Reliability Standard COM-001-3

Exhibit A
Proposed Reliability Standard COM-001-3

COM-001-3 Clean Version

COM-001-3 Communications

A. Introduction
1.

Title:

Communications

2.

Number:

COM-001-3

3.

Purpose:

To establish Interpersonal Communication capabilities necessary to
maintain reliability.

4.

Applicability:
4.1. Functional Entities:
4.1.1. Transmission Operator
4.1.2. Balancing Authority
4.1.3. Reliability Coordinator
4.1.4. Distribution Provider
4.1.5. Generator Operator

5.

Effective Date: See Implementation Plan

B. Requirements and Measures
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.

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:

R2.

•

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.)

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

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COM-001-3 Communications

2.1. All Transmission Operators and Balancing Authorities within its Reliability
Coordinator Area.
2.2. Each adjacent Reliability Coordinator within the same Interconnection.
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

•

R3.

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

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

•
R4.

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

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COM-001-3 Communications

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.
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:

R5.

•

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.)

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.

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.)

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COM-001-3 Communications

R6.

Each Balancing Authority shall designate an Alternative Interpersonal Communication
capability with the following entities: [Violation Risk Factor: High] [Time Horizon:
Real-time Operations]
6.1. Its Reliability Coordinator.
6.2. Each Transmission Operator that operates Facilities within its Balancing
Authority Area.
6.3. Each Adjacent Balancing Authority.

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:

R7.

•

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.)

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.

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:

R8.

•

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.)

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

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COM-001-3 Communications

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:

R9.

•

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.)

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,
Same-day Operations]

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.)
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]
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.)
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

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COM-001-3 Communications

restoration of its Interpersonal Communication capability. [Violation Risk Factor:
Medium] [Time Horizon: Real-time Operations]
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.)
R12. Each Reliability Coordinator, Transmission Operator, Generator Operator, and
Balancing Authority shall have internal Interpersonal Communication capabilities for
the exchange of information necessary for the Reliable Operation of the BES. This
includes communication capabilities between Control Centers within the same
functional entity, and/or between a Control Center and field personnel. [Violation
Risk Factor: High] [Time Horizon: Real-time Operations]
M12. Each Reliability Coordinator, Transmission Operator, Generator Operator, and
Balancing Authority shall have and provide upon request evidence that it has internal
Interpersonal Communication capability, which could include, but is not limited to:
•

physical assets, or

•

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

R13. Each Distribution Provider shall have internal Interpersonal Communication
capabilities for the exchange of information necessary for the Reliable Operation of
the BES. This includes communication capabilities between control centers within the
same functional entity, and/or between a control center and field personnel.
[Violation Risk Factor: Medium] [Time Horizon: Real-time Operations]
M13. Each Distribution Provider shall have and provide upon request evidence that it has
internal Interpersonal Communication capability, which could include, but is not
limited to:
•

physical assets, or

•

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

Page 6 of 18

COM-001-3 Communications

Compliance
1.

Compliance Monitoring Process
1.1. Compliance Enforcement Authority:
“Compliance Enforcement Authority” or the Regional Entity, or any entity as
otherwise designated by an Applicable Governmental Authority, in their
respective roles of monitoring and/or enforcing compliance with mandatory and
enforceable Reliability Standards in their respective jurisdictions.
1.2. Evidence Retention
The following evidence retention period(s) identify the period of time an entity is
required to retain specific evidence to demonstrate compliance. For instances
where the evidence retention period specified below is shorter than the time
since the last audit, the Compliance Enforcement Authority 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 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 for Requirements 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.

•

Responsible entities under Requirement R12, Measure M12 shall retain
written documentation for the most recent twelve calendar months and
voice recordings for the most recent 90 calendar days.

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COM-001-3 Communications

•

Responsible entities under Requirement R13, Measure M13 shall retain
written documentation for the most recent twelve calendar months and
voice recordings for the most recent 90 calendar days.

1.3. Compliance Monitoring and Enforcement Program
As defined in the NERC Rules of Procedure, “Compliance Monitoring and
Enforcement Program” 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.

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COM-001-3 Communications

Violation Severity Levels
R#

Violation Severity Levels
Lower VSL

Moderate VSL

High VSL

Severe VSL

R1.

N/A

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.

R2.

N/A

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.

R3.

N/A

N/A

The Transmission Operator
failed to have Interpersonal
Communication capability

The Transmission Operator
failed to have Interpersonal
Communication capability
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COM-001-3 Communications

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.

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.

R4.

N/A

N/A

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.

R5.

N/A

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

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
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COM-001-3 Communications

accordance with
Requirement R10.

accordance with
Requirement R10.

R6.

N/A

N/A

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.

R7.

N/A

N/A

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.

R8.

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

The Generator Operator
failed to have Interpersonal
Communication capability
with two or more of the
entities listed in
Requirement R8, Parts 8.1 or
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COM-001-3 Communications

R9.

R10.

a Generator Operator
detected a failure of its
Interpersonal
Communication capability in
accordance with
Requirement R11.

