Reliability Standard MOD-031-1

Reliability Standard MOD-031-1.pdf

FERC-725L (Order in RD16-1) Mandatory Reliability Standards for the Bulk-Power System: MOD Reliability Standards

Reliability Standard MOD-031-1

OMB: 1902-0261

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MOD-031-1 — Demand and Energy Data

A. Introduction
1.

Title: Demand and Energy Data

2.

Number:

3.

Purpose: To provide authority for applicable entities to collect Demand, energy
and related data to support reliability studies and assessments and to enumerate the
responsibilities and obligations of requestors and respondents of that data.

4.

Applicability:

MOD-031-1

4.1. Functional Entities:
4.1.1 Planning Authority and Planning Coordinator (hereafter collectively
referred to as the “Planning Coordinator”)
This proposed standard combines “Planning Authority” with “Planning
Coordinator” in the list of applicable functional entities. The NERC
Functional Model lists “Planning Coordinator” while the registration
criteria list “Planning Authority,” and they are not yet synchronized. Until
that occurs, the proposed standard applies to both “Planning Authority”
and “Planning Coordinator.”
4.1.2 Transmission Planner
4.1.3 Balancing Authority
4.1.4 Resource Planner
4.1.5 Load-Serving Entity
4.1.6 Distribution Provider
5.

Effective Date
5.1. MOD-031-1 shall become effective on the first day of the first calendar quarter
that is twelve months after the date that this standard is approved by applicable
regulatory authorities or as otherwise provided for in a jurisdiction where
approval by an applicable governmental authority is required for a standard to
go into effect. Where approval by an applicable governmental authority is not
required, the standard shall become effective on the first day of the first
calendar quarter that is twelve months after the date the standard is adopted by
the NERC Board of Trustees or as otherwise provided for in that jurisdiction.

6.

Background:
To ensure that various forms of historical and forecast Demand and energy data and
information is available to the parties that perform reliability studies and
assessments, authority is needed to collect the applicable data.
The collection of Demand, Net Energy for Load and Demand Side Management data
requires coordination and collaboration between Planning Authorities (Planning
Coordinators), Transmission and Resource Planners, Load-Serving Entities and

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MOD-031-1 — Demand and Energy Data

Distribution Providers. Ensuring that planners and operators have access to complete
and accurate load forecasts – as well as the supporting methods and assumptions
used to develop these forecasts – enhances the reliability of the Bulk Electric System.
Consistent documenting and information sharing activities will also improve efficient
planning practices and support the identification of needed system reinforcements.
Furthermore, collection of actual Demand and Demand Side Management
performance during the prior year will allow for comparison to prior forecasts and
further contribute to enhanced accuracy of load forecasting practices.
B. Requirements and Measures
R1.

Each Planning Coordinator or Balancing Authority that identifies a need for the
collection of Total Internal Demand, Net Energy for Load, and Demand Side
Management data shall develop and issue a data request to the applicable entities in
its area. The data request shall include: [Violation Risk Factor: Medium] [Time
Horizon: Long-term Planning]
1.1. A list of Transmission Planners, Balancing Authorities, Load Serving Entities, and
Distribution Providers that are required to provide the data (“Applicable
Entities”).
1.2. A timetable for providing the data. (A minimum of 30 calendar days must be
allowed for responding to the request).
1.3. A request to provide any or all of the following actual data, as necessary:
1.3.1. Integrated hourly Demands in megawatts for the prior calendar year.
1.3.2. Monthly and annual integrated peak hour Demands in megawatts for the
prior calendar year.
1.3.2.1.

If the annual peak hour actual Demand varies due to weatherrelated conditions (e.g., temperature, humidity or wind
speed), the Applicable Entity shall also provide the weather
normalized annual peak hour actual Demand for the prior
calendar year.

