JWG report on standards for smart grids

1
3 JWG report on standards for smart grids – V1.0

4 Version 1.0 (17 December 2010) produced by the Joint Working Group,
5 for input into a formal commenting round by ESO’s stakeholders (TCs, NCs, NSOs, etc)
6 Comments (please use the commenting sheet) should reach the JWG secretary
7 (lvandenberghe@cencenelec.eu) by 31 January 2011.
9
Report of JWG on standards for smart grids; v1.0; 2010-12-17
10 Contents
11 1. Executive summary .......................................................................................................................... 5

12 2. Introduction ....................................................................................................................................... 6
13 2.1 Basic idea of smart grids ........................................................................................................... 7
14 2.2 Current political background in Europe ..................................................................................... 9
15 2.3 Aim of a European standardization report .............................................................................. 10
16 2.4 Activities around the world ...................................................................................................... 11
17 3. Description of the overall concept .................................................................................................. 14
18 3.1 Scope ...................................................................................................................................... 14
19 3.2 Procedure ................................................................................................................................ 14
20 4. European standardization and regulation landscape ..................................................................... 16
21 4.1 General recommendations ...................................................................................................... 16
22 4.2 European Standardization Organizations (ESOs) .................................................................. 17
23 5. Status of standardization ................................................................................................................ 18
24 5.1 Cross cutting topics ................................................................................................................. 18
25 5.1.1 Terminology, object identification and classification .......................................................... 18
26 5.1.2 Reference architecture ...................................................................................................... 22
27 5.1.3 System aspects ................................................................................................................. 32
28 5.1.4 Data communication interfaces ......................................................................................... 39
29 5.1.5 Smart grid information security (SGIS) .............................................................................. 42
30 5.1.6 Other cross cutting issues ................................................................................................. 49
31 5.2 Domain specific topics ............................................................................................................ 52
32 5.2.1 Generation ......................................................................................................................... 52
33 5.2.2 Transmission ..................................................................................................................... 55
34 5.2.3 Distribution ......................................................................................................................... 59
35 5.2.4 Smart metering .................................................................................................................. 63
36 5.2.5 Industry .............................................................................................................................. 65
37 5.2.6 Home and building ............................................................................................................. 68
38 5.3 Markets and actors .................................................................................................................. 72
39 5.3.1 Roles & responsibilities – Current status ........................................................................... 72
40 5.3.2 Roles and responsibilities – Recommendations to other actors........................................ 74
41 5.3.3 Recommendations to the ESOs ........................................................................................ 77
42 6. Further activities ............................................................................................................................. 78
43 6.1 Organizational activities and projects to be started ................................................................ 78
44 6.2 Mandate .................................................................................................................................. 78
45 6.3 Report 2.0................................................................................................................................ 78
46
47 Annexes
48 Annex 1 – Summary list of recommendations ....................................................................................... 80

49 Annex 2 – Abbreviations and acronyms ................................................................................................ 89
50 Annex 3 – References / Bibliography .................................................................................................... 92
51 Annex 4 – Core editorial and champion teams compositions ............................................................... 93
52 Annex 5 – Demand response ................................................................................................................ 95
53 Annex 6 – Interoperability standards ..................................................................................................... 98
54 Annex 7 – Smart grid information security – Explanations/details ...................................................... 111
55 Annex 8 – References related to EMC/power quality in the range 2-150 kHz ................................... 143
56 Annex 9 – Standards related to low frequency EMC or power quality ............................................... 145
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57 Annex 10 – Generation ........................................................................................................................ 146

58 Annex 11 – Transmission high level services: details/explanations .................................................... 149
59 Annex 12 – Transmission – Existing standards .................................................................................. 157
60 Annex 13 – Transmission – Advanced EMS architecture ................................................................... 159
61 Annex 14 – Distribution high level services: details/explanations ....................................................... 160
62 Annex 15 – Home and building automation ........................................................................................ 164
63
64 Figures
65 Figure 1 – Key elements of a sustainable energy system ....................................................................... 6

66 Figure 2 – Future network ....................................................................................................................... 7
67 Figure 3 – An EU conceptual model ...................................................................................................... 25
68 Figure 4 – An extract of IEC SG3 functional architecture...................................................................... 26
69 Figure 5 – Smart metering within smart grid subsystems and interfaces.............................................. 27
70 Figure 6 – Connectivity architecture ...................................................................................................... 28
71 Figure 7 – NIST approach to Security ................................................................................................... 29
72 Figure 8 – IEC SG3 Information architecture ........................................................................................ 30
73 Figure 9 – IEC SG3 Service-oriented architecture ................................................................................ 31
74 Figure 10 – IEC TC 57 Seamless Integration reference Architecture – IEC TR 62357 ........................ 39
75 Figure 11 – Overview of information security impact relations .............................................................. 44
76 Figure 12 – Modelling smart grid information security implementing requirements .............................. 46
77 Figure 13 – Binding use cases, data models to SG-DPC and SG-ISL ................................................. 48
78 Figure 14 – Overall smart grid security operational model .................................................................... 49
79 Figure 15 – Functionalities of smart grids.............................................................................................. 61
80 Figure 16 – Logical separation of metering and energy management .................................................. 72
81 Figure A6.1 – Overview on the CIM family – both EN 61968 and 61970............................................ 104
82 Figure A6.2 – Overview on the IEC 61968 IRM family ........................................................................ 106
83 Figure A6.3 – Overview on the EN 61850 family alongside related standards ................................... 107
84 Figure A6.4 – logical overview on IEC 61850 from edition 2 upcoming .............................................. 108
85 Figure A6.5 – Machine to machine data communication .................................................................... 110
86 Figure A7.1 – Pathway forward and final destination – the Smart Multi Utility Grid ........................... 114
87 Figure A7.2 – Information security in the context of smart grids ......................................................... 115
88 Figure A7.3 – Information Security in a multi utility smart grid ............................................................ 118
89 Figure A7.4 – SGIS,DPP Concept – Phase 1 ..................................................................................... 119
90 Figure A7.5 – SGIS, DPP concept – Phase 2 ..................................................................................... 121
91 Figure A7.6 – SGIS, DPP concept – Phase 2 ..................................................................................... 123
92 Figure A7.7 – Proposal for a systematic approach for a sustainable smart grid information Security 124
93 Figure A7.8a – Potential penetration of smart grid including smart grid enabled devices .................. 124
94 Figure A7.8b – Evolution sustainable state of the art SGIP, DPP and its protective measures ......... 125
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95 Figure A7.8c – The governance and re-evaluation cycle .................................................................... 125

96 Figure A7.8d – SG-ISL expected evolution ......................................................................................... 126
97 Figure A7.9 – Linking and updating all relevant part of the functions and use cases, as well on the
98 SG-ISL and its part. ............................................................................................................................. 133
99 Figure A7.10 – “Sphere of action” domains in the electricity grid and flow of energy ......................... 136
100 Figure A7.11 – Detailing Logical System Components of the Smart Electricity Grid .......................... 138
101 Figure A7.12 – Blocks inside Energy Management Gateway and Energy Manager .......................... 138
102 Figure A7.13 – Energy Management LAN – inside Sub Cells of connecting Objects ......................... 139
103 Figure A7.14 – Integration Points of Electric Vehicles to the smart grid ............................................. 140
104 Figure A7.15 – Smart meter logical Interfaces & security bridge types (M/441 Scope) ...................... 141
105 Figure A7.16 – Smart Meter logical Interfaces & Security Bridge Types (M/441 Scope) ................... 141
106 Figure A7.17 – Smart meter multi zone communication options ......................................................... 142
107 Figure A13.1 – Overview of advanced EMS architecture.................................................................... 159
108
109
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110 1. Executive summary

111 Europe is committed to the 20-20-20 targets to reduce carbon emissions and to secure the energy
112 supply. energy efficiency and renewable energy are seen as key to reach this goal. Both measures
113 call for changes in our energy supply system leading to smart grids as key enablers for the required
114 innovation. To promote this transformation the European Commission has taken a number of actions
115 including an upcoming mandate on standardization.
116 Standardization of smart grids is not “business as usual”. The huge number of stakeholders, the
117 necessary speed, the many international activities and the still changing solutions make it a difficult
118 task for the European Standardization Organizations (ESO). This report investigates the status of
119 European standardization. It does not duplicate the extensive work already done in other regions. Its
120 main focus is on high-level recommendations concerning the organization of standardization in
121 Europe:
122 • Use a top down approach

123 The different applications need to fit together. This can only be assured by a strong coordination.
124 • Build up a flexible framework of standards
125 Solutions are still changing. A flexible model or architecture must be available to map services and
126 use cases.
127 • Agree on an European set of use cases
128 Build a single repository of use cases to systematically deduce existing and future standardization
129 needs.
130 • Align to international standards
131 Transfer the European results to the international level.
132 • Don’t reinvent the wheel
133 Reuse existing mature standards, whenever appropriate.
134 For smart grids, it is not just important to change an individual standard, it is if anything far more
135 important to adapt the organization and processes for standardization. The establishment of the
136 CEN/CENELEC/ETSI Joint Working Group on standards for smart grids is a step in this direction.
137 The aim of this document is to draft a strategic report which shows the standardization requirements
138 for the European vision of smart grids, taking especially into account the Smart Grids Task Force of
139 the European Commission initiatives. It provides an overview of standards, current activities, fields of
140 action, international cooperation and strategic recommendations. Section 2 gives an introduction to
141 the political and technical background of smart grids in Europe and the current standardization
142 activities around the world. Section 3 describes the scope and the procedure taken in the development
143 of the report. Section 4 states general recommendations towards the European Standardization
144 Organizations. Section 5 provides details of the current status of standardization in cross-cutting and
145 domain-specific topics. Finally, section 6 informs about next steps.
146 In summary, the report identifies and proposes the necessary steps to be taken concerning
147 standardization of smart grids. A prioritization of actions still needs to be performed and the content
148 will continuously be influenced by external events. This is especially true for the upcoming
149 standardization mandate. The content and spirit of the mandate need to be included in later versions
150 of the report. It is therefore planned to regularly revise this document. It is now up to all of us to play an
151 active part in the further implementation and development of standardization of smart grids in Europe
152 in order to make the vision happen.
153
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154 2. Introduction
155 Europe’s electricity networks have provided the vital links between electricity producers and
156 consumers with great success for many decades. The fundamental architecture of these networks has
157 been developed in most member states to meet the needs of large, predominantly carbon-based
158 generation technologies.
159 Now the networks will have to integrate decentralized and renewable power generation
160 (onshore/offshore wind, photovoltaic, combined heat & power), also with many small suppliers. More
161 transport of power is requested due to new energy markets and energy trading as well as a trend
162 towards location of bulk generation far from load.
163 The energy challenges that Europe is now facing are changing the electricity generation landscape.
164 The drive for certain lower-carbon generation technologies, combined with greatly improved efficiency
165 on the demand side, requires customers to become much more inter-active with the networks. More
166 customer-centric networks are the way ahead, but these fundamental changes will impact significantly
167 network design and control.
168 In this context, the European Technology Platform (ETP) Smart Grids was set up in 2005 to create a
169 joint vision for the European networks of 2020 and beyond. It has identified clear objectives and
170 proposed an ambitious strategy to make a reality of this vision for the benefits of Europe and its
171 electricity customers. The vision of a smart grid in Europe was further developed following a 2006
172 Green Paper “A European Strategy for Sustainable, Competitive and Secure Energy” [1] and the
173 paper “Vision and Strategy for Europe’s Electricity Networks of the future” [2] by the European
174 Technology Platform (ETP) Smart Grids. The key elements of each energy supply system are
175 sustainability, competitiveness and security of supply. Those overall aspects have to be interpreted for
176 the new era of intelligent energy supply.
177
178 Source: [2]
179 Figure 1 – Key elements of a sustainable energy system
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180 The European Commission Directorate-General (DG) for Energy mandated a group of experts to
181 examine the conditions for a successful deployment of smart grids (or smarter grids) in Europe and
182 created a Smart Grids Task Force. This task force highlighted the importance of standards for a
183 successful deployment together with a need for change and improvement of the existing standards. In
184 addition, the group of experts identified the risk of too many standardization bodies providing a not
185 consistent set of standards.
186 Even if a first set of recommendations was issued by the Smart Grids Task Force, the Expert Groups
187 concluded on the need of a joint CEN/CENELEC/ETSI Working Group on standards for smart grids to
188 get deeper in establishing detailed recommendations to selected standardization bodies.
189 2.1 Basic idea of smart grids

190 The idea of smart grids in Europe is described in detail in the publications by the European
191 Technology Platform Smart Grids and the Strategic Deployment Document (SDD) [3].The content is
192 only summarized here insofar it is necessary for new concepts and answers of the European
193 standardization system.
194 Europe’s electricity networks must be flexible, accessible, reliable and economic. Furthermore,
195 solutions must be scalable, increase capacity for power transfers, reduce energy losses, heighten
196 efficiency and security of supply and be backward compatible to include the installed base.
197 Developments in communications, metering and business systems will open up new opportunities at
198 every level on the system to enable market signals to drive technical and commercial improvements
199 as well as energy efficiency.
200 Major elements of the vision are collected in a toolbox of proven technical solutions, harmonized
201 regulatory and commercial frameworks, shared technical standards and protocols, information,
202 telecommunication systems and the successful interfacing of new and old designs of grid equipment.
203 Source: [1]
204 Figure 2 – Future network
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205 In the report of the Smart Grids Task Force Expert Group 1 [4], a smart grid is defined as follows:
206 “A smart grid is an electricity network that can cost efficiently integrate the behaviour and
207 actions of all users connected to it – generators, consumers and those that do both – in
208 order to ensure economically efficient, sustainable power system with low losses and high
209 levels of quality and security of supply and safety.”
210 A smart grid also will offer a framework for innovative services.
211 The European regulators use and support the approach of the ETP Smart Grids, but emphasize that
212 development must be a means to an end and investments in smarter networks must result in user
213 value and direct benefits to all network users.
214 The addressed challenges and opportunities include:

215 • User-centric approach
216 • Electricity networks renewal and innovation
217 • Security of supply
218 • Liberalised markets
219 • Interoperability of European networks
220 • Distributed Energy Resources (DER) and renewable energy sources (RES)
221 • Central generation
222 • Environmental issues
223 • Demand response and load management
224 The vision and the scope of smart grids bring together a vast group of stakeholders. These are
225 described in detail in the report of the Smart Grids Task Force Expert Group 3 [5]. Co-ordination
226 between actors is essential in maintaining a secure supply, an efficient network operation and a
227 transparent market. Common technical rules and tools need to be adopted by the different players
228 regarding data exchange, modelling grids, ancillary services and their users.
229 Within this vision and as a basis for implementation a lot needs to be done and to be addressed by
230 standards. Standards are an ideal instrument to achieve a number of objectives such as
231 • interoperability,
232 • defining data models,
233 • protocols, communication and information exchange, as well as
234 • improving security in the context of critical infrastructure, and
235 • safety of new products and systems in the smart grid.
236 Joint technical standards are an explicit goal of the European smart grid strategy. They can also help
237 to promote the European smart grid solutions in a worldwide market.
238 The European standardization organizations CEN, CENELEC and ETSI are ready to address these
239 issues.
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240 2.2 Current political background in Europe

241 In March 2006, the European Commission put forward its analysis [1] of the main energy challenges
242 that the EU will be facing in the coming years. The Commission proposed to address these challenges
243 through a new comprehensive European energy policy built on three main pillars: sustainability,
244 competitiveness and security of supply. Among other things, research into energy efficiency and
245 renewables and development and deployment of new energy technologies were identified as a
246 political priority.
247 The roll-out of smart meters and implementation of smart grids in Europe is an integral part of this
248 policy priority. When the Commission in September 2007 unveiled its proposal for a Third Energy
249 Package, it made the implementation of smart metering systems an obligation for the Member States
250 in both the Electricity and the Gas Directives [6]. Member States must by September 2012 carry out a
251 cost-benefit analysis of the smart meters implementation and ensure the deployment of the new
252 technology to at least 80% of the households by 2020. The progress towards the smart grid
253 development is also supported by a whole body of European energy efficiency legislation. The
254 Directive on Energy End-use Efficiency and Energy Services from 2006 lists deployment of smart
255 metering systems as one of the main cross-sectoral measures considerably improving energy
256 efficiency [7]. Likewise, the recently revised Directive on Renewable Energy obliges the Member
257 States to take appropriate steps to develop intelligent transmission and grid infrastructure [8]. The
258 Energy Performance of Buildings Directive strongly supports decentralized energy supply systems
259 based on renewable energy and calls on the Member States to encourage the introduction of smart
260 metering systems whenever a building is constructed [9].
261 To facilitate the implementation process on the technical level, the Commission issued in 2009 a
262 standardization mandate concerning smart meters to the standardization organizations CEN,
263 CENELEC and ETSI. The standardization bodies are now involved in the development of an open
264 system architecture for utility meters involving communication protocols that enable interoperability
265 and they will present the results in 2012.
266 In order to succeed with smart grids implementation in Europe, the support of the industry is key. This
267 is why the Commission came in 2007 with the European Strategic Energy Technology Plan (SET-
268 Plan). Being the technology pillar of the EU's energy and climate policy, the Commission, together with
269 industry and the research community drew up technology 'roadmaps' identifying key low carbon
270 technologies with strong potential at EU level in six areas: wind, solar, electricity grids, bioenergy,
271 carbon capture and storage (CCS) and sustainable nuclear fission. On this basis, in June 2010 the
272 Commission together with industry stakeholders launched four industrial initiatives, including one on
273 electricity grids. The European Electricity Grid Initiative (EEGI) has already published a detailed
274 roadmap for 2010-2018 outlining the process towards the implementation of smart grids in
275 Europe [10].
276 However, addressing the technology aspects of smart grids is not enough to make smart grids in
277 Europe a reality. Important questions regarding data protection, interaction between different actors
278 and regulators need to be clarified, funding issues addressed. To this aim, the Commission
279 established in November 2009 a Smart Grids Task Force. It is to advise the Commission on the
280 policy/regulatory directions at European level, coordinating first steps towards the implementation of
281 smart grids recommended in the Third Energy Package. The Smart Grids Task Force is led by the
282 Commission's Directorate-General for Energy Policy (DG ENER) in collaboration with six Directorates
283 and about 25 European associations representing all relevant stakeholders. The task force is to deliver
284 recommendations on a number of relevant issues towards the mid 2011. The Expert Groups that are
285 to identify the need of further smart grid standards have already expressed a positive view and
286 recommended to the Commission to initiate drafting a standardization mandate so that it can be
287 issued by early 2011. In this context, the establishment and the work of the CEN/CENELEC/ETSI Joint
288 Working Group on standards for smart grids is extremely useful and instrumental in achieving the
289 European Commission's policy objectives regarding smart grids.
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290 2.3 Aim of a European standardization report

291 The aim of this document is to draft a strategic and nevertheless technically orientated report which
292 represents the standardization requirements for the European vision of the smart grid, taking specially
293 into account the ETP (European Technology Platform), SDD (Strategic Development Document),
294 SMCG (Smart Metering Coordination Group), EU Focus Group on Electric Vehicles and the Smart
295 Grids Task Force of the European Commission initiatives. In addition, it provides an overview of
296 standards in that context, and of current activities, necessary fields of action, international cooperation
297 and strategic recommendations.
298 In doing this, the document aims to answer to the first conclusions of the Expert Group (EG1) of the
299 European Commission Smart Grids Task Force, which request the establishment of a Standardization
300 roadmap [11].
301 <<start of EG1 report extract>>
302 For efficient deployment, it is necessary to coordinate all these changes within a coherent
303 framework road map.
304 The report should address:

305 • Devices;
306 • Interfaces;
307 • Communication;
308 • Cyber security and system integrity;
309 • System model(s);
310 • Network and system management;
311 • Grid codes and Industry rule;
312 and must take into account the market rules.
313 According to this a harmonisation of models and standards is highly desirable. Technical
314 standards have to be defined clearly and fast; if not the desired effect will not occur in the
315 expected time frame. Due to this reason it is necessary to prioritise some key issues and define
316 “fast track” solutions for the core set of standards (see below).
317 The different domains (Energy Market, Transmission and Distribution, DER, E-Mobility) need to
318 define common interfaces through telecommunication and service standardized and
319 interoperable architectures.
320 Use cases and standards in development under the Mandate M/441 for smart metering shall be
321 taken into account to ensure coexistence of smart meters and smart grids applications.
322 <<end of EG1 report extract>>
323 The report summarizes international and national activities in standardization taking into account the
324 specific European requirements derived from the European smart grid vision. This draft of a European
325 standardization report describes standards of a future electrical power supply system, states their
326 importance and areas of application, and presents the resulting opportunities, challenges and effects.
327 At this point it is not intended to narrow down the lists of standards to those which are most relevant –
328 this will be left to a later phase. The procedure to do this is described in the last section of the report.
329 The report should support European manufacturers and their international reputation in the area of
330 power engineering, automation technologies as well as ICT business.
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331 The concept of the smart grid is receiving attention from many stakeholders. For this reason, CEN,
332 CENELEC and ETSI formed a Joint Working Group on standards for smart grids, which is open to all
333 interested European associations, national standardization organizations as well as interested
334 Technical Committees. It is designed to establish CEN, CENELEC and ETSI as the voice for smart
335 grid standardization, especially in the face of the policy framework and the announced standardization
336 mandate on smart grids by the European Commission.
337 2.4 Activities around the world

338 Smart Grids have received a lot of attention in the past years worldwide. The concepts differ a lot in
339 the main regions and this is also reflected in the respective roadmaps and studies. However for
340 CEN/CENELEC and ETSI there are some standardization organizations which by mutual agreements
341 are in the focus of the European activities. This is especially true for ISO, IEC and 3GPP as well as the
342 European national committees. The results of these organizations need to be considered with top
343 priority, since they influence the work at a European level. In addition, co-operation with ISO, IEC or
344 3GPP is our main lever to internationalize European standardization work 1). There are of course
345 further standardization organisations which have to interact in the networks of the smart grid
346 technologies. ISO/IEC JTC 1 and ITU-T on the international level, NIST, KATS, JISC on the regional
347 level and German DKE standardization roadmap on the national level are especially worthy of
348 mention.
349 The following gives a short overview of various studies:
350 • European Standardization Mandate M/441 and the Smart Meter Co-ordination Group
351 The European Union has issued a mandate for the standardization of smart meter functionalities
352 and communication interfaces for use in Europe for the electricity, gas, heat and water sectors to
353 the organisations CEN, CENELEC and ETSI. The results of Mandate M/441 are to be standards
354 or technical documents. Standards in this context are voluntary technical specifications and
355 general technical rules for products or systems on the market. The aims are to facilitate the
356 deployment of smart metering systems, to secure interoperability, protect the customers and
357 ensure system reliability. Above all, the following six aspects of smart metering are considered
358 and the prevailing standards examined.
359 • Reading and transmission of measurements
360 • Two-way communication between the meter and a market participant (e.g. billing, energy
361 related services)
362 • Support by the meter for various tariff models and payment systems
363 • Remote meter deactivation and start/finish of supply
364 • Communication with devices in the household
365 • Support of a display or interface in the household for display of the meter data in real time
366 The meters must not always support all the functionalities; this can be arranged from country to
367 country. Within the “Smart Meters Co-ordination Group” (SMCG), existing standards are
368 classified in relation to these six functionalities and responsibilities delegated to individual
369 standardization committees of CEN, CENELEC and ETSI.
370 • German Standardization Roadmap E-Energy / Smart Grid [12]

