A Comprehensive Review Of Smart Grid Related Standards And Protocols
A Comprehensive Review of Smart Grid Related Standards and ProtocolsM. Kuzlu, Senior Member, IEEE, M. Pipattanasomporn, Senior Member, IEEE, and S. Rahman, Fellow, IEEEVirginia Tech – Advanced Research Institute, Arlington, VA 22203mkuzlu@vt.edu, mpipatta@vt.edu and srahman@vt.eduAbstract-The emergence of the smart grid has led to the developmentof a diverse set of standards and protocols for achievinginteroperability among smart devices. These smart grid relatedstandards and protocols cover a wide variety of power systemcomponents and functionalities. In this paper, a comprehensivereview of commonly used standards and protocols in the smart gridenvironment is provided, ranging from those related to theenterprise, control center and wide area monitoring, distributedgeneration, substation, demand response, metering, electric vehiclesand cyber security.Index Terms - Smart grid standards and protocols, IEEE, IEC andNIST.I.INTRODUCTIONThe smart grid is the next-generation electrical grid that makesuse of advanced technologies to allow existing generation,transmission and distribution assets to operate more efficiently. Itpromises to increase the efficiency of today's electric power gridsby around 9% by 2030 [1]. It also promises to deliver manypositive impacts on the economy, the environment, energysecurity, and many aspects of everyday life [2]. With a growingnumber of smart devices and applications, standards and protocolshave become a necessity for seamless integration of a number ofdevices and systems into the smart grid environment and enablingthem to communicate and exchange information. Smart gridrelated standards and protocols have been developed by a numberof Standards Development Organizations (SDOs), such as theInstitute of Electrical and Electronic Engineers (IEEE),International Electrotechnical Commission (IEC) and NationalInstitute of Standards and Technology (NIST). The U.S.Department of Energy (DOE) sponsored the launch of the SmartGrid Information Clearinghouse (SGIC) web portal [3] thatprovides information about smart grid projects worldwide,together with smart grid related standards and protocols and theirbrief descriptions.A majority of previous publications focus on relevant standardsin a specific domain. For example, with respect to the wide-areacontrol and substations, authors in [4,5] review smart gridstandards for Protection, Control, and Monitoring (PCM)applications, including substation protection and automation, widearea situation awareness, etc. Authors in [6] propose a frameworkfor IEC 61968 messages and associated implementation profilesconsisting of adaption for web services, business interfaces,asynchronous exchange pattern, plug & play and information flowcontrol. Business challenges of IEC 61850 have been discussed in[7]. Authors in [8] discuss two most commonly used industrialautomation standards, IEC 61850 and OPC Unified Architecture(OPC UA), to provide a service-oriented integration framework inthe smart grid environment. With respected to distributedresources, authors in [9] provide a brief view of interconnectionstandards related to distributed resources. Authors in [10] reviewIEC and IEEE standards communication protocols for monitoringand control of distributed generators. In [11], authors discuss theIEEE 1547 series of standards and provide insight into systemsintegration and grid infrastructure. In [12] authors have developeda flexible information model, taking into considerations thecommon information model, for offshore smart grids based on theIEC 61400-25-2, IEC 61400-3 and IEC 61850-7 standards. In [13]authors propose a communication strategy for control ofDistributed Energy Resources (DERs) based on selectedcommunication standards, such as IEC 61850 and IEC 60870.Authors in [14] address challenges of deploying smarter grids,especially smart meter concerns. As cyber security is also a criticalaspect in the smart grid environment, some studies also focus oncyber security standards. Authors in [15, 16] discuss securityrequirements, network vulnerabilities, attack countermeasures,secure communication protocols and architectures in the smartgrid environment and analyze smart grid security standards.In summary, as far as the literature search is concerned, a goodnumber of existing work focuses on presenting smart grid relatedstandards and protocols in a specific domain. There are yet alimited number of studies which provide comprehensive review ofsmart grid related standards encompassing all aspects of the smartgrid, e.g., enterprise and control center, wide area monitoring,substations automation, distributed resources, demand response,metering, electric vehicles, and cyber security. Hence, it is theobjective of this paper to review and discuss major standards,protocols, and challenges in these areas.II.STANDARDS AND PROTOCOLS IN THE SMART GRIDENVIRONMENTFig. 