Top-001-3

Standard TOP-001-3 — Transmission Operations
A. Introduction
1.

Title: Transmission Operations

2.

Number: TOP-001-3

3.

Purpose: To prevent instability, uncontrolled separation, or Cascading outages that
adversely impact the reliability of the Interconnection by ensuring prompt action to
prevent or mitigate such occurrences.

4.

Applicability:
4.1. Balancing Authority
4.2. Transmission Operator
4.3. Generator Operator
4.4. Distribution Provider

5.

Effective Date:
See Implementation Plan.

6.

Background:
See Project 2014-03 project page.

B. Requirements and Measures
R1. Each Transmission Operator shall act to maintain the reliability of its Transmission
Operator Area via its own actions or by issuing Operating Instructions. [Violation Risk
Factor: High][Time Horizon: Same-Day Operations, Real-time Operations]
M1. Each Transmission Operator shall have and provide evidence which may include but is
not limited to dated operator logs, dated records, dated and time-stamped voice
recordings or dated transcripts of voice recordings, electronic communications, or
equivalent documentation, that will be used to determine that it acted to maintain
the reliability of its Transmission Operator Area via its own actions or by issuing
Operating Instructions.
R2. Each Balancing Authority shall act to maintain the reliability of its Balancing Authority
Area via its own actions or by issuing Operating Instructions. [Violation Risk Factor:
High][Time Horizon: Same-Day Operations, Real-time Operations]
M2. Each Balancing Authority shall have and provide evidence which may include but is not
limited to dated operator logs, dated records, dated and time-stamped voice
recordings or dated transcripts of voice recordings, electronic communications, or
equivalent documentation, that will be used to determine that it acted to maintain
the reliability of its Balancing Authority Area via its own actions or by issuing
Operating Instructions.

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Standard TOP-001-3 — Transmission Operations
R3. Each Balancing Authority, Generator Operator, and Distribution Provider shall comply
with each Operating Instruction issued by its Transmission Operator(s), unless such
action cannot be physically implemented or it would violate safety, equipment,
regulatory, or statutory requirements. [Violation Risk Factor: High] [Time Horizon:
Same-Day Operations, Real-Time Operations]
M3. Each Balancing Authority, Generator Operator, and Distribution Provider shall make
available upon request, evidence that it complied with each Operating Instruction
issued by the Transmission Operator(s) unless such action could not be physically
implemented or it would have violated safety, equipment, regulatory, or statutory
requirements. Such evidence could include but is not limited to dated operator logs,
voice recordings or transcripts of voice recordings, electronic communications, or
other equivalent evidence in electronic or hard copy format. In such cases, the
Balancing Authority, Generator Operator, and Distribution Provider shall have and
provide copies of the safety, equipment, regulatory, or statutory requirements as
evidence for not complying with the Transmission Operator’s Operating Instruction. If
such a situation has not occurred, the Balancing Authority, Generator Operator, or
Distribution Provider may provide an attestation.
R4.

Each Balancing Authority, Generator Operator, and Distribution Provider shall inform
its Transmission Operator of its inability to comply with an Operating Instruction
issued by its Transmission Operator. [Violation Risk Factor: High] [Time Horizon:
Same-Day Operations, Real-Time Operations]