371 In close co-operation of DKE, the German Commission for Electrical, Electronic & Information
372 Technologies of DIN and VDE, together with the German research projects “E-Energy” funded by
373 the Federal Ministry of Economics and Technology as well as the Federal Ministry for the
374 Environment, Nature Conservation and Nuclear Safety, a position paper on the German Smart
375 Grid Standardization was worked out by all relevant stakeholders and experts in combination with
1) For example, via the Vienna and Dresden Agreements between CEN/ISO and CENELEC/IEC respectively.
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376 a public hearing and the public possibility to comment on the draft version. Based on a description
377 of the basic concepts of smart grids, an overview of relevant standards, current studies and
378 activities the position paper provides recommendations for necessary fields of action, international
379 cooperation and strategy. Main result was the statement that a lot of standards already exist in
380 spite of some public dispute about missing standards. Existing international standards, especially
381 worked out by IEC TC 57, should be used as far as possible and should be the basis for further
382 developments. New developments are seen mainly in the cooperation of different standardization
383 organisations and different Technical Committees due to the needed broad system approach of
384 smart grids from generation, transmission, distribution to electrical devices like smart appliances in
385 households. Furthermore, experts pointed out that the system approach has to include or consider
386 other media like gas, heat or water (multi-utilities) as well as other domains: e.g. in a smart home
387 functions of Energy Management, Home Automation and Ambient Assisted Living (AAL) might
388 merge. The paper is publically available in German and English.
389 • IEC Strategic Group 3 “Smart Grid Report” [13]
390 The Standardization Management Board (SMB) of IEC resolved the establishment of a Strategic
391 Group on “Smart Grids” (Strategic Group 3), which submitted an initial roadmap for its own
392 standards and 11 high level recommendations to the SMB in February 2010. The roadmap is now
393 officially available in the IEC webpage since June 2010. This work and these recommendations
394 are especially relevant to the European standardization roadmap. The IEC has already developed
395 numerous suitable standards. Its aim is therefore also to disseminate these further and to draw
396 attention to them. A total of over 100 IEC standards were identified, described and prioritized by
397 SMB SG3. Twelve application areas and six general topic blocks were examined by SG3, and 44
398 recommendations for a smart grid under the aspect of standardization issued. Existing IEC core
399 standards – especially IEC TC 57 standards – serve as the basis for further smart grid standards
400 to be developed. Currently the IEC group focuses on use cases and general requirements for a
401 smart grid reference architecture, developing a so-called Mapping Tool to support smart grids
402 project managers (http://www.iec.ch/smartgrid) .
403 • NIST Interoperability Framework [14]
404 Empowered by the Energy Independence and Security Act (EISA) of 2007, the Department of
405 Commerce in the USA devolved the main responsibility for the coordinated development of a
406 framework for the achievement of interoperability of smart grid systems and devices, taking
407 especial account of protocol and data model standards for information management, to NIST [15].
408 Various pieces of equipment, such as Smart Meters for the US Smart Grid, are already being
409 evaluated in field trials. NIST also emphasizes that large investments in a smart grid will not be
410 sustainable without standards.
411 NIST has therefore established a phase plan intended to accelerate identification of the standards
412 required for the smart grid. The document is the result of the first phase in compilation of the
413 framework. It describes an abstract reference model of the future smart grid and in doing so
414 identifies almost 80 essential standards which directly serve the smart grid or are relevant to its
415 development on a meta-plane. In addition, 14 key areas and gaps are identified, in which new or
416 revised standards are needed, especially in the field of security. NIST further establishes plans of
417 action with aggressive timetables and coordinates the standardization organisations to the extent
418 that they support its plans to close the gaps in achieving smart grid interoperability in the near
419 future.
420 • Japanese Industrial Standards Committee (JISC) roadmap to international standardization
421 for smart grid [16]
422 The Japanese approach to standardization in the context of smart grids is highly similar to the
423 approach of NIST in the USA: Starting with an initiative by the Ministry of Economy, Trade and
424 Industry (METI), a strategy group was founded in August 2009 with the aim of promoting
425 Japanese activities in international standardization in the smart grids field. Standards are seen in
426 that context as a fundamental element in the achievement of the required interoperability. The
427 flexibility and expandability of the future smart grid can, according to the strategy group, only be
428 achieved with an appropriate degree of standardization. A first report was completed by January
429 2010, providing for the establishment of a roadmap in close cooperation with other standardization
430 organisations and countries. On the basis of a general picture of the future smart grid, seven main
431 fields of business (Wide-Area Awareness in Transmission, Supply-Side Energy Storage,
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432 Distribution Grid Management, Demand Response, Demand-Side Energy Storage, Electric
433 Vehicles and AMI Systems) were identified, to which 26 Priority Action Areas are assigned.
434 Special core aspects for the Japanese economy were also identified. The topics are to be
435 addressed in cooperation with IEEE, IEC and CEN/CENELEC. The recommendations are
436 therefore also congruent with the previous recommendations from those organisations.
437 • The State Grid Corporation of China – SGCC Framework
438 The State Grid Corporation of China (SGCC) has defined an own smart grid standardization
439 roadmap which will have some influence on vendors and markets since China will be one of the
440 largest markets for the upcoming smart grid which is expected to be based mainly on open
441 standards. The first version of the SGCC framework defines eight domains, 26 technical fields and
442 92 series of standards and takes into account several existing standardization roadmaps.
443 The SGCC framework states that after the age of information we will see an upcoming age of
444 intelligence where the integration of clean energy requires both a strong and smart grid which is
445 considered to tackle climate change as well as environment deterioration and to optimize the
446 allocation of energy resources. The strong and smart grid is defined as an intelligent power
447 system encompassing power generation, transmission, transformation, distribution, consumption
448 and dispatching. According to the SGCC definition, the grid itself will no longer be a simple carrier
449 of transmission and distribution of electricity, but will be more an integrated and intelligent platform
450 for the internet of things, internet network, communication network, radio and TV networks. The
451 sharp line between generation-side and demand-side will blur.
452 SGCC has worked out a fast paced three stage plan. For the first batch of smart grid standards,
453 SGCC has identified 22 standards overall, 10 domestic ones and 12 international ones. Those
454 standards have also been in the scope with the IEC SG3, containing their 5 core standards.
455 A lot of further activities and roadmaps could be mentioned as well, like Austria, Spain, United
456 Kingdom, Netherlands, France, Korea and others.
457 In the area of international standardization and interoperability roadmaps, a relevant document is
458 already available in the form of the IEC roadmap, from whose contents standards for a European
459 roadmap can be deduced. The standards from IEC TC 57 Seamless Integration Architecture (IEC TR
460 62357) are worthy of particular mention in this context. The IEC’s roadmap represents a good basis,
461 which can exert influence on standardization in the field of smart grids on an international level. The
462 IEC focus however means that areas which may be relevant to Europe are missing and cannot be
463 adopted from the study (e.g. market communication and ICT).
464 The work of NIST refers in part to North American standards such as those from ASHRAE or IEEE,
465 which are less widespread in the European context. Nevertheless, many of the recommendations from
466 the international IEC roadmap are picked up in the national North American roadmap.
467 In the area of standardization for the smart grid in Europe, especially the Smart Grids Task Force
468 reports commissioned recently by the European Commission are of significance. The EG1 Report
469 focuses on services and functionalities, the EG2 Report focuses on data handling, security and
470 consumer protection. They both state recommendations for standardization, with the focus on IEC
471 standards. It is therefore to be assumed that certain IEC standards will indeed form the core of a future
472 smart grid.
473 It is agreed, that the European Joint Working Group on standards for smart grids will be in close
474 contact with the various standardization groups around the world. On the one hand this will help to
475 formulate a worldwide approach and on the other hand help to establish European requirements and
476 standards in a worldwide market. Liaisons are already established with IEC SG3, JISC and NIST. The
477 national standardization organizations of Europe are included in the overall setup of CEN, CENELEC
478 and ETSI anyhow.
479
13
480 3. Description of the overall concept

481 3.1 Scope
482 The following document identifies existing standardization and potential gaps in the European
483 standards portfolio, which will be relevant for smart grid implementation. The report will advise on
484 European requirements relating to Smart Grid standardization, and assess ways to address them.
485 The report builds on inputs from the Smart Grids Task Force of the European Commission. The
486 European requirements shall fit within the overall smart grid standardization philosophy. The report
487 should not repeat work already delivered by other organizations, of which an overview is provided in
488 section 2.4. The report’s focus is rather in determining the specific European requirements for
489 standardization and will make maximum reference to international work, where ever it may already
490 suffice for the implementation of smart grids in Europe. The report will initially focus on the smart
491 electricity grid, but may extend its scope into other utilities (gas, water, heat), keeping it aligned with
492 the scope of the European Commission’s Smart Grids Task Force.
493 The report is designed to prepare an overview of specific European standardization requirements
494 concerning the smart grid by taking due account of the emerging task force recommendations. It
495 matches these requirements against existing international standards and all relevant work in progress
496 in standardization bodies, and builds on existing international and European standardization work in
497 order to make recommendations as to how missing issues should be covered by standardization.
498 These recommendations will reflect the preference for global standards that also apply for Europe
499 (e.g. via the IEC-CENELEC Dresden agreement or the ETSI participation to 3GPP).
500 The report is also seen as a basis for further investigation and developments in the light of the
501 expected and announced standardization mandate for smart grids from the European Commission.
502 3.2 Procedure

503 The following section is intended to describe the procedure taken to identify existing European
504 standards and gaps, which will need new standardization activities. The European Standardization
505 Organisations (ESOs) CEN, CENELEC and ETSI formed a Joint Working Group on standards for
506 smart grids. It is open to the relevant European stakeholders and also covers further tasks specified in
507 the terms of reference [].
508 This document does not focus on an elaborated function and domain analysis. That is done by the
509 Smart Grids Task Force Expert Groups, who have elaborated a number of basic functionalities of
510 future European smart grids. From these functionalities high level use cases are derived in order to
511 deduce the functional requirements. Whether the requirements are met by already existing standards
512 or by standards yet to be developed will be analyzed and recommendations for further work will be
513 given. These recommendations may address different levels of the organization of the ESOs, from the
514 top management councils like the Joint Presidents Group, to the more technical work in TCs, SCs and
515 the respective working groups.
516 The JWG has structured the complex area of smart grid standardization in the following way:
517 Section 4 will focus on the European standardization landscape concerning the regulatory and political
518 framework as well as aspects like marketing or types of deliverables appropriate for smart grids. It will
519 furthermore elaborate on a suitable organization of standardization work within the ESOs.
520 Section 5 will describe the recommendations in specific areas. It is divided in three subsections.
521 • The first subsection covers topics which are of general nature and apply to all domains of smart
522 grids. It consists of terminology, systems aspects, reference architecture, communication,
523 information security and other cross cutting issues.
14
524 • The second subsection covers topics which are relevant to a certain domain. The report for each
525 domain will follow the same procedure. First of all a short description of the relevant functionalities
526 and if necessary some of its high level use cases will be given. This is followed by the necessary
527 requirements to realize such functions. Then – if already existing – a number of possible candidate
528 standards, published by ESOs will be given. The remaining gaps are described and the necessary
529 standardization work or standards missing are outlined.
530 • The third subsection addresses the roles and responsibilities of the various actors in the electricity
531 supply chain and electricity market.
532 Each subsection will end with recommendations towards the ESOs and – in case – other
533 stakeholders.
534 Section 6 covers further activities to be started, activities towards an upcoming mandate on smart
535 grids and the provisions to be taken to issue a second version of the report.
536 Annex 1 gives an overview of all the recommendations made in the different sections.
537
15
538 4. European standardization and regulation landscape

539 4.1 General recommendations
540 The following general recommendations G-1 to G-6 should be considered as strategic
541 recommendations summarizing the discussions on detailed topics in order to provide a management
542 framework.
543 G-1 Further development of the report

544 This report should be further developed with regard to the focal topics identified, in cooperation with
545 the corresponding professional groups and stakeholders. Topics such as energy storage and security
546 of supply may also be included.
547 G-2 International standards as base for promoting EU economy

548 Standardization of smart grids must be based on existing international work, to avoid reinventing the
549 wheel, to accommodate already solutions which are standardized and applied for practical purposes
550 and to secure the interests of European manufactures who are acting globally. This document
551 recognizes that work and therefore builds upon the globally recognized smart grid standards as
552 identified in Section 5 (e.g. IEC TC 57 family of standards).
553 G-3 Speed of implementation – reuse existing

554 There are already a number of quite advanced initiatives around the world which are described in
555 section 2.4. In order to secure European interests in the implementation in Europe and around the
556 world existing mature domain communication systems should be used. The ESOs should further
557 standardize necessary interfaces and product requirements and must avoid standardizing applications
558 and solutions. Focus must be laid on the standard development according to the R&D and deployment
559 priorities of the EU given in the Smart Grids Task Force reports, the ETP and the SDD.
560 G-4 Concentrate on future proof standardization

561 Smart grids is a highly dynamic technical field. Standards must therefore be generic and open to
562 include future developments from R&D and pilot projects. It is therefore recommended to concentrate
563 on generic standards which flexible mirror market needs and technological development.
564 G-5 Build up a SINGLE repository for smart grid use cases
565 The descriptions of functionalities / use cases represent an important basis for the further work,
566 including that on standardization. It is therefore recommended to collect use cases as a base to start
567 detail work on standards. Feed this repository with at least:
568 • the M/441 set of use cases
569 • active liaisons with all European smart grid projects
570 • the EG1 to EG3 reports of the Smart Grids Task Force of the European Commission
571 • from experiences of the national committees
572 Check if the re-use of use cases coming from other countries or region may lead to single worldwide
573 use-cases definition
574 Define the methodologies: templates, classification, etc.
575 G-6 Adapt standardization process

576 Set the needed processes to fit the lack of maturity of many smart grid applications. As stated in the
577 EG1 report, "smart grids deployment will be a continuous learning process" and standardization
578 should propose a clear set of processes to cope with this learning process. E.g. use electronic form of
579 communicating standards in order to enable seamless integration of standard data models. Define
580 open and transparent quality processes attached to smart grid standards including covering the whole
581 life cycle of such standards, including how to collect issues, to treat/fix issues, and then to validate and
582 test.
16
583 4.2 European Standardization Organizations (ESOs)

584 Several facts indicate, that there is an increased need for cooperation of the European
585 Standardization Organizations on the topic of smart grids. Some of the detail topics within this report
586 cannot be expected to be finalized during the course of a first version given the timeframe set in the
587 terms of reference. Therefore additional work as stated in the respective individual sections and their
588 recommendations is required. The JWG is seen as an ideal tool to handle and follow up on these still
589 open issues. Furthermore, smart grids are a highly dynamic field, where major changes must be
590 expected and accommodated for. And finally, a mandate of under preparation by the European
591 Commission has to be worked on. All these facts ask for a structure or organization within the ESOs to
592 cover these tasks.
593 O-1 Extend timeframe and scope of JWG Smart Grids

594 The JWG scope and duration should be adapted to the wider needs of further tasks, coordination of
595 responses to an EC mandate and a further investigation of the ever changing environment in the smart
596 grids area.
597 O-2 Marketing of ESOs effort in Smart Grids

598 ESOs must enforce their efforts to markets and visualize their already done work on international and
599 different regional levels. This is necessary to keep the high level of influence on international
600 standardization and therefore on solutions. A funding of the external representation of the ESOs
601 should be investigated as international activities are indicating growing dominating roles of US and
602 Asia due to high public funding of respective standardization organizations. Although this might be
603 conflicting with the traditional role of the European standardization the short time frame for actions in
604 order to participate within the already ongoing debate at international level and the need to
605 standardize in areas where R&D still is needed, public funding might be justified for some stakeholder
606 groups like R&D institutes or SME. Any solution should be based on the co-operation with national
607 standardization organizations and their experts and expertise.
608 O-3 Mandates in relation to Smart Grids

609 Concerning the different mandates that are or will be issued in the context of smart grids, consistency
610 and coherence must be ensured by the Technical Boards of CEN and CENELEC and by the ETSI
611 Board.
612
17
613 5. Status of standardization

614 5.1 Cross cutting topics
615 5.1.1 Terminology, object identification and classification
616 5.1.1.1 Description
617 Terminology and glossary are a prerequisite for dealing with smart grids since each smart grid domain
618 has its own language: electrical and telecom industries, network operators, regulators, power traders,
619 …. There is a need for a standardized language allowing easy exchange of information between all
620 domain players. In order to achieve this, it is necessary to unify disparate descriptions and to explicit
621 acronyms. This must be done by – as far as possible – technology neutral definitions.
622 NOTE There is even yet no internationally unified definition of a smart grid. IEC TC 8 recently circulated among
623 its members a proposal for a smart grid definition, that supports the conceptual model proposed by the IEC
624 Roadmap:
625 Draft 617-04-13 smart grid, intelligent grid

626 electric power system that utilizes information exchange and control technologies, distributed computing and
627 associated sensors, for purposes such as :
628 • to integrate the behaviour and actions of the network users and other stakeholders,
629 • to efficiently deliver sustainable, economic and secure electricity supplies.
630 5.1.1.2 Existing standards
631 Based on the roadmap structure, the following table lists dictionaries, glossaries and standards
632 sources of definitions related to smart grids.
Roadmap structure Content Source of definitions
General, architecture, concepts Smart grid IEV 617

Use case Methodology and template IEC/PAS 62559
Architecture IEC SG3 Roadmap
Communication Telecontrol IEC 60870-1-3, IEV 371

Communication systems in substations IEC 61850-2
Interface for Distribution management IEC 61968-2
Energy market communication IEC 62325
Data exchange DLMS COSEM IEC 62051-1
Data communication ISO/IEC 2382-9
Telecom glossaries to be added
Information security NIST key security terms

Telecom glossaries to be added
System aspects and other cross Dependability and Quality of service IEV 191
cutting issues EMC IEV 161
Connection to the grid IEV 617
Generation, transmission, substations, planning, operation IEV 601, 602, 603, 604, 605
distribution
Smart metering SMCG Glossary

IEC 62051
18
Roadmap structure Content Source of definitions
Industry, energy management Energy management CEN/CENELEC TR 16103
In house automation Home Electronic System (HES) ISO/IEC 15044

Intelligent home ISO/IEC 29108 (CD)
Market and actors IEV 617

Tariffs for electricity IEV 691
NOTE List of Terminology publications related to smart grids

• IEC 60050(617), International Electrotechnical Vocabulary – Part 617: Organization/Market of Electricity
• IEC 60050(161), International Electrotechnical Vocabulary – Part 161 :Electromagnetic compatibility
• IEC 60050(191), International Electrotechnical Vocabulary – Part 191: Dependability and Quality of
service
• IEC 60050(371), International Electrotechnical Vocabulary – Part 371: Telecontrol
• IEC 60050(601), International Electrotechnical Vocabulary – Part 601: Generation, Transmission and
Distribution of electricity – General
Distribution of electricity – Generation
Distribution of electricity – Power system planning and management
Distribution of electricity – Operation
Distribution of electricity – Substations
• IEC 60050(691), International Electrotechnical Vocabulary – Part 691: Tariffs for electricity
• IEC/PAS 62559, IntelliGrid Methodology for Developing Requirements for Energy Systems
• IEC/TR 60870-1-3, Telecontrol equipment and systems – Part 1:General considerations – Section 3:
Glossary
• IEC/TS 61850-2, Communication networks and systems in substations – Part 2:Glossary
• IEC/TS 61968-2, Application integration at electric utilities – System interfaces for distribution
management – Part 2: Glossary
• IEC 62325, Framework for energy market communications
• IEC/TR 62051, Electricity metering – Glossary of terms
• IEC/TR 62051-1, Electricity metering – Data exchange for meter reading, tariff and load control –
Glossary of terms – Part 1: Terms related to data exchange with metering equipment using
DLMS/COSEM
• CEN/CENELEC TR 16103, Energy management and energy efficiency – Terminology
• ISO/IEC 2382-9, Information technology – Vocabulary – Part 9: Data communication
• ISO/IEC TR 15044, Information technology – Terminology for the Home Electronic System (HES)
• ISO/IEC 29108 (CD), Information technology – Terminology for intelligent homes
19
633 5.1.1.3 Gaps
634 This section lists disparate definitions and a first list of terms to be defined or revised.
635 Work is already ongoing on a future amendment 1 to IEC 60050(617), which will encompass several
636 basic terms:
637 • smart grid, intelligent grid
638 • smart metering
639 • demand side management
640 • demand response
641 Further possible terms to be added and defined in IEC 60050(617) are:
642 • intelligent/smart charging (of an electric vehicle)
643 • Distributed Energy Resources (DER)
644 • intermittent energy source
645 • prosumer
646 • aggregator
647 • Virtual Power Plant (VPP)
648 • microgrid
649 • self healing network
650 Part 619 of IEC 60050 ,”Tariffs for electricity” needs to be revised.
651 5.1.1.4 Recommendations
652 Overview of existing glossaries to be complemented with Telecom domain terms
653 Term-1 : Harmonization of glossaries

654 To establish a process for harmonizing smart grid vocabulary over different domains.
655 The following paragraph is added for information only, since it does not differ from the IEC SG3
656 roadmap [13]
657 <<start of IEC SG3 roadmap extract>>
658 Object Identification, Product Classification, Properties and Documentation
659 Identification of objects, classification of objects and properties associated with the
660 objects are essential working areas, influencing the full scope of business activities, from
661 procurement, engineering, maintenance, service and phasing out of operation.
662 From a smart grid perspective the most important features are:
663 • the identification of the objects (from HV breaker to metering equipment in a household)
664 within the grid considered; this requires the use of a common identification system for the
665 objects including all grids participating in the smart grid;
666 • a classification of the objects used in the grid;
667 • If the relevant object is clearly identified, the technical data associated with the object need
668 to be computer-interpretable.
20
669 These items are absolute prerequisites, for example, for any asset management
670 applications, which must be able to include different vendor equipment. For this
671 equipment the same technical properties must be made available by the supplier of the
672 products.
673 Another issue is documentation. In order to support consistency and common

674 understanding, general guidelines and electronic product descriptions must be present.
675 Existing standards
676 Identification of objects:
677 IEC 81346-1, Industrial systems, installations and equipment and industrial products –
678 Structuring principles and reference designations – Part 1: Basic rules
679 IEC 62507-1, Requirements for identification systems enabling unambiguous information
680 interchange – Part 1: Principles and methods – Proposed as horizontal standard (under
681 preparation by TC 3)
682 IEC 61666, Industrial systems, installations and equipment and industrial products –
683 Identification of terminals within a system
684 IEC 61175, Industrial systems, installations and equipment and industrial products –
685 Designation of signals
686 Classification of objects:
687 IEC 81346-2, Industrial systems, installations and equipment and industrial products –
688 Structuring principles and reference designations – Part 2: Classification of objects and
689 codes for classes
690 NOTE For the objects managed within the smart grid no further classification activities as in IEC
691 81346-2 is required.
692 Electronic product description activities:
693 IEC 61360-1, Standard data elements types with associated classification scheme for
694 electric items – Part 1: Definitions–- Principles and methods
695 IEC 61360-2, Standard data element types with associated classification scheme for
696 electric components – Part 2: EXPRESS dictionary schema
697 ISO 13584, Industrial automation systems and integration – Parts library (PLIB).
698 PLIB is developed and maintained by the ISO TC 184 (Technical Industrial automation
699 systems and integration), SC 4 (Industrial data).
700 NOTE ISO 13583 [sic] and IEC 61360-2 are identical.
702 electric components – Part 4: IEC reference collection of standard data element types
703 and component classes
705 electric components – Part 5: Extensions to the EXPRESS dictionary schema
706 IEC/PAS 62569-1, Generic specification of information on products – Part 1: Principles