1 summarizes commonly used smart grid related standards,categorized in the following areas: enterprise, control center andwide area monitoring; substation automation; distributedgeneration; demand response; metering; and electric vehicles.These standards are explained in more details below.A. Enterprise, Control Center and Wide Area Monitoring1) IEC 61970: IEC 61970 is known as Energy ManagementSystem Application Program Interface (EMS-API). It defines aninformation model with common objects in the area of electrictransmission systems to provide a semantic model. IEC 61970 alsoprovides an abstract API for data exchange independent ofplatform and technology. It can be used on different operatingsystems with different programming languages and differentdatabase systems.978-1-5090-5938-6/17/ 31.00 2017 IEEE12
Figure 1. Commonly used smart grid standards and protocols2) IEC 60870-6: IEC 60870-6 or Inter-Control CenterProtocol (ICCP) defines systems used for tele-control, i.e.,Supervisory Control and Data Acquisition (SCADA), in powersystem applications. A communication profile and standards fordata transfer are defined in IEC 60870-6 to allow monitoring andcontrol over wide area networks (WANs) among control centers.Based on client/server principles, ICCP provides a complete set ofmanagement tools and interfaces for SCADA, but does not includethe discussion on authentication nor encryption [17].3) IEC 62325: IEC 62325 is a series of standards thatprovide general guidelines regarding the use of ebXML (ebusiness eXtensible Markup Language) technology andarchitecture for communications in energy markets. The mainobjective of IEC 62325 is to facilitate the integration ofindependently developed market-based software applications bydifferent vendors. IEC 62325 provides CIM-based messageexchange semantics [18].4) Multispeak: Multispeak, developed by the National RuralElectric Cooperative Association (NRECA), is an industry-widestandard that addresses the electric distribution domain with thefocus on the U.S. market. It defines an information modeldocumented in an Extensible Markup Language (XML) schema aswell as a communication protocol based on web services andSimple Object Access Protocol (SOAP). It providesinteroperability among different software applications used byelectric utilities [19].5) IEEE C37.118: IEEE C37.118 standards forSynchrophasors for Power Systems define requirements on aphasor measurement unit and relevant communication protocolsfor phasor data exchange. The protocol can be based on Ethernet,IP or fieldbuses. IEEE C37.118 is designed for reportingsynchronized phasor measurement data. It specifies methods toquantify phasor measurements and test procedures to ensure thatmeasurements follow the standard format [20].B. Substations Automation1) IEC 61850: IEC 61850 specifies communicationnetworks and systems in substations with the objective to provideinteroperability among intelligent electronic devices (IEDs),enabling them to perform protection, monitoring, control, andautomation functions in substations. IEC 61850 provides thecompatibility with CIM for monitoring, control and protectionapplications. To differentiate among different applications andprioritize traffic flows, IEC 61850 defines five types ofcommunication services: Abstract Communication ServiceInterface (ACSI), Generic Object Oriented Substation Event(GOOSE), Generic Substation Status Event (GSSE), SampledMeasured Value multicast (SMV), and Time Synchronization(TS) [21].2) IEEE C37.1: IEEE C37.1 – IEEE Standard for SCADAand Automation Systems – specifies the definition, specification,and application for supervisory control and automation systemsfor substations. IEEE C37.1 defines system architectures andfunctions in a substation including protocol selections, humanmachine interfaces and implementation issues. It also coversnetwork performance requirements related to reliability,maintainability, availability, security, expandability andchangeability [22].3) IEEE 1379: IEEE 1379 provides implementationguidelines and practices for communications and interoperation ofIEDs and remote terminal units (RTUs) in an electric substation.It covers a recommended practice for adding data elements andmessage structures. This standard helps eliminate the need for timeconsuming and costly efforts to interface equipment to otherequipment in a substation [23].4) IEEE 1646: IEEE 1646 defines communication deliverytimes for information exchanged among equipment internal andexternal to substation protection, control, and data acquisitionsystems. It defines communication delays as the time spent in thenetwork between applications running at two end systems,including both processing and transmission delays [24].5) DNP3: DNP stands for Distributed Network Protocol.As an open communication protocol, DNP3 is generally usedin SCADA systems to specify communication protocols amongdifferent components, i.e., a SCADA master station, RTUs13
