COM-001-2.1 – Communications

Purpose
To establish Interpersonal Communication capabilities necessary to maintain reliability.

Applicability

4.1. Transmission Operator

4.2. Balancing Authority

4.3. Reliability Coordinator

4.4. Distribution Provider

4.5. 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.

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

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]

6.1. Its Reliability Coordinator.

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

6.3. 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 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]

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,
• 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.)

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:

• 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.)

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.

Compliance Monitoring Assessment Processes 

Compliance Audits

Self-Certifications

Spot Checking

Compliance Investigation

Self-Reporting

Complaints

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.

Additional Compliance Information

None