrift Plan II
Notes to Financial Statements December 31, 2018 and 2017
Contributions The Plan is a defined contribution plan. An eligible employee can make Elective Contributions through Contribution Agreements (also known as “Salary Reduction Agreements” or “Elective Contributions”) to have from 1 percent to 50 percent of their eligible compensation contributed to the Plan on their behalf. Participants can choose whether their Elective Contributions to the Plan will be calculated on their Base Pay or All Pay. Base Pay is defined as the Participant’s regular pay, prior to any salary reductions for Elective Contributions to the Plan, and any other salary reductions under the Health Care Spending Account, Health Savings Account, Dependent Care Reimbursement Account or for Company health care coverage. Base Pay excludes all other forms of compensation, including supplemental disability income, amounts deferred under other plans, reimbursements of expenses, incentive pay, commissions, options, payments made in lieu of vacation days or under short- or long-term disability provisions, awards, overtime, premiums, and any other additional forms of earnings (including Company contributions to or under any other employee benefit plan, such as health insurance, pension, or severance pay). All Pay is Base Pay, as defined above, plus overtime, commissions, premium pay, and any incentive pay. The annual employee pre-tax Elective Contributions by each Participant were subject to Internal Revenue Service (“IRS”) limits of $18,500 and $18,000 in 2018 and 2017, respectively, for employees who did not attain age 50 by the end of the plan year. For employees who did attain age 50 by the last day of the plan year, the annual maximum pre-tax contribution was $24,500 and $24,000 for 2018 and 2017, respectively. Participants can also elect to contribute up to 15 percent of their pay on an after-tax basis. The total amount of Elective Contributions (pre-tax and after-tax) may not exceed 50 percent of pay (further subject to the combined IRS annual contribution limit, adjusted periodically by law, which was $55,000 for 2018 and $54,000 for 2017). New employees with funds held under a previous employer’s qualified plan are permitted to roll over eligible amounts from such funds into the Plan. Participants may allocate their account balances in any whole percentage without restriction on the frequency of subsequent reallocations subject to investment fund short-term trading restrictions. Active or former employees who are Participants and who receive a lump sum distribution from a Company qualified pension plan (National Grid USA Companies’ Final Average Pay Pension Plan, Niagara Mohawk Pension Plan, KeySpan Retirement Plan and Retirement Income Plan of KeySpan Corporation) may roll the lump sum proceeds into the Plan to the extent the proceeds qualify for rollover under the Internal Revenue Code (“IRC”). The total amount rolled over from these Plans in 2018 was $15,164,248.
6 National Grid USA Companies’ Incentive Thrift Plan II
Notes to Financial Statements December 31, 2018 and 2017
Company Core Contributions Beginning January 1, 2011, certain union groups, pursuant to their collective bargaining agreement, have begun making Company Core Contributions for eligible Participants. The Company calculates a Participant’s Core Contribution each payroll period, based on actual compensation for that payroll period. The contribution is a percentage of pay based on the Participant’s total points as set forth in the plan documents as of January 1 of the plan year. The contribution schedule is as follows:
* Once a person reaches 30 years of service, the pay credit is reduced to 4.5 percent for certain unions. Core Contributions are based on All Pay. Participants will have an account established for them at Vanguard and Core Contributions will begin with their first paycheck after the 1st of the month following 3 months of service. These contributions will continue even if Participants do not contribute to the Plan. Union Local 97C negotiated a change to their Core Contributions during 2017. Effective May 1, 2017, their Core Contributions are based on Base Pay only, and are based on years of service as follows:
Unless elected otherwise, Core Contributions will be automatically invested in the Qualified Default Investment Alternative (“QDIA”) which is the Vanguard Target Retirement Trust Select closest to the year in which the Participant will attain age 65. Once enrolled, Participants can change the investment allocation at any time. Company Matching Contributions The Employers make Matching Contributions to the Plan in accordance with the terms of the collective bargaining agreement for each participating union group. All Employer Matching Contributions are invested in the same investments elected by the Participant for their employee contributions unless otherwise directed by the Participant. True-up based matching contributions are available to participants who are employed on the last day of the Plan year, who have not had their contributions suspended for taking a hardship withdrawal.