and IEDs. DNP3 is generally used in substations for equipmentmonitoring and control. The new version of the DNP3 standard(IEEE Std 1815-2012) provides more security features, includingthe discussion of public key infrastructure and remote keyexchanges [25].6) Modbus: Modbus is an open serial communicationsprotocol which is often used in various applications, such asindustrial/building automation, energy management, substationautomation, etc. Modbus is used to connect a SCADA masterstation with RTUs. Modbus defines a messaging structure basedon master-slave/client-server communications. It supports serial(two transmission modes: ASCII and RTU), as well as Ethernet(TCP/IP) protocols [26].7) OPC Unified Architecture: OPC, Object Linking andEmbedding (OLE) for Process Control, is a set of standardOLE/COM (component object model) interface protocols thatprovides interoperability among automation and controlapplications, field systems and devices, and enterprise applicationsin the process control industry. The OPC Unified Architecture(OPC UA) is developed by the OPC Foundation and standardizedas IEC 62541. OPC UA defines the communication infrastructureand information model. It offers mapping to HTTP/SOAP basedweb services [27].8) IEEE C37.111: COMTRADE (Common formatfor Transient Data Exchange for power systems) is a file format,which is used to store electrical parameters (e.g., current, voltage,power, frequency, etc.) recorded by IEDs during a power systemsdisturbance event. COMTRADE files obtained from differentsubstations can be used to investigate power disturbance events tounderstand causes and possible mitigation strategies for futureevents. The COMTRADE file format has been standardized asC37.111 [28].9) IEEE 1159.3: PQDIF, known as IEEE Std. 1159.3, is abinary file format suitable for exchanging power quality relatedmeasurement and simulation data (e.g., voltage, current and powermeasurements). It was initiated by IEEE and EPRI to standardizedata formats from a variety of simulations, measurements andanalysis tools for power quality engineers from many vendors.PQDIF is similar to COMTRADE in structure, but is usedprimarily to convey power quality data instead of transientdisturbance data [29].10) IEC 61158 (Fieldbus): Fieldbus or IEC 61158 is anindustrial computer network protocol used for real-timedistributed control. Fieldbus is used at the bottom of the controlchain that links PLCs to field components, for example,sensors, actuators and electric motors. Fieldbus supports differentnetwork structures, e.g., daisy-chain, star, ring [30].11) PROFIBUS: PROFIBUS (Process Field Bus) is acommunication protocol for field bus communication, which ismainly used in the automation technology. There are two types ofPROFIBUS in use today: PROFIBUS DP and PROFIBUS PA,where DP is Decentralized Peripherals; and PA is ProcessAutomation. The former is used to operate sensors and actuatorsvia a centralized controller. The latter is used to monitor measuringequipment via a process control system [31].C. Distributed Resources and Demand Response1) IEC 61400: IEC 61400 provides information exchangestandards and design requirements for monitoring and control ofwind power plants. IEC61400 addresses interoperability issue incommunication systems. IEC 61400 allows information exchangebetween a control center and wind power plants independent ofwind turbine manufacturers. It also specifies a set of designrequirements to ensure robustness in wind turbine designs. Theseinclude design requirements for small wind turbines, offshorewind turbines, wind turbine gearboxes, acoustic noisemeasurement techniques, wind turbine power performance testing,measurement and assessment of power quality characteristics ofgrid connected wind turbines, rotor blades testing and lightningprotection [32].2) IEEE 1547: IEEE 1547 specifies standards forinterconnecting distributed resources with electric power systems.It addresses the physical and electrical interconnection andinteroperability of distributed energy resources with electric powersystems by providing requirements for performance, operation,testing and safety. It also addresses information modeling, use caseapproaches, and an information exchange template [33].3) DRBiznet: DRBizNet (Demand Response BusinessNetwork) is a highly flexible, reliable and scalable platform tosupport DR applications. DRBizNet has a service-orientedarchitecture and provides a standardized web services interface. Itenables market operators and utilities to efficiently, reliably andsecurely manage DR processes. It defines and manages customDR programs for any market. It enables automatic notifications tocustomers, aggregators, and distribution/grid operators andtriggers any type of intelligent load control devices [34].4) OpenADR: Open Automated Demand Response(OpenADR) is a communication protocol providing a standardizedinformation model in the area of demand response. The protocolrelies on web services, Web Service Definition Language(WSDL), SOAP, and XML. It was developed to provide