Top-003-7

TOP-003-7 – Transmission Operator and Balancing Authority Data and Information Specification and Collection

A. Introduction
1. Title:

Transmission Operator and Balancing Authority Data and Information
Specification and Collection

2. Number:

TOP-003-7

3. Purpose:
To ensure that each Transmission Operator and Balancing Authority has
the data and information it needs to plan, monitor, and assess the operation of its
Transmission Operator Area or Balancing Authority Area.
4. Applicability:
4.1 Functional Entities:
4.1.1

Transmission Operator

4.1.2

Balancing Authority

4.1.3

Generator Owner

4.1.4

Generator Operator

4.1.5

Transmission Owner

4.1.6 Distribution Provider
5. Effective Date: See Implementation Plan for Project 2022-03.

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TOP-003-7 – Transmission Operator and Balancing Authority Data and Information Specification and Collection

B. Requirements and Measures
R1.

Each Transmission Operator shall maintain documented specification(s) for the data
and information necessary for it to perform its Operational Planning Analyses, Realtime monitoring, and Real-time Assessments. The specification shall include, but not
be limited to: [Violation Risk Factor: Lower] [Time Horizon: Operations Planning]
1.1. A list of data and information needed by the Transmission Operator to support
its Operational Planning Analyses, Real-time monitoring, and Real-time
Assessments including non-BES data and information, external network data
and information, and identification of the entities responsible for responding
to the specification as deemed necessary by the Transmission Operator.
1.2. Provisions for notification of current Protection System and Remedial Action
Scheme (RAS) status or degradation that impacts System reliability.
1.3. Provisions for notification of BES generating unit(s) during local forecasted cold
weather to include:
1.3.1. Operating limitations based on:
1.3.1.1.

capability and availability;

1.3.1.2.

fuel supply and inventory concerns;

1.3.1.3.

fuel switching capabilities; and

1.3.1.4.

environmental constraints

1.3.2. Generating unit(s) minimum:
1.3.2.1.

design temperature; or

1.3.2.2.

historical operating temperature; or

1.3.2.3.

current cold weather performance temperature determined
by an engineering analysis.

1.4. Identification of a mutually agreeable process for resolving conflicts.
1.5. Method(s) for the entity identified in Part 1.1 to provide the data and information
that includes, at a minimum, the following.
1.5.1. Specified deadlines or periodicity which data and information is to be
provided;
1.5.2. Performance criteria for the availability and accuracy of data and
information as applicable;
1.5.3. Provisions to update or correct data and information, as applicable or
necessary;
1.5.4. A mutually agreeable format;
1.5.5. Mutually agreeable method(s) for securely transferring data and
information.

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TOP-003-7 – Transmission Operator and Balancing Authority Data and Information Specification and Collection

M1.

Each Transmission Operator shall make available its dated, current, in force
documented specification(s) for data and information.

R2.

Each Balancing Authority shall maintain documented specification(s) for the data
and information necessary for it to perform its analysis functions, Real-time
monitoring, and Near-Term Energy Reliability Assessments. The data specification
shall include, but not be limited to: [Violation Risk Factor: Lower] [Time Horizon:
Operations Planning]
2.1. A list of data and information needed by the Balancing Authority to support its
analysis functions, Real-time monitoring, and Near-Term Energy Reliability
Assessments, including non-Bulk Electric System data and information, and
external network data and information, as deemed necessary by the Balancing
Authority, and identification of the entity responsible for responding to the
specification.
2.2. Provisions for notification of current Protection System and Remedial Action
Scheme status or degradation that impacts System reliability.
2.3. Provisions for notification of BES generating unit(s) status during local
forecasted cold weather to include:
2.3.1. Operating limitations based on:
2.3.1.1.

capability and availability;

2.3.1.2.

fuel supply and inventory concerns;

2.3.1.3.

fuel switching capabilities; and

2.3.1.4.

environmental constraints.

2.3.2. Generating unit(s) minimum:
2.3.2.1.

design temperature; or

2.3.2.2.

historical operating temperature; or

2.3.2.3.

current cold weather performance temperature
determined by an engineering analysis.

