U.S.DEPARTMENTOFENERGY

OFFICE OFELECTRICITYDELIVERYANDENERGYRELIABILITY

Washington,D.C.20585

OE-417

ELECTRICEMERGENCYINCIDENT ANDDISTURBANCEREPORT

OMBNo.1901-0288

ExpirationDate:03/31/2018

BurdenPerResponse:2.16hours

Revised: November 2014

......

QUESTIONS

Ifyou haveanyquestionsaboutFormOE-417 afterreading the instructions,pleasecontact Matthew Tarduogno at (202) 586-2892, or E-mail:

Foradditional informationwrite to the following address:Assistant Secretary, Office of Electricity Delivery and Energy Reliability (OE-1)1000IndependenceAve,SWWashington,DC20585

Emergency Contact:DOEOperationsCenterTelephoneNumber: (202)586-8100 FAXNumber: (202)586-8485 E-mail: .

PURPOSE

The Department of Energy(DOE), under its relevant authorities, has established mandatoryreporting requirements for electric emergency incidents and disturbances in theUnited States. DOE collects this informationfrom the electric power industry on Form OE-417 to meet its overall national securityand Department of Homeland Security’s NationalResponseFramework responsibilities. DOEwill use thedata from this form to obtain current information regarding emergency situations onU.S. electric energysupplysystems. DOE’sEnergyInformationAdministration(EIA)will use the data for reporting on electric power emergencyincidents and disturbances in monthly EIA reports.The data also may be used to develop legislative recommendations, reports to the Congress and as a basis for DOE investigations following severe, prolonged, or repeated electric power reliabilityproblems.

HOWTOSUBMIT

Online: Anonline submission should be made through the OE-417 Online System at

Instructions on how to use the online system can be accessed at:

Instructionsonhowtoreport viafacsimileortelephone areprintedon Schedule1of FormOE-417.

Fax:Ifyouexperience problemssubmitting viathe online submissionform, you mayfaxtheformtothefollowing facsimilenumber.(202)586-8485.

Telephone: If you experienceproblems submittingviaonline, orfax,please call and report the information to the following telephone number: (202) 586-8100.This telephone number is staffed 24/7.

COPIESOFSURVEYFORMSAND

INSTRUCTIONS

Copiesinportabledocument format(PDF)andwordformat (DOC) are available on OE’swebsite. You may access the materialsbyfollowingthesteps:

Go to OE’s ElectricEmergencyIncidentAnd DisturbanceReportwebsite at

 Click on the hypertext link forthe Form or for the Instructions.

GENERALINSTRUCTIONS

FormOE-417ismandatorypursuanttoSection13(b)ofthe

Federal Energy Administration Act of 1974 (Public Law

93-275). The formisconsidered an emergency form filedonly when at least one of the criteria for filingtheform,onpageone ofthe form,ismet.

The FormOE-417 alerts theDepartment of Energyto electrical emergency incidents and disruptions.The ability of DOE to quickly respond to energy emergencies that mayimpact the Nation’s infrastructure and to help alleviate or prevent further disruptions depends on industry’s prompt response. As such, the initial timelyfiling of this form is of paramount importance. Manyelectric utilities have received approval to operate the Balancing Authorityand/or ReliabilityCoordinator functions from the North American Electric ReliabilityCorporation (NERC). In addition, electric utilities alsohave computer centers and physical securitydepartments. (Regional Transmission Organizations (RTOs) and Independent System Operators (ISOs) are established bythe Federal EnergyRegulatory Commission and are considered electric utilities.)

WHOMUSTSUBMIT

1. BalancingAuthorities (BA), ReliabilityCoordinators (RC), some Generating Entities, and Electric Utilities, including thoselocated PuertoRico, the Virgin Islands, Guam or other U.S. possessions areresponsible for completing all relevant portions of the form when any of the criteria are met requiring the filing of Form OE-417.

a. All electric utilities must provide information to a BAwhen necessaryfor their reporting obligations and file Form

OE-417 in caseswhere a BA will not be involved.

