FAC-013-2 Reliability Standard

S ta n d a rd FAC-013-2 — As s e s s m e n t o f Tra n s fer Ca p a b ility fo r th e Ne a r-term
Tra n s m is s io n Pla n n in g Ho rizo n

A. Introduction
1.

Title:
Assessment of Transfer Capability for the Near-Term Transmission
Planning Horizon

2.

Number:

3.

Purpose: To ensure that Planning Coordinators have a methodology for, and
perform an annual assessment to identify potential future Transmission System
weaknesses and limiting Facilities that could impact the Bulk Electric System’s (BES)
ability to reliably transfer energy in the Near-Term Transmission Planning Horizon.

4.

Applicability:

FAC-013-2

4.1. Planning Coordinators
5.

Effective Date:
In those jurisdictions where regulatory approval is required, the latter of either the first
day of the first calendar quarter twelve months after applicable regulatory approval or
the first day of the first calendar quarter six months after MOD-001-1, MOD-028-1,
MOD-029-1, and MOD-030-2 are effective.
In those jurisdictions where no regulatory approval is required, the latter of either the
first day of the first calendar quarter twelve months after Board of Trustees adoption or
the first day of the first calendar quarter six months after MOD-001-1, MOD-028-1,
MOD-029-1 and MOD-030-2 are effective.

B. Requirements
R1. Each Planning Coordinator shall have a documented methodology it uses to perform an
annual assessment of Transfer Capability in the Near-Term Transmission Planning
Horizon (Transfer Capability methodology). The Transfer Capability methodology
shall include, at a minimum, the following information: [Violation Risk Factor: Lower]
[Time Horizon: Long-term Planning ]
1.1. Criteria for the selection of the transfers to be assessed.
1.2. A statement that the assessment shall respect known System Operating Limits
(SOLs).
1.3. A statement that the assumptions and criteria used to perform the assessment are
consistent with the Planning Coordinator’s planning practices.
1.4. A description of how each of the following assumptions and criteria used in
performing the assessment are addressed:
1.4.1. Generation dispatch, including but not limited to long term planned
outages, additions and retirements.
1.4.2. Transmission system topology, including but not limited to long term
planned Transmission outages, additions, and retirements.
1.4.3. System demand.
1.4.4. Current approved and projected Transmission uses.

Approved by the Board of Trustees: January 24, 2011

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Tra n s m is s io n Pla n n in g Ho rizo n

1.4.5. Parallel path (loop flow) adjustments.
1.4.6. Contingencies
1.4.7. Monitored Facilities.
1.5. A description of how simulations of transfers are performed through the
adjustment of generation, Load or both.
R2. Each Planning Coordinator shall issue its Transfer Capability methodology, and any
revisions to the Transfer Capability methodology, to the following entities subject to
the following: [Violation Risk Factor: Lower] [Time Horizon: Long-term Planning]
2.1. Distribute to the following prior to the effectiveness of such revisions:
2.1.1. Each Planning Coordinator adjacent to the Planning Coordinator’s
Planning Coordinator area or overlapping the Planning Coordinator’s area.
2.1.2. Each Transmission Planner within the Planning Coordinator’s Planning
Coordinator area.
2.2. Distribute to each functional entity that has a reliability-related need for the
Transfer Capability methodology and submits a request for that methodology
within 30 calendar days of receiving that written request.
R3. If a recipient of the Transfer Capability methodology provides documented concerns
with the methodology, the Planning Coordinator shall provide a documented response
to that recipient within 45 calendar days of receipt of those comments. The response
shall indicate whether a change will be made to the Transfer Capability methodology
and, if no change will be made to that Transfer Capability methodology, the reason
why. [Violation Risk Factor: Lower][Time Horizon: Long-term Planning]
R4. During each calendar year, each Planning Coordinator shall conduct simulations and
document an assessment based on those simulations in accordance with its Transfer
Capability methodology for at least one year in the Near-Term Transmission Planning
Horizon. [Violation Risk Factor: Lower] [Time Horizon: Long-term Planning]
R5. Each Planning Coordinator shall make the documented Transfer Capability assessment
results available within 45 calendar days of the completion of the assessment to the
recipients of its Transfer Capability methodology pursuant to Requirement R2, Parts
2.1 and Part 2.2. However, if a functional entity that has a reliability related need for
the results of the annual assessment of the Transfer Capabilities makes a written
request for such an assessment after the completion of the assessment, the Planning
Coordinator shall make the documented Transfer Capability assessment results
available to that entity within 45 calendar days of receipt of the request [Violation Risk
Factor: Lower] [Time Horizon: Long-term Planning]
R6. If a recipient of a documented Transfer Capability assessment requests data to support
the assessment results, the Planning Coordinator shall provide such data to that entity
within 45 calendar days of receipt of the request. The provision of such data shall be
subject to the legal and regulatory obligations of the Planning Coordinator’s area
regarding the disclosure of confidential and/or sensitive information. [Violation Risk
Factor: Lower] [Time Horizon: Long-term Planning]