M4. Each Balancing Authority, Generator Operator, and Distribution Provider shall make
available upon request, evidence which may include but is not limited to dated
operator logs, voice recordings or transcripts of voice recordings, electronic
communications, or equivalent evidence in electronic or hard copy format, that it
informed its Transmission Operator of its inability to comply with its Operating
Instruction issued. If such a situation has not occurred, the Balancing Authority,
Generator Operator, or Distribution Provider may provide an attestation.
R5. Each Transmission Operator, Generator Operator, and Distribution Provider shall
comply with each Operating Instruction issued by its Balancing Authority, unless such
action cannot be physically implemented or it would violate safety, equipment,
regulatory, or statutory requirements. [Violation Risk Factor: High] [Time Horizon:
Same-Day Operations, Real-Time Operations]
M5. Each Transmission Operator, Generator Operator, and Distribution Provider shall
make available upon request, evidence that it complied with each Operating
Instruction issued by its Balancing Authority unless such action could not be physically
implemented or it would have violated safety, equipment, regulatory, or statutory
requirements. Such evidence could include but is not limited to dated operator logs,
voice recordings or transcripts of voice recordings, electronic communications, or
other equivalent evidence in electronic or hard copy format. In such cases, the
Transmission Operator, Generator Operator, and Distribution Provider shall have and
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Standard TOP-001-3 — Transmission Operations
provide copies of the safety, equipment, regulatory, or statutory requirements as
evidence for not complying with the Balancing Authority’s Operating Instruction. If
such a situation has not occurred, the Transmission Operator, Generator Operator, or
Distribution Provider may provide an attestation.
R6. Each Transmission Operator, Generator Operator, and Distribution Provider shall
inform its Balancing Authority of its inability to comply with an Operating Instruction
issued by its Balancing Authority. [Violation Risk Factor: High] [Time Horizon: SameDay Operations, Real-Time Operations]
M6. Each Transmission Operator, Generator Operator, and Distribution Provider shall
make available upon request, evidence which may include but is not limited to dated
operator logs, voice recordings or transcripts of voice recordings, electronic
communications, or equivalent evidence in electronic or hard copy format, that it
informed its Balancing Authority of its inability to comply with its Operating
Instruction. If such a situation has not occurred, the Transmission Operator,
Generator Operator, or Distribution Provider may provide an attestation.
R7. Each Transmission Operator shall assist other Transmission Operators within its
Reliability Coordinator Area, if requested and able, provided that the requesting
Transmission Operator has implemented its comparable Emergency procedures,
unless such assistance cannot be physically implemented or would violate safety,
equipment, regulatory, or statutory requirements. [Violation Risk Factor: High] [Time
Horizon: Real-Time Operations]
M7. Each Transmission Operator shall make available upon request, evidence that
comparable requested assistance, if able, was provided to other Transmission
Operators within its Reliability Coordinator Area unless such assistance could not be
physically implemented or would have violated safety, equipment, regulatory, or
statutory requirements. Such evidence could include but is not limited to dated
operator logs, voice recordings or transcripts of voice recordings, electronic
communications, or other equivalent evidence in electronic or hard copy format. If
no request for assistance was received, the Transmission Operator may provide an
attestation.
R8. Each Transmission Operator shall inform its Reliability Coordinator, known impacted
Balancing Authorities, and known impacted Transmission Operators of its actual or
expected operations that result in, or could result in, an Emergency. [Violation Risk
Factor: High] [Time Horizon: Operations Planning, Same-Day Operations, Real-Time
Operations]
M8. Each Transmission Operator shall make available upon request, evidence that it
informed its Reliability Coordinator, known impacted Balancing Authorities, and
known impacted Transmission Operators of its actual or expected operations that
result in, or could result in, an Emergency. Such evidence could include but is not
limited to dated operator logs, voice recordings or transcripts of voice recordings,

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Standard TOP-001-3 — Transmission Operations
electronic communications, or other equivalent evidence. If no such situations have
occurred, the Transmission Operator may provide an attestation.
R9. Each Balancing Authority and Transmission Operator shall notify its Reliability
Coordinator and known impacted interconnected entities of all planned outages, and
unplanned outages of 30 minutes or more, for telemetering and control equipment,
monitoring and assessment capabilities, and associated communication channels
between the affected entities. [Violation Risk Factor: Medium] [Time Horizon:
Operations Planning, Same-Day Operations, Real-Time Operations]
M9. Each Balancing Authority and Transmission Operator shall make available upon
request, evidence that it notified its Reliability Coordinator and known impacted
interconnected entities of all planned outages, and unplanned outages of 30 minutes
or more, for telemetering and control equipment, monitoring and assessment
capabilities, and associated communication channels. Such evidence could include but
is not limited to dated operator logs, voice recordings or transcripts of voice
recordings, electronic communications, or other equivalent evidence. If such a
situation has not occurred, the Balancing Authority or Transmission Operator may
provide an attestation.
R10. Each Transmission Operator shall perform the following as necessary for determining
System Operating Limit (SOL) exceedances within its Transmission Operator Area:
[Violation Risk Factor: High] [Time Horizon: Real-Time Operations]
10.1. Within its Transmission Operator Area, monitor Facilities and the status of
Special Protection Systems, and
10.2. Outside its Transmission Operator Area, obtain and utilize status, voltages, and
flow data for Facilities and the status of Special Protection Systems.
M10. Each Transmission Operator shall have, and provide upon request, evidence that could
include but is not limited to Energy Management System description documents,
computer printouts, SCADA data collection, or other equivalent evidence that will be
used to confirm that it monitored or obtained and utilized status, voltages, and flow
data for Facilities and the status of Special Protection Systems as required to
determine any System Operating Limit (SOL) exceedances within its Transmission
Operator Area.
R11. Each Balancing Authority shall monitor its Balancing Authority Area, including the
status of Special Protection Systems that impact generation or Load, in order to
maintain generation-Load-interchange balance within its Balancing Authority Area and
support Interconnection frequency. [Violation Risk Factor: High] [Time Horizon: RealTime Operations]
M11. Each Balancing Authority shall have, and provide upon request, evidence that could
include but is not limited to Energy Management System description documents,
computer printouts, SCADA data collection, or other equivalent evidence that will be

