Reliability Standard COM-001-2

Standard COM-001-2 — Communications

A. Introduction
1.

Title:

Communications

2.

Number:

COM-001-2

3.

Purpose: To establish Interpersonal Communication capabilities necessary to
maintain reliability.

4.

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

5.

Effective Date:
The first day of the second calendar quarter beyond the date that
this standard is approved by applicable regulatory authorities, or in those jurisdictions
where regulatory approval is not required, the standard becomes effective on the first
day of the first calendar quarter beyond the date this standard is approved by the NERC
Board of Trustees, or as otherwise made effective pursuant to the laws applicable to
such ERO governmental authorities.

B. Requirements
R1. Each Reliability Coordinator shall have Interpersonal Communication capability with
the following entities (unless the Reliability Coordinator detects a failure of its
Interpersonal Communication capability in which case Requirement R10 shall apply):
[Violation Risk Factor: High] [Time Horizon: Real-time Operations]
1.1.

All Transmission Operators and Balancing Authorities within its Reliability
Coordinator Area.

1.2.

Each adjacent Reliability Coordinator within the same Interconnection.

R2. Each Reliability Coordinator shall designate an Alternative Interpersonal
Communication capability with the following entities: [Violation Risk Factor: High]
[Time Horizon: Real-time Operations]
2.1.

All Transmission Operators and Balancing Authorities within its Reliability
Coordinator Area.

2.2.

Each adjacent Reliability Coordinator within the same Interconnection.

R3. Each Transmission Operator shall have Interpersonal Communication capability with
the following entities (unless the Transmission Operator detects a failure of its
Interpersonal Communication capability in which case Requirement R10 shall apply):
[Violation Risk Factor: High] [Time Horizon: Real-time Operations]
3.1.

Its Reliability Coordinator.

3.2.

Each Balancing Authority within its Transmission Operator Area.

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Standard COM-001-2 — Communications

3.3.

Each Distribution Provider within its Transmission Operator Area.

3.4.

Each Generator Operator within its Transmission Operator Area.

3.5.

Each adjacent Transmission Operator synchronously connected.

3.6.

Each adjacent Transmission Operator asynchronously connected.

R4. Each Transmission Operator shall designate an Alternative Interpersonal
Communication capability with the following entities: [Violation Risk Factor: High]
[Time Horizon: Real-time Operations]
4.1.

Its Reliability Coordinator.

4.2.

Each Balancing Authority within its Transmission Operator Area.

4.3.

Each adjacent Transmission Operator synchronously connected.

4.4.

Each adjacent Transmission Operator asynchronously connected.

R5. Each Balancing Authority shall have Interpersonal Communication capability with the
following entities (unless the Balancing Authority detects a failure of its Interpersonal
Communication capability in which case Requirement R10 shall apply): [Violation
Risk Factor: High] [Time Horizon: Real-time Operations]
5.1.

Its Reliability Coordinator.

5.2.

Each Transmission Operator that operates Facilities within its Balancing
Authority Area.

5.3.

Each Distribution Provider within its Balancing Authority Area.

5.4.

Each Generator Operator that operates Facilities within its Balancing Authority
Area.

5.5.

Each Adjacent Balancing Authority.

R6. Each Balancing Authority shall designate an Alternative Interpersonal Communication
capability with the following entities: [Violation Risk Factor: High] [Time Horizon:
Real-time Operations]
1.1.

Its Reliability Coordinator.

1.2.

Each Transmission Operator that operates Facilities within its Balancing
Authority Area.

1.3.

Each Adjacent Balancing Authority.

R7. Each Distribution Provider shall have Interpersonal Communication capability with the
following entities (unless the Distribution Provider detects a failure of its Interpersonal
Communication capability in which case Requirement R11 shall apply): [Violation
Risk Factor: Medium] [Time Horizon: Real-time Operations]
7.1.

Its Balancing Authority.

7.2.

Its Transmission Operator.