Approved by the Board of Trustees: January 24, 2011

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C. Measures
M1. Each Planning Coordinator shall have a Transfer Capability methodology that includes
the information specified in Requirement R1.
M2. Each Planning Coordinator shall have evidence such as dated e-mail or dated
transmittal letters that it provided the new or revised Transfer Capability methodology
in accordance with Requirement R2
M3. Each Planning Coordinator shall have evidence, such as dated e-mail or dated
transmittal letters, that the Planning Coordinator provided a written response to that
commenter in accordance with Requirement R3.
M4. Each Planning Coordinator shall have evidence such as dated assessment results, that it
conducted and documented a Transfer Capability assessment in accordance with
Requirement R4.
M5. Each Planning Coordinator shall have evidence, such as dated copies of e-mails or
transmittal letters, that it made its documented Transfer Capability assessment
available to the entities in accordance with Requirement R5.
M6. Each Planning Coordinator shall have evidence, such as dated copies of e-mails or
transmittal letters, that it made its documented Transfer Capability assessment data
available in accordance with Requirement R6.
D. Compliance
1.

Compliance Monitoring Process
1.1. Compliance Enforcement Authority
Regional Entity
1.2. Data Retention
The Planning Coordinator 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 Planning Coordinator shall have its current Transfer Capability
methodology and any prior versions of the Transfer Capability methodology
that were in force since the last compliance audit to show compliance with
Requirement R1.

•

The Planning Coordinator shall retain evidence since its last compliance audit
to show compliance with Requirement R2.

•

The Planning Coordinator shall retain evidence to show compliance with
Requirements R3, R4, R5 and R6 for the most recent assessment.

•

If a Planning Coordinator is found non-compliant, it shall keep information
related to the non-compliance until found compliant or for the time periods
specified above, whichever is longer.

The Compliance Enforcement Authority shall keep the last audit records and all
requested and submitted subsequent audit records.
Approved by the Board of Trustees: January 24, 2011

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1.3. Compliance Monitoring and Assessment Processes
Compliance Audits
Self-Certifications
Spot Checking
Compliance Violation Investigations
Self-Reporting
Complaints
1.4. Additional Compliance Information
None

Approved by the Board of Trustees: January 24, 2011

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2.
R#
R1

Violation Severity Levels
Lower VSL
The Planning Coordinator has a
Transfer Capability methodology
but failed to address one or two
of the items listed in
Requirement R1, Part 1.4.

Moderate VSL
The Planning Coordinator has a
Transfer Capability
methodology, but failed to
incorporate one of the following
Parts of Requirement R1 into
that methodology:
•
•
•
•

Part
Part
Part
Part

High VSL
The Planning Coordinator has a
Transfer Capability
methodology, but failed to
incorporate one of the following
Parts of Requirement R1 into
that methodology:

1.1
1.2
1.3
1.5

•
•
•
•

Part
Part
Part
Part

1.1
1.2
1.3
1.5

OR

OR

The Planning Coordinator has a
Transfer Capability methodology
but failed to address three of the
items listed in Requirement R1,
Part 1.4.

The Planning Coordinator has a
Transfer Capability methodology
but failed to address four of the
items listed in Requirement R1,
Part 1.4.

Severe VSL
The Planning Coordinator did
not have a Transfer Capability
methodology.
OR
The Planning Coordinator has a
Transfer Capability
methodology, but failed to
incorporate one of the following
Parts of Requirement R1 into
that methodology:
•
•
•
•

Part
Part
Part
Part

1.1
1.2
1.3
1.5

OR
The Planning Coordinator has a
Transfer Capability methodology
but failed to address more than
four of the items listed in
Requirement R1, Part 1.4.

Approved by the Board of Trustees: January 24, 2011

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S ta n d a rd FAC-013-2 — As s e s s m e n t o f Tra n s fer Ca p a b ility fo r th e Ne a r-term Tra n s m is s io n Pla n n in g Ho rizo n
R2

The Planning Coordinator
notified one or more of the
parties specified in Requirement
R2 of a new or revised Transfer
Capability methodology after its
implementation, but not more
than 30 calendar days after its
implementation.
OR
The Planning Coordinator
provided the transfer Capability
methodology more than 30
calendar days but not more than
60 calendar days after the
receipt of a request.

R3

The Planning Coordinator
provided a documented
response to a documented
concern with its Transfer
Capability methodology as
required in Requirement R3
more than 45 calendar days, but
not more than 60 calendar days
after receipt of the concern.

The Planning Coordinator
notified one or more of the
parties specified in Requirement
R2 of a new or revised Transfer
Capability methodology more
than 30 calendar days after its
implementation, but not more
than 60 calendar days after its
implementation.
OR
The Planning Coordinator
provided the Transfer Capability
methodology more than 60
calendar days but not more than
90 calendar days after receipt of
a request
The Planning Coordinator
provided a documented
response to a documented
concern with its Transfer
Capability methodology as
required in Requirement R3
more than 60 calendar days, but
not more than 75 calendar days
after receipt of the concern.