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Standard TOP-001-3 — Transmission Operations
used to confirm that it monitors its Balancing Authority Area, including the status of
Special Protection Systems that impact generation or Load, in order to maintain
generation-Load-interchange balance within its Balancing Authority Area and support
Interconnection frequency.
R12. Each Transmission Operator shall not operate outside any identified Interconnection
Reliability Operating Limit (IROL) for a continuous duration exceeding its associated
IROL Tv. [Violation Risk Factor: High] [Time Horizon: Real-time Operations]
M12. Each Transmission Operator shall make available evidence to show that for any
occasion in which it operated outside any identified Interconnection Reliability
Operating Limit (IROL), the continuous duration did not exceed its associated IROL Tv.
Such evidence could include but is not limited to dated computer logs or reports in
electronic or hard copy format specifying the date, time, duration, and details of the
excursion. If such a situation has not occurred, the Transmission Operator may
provide an attestation that an event has not occurred.
R13. Each Transmission Operator shall ensure that a Real-time Assessment is performed at
least once every 30 minutes. [Violation Risk Factor: High] [Time Horizon: Real-time
Operations]
M13. Each Transmission Operator shall have, and make available upon request, evidence to
show it ensured that a Real-Time Assessment was performed at least once every 30
minutes. This evidence could include but is not limited to dated computer logs
showing times the assessment was conducted, dated checklists, or other evidence.
R14. Each Transmission Operator shall initiate its Operating Plan to mitigate a SOL
exceedance identified as part of its Real-time monitoring or Real-time Assessment.
[Violation Risk Factor: High] [Time Horizon: Real-time Operations]
M14. Each Transmission Operator shall have evidence that it initiated its Operating Plan for
mitigating SOL exceedances identified as part of its Real-time monitoring or Real-time
Assessments. This evidence could include but is not limited to dated computer logs
showing times the Operating Plan was initiated, dated checklists, or other evidence.
R15. Each Transmission Operator shall inform its Reliability Coordinator of actions taken to
return the System to within limits when a SOL has been exceeded. [Violation Risk
Factor: Medium] [Time Horizon: Real-Time Operations]
M15. Each Transmission Operator shall make available evidence that it informed its
Reliability Coordinator of actions taken to return the System to within limits when a
SOL was exceeded. Such evidence could include but is not limited to dated operator
logs, voice recordings or transcripts of voice recordings, or dated computer printouts.
If such a situation has not occurred, the Transmission Operator may provide an
attestation.
R16. Each Transmission Operator shall provide its System Operators with the authority to
approve planned outages and maintenance of its telemetering and control
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Standard TOP-001-3 — Transmission Operations
equipment, monitoring and assessment capabilities, and associated communication
channels between affected entities. [Violation Risk Factor: High] [Time Horizon:
Operations Planning, Same-Day Operations, Real-time Operations]
M16. Each Transmission Operator shall have, and provide upon request, evidence that could
include but is not limited to a documented procedure or equivalent evidence that will
be used to confirm that the Transmission Operator has provided its System Operators
with the authority to approve planned outages and maintenance of telemetering and
control equipment, monitoring and assessment capabilities, and associated
communication channels between affected entities.
R17. Each Balancing Authority shall provide its System Operators with the authority to
approve planned outages and maintenance of its telemetering and control equipment,
monitoring and assessment capabilities, and associated communication channels
between affected entities. [Violation Risk Factor: High] [Time Horizon: Operations
Planning, Same-Day Operations, Real-time Operations]
M17. Each Balancing Authority shall have, and provide upon request, evidence that could
include but is not limited to a documented procedure or equivalent evidence that will
be used to confirm that the Balancing Authority has provided its System Operators
with the authority to approve planned outages and maintenance of its telemetering
and control equipment, monitoring and assessment capabilities, and associated
communication channels between affected entities.
R18. Each Transmission Operator shall operate to the most limiting parameter in instances
where there is a difference in SOLs. [Violation Risk Factor: High] [Time Horizon:
Operations Planning, Same-Day Operations, Real-time Operations]
M18. Each Transmission Operator shall have, and provide upon request, evidence that
could include but is not limited to operator logs, voice recordings, electronic
communications, or equivalent evidence that will be used to determine if it operated
to the most limiting parameter in instances where there is a difference in SOLs.
R19. Each Transmission Operator shall have data exchange capabilities with the entities
that it has identified that it needs data from in order to maintain reliability in its
Transmission Operator Area. [Violation Risk Factor: High] [Time Horizon: Operations
Planning, Same-Day Operations, Real-time Operations]
M19. Each Transmission Operator shall have, and provide upon request, evidence that
could include, but is not limited to, operator logs, system specifications, or other
evidence that it has data exchange capabilities with the entities that it has identified
that it needs data from in order to maintain reliability in its Transmission Operator
Area.
R20. Each Balancing Authority shall have data exchange capabilities with the entities that it
has identified that it needs data from in order to maintain reliability in its Balancing
Authority Area. [Violation Risk Factor: High] [Time Horizon: Operations Planning,
Same-Day Operations, Real-time Operations]