7 National Grid USA Companies’ Incentive Thrift Plan II
Notes to Financial Statements December 31, 2018 and 2017
Automatic Enrollment New hires are automatically enrolled 45 days after the hire date at 6 percent of their All Pay. Participant contributions will be defaulted to the Plan’s QDIA if a Participant does not select their own investments. The automatic enrollment can be reversed within the first 90 days of the enrollment date and all money in the account returned to the Participant. After the first 90 days of enrollment, the automatic enrollment can be reversed but any money already contributed to the account cannot be returned to the Participant. Automatic Increase Participants may elect an automatic increase of 1 to 3 percent of their pre-tax Contributions each year. A participant can elect to make the automatic increase effective at any time during the year and is capped at 50 percent of eligible compensation. It is not available for after-tax Contributions. Participant Accounts Each Participant’s account is credited with the Participant’s Contribution and allocations of (a) the Employer’s Matching Contributions (b) Company Core contributions (if applicable), and (c) allocations of plan earnings, net of fees. Allocations are based on Participant earnings, account balances or specific participant transactions, as defined. The benefit to which a Participant is entitled is the benefit that can be provided from the Participant’s vested account. Vesting Participants are immediately vested in their Elective Contributions. Vesting of Matching and Company Core Contributions varies and are subject to the terms of the collective bargaining agreement for each union group. Notes Receivable from Participants An employee can obtain a loan from the Plan from such Participant’s account. The minimum loan allowed is $1,000. A loan cannot exceed the lesser of 50 percent of the Participant’s account balance or $50,000. The $50,000 limit is further limited by the Participant’s highest outstanding loan balance within the twelve months preceding the loan request. The loans are secured by the balance in the Participant’s account. Loans must be repaid over a period of one to five years (up to fifteen years for the purchase of a primary residence) by means of payroll deductions. The loan interest rate is set at the time Participants apply for a loan based on the rate established by the Administrator. Interest rates at December 31, 2018 ranged from 3.25 percent to 9.25 percent. Participants who leave the Company or are on an unpaid leave of absence can continue to repay their outstanding loan balance through the remaining amortization period directly to Vanguard. A default of the loan will occur if the loan balance is not paid off by the end of the quarter following the quarter in which the missed payment was due or the loan is not paid in full by the contractual maturity date. In the event of default, the outstanding balance of the loan and any unpaid accrued interest is deemed to have been distributed to the Participant. Interest continues to be tracked following a default solely for determining the amount available for a subsequent loan. Deemed distributions are included in the Loan Fund’s investment balance until the employee has been terminated. Upon termination, the defaulted loan balance is deducted from the Plan. There were cumulative deemed distributions of $2,247,860 and $2,034,781 as of December 31, 2018 and 2017, respectively.
8 National Grid USA Companies’ Incentive Thrift Plan II
Notes to Financial Statements December 31, 2018 and 2017
Payment of Benefits Participants qualify for a distribution of their entire account balance when the Participant ends employment (including at retirement), becomes totally and permanently disabled or reaches age 59 1/2. Participants who qualify for a distribution may receive an immediate lump sum, defer payment, or receive the value of their account in cash installments. If a Participant defers receipt of benefits, their funds will remain invested in the investment funds of their choice. They may make investment transfers in the same manner as any active Participant. The Plan allows automatic lump-sum distributions if the value of the Participant’s vested account balance is less than $1,000 and the Participant is no longer employed by the Company. The Participant must consent to the distribution if the present value is more than $1,000. Unless Participants choose otherwise, their account balance remains in the Plan until they attain age 70 1/2. At that time, Participants are required to receive minimum required distributions beginning on April 1 of the following year. Participants can elect a total or partial distribution from their account(s) at any time following separation of service. In addition, Participants may: 1) receive account balances in annual, semi-annual, quarterly or monthly installments, to be paid over a period not to exceed their life expectancy. Once installments begin, the amount of each payment is determined by dividing the Participant account balance at the time of payment by the number of installments remaining to be paid; 2) receive account balances in a series of substantially equal periodic payments (paid at least annually for their life expectancy); or 3) elect to receive distributions in any amount a Participant wishes, beginning and ending at their discretion. The Plan allows Qualified Non-elective Contributions to the extent such contributions are necessary to satisfy the nondiscrimination requirement under the Internal Revenue Code (“IRC”). Following separation from service prior to age 55, a Participant may elect to receive a partial distribution from his or her account or a total distribution at any time; such Participant may also defer receipt of his or her benefit until the latest date permitted under the IRC. Forfeitures Forfeiture accounts are maintained to hold any Employer contributions and earnings thereon that were deposited as a result of a Participant’s separation from service prior to becoming fully vested. In addition, forfeitures from prior plan mergers and uncashed Participant checks are held in the Plan forfeiture accounts. As of December 31, 2018 and 2017, forfeited non-vested accounts totaled $60,421 and $11,571, respectively. These accounts may be used to reduce future Employer contributions and pay plan administration expenses as described in the plan document. During the year ended December 31, 2018, $80,981 of forfeited non-vested accounts were used to reduce Employer contributions. |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART IX: ALLOWANCES |