acommon information exchange between utilities or independentsystem operators and electricity customers. OpenADR alsospecifies information that can be exchanged during DR and DERevents, for example, event name, event identification, event status,operating mode, reliability and emergency signals, renewablegeneration status and electricity price signals [35].D. Metering1) ANSI C12: ANSI C12 is mostly used in North Americanmarket. ANSI C12 suite (e.g., ANSI C12.18, 12.19, 12.20, 12.21,12.22) defines protocol for metering applications. It specifiesrequirements and guidance on protocol specification for opticalports, end device data tables, electric meter accuracy classes,protocol specification for telephone modem communications andinterfacing to data communication networks.2) M-Bus: M-Bus or EN 13757-4 is also known as MeterBus. It is widely used for remote utility meter readings, such aselectricity and gas. M-Bus is designed for low-cost, batterypowered devices. M-Bus can also be used for building energymanagement applications, such as alarm systems, heating/cooling/lighting control [36].E. Electric Vehicles (EV)14
Electric Vehicle standards are established by the Society ofAutomotive Engineers (SAE), which a global engineering societyin automotive, aerospace, and related commercial-vehicleindustries [37].1) SAE J1772: Electric Vehicle and Plug in Hybrid ElectricVehicle (PHEV) Conductive Charge Coupler -- discusses generalrequirements (physical, electrical, functional and performance) tofacilitate conductive charging of EV/PHEV in North America. Itspecifies charging methods and connector requirements for Level1, level 2 and DC chargers.2) SAE J2293: SAE J2293-Energy Transfer System forElectric Vehicles- provides requirements for EV and the off-boardelectric vehicle supply equipment (EVSE). It covers functionalrequirements and system architectures, as well as communicationrequirements and network architectures for transferring electricalenergy to an EV from an electric utility in North America.3) SAE J2836: SAE J2836 specifies use cases forcommunications between plug-in electric vehicles (PEV) and theelectric power grid, between PEV and off-board DC chargers andbetween customers and PEV, as well as use cases for diagnosticcommunication and wireless charging communication.Additionally, it also defines use cases for PEV communicating asdistributed energy sources.4) SAE J2847: SAE J2847 specifies requirements andspecifications for communications for PEV using Smart EnergyProfiles (SEP) 2.0, between PEV and off-board DC charger, forPEV as a distributed energy sources, between PEV and theircustomers, and between wireless charged vehicles and wirelessEV chargers. Additionally, it also establishes communicationrequirements for diagnostics between PEV and EVSE.5) SAE J2931: SAE J2931 covers communications for PEV,including inband signaling communication, PLC communication,broadband PLC communication between PEV and the EVSE. Thisset of standards also establishes the requirements for digitalcommunication between PEV/EVSE and the utility or serviceprovider, Energy Services Interface (ESI), Advanced MeteringInfrastructure (AMI) and Home Area Network (HAN). It alsoestablishes the security requirements for such communications.6) SAE J2953: SAE J2953 addresses the interoperabilityissue of PEV and EVSE. It establishes requirements andspecifications by which a specific PEV and EVSE pair can beconsidered interoperable. In addition, it also establishes testprocedures to ensure the interoperability of PEV and EVSE fromdifferent vendors. SAE J2953 has three levels of interoperabilitytesting: Tier 1 - mechanical interoperability, charge functionality,safety feature functionality; Tier 2 - indefinite grid events,dynamic grid events; and Tier 3 - ampacity control, scheduledcharge, staggered scheduled charge, and charge interrupt/resume.F. Cyber SecurityThere are a number of standards that are applicable toinformation security in the smart grid environment. There are alsoa number of cyber security use cases. This section only discussesmajor ones. The list of other cyber security related standards canbe obtained from UCA International Users Group (UCAIug) [38].1) AMI System Security Requirements (AMI-SEC): AMISEC is developed by the AMI-SEC Task Force [39] to provide aset of security requirements for AMI, which benefits the utilityindustry and vendors. These security requirements aim for useduring the procurement process of AMI and smart meters. Thescope of AMI-SEC covers components of the entire AMI system,ranging from AMI communications network device, AMIforecasting system, AMI head end, AMI meter, AMI metermanagement system to home area network interface of the smartmeter. It also includes recommended controls of system andcommunication protection, such as cryptographic keyestablishment and management, transmission of securityparameters, denial-of-service protection, public key infrastructurecertificates and many more.2) NERC CIP: The