1.3.3. Monthly and annual Net Energy for Load in gigawatthours for the prior
calendar year.
1.3.4. Monthly and annual peak hour controllable and dispatchable Demand
Side Management under the control or supervision of the System
Operator in megawatts for the prior calendar year. Three values shall be
reported for each hour: 1) the committed megawatts (the amount under
control or supervision), 2) the dispatched megawatts (the amount, if any,
activated for use by the System Operator), and 3) the realized megawatts
(the amount of actual demand reduction).
1.4. A request to provide any or all of the following forecast data, as necessary:

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MOD-031-1 — Demand and Energy Data

1.4.1. Monthly peak hour forecast Total Internal Demands in megawatts for the
next two calendar years.
1.4.2. Monthly forecast Net Energy for Load in gigawatthours for the next two
calendar years.
1.4.3. Peak hour forecast Total Internal Demands (summer and winter) in
megawatts for ten calendar years into the future.
1.4.4. Annual forecast Net Energy for Load in gigawatthours for ten calendar
years into the future.
1.4.5. Total and available peak hour forecast of controllable and dispatchable
Demand Side Management (summer and winter), in megawatts, under
the control or supervision of the System Operator for ten calendar years
into the future.
1.5. A request to provide any or all of the following summary explanations, as
necessary,:
1.5.1. The assumptions and methods used in the development of aggregated
Peak Demand and Net Energy for Load forecasts.
1.5.2. The Demand and energy effects of controllable and dispatchable Demand
Side Management under the control or supervision of the System
Operator.
1.5.3. How Demand Side Management is addressed in the forecasts of its Peak
Demand and annual Net Energy for Load.
1.5.4. How the controllable and dispatchable Demand Side Management
forecast compares to actual controllable and dispatchable Demand Side
Management for the prior calendar year and, if applicable, how the
assumptions and methods for future forecasts were adjusted.
1.5.5. How the peak Demand forecast compares to actual Demand for the prior
calendar year with due regard to any relevant weather-related variations
(e.g., temperature, humidity, or wind speed) and, if applicable, how the
assumptions and methods for future forecasts were adjusted.
M1. The Planning Coordinator or Balancing Authority shall have a dated data request,
either in hardcopy or electronic format, in accordance with Requirement R1.
R2.

Each Applicable Entity identified in a data request shall provide the data requested by
its Planning Coordinator or Balancing Authority in accordance with the data request
issued pursuant to Requirement R1. [Violation Risk Factor: Medium] [Time Horizon:
Long-term Planning]

M2. Each Applicable Entity shall have evidence, such as dated e-mails or dated transmittal
letters that it provided the requested data in accordance with Requirement R2.

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MOD-031-1 — Demand and Energy Data

R3.

The Planning Coordinator or the Balancing Authority shall provide the data collected
under Requirement R2 to the applicable Regional Entity within 75 calendar days of
receiving a request for such data, unless otherwise agreed upon by the parties.
[Violation Risk Factor: Medium] [Time Horizon: Long-term Planning]

M3. Each Planning Coordinator or Balancing Authority, shall have evidence, such as dated
e-mails or dated transmittal letters that it provided the data requested by the
applicable Regional Entity in accordance with Requirement R3.
R4.

Any Applicable Entity shall, in response to a written request for the data included in
parts 1.3-1.5 of Requirement R1 from a Planning Coordinator, Balancing Authority,
Transmission Planner or Resource Planner with a demonstrated need for such data in
order to conduct reliability assessments of the Bulk Electric System, provide or
otherwise make available that data to the requesting entity. This requirement does
not modify an entity’s obligation pursuant to Requirement R2 to respond to data
requests issued by its Planning Coordinator or Balancing Authority pursuant to
Requirement R1. Unless otherwise agreed upon, the Applicable Entity: [Violation Risk
Factor: Medium] [Time Horizon: Long-term Planning]


shall provide the requested data within 45 calendar days of the written
request, subject to part 4.1 of this requirement; and



shall not be required to alter the format in which it maintains or uses the data.

4.1. If the Applicable Entity does not provide data requested under this requirement
because (1) the requesting entity did not demonstrate a reliability need for the
data; or (2) providing the data would conflict with the Applicable Entity’s
confidentiality, regulatory, or security requirements, the Applicable Entity shall,
within 30 calendar days of the written request, provide a written response to the
requesting entity specifying the data that is not being provided and on what
basis.
M4. Each Applicable Entity identified in Requirement R4 shall have evidence such as dated
e-mails or dated transmittal letters that it provided the data requested or provided a
written response specifying the data that is not being provided and the basis for not
providing the data in accordance with Requirement R4.