2.4. Identification of a mutually agreeable process in resolving conflicts
2.5. Methods for the entity identified in Part 2.1 to provide data and information that
includes at a minimum the following.
2.5.1. Specific deadlines or periodicity in which data and information is to be
provided;
2.5.2. Performance criteria for the availability and accuracy of data and
information, as applicable;
2.5.3. Provisions to update or correct data and information, as applicable or
necessary.
2.5.4. A mutually agreeable format.

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TOP-003-7 – Transmission Operator and Balancing Authority Data and Information Specification and Collection

2.5.5. A mutually agreeable method(s) for securely transferring data and
information.
M2.

Each Balancing Authority shall make available its dated, current, in force documented
specification(s) for data and information.

R3.

Each Transmission Operator shall distribute its data and information specification(s) to
entities that have data and information required by the Transmission Operator’s
Operational Planning Analyses, Real-time monitoring, and Real-time Assessments.
[Violation Risk Factor: Lower] [Time Horizon: Operations Planning]

M3.

Each Transmission Operator shall make available evidence that it has distributed its
data specification(s) to entities that have data and information required by the
Transmission Operator’s Operational Planning Analyses, Real-time monitoring, and
Real-time Assessments.
Such evidence could include but is not limited to web postings with an electronic notice
of the posting, dated operator logs, voice recordings, postal receipts showing the
recipient, date and contents, or e-mail records.

R4. Each Balancing Authority shall distribute its data and information specification(s) to
entities that have data and information required by the Balancing Authority’s analysis
functions, Real-time monitoring, and Near-Term Energy Reliability Assessments.
[Violation Risk Factor: Lower] [Time Horizon: Operations Planning]
M4. Each Balancing Authority shall make available evidence that it has distributed its data
specification(s) to entities that have data and information required by the Balancing
Authority’s analysis functions, Real-time monitoring, and Near-Term Energy Reliability
Assessments. Such evidence could include, but is not limited to, web postings with an
electronic notice of the posting, dated operator logs, voice recordings, postal receipts
showing the recipient, or e-mail records.
R5. Each Transmission Operator, Balancing Authority, Generator Owner, Generator
Operator, Transmission Owner, and Distribution Provider receiving a data and
information specification(s) in Requirement R3 or R4 shall satisfy the obligations of the
documented specifications. [Violation Risk Factor: Medium] [Time Horizon: Operations
Planning, Same-Day Operations, Real-time Operations]
M5. Each Transmission Operator, Balancing Authority, Generator Owner, Generator
Operator, Transmission Owner, and Distribution Provider receiving a specification(s) in
Requirement R3 or R4 shall make available evidence that it has satisfied the obligations
of the documented specification. Such evidence could include, but is not limited to,
electronic or hard copies of data transmittals or attestations of receiving entities.

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TOP-003-7 – Transmission Operator and Balancing Authority Data and Information Specification and Collection

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 (CEA) may ask an entity to provide other evidence to show that it was
compliant for the full time period since the last audit.
Each responsible entity shall keep data or evidence to show compliance as
identified below unless directed by its CEA to retain specific evidence for a
longer period of time as part of an investigation.
•

Each Transmission Operator shall retain its dated, current, in force,
documented specification for the data and information necessary for it to
perform its Operational Planning Analyses, Real-time monitoring, and
Real-time Assessments in accordance with Requirement R1 and
Measurement M1 as well as any documents in force since the last
compliance audit.

•

Each Balancing Authority shall retain its dated, current, in force,
documented specification(s) for the data and information necessary for it
to perform its analysis functions, Real-time monitoring, and Near-Term
Energy Reliability Assessments in accordance with Requirement R2 and
Measurement M2, as well as any documents in force since the last
compliance audit.

•

Each Transmission Operator shall retain evidence for three calendar years
that it has distributed its specification(s) to entities that have data
required by the Transmission Operator’s Operational Planning Analyses,
Real-time monitoring, and Real-time Assessments in accordance with
Requirement R3 and Measurement M3.

•

Each Balancing Authority shall retain evidence for three calendar years
that it has distributed its specification(s) to entities that have data
required by the Balancing Authority’s analysis functions, Real-time
monitoring, and Near-Term Energy Reliability Assessments in accordance
with Requirement R4 and Measurement M4.