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Current Year | Year One | Year Two | Year Three | Future Years | Totals | ||||||||
Line No. |
Allowance Inventory (Account 158.1) (a) |
No. (b) |
Amt. (c) |
No. (d) |
Amt. (e) |
No. (f) |
Amt. (g) |
No. (h) |
Amt. (i) |
No. (j) |
Amt. (k) |
No. (l) |
Amt. (m) |
1 |
Balance-Beginning of Year |
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2 |
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3 |
Acquired During Year: |
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4 |
Issued (Less Withheld Allow) |
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5 |
Returned by EPA |
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6 |
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7 |
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8 |
IMPA3 |
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9 |
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10 |
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11 |
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12 |
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13 |
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14 |
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15 |
Total |
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16 |
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17 |
Relinquished During Year: |
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18 |
Charges to Account 509 |
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19 |
Other: |
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20 |
Allowances Used |
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20.1 |
IMPA2 |
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21 |
Cost of Sales/Transfers: |
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22 |
IMPA |
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23 |
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24 |
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25 |
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26 |
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27 |
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28 |
Total |
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29 |
Balance-End of Year |
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30 |
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31 |
Sales: |
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32 |
Net Sales Proceeds(Assoc. Co.) |
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33 |
Net Sales Proceeds (Other) |
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34 |
Gains |
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35 |
Losses |
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Allowances Withheld (Acct 158.2) |
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36 |
Balance-Beginning of Year |
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37 |
Add: Withheld by EPA |
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38 |
Deduct: Returned by EPA |
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39 |
Cost of Sales |
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40 |
Balance-End of Year |
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41 |
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42 |
Sales |
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43 |
Net Sales Proceeds (Assoc. Co.) |
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44 |
Net Sales Proceeds (Other) |
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45 |
Gains |
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46 |
Losses |
Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART X: OTHER REGULATORY ASSETS |
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Line No. |
DescriptionAndPurposeOfOtherRegulatoryAssets Description and Purpose of Other Regulatory Assets (a) |
OtherRegulatoryAssets Balance at Beginning of Year (b) |
IncreaseDecreaseInOtherRegulatoryAssets Debits (c) |
OtherRegulatoryAssetsWrittenOffAccountCharged CREDITS, Account Charged (d) |
OtherRegulatoryAssetsWrittenOffRecovered CREDITS, Amount (e) |
OtherRegulatoryAssets Balance at End of Year (f) |
1 | ||||||
2 | ||||||
3 | ||||||
4 | ||||||
5 | ||||||
6 | ||||||
7 | ||||||
44 |
Total Balance at Beginning of Current Quarter/Year |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XI: DATA ON OFFICERS AND DIRECTORS |
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Report below the title and name of the officers and directors of the respondent (company) whose salaries were $50,000 or more at the end of the report year (list officers first). If there were any changes during the year, report the title, name and address of the previous officer or director and date of change in the comments column. Designate by asterisk (*) officers who are directors; list other directors who are not officers. Report the salary (for the year) for each officer, and the fees for each director listed. |
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Line No. |
Name (a) |