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

The Reliability Coordinator,
Transmission Operator, or

The Reliability Coordinator,
Transmission Operator, or

The Reliability Coordinator,
Transmission Operator, or

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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COM-001-3 Communications

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.

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.

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.

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.

R11.

N/A

N/A

N/A

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.

R12.

N/A

N/A

N/A

The Reliability Coordinator,
Transmission Operator,
Generator Operator, or
Balancing Authority failed to
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COM-001-3 Communications

have internal Interpersonal
Communication capability
for the exchange of
operating information.
R13.

N/A

N/A

N/A

The Distribution Provider
failed to have internal
Interpersonal
Communication capability
for the exchange of
operating information.

Regional Variances
None.
Associated Documents
None.

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COM-001-3 Communications

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

1.1

October 29,
2008

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

Errata

2

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
2007-02; R5 redundant with EOP-008-0,
retiring R5 as redundant with EOP-008-0,
R1; retiring R6, relates to ERO
procedures; R10 & R11, new.

2

April 16, 2015

FERC Order issued approving COM-001-2

August 25,
2015

Changed numbered parts under Requirement R6 to
line up with the appropriate requirement.

2.1

Errata

Page 15 of 18

COM-001-3 Communications

2.1
3

November 13,
2015

FERC Order issued approving errata to COM-001-2.1. Errata to correct inadvertent numbering
Docket RD15-6-000
errors in the parts to Requirement R6.

August 11,
2016

Adopted by the NERC Board of Trustees

New

Page 16 of 18

Supplemental Material
Rationale
Rationale for Requirement R12:
The focus of the requirement is on the capabilities that an entity must have for the purpose of
exchanging information necessary for the Reliable Operation of the BES. That is, the entity must
have the capability to communicate internally by, “any medium that allows two or more
individuals to interact, consult, or exchange information.” The standard does not prescribe the
specific type of capability (i.e., hardware or software). The determination of the appropriate
type of capability is left to the entity. Regardless, the entity must have the capability to
exchange information whenever the internal Interpersonal Communications may directly
impact operations of the BES. Therefore, the applicable entities must have the capability to
exchange information between Control Centers of that functional entity. For example, a TOP
with multiple control centers that are geographical separated must have the capability to
communicate internally between or among those control centers. The communication
capability may occur through any medium that supports Interpersonal Communication, such as
land line telephone, cellular device, Voice Over Internet Protocol (VOIP), satellite telephone,
radio, or electronic message. Also, applicable entities must have the capability to exchange
information between a Control Center and field personnel. For example, a TOP system
operator providing instruction to a field personnel to perform a reliability activity, such as
switching Facilities.
In the course of normal control center operation, system operators within a single Control
Center communicate as needed to ensure the reliability of the BES, including face-to-face
communications. These internal communications are ongoing and occur throughout the day as
part of day-to-day operations. However, these types of communications are not the focus of
this requirement. The focus is on the capability of an entity to communicate internally where
face-to-face communications are not available.
Rationale for Requirement R13:
The NERC Glossary definition for “Control Center” was not used in this requirement because
Distribution Provider is not listed as an entity within the definition. The Glossary definition for
“Control Center” is, “[o]ne or more facilities hosting operating personnel that monitor and
control the Bulk Electric System (BES) in real-time to perform the reliability tasks, including their
associated data centers, of: 1) a Reliability Coordinator, 2) a Balancing Authority, 3) a
Transmission Operator for transmission Facilities at two or more locations, or 4) a Generator
Operator for generation Facilities at two or more locations.” Therefore in this requirement,
control center is intended to mean the Distribution Provider facilities hosting operating
personnel performing the operational functions of the Distribution Provider that are necessary
for the Reliable Operation of the BES, often referred to as a distribution control center, or
distribution center. Examples of Distribution Providers exchanging information necessary for
the Reliable Operation of the BES include Distribution Providers included in restoration plans,
load shed plans, load reconfiguration, and voltage control plans. The Distribution Provider must
have the capability to exchange information whenever the internal Interpersonal
Communications may directly impact operations of the BES. Therefore, the Distribution

Page 17 of 18

Supplemental Material
Provider must have the capability to exchange information between control centers as
necessary. For example, a Distribution Provider with multiple control centers that are
geographical separated, where face-to-face communications are not available, must have the
capability to communicate internally between or among those control centers.

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COM-001-3 Redline Version

Standard COM-001-2.13 — Communications

A. Introduction
1.

Title:

Communications

2.

Number:

COM-001-2.13

3.

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

4.

Applicability:
4.1. Functional Entities

5.

4.1.1

Transmission Operator

4.1.2

Balancing Authority

4.1.3

Reliability Coordinator

4.1.4

Distribution Provider

4.1.5

Generator Operator

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.See Implementation
Plan.

B. Requirements and Measures
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.

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.)

Standard COM-001-2.13 — Communications

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.

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.)

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.

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.

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.)

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.

Standard COM-001-2.13 — Communications

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.

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.)

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.

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.)

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.
2.

