Bal-007-1

BAL-007-1 – Near-term Energy Reliability Assessments

A. Introduction
1.

Title:

Near-term Energy Reliability Assessments

2.

Number:

BAL-007-1

3.

Purpose:

To assess, report, and plan to address forecasted Energy Emergencies in
the near-term time horizon.

4.

Applicability:
4.1. Functional Entities:
4.1.1. Balancing Authority

5.

Effective Date: See Implementation Plan for BAL-007-1.

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BAL-007-1 – Near-term Energy Reliability Assessments

B. Requirements and Measures
R1. Each Balancing Authority shall, individually or jointly with other Balancing Authorities,
document a process for conducting Near-Term Energy Reliability Assessments (ERA).
[Violation Risk Factor: Medium] [Time Horizon: Operations Planning]
1.1. The Near-Term ERA process shall account for:
1.1.1. Forecasted or assumed Demand profiles;
1.1.2. Resource capabilities and operational limitations, including fuel supply;
1.1.3. Energy transfers with other Balancing Authorities; and
1.1.4. Known Bulk Electric System (BES) Transmission constraints that limit the
ability of generation to deliver their output to Load.
1.2. The Near-Term ERA process shall specify the duration of the Balancing
Authority’s Near-Term ERAs.
1.3. The Near-Term ERA process shall specify the frequency at which the Balancing
Authority will conduct Near-Term ERAs, subject to the following:
1.3.1. Each Balancing Authority will conduct Near-Term ERAs for all time
periods unless the Balancing Authority demonstrates, via a documented
methodology, that a Near-Term ERA is not necessary for a specified time
period(s) because there is a low risk of an Energy Emergency occurring
during that specified time period(s).
1.3.2. The documented methodology for identifying time periods for which the
Balancing Authority will not conduct a Near-Term ERA must (i) define the
criteria used to determine when there is a low risk of an Energy
Emergency occurring, and (ii) account for the items listed in 1.1.1 – 1.1.4
and other conditions associated with Energy Emergencies.
M1. Each Balancing Authority shall have evidence that it documented a process for
conducting Near-Term ERAs in accordance with Requirement R1.
R2. Each Balancing Authority shall, individually or jointly with other Balancing Authorities,
document a set of Scenarios, or a method for developing Scenarios, for use in
performing Near-Term ERAs. [Violation Risk Factor: Medium] [Time Horizon:
Operations Planning]
2.1. The set of Scenarios must include (i) a base Scenario with expected system
conditions, and (ii) other Scenarios that stress the system due to the following
conditions, as applicable to the Balancing Authority’s system:
2.1.1. Higher than forecasted or assumed Demand profiles;
2.1.2. The effects of an energy supply contingency;
2.1.3. The effects of a fuel supply contingency; and

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BAL-007-1 – Near-term Energy Reliability Assessments

2.1.4. Other stressed conditions that have a historical precedent of occurring,
as defined by the Balancing Authority, based on the information available
at the time of Scenario development.
M2. Each Balancing Authority shall have evidence that it documented the Scenarios, or the
method of developing Scenarios, for use in performing Near-Term ERAs.
R3. Each Balancing Authority shall, individually or jointly with other Balancing Authorities,
document one or more Operating Plan(s) to implement in response to forecasted
Energy Emergencies, including provisions for notification to their Reliability
Coordinator of the forecasted Energy Emergency and the Operating Plan(s). [Violation
Risk Factor: Medium] [Time Horizon: Operations Planning]
M3. Each Balancing Authority shall have evidence that it documented its Operating Plan(s)
in accordance with Requirement R3.
R4. Each Balancing Authority shall, individually or jointly with other Balancing Authorities,
perform Near-Term ERAs according to the process documented in Requirement R1
using the Scenarios or methods documented in Requirement R2. [Violation Risk
Factor: Medium] [Time Horizon: Operations Planning]
M4. Each Balancing Authority shall have evidence that it performed the Near-Term ERAs in
accordance with Requirement R4.
R5. Each Balancing Authority shall, individually or jointly with other Balancing Authorities,
implement its Operating Plan(s), as documented in Requirement R3, when Near-Term
ERAs identify any of the following forecasted Energy Emergencies: [Violation Risk
Factor: Medium] [Time Horizon: Operations Planning]
•

Forecasted EEA2 circumstances as defined in EOP-011 Attachment 1 Section B; or

•

Forecasted EEA3 circumstances as defined in EOP-011 Attachment 1 Section B.

M5. Each Balancing Authority shall have evidence that it has implemented an Operating
Plan(s) in accordance with Requirement R5.
R6. Each Balancing Authority shall, individually or jointly with other Balancing Authorities,
review, update, as necessary, and provide to the applicable Reliability Coordinator its
Near-term ERA process, Scenarios or methods, and Operating Plan(s), documented
under Requirements R1 through R3, at least once every 24 calendar months.
[Violation Risk Factor: Low] [Time Horizon: Operations Planning]
M6. Each Balancing Authority shall have evidence that it reviewed and provided its Nearterm ERA process, Scenarios or methods, and Operating Plan(s) to its Reliability
Coordinator, in accordance with Requirement R6.