Note:thisincludesU.S.basedutilitiesforwhom balancing authorityoversight responsibilitiesare handled byelectrical systems locatedacross an international border.

b. Foreign utilities,handling U.S. balancing authority responsibilities,may wishto file this information voluntarilyto the DOE. AnyU.S.-based utility in this

international situation must inform DOE that these filings will come from a foreign-based electric system.

2. Computer centers andphysical securitydepartmentsof electric utilitiesmayfile directlywith OE on the selected areas identifiedin the Form OE-417instructions.

Note: This information does nothave to flowdirectlyinto the officials running the BA and RC and thenbe forwardedtoDOE.

3. Jointfiling: BAs’ and RCs’ can file notifications for joint filings. BAs can also file a combined report with electric utilitiesunder their electrical oversight or all information is passed to the BAwho then files a single report.

Note: OE requests that it benotified of those entities that plan to file jointlyand of thoseelectric utilitiesthatwant to file separately.(Notification can be doneat the time of the filing.)

FUNCTIONALRESPONSIBLITYOFFILING ENTITIES

Allentitiesmustfileonalllineitemsexceptforthefollowing exclusions:

ElectricUtilities- Thereare noexclusionsallowed,all itemsneedtobeaddressed.

BalancingAuthority (BA)-Reportingonthecountof customers(andtheamountofload,ifthe BAisbasedata Regional Transmission OrganizationorIndependent SystemOperator)isrequiredonlyforthe FinalReport.A BAlocatedinverticallyintegratedutilities,amunicipality, federalutility,state-ownedorcooperativewillreportthe amountofloadandcountsofcustomers.

ReliabilityCoordinators(RC)-Reportingonthecountof customersisexcluded. IftheRChasanagreementwith theRegionalTransmissionOrganizationto supplythe customercounts,theRCcan supplythisinformation.

GeneratingEntities-Entitieswhohave300MWormore ofgenerationdedicatedtooneormoreend-usecustomers (e.g.retailorindustrialcustomers)arerequiredtofilethe formundercriterionnumber5.

 LocalUtilitiesinAlaska,Hawaii,PuertoRico,theU.S.

VirginIslands,andtheU.S.Territories- Ifthelocal electricalsystemislessthan300MW,thenonlyfileif criteria1,2,3or4aremet.

Computer,telecommunication,andphysicalsecurity officesthatsupporttheBA,RC,andelectricutilityorare locatedwithintheentity- Thesesupportcentersoroffices canfileinformation,inlieu oftheemergencyoffices,on criteria1,2,9or10indirectsubmissionstoDOE.These supportcentersorofficeswilladdressnootherincident types.

WHENTOSUBMIT

FormOE-417isconsideredanemergencyform. Schedule1 andlines13-17inSchedule2of the form must be submitted to theDOEonly whenatleast oneof the twelvecriteriaon page one of the form is met. Depending on the nature of the situation,theFormOE-417mustbefiledeitherwithinonehour

orsixhoursoftheincident.

Criteriafor Filing:

WithinOneHour ofIncident:Schedule1 and lines 13-17 of Schedule2 must befiled ifoneor moreofthe followingcriteria are met

1.Physical attack that causes major interruptions or impacts to critical infrastructure facilities or to operations

2.Cyber event that causes interruptions of electrical system operations

3.Complete operational failure or shut-downof the transmission and/or distribution electrical system

4.Electrical System Separation (Islanding)where part or parts of a power gridremain(s) operational inan otherwise blacked out area orwithin thepartial failureof an integrated electrical system

5.Uncontrolledlossof300Megawatts(MW)ormoreoffirm systemloadsformorethan15minutesfromasingle incident

6.Loadsheddingof100MWormoreimplementedunder emergencyoperationalpolicy

7. System-widevoltagereductionsof3percentormore

8.Publicappealtoreducetheuseofelectricityforpurposes ofmaintainingthecontinuityoftheelectricpowersystem

Note:Iftheincidentordisturbanceishavingacriticalimpact onoperational events,respondentsmustbalancetheir operationalrequirementswiththismandatoryreporting requirement. Insuchinstances,telephonenotificationtothe DOEEmergencyOperationsCenter(202-586-8100)is acceptable,pendingawrittensubmissionofthecompleted form.

