Modules · Compliance studies · Module 011
COM-001-3 Communications
Interpersonal communication capabilities between the Generator Operator and its Balancing Authority and Transmission Operator, documented and evidenced.
About this module
What this module covers.
This module develops your compliance procedure for NERC COM-001-3 and applies it at each applicable plant. COM-001-3 requires each Generator Operator to have Interpersonal Communication capability with its Balancing Authority and Transmission Operator (Requirement R8) and internal Interpersonal Communication capability for the exchange of information necessary for reliable operation (R12), and, when it detects a failure of that capability, to consult each affected entity on a mutually agreeable action to restore it (R11). The module covers the communications procedure and the evidence retention that demonstrates compliance.
Module: 011
Kind: Compliance studies
Governing body: NERC
Applies to: Operating plants
Typical time: About one week, all in
Dashboard capabilities
- Automated Compliance Workflow for COM-001-3
Support services
What GridStrong does inside this module.
Task 1: Develop Compliance Procedure
- Create an audit-ready compliance procedure for meeting the COM-001-3 requirements, working collaboratively across engineering, operations, and compliance departments. This includes:
- Identifying applicable assets, functions, subject matter experts (SMEs), roles, responsibilities, and ownership
- Determining specific actions and evidence to demonstrate compliance with specific requirements and measures
- Conduct a gap analysis comparing current practices versus the standard requirements, identifying missing processes, incomplete documentation, any staff training needed, etc.
- Develop clear step-by-step procedures for COM-001-3 that align with internal controls and documentation policies, including primary/backup Interpersonal Communication capabilities and outage response protocols
- Establish compliance timelines that align with standard implementation deadlines
- Define and determine specific compliance evidence per site
Task 2: Implementation of Compliance Procedure at each plant
- Gather all applicable documentation, models, data, etc. for each plant, including communication system inventories, contact lists for each Balancing Authority and Transmission Operator, and training records
- Conduct a thorough review of all existing plant data and documentation and compare against standard requirements and associated compliance procedures
- Recommend changes needed to meet NERC COM-001-3 requirements
- Identify and explain the compliance timelines needed to implement recommended changes
Final deliverables
- Compliance procedure for COM-001-3.
- Compliance report per plant documenting methodology, findings, and recommendations, along with timelines to implement the necessary modifications where applicable.
What we need from you
- Your control center and communication system documentation (voice over IP and recorded-line capabilities, cellular backup, operator log configuration).
- Contact lists for each applicable Balancing Authority and Transmission Operator.
- Existing communications procedures and any prior audit/evidence artifacts.
Assumptions and considerations
How the scope is bounded.
- You supply all required documentation and access to your operations control center and your engineering and compliance SMEs.
- We will use engineering judgment and best practices to support compliance preparedness.
Other modules
Every module runs on the same record.
Run this module on one site.
Tell us the plant and the deadline. An engineer confirms the inputs, the schedule and what the Dashboard needs from you.