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BAL-007-1 – Near-term Energy Reliability Assessments

C. Compliance
1.

Compliance Monitoring Process
1.1. Compliance Enforcement Authority: “Compliance Enforcement Authority”
means NERC or the Regional Entity in their respective roles of monitoring and
enforcing compliance with the NERC Reliability Standards.
1.2. Evidence Retention: The following evidence retention period(s) identify the
period of time an entity is required to retain specific evidence to demonstrate
compliance. For instances where the evidence retention period specified below
is shorter than the time since the last audit, the Compliance Enforcement
Authority may ask an entity to provide other evidence to show that it was
compliant for the full-time period since the last audit.
The applicable entity shall keep data or evidence to show compliance as
identified below unless directed by its Compliance Enforcement Authority to
retain specific evidence for a longer period of time as part of an investigation.
•

The Balancing Authority shall keep data or evidence to show compliance
with applicable requirements for six months for Near-Term ERAs or since
the last audit.

1.3. Compliance Monitoring and Enforcement Program: “Compliance Monitoring
Enforcement Program” or “CMEP” means, depending on the context (1) the
NERC Compliance Monitoring and Enforcement Program (Appendix 4C to the
NERC Rules of Procedure) or the Commission-approved program of a Regional
Entity, as applicable, or (2) the program, department or organization within
NERC or a Regional Entity that is responsible for performing compliance
monitoring and enforcement activities with respect to Registered Entities’
compliance with Reliability Standards.

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BAL-007-1 – Near-term Energy Reliability Assessments

Violation Severity Levels
R#

Lower VSL

Violation Severity Levels
Moderate VSL

High VSL

Severe VSL

R1.

N/A

The Balancing Authority
documented an Energy
Reliability Assessment process
for the Near-Term ERAs but
did not account for the
elements in Requirement R1
Part 1.1 or Part 1.2.

The Balancing Authority
documented an Energy
Reliability Assessment process
for the Near-Term ERAs but
did not account for the
elements in Requirement R1
Part 1.1 through Part 1.2.
OR
The Balancing Authority
documented an Energy
Reliability Assessment process
for the Near-Term ERAs but
did not account for one of the
elements in Requirement R1
Part 1.3.

The Balancing Authority failed
to document an Energy
Reliability Assessment process
for the Near-Term ERAs.
OR
The Balancing Authority
documented an Energy
Reliability Assessment process
for the Near-Term ERAs but did
not account for any of the
elements in Requirement R1
Part 1.3.

R2.

The Balancing Authority
documented a set of Scenarios
or a method of developing
Scenarios but did not include
one of the conditions listed in
Requirement R2 Part 2.1.

The Balancing Authority
documented a set of Scenarios
or a method of developing
Scenarios but did not include
two of the conditions listed in
Requirement R2 Part 2.1.

The Balancing Authority
documented a set of Scenarios
or a method of developing
Scenarios but did not include
three of the conditions listed
in Requirement R2 Part 2.1.

The Balancing Authority
documented a set of Scenarios
or a method of developing
Scenarios but did not include
any of the conditions listed in
Requirement R2 Part 2.1.
OR
The Balancing Authority failed
to document a set of Scenarios
or a method of developing
Scenarios for use in performing
Near-Term ERAs.

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BAL-007-1 – Near-term Energy Reliability Assessments
Violation Severity Levels
R#

Lower VSL

Moderate VSL

High VSL

Severe VSL

R3.

N/A

N/A

The Balancing Authority
documented an Operating
Plan(s) to implement in
response to forecasted Energy
Emergencies as identified in
the Near-Term ERAs but failed
to include provisions for
notification to the Reliability
Coordinator.

The Balancing Authority failed
to document an Operating
Plan(s) to implement in
response to forecasted Energy
Emergencies as identified in the
Near-Term ERAs.

R4.

N/A

N/A

N/A

The Balancing Authority failed
to perform a Near-Term ERA in
accordance with its process
documented in Requirement R1
using the Scenarios or methods
documented in Requirement
R2.

R5.

N/A

N/A

N/A

The Balancing Authority failed
to implement an Operating
Plan(s) when a Near-Term ERA
identified any of the forecasted
conditions in Requirement R5.

R6.

N/A

N/A

The Balancing Authority
reviewed information that
contained the Near-Term ERAs
process, the Scenarios or
methods, and Operating
Plan(s) but failed to update
within 24 months.

The Balancing Authority failed
to review, update, and provide
the Near-Term ERAs process,
the Scenarios or methods, and
Operating Plan(s) to the
Reliability Coordinator.

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D. Regional Variances
None.

E. Associated Documents
•

Implementation Plan

•

NERC Project 2022-03 Technical Rationale

•

NERC Project 2022-03 Project Page

Version History
Version

Date

1

December 10,
2024

Action
Adopted by the NERC Board of Trustees

Change
Tracking
NERC Project 202203 energy
assurance new
standard

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