•

Each Balancing Authority, Generator Owner, Generator Operator,

Transmission Operator, Transmission Owner, and Distribution Provider receiving a
specification(s) in Requirement R3 or R4 shall retain evidence for the most recent
90-calendar days that it has satisfied the obligations of the documented
specifications in accordance with Requirement R5 and Measurement M5.
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TOP-003-7 – Transmission Operator and Balancing Authority Data and Information Specification and Collection

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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TOP-003-7 – Transmission Operator and Balancing Authority Data and Information Specification and Collection

Violation Severity Levels
R#

R2

Violation Severity Levels
Lower VSL

Moderate VSL

High VSL

Severe VSL

The Transmission Operator did
not include one or two of the
parts (Part 1.1 through Part 1.5)
of the documented
specification(s) for the data and
information necessary for it to
perform its Operational
Planning Analyses, Real-time
monitoring, and Real-time
Assessments.

The Transmission Operator did
not include three of the parts
(Part 1.1 through Part 1.5) of
the documented
specification(s) for the data and
information necessary for it to
perform its Operational
Planning Analyses, Real-time
monitoring, and Real-time
Assessments.

The Transmission Operator did
not include four of the parts
(Part 1.1 through Part 1.5) of
the documented
specification(s) for the data and
information necessary for it to
perform its Operational
Planning Analyses, Real-time
monitoring, and Real- time
Assessments.

The Transmission Operator did
not include any of the parts
(Part 1.1 through Part 1.5) of
the documented specification(s)
for the data and information
necessary for it to perform its
Operational Planning Analyses,
Real-time monitoring, and Realtime Assessments.
OR,
The Transmission Operator
did not have a documented
specification(s) for the data
and information necessary for
it to perform its Operational
Planning Analyses, Real-time
monitoring, and Real-time
Assessments.

The Balancing Authority did not
include two or fewer of the
parts (Part 2.1 through Part 2.5)
of the documented
specification(s) for the data and
information necessary for it to
perform its analysis functions,
Real-time monitoring, and
Near-Term Energy Reliability
Assessments.

The Balancing Authority did not
include three of the parts (Part
2.1 through Part 2.5) of the
documented specification(s)
for the data and information
necessary for it to perform its
analysis functions, Real-time
monitoring, and Near-Term
Energy Reliability Assessments.

The Balancing Authority did not
include four of the parts (Part
2.1 through Part 2.5) of the
documented specification(s) for
the data and information
necessary for it to perform its
analysis functions, Real-time
monitoring, and Near-Term
Energy Reliability Assessments.

The Balancing Authority did not
include any of the parts (Part
2.1 through Part 2.5) of the
documented specification(s) for
the data and information
necessary for it to perform its
analysis functions, Real- time
monitoring, and Near-Term
Energy Reliability Assessments.
OR,
The Balancing Authority did not
have a documented
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TOP-003-7 – Transmission Operator and Balancing Authority Data and Information Specification and Collection

R#

Violation Severity Levels
Lower VSL

Moderate VSL

High VSL

Severe VSL
specification(s) for the data and
information necessary for it to
perform its analysis functions,
Real-time monitoring, and NearTerm Energy Reliability
Assessments.

For the Requirement R3 and R4 VSLs only, the intent of the Standard Drafting Team (SDT) is to start with the Severe VSL first and then to work
your way to the left until you find the situation that fits. In this manner, the VSL will not be discriminatory by size of entity. If a small entity has
just one affected reliability entity to inform, the intent is that that situation would be a Severe violation.
R3

The Transmission Operator did
not distribute its
Specification(s) to one entity, or
5% or less of the entities,
whichever is greater, that have
data and information required
by the Transmission Operator’s
Operational Planning Analyses,
Real-time monitoring, and Realtime Assessments.

The Transmission Operator did
not distribute its
Specification(s) to two entities,
or more than 5% and less than
or equal to 10% of the
reliability entities, whichever is
greater, that have data and
information required by the
Transmission Operator’s
Operational Planning Analyses,
Real-time monitoring, and
Real-time Assessments.

The Transmission Operator did
not distribute its
Specification(s) to three
entities, or more than 10% and
less than or equal to 15% of
the reliability entities,
whichever is greater, that have
data and information required
by the Transmission Operator’s
Operational Planning Analyses,
Real-time monitoring, and
Real- time Assessments.