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Standard TOP-001-3 — Transmission Operations
M20. Each Balancing Authority shall have, and provide upon request, evidence that could
include, but is not limited to, operator logs, system specifications, or other evidence
that it has data exchange capabilities with the entities that it has identified that it
needs data from in order to maintain reliability in its Balancing Authority Area.
C. Compliance
1.

Compliance Monitoring Process
1.1. Compliance Enforcement Authority
As defined in the NERC Rules of Procedure, “Compliance Enforcement Authority”
(CEA) means NERC or the Regional Entity in their respective roles of monitoring
and enforcing compliance with the NERC Reliability Standards.
1.2. Compliance Monitoring and Assessment Processes
As defined in the NERC Rules of Procedure, “Compliance Monitoring and
Assessment Processes” refers to the identification of the processes that will be
used to evaluate data or information for the purpose of assessing performance
or outcomes with the associated reliability standard.
1.3. Data Retention
The following evidence retention periods 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.
Each Balancing Authority, Transmission Operator, Generator Operator, and
Distribution Provider shall each keep data or evidence for each applicable
Requirement R1 through R11, and R15 through R20 and Measure M1 through
M11, and M15 through M20 for the current calendar year and one previous
calendar year, with the exception of operator logs and voice recordings which
shall be retained for a minimum of ninety calendar days, unless directed by its
Compliance Enforcement Authority to retain specific evidence for a longer
period of time as part of an investigation.
Each Transmission Operator shall retain evidence for three calendar years of any
occasion in which it has exceeded an identified IROL and its associated IROL Tv as
specified in Requirement R12 and Measure M12 and that it initiated its
Operating Plan to mitigate a SOL exceedance as specified in Requirement R14
and Measurement M14.
Each Transmission Operator shall keep data or evidence for Requirement R13
and Measure M13 for a rolling 30-day period, unless directed by its Compliance
Enforcement Authority to retain specific evidence for a longer period of time as
part of an investigation.

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Standard TOP-001-3 — Transmission Operations

If a Balancing Authority, Transmission Operator, Generator Operator, or
Distribution Provider is found non-compliant, it shall keep information related to
the non-compliance until mitigation is complete and approved or the time
period specified above, whichever is longer.
The Compliance Enforcement Authority shall keep the last audit records and all
requested and submitted subsequent audit records.
1.4. Additional Compliance Information
None.

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Standard TOP-001-3 — Transmission Operations
Table of Compliance Elements
R#

Time Horizon

Violation Severity Levels

VRF
Lower VSL

Moderate VSL

High VSL

Severe VSL

R1

Same-Day
Operations,
Real-time
Operations

High

N/A

N/A

N/A

The Transmission Operator
failed to act to maintain the
reliability of its Transmission
Operator Area via its own
actions or by issuing Operating
Instructions.

R2

Same-Day
Operations,
Real-time
Operations

High

N/A

N/A

N/A

The Balancing Authority failed
to act to maintain the
reliability of its Balancing
Authority Area via its own
actions or by issuing Operating
Instructions.

R3

Same-Day
Operations,
Real-Time
Operations

High

N/A

N/A

N/A

The responsible entity did not
comply with an Operating
Instruction issued by the
Transmission Operator, and
such action could have been
physically implemented and
would not have violated
safety, equipment, regulatory,
or statutory requirements.