WithinSixHoursofIncident:Schedule1andlines13-17of Schedule2 mustbefiledifoneormoreofthefollowingcriteria aremetandnoneoftheeightcriteriaaboveapply

9.Physicalattackthatcouldpotentiallyimpactelectricpower system adequacy or reliability;or vandalismwhich targets componentsofanysecuritysystems

10. Cybereventthatcouldpotentiallyimpactelectricpower systemadequacyorreliability

11. Lossofelectricservice tomorethan50,000customersfor

1hourormore

12. Fuelsupply emergenciesthatcouldimpactelectricpower systemadequacyorreliability

Update Report – Schedule 1 and lines 13-17 in Schedule 2 shouldbere-submitted if significantinformation (or changes) regarding a reported incident ordisturbance becomes available aftertheinitialEmergency Alert orNormalAlertReportwas submitted. Add the new information and/or changes to the originalsubmissionandresubmit theform, checkingUpdateas theAlertStatusonline1oftheform.

Within 72 hoursofincidentaFinalReportmust be filed. An updatedFormOE-417Schedule1andallofSchedule2are both duewithin 72 hours of the incident to provide complete disruptioninformation.

 Completeand reviseSchedule1asnecessaryandcheck

“Final”asAlertStatusonline1.

On Schedule2 provide a narrative description of the event and actions taken to resolve the incident. There are several specific subject blocksof space shown on the Schedule that are provided to gather thespecific information. Include,as appropriate, the cause of the incident or disturbance, change in frequency, the equipment damaged, criticalinfrastructuresinterrupted, andeffect on other electricalsystems. Equivalent documents containing thisinformationcanbe suppliedto meetthis requirement;thisincludestheNorthAmerican ElectricReliability Corporation (NERC)EOP-004 Disturbance Report.

Prior to submitting the form to DOE using the online OE-417 system (available here: ), respondents are given a choice whether to share information collected on the OE-417 form with NERC. This choice is clearly identified in the online data collection system with an option to approve of all of the information submitted being transmitted to the North American Electric Reliability Corporation, an entity that is certified by the Federal Energy Regulatory Commission to establish and enforce reliability standards for the bulk power system. T

SPECIFICINSTRUCTIONS

Definitionsofelectricpowerindustryterminologyandother termsareavailableontheEIAwebsiteandinAppendixB,the Glossaryfortheseinstructions. Refertotheabovefordetails onaccessingtheEIAwebsite. Pleaserefertothesedefinitions beforecompletingthesurveyform.

Schedule1

CriteriaforfilingExaminetheCriteriaforFilingonpage1of theform todetermineifa formneeds tobe filledout. Checkall criteria(boxes1–12)thatapplytothesituationorincident. If any ofcriteria1-8applyto theincident,thenareportmustbe filedwithin one hour of the incident and respondents should checktheEmergencyAlertboxonLine1.Ifanyoftheboxes

9-12 are checked AND none of the boxes 1-8 havebeen checked, then the form must be filedwithin6hours ofthe incidentandrespondentsshould checkthe NormalAlertboxon theAlert Status (line1). An updatedSchedule1alsoshouldbe submittedwithallofSchedule2filledoutastheFinalReport,

72hoursaftertheincident.

Organization FilingsectionLines1–3

Line1,AlertStatus:checktheEmergencyAlertboxifat leastoneofcriteria1-8apply;checkNormalAlertboxif only one ormore of criteria9-12 apply; check Update box if this filingisa re-submissionduetoimportant changesor corrections fromthe prior submission; check Final box to indicatethisisthefinal reportsubmitted for theincident, whichshouldbefiled 72 hours aftertheincidentor disturbancewasdetectedto havemetone ofthe12criteria.

Lines 2 and 3: enter the name and address of the organizationfilingthereport.