North American Electric ReliabilityCorporation – Critical Infrastructure Protection (NERC CIP) planis a set of requirements to secure assets required for operating bulkelectric power systems in North America. NERC CIP covers awide range of topics [40], such as personnel & training in cybersecurity, critical cyber asset identification, security managementcontrols, electronic security perimeter(s), incident reporting andresponse planning, information protection, recovery plans forcritical cyber assets, as well as physical security.3) NISTIR 7628: NISTIR 7628 is the guidelines for smartgrid cyber security, which has three volumes: Vol. 1 – smart gridcyber security strategy, architecture, and high-level requirements;Vol. 2 – privacy and the smart grid; and Vol. 3 – supportiveanalyses and references. These documents were originally issuedon August 2010 as a companion document to the NIST Frameworkand Roadmap for Smart Grid Interoperability Standards, Release1.0 (NIST SP 1108). NISTIR 7628 Revision 1 (3 volumes) [41]was issued in September 2014. NISTIR 7628 presents acomprehensive framework that can help guide the development ofeffective cyber security strategies. It provides guidance to assesscyber security risks and help identify appropriate cyber securityrequirements.4) IEC 62351: The scope of the IEC 62351 is to define cybersecurity requirements for power systems management andassociated information exchange. IEC 62351-1 introduces thereader to various aspects of communication network and systemsecurity associated with power system operations. IEC 62351-2defines terms and acronyms used in IEC 62351 standards. IEC62351-3 to IEC 62351-6 specifies messages, procedures andalgorithms for securing Manufacturing Message Specification(MMS) based applications. IEC 62351-7 to IEC 62351-11 addressend-to-end information security, including security policies,access control, key management, and others [42].III.CHALLENGESA number of smart technologies have been deployed to enabletwo-way communications with the aim to make the electricity gridsmarter. One fundamental attribute that is vital for the integrationof a number of smart devices to enable smart grid applications isinteroperability among various devices and platforms. Whilemuch progress has been made for smart grid deployment andimplementation, many challenges in the area of smart grid relatedstandards and protocols still need to be addressed [43]. The majorchallenge is device and platform interoperability:Interoperability is the ability of different devices and platforms to15
exchange information and work cooperatively to accomplish smartapplications. The second is the lack of awareness: Even thoughmany smart grid related standards exist, there is the lack ofawareness of available smart grid standards and protocols, as wellas the lack of guidelines for applying them in smart griddeployment. The third is technical challenges: The electric powergrid comprises a large number of electrical components that aretightly coupled together and operating dependently. The forth isthe complexity: The smart grid is an extremely complex system,including many subsystems. In many smart grid projects, smartgrid standards developed by different SDOs are used together.IV.CONCLUSIONA number of organizations and user groups are working on smartgrid standards and protocols to guide the successful deployment ofand customer engagement with the smart grid. This paper reviewscommonly used smart grid standards and protocols for smart gridapplications, ranging from enterprise and control center, wide areamonitoring, substations automation, distributed resources, demandresponse, metering, electric vehicles to cyber security. Mostcommonly used standards/protocols under discussion areenterprise, control center and wide area monitoring (IEC 61970,IEC 61968, IEC 60870-6, IEC 62325, Multispeak, OPC UA,C37.118), substations automation (IEC 61850, IEEE C37.1, IEEE1379, IEEE 1646, DNP3, Modbus, COMTRADE, PQDIF,Fieldbus, PROFIBUS), distributed resources and demandresponse (IEC 61400, DRBiznet, OpenADR, IEEE 1547),metering (ANSI C12, M-Bus), electric vehicles (SAE J1772, SAEJ 2293, SAE J2836, SAE J2847, SAE J2931, SAE J2953), cybersecurity (AMI-SEC, NERC CIP, 3, NISTIR 7628, IEC 62351).The paper also discusses challenges in smart grid standards. 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applications, field systems and devices, and enterprise applications in the process control industry. The OPC Unified Architecture (OPC UA) is developed by the OPC Foundation and standardized as IEC 62541. OPC UA defines the communication infrastructure and information model. It offers mapping to HTTP/SOAP based web services [27].
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Smart campus The next-generation connected campus Innovations used in smart banking, smart retail, smart digital workplaces, and smart venues like hospitals and stadiums could be extended to higher education campuses. These smart env