707 and methods
21
708 IEC/PAS 62569-2, Generic specification of information on products – Part 2 – Structure of

709 specifications (under preparation in IEC TC 3)
710 Gaps
711 The work on the CIM (Common Information Model) and other specific work such as
712 IEC 61850-7-420 (DER) already specifies technical properties of objects used in the data
713 models. Currently these models are not aligned to the principles of IEC 61360.
714 <<end of IEC SG3 roadmap extract>>
715 Recommendation
716 PPC-1 Electronic Data models

717 To align as much as possible glossaries with Electronic Data Models (TC 57/SC 3D)
718 5.1.2 Reference architecture
720 Not trying to make a new definition of smart grid, it is reasonable to view it as an evolution of the
721 current grid to take into account new requirements, to develop new applications and to integrate new
722 state-of-the-art technologies, in particular Information and Communication Technologies (ICT).
723 Integration of ICT into smart grids will provide expended applications management capabilities over an
724 integrated secure, reliable and high-performance network.
725 This will result in a new architecture with multiple stakeholders, multiple applications, multiple networks
726 that need to interoperate: this can only be achieved if those who will develop the smart grid (and in
727 particular its standards) can rely on an agreed set of models allowing description and prescription:
728 these models are referred to in this paragraph as Reference Architecture.
729 In essence, the purpose a Reference Architecture is to allow for a separation of a complex system
730 (which a smart grid definitely is) into entities that can be isolated from each other according to some
731 principles, thus making possible the description of the whole system in terms of the separate entities
732 and their relationships.
733 From this standpoint, there are several ways to consider the smart grid and make separations. At least
734 the following ones are relevant in the process of building a Reference Architecture:
735 • Conceptual Architecture. A high-level presentation of the major stakeholders or the major
736 (business) domains in the system and their interactions.
737 • Functional Architecture. An arrangement of functions and their sub-functions and interfaces
738 (internal and external) that defines the execution sequencing, the conditions for control or data
739 flow, and the performance requirements to satisfy the requirements baseline. (IEEE 1220)
740 • Communication Architecture. A specialization of the former focusing on connectivity.
741 • Information Security Architecture. A detailed description of all aspects of the system that relate to
742 information security, along with a set of principles to guide the design. A security architecture
743 describes how the system is put together to satisfy the security requirements.
744 • Information Architecture. An abstract but formal representation of entities including their
745 properties, relationships and the operations that can be performed on them.
746 • Service-Oriented Architecture. A flexible set of design principles used during the phases of
747 systems development and integration.
22
748 All these architectures are necessary, at various degrees, to the complete description of a smart grid.
749 A presentation of the available architectures for smart grids as well as an evaluation of their current
750 status is made below, together with recommendations.
751 It has to be clear upfront that such a set of architectures cannot be defined once and for all. It will have
752 to be evolving over time together with the progress in the smart grid business, use cases and
753 functionality.
754 5.1.2.1.1 Conceptual architecture
755 The major challenge to the smart grid is the need to interconnect a variety of (electricity and
756 communication) networks that will have to support, over time, the business needs of a variety of
757 stakeholders and ensure that the networks are interoperable, separately evolvable, as well as offering
758 a very high level of security.
759 To support its analysis, NIST has adopted a Conceptual Model with a few major characteristics:
760 • The visible role of the customer (encompassing both the traditional role of consumer and the
761 growing role of prosumer 2)) and the need to tailor the smart grid to its needs;
762 • A division in seven domains: Customer, Bulk generation, Transmission and Distribution (including
763 Substation Automation and Protection, EMS, etc.), Markets, Operations and Service providers;
764 • The exchange of electrical flows as well as information flows between these domains, making it
765 clear that both have to be treated coherently;
766 • The explicit need for secure communications, thus highlighting the essential concern on security.
767 Each smart grid domain (that can be refined in sub-domains) encompasses actors and applications.
768 Actors include systems, devices or programs that make decisions and exchange information in order
769 to perform applications (examples are smart meters, solar generators, and control systems) while
770 Applications are tasks performed by one or more actors within a domain (corresponding examples are
771 home automation, solar energy generation and storage, and energy management).
772 The NIST Conceptual Model has been defined in the North American context and puts focus on some
773 specific requirements. As stated in the NIST Framework and Roadmap document: “It is not only a tool
774 for identifying actors and possible communications paths in the smart grid, but also a useful way for
775 identifying potential intra- and inter-domain interactions and potential applications and capabilities
776 enabled by these interactions”.
777 Such a model is descriptive, not prescriptive. It is not supposed to provide design or implementation
778 choices.
779 In the European context, specific requirements are shaping the smart grid in a different manner
780 compared to North America. For instance:
781 • Distributed Energy Resources are an essential part of the EU 20/20/20 objectives and will be
782 significant actors (and therefore playing a specific role in the model);
783 • On the same line of reasoning, Industries could be also seen as a specific actor;
784 • The role of electrical vehicles, a key expected change in Europe may also require such an
785 addition;
786 • It might be needed to rename some of the actors, e.g. ‘Operation’ into ‘Grid Operations’;
787 • Etc.
2) Formed from contacting the words producer and consumer.
23
788 To achieve similar goals as the NIST model, the corresponding EU model encompasses the following
789 aspects illustrated in Figure 3 below:
790 • The set of major actors (and associated roles) in the European smart grid. The Smart Grids Task
791 Force Expert Group 3 (EG3) has identified a list of Roles and Responsibilities from which the
792 actors/roles as given below are extracted.:
793 o Markets. They play a role in the extension of the business capabilities within smart grids by
794 enabling a diverse set of intermediations. EG3 identifies several roles for these actors, like
795 Power Exchange, Trader, etc.
796 o Service providers. In this role, a variety of actors offer technology, products and services to
797 other actors in the model. Examples of service providers identified by EG3 are Ancillary
798 Services Providers, Metering Operators, ICT Service Providers, Electric Power Grid
799 Equipment Vendors, etc.
800 o Home/building customers. This refers to residential consumers as well as private or business
801 buildings. Like all customers they can be involved in contract based demand response.
802 o Industrial customers. In addition to the previous customers, this refers to large consumers of
803 electricity in an industrial and manufacturing industry, in particular consumers of electricity
804 providing transport systems.
805 o DER. Distributed Energy Resource systems provide an alternative to or an extension or
806 enhancement of the traditional electric power systems using small-scale power generation
807 technologies.
808 o Transmission/distribution. From a standardization standpoint, Transmission and Distribution
809 are requiring the same set of activities and do not need to be differentiated.
810 o (Bulk) generation. Refers to generation of electricity, active contribution to voltage and
811 reactive power control, required to provide the relevant data (information on outages,
812 forecast, actual production) to the energy marketplace.
813 o Grid operations. Refers to the undertakings of operating, building, maintaining and planning
814 of the electric power transmission and distribution networks.
815 The list of roles used in this model is not encompassing all the actors in smart grids identified by
816 the EG3, though they will play a role, e.g. electricity installer/contractors.
817 • The underlying role of the ‘ICT Support’ that refers to the set of ICT capabilities (networks,
818 software, applications, etc.) that will enable the business relationships between the actors;
819 • The relationship between actors seen from the standards angle, highlighting the need to develop
820 the corresponding secure standards (and in particular interfaces);
821 • In addition, the diagram highlights two major domains in which actors are playing:
822 o Transaction domain. In this domain, the vast majority of the interaction between actors takes
823 place using ICT-based software, applications and solutions.
824 o Power domain. In this domain, most of the interaction is regarding control, optimization of the
825 power flows.
24
Transaction
Domain Service
Market
Provider
Home/Building
Customer
Grid Operator
ICT Support
Industrial
Customer
(Bulk) Transmission /
Power DER
Generator Distribution
Domain
826 : Standardization required
827 Figure 3 – An EU conceptual model
828 Recommendation
829 Ref-1: European Conceptual Model

830 To continue work on a European Conceptual Model which describes the major stakeholders and their
831 interactions taking into account the work of the Smart Grids Task Force
832 5.1.2.1.2 Functional architecture
833 Based on the requirements (in particular security, performance) and – to a large extent – on the
834 Conceptual Model, the role of this architecture is to arrange functions and interfaces in a way that
835 makes it possible to understand the sequencing of execution and the conditions for control or data
836 flow. Functions can be in turn divided into sub-functions and the interfaces refined as to describe
837 external and internal interfaces.
838 IEC SG3 has been working on such a model 3). It addresses the major applications (e.g. distributed
839 energy resources, demand response or smart home automation) and the associated subsystems. A
840 subsystem is a group of related functions that are a self-contained part of a larger system. These
841 subsystems are linked by interfaces.
842 The subsystems above can be refined by the description of their internal architecture and interfaces.
843 This leads to a more complete – and complex – overall architecture. An extract of the IEC SG3 global
844 architecture is shown in Figure 4 to illustrate this:
3) The IEC mapping tool should be available in Q1 2011 at http://www.iec.ch/smartgrid/
25
845
846 Figure 4 – An extract of IEC SG3 functional architecture
847 In addition to the IEC diagram in Figure 4, a simplified model is shown in Figure 5 as another way to
848 present the functional architecture
849 • It shows high-level subsystems referred to only by their names. It only shows the high-level
850 subsystems and not their internal subsystems and internal interfaces;
851 • It also shows some of the major interfaces (referred to in Figure 4 by numbers, e.g. 7.1) between
852 these subsystems.
853 • It does not comprise all subsystems.
854 • The communications networks (WAN and Internet) are not represented as subsystems.
855 In addition, the diagram in Figure 5 shows some of the interfaces identified by the
856 CEN/CENELEC/ETSI Smart Metering Coordination Group (SMCG) referred to by letters (e.g. S).
857 Smart metering is an example of application: an application is a distributed service provided to end-
858 users using functions provided by one or several subsystem(s). The functional architecture for smart
859 metering is a subset of the smart grid functional architecture. It has to be noted that the SMCG
860 diagram below is for descriptive purpose and is meant to evolve over time.
861 This figure is addressing the harmonization of both IEC and SMCG approaches. It is important to
862 remember that some specific applications or applications subsets – for example, smart metering – can
863 be addressed by specific teams and may lead to additional (or alternative) interface specifications: this
864 may be a challenge to the global coherence of the Reference Architecture.
26
Power
DER Plant
Subsystem Subsystem
ERP/ CIS /
Billing
S / DES6 PPS1
AMI AMI
G / AMI4
H / AMI1
Subsystem
G / AMI1/3 WAN Head End
OS8
S / DA2 ES4
S / SA10 OS1
Distribution Substation Operations

Automation Automation Subsystem
Home Subsystem Subsystem
Automation
865 Subsystem
866 Figure 5 – Smart metering within smart grid subsystems and interfaces
867 Recommendation
868 Ref-2: European Functional Architecture

869 Develop, possibly based on the IEC SG3 model, a European functional architecture that take into
870 account all the generic, global aspects of smart grids as well as all the European specificities, in
871 particular those outlined in the European conceptual model. This model must accommodate the
872 harmonization of potentially different architectures produced during the definition of several smart grid
873 applications 4).
874 5.1.2.1.3 Communication architecture
875 The role – and impact – of ICT in smart grids is a key element in the way a Smart Grid Architecture will
876 be defined. In particular, a variety of Communication technologies may potentially shape a very
877 different role for the Communication Networks.
878 The Functional architecture above considers communication through specific subsystems such as the
879 communications infrastructure subsystem (encompassing public and private networks) or the internet.
880 However, it is important to note that :

881 • There are several communication networks involved: Home Area Networks (HAN), Enterprise
882 LAN, Neighbourhood Area Networks (NAN), Powerline Communication Networks, Wireline Access
883 Networks, Wireless Access Networks, Core Network;
884 • There are many possible connectivity scenarios between functional subsystems, generally
885 involving only a subset of the communication networks;
886 • The choice of specific technologies (i.e. Internet Protocol) has a deep impact on the internal
887 organization of subsystems.
888 A more specific Communication Architecture can help understanding the impact of the communication
889 standards on the organization of the subsystems.
890 Such an architecture could look like the (simplified) one below (that needs to be deeply reworked):
4) This model should be fed back to IEC.
27
Utility Office Power Utility Data and Control Center

Station
(IP/MPLS) Core Network
Substation
Vehicule
Charging Station
Wireline Network
Wireless Network
DER Storage
Building (Residential, Business, Industrial, ..)
Utility Pole
NAN Micro
Grid
Powerline Communication Network
891 HAN/LAN
892 Figure 6 – Connectivity architecture
893 Figure 6 highlights the large variety of possible communication paths: a particular deployment scenario
894 will use a subset of these.
895 Recommendation
896 Ref-3: Communication Architecture

897 Develop a Communication Architecture to take into account the large variety of network and
898 connectivity scenarios involving communications interface.
899 5.1.2.1.4 Information security architecture
900 From the very beginning, NIST has adopted a comprehensive approach towards the Cyber Security
901 Architecture. It has resulted in a set of documents (NISTIR-7628) that addresses in particular:
902 • Strategy, Architecture and High-Level Requirements;
903 • Privacy.
28
904 The approach taken is summarized in Figure 7:
905
906 Figure 7 – NIST approach to Security
907 Based on the NIST Computational Model, the Smart Grid Cyber Security Working Group (SGCSWG)
908 has, in particular, developed a Security Architecture whose main characteristics are:
909 • Categories of Logical Interfaces. The set of interfaces derived from the Computational Model have
910 been grouped in 22 categories (in fact, Security Classes), based on the specific security
911 conditions across these interfaces;
912 • Security Requirements. Each requirement falls in one of three categories:
913 o Governance, risk and compliance (GRC): applicable to all smart grid information systems
914 within an organization and are typically implemented at the organization level and
915 augmented, as required, for specific smart grid information systems.
916 o Common technical: applicable to all smart grid information systems within an organization.
917 o Unique technical: allocated to one or more of the logical interface categories defined in the
918 logical reference model included in Section 2.
919 Based on this Security Architecture, NIST has also

920 • analyzed the existing Standards and considered the gaps;
921 • developed a Conformance Analysis program.
922 Realizing the crucial nature of security (cybersecurity as well as privacy), the Smart Grids Task Force
923 Expert Group 2 (EG2) has also developed a set of recommendations on data security that should be
924 the basis for shaping the European view of the Security Architecture. In particular, a certain emphasis
925 is put on privacy (of user data in particular) that may have a profound impact on the functional and
926 communication architectures.
29
927 In particular, a holistic approach for getting globally secure systems is proposed. The corresponding
928 information security architecture is not only proposing standards (existing or to be developed) but it
929 also addresses the methodology and conformity assessment techniques required.
930 As an illustration, the information security architecture (section 5.1.5 below) introduces a model for the
931 definition of implementation requirements. Other sources of work can be found from NIST, ISO/IEC
932 JTC1/SC27, IEC TC 57.
933 Recommendation
934 Ref-4: Security architecture

935 Expand the work done in the European Commission Smart Grids Task Force to create a security
936 architecture also taking into account a conformity assessment approach whenever applicable.
937 5.1.2.1.5 Information architecture
938 The representation of the entities that interact within or between subsystems is mandatory for ensuring
939 a required level of interoperability. The role of information models is to ensure this.
940 Several data models for the smart grid have been and are being defined. Among which:
941 • General-purpose models such as the IEC 61970 Common Information Model (CIM) shown in the
942 diagram below;
943 • Specific models addressing a particular application domain such as:
944 o ANSI C12, IEC 61850 (partly), DLMS and COSEM, … for smart metering
945 o SAE J1772, J2847-1 work , ISO/IEC 15118 for electrical vehicle
946 o …
947 A critical issue is the coherence of data models and the risk of too specific models leading to silo-ed
948 applications. The diagram in Figure 8 shows the challenge of a coherent set of Information Model
949 specification. It is even more complicated when different organizations have defined in parallel similar
950 models for the same range of applications. In addition, it should be noted that this diagram has a
951 strong focus on system control and that other areas like metering still have to be included.
952
953 Figure 8 – IEC SG3 Information architecture
30
954 Recommendation
955 Ref-5: Consistent Information Model

956 Ensure that the Information Architecture is relying both on precisely identified standards but also that
957 the consistency of the Information Model is guaranteed by an appropriate mechanism for re-aligning
958 separately developed (and possibly diverging) models.
959 5.1.2.1.6 Service-oriented architecture
960 A modern network control system provides a service-oriented architecture with standardized process,
961 interface and communication specifications such as the one in IEC 61968 and IEC 61970 provide a
962 basis for modernizing the network control systems with state-of-the-art IT technologies. The services
963 of a control system comprise:
964 • Data services with which, for example, the databases of the core applications can be accessed,
965 e.g. readout of the operational equipment affected by a fault incident in the power supply system
966 • Functional logic services, e.g. for starting a computing program for calculating the load flow in the
967 power supply system
968 • Business logic services that coordinate the business logic for specific energy management work
969 processes of the participating systems, e.g. fault management in the network control system within
970 the customer information system at the power supply company.
971
972 Figure 9 – IEC SG3 Service-oriented architecture
973 It should be noted that this architecture focuses on internal (utility) systems and not external systems
974 and networks.
975 Such a model is descriptive, not prescriptive. The IEC SG3 model is presented here (Figure 9) as an
976 illustration of how a modern Service-Oriented Architecture can orient the structure of software in a
977 smart grid system.
31
979 The Reference Architecture is a work in progress. It is expected to be delivered in a first iteration with
980 the first version of this report. However, every element of the Reference Architecture may have to
981 evolve and it is important that:
982 • The evolution of each model of the Reference Architecture is done in a comprehensive way
983 • The global coherence of these models be ensured by a coordinated approach

985 Identify the relevant actors that will be instrumental to the European smart grid targets and build a
986 European Conceptual Model to describing those major stakeholders and their interactions.(This should
987 be done within this document in its first official release)
988 Ref-2: European functional architecture

989 Develop, possibly based on the IEC SG3 model, a European Functional Architecture that take into
991 particular those outlined in the European Conceptual Model..
992 Ref-3: Communication architecture


996 Expand the work done in the European Commission Smart Grids Task Force to create a Security
997 Architecture also taking into account the NIST complementary approach whenever applicable.

1000 the consistency of Information Model is guaranteed by an appropriate mechanism for re-aligning
1002 General Recommendation:
1003 Ref-6: Create a Reference Architecture Task Force within the Joint Working Group to develop and
1004 maintain a European Smart Grid Reference Architecture, at least for some of the major views
1005 (Conceptual Model, Functional, Communication and Security Architecture).
1006 5.1.3 System aspects
1007 5.1.3.1 General description
1008 Considering all the potential applications supported by the smart grid, some of them can be handled
1009 mostly in smart grid sub-domains, with a low level of interactions with the other sub-domains. But
1010 some other applications can’t be addressed without considering them at top level first, because they
1011 request tight interactions between sub-domains, and they involve multiple sub-domains along the
1012 value chain. In such case, top-down approach should prevail.
1013 However going down that path raises many questions:

1014 • Which are the real market requirements at application level?
1015 • How mature are these requirements?
1016 • How to manage requirement evolutions, backward compatibility and migration paths?
1017 • Which entity within the CEN, or CENELEC, or ETSI body can hold and transform these high level
1018 requirements into consistent and comprehensive interface definition down to the technical bodies
1019 (could be CEN or CENELEC or ETSI) in charge of making the appropriate standard?
32
1020 • How to ensure that the finally delivered set of standards produced by the concerned ESOs are
1021 interoperable and match the high-level system requirement?
1022 These specific questions which definitely need such a top-level systemic analysis, can be split into two
1023 main classes :
1024 • The application related cases : these cases are associated to a main mission (high-level service)
1025 of the smart grid. We can easily consider the here-under cases entering this family :
1026 o Demand response type applications (for active power and ancillary services). It should
1027 include the needed mechanism to support :
1028 − Consumer load shaping
1029 − Ancillary services for electrical network management (associated to DER and bulk
1030 generation)
1031 − Electrical vehicle deployment application
1032 o Smart metering system (dealt with in section 5.2.4)
1033 • The system enabler cases, which are pre-requisite for an efficient deployment of the smart grid
1034 and are mostly application independent :
1035 o Data modelling -> common semantic definition and data presentation between all actors
1036 o System management and security -> processes and techniques providing aim to manage the
1037 smart grid system (start-up , connection of devices, disconnection, Role Based Access
1038 Control, maintenance of devices, system activity log, hot re-start, …) and the expected level
1039 of security of the smart grid
1040 This list of the main areas for top-level systemic approach is not exhaustive, and can be further
1041 extended depending on market needs.
1042 Gap
1043 In general, ESOs don’t have the adequate bodies and process to address the above questions, and
1044 some changes are requested to handle them at the proper level:
1045 • To cope with the transverse aspect of the raised market requests. This means building-up sets of
1046 consistent use cases as the expression of European smart grid functional requirements. These
1047 sets of use cases have to be shared by all the concerned TCs in charge of producing standard
1048 contributing to these use cases.
1049 • To manage the increasing maturity of the request, and then implement an incremental way of
1050 proceeding. This means having the right processes ready for managing new use cases, or use
1051 case modifications, with the ability to identify their impacts on the existing sets of standards.
1052 • To ensure that all the concerned TCs of relevant ESOs have the exact same understanding of the
1053 functionality to implement (i.e are considering the set of use cases, described above, as the main
1054 functional requirement to take into account for specifying a standard), and then are producing
1055 consistent, interoperable, and efficient answers.
33
1056 Recommendation
1057 Sys-1: Adapt ESOs to handle top-down system approaches