IncidentandDisturbanceData--Completelyfilloutallparts ofLines4-13thatapply

Line4GeographicArea(s)Affected,enterthenameofthe State(s) and political subdivision(s) (i.e., city, town, county, etc.) affected by the incident. Please identify in general termsthelargestareaaffectedbytheincident. (Thisdoes not represent arequirement to list all the cities and towns ina regionorState.) Ifyouareunsurewhatgeographicareas areaffectedatthetimeoftheinitialsubmissionofSchedule

1 of the form, check the unknownbox;when the geographic locations are determined fill in this data on line 4 of the form and re-submit the form, checking the Update or Final Alert Status box on line 1, as applicable.

Line 5 Date/Time Incident Began (mm-dd-yy/hh:mm), enter the month, day, andyear, thetime,in 24-hour time format,and checktheappropriatetime zonewhen thatthe incident began.

Line 6 Date/Time Incident Ended (mm-dd-yy/hh:mm), enterthemonth,day,andyear,thetime,in24-hourtime

format,andchecktheappropriatetimezonewhentheevent no longer met any of the 12 criteria.

Line 7 Did the incident/disturbance originate in your system/area? If known, check the Yes or No box; otherwise check the unknown box. If theunknownbox is checked at the timeof initial submission,andlaterthisis determined, check the Yes orNo box as applicablewhen re- submitting the form as either an Update or Final report.

Line8EstimateofAmountofDemandInvolved(Peak Megawatts), enter theamount of the peakdemandinvolved over theentireincident. In the Emergency orNormalalert, if amount isunknownandyou are unableto makeanestimate, then leave this blank. Provide the actualnumber or an estimate in any Update noticeor Final report.

Line9EstimateofNumberofCustomersAffected,enter the totalnumber of customers affected during the entire incidentor disturbancewhichcould be more than thepeak number in thecaseofrollingblackouts.Ifthisnumber cannot beestimatedwhentheformisinitially submitted,checkthe unknownbox;when the number of customers can be estimated, fill in this data on line9 of the form and re-submit theform,checkingtheUpdateorFinalAlertStatusboxon line1, as applicable.

Line10 Type ofEmergency–checkalloptionsthatapply:

PhysicalAttack: An attack on any part ofyour system suspected of being a deliberate attack or sabotage that disrupts system operations or had the intentto harm the national securityof the UnitedStates.Note: If burglary or vandalism is suspected check Vandalism under Line12 instead.

Cyber Event:A disruption onthe electrical system and/or communication system(s) caused byunauthorized

access to computer softwareand communications systems or networks including hardware, software, and

data.

Major TransmissionSystemInterruption:An event has occurred that required action(s) to relieve voltage or loading conditions; or transmission separation or islanding has occurred.

MajorGenerationInadequacy: Insufficient generation exists to meet demand, or unexpected problems or inadequacies develop that impact operationaland/or system reliability.

MajorDistributionSystem Interruption: A significant uncontrolled loss of load has occurred, or anunexpected controlled loss of load is required.

Other: Check if the type of emergencyis known, but not one of those listed above or ifthe type of emergencyis unknown.

AdditionalInformation/Comments:Includeany description of the type of emergencywhich can be publicallyreleased.

Line 11,Cause ofIncident,check all of options that apply:

Complete Electrical SystemFailure: check if total system failureoccurred.

Electrical System Separation – Islanding:check if

Islandinghas occurred.

Inadequate Electric Resources toServeLoad: check if resource constraints have been identified or are expected to happen that limit the availabilityof power sources to serve load or if electric resourcesare not available.

Actual or PotentialAttack/Event: check iftherewas an actual attack or reason to suspect that the disruptionwas intentionally caused (or that therewas an attempt), check all of the following that may apply:

PhysicalAttack: for disruption of the system caused

byphysical means such asdestruction of propertyor an attack on any securitysystem.

Cyber Event: for disruption ofthe electrical system and/or communication system caused byunauthorized access to computer softwareand communications systems or networks including hardware, software, and data.