Address (b) |
Number of Votes (c) |
Comments (d) |
1 | ||||
2 | ||||
3 | ||||
4 | ||||
5 | ||||
6 |
Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XII: ACCUMULATED PROVISION FOR DEPRECIATION AND AMORTIZATION OF UTILITY PLANT |
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Line No. |
Name of Utility Department (a) |
Balance at Beginning of Year (b) |
Depreciation and Amortization Accruals for Year (c) |
Net Charges for Plant Retired During Year (d) |
Other Items debit or Credit (Explain in Footnote) (e) |
Balance at End of Year (f) |
1 | ELECTRIC (110) |
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2 | Other Utility Department (119) (Specify): | |||||
3 |
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4 |
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5 | ||||||
6 |
Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XIII: CAPITAL STOCK DATA |
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Line No. |
Class and Series of Stock (a) |
Number of Shares Authorized (b) |
Par Value Per Share of Par Value Stock (c) |
Stated Value Per Share of Nonpar Stock (d) |
Outstanding Per Balance Sheet, Shares (e) |
Outstanding Per Balance Sheet, Amount (f) |
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1 |
Series A |
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2 |
Series B |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XIV: LONG-TERM DEBT DATA |
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Line No. |
ClassAndSeriesOfObligationCouponRateDescription Class and Series of Obligation (a) |
NominalDateOfIssue Nominal Date of Issue (b) |
DateOfMaturity Date of Maturity (c) |
Outstanding Per Balance Sheet (d) |
LongTermDebtInterestRate Interest % Rate (e) |
Interest, Amount (f) |
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1 | |||||||
2 | |||||||
3 | |||||||
TOTAL |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XV: OTHER REGULATORY LIABILITIES (Account 254) |
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DEBITS | ||||||
Line No. |
Description and Purpose of Other Regulatory Liabilities (a) |
Balance at Beginning of Current Quarter/Year (b) |
Account Credited (c) |
Amount (d) |
Credits (e) |
Balance at End of Current Quarter/Year (f) |
1 |
Deferred Income Taxes |
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2 |
Energy Efficiency |
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3 |
Transmission Service |
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4 |
Basic Service Admin Cost |
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5 |
Revenue Decoupling |
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6 |
Cable Facilities |
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7 |
Service Quality Penalty |
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8 |
Over Collect |
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9 |
Tax Reform - Tax Savings |
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41 | TOTAL |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XVI: ELECTRIC SALES DATA FOR THE YEAR |
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Line No. |
CLASS OF SERVICE (a) |
REVENUES (b) |
KILOWATT-HOURS (c) |
AVERAGE NUMBER OF CUSTOMERS* (d) |
1 |
Residential Sales |
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2 |
Commercial and industrial sales |
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3 |
Public street and highway lighting |
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4 |
Interdepartmental sales |
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5 |
Other sales |
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6 |
Total sales to ultimate consumers |
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7 |
Sales for resale |
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8 |
Total sales of electricity |
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9 |
Other operating revenues (specify) |
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10 |
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11 |
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12 |
Total electric operating revenues |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XVII: ELECTRIC OPERATION AND MAINTENANCE EXPENSES |
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Line No. |
ITEM (a) |
OPERATION & MAINTENANCE EXPENSES (b) |
1 |
PowerProductionExpensesAbstract Production Expenses: |
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2 |
PowerProductionExpensesSteamPower Steam generation |
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3 |
PowerProductionExpensesHydraulicPower Hydraulic generation |
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4 |
PowerProductionExpensesOtherPower Other generation |
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5 |
PurchasedPower Purchased power (including power exchanges) |
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6 |
OtherPowerSupplyExpenseExcludingPurchasedPower Other power supply expenses |
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7 |
PowerProductionExpenses Total production expenses |
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8 |
TransmissionExpenses Transmission expenses |
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9 |
DistributionExpenses Distribution expenses |
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10 |
CustomerAccountExpenses Customer accounts expenses |
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11 |
CustomerServiceAndInformationExpenses Customer service and informational expenses |
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12 |
SalesExpenses Sales expenses |
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13 |
AdministrativeAndGeneralExpenses Administrative and general expenses |
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14 |