R4

Same-Day
Operations,
Real-Time
Operations

High

N/A

N/A

N/A

The responsible entity did not
inform its Transmission
Operator of its inability to
comply with an Operating
Instruction issued by its
Transmission Operator.

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Standard TOP-001-3 — Transmission Operations
R#

Time Horizon

Violation Severity Levels

VRF
Lower VSL

Moderate VSL

High VSL

Severe VSL

R5

Same-Day
Operations,
Real-time
Operations

High

N/A

N/A

N/A

The responsible entity did not
comply with an Operating
Instruction issued by the
Balancing Authority, and such
action could have been
physically implemented and
would not have violated
safety, equipment, regulatory,
or statutory requirements.

R6

Same-Day
Operations,
Real-Time
Operations

High

N/A

N/A

N/A

The responsible entity did not
inform its Balancing Authority
of its inability to comply with
an Operating Instruction
issued by its Balancing
Authority.

R7

Real-Time
Operations

High

N/A

N/A

N/A

The Transmission Operator did
not provide comparable
assistance to other
Transmission Operators within
its Reliability Coordinator
Area, when requested and
able, and the requesting entity
had implemented its
Emergency procedures, and
such actions could have been
physically implemented and
would not have violated
safety, equipment, regulatory,
or statutory requirements.

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Standard TOP-001-3 — Transmission Operations
R#

Time Horizon

Violation Severity Levels

VRF
Lower VSL

Moderate VSL

High VSL

Severe VSL

For the Requirements R8 and R9 VSLs only, the intent of the 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.
R8

Operations
Planning,
Same-Day
Operations,
Real-Time
Operations

High

The Transmission
Operator did not
inform one known
impacted
Transmission
Operator or 5% or
less of the known
impacted
Transmission
Operators,
whichever is greater,
of its actual or
expected operations
that resulted in, or
could have resulted
in, an Emergency on
respective
Transmission
Operator Areas.
OR,
The Transmission
Operator did not
inform one known
impacted Balancing
Authorities or 5% or
less of the known

The Transmission
Operator did not
inform two known
impacted
Transmission
Operators or more
than 5% and less than
or equal to 10% of the
known impacted
Transmission
Operators, whichever
is greater, of its actual
or expected
operations that
resulted in, or could
have resulted in, an
Emergency on
respective
Transmission
Operator Areas.
OR,
The Transmission
Operator did not
inform two known
impacted Balancing
Authorities or more

The Transmission
Operator did not inform
three known impacted
Transmission Operators
or more than 10% and
less than or equal to
15% of the known
impacted Transmission
Operators, whichever is
greater, of its actual or
expected operations
that resulted in, or
could have resulted in,
an Emergency on
respective Transmission
Operator Areas.
OR,
The Transmission
Operator did not inform
three known impacted
Balancing Authorities or
more than 10% and less
than or equal to 15% of
the known impacted
Balancing Authorities,
whichever is greater, of

The Transmission Operator did
not inform its Reliability
Coordinator of its actual or
expected operations that
resulted in, or could have
resulted in, an Emergency on
those respective Transmission
Operator Areas.
OR
The Transmission Operator did
not inform four or more
known impacted Transmission
Operators or more than 15%
of the known impacted
Transmission Operators of its
actual or expected operations
that resulted in, or could have
resulted in, an Emergency on
those respective Transmission
Operator Areas.
OR,
The Transmission Operator did
not inform four or more
known impacted Balancing
Authorities or more than 15%
of the known impacted

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R#

R9

Time Horizon

Operations
Planning,
Same-Day
Operations,
Real-Time
Operations

Violation Severity Levels

VRF

Medium

Lower VSL

Moderate VSL

High VSL

Severe VSL

impacted Balancing
Authorities,
whichever is greater,
of its actual or
expected operations
that resulted in, or
could have resulted
in, an Emergency on
respective Balancing
Authority Areas.

than 5% and less than
or equal to 10% of the
known impacted
Balancing Authorities,
whichever is greater,
of its actual or
expected operations
that resulted in, or
could have resulted
in, an Emergency on
respective Balancing
Authority Areas.

its actual or expected
operations that resulted
in, or could have
resulted in, an
Emergency on
respective Balancing
Authority Areas.

Balancing Authorities of its
actual or expected operations
that resulted in, or could have
resulted in, an Emergency on
respective Balancing Authority
Areas.