Vandalism -- the criteria for reporting of vandalism have been separated into twoparts.The primary requirement is defined bytheseverityof impact.

i. Report incidents that includevandalism or threat actionswhichattempt to or circumvent significant securitysystemswhich protect keycomponents used to operate the Nation’s electric power systems have to be reported at all times.

ii. A secondary reporting requirement on vandalismwill not be activated for much/allof the three-year clearance cycle. This secondaryrequirementwould be imposed

on reporting of all other types of attempts or damage inflicted upon securityprotectionwithin the electric

power industry(e.g., cutting of locks and fences), but

the obligation to report at this leveland the duration of time period for which these reports have to bewill be reviewed byDOE. If this becomes a reporting requirement, DOEwill notify the respondents that the reporting threshold has to bemet andwill identifythe reporting population for the duration of reporting at that level. The notificationwill be done bye-mail to the respondents and byanalert to critical energy infrastructure protection centers.The threator other determination that obligates’DOE to activate this lower reporting level is directlylinked to national security concerns.

TransmissionEquipment: check if failure ofor damage to transmissionequipment occurred, causingdisruption to service or reliability.

Loss ofPartorAllofa HighVoltage Substationor Switchyard: check if substations or switchyards (230+ kV AC or 200+kV DC)were adverselyaffected, causing disruption to service or reliability.

Weather or Natural Disaster: check if severeweather (thunderstorms, ice storms, etc.) or natural disasters (hurricanes, floods, tornadoes, solar activity,etc.) have caused servicedisruption.

OperatorAction(s):check if service or reliability disruption is attributable to operator action.

FuelSupplyDeficiency: check if an existing or anticipated fuelsupply emergency situationoccurred.

Unknown Cause: check if the cause of thedisruption is unknown.

Other: Check if the cause of the disruption isknown, but not oneof those listed above.

AdditionalInformation/Comments:Includeany description of the cause ofthe incidentwhich can be publicallyreleased.

Line 12,Actions Taken, check all of options that apply:

Shed Firm Load: check if, in order to maintain the bulk power system, system operators called for load shedding of 100 MW or greater of firm-load customers’demand, or if firm load customerswere disconnected from the bulk power systemduring emergencyconditions.

ReducedVoltage:check if systemwide voltage reductions of 3percent or greaterwere implemented.

Made PublicAppeals: check if public appeals to reduce the use of electricityfor purposes of maintaining the continuityof the bulk electricpower systemwere issued. Check onlyif appealswere issued during emergency conditions. Donot check if appealswere energy conservation related.

Implementeda Warning,Alert,orContingencyPlan: check if existing short-term contingency planswere implemented to reduce demand, maximize generation to maintain the bulk power system, and/or address other reliabilityissues.

Shed Interruptible Load:check if, in orderto maintain the bulk electric system, system operators called for load shedding of 100 MWor greater of pre-selected interruptible load customers’ demand, or if those interruptible customersweredisconnected from the bulk power systemduring emergencyconditions. Do not check if terminationswere under contract agreements during normaloperations.

Repaired/Restored: check if systemwas repaired or restored.

Mitigation(s) Implemented: check if mitigations for the eventwere implemented

Other: check if other actionswere taken

AdditionalInformation/Comments:Includeany description of the actions taken thatwhichbepublically released.

Foritemsthatareunknown,checkthe“unknown”box, and update that Linewhen the information becomes availableinasanupdatefilingorfinalreport.

Schedule2

WhentoFile:Lines 13-17 of Schedule2 must be filed 1 or6 hours after theincident. All of Schedule2 must be filedwithin 72 hours of the incident alongwith an updatedSchedule1.

Lines13-17NameofOfficialthatneedstobecontactedfor follow up.Fillincontactinformationonofficialtocontactfor followup.

Line18Narrative:Provideadescriptionoftheincidentand actionstoresolveit.

Line19Estimated Restoration:Provideanestimatewhenrestorationofcustomerswhoare abletoreceivepowerwillbecomplete.

Line20Assets Impacted:Providethe names of the assets impacted by this event.