OperationsAndMaintenanceExpensesElectric Total electric operation and maintenance expenses |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XVIII: SALES FOR RESALE |
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Line No. |
Name of Company or Public Authority (Footnote Affiliations) (a) |
FERC Rate Schedule or Tariff Number (b) |
Annual Maximum Demand (MW) (c) |
MegaWatt-hours Sold (MWH) (d) |
Revenues (e) |
1 |
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2 |
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3 |
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4 |
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5 |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XIX: PURCHASED POWER |
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Line No. |
Name of Company or Public Authority (Footnote Affiliations) (a) |
FERC Rate Schedule or Tariff Number (b) |
Annual Maximum Demand (MW) (c) |
MegaWatt-hours Sold (MWH) (d) |
Revenues (e) |
1 |
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2 |
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3 |
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4 |
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5 |
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6 |
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7 |
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8 |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XX: UTILITY PLANT DATA |
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Line No. |
Item (a) |
Balance at Beginning of Year (b) |
Additions During Year (c) |
Retirements During Year (d) |
Transfers and Adjustments (e) |
Balance at End of Year (f) |
1 |
ElectricUtilityPlantAbstract Electric utility plant |
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2 |
ElectricPlantInServiceRollforwardAbstract Electric plant in service: |
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3 |
IntangiblePlantAbstract Intangible plant |
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4 |
ProductionPlantAbstract Production Plant: |
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5 |
SteamProductionAbstract Steam production |
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6 |
HydraulicProductionAbstract Hydraulic production |
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7 |
OtherProductionAbstract Other production |
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8 |
TransmissionPlantAbstract Transmission plant |
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9 |
DistributionPlantAbstract Distribution plant |
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11 |
GeneralPlantAbstract General plant |
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12 |
ElectricPlantInServiceAbstract Total electric plant in service |
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13 |
PropertyUnderCapitalLeasesAbstract Property Under Capital Leases |
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14 |
ElectricPlantPurchasedRollforwardAbstract Electric plant purchased |
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15 |
ElectricPlantSoldRollforwardAbstract Electric plant sold |
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16 |
ElectricPlantInProcessOfReclassificationRollforwardAbstract Electric plant in process of reclassification |
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17 |
ElectricPlantLeasedToOthersRollforwardAbstract Electric plant leased to others |
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18 |
ElectricPlantHeldForFutureUseRollforwardAbstract Electric plant held for future use |
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19 |
ConstructionWorkInProgressElectricRollforwardAbstract Construction work in progress - Electric |
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20 |
ElectricPlantAcquisitionAdjustmentsRollforwardAbstract Electric plant acquisition adjustments |
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21 |
OtherElectricPlantAdjustmentsRollforwardAbstract Other Electric Plant Adjustments (explain) |
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21.1 |
OtherElectricPlantAdjustmentsRollforwardAbstract Plant 1 |
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21.2 |
OtherElectricPlantAdjustmentsRollforwardAbstract Plant 2 |
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23 |
UtilityPlantAndConstructionWorkInProgressNotIncludingOtherUtilityPlantRollforwardAbstract Total electric plant |
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24 |
OtherUtilityPlantRollforwardAbstract Plant of Other Utility Departments (specify) |
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24.1 |
OtherUtilityPlantRollforwardAbstract Plant A |
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24.2 |
OtherUtilityPlantRollforwardAbstract Plant B |
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46 |
OtherUtilityPlantAbstract Total Other Utility Plant |
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47 |
UtilityPlantAndConstructionWorkInProgressIncludingOtherElectricPlantAdjustmentsRollforwardAbstract Total Utility Plant |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XXI: FOOTNOTE DATA |
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Line No. |
Page Number (a) |
Part Number (b) |
Item Number (c) |
Column Number (d) |
Comments (e) |
1 | |||||
2 | |||||
3 |
Name of Respondent: |
This report is:
(1)
☑ An Original ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XXII: PURCHASES AND SALES OF ANCILLARY SERVICES |
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Report the amounts for each type of ancillary service shown in column (a) for the year as specified in Order No. 888 and defined in the respondents Open Access Transmission Tariff. In columns for usage, report usage-related billing determinant and the unit of measure.