1058 Set-up adequate bodies and sustainable processes to manage smart grid top-down system
1059 approaches, and the relationship with the existing TCs in charge of developing standards. These
1060 processes should cover the overall life cycle of standards from upstream requirement definitions, down
1061 to interoperability testing. Provide incremental way of proceeding and maximum flexibility for
1062 addressing unknown future usages.
1063 Set-up the conditions for managing in a consistent way European smart grid use cases: shared rules,
1064 shared template, shared list of actors, …while keeping alignment with the IEC SG3 Smart Grid use
1065 cases initiative.
1066 Feed as soon as possible the TC 8X with these top-down smart grid use cases, to be taken into
1067 account by ad hoc IEC TCs. Ask the European projects to feed the standardization process with
1068 European smart grid use cases and elaborate the set of European smart grid use cases.
1069 The purpose of the next sections is to address more in detail, these specific issues, and to identify
1070 associated standardization recommendations.
1071 5.1.3.2 Description of individual system aspects
1072 5.1.3.2.1 Demand response applications
1073 Description
1074 Demand response includes the needed mechanisms and incentives for utilities, power generators,
1075 power storage, Energy market, Energy resellers, industrial, building and residential customers,
1076 electricity installers/contractor to contribute to the grid level optimisation i.e :
1077 • to shape energy load profiles over time by requesting changes in current use
1078 • to shape the generation (bulk and DER) profiles depending on selected criteria (Production
1079 constraints, emission regulation, energy price, ..)
1080 • or to perform Power network ancillary services when Energy quality (voltage, frequency, ..) criteria
1081 may not be reached or power reliability is at risk.
1082 Demand response is necessary for optimizing the balance of power supply and demand, the balance
1083 of reactive power supply and demand and appears as one corner-stone of smart grid deployment, as
1084 shown in Annex 5). Demand response standards shall support market concepts and models for
1085 demand response services (real time market, price signals, schedule exchange formats…).
1086 Demand response appears de facto as one of the widest smart grid top-down applications to set-up.
1087 Demand response technologies has evolved over the years; non-automated mechanisms (currently in
1088 use) include phone calls, pagers, and other messaging to plant managers; current mechanisms
1089 support varying levels of automation.
1090 However, the deployment of a high ratio of intermittent sources in a smart grid changes in depth the
1091 level of requirement for demand response:
1092 One of the characteristics of these types of resources is the unpredictable energy production.
1093 Successfully integrating these resources is supported by improved methods of forecasting of
1094 distributed demand and supply as well as novel mechanisms for leveraging flexibilities in distributed
1095 demand and supply, e.g. reducing peak-load or matching production profiles from renewable energy
1096 sources through scheduling of the production or consumption.
1097 The integration of renewable and other intermittent resources increases the need for balancing
1098 reserve, spinning reserve, but also offers new means to participate to ancillary services. It also
1099 increases the expected level of responsiveness of the system.
34
1100 The context for demand response is really new for the market, and then will be based on business
1101 models which will need years for being matured.
1102 One of raising typical load shaping requirement will come from the deployment of the Electrical
1103 Vehicle.
1104 The integration of electrical vehicle related applications is one of the focal points of smart grids and the
1105 application which enables the efficient connection of the electrical vehicle must be seen from a system
1106 approach:
1107 • From an electrical point of view -> considering that more or less, an electric vehicle will need
1108 1 Kwh to make 5 to 7 km, a quick calculation shows that unmanaged charging methods can create
1109 distribution network congestions in unexpected areas.
1110 • From an energy management point of view, the global optimisation of the charge of the electrical
1111 vehicle must support some mechanisms to avoid load peak, and take maximum benefits of
1112 renewable energy. In that sense, the Electrical Vehicle may potentially support quick charging
1113 mechanism and operator based load levelling.
1114 • In addition the EV can become a storage device and then participate to ancillary services under
1115 certain conditions (may appear by 2015)
1116 Gaps
1117 Standard new energy supply products like pricing signals, DR signals and DR process interfaces as
1118 part of CIM, COSEM and IEC 61850 are missing.
1119 It appears then relevant to consider only one body to address demand response applications including
1120 the integrations of DER and the coming need of integration of EV. However the EV deployment has its
1121 specific set of constraints
1122 • Standardisation environment is different, and involves other standardization bodies (today mostly
1123 the ISO/IEC JWG V2G in charge of defining the set of standards needed to define the
1124 Communication Interface between the Vehicle and the Grid). The joint WG ISO/IEC JWG V2G
1125 Standardisation is set between IEC (mostly TC 69) and ISO (mostly TC 22/SC 3/JWG 1).
1126 • The European Commission has already mandated (M/468) the European Standardisation
1127 Organisations bodies (CEN-CENELEC and ETSI) to work on electric Vehicle charging system.
1128 Recommendations
1129 Sys-2 Create DR task force

1130 Create a single DR task force at CEN/CENELEC/ETSI level encompassing the adaptation of DR
1131 signal to manage DER and electric vehicle charging issues. Consider other countries experiences and
1132 standards (OpenADR, OASIS work in EMIX and Energy Interop committees, E-Energy…)
1133 Close coordination with the IEC/ISO standardization bodies for communication exchange with the EV
1134 When coming to “How to proceed”, some more detailed insights are given in Annex 6.
1135 Sys-3 Avoid European mandates overlapping

1136 Define clear interface and responsibilities between the smart grids mandate and the EV mandate and
1137 associated standardization bodies (part of smart grids mandate). Ensure interoperability between the
1138 different standards
35
1139 5.1.3.2.2 Data modelling and description language
1140 Description
1141 Data modelling and description language are typical “System enabler” transverse use case and should
1142 be seen in priority from a top-down approach. It may conflict with the traditional bottom-up
1143 approaches.
1144 However, there are many benefits of proceeding top-down :
1145 • Avoiding useless translators, which increase the complexity of the deployment of smart grids,
1146 increase its costs, reduce its reliability, reduce flexibility in the future and finally speed down the
1147 over all market acceptance.
1148 • Avoid mis-understanding between domains, and increase the global reliability of the system.
1149 • Increase the flexibility of the system.
1150 • Increase the speed of spreading the smart grid, by reducing the amount of engineering time per
1151 additional point of connection.
1152 Providing harmonized data model and description language leads to think ”transverse” to be efficient,
1153 with the constraint not only to define an “ultimate” target but also the migration path from the existing
1154 situation.
1155 Gaps
1156 Harmonized electronic data model and description language are missing
1157 Recommendation
1158 Sys-4: Initiate a “Smart Grid Data model” activity

1159 Initiate an activity on a “Smart Grid Data model” within a group reporting to JWG”
1160 5.1.3.2.3 System management and security
1161 Description
1162 As detailed in section 5.1.5 and also deeply highlighted in the EG2 recommendations, which are a de
1163 facto reference for this work, system management and security will become very soon the corner
1164 stone of any smart grid installation. However such aspect of smart grid must be handled at system
1165 level first.
1166 Gaps
1167 Single and consistent smart grid system management rules and security policy and associated
1168 techniques definitions are missing.
1169 Recommendation
1170 Sys-5: Initiate a “Smart Grid System Management and security” activity
1171 Initiate a “Smart Grid System Management and security” activity within a group reporting to the JWG.
1172 NOTE Information security aspects are treated in 5.1.5.
36
1173 5.1.3.2.4 Interoperability handling
1174 Description
1175 A smart grid consists of numerous components provided by different actors, working together to
1176 provide a smart power system. For such a system to operate and the desired services and
1177 functionalities to be provided in a sustainable way, interoperability of components and attached
1178 processes to demonstrate such interoperability becomes of major importance.
1179 Interoperability means (derived from GWAC 5) work) :

1180 • exchange of meaningful information between two or more components of the system
1181 • a shared understanding of the exchanged information
1182 • a consistent behaviour of components within the system, complying with system rules
1183 • a requisite quality of service: reliability, time performance, privacy, and security.
1184 Many levels of interoperability can be considered , but in all cases smart grids are requiring one of the
1185 highest level, i.e at information semantic level.
1186 Defining standard interfaces is a path towards interoperability but is not a full guarantee.
1187 Gaps
1188 There is a gap in existing smart grid relevant standards, which may not:
1189 • cover an accurate definition of the semantic, with no risk of ambiguity
1190 • define the behaviour of the object which implement the standard (state machine), consistently with
1191 the system behaviour
1192 • include conformance statement, to check the implementation of the standard against the standard
1193 specification
1194 • offer conformance verification procedures handled by independent laboratories
1195 Currently system interoperability is not achieved, since the following steps are not systematically
1196 covered :
1197 • select sets of use cases at system level, together with system architectures, with the target to test
1198 interoperability of applications. Define expected results/performance approbation rules
1199 • potentially define standard profiles (optional sub-set of standards, or standard package may
1200 becoming mandatory)
1201 • define functional testing procedure
1202 • execute test and evaluate the results.
1203 Particularly in case of information technology related standard, it is also mandatory to consider the
1204 whole life cycle of standards, taking into account their increasing complexity, but also, the need for
1205 fixing potential errors and the need for evolutions. This is not systematically addressed today.
5) GWAC = GridWise Architecture Council
37
1206 Recommendations
1207 Sys-6 Check comprehensiveness of standards towards interoperability

1208 Check the coverage of selected standards against semantic, behaviour, conformance testing and fill
1209 gaps when needed
1210 Sys-7: Systematically address system interoperability

1211 Pave the road for implementing step-wise approach of interoperability.
1212 Sys-8: Create quality process for smart grid standards

1213 Define open and transparent quality processes attached to identified smart grid standards covering
1214 their whole life cycle, including answers on how to collect issues, to treat/fix issues, to take into
1215 account new market needs and then to validate and test, including the compatibility with former
1216 releases.
1217 5.1.3.3 Overview of system aspects recommendations

1230 Sys-2 Create DR task force

1236 Sys-3 Avoid European mandates overlapping


1245 Sys-6 Check comprehensiveness of standards towards interoperability


38

1254 releases
1255 5.1.4 Data communication interfaces
1256 5.1.4.1 General description
1257 This section focuses on Interoperability standards defined by IEC and CEN/CENELEC/ ETSI.
1258 In order to be able to identify gaps in the available standards technical (such as availability,
1259 performance, security) and functional (e.g. use cases) requirements have to be defined. It is
1260 recommended that this work is performed in a later stage (if appropriate under a new Mandate).
1261 The contents of this section is closely linked with section 5.1.2 which identifies the functional
1262 (sub)systems in a smart grid and the interfaces between these systems. Only a short overview of
1263 standards is given, a broader overview of available standards per interface is included in Annex 6.
1264 The diagram in Figure 10 is designed by IEC TC 57 and gives an overview of their focused and
1265 maintained communication and data model standards as well as the applications using these
1266 standards.
1267 Please note that this is not a complete overview of all relevant smart grid standards since standards
1268 such as those for non-electricity metering, Home Automation and EV are not included yet.
1269
1270 Figure 10 – IEC TC 57 Seamless Integration reference Architecture – IEC TR 62357
39
1271 5.1.4.2 Intra-sectional standards
1272 In terms of intra-sectional standards, this documents chapter refers to what is also known as domains
1273 from other standardization bodies and smart grid roadmaps. An intra-sectional standard therefore
1274 refers to non-cross cutting issues which have a limited and defined scope. The following sections
1275 provide examples of the standards being available for data communication interfaces between the
1276 subsystems depicted in the functional architecture drawing in section 5.1.2.
1277 5.1.4.2.1 WAN interface to Operations Subsystem
1278 For this interface mainly the standards IEC 60870-5 and IEC 60870-6 are being used. While the newer
1279 IEC 60870-6 standard has been developed for application in Wide Area Networks , the older
1280 IEC 60870-5 has originally been designed for point-to-(multi)point connections. Its -104 version
1281 however operates over TCP/IP networks. IEC 60870 has also been ruled out by NIST and IEC to be
1282 one of the core standards of the future smart grid.
1283 5.1.4.2.2 Local interface between AMI and Home Automation
1284 Display and home automation may be used to provide the following customer functionalities identified
1285 in the M/441 mandate:
1286 • provide accurate information on consumption in order to increase customer awareness
1287 • provide additional functionalities enabling the customer to interact with the user’s environment
1288 The first is possible through relatively simple displays linked to the metering system or other medium
1289 (e.g. via the internet). However, a decentralized HBES system can be used to provide a wide range of
1290 functionalities and a high level of customer interaction.
1291 This interface connects the MID part of the meter with an external consumer display.
1292 Furthermore, it connects a Local or Neighbourhood Network Access Point with a home automation or
1293 display functionality. Based on the same interoperability model, options may be provided for
1294 communication over HBES standardized protocol on several media, or connection on IP LAN, or serial
1295 communication.
1296 For further information refer to 5.2.4, Smart metering.
1297 5.1.4.2.3 WAN interface to Distribution Automation
1298 One of the most acknowledged standards in smart grid roadmaps around the globe is the Common
1299 Information Model CIM (IEC 61970 and IEC 61968) which has a part dedicated to Distribution
1300 Management Models and Automation. This part consists of several sub standards related to the
1301 general CIM, which deal with the automation of distribution systems with special regard to the
1302 exchange of grid topology data, GIS based data, ERP, CIS and Billing based data and asset
1303 management.
1304 Since the IEC 61968 and IEC 61970 suites cover several sections of the smart grid landscape, such
1305 as Distribution, Transmission, Generation and Metering, they are included in the cross sectional
1306 section of this report (5.1.4.3.). The CIM layer builds the upper part providing data model and system
1307 interfaces for secondary IT in terms of distribution management. Downstream, the IEC 61850 family
1308 focuses on the communication within the distribution equipment with the focus on substations.
1309 In the field of distribution automation, also the IEC 61850 communication standard offers functionality
1310 for the distribution automation domain. Since also this standard covers multiple domains, it is included
1311 in 5.1.4.3. of this report.
40
1312 5.1.4.2.4 WAN interface to Substation Automation
1313 IEC 60870-5 and IEC 61850 have been the most prominent and growing standards in this technical
1314 area. IEC 61850 is mainly used for configuration and communication within substation and between
1315 substation equipment whereas IEC 60870-5 focuses on the communication between EMS and
1316 substation.
1317 Since IEC 61850 covers various domains of the smart grid landscape, it is included in the section
1318 about cross sectional standards (5.1.4.3).
1319 5.1.4.2.5 WAN interface to Distributed Energy Resources
1320 The most prominent standard in this scope is from the IEC and derived from the substation
1321 communications standards IEC 61850 and is being standardized as IEC 61850-7-420: Communication
1322 networks and systems for power utility automation. The standard is currently existing as Edition 1 and
1323 has become the most growing standards for communications with distributed energy resources like
1324 CHPs, PV, fuel cells and BUGS (Back-Up Generating Systems).
1325 5.1.4.2.6 WAN interface to AMI subsystem & Head-End
1326 This interface is used to connect the meter, a Local Network Access Point, or a Neighbourhood
1327 Network Access Point to a Central Data Collection system. Typical interface platforms for these
1328 interfaces are PSTN networks, public G2 (GPRS) and G3 (UMTS) networks, DSL or broadband TV
1329 communication lines, power line communications (PLC), either in narrowband or broadband.
1330 The Head-End systems are the central Data Collection Systems for the Advanced Metering
1331 Subsystem. Head-end systems are typically part of an AMR (automatic meter reading) or AMM
1332 (automatic meter management) solution. The interface towards the gateways and data concentrators
1333 is being standardized with the Mandate M/441 whilst the interface from head-end systems towards
1334 central energy and meter data management systems is covered by other IEC TCs, e.g. IEC TC 57.
1335 More information about M/441 covered standards can be found in 5.2.4.
1336 5.1.4.2.7 LAN/WAN interface to Generation Resources
1337 External access to Generation resources can be provided at different levels: Generation devices,
1338 Generation operation controllers, Generation management applications. These access points can be
1339 supported over LAN (inside a Plant or a central office) or WAN (between Plant and office or between
1340 offices).
1341 The prominent communication standards are described in Annex 6.
1342 5.1.4.3 Cross sectional standards
1343 The Technical Committee 57 of IEC has developed a series of protocol suites that cover various
1344 sections of the smart grid landscape: IEC 61970, IEC 61968 and IEC 61850. These standards span
1345 the areas of Generation (including DER), Transmission, Distribution and Metering.
1346 These standards are further explained alongside their architecture in Annex 6.
1347 The ETSI M2M committee is working on Machine-to-Machine data communication standards
1348 (TS 102 690). These standards permit service creation and optimized application development and
1349 deployment. M2M Service Capabilities permit local/remote and flexible handling of application
1350 information. The M2M architecture intends to offer a framework for smart grid applications.
41
1351 5.1.4.4 Gaps
1352 Power/Distribution Line communication
1353 Many (conflicting) technologies are available and under development (S-FSK, OFDM, DCSK) and the
1354 same is true for protocols (PRIME, MORE, G3, DLC-2000, Renesas).
1355 For lower frequencies the EMC guidelines/regulations are missing, which results in disturbances of
1356 domestic appliances.
1357 Broadband is under development but frequencies should be reserved for utility applications.
1358 On PLC communications only the band from 3 kHz to 148,5 kHz is currently specified in the standards
1359 On the broadband PLC, with frequency ranges from 0,3 MHz to 50 MHz, a standard is missing but
1360 under development in CENELEC TC 205A on PLC transmission as “Low Rate Wide Band Services”
1361 proposing power line communication using six 500 kHz bands in the frequency range 1 MHz to 4 MHz.
1362 This mechanism is already found in IEEE P1901.
1363 Besides for PLC, also for RF devices such as Short Range Devices (SRD), frequency regulations
1364 should be considered (aligned with ETSI M2M/ERM TG28).
1365 Data transport technologies
1366 Currently the development by ETSI and the data communication related IEC and CEN/CENELEC
1367 activities within IEC and CEN/CENELEC are not coordinated. The Service Capabilities defined by
1368 ETSI are not integrated with the smart grid related application protocols mentioned in 5.1.4.2.
1370 Com-1: Further develop power/distribution line communication

1371 Follow the recommendations of the SMCG Technical Report, which already contains a work plan for
1372 CEN TC13 to integrate different protocols with the existing standards.
1373 For lower frequencies the EMC guidelines/regulations should be developed.
1374 Frequencies for broadband should be reserved for utility applications.
1375 For PLC communication the use of the frequency range up to 540 kHz should be specified, as is
1376 already the case in the US.
1377 Furthermore, a definition of the broadband PLC for ranges from 0,3 MHz to 50 MHz is necessary.
1378 Here it would be beneficial to reserve the medium range (0,3 MHz to 3 MHz) frequencies for the
1379 utilities, 3 MHz to 30 MHz for in home applications.
1380 Com-2: Harmonize activities on data transport technologies

1381 Developments made by ETSI and the data communication related IEC and CEN/CENELEC activities
1382 within IEC and CEN/CENELEC should be mutually coordinated. The service capabilities defined by
1383 ETSI should be integrated with the smart grid related application protocols mentioned in 5.1.4.1.
1384 5.1.5 Smart grid information security (SGIS)
1386 This section is a result of a comprehensive analysis and bottom up summary, derived from inputs from
1387 many sources, namely the results of the European Commission Smart Grids Task Force Expert
1388 Group 2 (EG2) 6) for data protection, the German standardization roadmap “E-Energy / Smart Grid”
1389 research demonstration projects for E-Energy (some of them have very detailed studies of smart grid
1390 specific use case scenarios and their information security threads), as well as the research
1391 demonstration projects for integration of electric vehicles into the smart electricity grid. Furthermore,
1392 various national and international standards and reports related to information security in smart grids
6) Expert Group 2 “Regulatory recommendations for data safety, data handling and data protection”
42
1393 were reviewed and impacted the conclusions derived (e.g. IEC 62351, ISO/IEC 27000, US-NIST 7628,
1394 DE-BDEW Whitepaper on procurement requirements for distribution net equipment).
1395 5.1.5.2 Gaps and required focus areas
1396 For the conclusions described in this section, please refer to Annex 7 for details, explanations and
1397 examples.
1398 Threads and vulnerabilities (common with ICT sector – but also specific to the energy sector) exist –
1399 those provide risks, that may have negative impact on the ”smart grid information security” and
1400 subsequently on data protection/privacy that operations potentially become unlawful.
1401 1. The smart grid information security essential requirements need to be ensured – for both
1402 a. essential requirements and primary protection goals common with the ICT sector
1403 b. essential requirements specific to the energy sector
1404 Those sector specific essential requirements are different from the common requirements.
1405 In the electricity grid, it also needs to be differentiated between SGIS requirements for
1406 infrastructures critical to energy supply and for those infrastructures supporting smart grid
1407 energy management services.
1408
1409 2. Existing standards for products/solution/services or organisations do not sufficiently support
1410 information security or data protection / privacy requirements (technical or organisational). This is
1411 a horizontal cross cutting issue.
1412 3. Some of the data handled in smart grids need protection at appropriate information security levels.
1413 The protection need is based on all relevant legal aspects and the essential requirements that
1414 need to be achieved at all times. No comprehensive definitions exist today for smart grid data
1415 protection classes (SG-DPC) and their respective protection measures at appropriate information
1416 security levels.
1417 For details and examples about the recommended smart grid data protection classes (SG-DPC)
1418 and required information security levels (SG-ISL), please refer to Annex 7.
1419 4. The “smart grid information security” model (SGIS) and data protection / privacy model (DPP) are
1420 fundamental requirements and need to be ensured so that the smart grid information system
1421 provides “state of the art” protective measures and supports compliance requirements for all legal
1422 requirements. (i.e. data protection / privacy laws, measurement instruments directive, duly e-
1423 business operations and more) at all times
1424 5. Top down “system level” technical and organisational requirements for the SGIS need to be
1425 defined by regulatory authorities or a strategic guidance/reference group
1426 6. Subsequently, the top down “system level” requirements provided to ESOs need to be included in
1427 the standards for all actors participating in the smart grid – i.e. standards for products / solutions /
1428 services and the standards for organisations in their specific market roles.
1429 7. An operational model for SGIS and DPP is required. This shall be updated and synchronized
1430 according to the evolution and innovation dynamics of both
1431 a. the smart grid operational and business models, its functions and use cases as well as
1432 b. the changes to the “system level” requirements.
1433 8. An overarching governance model is required to identify and handle fraud / incidents with
1434 immediate and medium / long term actions on SGIS and DPP operations and “credential
1435 management” and to identify new requirements on “system level”.
43
1436 9. Lack of tools to model SGIS / DPP operations and its interaction between the smart grid
1437 operations and business models, functions and use cases.
1438 The above items describe the gaps and focus areas to be addressed in order to develop a standards
1439 framework for a sustainable, “state of the art” SGIS and DPP.
1440 ESOs should provide standards for all actors in the smart grid – products, solutions, services or
1441 organizations respectively their participating market roles. Those standards need to include
1442 information security and data protection/privacy requirements.
1443 This is required to ensure SGIS and DPP operations are sustainable compliant or compatible with all
1444 legal requirements inherently secure by design and default, as well as to ensure inter-changeability of
1445 the actors and interoperability of smart grid processes and interactions between those actors.
1446 To achieve this in a harmonized way, ESOs require input on “top down” system level SGIS DPP -
1447 requirements describing protective measures (SG-ISL, SG-DPC) to be included in both areas –
1448 technical and organizational
1450 “State of the art” smart grid information security (SGIS) has a direct impact on the ability to ensure
1451 data protection, data security and privacy requirements. It also has a direct impact on interoperability
1452 and inter-changeability and the availability of energy services.
1453
1454 Figure 11 – Overview of information security impact relations
1455 The smart grid operational and business models are not clearly defined and will keep evolving for a
1456 long time with ever changing impacts on the smart grid information systems supporting the availability
1457 of sufficient energy supply and the availability of today’s and future energy services. Due to that, the
1458 information system and the requirements for information security and data protection / privacy will
1459 keep evolving.
1460 It is undisputed, that client acceptance is strongly and directly impacted by the client perception of the
1461 system eminent concepts for data protection data security and privacy on the one hand and by high
1462 interoperability and inter-changeability of system components and participating organisations on the
1463 other hand.
1464 Both can only be assured by a “state of the art” SGIS and DPP, but also by the concepts and
1465 governance models to keep it at a “state of the art” level at all times.
44
1466 Interoperability/inter-changeability is not addressed in this section – in any case a harmonization of