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MOD-031-1 — Demand and Energy Data

C. Compliance
1.

Compliance Monitoring Process
1.1. Compliance Enforcement Authority
As defined in the NERC Rules of Procedure, “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 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.
The Applicable Entity shall keep data or evidence to show compliance with
Requirements R1 through R4, and Measures M1 through M4, since the last audit,
unless directed by its Compliance Enforcement Authority to retain specific
evidence for a longer period of time as part of an investigation.
If an Applicable Entity is found non-compliant, it shall keep information related
to the non-compliance until mitigation is complete and approved, or for the time
specified above, whichever is longer.
The Compliance Enforcement Authority shall keep the last audit records and all
requested and submitted subsequent audit records.
1.3. Compliance Monitoring and Assessment Processes:
Compliance Audit
Self-Certification
Spot Checking
Compliance Investigation
Self-Reporting
Complaint
1.4. Additional Compliance Information
None

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MOD-031-1 — Demand and Energy Data

Table of Compliance Elements
R#

Time Horizon

VRF

Violation Severity Levels
Lower VSL

Moderate VSL

N/A

N/A

N/A

The Planning Coordinator
or Balancing Authority
developed and issued a
data request but failed to
include either the entity(s)
necessary to provide the
data or the timetable for
providing the data.

The Applicable Entity,
as defined in the data
request developed in
Requirement R1, failed
to provide one of the
requested items in
Requirement R1 part
1.3.1 through part
1.3.4

The Applicable Entity,
as defined in the data
request developed in
Requirement R1, failed
to provide two of the
requested items in
Requirement R1 part
1.3.1 through part
1.3.4

The Applicable Entity, as
defined in the data request
developed in Requirement
R1, failed to provide three
or more of the requested
items in Requirement R1
part 1.3.1 through part
1.3.4

OR

OR

OR

The Applicable Entity,
as defined in the data
request developed in
Requirement R1,
provided the data
requested in
Requirement R1, but

The Applicable Entity,
as defined in the data
request developed in
Requirement R1, failed
to provide one of the
requested items in
Requirement R1 part

The Applicable Entity,
as defined in the data
request developed in
Requirement R1, failed
to provide two of the
requested items in
Requirement R1 part

The Applicable Entity, as
defined in the data request
developed in Requirement
R1, failed to provide three
or more of the requested
items in Requirement R1
part 1.4.1 through part
1.4.5

R1

Long-term
Planning

Medium

R2

Long-term
Planning

Medium The Applicable Entity,
as defined in the data
request developed in
Requirement R1, failed
to provide all of the
data requested in
Requirement R1 part
1.5.1 through part
1.5.5

High VSL

Severe VSL

OR

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MOD-031-1 — Demand and Energy Data

did so after the date
indicated in the
timetable provided
pursuant to
Requirement R1 part
1.2 but prior to 6 days
after the date
indicated in the
timetable provided
pursuant to
Requirement R1 part
1.2.

R3

Long-term
Planning

Medium The Planning
Coordinator or
Balancing Authority, in
response to a request
by the Regional Entity,
made available the
data collected under
Requirement R2, but

1.4.1 through part
1.4.5

1.4.1 through part
1.4.5

OR

OR

OR

The Applicable Entity,
as defined in the data
request developed in
Requirement R1,
provided the data
requested in
Requirement R1, but
did so 6 days after the
date indicated in the
timetable provided
pursuant to
Requirement R1 part
1.2 but prior to 11
days after the date
indicated in the
timetable provided
pursuant to
Requirement R1 part
1.2.

The Applicable Entity, as
defined in the data request
The Applicable Entity, developed in Requirement
R1, failed to provide the
as defined in the data
data requested in the
request developed in
timetable provided
Requirement R1,
pursuant to Requirement
provided the data
R1 prior to 16 days after
requested in
the date indicated in the
Requirement R1, but
timetable provided
did so 11 days after
pursuant to Requirement
the date indicated in
the timetable provided R1 part 1.2.
pursuant to
Requirement R1 part
1.2 but prior to 15
days after the date
indicated in the
timetable provided
pursuant to
Requirement R1 part
1.2.