R8. Each Generator Operator shall have Interpersonal Communication capability with the
following entities (unless the Generator Operator detects a failure of its Interpersonal

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Standard COM-001-2 — Communications

Communication capability in which case Requirement R11 shall apply): [Violation
Risk Factor: High] [Time Horizon: Real-time Operations]
8.1.

Its Balancing Authority.

8.2.

Its Transmission Operator.

R9. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall
test its Alternative Interpersonal Communication capability at least once each calendar
month. If the test is unsuccessful, the responsible entity shall initiate action to repair or
designate a replacement Alternative Interpersonal Communication capability within 2
hours. [Violation Risk Factor: Medium][Time Horizon: Real-time Operations, Sameday Operations]
R10. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall
notify entities as identified in Requirements R1, R3, and R5, respectively within 60
minutes of the detection of a failure of its Interpersonal Communication capability that
lasts 30 minutes or longer. [Violation Risk Factor: Medium] [Time Horizon: Realtime Operations]
R11. Each Distribution Provider and Generator Operator that detects a failure of its
Interpersonal Communication capability shall consult each entity affected by the
failure, as identified in Requirement R7 for a Distribution Provider or Requirement R8
for a Generator Operator, to determine a mutually agreeable action for the restoration
of its Interpersonal Communication capability. [Violation Risk Factor: Medium]
[Time Horizon: Real-time Operations]
C. Measures
M1. Each Reliability Coordinator shall have and provide upon request evidence that it has
Interpersonal Communication capability with all Transmission Operators and
Balancing Authorities within its Reliability Coordinator Area and with each adjacent
Reliability Coordinator within the same Interconnection, which could include, but is
not limited to:


physical assets, or



dated evidence, such as, equipment specifications and installation documentation,
test records, operator logs, voice recordings, transcripts of voice recordings, or
electronic communications. (R1.)

M2. Each Reliability Coordinator shall have and provide upon request evidence that it
designated an Alternative Interpersonal Communication capability with all
Transmission Operators and Balancing Authorities within its Reliability Coordinator
Area and with each adjacent Reliability Coordinator within the same Interconnection,
which could include, but is not limited to:


physical assets, or



dated evidence, such as, equipment specifications and installation documentation,
test records, operator logs, voice recordings, transcripts of voice recordings, or
electronic communications. (R2.)

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Standard COM-001-2 — Communications

M3. Each Transmission Operator shall have and provide upon request evidence that it has
Interpersonal Communication capability with its Reliability Coordinator, each
Balancing Authority, Distribution Provider, and Generator Operator within its
Transmission Operator Area, and each adjacent Transmission Operator asynchronously
or synchronously connected, which could include, but is not limited to:


physical assets, or



dated evidence, such as, equipment specifications and installation documentation,
test records, operator logs, voice recordings, transcripts of voice recordings, or
electronic communication. (R3.)

M4. Each Transmission Operator shall have and provide upon request evidence that it
designated an Alternative Interpersonal Communication capability with its Reliability
Coordinator, each Balancing Authority within its Transmission Operator Area, and
each adjacent Transmission Operator asynchronously and synchronously connected,
which could include, but is not limited to:


physical assets, or



dated evidence, such as, equipment specifications and installation documentation,
test records, operator logs, voice recordings, transcripts of voice recordings, or
electronic communications. (R4.)

M5. Each Balancing Authority shall have and provide upon request evidence that it has
Interpersonal Communication capability with its Reliability Coordinator, each
Transmission Operator and Generator Operator that operates Facilities within its
Balancing Authority Area, each Distribution Provider within its Balancing Authority
Area, and each adjacent Balancing Authority, which could include, but is not limited
to:


physical assets, or



dated evidence, such as, equipment specifications and installation documentation,
test records, operator logs, voice recordings, transcripts of voice recordings, or
electronic communications. (R5.)

M6. Each Balancing Authority shall have and provide upon request evidence that it
designated an Alternative Interpersonal Communication capability with its Reliability
Coordinator, each Transmission Operator that operates Facilities within its Balancing
Authority Area, and each adjacent Balancing Authority, which could include, but is not
limited to:


physical assets, or



dated evidence, such as, equipment specifications and installation documentation,
test records, operator logs, voice recordings, transcripts of voice recordings, or
electronic communications. (R6.)