1467 “system level” requirements for SGIS / DPP are a prerequisite for interoperability and inter-
1468 changeability goals, for bringing products / solutions / services into market and update the assets in
1469 the market / field in a synchronized way.
1470 It is obvious that the lack of harmonized system requirements leads to a wide variety of technological
1471 implementation in products/solutions/services or organisations , that are participating or plan to
1472 participate as actors in the smart grid either as market role or provider of system components.
1473 Variations of provided products, solutions, services and variations of processes / interactions of the
1474 participating organisations may result in risks not to fulfil coherently all legal requirements for the
1475 information system and its information security, the data-protection/privacy or interoperability and inter-
1476 changeability in a sustainable manner.
1477 Hence it must be top priority to provide concepts on how overall information security “system
1478 requirements” will be developed and stay at “state of the art” level while requirements for data
1479 protection increase, and the penetration of smart grid and the associated thread levels increases over
1480 time.
1481 The definition of an agreed set of harmonized system level requirements (technical and organisational)
1482 for SGIS and DPP is critical to its sustainability, interoperability and inter-changeability of system
1483 components and energy service providers in the various “sphere of action” domains. “Sphere of
1484 action” domains should cover e.g. bulk generation, transmission and distribution networks and their
1485 central, regional and local substructures or connecting objects (residential, commercial, industrial
1486 buildings, charging stations and the wide variety of their internal substructures through energy
1487 management LANs to the final nodes – the smart grid ready sensors, actors, equipment and
1488 appliances).
1489 In some member states some of the anticipated SGIS/DPP system level requirements are defined by
1490 governmental bodies. It is a fact that a very high diversity of technology implementations exists or is
1491 planned for in many countries in Europe and globally.
1492 Therefore, it is required to get “top down guidance” on EU level to achieve the definition of a set of
1493 agreed, harmonized system level requirements (technical and organisational) for SGIS and DPP in the
1494 appropriate timeframe to support standardization work for smart grids.
1495 The JWG provides concepts and proposals on how to derive those technical and organisational
1496 requirements for the security levels needed – as illustrated in Figure 12. The JWG is prepared to send
1497 representatives to a “SGIS and DPP guidance group” bound to the European Commission to
1498 participate in outlining the smart grid system level requirements for SIGS and DPP.
45
1499
1500 Figure 12 – Modelling smart grid information security implementing requirements
1501 The following recommendations to the EU summarize the JWG expectations.
1502 General recommendation 1 to EU

1503 (Smart Grids Task Force EG2 or the recommended EU strategic guidance group for SGIS and
1504 DPP)
1505 Define European information security requirements on “system-level”
1506 EU needs to provide to ESOs a detailed set of harmonized system requirements (technical and
1507 organisational) for SGIS and DPP that should cover multiple smart grid information security levels
1508 SG-ISL (1=low, 2=medium, 3=high, 4=very high and 5=top secret), as needed for specific legal
1509 requirements.
1510 The ESO TCs will ensure that standards provided for ALL actors interacting in smart grids – i.e. all
1511 system components (products, solutions, services) and standards for organizations participating in
1512 their respective smart grid role – will define system level requirements for SGIS and DPP. When
1513 implemented and appropriately addressed in a sustainable way, these requirements should ensure
1514 “state of the art” operation of SGIS and DPP and continued coverage of
1515 • evolution of SGIS and DPP system level (technical and organisational) requirements
1516 • compliance to all legal requirements
1517 • interoperability and inter-changeability
1518 and needs to be synchronized in the market at all times along the pathway of implementing smart
1519 grids.
46
1520 Milestones to achieve this are
1521 a. EU should identify overall ownership for the integrated and interactive energy and energy
1522 efficiency management and its SGIS and DPP operations.
1523 b. EU should establish a SGIS and DPP guidance group or enlarge the scope of the Smart
1524 Grids Task Force EG2 to address overall and system level SGIS and DPP with appropriate
1525 SG-ISL levels by analyzing EU documents.
1526 c. Analysis of global requirements to enhance exportability of smart grid solutions developed in
1527 Europe outside the EU, international harmonized standards would be the ultimate goal – at
1528 that stage this is a challenge. To provide a maximum on international commonality or
1529 compatibility. A thorough analysis of US-NIST 7628 (especially the 189 recommendations
1530 (technical and organisational)) and other international documents should be used for
1531 identification of recommendations that may be used as and applied in the EU model SGIS
1532 and DPP; the anylsis may also be used to highlight differences in legal and systematic
1533 methodologies and architectures.
1534 d. EU to detail out data protection classes and their required security levels for a sustainable
1535 and “state of the art” information security model of a multi utility smart grid that address
1536 technical system requirements for products / solutions and services – as well as system
1537 requirements for organizations and legal entities participation as “system/market roles”.
1538 e. EG2 should identify the different national requirements in member states i.e. for Germany
1539 qualified signature requirements for e-business-Jan 2010 or propose EU requirements for
1540 sustainable state of the art cryptographic principles (transforming over time) covering the
1541 various national layouts.
1542 General recommendation 2 to EU
1543 Guidance on information security and data protection / privacy governance
1544 EU should provide guidance on the governance model (incident /fraud responses) and credential
1545 (ID/encryption key) management options.
1546 Recommendations to ESOs
1547 ISec-1 Ensure system level information security requirements are covered in all relevant
1548 standards
1549 Fast incorporation of system level information security requirements (for all data protection classes
1550 and information security levels) into
1551 I. Product, Solution and Service standards of all “sphere of action” domains;
1552 II. “Sphere of action” domain specific “organizational standards” for market roles participating in
1553 smart grids, according to their responsibilities, and functions provided.
1554 Ensure consistency between those and sustain “state of the art” SGIS DPP by synchronizing all
1555 standards with changing guidance on system level requirements for SGIS and DPP.
1556 ISec-2 Smart grid functions and use cases require binding to SGIS and DPP requirements
1557 For several data protection classes (SG-DPC) legal requirements exist and require the appropriation
1558 of the SG-DPC, i.e. personal data, control data. Therefore, the concept of SGIS is to provide the
1559 enablement for binding between
1560 • the use cases which describe the intended utilization of data as well as
1561 • the usage rights based on obligations and limits of its usage and its required specific information
1562 security level (who, when, why, what data is generated, processed, stored, transmitted, erased)
1563 and on justification derived from contractual/regulatory frameworks).
1564 This will need a definition for all specific SG-DPC and SG-ISL. The concept is to obligate the use case
1565 writing experts to identify ALL data models used in the function or use case (these describe the data
1566 usage and justification of the specific usage). The data model repository will need to include the
1567 specific data protection classes (SG-DPCs) for every single UML data model. The information security
1568 experts will need to specify the appropriate information security level requirement (SG-ISL) for each
1569 single SG-DPC.
1570 It is recommended that ESOs provide interlinked repositories to achieve the required binding.
47
1571 Figure 13 illustrates the above mentioned interlinked processes and interconnection of repositories for
1572 use cases, UML data models, SG-DPC and SG-ISL.
1573
1574 Figure 13 – Binding use cases, data models to SG-DPC and SG-ISL
1575 Innovation dynamics drive changes in smart grid functions, use cases and data models used.
1576 On the other hand, the guidance on system level requirements for the SGIS and DPP will evolve due
1577 to current and future legislative projects, i.e. on data protection and privacy, but also due to increasing
1578 knowledge captured from the SGIS and DPP governance model on how to protect against fraud and
1579 incidents on information security and privacy.
1580 ISec-3 SGIS and DPP upgrade and synchronization requirements

1581 There are 2 distinct independent areas with changing dynamics along the pathway to implement smart
1582 grids
1583 • Innovation dynamics in smart grid function and use case definitions – describing the changing
1584 “Operational Model” of smart grids and the data models used
1585 • and in dynamics in SGIS, DPP evolving the harmonized set of “system level” SIGS and DPP
1586 impacting the evolution on the SG-ISL and SG-DPC
1587 The ESOs need to provide a sustainable mechanism to update and synchronize the binds of data
1588 models used by functions and use cases to the SG-DPC and their SG-ISL requirements. This is
1589 required to link and synchronize use case and data model repositories as well as derived standards for
1590 smart grid system components ( products, solutions, services) and organizational standards which
1591 need to be in sync with changing system requirements for the “smart grid information security” and
1592 data protection/privacy.
48
1593 Figure 14 illustrates this process.
1594
1595 Figure 14 – Overall smart grid security operational model
1596
1597 ISec-4 ESO to provide IT Tools to support SGIS and DPP modelling and repositories for SG-
1598 ISL/SG-DPC
1599 As mentioned above (ISec-3) there are 2 distinct areas, with different innovation dynamics both areas
1600 need tool support that is unique to some degree. The tools and repositories required in the area of
1601 smart grid functions, use case scenarios and use cases and the repository to capture all data model
1602 and their specific classifications are described in another section.
1603 The ESOs should also provide tools specific for the area of SGIS DPP and the repositories for SG-ISL
1604 and SG-DPC to experts and communities in the area of information security to assist them in
1605 modelling SGIS and DPP and maintaining and upgrading repositories for the 5 information security
1606 levels (SG-ISL), and the respositories for smart grid data protection classes (SG-DPC). The tools
1607 provided to model SGIS, DPP system level and on actor level (products, solutions, services and
1608 people, roles or organizations) and the repositories for SG-ISL and SG-DPC need to be interlinked.
1609 As mentioned above (ISec-3) there is the need to keep the 2 areas synchronized at all times.
1610 5.1.6 Other cross cutting issues

1611 Therefore, the tools to be provided for both areas need also to allow to synchronize and bind, i.e. the
1612 repositories containing ALL SG-DPC and their specific required/linked SG-ISL to the repositories
1613 containing the functions/use cases and their specific data models (to allow binding to the SG-DPC
1614 specified for the single data-model).Other cross cutting issues
1615 EMC is a prerequisite for products and systems. Dependability and functional safety methodologies
1616 may be applicable to smart grids.
1617 5.1.6.1 Dependability and functional safety
1618 Dependability
1619 Compared to today’s grid, the smart grid is a more complex electricity network plus an ICT network.
1620 Nevertheless, the smart grid has to be as dependable as existing networks.
49
1621 Dependability covers availability performance and its influencing factors: reliability performance,
1622 maintainability performance and maintenance support performance (including management of
1623 obsolescence). The standards prepared by IEC TC 56 (CENELEC SR 56) provide systematic methods
1624 and tools for the dependability assessment and management of equipment, services and systems
1625 throughout their life cycles.
1626 Functional safety
1627 As systems rely more and more on sophisticated hardware and software, safety is increasingly
1628 dependent on the relationship between products/systems and their responses to inputs. Functional
1629 safety depends on equipment or a system operating correctly in response to its inputs. Neither overall
1630 product safety nor functional safety can be determined without carefully evaluating systems as a whole
1631 and assessing the environment with which they interact.
1632 A functional safety evaluation includes:

1633 • Software
1634 • Hardware
1635 • Environmental factors, such as EMC
1636 • Safety lifecycle management processes from specification to decommissioning
1637 IEC 61508 series (Functional safety of electrical/electronic/programmable electronic safety related
1638 systems), prepared by IEC SC 65A (CENELEC SR 65A) is a recognized tool.
1639 5.1.6.1.1 Recommendations
1640 Dep-1 Check relevance of existing methodologies on smart grids

1641 Ask TCs (56 and 65A) whether their methodologies (resp. Dependability and Functional safety) are
1642 well-suited/applicable to Smart grids.
1643 5.1.6.2 EMC and power quality
1644 General
1645 Electromagnetic compatibility is a prerequisite for all applications, products and systems and is
1646 therefore not limited and not unique to smart grids. It is governed by Directive 2004/108/EC of the
1647 European Parliament and of the Council of 15 December 2004 on the approximation of the laws of the
1648 Member States relating to electromagnetic compatibility.
1649 For the smart grid to function properly and coexist with other electrical and electronic systems, it must
1650 be designed with due consideration for electromagnetic emissions and for immunity to various
1651 electromagnetic phenomena. EMC must be addressed effectively if the smart grid is to achieve its
1652 potential and provide its benefits when deployed.
1653 For a number of “smart” applications (e.g. Electric Vehicle or PLC in the metering domain) EMC will be
1654 a major issue. This will then include the IEC 61000 and CISPR series, besides specific product
1655 standards.
1656 If no product standard comprising EMC part(s) is relevant, the requirements of the generic EMC
1657 standards apply according to the application.
1658 Electromagnetic compatibility (EMC)

1659 EMC is the ability of an equipment or system to function satisfactorily in its electromagnetic
1660 environment without introducing intolerable electromagnetic disturbances to anything in that
1661 environment.
50
1662 Power quality (PQ)

1663 Power quality is a characteristic of the electric current, voltage and frequencies at a given point in an
1664 electric power system, evaluated against a set of reference technical parameters.
1665 NOTE These parameters might, in some cases, relate to the compatibility between electricity supplied in an electric power
1666 system and the loads connected to that electric power system.
1667 Standards exist for the characteristics of electricity supplied to customers or power quality (at the entry
1668 point of user’s installation), up to 150 kV, and are used for contractual relationships and for regulation.
1669 The specified levels are generally close to the compatibility levels given in EMC standards, used as
1670 reference for product EMC requirements (emission limits and immunity levels).
1671 The smart grid is expected to be flexible, and consequently power quality and EMC standards should
1672 also address, in an appropriate way, distributed generation, islands or micro-grids and alternative grid
1673 conditions (self healing systems…).
1674 5.1.6.2.1 Gaps
1675 EMC standardization shows some gaps for:

1676 • immunity and emission in the frequency range from 2 kHz to 150 kHz, in order to ensure proper
1677 functioning of electronic equipment and protection of power line telecommunication (PLT) services
1678 (PLT emission levels are covered by IEC 61000-3-8 and IEC 61334-3-1);
1679 • Power Quality in a smart grid context;
1680 • Immunity and emission requirements applicable to Distributed Energy Resources.
1681 5.1.6.2.2 Recommendations
1682 The thorough change in use of the electricity, especially by the introduction of modern electronic
1683 equipment having taken place during the last decades and, therefore, the increasing occurrence of
1684 voltage components above the frequency range of harmonics, up to 150 kHz urges the consideration
1685 of this frequency range for ensuring EMC. It appears to be advisable to urge EMC Committee
1686 (CENELEC TC 210 (IEC SC 77A and other EMC Committees where appropriate)), as well as those
1687 Product Committees defining EMC requirements in their product standards (TC 22, TC 13, TC 57 …),
1688 to review the existing standards (see Annex 7) in view of covering the abovementioned gaps in EMC
1689 standardization.
1690 EMC-1 Review existing standards

1691 CENELEC TC 210 and Product Committees to review existing standards concerning an appropriate
1692 modification for closing gaps in order to also ensure EMC in the frequency ranges from 2 kHz to
1693 150 kHz (in practice 2-9 kHz and 9-150 kHz).
1694 NOTE Technical input in this domain can be found in several reports/publications, such as the CENELEC SC 205A Study
1695 report on electromagnetic interference between electrical equipment/systems in the frequency range below 150 kHz,
1696 (SC205A/Sec0260/R, April 2010). Nevertheless, further studies are probably necessary before a complete set of standards can
1697 be available.
1698 Furthermore, the following actions of the standardization communities are suggested to support low
1699 frequency EMC/power quality in the context of smart grids.
1700 EMC-2 Review EMC and Power Quality levels

1701 Review electromagnetic compatibility levels and/or characteristics of voltage at interfaces for all
1702 standard voltage levels of public electrical power networks, and define the associated operating
1703 conditions in the context of the smart grids.
51
1704 EMC-3 Consider distorting current emissions from DER equipment

1705 Standardize how to fairly allocate the ability of networks to absorb distorting current emissions among
1706 present and possibly forthcoming connected equipment, including Distributed Generation at sites in
1707 networks. Connected equipment may well be other network(s). The work is recommended to originate
1708 from documents IEC TR 61000-3-6, IEC TR 61000-3-7, IEC TR 61000-3-13 and future
1709 IEC TR 61000--3-14.
1710 5.2 Domain specific topics

1711 5.2.1 Generation
1713 Power generation was initially mostly focusing on transmission grid applications, but has been
1714 progressively expanded towards distribution as well as distributed generation and demand side
1715 portfolio management while de-regulation implied to consider interactions with the grid and market
1716 systems.
1717 Large scale power storage systems may also be considered in the future.
1718 Considering the new European challenges supported by smart grids 7), power generation will have to
1719 lead many transformations
1720 • in the way to operate their units, especially in their interactions with the overall smart grids system,
1721 • in welcoming an dramatically increased number of operators with probably a decreasing level of
1722 knowledge.
1723 Flexibility of control, life cycle management of power generation assets as well as real-time
1724 interoperability with other actors in the energy chain (grid dispatcher, trade down to end users
1725 selecting their energy in longer term, Virtual Power Plants) are a critical capability to develop as part of
1726 Power Plant Control and Management Solutions.
1727 Up to now, real-time performance imperatives and limited industry standardization for data exchanges
1728 with the energy eco system outside the power plant naturally led the industry towards highly
1729 customized solutions built upon proprietary system platforms.
1730 Furthermore, fleet and power scheduling will provide generation asset owners with decision support
1731 tools which will optimize the production schedule of assets, at the fleet level and at the individual asset
1732 level. Those applications will rely on existing CIM standards to ensure interoperability through the
1733 different control solutions.
1734 5.2.1.2 The high level services and use cases
1735 Setting up in Europe a smarter grid, matching the requested high-level services as defined in
1736 Annex 10, leads to consider four main use cases with, for each, two aspects to consider: interfaces
1737 with the Grid and interfaces to the energy market (details are provided in Annex10) :
7) Namely the series of demanding climate and energy targets to be met by 2020, set by the EU Heads of State and
Government. A reduction in EU greenhouse gas emissions of at least 20% below 1990 levels – 20% of EU energy
consumption to come from renewable resources – A 20% reduction in primary energy use compared with projected
levels.
52
Use cases Interface to the Grid Interface to the market

(and Grid operation)
Connect the Power generator to the Electrical interface
Grid
Make the Power generator Enable the network operator to
monitorable monitor the electrical point of
connection of the generation
Make the Power generator Enable the network operator to send Enable the generator to participate to
dispatchable control to the generation the energy market, including ancillary
services
Make the Virtual Power Plant Enable the network operator to send Enable the cluster of generators
dispatchable control to generators organized in (VPP) to participate to the energy
cluster (VPPs) market including ancillary services
1738
1739 5.2.1.3 Existing standards and gaps
1740 When getting into the detailed analysis of existing standards to face the above challenge (ref
1741 Annex 10), some gaps appear. Ranking them between highest and lower priority leads to consider the
1742 here-under list.
1743 • (Ref Annex 10 – Gap 1): Harmonized glossary, semantic & modelling between back-office
1744 applications (CIM 8)) and field applications (IEC 61850 9))
1745 Glossaries & data modelling between the control centres (CIM-based) and the field application
1746 (IEC 61850) are not aligned, and this gap is leading to additional complexity, and reduces
1747 reliability and upgradeability of concerned systems. This issue shall be addressed by CENELEC
1748 TC 57X with a full alignment of other worldwide initiatives in this same domain. Europe should
1749 support the first step which is to get a UML modelling of IEC 61850.
1750 A clear message to the market is expected on the corresponding roadmap to get the first fixes.
1751 • (Ref Annex 10 – Gap 7): Harmonisation between DLMS/COSEM data model and IEC 61850/CIM
1752 There is currently no common data modelling and description language between generation and
1753 metering. Considering that many actors of the grid will become both generators and consumers, a
1754 common data modelling shared by these two areas is needed. This harmonization should also be
1755 considered between field devices and remote centers (as explained above).
1756 Europe should take the lead on the DLMS/COSEM data model harmonization with
1757 CIM/IEC 61850, within the IEC body (through CENELEC TC 57X and TC 13X)
1758 • (Ref Annex 10 – Gap 8, 9, 11) : Extended field data modelling standard (part of IEC 61850) to
1759 support demand response schema
1760 Extended field data modelling standard (part of IEC 61850) to enable DER (and VPPs) to
1761 contribute to network ancillary service
1762 Extended CIM to model more accurately Generation Fleet Management Applications in the case
1763 of Bulk Generation, and to integrate DER and VPPs
1764 Standard data modelling is missing in three main areas which are key for smart grids as far as
1765 generation or storage are concerned :
8) IEC 61968 and IEC 61970 standards provide :

models of transmission, distribution systems and energy markets, as well as partial models of power generation, models
known as the CIM (Common Information Model),
structure and semantics for integrating a variety of back-office applications.
9) IEC 61850 standard provides :
a model for substation automation system and renewable energy resources (PV, hydro & wind and other)
a basis for field equipment communications, including semantics, and encompasses real-time operations as well as non-
operational data, such as condition monitoring.
53
1766 o Supply side management, including generation fleet management,

1767 o Network ancillary services (such as voltage control, reactive power management, frequency
1768 control, power reserve management),
1769 In order to fill this gap, the European Standardization Organizations should clearly express and
1770 formalize to CENELEC TC 8X, the selected use cases the smart grid system has to support.
1771 Then IEC TC 57/WG 17 body (through CENELEC TC 57X) should provide expected answers by
1772 proposing IEC 61850 data modelling extensions. The European Standardization Organization should
1773 also support TC 57/WG 13 initiatives to define use cases and modelling (such as AI715)
1774 • (Ref Annex 10 – Gap 6, 10) : Standard for electrical connection and installation rules to ensure
1775 energy availability and security, in presence of high ratio of DER
1776 Standard to allow all connected generators associated in VPPs to participate to new ways of
1777 operating grid
1778 Unified standards for electrical connection and installation rules of generators (including DER) to
1779 ensure energy availability and security, in presence of high ratio of DER, are missing. Europe shall
1780 define and promote harmonized electrical connection and installation rules, whatever the levels of
1781 connection of DER.
1782 In addition, some new ways of operating the grid, such as microgrid, may appear to get maximum
1783 benefits of the newly installed distributed energy resources. However standards are missing to
1784 allow such new ways of operating grids. Thus CENELEC shall adapt installation rules in order to
1785 make such grid operation possible.
1787 Gen-1 Harmonized glossary, semantic & modelling between back-office applications (CIM 10))
1788 and field applications (IEC 61850 11))
1789 Provide experts to IEC TC 57 body to boost CIM/IEC 61850 harmonisation planning, fix this issue
1790 ASAP and establish clear messages to the market. Support electronic form of IEC 61850 data model
1791 at IEC level based on UML language.
1792 Gen-2 Harmonisation between DLMS/COSEM data model and IEC 61850/CIM
1793 Take the lead on this DLMS/COSEM data model harmonization with CIM/IEC 61850, within the IEC
1794 body (through CENELEC TC 57X)
1795 Gen-3 Extended field data modelling standard (part of IEC 61850) to support demandresponse,
1796 DER and VPP & Extended CIM to model more accurately Generation Fleet Management
1797 Applications in the case of Bulk Generation, and to integrate DER and VPPs
1798 Clearly express and formalize to CENELEC TC 8X, the selected use cases which the Eruopean smart
1799 grids have to support and ensure IEC TC 57/WG 17 body (through CENELEC TC 57X) will provide
1800 expected answers in IEC 61850 data modelling regarding: Demand response for generators, for
1801 ancillary services, including VPPs and aggregators. Support TC 57/WG 13 initiatives to define use
1802 cases and modelling (such as AI715)