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Amount Purchased for the Year | Amount Sold for the Year | ||||||
Usage - Related Billing Determinant | Usage - Related Billing Determinant | ||||||
Line No. |
Type of Ancillary Service (a) |
Number of Units (b) |
Unit of Measure (c) |
Dollar (d) |
Number of Units (e) |
Unit of Measure (f) |
Dollars (g) |
1 |
Scheduling, System Control and Dispatch |
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2 |
Reactive Supply and Voltage |
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3 |
Regulation and Frequency Response |
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4 |
Energy Imbalance |
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5 |
Operating Reserve - Spinning |
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6 |
Operating Reserve - Supplement |
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7 |
Other |
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8 |
Total (Lines 1 thru 7) |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XXIII: Monthly Transmission System Peak Load |
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Line No. |
Month (a) |
Monthly Peak MW - Total (b) |
Day of Monthly Peak (c) |
Hour of Monthly Peak (d) |
Firm Network Service for Self (e) |
Firm Network Service for Others (f) |
Long-Term Firm Point-to-point Reservations (g) |
Other Long-Term Firm Service (h) |
Short-Term Firm Point-to-point Reservation (i) |
Other Service (j) |
NAME OF SYSTEM: a1 |
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1 |
January |
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2 |
February |
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3 |
March |
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4 |
Total for Quarter 1 |
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5 |
April |
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6 |
May |
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7 |
June |
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8 |
Total for Quarter 2 |
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9 |
July |
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10 |
August |
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11 |
September |
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12 |
Total for Quarter 3 |
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13 |
October |
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14 |
November |
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15 |
December |
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16 |
Total for Quarter 4 |
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17 |
Total |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
Part XXIV: Transmission Service and Generation Interconnection Study Costs |
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Line No. |
Description (a) |
Costs Incurred During Period (b) |
Account Charged (c) |
Reimbursements Received During the Period (d) |
Account Credited With Reimbursement (e) |
Transmission Studies |
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1 | |||||
2 | |||||
3 | |||||
4 | |||||
5 | |||||
6 | |||||
7 | |||||
8 | |||||
9 | |||||
10 | |||||
11 | |||||
10 |
Total |
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Generation Studies |
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11 | |||||
12 | |||||
13 | |||||
14 | |||||
15 | |||||
16 | |||||
17 | |||||
18 | |||||
19 | |||||
20 | |||||
19 |
Total |
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20 | Grand Total |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
PART XXV: AMOUNTS INCLUDED IN ISO/RTO SETTLEMENT STATEMENTS |
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Line No. |
Description of Item(s) (a) |
Balance at End of Quarter 1 (b) |
Balance at End of Quarter 2 (c) |
Balance at End of Quarter 3 (d) |
Balance at End of Year (e) |
1 | Energy | ||||
2 | Net Purchases (Account 555) | ||||
3 | Net Sales (Account 447) |
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4 | Transmission Rights |
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5 | Ancillary Services |
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6 | Other Items (list separately) | ||||
7 |
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8 |
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9 |
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12 | TOTAL |
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Name of Respondent: |
This report is: (1) ☑ An Original (2) ☐ A Resubmission |
Date of Report: |
Year/Period of Report End of: |
ENERGY STORAGE OPERATIONS (Small Plants) |
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|||||||||
BALANCE AT BEGINNING OF YEAR | |||||||||
Line No. |
Name of the Energy Storage Project (a) |
Functional Classification (b) |
Location of the Project (c) |
Project Cost (d) |
Operations (Excluding Fuel used in Storage Operations) (e) |
Maintenance (f) |
Cost of fuel used in storage operations (g) |
Account No. 555.1, Power Purchased for Storage Operations (h) |
Other Expenses (i) |
1 |
|
|
|
|
|
|
|
|
|
2 |
|
|
|
|
|
|
|
|
|
36 | TOTAL |
|
|
|
|
|
|