M7. Each Distribution Provider shall have and provide upon request evidence that it has
Interpersonal Communication capability with its Transmission Operator and its
Balancing Authority, which could include, but is not limited to:

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Standard COM-001-2 — Communications



physical assets, or



dated evidence, such as, equipment specifications and installation documentation,
test records, operator logs, voice recordings, transcripts of voice recordings, or
electronic communications. (R7.)

M8. Each Generator Operator shall have and provide upon request evidence that it has
Interpersonal Communication capability with its Balancing Authority and its
Transmission Operator, which could include, but is not limited to:


physical assets, or



dated evidence, such as, equipment specifications and installation documentation,
test records, operator logs, voice recordings, transcripts of voice recordings, or
electronic communications. (R8.)

M9. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall
have and provide upon request evidence that it tested, at least once each calendar
month, its Alternative Interpersonal Communication capability designated in
Requirements R2, R4, or R6. If the test was unsuccessful, the entity shall have and
provide upon request evidence that it initiated action to repair or designated a
replacement Alternative Interpersonal Communication capability within 2 hours.
Evidence could include, but is not limited to: dated and time-stamped test records,
operator logs, voice recordings, transcripts of voice recordings, or electronic
communications. (R9.)
M10. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall
have and provide upon request evidence that it notified entities as identified in
Requirements R1, R3, and R5, respectively within 60 minutes of the detection of a
failure of its Interpersonal Communication capability that lasted 30 minutes or longer.
Evidence could include, but is not limited to: dated and time-stamped test records,
operator logs, voice recordings, transcripts of voice recordings, or electronic
communications. (R10.)
M11. Each Distribution Provider and Generator Operator that detected a failure of its
Interpersonal Communication capability shall have and provide upon request evidence
that it consulted with each entity affected by the failure, as identified in Requirement
R7 for a Distribution Provider or Requirement R8 for a Generator Operator, to
determine mutually agreeable action to restore the Interpersonal Communication
capability. Evidence could include, but is not limited to: dated operator logs, voice
recordings, transcripts of voice recordings, or electronic communications. (R11.)
D. Compliance
1.

Compliance Monitoring Process
1.1. Compliance Enforcement Authority
The Regional Entity shall serve as the Compliance Enforcement Authority (CEA)
unless the applicable entity is owned, operated, or controlled by the Regional
Entity. In such cases, the ERO or a Regional Entity approved by FERC or other
applicable governmental authority shall serve as the CEA.

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Standard COM-001-2 — Communications

1.2. Compliance Monitoring and Enforcement Processes
Compliance Audit
Self-Certification
Spot Checking
Compliance Investigation
Self-Reporting
Complaint
1.3. Data Retention
The Reliability Coordinator, Transmission Operator, Balancing Authority,
Distribution Provider, and Generator Operator 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 Reliability Coordinator for Requirements R1, R2, R9, and R10,
Measures M1, M2, M9, and M10 shall retain written documentation for the
most recent twelve calendar months and voice recordings for the most recent
90 calendar days.



The Transmission Operator for Requirements R3, R4, R9, and R10,
Measures M3, M4, M9, and M10 shall retain written documentation for the
most recent twelve calendar months and voice recordings for the most recent
90 calendar days.



The Balancing Authority forRequirements R5, R6, R9, and R10, Measures
M5, M6, M9, and M10 shall retain written documentation for the most
recent twelve calendar months and voice recordings for the most recent 90
calendar days.



The Distribution Provider for Requirements R7 and R11, Measures M7 and
M11 shall retain written documentation for the most recent twelve calendar
months and voice recordings for the most recent 90 calendar days.



The Generator Operator for Requirements R8 and R11, Measures M8 and
M11 shall retain written documentation for the most recent twelve calendar
months and voice recordings for the most recent 90 calendar days.

If a Reliability Coordinator, Transmission Operator, Balancing Authority,
Distribution Provider, or Generator Operator 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.
1.4. Additional Compliance Information
None.