54
1803 Gen-4 Standard for electrical connection and installation rules to ensure energy availability and
1804 security, in presence of high ratio of DER
1805 Harmonize electrical connection and installation rules within Europe, down to all levels of connection
1806 of DER
1807 Gen-5 Standard to allow all connected generators associated in VPPs to participate to new
1808 ways of operating grid
1809 Adapt installation rules of DER to allow new ways of operating grid such as microgrid (TC 64X and
1810 TC 8X)
1811 5.2.2 Transmission
1812 5.2.2.1 Description of scenario
1813 The evolution of the electricity market in Europe emphasizes the needs to enlarge the European
1814 transmission grid by merging power systems through interconnections, creating strong electrical
1815 networks all over Europe. A strong interconnected power system provides several advantages as
1816 mutual supports, to accommodate disturbances of the generation and load balance, and reduce costs
1817 of mitigation measures and also lower synchronous peak loads than the sum of individual ones, hence
1818 requiring less generation equipment.
1819 The transmission grid is a key facilitator for the European low-carbon energy future. Its reinforcement
1820 is a precondition but is, indeed, not sufficient.
1821 With the 20-20-20 goals defined by the European Union, transmission must face new challenges,
1822 especially by the implementation of Renewable Energy Sources, which present new characteristics
1823 compared with the traditional generation facilities already connected to the grid.
1824 Renewable electricity may often be produced at times and in places where there are no local needs to
1825 be met. It must be transported over long distances and redistributed where consumption needs arise
1826 or where large-scale storages facilities are located.
1827 The integration of Renewable Energy Sources induces the implementation of new transmission
1828 components, as for example solutions to off-shore wind power plants, long connections, etc... But the
1829 interoperability with the present grid is also required.
1830 The solutions expected are not limited to the installation of new Transmission system components and
1831 functionality. Also the optimization of the use of the present assets by a better knowledge of their load
1832 capacity, should prolong their life, in order to avoid reinforcement, and should minimize the cost
1833 impact.
1834 In addition to increased transmission needs, distributed renewable energy sources by nature call for
1835 service providers to aggregate the plurality of the generation facilities. The transmission system
1836 operators are facing needs for coordination with aggregators or even distribute the subsystem balance
1837 responsibility to a service provider. Such a challenge implies a multilevel control and monitoring
1838 communication infrastructure. Based on the fact that several renewable energy sources are
1839 predictable to some extend coordination with flexible loads are foreseen to be an essential function for
1840 the stability in future electrical network.
1841 Therefore, the ”smart grids” concept must provide solutions for the new integration and also provide
1842 new facilities to enhance grid flexibility, active demand and new usage of electricity in line with the
1843 European and National energy policies.
1844 All choices must be consistent to ensure a global security of supply, quality of electricity, minimal cost
1845 for the society and limitation of impact for the environment.
55
1846 5.2.2.2 The high level use cases/services
1847 The report of the Smart Grids Task Force Expert Group 1 [4] suggests 6 high level services for smart
1848 distribution grids. As a strong coordination between transmission and distribution will be needed for
1849 issues concerning demand, operation and distributed energy sources, in order to ensure the suitable
1850 contribution of local resources to the global system security, it can be assumed that all of these high
1851 level services should be valid for smart transmission grids, with a light adaptation in order to fit
1852 properly with transmission issues.
1853 The high level use cases/services taken into account are:
1854 a) Enabling the network to integrate grid users with new requirement (grid connection).
1855 b) Enhancing the observability and the monitoring of the transmission grid (grid observability).
1856 c) Ensuring network security of supply in a more complex and optimized grid (grid security of
1857 supply and optimization).
1858 d) Planning of the future network (grid planning of the future network).
1859 e) Improving market functioning and customer service (grid market).
1860 f) Enabling and encouraging direct involvement of consumers in the energy usage (prosumers).
1861 Details and explanations on high level services and the functional requirement associated are
1862 provided in Annex 11.
1864 a) Grid connection
1865 In the domain of wind energy, the relevant standard is IEC 61400 Communication for monitoring and
1866 control of wind power plants, based on IEC 61850.
1867 b) Grid observability
1868 The relevant standards already existing in telecommunication domain as well as in equipment domain
1869 are in Annex 12.
1870 In Annex 13, Figure A13.1, extracted from IEC 62357, gives an overview on the reference architecture
1871 (present and future) addressing the communication requirements of the application in the power utility
1872 domain.
1873 c) Grid security of supply and optimization
1874 In complement to the standards already mentioned for grid observability, the relevant standards for the
1875 capacity of transmission assets are in Annex 12.
1876 d) Grid planning of the future network
1877 The standards already existing and covering new technologies as well as interoperability and secure
1878 information are indicated in Annex 12.
1879 e) Grid market
1880 The relevant standards are in Annex 12.
1881 f) Prosumers
1882 The relevant standards are in Annex 12.
56
1883 5.2.2.4 Gaps
1885 The potential need for the development of new or revision of existing standards with relevance to grid
1886 connection should be assessed once the new legal framework has become effective, or at least
1887 developed to a mature stage.
1888 Nevertheless, with the development of renewable energy sources, an important part of generation is
1889 moved from conventional power plants in the proximity of loads, to new power plants far away. It is
1890 particularly the case with off-shore wind plants.
1891 DC technology offers an efficient solution, compared to AC technology, for bulk power long distance
1892 transmission capabilities, with low transmission losses and precise power flow control.
1893 The development of off-shore wind plants will induce soon the need for an off-shore transmission grid,
1894 as a small number of bulk power systems will be more efficient than many small scale systems.
1895 And the reduction of converters DC/AC, in order to contribute to lower transmission losses, will push in
1896 the direction of a DC grid.
1897 All the requirements for DC grid still lack:

1898 • Grid codes, i.e. common rules and guidelines, voltage level
1899 • Clear interfaces between grid users,
1900 • Competitive supply chains for all equipment,
1901 • International technical standards.
1902 A project for a new CENELEC WG for this issue is in progress. We support this initiative and
1903 encourage to start the development of standards and technical guidelines for DC grids, as soon as
1904 possible. These tasks should be perform by TC 22/SC 22F (converter), TC 17/SC 17A (circuit-
1905 breaker), TC 38 (current & voltage measurement), TC 99 (general installation), TC 8/TC 115 (grid
1906 design), TC 11 (conversion from AC to DC for OHL), TC 20 (underground cables), TC 33 (capacitors),
1907 TC 115 & TC 8X (coordination) and TC 95 (protection relay). To be noticed that there is not yet a
1908 European Group for TC 95.
1909 In addition to DC issues, it must be noticed a lack of standards regarding interface issues for AC
1910 equipment in intermitting generation domain (wind, tidal and photo voltaic generations).
1912 Data models, classes and functionalities may be required for advanced state estimation, which
1913 includes phasor information. This must be specified as a data model in the IEC 61850 and IEC 61970
1914 series.
1915 Now, the main issue is to bring into interoperability the new SCADA concept (generally represented by
1916 the IEC 61970/86) and the data transmission protocol IEC 61850.
1917 In the existing standard architecture, no uniform specifications are described that might limit the extent
1918 and depth of a complex dispatching system in bulk electricity power systems.
1919 In order to realize VPP decentralized energy management, communication facilities are needed that
1920 have standardized interfaces and protocols.
1921 In all the issues to be faced by standards, the interoperability is a very important one. A lot of
1922 standards are already available, but coherence and interoperability should be improved, at least for
1923 the CIM model.
57
1924 In both Edition 1 and 2 of IEC 61850, inter-changeability is out of focus. All solutions are based on the
1925 product related naming approach on the station-bus, described in Part 6 “Configuration description
1926 language for communication in electrical substations related to IEDs”. But in future the same naming is
1927 required for the same function on the station-bus, independent of the IED’s.
1928 On-line monitoring technologies provide useful information in order to optimize the use of the assets.
1929 But the present communication architecture inside the substations does not go as far as the sensors of
1930 asset, useful for on-line monitoring.
1931 IEC 61850 is the reference standard for communication in substations. It enables the integration of all
1932 protection, control, measurement and monitoring functions within a substation. Nevertheless this
1933 standard does not cover the issue inside the assets themselves, i.e. the communication between
1934 sensors of assets and the upper level. The work of IEC 61850-90-3, presently in progress, is devoted
1935 to this issue. The TCs involved are TC 14 (transformer), TC 17 (switchgear), TC 38 (transformer
1936 measurement), TC 11 (OHL), TC 7 (conductor), TC 20 (underground-cable), TC 57 (data &
1937 communication) and protection relay (TC 95).
1939 The present standards for load capacity concern generally equipment manufactured after the
1940 implementation of the standard.
1941 For assets older than the standards, which represent the main part of the transmission assets, the
1942 load capacity is not well known. Therefore it should be relevant to know in which conditions the
1943 present load standards are also applicable to old assets.
1945 The existing product standards describe the general requirements of the equipment itself. However,
1946 there is a need for the integration of all these standards in a Smart grid perspective.
1947 Even if the sub-marine connections have been present since a long time, the off-shore substation on
1948 platform is a new issue for transmission grid. Due to the fast development of off-shore wind plants, the
1949 requirements and specifications used for the engineering of off-shore substations had to adapt the
1950 present standards. Nevertheless it should be relevant to check if the present standards for
1951 transmission equipment cover properly the specific requirement of off-shore environment.
1952 Concerning DC issue, the gaps concern equipment standards (AC/DC converter, DC/DC converter,
1953 circuit-breaker, protection, ….) as well as grid topology standard (grid design, voltage level, grid code,
1954 ,,,).
1956 T1 – HV-DC grid architecture

1957 With the development of off-shore grids, there is a need for coordination, coherence and
1958 interoperability for equipment (converters, circuit-breakers, protections,….) as well as for grid topology
1959 (grid design, voltage level, grid code,…) in High Voltage DC domain. A present Study Group, hosted
1960 by the German National Committee will elaborate the basis for the standardization work to be
1961 continued within CENELEC. This initiative should be encouraged.
1962 T2 – Smart assets

1963 Condition monitoring of components of substations or of lines, provides technical information, useful
1964 for the optimized used of the assets. Particularly it could provide relevant data in order to optimize the
1965 loading capabilities. It should also improve the knowledge of the behaviour of the assets in order to
1966 assess the lifetime of the transmission assets with more accurate models.
1967 Therefore, there is a need for standards on condition monitoring including prediction models and
1968 applicable to all assets, even to the assets already in operation for years.
58
1969 Nevertheless, the standard should be focused only on the relevant data, instead of monitoring
1970 excessive and useless parameters. The standard should help users to identify the value of condition
1971 monitoring and how it can be used in operation for decision making.
1972 The ongoing IEC 61850-90-3 work, devoted to condition monitoring in power energy domain, should
1973 be encouraged, the present standard and protocol for communication in substations, should involve
1974 communication and relevant data model, whereas the relevant products Technical Committees have
1975 to standardize the methods and the devices needed for on-line monitoring.
1976 Therefore, it is recommended that the on-going IEC standard involves on the one hand, the experts of
1977 equipment to monitor for the technical aspects and the prediction models and on the other hand
1978 representatives of users in order to assess the relevant decision making.
1979 T3 – offshore equipment

1980 A review of the existing standards for transmission equipment is required in order to check that the
1981 special requirements for off-shore installations are properly covered. Otherwise, standards should be
1982 adapted.
1983 These tasks should be notably performed by TC 14 (transformer), TC 17 (switchgear), TC 38
1984 (instrument measurement) and TC 20 (underground-cable).
1985 5.2.3 Distribution
1987 In order to achieve the European and national energy policy objectives, a new global approach in the
1988 generation, transmission, distribution, metering and consumption of electricity is necessary, as well as
1989 for electricity markets. Massive renewable integration and power energy storage technologies will
1990 have to be deployed. Energy efficiency will have to be a general driving vector, the demand will
1991 become an active player within the electrical system and the increasing electrification of transport will
1992 be a challenge. These latter drivers will require far-reaching changes in the area of distribution
1993 networks and will determine modifications in system operation, with consequent impact on design,
1994 planning and operation of transmission networks.
1995 In the promotion of energy efficiency, distribution system operators (DSOs) will need to actively
1996 participate as major enablers for services and integration.
1997 Smart grids must play a key role in the process to transform the functionality of the present electricity
1998 transmission and distribution grids so that they are able to provide a user-oriented service, enabling
1999 the achievement of the 20/20/20 targets and guaranteeing, in an electricity market environment, high
2000 security, quality and economic efficiency of electricity supply. Their development will be facilitated by
2001 the wide-scale deployment of smart metering, as envisaged in the Third Energy Package, Directive
2002 2009/72/EC.
2003 Though elements of smartness also exist in many parts of existing grids, the difference between a
2004 today’s grid and a smart grid of the future is, from a simple point of view, the grid’s capability to handle
2005 more complexity than today in an efficient and effective way, while developing a customer-centric
2006 approach. A smart grid employs innovative products and services together with intelligent monitoring,
2007 control, communication, and self-healing technologies in order to:
2008 • Better facilitate the connection and operation of generators of all sizes and technologies.
2009 • Allow consumers to play a part in optimising the operation of the system.
2010 • Provide consumers with greater information on consumption/generation and adequate support for
2011 choice of supply.
2012 • Significantly reduce the environmental impact of the whole electricity supply system.
2013 • Improve the existing services while promoting end-user energy efficiency.
2014 • Maintain and improve the existing services efficiently.
59
2015 • Foster market integration towards European integrated market.
2016 As already defined in the Introduction, a smart grid is an electricity network that can cost efficiently
2017 integrate the behaviour and actions of all users connected to it – generators, consumers and those
2018 that do both – in order to ensure economically efficient, sustainable power system with low losses and
2019 high levels of quality and security of supply and safety, as well as a framework for innovative services.
2020 The implementation of this concept will be made possible by the participation of all smart grids actors,
2021 according to their specific roles and responsibilities which are described in greater detail in the report
2022 of the Expert Group 3. Accordingly, smart grids participants are categorized in this report as follows:
2023 • Grid providers: transmission and distribution system/network operators (DSOs/DNOs).
2024 • Grid users: generators, consumers (included mobile consumer), storage owners.
2025 • Other actors: suppliers, metering operators, ESCOs, aggregators, ICT hub providers, power
2026 exchange platform operators.
2027 Conceptually, some smart grid actors shall provide services, based on elementary functionalities, to
2028 other smart grid participants.
2029 A smart grid service identifies the outcome a user needs/will need from the electricity grid in a fully
2030 developed liberalised market; it is associated to one provider and to one or more primary beneficiaries,
2031 recognizing that the benefits will ultimately be reflected in consumer societal and environmental terms.
2032 The achievement of service outcomes is possible only through smart grids functionalities, that
2033 represent elementary bricks through which services can be implemented and delivered to
2034 beneficiaries.
2035 5.2.3.2 High level use cases/services – Functional requirements
2036 The detailed services to be provided in smart grid solutions will have to be agreed in discussion
2037 between the relevant parties. However, extracted from the EG1 report, the following represents a list
2038 of the broad services envisaged, showing the provider of the service and the primary beneficiaries.
2039 a) Enabling the network to integrate grid users with new requirement = Grid access of distributed
2040 energy resources
2041 b) Enhancing the efficiency in day-to-day grid operation = MV and LV Grid automation
2042 c) Ensuring network security, system control and quality of supply = Grid security and quality of
2043 supply
2044 d) Planning of the future network = MV and LV Grid planning (distributed generation, flexible loads)
2045 e) Improving market and customer service = Grid market (Aggregators, EV recharging, support
2046 Intelligent Homes)
2047 f) Enabling and encouraging direct involvement of consumers in distributed energy and storage =
2048 Prosumers (metering data and remote management)
2049 Details and explanations on high level services and the functional requirement associated are
2050 provided in Annex 14.
60
2051
2052 Figure 15 – Functionalities of smart grids
2053 Different functionalities of smart grids as extracted from the EG1 Report, and how they fit into the
2054 vision of the future network are shown in Figure 15.
2056 Product standards
2057 IEC 61850, Communication networks and systems in substations
2058 IEC 60870, Telecontrol equipment and systems
2059 All the standards are described in IEC proposal (IEC Smart Grid Standardization Roadmap), pages
2060 48-136.
2061 Description of the situation is given in IEC Document 57/991/DC, Roadmap for WG14: System
2062 interfaces for distribution management (SIDM).
2063 IEC 61869, Instrument transformers
2064 IEC 62351, Power systems management and associated information Exchange – Data and
2065 communications security
2066 NERC CIP002-009, Implementation Plan for Cybersecurity Standards
2067 NISTIR-7628 vol. 1, 2, 3, Cybersecurity guidelines
2068 IEC 61400 series, Wind turbines
2069 IEC 61085, General considerations for telecommunication services for electric power systems
2070 IEC 61727, Photovoltaic (PV) systems – Characteristics of the utility interface
2071 IEC 61334, Distribution Automation Using Distribution Line Carrier Systems
61
2072 Interoperability standards
2073 IEC 61968 series, Distribution Management System – CIM and CIS definitions
2074 IEC 61970, Energy management system application program interface (EMS-API)
2075 IEC 62357, Reference Architecture – SOA EMS DMS
2076 5.2.3.4 Gaps
2077 The following gaps regarding functions described in IEC 61968 are present:
2078 • Operational Planning & Optimization (OP) – Part 5
2079 • Maintenance & Construction (MC) – Part 6
2080 • Network Extension Planning (NE) – Part 7
2081 • Mapping between Multispeak 4.0 – Part 14-1
2082 • CIM profile for Multispeak 4.0 – Part 14-2
2083 • Distributed Energy Resources – possible Part 10
2084 • IEC 61968 needs to be extended regarding modelling of DR command signals, different signals,
2085 e.g. for interruptible load, emergency DR and DR bidding are not in the standard.
2086 Further gaps are described in the IEC TC 57/WG 14 roadmap: Vision for the Next Generation of CIM
2087 and Related Standards.
2088 An strong need for better harmonization between CIM and IEC 61850 is needed because all modelling
2089 work in different areas should be consistent and possible to re-utilize.
2091 Dis-1 Feeder and Advanced Distribution Automation

2092 Develop a standard that supports feeder automation (at CEN/CENELEC), and Advanced Distribution
2093 Automation.
2094 Dis-2: Use CIM

2095 Give high priority of harmonisation of CIM /IEC 61850.
2096 Dis-3: Seamless communication between control center and substation

2097 Support international work in order to provide seamless communication between control centres and
2098 sub-stations based on 61850.
2099 Dis-4: Integrate Cybersecurity in IEC 62351

2100 Work on standard for cybersecurity as long as intensive public communication services (from Telecom
2101 Operators) will be used in Distribution, advance in the IEC 62351 in this area.
2102 Dis-5: Auxiliary power systems standardization

2103 Develop standardization for auxiliary power systems ( low voltage DC networks ) :AC/DC converters,
2104 DC management systems, DC protection. Ongoing work in TC 57: IEC 61850-90-3 (TR)
2105 Dis-6: Integrate condition monitoring capabilities

2107 for optimized loading and help to increase the lifetime of the distribution assets. IEC 61850, the
2108 present standard and protocol for communication in substations, should involve communication as far
2109 as the sensors needed for on-line monitoring.
62
2110 5.2.4 Smart metering
2112 Introduction
2113 Smart electricity meters, which are distinguished from conventional meters by having one or more
2114 additional functionalities including bi-directional communication, allow the meter to collect usage data
2115 and transmit this data back to the designated market organisation(s) via an advanced metering
2116 infrastructure. They are thus an important enabler for smart grids.
2117 Standardisation mandate M/441
2118 Smart metering has been the subject of standardization mandate M/441, which is directed at meeting
2119 the needs of the residential (household) and small commercial (SME) sectors. This corresponds to the
2120 focus of the M/441 mandate and the need to improve consumers’ awareness not just of their electricity
2121 consumption but also of their gas, heat and water usage.
2122 The work undertaken in response to Mandate M/441 considers the high-level smart metering
2123 functionalities which are additional to the traditional metrological requirements applying to electricity
2124 and other meters.
2125 Legislative background
2126 In the case of electricity, the Energy Services Directive (2006/32/EC) and the recently adopted
2127 electricity directive (2009/72/EC) are important elements in the background to the mandate. The latter
2128 requires the implementation of ‘intelligent metering systems that shall assist the active participation of
2129 consumers in the … market’. Such systems must be in place in 80% of electricity customers by the
2130 end of 2020 (unless an economic assessment shows that a lower figure is appropriate).
2131 Additional functionalities
2132 M/441 standardization has identified six broad areas of additional functionality or service. These are
2133 being used to guide detailed consideration of the standards to be developed under the mandate and
2134 will support/complement future standardization in the area of smart grids
2135 Note that the six additional functionalities identified under M/441 should not be seen as a minimum list
2136 of smart metering functionalities to be implemented in Europe, since not all functionalities will
2137 necessarily feature in all applications or in all Member States and Member States may also define
2138 functions outside this list.
2139 Particularly in the context of smart grids however, two-way communications envisaged in M/441 will be
2140 of special importance.
2141 Linkage with smart grids
2142 The major focus of the mandated work under M/441 is the provision of improved information and
2143 services to customers and enabling customers to better manage their consumption. However, in
2144 addition, particularly in relation to electricity metering, there is the important additional objective of
2145 facilitating smart grid applications, notably through the incorporation of distributed generation. Smart
2146 metering is an important aspect within a smart grid system.
2147 In smart grids, the meter acts as a remote sensor, enabling information flows between the meter and
2148 grid operators. Other data used by grid management and control systems will also be available – the
2149 meter is only one of the sensors or actuators in a smart grid.
63
2150 The additional functionalities envisaged for smart metering already take into account the services
2151 needed to support smart electricity grids in homes and buildings (see 5.2.4.6 below) although not all
2152 the interfaces are fully covered by the M/441 mandate. Recommendations to address this are included
2153 in 5.2.4.3.
2154 5.2.4.2 Use cases
2155 The additional functionalities identified to support smart metering standardization can be considered in
2156 greater detail through use cases. These can be defined at differing levels, depending on their purpose,
2157 but include the kind of functionalities typically considered as aspects of a smart grid system including:
2158 • uploading of data and information to permit e.g. monitoring of supply quality and electricity
2159 outages
2160 • receiving messages from designated market organisation(s), both standard and ad hoc (e.g. on
2161 planned interruptions, messages on price changes) and other information
2162 • remote load management applications by means of a local energy management system or
2163 home/building control system and – where appropriate – direct control of individual devices within
2164 the home/building
2165 • interfacing with home communications systems / home area networks, enabling the meter to
2166 export metrological and other information for display and potential analysis
2167 • interfacing with potential home and building control applications and sophisticated energy
2168 management systems
2169 Smart metering use cases have been developed to support M/441 standardization, and these will be
2170 further developed to assist the detailed work by the Technical Committees concerned. Attention will be
2171 given to ensure that the detailed SMCG use cases meet the requirements envisaged for smart grids.
2172 Smart grid interfaces
2173 The M/441 standardization work makes specific provision for communications interfaces with smart
2174 electricity grids.
2175 While the smart metering functionalities necessary to support smart grids are already envisaged, the
2176 final design of smart grids is not yet defined and standardization is not at a similar level as in smart
2177 metering. Thus the detail of the interface cannot be fully defined at this time, although it should cover
2178 the introduction of metrologically relevant measurements within a smart grids environment. Similar
2179 considerations apply in the case of e-Mobility (see 5.2.4.9).
2180 Communications requirements
2181 As the management structure of a smart grid technology mainly focuses on online balancing of the
2182 physical grid and quality of service, the metering and power quality data collected will be used for
2183 forecasting grid status and the load balance required prior to delivery.
2184 By contrast, the management structure of a smart metering infrastructure mainly focuses on the
2185 collection and processing of data, such as measurement results, tariffs and consumption data post
2186 delivery.
2187 A distinction can therefore be made between smart metering and smart grids in terms of the accuracy,
2188 data volume and data acquisition speeds required. Smart metering calls for a large volume of highly
2189 accurate individual data but with a relatively limited need for high speed access; smart grids may
2190 require smaller volumes of less accurate data, but this typically needs fast, quasi real-time access.
64
2191 Smart grids and smart metering have different objectives and different construction priorities. The
2192 overlapping functionality can be seen the common usage of metrological measurement information
2193 where appropriate such that the interface can be seen as an “online-link” for metrological values from
2194 a smart meter network into a smart grid network.
2195 E-Mobility
2196 A separate interface is foreseen as a possible link for metrologically relevant measurements in e-
2197 Mobility environments. As the charging of electrical cars is an event under metrological control, the
2198 same basic interfaces and same kind of metering services will apply for mobile measurements as for
2199 non-mobile measurements.
2200 It is not yet defined where measurements for e-Mobility will be performed (in the charger, in the car, in
2201 both) but the metering part of this application has to follow the same principles as for all other
2202 metrological measurements.
2204 SM 1: Currently various standards or extensions of existing standards are being developed to cover
2205 the exchange of metering data. Examples are:
2206 - EN 62056 Electricity metering – Data exchange for meter reading, tariff and load control
2207 - EN 13757-1:2002: Communication systems for meters and remote reading of meters
2208 - IEC 61968-9: System Interfaces for Distribution Management – Part 9: Interface Standard for Meter
2209 Reading and Control
2210 - ANSI C12 suite
2211 A harmonisation of these standards is necessary to prevent further development of different (and
2212 competing) standards for the same purpose.
2213 SM 2: Smart metering, home automation and electric vehicles are envisaged as elements in smart
2214 electricity grids. It is recommended that CEN/CENELEC/ETSI consider the use cases envisaged for
2215 smart grids involving these elements and take care in their standardization work in these areas to
2216 ensure the needs and applications of smart grids are addressed in a harmonized fashion.
2217 SM 3: Specifically to assist the development of proposals for possible link technologies in relation to
2218 smart grids and e-Mobility, it is recommended that CEN/CENELEC/ETSI should jointly undertake an
2219 investigation of the interfaces required insofar as they are not currently being addressed within the
2220 M/441 mandate. The ESOs should propose where standardization in these areas is necessary, taking
2221 care to ensure harmonisation with existing metering models and other relevant standardization
2222 initiatives.
2223 5.2.5 Industry
2225 In Europe, the part of electricity demand for industry is around 40% of the total electricity demand 12).
2226 70% of this electricity consumption is related to motors, 9% for electrolysis, 4% for lighting and 17 %
2227 for different other uses. Now, if we look at the breakdown of motor consumption, 30% are for
2228 compression, 20% for pumps, 13% for ventilation and 37 for different other uses.
12) Source: Eurelectric 2005 – Primes baseline.
65
2229 Considering now the objectives of smart grid in Europe which are:
2230 • Objective 1: the average level of energy consumption shall be reduced as much as possible in
2231 order to reduce CO2 emission, Carbon footprint.
2232 • Objective 2: the energy consumption should be smoothed as much as possible in order to use the
2233 power generation at its optimum level.
2234 • Objective 3: peaks of energy demand shall be reduced as much as possible.
2235 • Objective 4: any distributed energy sources should be integrated as active sources without
2236 affecting power quality of the network.
2237 This part summarizes for industrial installations, the major scenarios that should be considered and
2238 how European standardization can contribute to reach the objectives, identifying the gaps to be filled
2239 in different domains.
2240 Every industrial application can be split into three major parts:
2241 • The industrial process (motors, electrolysis…)