The Planning
Coordinator or
Balancing Authority, in
response to a request
by the Regional Entity,
made available the
data collected under
Requirement R2, but

The Planning
Coordinator or
Balancing Authority, in
response to a request
by the Regional Entity,
made available the
data collected under
Requirement R2, but

The Planning Coordinator
or Balancing Authority, in
response to a request by
the Regional Entity, failed
to make available the data
collected under
Requirement R2 prior to 91

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MOD-031-1 — Demand and Energy Data

R4

Long-term
Planning

did so after 75 days
from the date of
request but prior to 81
days from the date of
the request.

did so after 80 days
from the date of
request but prior to 86
days from the date of
the request.

did so after 85 days
from the date of
request but prior to 91
days from the date of
the request.

days or more from the
date of the request.

Medium The Applicable Entity
provided or otherwise
made available the
data to the requesting
entity but did so after
45 days from the date
of request but prior to
51 days from the date
of the request

The Applicable Entity
provided or otherwise
made available the
data to the requesting
entity but did so after
50 days from the date
of request but prior to
56 days from the date
of the request

The Applicable Entity
provided or otherwise
made available the
data to the requesting
entity but did so after
55 days from the date
of request but prior to
61 days from the date
of the request

The Applicable Entity failed
to provide or otherwise
make available the data to
the requesting entity
within 60 days from the
date of the request

OR

OR

OR

The Applicable Entity
that is not providing
the data requested
provided a written
response specifying
the data that is not
being provided and on
what basis but did so
after 30 days of the
written request but
prior to 36 days of the
written resquest.

The Applicable Entity
that is not providing
the data requested
provided a written
response specifying
the data that is not
being provided and on
what basis but did so
after 35 days of the
written request but
prior to 41 days of the
written resquest.

The Applicable Entity
that is not providing
the data requested
provided a written
response specifying
the data that is not
being provided and on
what basis but did so
after 40 days of the
written request but
prior to 46 days of the
written resquest.

OR
The Applicable Entity that
is not providing the data
requested failed to provide
a written response
specifying the data that is
not being provided and on
what basis within 45 days
of the written resquest.

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MOD-031-1 — Demand and Energy Data

D. Regional Variances
None.
E. Interpretations
None.
F. Associated Documents
None.

Version History

Version

Date

1

May 6,
2014

Action

Change Tracking

Adopted by the NERC Board of
Trustees.

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Application Guidelines
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 R1:
Rationale for R1: To ensure that when Planning Coordinators (PCs) or Balancing Authorities
(BAs) request data (R1), they identify the entities that must provide the data (Applicable Entity
in part 1.1), the data to be provided (parts 1.3 – 1.5) and the due dates (part 1.2) for the
requested data.
For Requirement R1 part 1.3.2.1, if the Demand does not vary due to weather-related
conditions (e.g., temperature, humidity or wind speed), or the weather assumed in the forecast
was the same as the actual weather, the weather normalized actual Demand will be the same
as the actual demand reported for Requirement R1 part 1.3.2. Otherwise the annual peak hour
weather normalized actual Demand will be different from the actual demand reported for
Requirement R1 part 1.3.2.
Balancing Authorities are included here to reflect a practice in the WECC Region where BAs are
the entity that perform this requirement in lieu of the PC.
Rationale for R2:
This requirement will ensure that entities identified in Requirement R1, as responsible for
providing data, provide the data in accordance with the details described in the data request
developed in accordance with Requirement R1. In no event shall the Applicable Entity be
required to provide data under this requirement that is outside the scope of parts 1.3 - 1.5 of
Requirement R1.
Rationale for R3:
This requirement will ensure that the Planning Coordinator or when applicable, the Balancing
Authority, provides the data requested by the Regional Entity.
Rationale for R4:
This requirement will ensure that the Applicable Entity will make the data requested by the
Planning Coordinator or Balancing Authority in Requirement R1 available to other applicable
entities (Planning Coordinator, Balancing Authority, Transmission Planner or Resource Planner)
unless providing the data would conflict with the provisions outlined in Requirement R4 below.
The sharing of documentation of the supporting methods and assumptions used to develop
forecasts as well as information-sharing activities will improve the efficiency of planning
practices and support the identification of needed system reinforcements.

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