Standard COM-001-2.13 — Communications

3.
4.
5.
6.
6.1.

Its Reliability Coordinator.

6.2.

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

6.3.

Each Adjacent Balancing Authority.

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.)

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.

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:
•

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.)

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

Standard COM-001-2.13 — Communications

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.)

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, Same-day Operations]
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.)
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:
Real-time Operations]
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.)
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]
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

Standard COM-001-2.13 — Communications

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.)
R12. Each Reliability Coordinator, Transmission Operator, Generator Operator, and
Balancing Authority shall have internal Interpersonal Communication capabilities
for the exchange of information that is necessary for the Reliable Operation of the
BES. This includes communication capabilities between Control Centers within the
same functional entity, and/or between a Control Center and field personnel.
[Violation Risk Factor: High] [Time Horizon: Real-time Operations]
M12. Each Reliability Coordinator, Transmission Operator, Generator Operator, and
Balancing Authority shall have and provide upon request evidence that it has
internal Interpersonal Communication capability, which could include, but is not
limited to:
•

physical assets, or

•

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

R13. Each Distribution Provider shall have internal Interpersonal Communication
capabilities for the exchange of information necessary for the Reliable Operation of
the BES. This includes communication capabilities between Control Centers within
the same functional entity, and/or between a control center and field personnel.
[Violation Risk Factor: Medium] [Time Horizon: Real-time Operations]
M13. Each Distribution Provider shall have and provide upon request evidence that it has
internal Interpersonal Communication capability, which could include, but is not
limited to:
•

physical assets, or

•

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

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

Standard COM-001-2.13 — Communications

• 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.)

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.)

Standard COM-001-2.13 — Communications

M6.M1.
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.M1.
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:
•

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.M1.
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.M1.
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.M1.
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.M1.
Each Distribution Provider and Generator Operator that detected a
failure of its Interpersonal Communication capability shall have and provide upon

Standard COM-001-2.13 — Communications

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.C.
1.

Compliance
Compliance Monitoring Process
1.1. Compliance Enforcement Authority
“Compliance Enforcement Authority” or the Regional Entity, or any entity as
otherwise designated by an Applicable Governmental Authority, in their
respective roles of monitoring and/or enforcing compliance with mandatory
and enforceable Reliability Standards in their respective jurisdictions. 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.
Compliance Monitoring and Enforcement Processes
Compliance Audit
Self-Certification
Spot Checking
Compliance Investigation
Self-Reporting
Complaint
1.2. Data Evidence Retention
The following evidence retention period(s) identify the period of time an entity
is required to retain specific evidence to demonstrate compliance. For instances
where the evidence retention period specified below is shorter than the time
since the last audit, the Compliance Enforcement Authority may ask an entity
to provide other evidence to show that it was compliant for the full-time period
since the last audit.
The Reliability Coordinator, Transmission Operator, Balancing Authority,
Distribution Provider, and Generator Operatorapplicable entity 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.

Standard COM-001-2.13 — Communications

•

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.

•

Responsible entities under Requirement R12, Measure M 12 shall retain
written documentation for the most recent twelve calendar months and
voice recordings for the most recent 90 calendar days.

•

Responsible entities under Requirement R13, Measure M 13 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.
1.3. Compliance Monitoring and Enforcement ProgramAdditional Compliance
Information
As defined in the NERC Rules of Procedure, “Compliance Monitoring and
Enforcement Program” 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.

Standard COM-001-2.13 — Communications

None.

Standard COM-001-2.13 — Communications

D. Violation Severity Levels
Violation Severity Levels

R#

R1

R2

R3

Lower VSL

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.

N/A

Severe VSL

Standard COM-001-2.13 — Communications

R#

R4

R5

R6

R7

Lower VSL

N/A

N/A

N/A

N/A

Moderate VSL

N/A

N/A

N/A

N/A

High VSL

Severe VSL

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.

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.

Standard COM-001-2.13 — 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.

Standard COM-001-2.13 — Communications

R#

R11

R12

R13

Lower VSL

N/A

N/A

N/A

Moderate VSL

N/A

N/A

N/A

High VSL

Severe VSL

N/A

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.

N/A

The Reliability Coordinator,
Transmission Operator, Generator
Operator, or Balancing Authority
failed to have internal Interpersonal
Communication capability for the
exchange of operating information.

N/A

The Distribution Provider failed to
have internal Interpersonal
Communication capability for the
exchange of operating information.

Standard COM-001-2.13 — 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

1.1

October 29, 2008

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

Errata

2

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.

2

April 16, 2015

FERC Order issued approving COM001-2

2.1

August 25, 2015

Changed numbered parts under
Requirement R6 to line up with the
appropriate requirement.

Errata

2.1

November 13,
2015

FERC Letter Order approved errata to
COM-001-2.1. Docket RD15-6-000

Errata to correct
inadvertent numbering

Standard COM-001-2.13 — Communications
errors in the parts to
Requirement R6.

3

August 11, 2016

Adopted by the NERC Board of
Trustees

New