2242 • The electrical part link to the process (the electrical distribution from the main supply connection
2243 (could be High or Medium voltage, could be single or multiple connection point) down to the loads,
2244 including the switchgear and cabling system, lighting, heating, ventilation, air conditioning,
2245 Information Technology…). Many industrial sites may also have their own on-site generation
2246 mean, combined or not with the process.
2247 • The auxiliary equipment supply (gas, compressed air…)
2248 Energy management
2249 The first and the most important step for industry is to understand where and how energy is being
2250 consumed or exchanged. Daily and seasonal variations have to be considered.
2251 It is more and more common to have on site, an energy management system which ensures the
2252 availability of electricity, and provides a first level of understanding on how the electrical network is
2253 loaded (monitor load consumption, switchboard load and spare capacities), which is the current power
2254 quality (monitor harmonics, sags, …), which source is currently active, and possibly offers remote
2255 manual and/or automatic means to control the network and then increase the field staff efficiency,
2256 while improving the electricity availability.
2257 This energy management system can be stand-alone or can be part of the process automation
2258 system. This applies to industrial process, electrical parts linked to the process, auxiliary equipment. In
2259 many cases, the same technology is used at Power Utilities supply side (Substation automation
2260 technology) and demand side.
2261 In order to facilitate energy management, all the equipment related to the process, to the electrical
2262 installation and to the auxiliary services should be able to communicate together. Because of many
2263 existing industrial processes, an important consideration is the ability to upgrade on site energy
2264 systems to enable integration with smart grid signals such as dynamic pricing, curtailment demand
2265 response.
2266 Industrial micro grids
2267 Industrial facilities are often built in areas conducive for the installation of renewable power generation
2268 such as wind, solar, geothermal, biofuels. Many of them currently operate gas-fired or coal-fired co-
2269 generation.
2270 This new application of industrial micro grids will require advanced automation systems.
66
2271 Sometime, the development of a bulk generation based on renewable resources may be considered.
2272 Solar energy during the day can be balanced with wind energy at night and storage energy providing
2273 energy when needed. This can be considered as a virtual power plant operated as a single generator.
2274 5.2.5.2 Use cases
Related Use case System(s) Main Interfaces

objective
1 I want to know how much electricity I Energy management Electronic equipment able to
am using per usage (industrial system measure electricity parameters
process, lighting, HVAC …) in order Internal electrical (can be combined with functions),
to make me aware of the energy installation/ installation for communication systems for
consumption and CO2 emission gas/installation for aggregations
compressed air…
1 I want to know the cost of electricity Energy management Electronic equipment able to
per usage (manufactured product, system evaluate the cost of consumed
industrial process, lighting, HVAC electricity (Time-of-use
…) measurement capabilities), as
close as possible to the load,
communication systems for
aggregations Tariff event channel
down to the load.
2–3 I want to be informed about the Energy management Tariff information channel,
change of tariff, peak period… to system accessible to the Energy
make decision on load management Internal electrical management system (or process
installation Process automation system).
automation system
4 I want to participate to Grid ancillary Energy management Demand response information
services and get the best value from system channel down to the Energy
the reactive energy I can provide Internal electrical Management system
installation / Distributed
Network Operator
2 In case of power cut off I want my on Energy Management Energy Management system
site generator(s) to be able to supply system, On site
the loads and/or to charge possible generator(s)
batteries.
4 By aggregation of several Micro grid installation / Energy Management system
generators I would able to built a utility network
micro grid in order to increase power
availability and contribute to reduce
power variation on the grid
2275
2277 Relevant standards for communication in industrial electrical installations:
2278 EN 61850, Communication Networks And Systems For Power Utility Automation
2279 EN 61158, Industrial communication networks (including Profibus, Modbus TCP, and many others, ..)
2280 EN 62056, Data exchange for meter reading, tariff and load control
2281 EN 13757, Communication systems for meters and remote reading of meters
2282 ISO 16484 (BACnet), Building automation and control systems (CEN TC 247)
67
2284 Going into detail to fill the requirement of the above use cases, the following gaps appear and related
2285 recommendations are proposed
2286 Ind-1: Tariff information

2287 On-site energy management system should be able to spread tariff information down to the load. We
2288 recommend to extend IEC 61850 model (the most common backbone system for EMS) to support
2289 tariff related information.
2290 Ind-2: DR information

2291 Demand response mechanism is not considered yet to support network ancillary services. We
2292 recommend to extend IEC 61850 model (DER) and other DR information channel to support ancillary
2293 services participation.
2294 Ind-3: Smart Meter and building system interface

2295 In their work on data exchange between the smart meter and the building management system, the
2296 European Standardization Organizations should ensure coordination between CEN TC 247 and
2297 TC 13.
2298 Ind-4: Harmonized data model for industry and power grid
2299 Too many protocols already exist without mapping between them. We recommend to harmonize data
2300 model related to energy management between Industry and Electricity (EN 61158, EN 61850).This
2301 work should be coordinated between TC 65 and TC 57.
2302 Ind-5: Electrical installation allowing for DER integration

2303 The usage of distributed energy resources as part of electrical installations and part of micro grids for
2304 industry induces new safety and protection issues. The multi sources aspect is not covered by current
2305 installation rules. We recommend TC 64 to work on new installation rules for safety aspects and TC 8
2306 to work on common rules for grid protection.
2307 5.2.6 Home and building
2309 This part describes the scenarios for home and building installations that require information to be
2310 shared between the other domains of the smart grid.
2311 A JWG (CEN TC 247/CENELEC TC 205) defined the following expression: “The expression
2312 HBES/BACS covers any combination of HBES and/or BACS devices including their separate
2313 connected/detachable devices linked together via one or more networks.” 13).
2314 Other names used such as “home control network“, “home control systems“, “home and building
2315 electronic systems“, “building systems“, “building automation system“ etc. describe types of
2316 HBES/BACS systems.
2317 The ideas described in the following are independent from the technology which is used for the
2318 implementation and provide a technology neutral description of energy management functions in
2319 homes and buildings.
13) EN 50491-2:2010
General requirements for Home and Building Electronic Systems (HBES) and Building Automation and Control Systems
(BACS) – Part 2: Environmental conditions
68
2320 Energy management in home and building applications should consider visualization of energy
2321 consumption, load management but also local generation and possible storage. It might be needed to
2322 consider various possible interlinks between multi-energy sources like e.g. electricity, heat, gas, solar
2323 and their interdependencies. Some energy management related functions within a building are already
2324 available, new functions might be developed. But now the new challenge will be especially the link
2325 between the grid and the building which will need new functionalities to be defined.
2326 Some resulting scenarios are described with use cases referring to the following objectives:
2327 Main objectives

2328 • The average level of energy consumption shall be reduced as much as possible in order to save
2329 money and to reduce CO2 emission (Carbon footprint)
2330 • Power generation will change to CO2-free generation in the long term with a high share of
2331 renewables and with distributed energy resources (DER)
2332 Conclusions:
2333 • A new balance of supply and consumption has to be established. The energy consumption
2334 domain’s should get enough information to be able to organize the use of power according to
2335 generation. Peaks of energy supply shall be reduced by management of energy consumption
2336 accordingly
2337 • Energy consumption as well as power generation within own facilities (e.g. PV, CHP or other
2338 distributed energy resources) should be managed and controlled in such a way that
2339 o The consumption is minimized,
2340 o The load and the internal generation will be balanced inside and/or in relation towards the
2341 needs of the electricity grid.
2342 5.2.6.2 Use cases
2343 The following four major use cases for home and building applications arise from these considerations.
2344 They continue and specify the work of the Expert Group 1 ("Functionalities of smart grids and smart
2345 meters“)
2346 1) Visualization of energy consumption (see EG1 Report page 11)

2347 The user should be aware of the consumption: water, gas, electricity, heat. For electricity, it is
2348 fundamental to inform the consumer of energy consumption per usage (heating, cooling, lighting,
2349 ventilation, …) This gives us the possibility to empower people to manage better the utilisation of
2350 their energy based on this transparency. In order to visualize meter data, communication between
2351 energy management and metering is necessary. This use case also leads to a request for sub-
2352 metering within homes and buildings of the important resources as well as important consumers.
2353 2) Efficient control of homes and buildings (see EG1 Report page 11)
2354 A variable, digital transmitted electricity tariff enables smart appliances, HBES/BACS or intelligent
2355 devices to optimize their respective processes regarding smart grid aspects like the optimized
2356 use of renewable energy. In a next step, variable price signals might be investigated also for
2357 water, heat or gas supply.
2358 3) Increasing of use from own generation as a result of an optimized synchronization of appliances
2359 or by means of additional stationary storage systems. Therefore the inclusion of distributed
2360 energy resources in homes and buildings (e.g. photovoltaics on the low voltage level, local
2361 storage facilities, micro-CHPs) as a part of HBES/BACS is seen as an advantage. This allows a
2362 first balancing within each home or building.
69
2363 4) Extension of the use cases by further classical home automation, health care and service
2364 information issues, to secure the financing of infrastructure inside the home and buildings, which
2365 is necessary to reach the main objectives.
2366 If the infrastructure is available, various other use cases, applications or services might be
2367 developed. The ideas of these use cases already partly exist, but as stand alone solutions they
2368 are often not economical. Experience from telecommunications shows also that completely new
2369 ideas will arise as soon as an open infrastructure is available and wide spread. In order to gain
2370 attractive business models and to provide an attractive system for the customer, a segmentation
2371 of various automation tasks within a future smart home might be counterproductive. Therefore
2372 standards have to be designed in such a way that they enable further integration of use cases
2373 coming from different domains like the classical home automation, energy management, health
2374 care, ambient assisted living and service information issues. Such an approach might go hand in
2375 hand with the world of home and building automation/appliances as well as home entertainment
2376 and the telecom industry.
2378 For realization of these use cases, there are following recommendations, which are subdivided into six
2379 statements in general and two concrete recommendations for standardization.
2380 • In order to reach very fast a wide spread use of new energy management functions it is seen as
2381 fundamental to limit effort and costs for new installations and new wiring. Therefore it should be
2382 considered to use and improve wireless solutions as radio frequencies (RF) or communications
2383 using the already existing wiring for electrical power (Mains Signalling, PLC power line carrier).
2384 For new buildings additionally a special communication wiring like TP system for communication
2385 can be used.
2386 • For future smart homes and buildings the energy management systems should be part of the
2387 infrastructure of these. Considering that the owner of smart appliances might move several times
2388 in his lifetime he will expect that his smart appliances will work in the new surrounding again –
2389 together with new suppliers of energy and their new price signals / tariffs. It is advisable from the
2390 customer acceptance point of view that the smart grid functions of devices and appliances will be
2391 available even after a removal. Therefore standardization is of the highest interest in order to
2392 realize customer acceptance.
2393 • An important requirement for such kind of infrastructure must be lowest power consumption.
2394 Otherwise, the standby power consumption of the new devices will eat up the efficiency advantage
2395 realized on grid level or inside the house. (e.g. primarily specialising in the optimum between
2396 necessary data rate and power consumption or realized as “add on” to other services)
2397 • Energy management in the area of private households should work by means of incentive
2398 systems.
2399 According to market research, many customers will not accept an external control of their
2400 equipment, but an indirect control by means of incentives with a final decision of the customer will
2401 be accepted. This means that the final control of his applications by himself is necessary (charging
2402 of electric vehicles, washing machine, lighting, HVAC, shutters, alarms, intrusion and safety,
2403 etc...).
2404 In this case energy management shall be part of the domain “home and building”, not part of the
2405 domain “grid”.
2406 Also in case of commercial buildings, standardization concepts shall be given freedom in
2407 achieving the main objectives by managing the resources, renewable infrastructure and
2408 comfort/process requirements within the domain.
2409 Especially for customers with a higher amount of consumption (refer as well to the chapter
2410 “Industry” of this report) external energy services might be offered which include controlling the
2411 devices. This kind of control only works on agreed preconditions and contractual agreements.
2412 • The standardization must be done in a way that incentives for efficient power usage may be
2413 provided by the utility itself or a third party service provider. Also the described optimized use of an
2414 inhouse generation (e.g. photovoltaic) might be an incentive for the energy management.
70
2415 • Consumer privacy and security shall be maintained; therefore, issues of IT security and data
2416 privacy must be considered. It is not necessary, that any device inside the home/building is visible
2417 and addressable directly from the grid/net. Security strategies have to be worked out over all
2418 domains. A cross domain security strategy is needed to identify and cover existing gaps in the
2419 existing standards (refer as well to the chapter “Information Security” of this report)
2420 Recommendations for standardization
2421 HB-1: Separate realization from standards description

2422 The use cases described above interface to the field of smart metering, but have to be logically
2423 separated. In standardization, there are arguments for distinguishing meter gateways from energy
2424 management gateways considering both applications as two logical blocs, since both fields are driven
2425 by different kinds of interests and innovation speeds. Competition is likely to result in different devices
2426 & technologies combining logical applications, defined by standardization. In order to be open for such
2427 market development and for innovation, standardization should not define the device but the logical
2428 functions, data and interfaces in case this is needed for communication between different market roles
2429 or devices.
2430 HB-2: Unified language for tariff information

2431 A unified language (kind of common semantic layer above the existing technologies) has to be defined
2432 to communicate demand response related elements (e.g. an incentive like a new price / tariff). A
2433 Europe-widely or even world wide unified data model for these aspects would be favourable
2434 considering the global market for smart appliances, devices and automation systems. For that, data
2435 models/profiles have to be developed from the use cases. A multi-stakeholder committee considering
2436 the different domains and ESOs involved should be assigned to this task considering ongoing
2437 initiatives (from research, industry and standardization).
2438 This approach can succeed only by broad introduction including existing standard technologies.
2439 Therefore, the unified language must be mapped onto the communication standards lying below.
2440 These “lower standards” should support this mapping mechanism which isn’t the case today.
2441 The diagram shown in Figure 16 is suggested as reference architecture for the home/building pointing
2442 out the different logical blocks, and can be easily integrated in the whole system architecture (e.g.
2443 smart metering or service provider architecture; relationship with Smart Metering Mandate M/441 is
2444 therefore granted). Please, note that the figure is not related to a specific hardware design, but it is just
2445 showing a logical separation of functions without predefining where and how those functions are
2446 implemented.
71
2447
2448 Figure 16 – Logical separation of metering and energy management
2449 5.3 Markets and actors

2450 For each actor in the electricity supply chain and electricity market, its current role and responsibilities
2451 are summarized, followed by the recommendations on necessary changes (in terms of scope, actions
2452 and governance with particular focus on regulatory aspects ) required for smart grids deployment. A
2453 special attention is paid to the issues of relevance for standardization, indicating where applicable a
2454 relation to the electricity and / or ICT standardization aspects.
2455 5.3.1 Roles & responsibilities – Current status
2456 Transmission System Operator (TSO) 14)

2457 is responsible for operation, maintenance and development of the transmission network in its own
2458 control area and at interconnections with other control areas, long-term power system ability to meet
2459 the demand and grid connection of the transmission grid users, including the DSOs.
2460 Distribution System Operator (DSO) 15)

2461 is responsible for operation, maintenance and development of the own distribution grid and where
2462 applicable at the connections with other grids, ensuring the long-term ability to meet the distribution
2463 demand, regional grid access and grid stability, integration of renewables at the distribution level and
2464 regional load balancing (if that is not done by the balance responsible party).
2465 Generator
2466 is generating electricity, contributing to voltage and reactive power control and providing relevant data
2467 to the energy marketplace.
14) Cf. Article 2.4 of the Electricity Directive 2009/72/EC

15) Cf. Article 2.6 of the Electricity Directive 2009/72/EC
72
2468 Electricity installer/contractor

2469 Electrical contractors have an important role for smart grids deployment. They design, install and
2470 maintain intelligent systems for all kinds of industrial, commercial and domestic purposes. Alongside
2471 the well-known power and lighting applications, they equally install ICT and telecommunications,
2472 public street lighting, high medium and low voltage lines, control and energy management systems,
2473 access, fire and security control equipment, lightning protection systems, advertising and identification
2474 signs, emergency power generating systems and renewable energy systems.
2475 Customer/consumer
2476 can, besides consuming electricity, be involved in contract based demand response. Depending on
2477 their characteristics, consumers are classified into: industry, transportation, buildings and residential
2478 customers.
2479 Supplier
2480 is a grid user who has a grid connection and access contract with the TSO or DSO, supplies electricity
2481 to the customers and provides local aggregation of demand and supply.
2482 Retailer
2483 sells electricity directly to consumers and could also be a supplier.
2484 Power Exchange

2485 provides a market place for trading physical and financial (capacity/energy and derivates) contracts for
2486 capacity allocation within a country/control area, region or across the control area border.
2487 Balance Responsible Party

2488 ensures that the supply of electricity corresponds to the anticipated consumption during a given time
2489 period and financially settles imbalances that arise.
2490 Clearing & Settlement Agent

2491 assumes liability for clearing and/or settlement of contracts and provides contractual counterparty
2492 within a Power Exchange and for Over the Counter (OTC) contracts.
2493 Trader
2494 buys and sells energy in an organized electricity market (Power Exchange) or Over the Counter.
2495 Aggregator
2496 offers services to aggregate energy production from different sources and acts towards the grid (TSO
2497 and / or DSO) as one entity.
2498 Technology, products and service providers

2499 to the actors above include: electric power grid equipment vendors, ancillary services providers,
2500 metering point service providers & metering point service operators, information & communication
2501 technology (ICT) service providers, grid communications network providers, home appliances vendors,
2502 building automation / energy management providers, electric transportation / vehicle solutions
2503 providers.
2504 Regulator
2505 is an independent authority responsible for the definition of electricity market framework (market rules),
2506 for setting up of system charges (tariffs), monitoring of the functioning and performance of energy
2507 markets and undertaking any necessary measures to ensure effective and efficient markets, non-
2508 discriminative treatment of all actors and transparency and involvement of all affected stakeholders.
2509 Standardization bodies

2510 are responsible for standardization of all relevant elements and components within the electricity
2511 supply chain.
73
2512 EU and national legislation authorities

2513 are in charge of defining legislation and metrics for areas such as environmental policy, social policy,
2514 energy policy and economic policy. They are also responsible for the authorisation needed to develop
2515 the electricity grid infrastructure.
2516 Financial sector undertakings

2517 provide capital to other actors or invest themselves into the projects within the electricity supply chain
2518 (grid, generation, etc.).
2519 5.3.2 Roles and responsibilities – Recommendations to other actors