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Standard COM-001-2 — Communications

2.
R#

R1

R2

R3

R4

Violation Severity Levels
Lower VSL

N/A

N/A

N/A

N/A

Moderate VSL

High VSL

N/A

The Reliability Coordinator failed to
have Interpersonal Communication
capability with one of the entities
listed in Requirement R1, Parts 1.1 or
1.2, except when the Reliability
Coordinator detected a failure of its
Interpersonal Communication
capability in accordance with
Requirement R10.

The Reliability Coordinator failed to
have Interpersonal Communication
capability with two or more of the
entities listed in Requirement R1,
Parts 1.1 or 1.2, except when the
Reliability Coordinator detected a
failure of its Interpersonal
Communication capability in
accordance with Requirement R10.

N/A

The Reliability Coordinator failed to
designate Alternative Interpersonal
Communication capability with one of
the entities listed in Requirement R2,
Parts 2.1 or 2.2.

The Reliability Coordinator failed to
designate Alternative Interpersonal
Communication capability with two or
more of the entities listed in
Requirement R2, Parts 2.1 or 2.2.

The Transmission Operator failed to
have Interpersonal Communication
capability with one of the entities
listed in Requirement R3, Parts 3.1,
3.2, 3.3, 3.4, 3.5, or 3.6, except when
the Transmission Operator detected
a failure of its Interpersonal
Communication capability in
accordance with Requirement R10.

The Transmission Operator failed to
have Interpersonal Communication
capability with two or more of the
entities listed in Requirement R3,
Parts 3.1, 3.2, 3.3, 3.4, 3.5, or 3.6,
except when the Transmission
Operator detected a failure of its
Interpersonal Communication
capability in accordance with
Requirement R10.

The Transmission Operator failed to
designate Alternative Interpersonal
Communication capability with one of
the entities listed in Requirement R4,
Parts 4.1, 4.2, 4.3, or 4.4.

The Transmission Operator failed to
designate Alternative Interpersonal
Communication capability with two or
more of the entities listed in
Requirement R4, Parts 4.1, 4.2, 4.3,
or 4.4.

N/A

N/A

Severe VSL

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Standard COM-001-2 — Communications

R#

R5

R6

R7

Lower VSL

N/A

N/A

N/A

Moderate VSL

High VSL

Severe VSL

N/A

The Balancing Authority failed to
have Interpersonal Communication
capability with one of the entities
listed in Requirement R5, Parts 5.1,
5.2, 5.3, 5.4, or 5.5, except when the
Balancing Authority detected a failure
of its Interpersonal Communication
capability in accordance with
Requirement R10.

The Balancing Authority failed to
have Interpersonal Communication
capability with two or more of the
entities listed in Requirement R5,
Parts 5.1, 5.2, 5.3, 5.4, or 5.5, except
when the Balancing Authority
detected a failure of its Interpersonal
Communication capability in
accordance with Requirement R10.

The Balancing Authority failed to
designate Alternative Interpersonal
Communication capability with one of
the entities listed in Requirement R6,
Parts 6.1, 6.2, or 6.3.

The Balancing Authority failed to
designate Alternative Interpersonal
Communication capability with two or
more of the entities listed in
Requirement R6, Parts 6.1, 6.2, or
6.3.

The Distribution Provider failed to
have Interpersonal Communication
capability with one of the entities
listed in Requirement R7, Parts 7.1 or
7.2, except when the Distribution
Provider detected a failure of its
Interpersonal Communication
capability in accordance with
Requirement R11.

The Distribution Provider failed to
have Interpersonal Communication
capability with two or more of the
entities listed in Requirement R7,
Parts 7.1 or 7.2, except when the
Distribution Provider detected a
failure of its Interpersonal
Communication capability in
accordance with Requirement R11.

N/A

N/A

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Standard COM-001-2 — Communications

R#

R8

R9

R10

Lower VSL

Moderate VSL

High VSL

Severe VSL

N/A

N/A

The Generator Operator failed to
have Interpersonal Communication
capability with one of the entities
listed in Requirement R8, Parts 8.1 or
8.2, except when a Generator
Operator detected a failure of its
Interpersonal Communication
capability in accordance with
Requirement R11.