The responsible
entity did not notify
one known impacted
interconnected
entity or 5% or less
of the known
impacted entities,
whichever is greater,
of a planned outage,
or an unplanned
outage of 30 minutes
or more, for
telemetering and
control equipment,
monitoring and
assessment
capabilities, or
associated

The responsible entity
did not notify two
known impacted
interconnected
entities or more than
5% and less than or
equal to 10% of the
known impacted
entities, whichever is
greater, of a planned
outage, or an
unplanned outage of
30 minutes or more,
for telemetering and
control equipment,
monitoring and
assessment
capabilities, or

The responsible entity
did not notify three
known impacted
interconnected entities
or more than 10% and
less than or equal to
15% of the known
impacted entities,
whichever is greater, of
a planned outage, or an
unplanned outage of 30
minutes or more, for
telemetering and
control equipment,
monitoring and
assessment capabilities,
or associated
communication

The responsible entity did not
notify its Reliability
Coordinator of a planned
outage, or an unplanned
outage of 30 minutes or more,
for telemetering and control
equipment, monitoring and
assessment capabilities, and
associated communication
channels.
OR,
The responsible entity did not
notify four or more known
impacted interconnected
entities or more than 15% of
the known impacted entities,
whichever is greater, of a
planned outage, or an

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Standard TOP-001-3 — Transmission Operations
R#

Time Horizon

Violation Severity Levels

VRF
Lower VSL

Moderate VSL

High VSL

Severe VSL

communication
channels between
the affected entities.

associated
communication
channels between the
affected entities.

channels between the
affected entities.

unplanned outage of 30
minutes or more, for
telemetering and control
equipment, monitoring and
assessment capabilities, or
associated communication
channels between the
affected entities.

R10

Real-Time
Operations

High

N/A

The Transmission
Operator did not
monitor one of the
items listed in
Requirement R10,
Part 10.1.
OR,
The Transmission
Operator did not
obtain and utilize one
of the items listed in
Requirement R10,
Part 10.2.

The Transmission
Operator did not
monitor one of the
items listed in
Requirement R10, Part
10.1 and did not obtain
and utilize one of the
items listed in
Requirement R10, Part
10.2.

The Transmission Operator did
not monitor Facilities and the
status of Special Protection
Systems within its
Transmission Operator Area
and did not obtain and utilize
data deemed as necessary
from outside its Transmission
Operator Area.

R11

Real-Time
Operations

High

N/A

N/A

The Balancing Authority
did not monitor the
status of Special
Protection Systems that
impact generation or
Load, in order to
maintain generationLoad-interchange

The Balancing Authority did
not monitor its Balancing
Authority Area, in order to
maintain generation-Loadinterchange balance within its
Balancing Authority Area and
support Interconnection
frequency.

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Standard TOP-001-3 — Transmission Operations
R#

Time Horizon

Violation Severity Levels

VRF
Lower VSL

Moderate VSL

High VSL

Severe VSL

balance within its
Balancing Authority
Area and support
Interconnection
frequency.
R12

Real-Time
Operations

High

R13

Same-Day
Operations,
Real-Time
Operations

High

R14.

Real-Time
Operations

High

N/A

N/A

N/A

The Transmission Operator
exceeded an identified
Interconnection Reliability
Operating Limit (IROL) for a
continuous duration greater
than its associated IROL Tv.

For any sample 24hour period within
the 30-day retention
period, the
Transmission
Operator’s Real-time
Assessment was not
conducted for one
30-minute period
within that 24-hour
period.

For any sample 24hour period within the
30-day retention
period, the
Transmission
Operator’s Real-time
Assessment was not
conducted for two 30minute periods within
that 24-hour period.

For any sample 24-hour
period within the 30day retention period,
the Transmission
Operator’s Real-time
Assessment was not
conducted for three 30minute periods within
that 24-hour period.

For any sample 24-hour period
within the 30-day retention
period, the Transmission
Operator’s Real-time
Assessment was not
conducted for four or more
30-minute periods within that
24-hour period.

N/A

N/A

N/A

The Transmission Operator did
not initiate its Operating Plan
for mitigating a SOL
exceedance identified as part
of its Real-time monitoring or
Real-time Assessment

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Standard TOP-001-3 — Transmission Operations
R#

Time Horizon

Violation Severity Levels

VRF
Lower VSL

R15.

Real-Time
Operations

Medium

R16.

Operations
Planning,
Same-Day
Operations,
Real-Time
Operations

High

R17.