The Transmission Operator did
not distribute its
Specification(s) to four or more
entities, or more than 15% of
the entities that have data and
information required by the
Transmission Operator’s
Operational Planning Analyses,
Real-time monitoring, and
Real-time Assessments.

R4

The Balancing Authority did not
distribute its Specification(s) to
one entity, or 5% or less of the
entities, whichever is greater,
that have data and information
required by the Balancing
Authority’s analysis functions,
Real-time monitoring, and
Near-Term Energy Reliability
Assessments.

The Balancing Authority did not
distribute its Specification(s) to
two entities, or more than 5%
and less than or equal to 10% of
the entities, whichever is
greater, that have data and
information required by the
Balancing Authority’s analysis
functions, Real-time
monitoring, and Near-Term
Energy Reliability Assessments.

The Balancing Authority did not
distribute its Specification(s) to
three entities, or more than
10% and less than or equal to
15% of the entities, whichever
is greater, that have data and
information required by the
Balancing Authority’s analysis
functions, Real-time
monitoring, and Near-Term
Energy Reliability Assessments.

The Balancing Authority did
not distribute its
Specification(s) to four or more
entities, or more than 15% of
the entities that have data and
information required by the
Balancing Authority’s analysis
functions, Real-time
monitoring, and Near-Term
Energy Reliability Assessments.

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TOP-003-7 – Transmission Operator and Balancing Authority Data and Information Specification and Collection

Violation Severity Levels

R#
R5

Lower VSL

Moderate VSL

High VSL

Severe VSL

The responsible entity receiving
a specification(s) in Requirement
R3 or R4 satisfied the obligations
in the specification but failed to
meet one of the parts in
Requirement R1 Part1.5 or
Requirement R2 Part 2.5.

The responsible entity receiving
a specification(s) in Requirement
R3 or R4 satisfied the obligations
in the specification but failed to
meet two of the parts in
Requirement R1 Part 1.5 or
Requirement R2 Part 2.5.

The responsible entity receiving
a specification(s) in
Requirement R3 or R4 satisfied
the obligations in the
specification but failed to meet
three or more of the parts in
Requirement R1 Part 1.5 or
Requirement R2 Part 2.5.

The responsible entity receiving
a specification(s) in
Requirement R3 or R4 did not
satisfy the obligations of the
documented specifications.

A. Regional Variances
None.

B. Interpretations
None.

C. Associated Documents
None.

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TOP-003-7 – Transmission Operator and Balancing Authority Data and Information Specification and Collection

Version History
Version

Date

Action

Change Tracking

0

April 1, 2005

Effective Date

New

0

August 8, 2005

Removed “Proposed” from Effective Date

Errata

Modified R1.2 Modified M1
Replaced Levels of Non-compliance with the
Feb 28, BOT approved Violation Severity
Levels (VSLs)

Revised

1

1

October 17, 2008

Adopted by NERC Board of Trustees

1

March 17, 2011

Order issued by FERC approving TOP- 003-1
(approval effective 5/23/11)

2

May 6, 2012

Revised under Project 2007-03

Revised

2

May 9, 2012

Adopted by Board of Trustees

Revised

3

April 2014

Changes pursuant to Project 2014-03

Revised

3

November 13, 2014

Adopted by Board of Trustees

Revisions under
Project 2014-03

3

November 19, 2015

FERC approved TOP-003-3. Docket No.
RM15-16-000, Order No. 817

4

February 6, 2020

Adopted by NERC Board of Trustees

4

October 30, 2020

FERC approved TOP-003-4. Docket No.
RD20-4-000

5

May 2021

Changes pursuant to Project 2019-06

Revised

5

June 11, 2021

Board approved

Project 2019-06
Cold Weather

5

August 24, 2021

FERC approved TOP –003-5 Docket No.
RD21-5-000, Order 176

6

TBD

Adopted by NERC Board of Trustees

Revisions under
project 2021-06

6.1

Errata

Approved by the Standards Committee

August 23, 2023

6.1

November 2, 2023

FERC Approved TOP-003-6.1 Docket No.RD236-000,

6.1

November 3, 2023

Effective Date

July 1, 2025

7

December 10, 2024

Adopted by the NERC Board of Trustees

Energy Assurance
Modifications –
Addition of Near-Term
ERA.

Revisions under
Project 2017-07

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