The Generator Operator failed to
have Interpersonal Communication
capability with two or more of the
entities listed in Requirement R8,
Parts 8.1 or 8.2, except when a
Generator Operator detected a failure
of its Interpersonal Communication
capability in accordance with
Requirement R11.

The Reliability Coordinator,
Transmission Operator, or Balancing
Authority tested the Alternative
Interpersonal Communication
capability but failed to initiate action
to repair or designate a replacement
Alternative Interpersonal
Communication in more than 2 hours
and less than or equal to 4 hours
upon an unsuccessful test.

The Reliability Coordinator,
Transmission Operator, or Balancing
Authority tested the Alternative
Interpersonal Communication
capability but failed to initiate action
to repair or designate a replacement
Alternative Interpersonal
Communication in more than 4 hours
and less than or equal to 6 hours
upon an unsuccessful test.

The Reliability Coordinator,
Transmission Operator, or Balancing
Authority tested the Alternative
Interpersonal Communication
capability but failed to initiate action
to repair or designate a replacement
Alternative Interpersonal
Communication in more than 6 hours
and less than or equal to 8 hours
upon an unsuccessful test.

The Reliability Coordinator,
Transmission Operator, or Balancing
Authority failed to test the Alternative
Interpersonal Communication
capability once each calendar month.

The Reliability Coordinator,
Transmission Operator, or Balancing
Authority failed to notify the entities
identified in Requirements R1, R3,
and R5, respectively upon the
detection of a failure of its
Interpersonal Communication
capability in more than 60 minutes
but less than or equal to 70 minutes.

The Reliability Coordinator,
Transmission Operator, or Balancing
Authority failed to notify the entities
identified in Requirements R1, R3,
and R5, respectively upon the
detection of a failure of its
Interpersonal Communication
capability in more than 70 minutes
but less than or equal to 80 minutes.

The Reliability Coordinator,
Transmission Operator, or Balancing
Authority failed to notify the entities
identified in Requirements R1, R3,
and R5, respectively upon the
detection of a failure of its
Interpersonal Communication
capability in more than 80 minutes
but less than or equal to 90 minutes.

The Reliability Coordinator,
Transmission Operator, or Balancing
Authority failed to notify the entities
identified in Requirements R1, R3,
and R5, respectively upon the
detection of a failure of its
Interpersonal Communication
capability in more than 90 minutes.

OR
The Reliability Coordinator,
Transmission Operator, or Balancing
Authority tested the Alternative
Interpersonal Communication
capability but failed to initiate action
to repair or designate a replacement
Alternative Interpersonal
Communication in more than 8 hours
upon an unsuccessful test.

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Standard COM-001-2 — Communications

R#

R11

Lower VSL

N/A

Moderate VSL

N/A

High VSL

N/A

Severe VSL
The Distribution Provider or
Generator Operator that detected a
failure of its Interpersonal
Communication capability failed to
consult with each entity affected by
the failure, as identified in
Requirement R7 for a Distribution
Provider or Requirement R8 for a
Generator Operator, to determine a
mutually agreeable action for the
restoration of the Interpersonal
Communication capability.

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Standard COM-001-2 — Communications

E. Regional Differences
None identified.
F. Associated Documents
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

1

April 4, 2007

Regulatory Approval — Effective Date

New

1

April 6, 2007

Requirement 1, added the word “for”
between “facilities” and “the exchange.”

Errata

October 29, 2008

BOT adopted errata changes; updated
version number to “1.1”

Errata

November 7, 2012

Adopted by Board of Trustees

Revised in accordance
with SAR for Project
2006-06, Reliability
Coordination (RC
SDT). Replaced R1
with R1-R8; R2
replaced by R9; R3
included within new
R1; R4 remains enforce
pending Project 200702; R5 redundant with
EOP-008-0, retiring R5
as redundant with
EOP-008-0, R1;
retiring R6, relates to
ERO procedures; R10
& R11, new.

1.1

2

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