The Planning Coordinator
notified one or more of the
parties specified in Requirement
R2 of a new or revised Transfer
Capability methodology more
than 60 calendar days, but not
more than 90 calendar days
after its implementation.
OR
The Planning Coordinator
provided the Transfer Capability
methodology more than 90
calendar days but not more than
120 calendar days after receipt
of a request.

The Planning Coordinator
provided a documented
response to a documented
concern with its Transfer
Capability methodology as
required in Requirement R3
more than 75 calendar days, but
not more than 90 calendar days
after receipt of the concern.

The Planning Coordinator failed
to notify one or more of the
parties specified in Requirement
R2 of a new or revised Transfer
Capability methodology more
than 90 calendar days after its
implementation.
OR
The Planning Coordinator
provided the Transfer Capability
methodology more than 120
calendar days after receipt of a
request.

The Planning Coordinator failed
to provide a documented
response to a documented
concern with its Transfer
Capability methodology as
required in Requirement R3 by
more than 90 calendar days
after receipt of the concern.
OR
The Planning Coordinator failed
to respond to a documented
concern with its Transfer
Capability methodology.

Approved by the Board of Trustees: January 24, 2011

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S ta n d a rd FAC-013-2 — As s e s s m e n t o f Tra n s fer Ca p a b ility fo r th e Ne a r-term Tra n s m is s io n Pla n n in g Ho rizo n

R4.

The Planning Coordinator
conducted a Transfer Capability
assessment outside the
calendar year, but not by more
than 30 calendar days.

The Planning Coordinator
conducted a Transfer Capability
assessment outside the
calendar year, by more than 30
calendar days, but not by more
than 60 calendar days.

The Planning Coordinator
conducted a Transfer Capability
assessment outside the
calendar year, by more than 60
calendar days, but not by more
than 90 calendar days.

The Planning Coordinator failed
to conduct a Transfer Capability
assessment outside the
calendar year by more than 90
calendar days.
OR
The Planning Coordinator failed
to conduct a Transfer Capability
assessment.

Approved by the Board of Trustees: January 24, 2011

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S ta n d a rd FAC-013-2 — As s e s s m e n t o f Tra n s fer Ca p a b ility fo r th e Ne a r-term Tra n s m is s io n Pla n n in g Ho rizo n

R5

R6

The Planning Coordinator made
its documented Transfer
Capability assessment available
to one or more of the recipients
of its Transfer Capability
methodology more than 45
calendar days after the
requirements of R5,, but not
more than 60 calendar days
after completion of the
assessment.

The Planning Coordinator made
its Transfer Capability
assessment available to one or
more of the recipients of its
Transfer Capability methodology
more than 60 calendar days
after the requirements of R5, but
not more than 75 calendar days
after completion of the
assessment.

The Planning Coordinator
provided the requested data as
required in Requirement R6
more than 45 calendar days
after receipt of the request for
data, but not more than 60
calendar days after the receipt
of the request for data.

The Planning Coordinator
provided the requested data as
required in Requirement R6
more than 60 calendar days
after receipt of the request for
data, but not more than 75
calendar days after the receipt
of the request for data.

The Planning Coordinator made
its Transfer Capability
assessment available to one or
more of the recipients of its
Transfer Capability methodology
more than 75 calendar days
after the requirements of R5, but
not more than 90 days after
completion of the assessment.

The Planning Coordinator failed
to make its documented
Transfer Capability assessment
available to one or more of the
recipients of its Transfer
Capability methodology more
than 90 days after the
requirements of R5.
OR
The Planning Coordinator failed
to make its documented
Transfer Capability assessment
available to any of the recipients
of its Transfer Capability
methodology under the
requirements of R5.

Approved by the Board of Trustees: January 24, 2011

The Planning Coordinator
provided the requested data as
required in Requirement R6
more than 75 calendar days
after receipt of the request for
data, but not more than 90
calendar days after the receipt
of the request for data.

The Planning Coordinator
provided the requested data as
required in Requirement R6
more than 90 after the receipt of
the request for data.
OR
The Planning Coordinator failed
to provide the requested data as
required in Requirement R6.

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E. Regional Variances
None.
F. Associated Documents
Version History
Version

Date

Action

Change Tracking

1

08/01/05

1. Changed incorrect use of certain
hyphens (-) to “en dash (–).”
2. Lower cased the word “draft” and
“drafting team” where appropriate.
3. Changed Anticipated Action #5, page 1,
from “30-day” to “Thirty-day.”
4. Added or removed “periods.”

01/20/05

2

01/24/11

Approved by BOT

2

11/17/11

FERC Order issued approving FAC-013-2

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