Operations
Planning,
Same-Day
Operations,
Real-Time
Operations

High

N/A

Moderate VSL

High VSL

Severe VSL

N/A

N/A

The Transmission Operator did
not inform its Reliability
Coordinator of actions taken
to return the System to within
limits when a SOL had been
exceeded.

N/A

N/A

N/A

The Transmission Operator did
not provide its System
Operators with the authority
to approve planned outages
and maintenance of its
telemetering and control
equipment, monitoring and
assessment capabilities, and
associated communication
channels between affected
entities.

N/A

N/A

N/A

The Balancing Authority did
not provide its System
Operators with the authority
to approve planned outages
and maintenance of its
telemetering and control
equipment, monitoring and
assessment capabilities, and
associated communication
channels between affected
entities.

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Standard TOP-001-3 — Transmission Operations
R#

Time Horizon

Violation Severity Levels

VRF
Lower VSL

Moderate VSL

High VSL

Severe VSL

R18

Operations
Planning,
Same-Day
Operations,
Real-time
Operations

High

N/A

N/A

N/A

The Transmission Operator
failed to operate to the most
limiting parameter in
instances where there was a
difference in SOLs.

R19

Operations
Planning,
Same-Day
Operations,
Real-time
Operations

High

The Transmission
Operator did not
have data exchange
capabilities with one
identified entity, or
5% or less of the
applicable entities,
whichever is greater.

The Transmission
Operator did not have
data exchange
capabilities with two
identified entities, or
more than 5% or less
than or equal to 10%
of the applicable
entities, whichever is
greater.

The Transmission
Operator did not have
data exchange
capabilities with three
identified entities, or
more than 10% or less
than or equal to 15% of
the applicable entities,
whichever is greater.

The Transmission Operator did
not have data exchange
capabilities with four or more
identified entities or greater
than 15% of the applicable
entities, whichever is greater.

R20

Operations
Planning,
Same-Day
Operations,
Real-time
Operations

High

The Balancing
Authority did not
have data exchange
capabilities with one
identified entity, or
5% or less of the
applicable entities,
whichever is greater.

The Balancing
Authority did not have
data exchange
capabilities with two
identified entities, or
more than 5% or less
than or equal to 10%
of the applicable
entities, whichever is
greater.

The Balancing Authority
did not have data
exchange capabilities
with three identified
entities, or more than
10% or less than or
equal to 15% of the
applicable entities,
whichever is greater.

The Balancing Authority did
not have data exchange
capabilities with four or more
identified entities or greater
than 15% of the applicable
entities, whichever is greater.

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Standard TOP-001-3 — Transmission Operations

D. Regional Variances
None.
E. Interpretations
None.
F. Associated Documents
The SDT has created the SOL Exceedance White Paper as guidance on SOL issues and the
URL for that document is: http://www.nerc.com/pa/stand/Pages/TOP0013RI.aspx.
Operating Plan - An Operating Plan includes general Operating Processes and specific
Operating Procedures. It may be an overview document which provides a prescription for
an Operating Plan for the next-day, or it may be a specific plan to address a specific SOL or
IROL exceedance identified in the Operational Planning Analysis (OPA). Consistent with the
NERC definition, Operating Plans can be general in nature, or they can be specific plans to
address specific reliability issues. The use of the term Operating Plan in the revised
TOP/IRO standards allows room for both. An Operating Plan references processes and
procedures, including electronic data exchange, which are available to the System Operator
on a daily basis to allow the operator to reliably address conditions which may arise
throughout the day. It is valid for tomorrow, the day after, and the day after that. Operating
Plans should be augmented by temporary operating guides which outline
prevention/mitigation plans for specific situations which are identified day-to-day in an OPA
or a Real-time Assessment (RTA). As the definition in the Glossary of Terms states, a
restoration plan is an example of an Operating Plan. It contains all the overarching
principles that the System Operator needs to work his/her way through the restoration
process. It is not a specific document written for a specific blackout scenario but rather a
collection of tools consisting of processes, procedures, and automated software systems
that are available to the operator to use in restoring the system. An Operating Plan can in
turn be looked upon in a similar manner. It does not contain a prescription for the specific
set-up for tomorrow but contains a treatment of all the processes, procedures, and
automated software systems that are at the operator’s disposal. The existence of an
Operating Plan, however, does not preclude the need for creating specific action plans for
specific SOL or IROL exceedances identified in the OPA. When a Reliability Coordinator
performs an OPA, the analysis may reveal instances of possible SOL or IROL exceedances for
pre- or post-Contingency conditions. In these instances, Reliability Coordinators are
expected to ensure that there are plans in place to prevent or mitigate those SOLs or IROLs,
should those operating conditions be encountered the next day. The Operating Plan may
contain a description of the process by which specific prevention or mitigation plans for
day-to-day SOL or IROL exceedances identified in the OPA are handled and communicated.
This approach could alleviate any potential administrative burden associated with perceived
requirements for continual day-to-day updating of “the Operating Plan document” for
compliance purposes.