SPECIALINVESTIGATIONS

Under its authorities, DOE may instigate a special investigation into incidents affecting the electric power industrythat involve more than BAsand ReliabilityCoordinators. DOE mayaddress any energyconcern or may contact any utility or business entity that participates in the electricpower industry for technical information concerning aparticular incident.These special investigations are infrequent.

PROVISIONSREGARDINGCONFIDENTIALITY OFINFORMATION

The information reported on Schedule 1will be considered “publicinformation”andmaybepubliclyreleasedincompany orindividuallyidentifiableform.

Information onSchedule2oftheformwillnotbedisclosedtothepublictotheextentthatitsatisfies thecriteriafor exemptionunderthe FreedomofInformationAct (FOIA), 5U.S.C. §552, the DOE regulations, 10 C.F.R.§1004.11,implementingtheFOIA,andtheTradeSecretsAct,18U.S.C.§1905. The DOEwillprotect theinformationin accordance with its confidentialityand security policies andprocedures. Potential releases in response to Freedom of Information Act requests may occur following a case-by-case determination of the appropriate level of data protection.

In accordance with theFederalEnergy AdministrationAct,theDOEprovidescompany-specificprotecteddatato other Federal agencieswhen requested for official use. The information reported on thisformmayalso be made available, upon request, to another component of DOE;to any Committee of Congress, theU.S. GeneralAccountability Office,orotherFederalagencies authorizedbylaw toreceivesuchinformation. Acourtof competent jurisdiction may obtain this informationin response to anorder. Theinformationmay beusedforanynon-statistical purposessuchasadministrative,regulatory,law enforcement,or adjudicatorypurposes.

The data collected on Form OE-417, Electric Emergency IncidentanddisturbanceReport,willbeusedby DOEtomeetits overall national security andNational ResponseFramework responsibilities.

SANCTIONS

DOEisauthorizedto collecttheinformation on FormOE-417 undertheFederalEnergyAdministrationActof1974(Pub.L. No. 93-275, 15 U.S.C. 761et seq.) as amended, theFederal Power Act (16U.S.C 791a etseq.), the DOE Organization Act (PublicLawNo.95-91,42U.S.C.7101etseq.)asamended, andthePublicUtilityRegulatory Policies Act of 1978, Sect. 209 (PublicLawNo.95-317,92stat.3117,16U.S.C.824a-2). The timely submissionofFormOE-417bythoserequiredtoreportis mandatory under Section13(b) of the Federal Energy

AdministrationAct of 1974asamended. Failure to respondmay result ina penalty of not more than $2,500 per day for each civil violationor afine ofnot more than$5,000 perday foreach criminal violation. The government maybringacivil action to prohibit reporting violations,which may result ina temporary restrainingorderorapreliminary orpermanentinjunctionwithout bond. Insuchcivilaction,thecourtmayalsoissuemandatory injunctions commandingany person tocomplywith these reportingrequirements. Title 18U.S.C. §1001makesita criminaloffenseforany personknowingly and willingly to make toany Agency or Department of the UnitedStates any false,fictitious, or fraudulent statements as to any matter withinitsjurisdiction.

FILINGFORMSWITHTHEFEDERAL GOVERNMENTANDESTIMATEDREPORTING BURDEN

Respondents are not required to fileorreply toany Federal collection ofinformationunlessithasa validOMBcontrol number. Thepublic reporting burden for Schedule 1 is estimatedtoaverage10minutesperresponseand2hoursfor Schedule2,including reviewingtheformandinstructions, gatheringinformation,and submitting theformduringan emergency situation.In additionDOEestimates therewill be additional burden for refresher trainingofapproximately 2hour annuallyforeachentitysubjecttoreportingonFormOE-417. Theburdenperresponse hasbeencalculatedtobe 2.16hours onaverage.Sendcommentsregardingthisburdenestimateor any other aspectof this collectionofinformation including suggestionsforreducing thisburden to:

Office ofElectricity DeliveryandEnergyReliability,OE-40,Energy Infrastructure Modeling and Analysis division,
1000IndependenceAvenue, S.W., Washington, D.C. 20585; and totheOfficeof Information and Regulatory Affairs, Office of Management and Budget, Washington,D.C.20503.