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Standard TOP-001-3 — Transmission Operations

Version History
Version

Date

Action

Change Tracking

0

April 1, 2005

Effective Date

New

0

August 8, 2005

Removed “Proposed” from Effective
Date

Errata

1

November 1,
2006

Adopted by Board of Trustees

Revised

1a

May 12, 2010

Added Appendix 1 – Interpretation of
R8 approved by Board of Trustees on
May 12, 2010

Interpretation

1a

September 15,
2011

FERC Order issued approved the
Interpretation of R8 (FERC Order
became effective November 21, 2011)

Interpretation

2

May 6, 2012

Revised under Project 2007-03

Revised

2

May 9, 2012

Adopted by Board of Trustees

Revised

3

February 12,
2015

Adopted by Board of Trustees

Revisions under
Project 2014-03

Rationale:
During development of this standard, text boxes were embedded within the standard to explain
the rationale for various parts of the standard. Upon BOT approval, the text from the rationale
text boxes was moved to this section.
Rationale for Requirement R3:
The phrase ‘cannot be physically implemented’ means that a Transmission Operator may
request something to be done that is not physically possible due to its lack of knowledge of the
system involved.
Rationale for Requirement R10:
New proposed Requirement R10 is derived from approved IRO-003-2, Requirement R1, adapted
to the Transmission Operator Area. This new requirement is in response to NOPR paragraph 60
concerning monitoring capabilities for the Transmission Operator. New Requirement R11

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Standard TOP-001-3 — Transmission Operations
covers the Balancing Authorities. Monitoring of external systems can be accomplished via data
links.
Rationale for Requirement R13:
The new Requirement R13 is in response to NOPR paragraphs 55 and 60 concerning Real-time
analysis responsibilities for Transmission Operators and is copied from approved IRO-008-1,
Requirement R2. The Transmission Operator’s Operating Plan will describe how to perform the
Real-time Assessment. The Operating Plan should contain instructions as to how to perform
Operational Planning Analysis and Real-time Assessment with detailed instructions and timing
requirements as to how to adapt to conditions where processes, procedures, and automated
software systems are not available (if used). This could include instructions such as an
indication that no actions may be required if system conditions have not changed significantly
and that previous Contingency analysis or Real-time Assessments may be used in such a
situation.
Rationale for Requirement R14:
The original Requirement R8 was deleted and original Requirements R9 and R11 were revised in
order to respond to NOPR paragraph 42 which raised the issue of handling all SOLs and not just
a sub-set of SOLs. The SDT has developed a white paper on SOL exceedances that explains its
intent on what needs to be contained in such an Operating Plan. These Operating Plans are
developed and documented in advance of Real-time and may be developed from Operational
Planning Assessments required per proposed TOP-002-4 or other assessments. Operating Plans
could be augmented by temporary operating guides which outline prevention/mitigation plans
for specific situations which are identified day-to-day in an Operational Planning Assessment or
a Real-time Assessment. The intent is to have a plan and philosophy that can be followed by an
operator.
Rationale for Requirements R16 and R17:
In response to IERP Report recommendation 3 on authority.
Rationale for Requirement R18:
Moved from approved IRO-005-3.1a, Requirement R10. Transmission Service Provider,
Distribution Provider, Load-Serving Entity, Generator Operator, and Purchasing-Selling Entity
are deleted as those entities will receive instructions on limits from the responsible entities
cited in the requirement. Note – Derived limits replaced by SOLs for clarity and specificity. SOLs
include voltage, Stability, and thermal limits and are thus the most limiting factor.
Rationale for Requirements R19 and R20:
Added for consistency with proposed IRO-002-4, Requirement R1. Data exchange capabilities
are required to support the data specification concept in proposed TOP-003-3.

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* FOR INFORMATIONAL PURPOSES ONLY *
Enforcement Dates: Standard TOP-001-3 — Transmission Operations
United States
Standard

Requirement

TOP-001-3

All

Enforcement Date

Inactive Date

This standard has not yet been approved by the applicable regulatory authority.

Printed On: July 30, 2015, 01:28 PM