2520 In relation to the smart grids deployment and in view of the necessary standardization, the following
2521 specific issues need to be addressed appropriately:
2522 • Technical issues, including electricity and ICT standardization activities, where ways to make the
2523 transmission and distribution grids smarter and stronger are proven at appropriate scales for
2524 replication in Europe;
2525 • Market design issues, where variable energy sources and active demand side management are
2526 integrated into new market rules, incentivizing consumers and (small) producers to actively
2527 participate in the electricity market;
2528 • Necessary changes that allow grid operators, retailers, small generators and customers to make
2529 use of state-of-the-art communication technologies to improve data transparency and actively
2530 participate in the energy market;
2531 • Regulatory measures allowing the development of smarter grids and more active participation of
2532 small players by e.g. giving proper incentives to grid and energy providers and users to contribute
2533 to an efficient system
2534 • Customer engagement with smart grid issues, especially focusing on public acceptance of smart
2535 metering and reassuring consumers on any privacy and/or security issues that may arise.
2536 • Societal issues, such as acceptance and engagement with technological changes, ensuring that
2537 all consumers including vulnerable and low income consumers can access the benefits of smart
2538 grids. The way forward is to inform grid users, especially households, which in turn is a
2539 responsibility for all actors: “watchdogs” services, regulators, suppliers, distribution networks and
2540 manufactures.
2541 • Supporting consumers to understand and value the environmental benefits related to the
2542 deployment of smart grids.
2543 The recommendations on scope, policy and regulatory directions below, address the necessary
2544 changes to the current roles and responsibilities of market actors, in light of the smart grids
2545 deployment and standardization.
2546 TSOs and DSOs
2547 Whereas smart grids deployment is the issue of both, TSOs and DSOs, it appears that the DSOs will
2548 have to face the biggest changes to make smart grids a reality. The reasons for that are growing
2549 distributed character (resulting in growing bidirectional power flow at all voltage levels) and variability
2550 of generation, customer privacy issues, system security, data and information processing for new
2551 applications and concepts such as Virtual Power Plants, etc.
2552 The TSOs will have to provide more support & communication of data to the DSOs, but will also
2553 require more specific information from the DSOs, especially with respect to the real-time aspects of
2554 distributed generation. In order to achieve this, both TSOs and DSOs need to ensure that the
2555 standards they implement for communication and data exchange are compatible. It also follows that
2556 the TSOs will have to gradually develop further power system control standards and applications as
2557 well as market information management, including forecasting.
74
2558 Both TSO and DSO should be able to execute their active role in smart grid management by ensuring
2559 more sophisticated mechanisms to interfere with the planned market activities in case of disturbed or
2560 emergency operational conditions, without “automatic” socialization of the related costs to other grid
2561 users.
2562 Finally, the role of grid communications and respective real and “industrial” standards will significantly
2563 increase as much more data will have to be gathered and exchanged frequently.
2564 The standardization of communication protocols as well as clear rules for handling and security of this
2565 data will have to be developed and enforced.
2566 Generation
2567 With its increasing share, the responsibility of distributed generation in contributing to grid stability and
2568 operational security will increase, hand in hand with the technology progress which will enable that in a
2569 cost effective manner.
2570 Electricity installers/contractors
2571 With a massive deployment of IT-technology at the medium voltage level of distribution networks (e.g.
2572 for automated maintenance, asset management support, etc.) and for the integration of new
2573 applications and market participants at the medium and low voltage level (e.g. Virtual Power Plants),
2574 the role of electricity contractors in ensuring proper functioning of the future smart grids will increase
2575 further. Because of the large scale / number of respective installations and equipment used,
2576 standardization is an essential issue in order to ensure on one hand effective and efficient fulfillment of
2577 their role and on the other reduce costs.
2578 Customers/consumers
2579 Customers/consumers will become more engaged in Demand Side Response (DSR) and DSR will
2580 become increasingly important to enhance the overall system efficiency and effectiveness.
2581 DSR has also significant implications for the DSOs as well as equipment suppliers and electricity
2582 retailers. Moreover, based on the increased information on consumption, consumers will make more
2583 informed decisions on how & when they can save energy, either by changing their behaviour or by
2584 engaging with an energy efficiency service provider.
2585 Suppliers and aggregators
2586 Suppliers and aggregators will offer new energy efficiency services such as peak load management or
2587 energy efficiency enhancement services. The ultimate result will be more competitive and market
2588 driven products. To make DSR possible, standard load profiles will have to be replaced by more
2589 ‘dynamic’ ones, with flexible energy prices. Moreover, this information will need to be complemented
2590 with the actual information about market activities of consumers, producers and those that do both, to
2591 the DSOs/TSOs.
2592 New market places
2593 New market places will emerge, contributing to further power system optimization, but also requiring
2594 different rules than the ones of today. The structures in the markets will reflect the decentralized
2595 character of the power system and balancing, clearing and settlement will have to react to this
2596 development by opening to smaller participants.
2597 It can be expected that an increasingly flexible formation of energy prices and ancillary services (both
2598 in time and space) as well as increasingly flexible and specific prices will ultimately deliver the full
2599 potential of customer benefits from smart grids.
75
2600 Traders
2601 Trade will be characterized with increasing use of intraday trading platforms, relying further on more
2602 sophisticated, flow-based capacity allocation methods to cope with changes in the increasingly
2603 variable generation patterns. Beyond that, DSR will allow the best use of the most effective measures
2604 at the customers’ side contributing also to managing the variability of wind power.
2605 Providers of technologies, products and services
2606 Technology and solution providers will continue to improve the equipment supplied integrating more
2607 and more ‘smartness’ into their products. An open standards based approach will be the key for
2608 market development with standards set at the European level, through a transparent process. New
2609 technologies will fulfill functionalities that had not been available in the past (e.g. relying on advanced
2610 power electronics).
2611 The actors specifying the requirements for Smart Meters and the manufacturers of such devices must
2612 be aware that they are developing products for a regulated market environment in which European
2613 integration, consumer privacy, security of supply and regulated returns on investment must be taken
2614 into account.
2615 The ability to better understand the customers’ needs and behaviour will enable new innovative
2616 business models and service offerings to be delivered. These in turn will fuel further development in
2617 new technologies, products and services to capitalize on these new opportunities.
2618 Examples of new services range from data mining systems for identification of new customer
2619 opportunities, infrastructure management products for distribution systems, home automation devices
2620 and home energy management class of devices and services, contract based products to consumers
2621 based on their individual usage pattern of energy, etc.
2622 The products and services related to electrical cars will induce further innovation both in terms of
2623 technology and business models. While feasible business models are still under development, the
2624 physical impact of large numbers of electrical cars participating both as ‘consumers’ and ‘storage’
2625 actors in the grid, needs to be fully understood and may further add to the complexity of maintaining
2626 overall grid stability and security of supply.
2627 Finally, information and communication service providers will offer more sophisticated services
2628 addressing the electricity industry needs. Given the critical role of the electricity supply, those
2629 communication services must deliver the necessary quality of service, security of information and
2630 privacy – it is in this area, where the standardization in the field of ICT and at cross-areas with
2631 electricity market will play a crucial and key role for the smart grids deployment.
2632 Regulators
2633 It is important that national regulatory authorities and European institutions (CEER, ERGEG and
2634 ACER in the future) ensure a long-term-predictable and stable regulatory framework, including
2635 adequate incentives for investments, taking account of: 1) economic and technical efficiency, 2) quality
2636 of supply, 3) “smartness” of the electricity grids and 4) energy efficiency. The payment of costs must at
2637 any time – today and in the future – remain fair according to the actual originator of these costs,
2638 adhering to the principle of causality. It follows that a well balanced and sustainable approach is
2639 needed between the appropriate rate of return for the regulated grid operators and the respective
2640 requirements and benefits for the grid users.
2641 Given that more actors will participate in the market place, regulators will also need to further support
2642 designing and implementing the direct regulatory measures and market rules required for the market
2643 place of the future and for ensuring utilization of all the new services and opportunities to the highest
2644 possible welfare.
76
2645 EU and national legislation authorities
2646 Policy makers should ensure active support for market and competitive business activities – including
2647 innovative approaches. At the same time, they should avoid interfering where this is not necessary for
2648 preserving competitive environment, ensuring non-discriminatory treatment and guaranteeing proper
2649 functioning of all markets in a sustainable way, to the benefit of all actors and society as a whole.
2650 It should also be recognized that some EU, national or regional initiatives related to energy policy,
2651 economic policy, environmental policy, etc. may actually be counterproductive to meeting all the
2652 benefits of smart grids. Where such issues arise, then the framework and template for evaluation of
2653 specific smart grid activities and projects, defined by the Expert Group 3 of the European Commission
2654 Smart Grids Task Force should be used.
2655 5.3.3 Recommendations to the ESOs

2656 An open, standards based approach is crucial for the deployment of smart grids. The recognized
2657 European Standardization Organizations (ESOs), CEN, CENELEC and ETSI are traditionally closely
2658 linked to regulation at European level, providing the technical specifications that are needed to
2659 implement regulation. These links are explicit in the context of EU Directives including those for EMC
2660 (Electro-Magnetic Compatibility), low-voltage and (in relation to Smart Metering) measuring
2661 instruments. The ESOs maintain formal links with global standardization bodies ISO, IEC and ITU-T
2662 (and also with UN-ECE, which is relevant for electronic business process standards) and those links
2663 should be utilized to avoid duplication of activities and possibly conflicting standards at the European
2664 or a wider level. Whereas some issues can only be standardized at European level, in other cases the
2665 necessary standards should be provided globally but the ESOs should ensure these global standards
2666 meet European requirements. In the ICT standardization, there is a plethora of different industry
2667 consortia providing sometimes competing standards solutions, and care needs to be taken to avoid
2668 inter-operability problems or issues related to intellectual property rights.
2669 Mkt-1 Defined actors and roles as base for smart grid use-cases
2670 Standardization should play a role also in other areas where technical enforcement for market
2671 decisions by regulators or private sector actors is needed. Moreover, Standardization Organisations
2672 have to provide the needed flexibility to accommodate with the increasing variety of business models.
2673 These needs must be based on an agreed set of use cases to be developed and maintained over
2674 time. All of those use cases should be based on the described actors and roles.
2675 Mkt-2 Market Communication

2676 One of the particularly important areas of ICT standardization concerns market communication
2677 standards like EDIFACT, etc. and their capability of fulfilling the services and functionalities. Besides
2678 general interest for standardization bodies and all other stakeholders, this issue is of utmost interest
2679 for all market players (suppliers, generators, traders, etc.) but also network operators, as it ensures a
2680 uniform and efficient exchange of data and information in the market. It is the standardization bodies
2681 for electricity and ICT sector together, who will need to review and identify all the required
2682 improvements and further development in this area.
2683 Mkt-3 <still under consideration>

2684 There is a debate on the "standing" of the ESO's standards, similar as it is the case for the New
2685 Approach directives (see http://www.newapproach.org/): presumption of conformity etc). This does not
2686 exist for smart grids.
77
2687 6. Further activities

2688 6.1 Organizational activities and projects to be started
2689 A number of recommendations are found to be fundamental in order to further improve the smart grid
2690 standardization landscape in Europe. These require immediate action by the JWG and therefore
2691 changes to the scope and organization of the JWG itself.
2692 1) Prioritization of the identified gaps and recommendations

2693 A prioritization of the identified gaps and recommendations needs to be performed. The
2694 importance of the identified standards will vary in their relation to smart grid applications. A
2695 number of standards will form a core set of standards, which will be valid or necessary for nearly
2696 all smart grid applications. These standards will be considered priority standards. Furthermore, a
2697 whole framework of standards and further actions needs to be defined in order to help the smart
2698 grid vision to become true. A number of criteria will be defined, in order to perform the desired
2699 prioritization. The prioritization needs to be checked against the requirements of an upcoming
2700 mandate.
2701 2) European reference architecture

2702 One of the major tasks found during the report was to develop a European reference architecture,
2703 which is complete and flexible enough to incorporate current and future high level services and
2704 functionalities. The task to develop such a reference architecture should be performed by a
2705 subgroup of the JWG. Therefore a task force “Reference Architecture” will be formed by the JWG
2706 starting its operation from 01/2011.
2707 3) European smart grid use cases

2708 Based on the work on the reference architecture a single set of European smart grid use cases
2709 needs to be collected in order to start a systematic, top-down, continuous process of identifying
2710 gaps in standards. The necessary tools and processes must be developed by the ESOs. The
2711 design of these changes should be performed by a subgroup of JWG. Therefore a task force
2712 “Use Cases” will be formed by the JWG starting its operation from 01/2011. Close cooperation
2713 with the activities of IEC TC 8 and respectively CENELEC TC 8X is needed.
2714 6.2 Mandate

2715 A mandate on smart grid standardization is being drafted to be presented to the Commission’s Smart
2716 Grids Task Force Steering Committee meeting on 17 December 2010; the formal approval process will
2717 start beginning of 2011.
2718 Efforts have been made to ensure that the findings of the report do not conflict with this future smart
2719 grid standardization mandate and that the identified actions from the report meet the process to
2720 execute the mandate. The acceptance of the mandate will influence the further work on the later
2721 versions of this report and the actions taken by the JWG.
2722 6.3 Report 2.0

2723 The report in its current status is seen as a basis for further work on the smart grid Standardization in
2724 Europe. The current focus lies on the overview of already usable European standards to support the
2725 basic functionalities given by the Smart Grids Task Force []. Some high level recommendations have
2726 been derived in the respective domains and the cross cutting issues. The report is currently the
2727 working result of the joint working group. Other comments have up to now not been collected. The
2728 report will be circulated to technical committees of the ESOs and other interested parties.
78
2729 Therefore a number of reasons exist, why this report needs continuous update:
2730 • comments from a wider audience need to be incorporated (e.g. TCs / NSOs)
2731 • the initial report was developed in a parallel work mode, which could not avoid some overlaps or
2732 even inconsistencies
2733 • the requirements of the actual status of the European legislation laid down by the respective
2734 mandates must be considered
2735 • the ever changing environment in technical and regional aspects make it necessary to revise the
2736 report in periodic time intervals
2737 A revision of the report is to be planned and executed in 2011, mainly in order to accommodate for the
2738 collected comments from outside the JWG.
2739
79
2740 Annexes
2741 Annex 1 – Summary list of recommendations
2742 (4.1 General recommendations)
2743 G-1 Further development of the report

2744 This report should be further developed with regard to the focal topics identified, in cooperation with
2745 the corresponding professional groups and stakeholders. Topics such as energy storage and security
2746 of supply may also be included.
2747 G-2 International standards as base for promoting EU economy

2748 Standardization of smart grids must be based on existing international work, to avoid reinventing the
2749 wheel, to accommodate already solutions which are standardized and applied for practical purposes
2750 and to secure the interests of European manufactures who are acting globally. This document
2751 recognizes that work and therefore builds upon the globally recognized smart grid standards as
2752 identified in Section 5 (e.g. IEC TC 57 family of standards).
2753 G-3 Speed of implementation – reuse existing

2754 There are already a number of quite advanced initiatives around the world which are described in
2755 section 2.4. In order to secure European interests in the implementation in Europe and around the
2756 world existing mature domain communication systems should be used. The ESOs should further
2757 standardize necessary interfaces and product requirements and must avoid standardizing applications
2758 and solutions. Focus must be laid on the standard development according to the R&D and deployment
2759 priorities of the EU given in the Smart Grids Task Force reports, the ETP and the SDD.
2760 G-4 Concentrate on future proof standardization

2761 Smart grids is a highly dynamic technical field. Standards must therefore be generic and open to
2762 include future developments from R&D and pilot projects. It is therefore recommended to concentrate
2763 on generic standards which flexible mirror market needs and technological development.
2764 G-5 Build up a SINGLE repository for smart grid use cases
2765 The descriptions of functionalities / use cases represent an important basis for the further work,
2766 including that on standardization. It is therefore recommended to collect use cases as a base to start
2767 detail work on standards. Feed this repository with at least:
2768 • the M/441 set of use cases
2769 • active liaisons with all European smart grid projects
2770 • the EG1 to EG3 reports of the Smart Grids Task Force of the European Commission
2771 • from experiences of the national committees
2772 Check if the re-use of use cases coming from other countries or region may lead to single worldwide
2773 use-cases definition
2774 Define the methodologies: templates, classification, etc.
2775 G-6 Adapt standardization process

2776 Set the needed processes to fit the lack of maturity of many smart grid applications. As stated in the
2777 EG1 report, "smart grids deployment will be a continuous learning process" and standardization
2778 should propose a clear set of processes to cope with this learning process. E.g. use electronic form of
2779 communicating standards in order to enable seamless integration of standard data models. Define
2780 open and transparent quality processes attached to smart grid standards including covering the whole
2781 life cycle of such standards, including how to collect issues, to treat/fix issues, and then to validate and
2782 test.
80
2783 (4.2 European Standardization Organizations (ESOs))
2784 O-1 Extend timeframe and scope of JWG Smart Grids

2785 The JWG scope and duration should be adapted to the wider needs of further tasks, coordination of
2786 responses to an EC mandate and a further investigation of the ever changing environment in the smart
2787 grids area.
2788 O-2 Marketing of ESOs effort in Smart Grids

2789 ESOs must enforce their efforts to markets and visualize their already done work on international and
2790 different regional levels. This is necessary to keep the high level of influence on international
2791 standardization and therefore on solutions. A funding of the external representation of the ESOs
2792 should be investigated as international activities are indicating growing dominating roles of US and
2793 Asia due to high public funding of respective standardization organizations. Although this might be
2794 conflicting with the traditional role of the European standardization the short time frame for actions in
2795 order to participate within the already ongoing debate at international level and the need to
2796 standardize in areas where R&D still is needed, public funding might be justified for some stakeholder
2797 groups like R&D institutes or SME. Any solution should be based on the co-operation with national
2798 standardization organizations and their experts and expertise.
2799 O-3 Mandates in relation to Smart Grids

2800 Concerning the different mandates that are or will be issued in the context of smart grids, consistency
2801 and coherence must be ensured by the Technical Boards of CEN and CENELEC and by the ETSI
2802 Board.
2803 (5.1.1 Terminology, object identification and classification)
2804 Term-1 : Harmonization of glossaries

2805 To establish a process for harmonizing smart grid vocabulary over different domains.
2806 PPC-1 Electronic Data models

2807 To align as much as possible glossaries with Electronic Data Models (TC 57/SC 3D)
2808 (5.1.2 Reference architecture)

2810 Identify the relevant actors that will be instrumental to the European smart grid targets and build a
2811 European Conceptual Model to describing those major stakeholders and their interactions.(This should
2812 be done within this document in its first official release)
2813 Ref-2: European functional architecture

2814 Develop, possibly based on the IEC SG3 model, a European Functional Architecture that take into
2816 particular those outlined in the European Conceptual Model..
2817 Ref-3: Communication architecture


2821 Expand the work done in the European Commission Smart Grids Task Force to create a Security
2822 Architecture also taking into account the NIST complementary approach whenever applicable.

2825 the consistency of Information Model is guaranteed by an appropriate mechanism for re-aligning
81
2827 Ref-6: Create a Reference Architecture Task Force within the Joint Working Group to develop and
2828 maintain a European Smart Grid Reference Architecture, at least for some of the major views
2829 (Conceptual Model, Functional, Communication and Security Architecture).
2830 (5.1.3 System aspects)

2843 Sys-2: Create DR task force

2849 Sys-3: Avoid European mandates overlapping


2858 Sys-6: Check comprehensiveness of standards towards interoperability



2867 releases.
2868 (5.1.4 Data communication interfaces)
2869 Com-1: Further develop power/distribution line communication

2870 Follow the recommendations of the SMCG Technical Report, which already contains a work plan for
2871 CEN TC13 to integrate different protocols with the existing standards.
2872 For lower frequencies the EMC guidelines/regulations should be developed.
82
2873 Frequencies for broadband should be reserved for utility applications.

2874 For PLC communication the use of the frequency range up to 540 kHz should be specified, as is
2875 already the case in the US.
2876 Furthermore, a definition of the broadband PLC for ranges from 0,3 MHz to 50 MHz is necessary.
2877 Here it would be beneficial to reserve the medium range (0,3 MHz to 3 MHz) frequencies for the
2878 utilities, 3 MHz to 30 MHz for in home applications.
2879 Com-2: Harmonize activities on data transport technologies

2880 Developments made by ETSI and the data communication related IEC and CEN/CENELEC activities
2881 within IEC and CEN/CENELEC should be mutually coordinated. The service capabilities defined by
2882 ETSI should be integrated with the smart grid related application protocols mentioned in 5.1.4.1.
2883 (5.1.5 Smart grid information security)
2885 standards
2886 Fast incorporation of system level information security requirements (for all data protection classes
2887 and information security levels) into
2888 I. Product, Solution and Service standards of all “sphere of action” domains;
2889 II. “Sphere of action” domain specific “organizational standards” for market roles participating in
2890 smart grids, according to their responsibilities, and functions provided.
2891 Ensure consistency between those and sustain “state of the art” SGIS DPP by synchronizing all
2892 standards with changing guidance on system level requirements for SGIS and DPP.
2894 For several data protection classes (SG-DPC) legal requirements exist and require the appropriation
2895 of the SG-DPC, i.e. personal data, control data. Therefore, the concept of SGIS is to provide the
2896 enablement for binding between
2897 • the use cases which describe the intended utilization of data as well as
2898 • the usage rights based on obligations and limits of its usage and its required specific information
2899 security level (who, when, why, what data is generated, processed, stored, transmitted, erased)
2900 and on justification derived from contractual/regulatory frameworks).
2901 This will need a definition for all specific SG-DPC and SG-ISL. The concept is to obligate the use case
2902 writing experts to identify ALL data models used in the function or use case (these describe the data
2903 usage and justification of the specific usage). The data model repository will need to include the
2904 specific data protection classes (SG-DPCs) for every single UML data model. The information security
2905 experts will need to specify the appropriate information security level requirement (SG-ISL) for each
2906 single SG-DPC.
2907 It is recommended that ESOs provide interlinked repositories to achieve the required binding.

2909 There are 2 distinct independent areas with changing dynamics along the pathway to implement smart
2910 grids
2911 • Innovation dynamics in smart grid function and use case definitions – describing the changing
2912 “Operational Model” of smart grids and the data models used
2913 • and in dynamics in SGIS, DPP evolving the harmonized set of “system level” SIGS and DPP
2914 impacting the evolution on the SG-ISL and SG-DPC
2915 The ESOs need to provide a sustainable mechanism to update and synchronize the binds of data
2916 models used by functions and use cases to the SG-DPC and their SG-ISL requirements. This is
2917 required to link and synchronize use case and data model repositories as well as derived standards for
2918 smart grid system components ( products, solutions, services) and organizational standards which
2919 need to be in sync with changing system requirements for the “smart grid information security” and
2920 data protection/privacy.
83
2921 ISec-4 ESO to provide IT Tools to support SGIS and DPP modelling and repositories for SG-
2922 ISL/SG-DPC
2923 As mentioned above (ISec-3) there are 2 distinct areas, with different innovation dynamics both areas
2924 need tool support that is unique to some degree. The tools and repositories required in the area of
2925 smart grid functions, use case scenarios and use cases and the repository to capture all data model
2926 and their specific classifications are described in another section.
2927 The ESOs should also provide tools specific for the area of SGIS DPP and the repositories for SG-ISL
2928 and SG-DPC to experts and communities in the area of information security to assist them in
2929 modelling SGIS and DPP and maintaining and upgrading repositories for the 5 information security
2930 levels (SG-ISL), and the respositories for smart grid data protection classes (SG-DPC). The tools
2931 provided to model SGIS, DPP system level and on actor level (products, solutions, services and
2932 people, roles or organizations) and the repositories for SG-ISL and SG-DPC need to be interlinked.
2933 As mentioned above (ISec-3) there is the need to keep the 2 areas synchronized at all times.
2934 (5.1.6.1 Dependability and functional safety)
2935 Dep-1 Check relevance of existing methodologies on smart grids

2936 Ask TCs (56 and 65A) whether their methodologies (resp. Dependability and Functional safety) are
2937 well-suited/applicable to Smart grids.
2938 (5.1.6.2 EMC and power quality)
2939 EMC-1 Review existing standards

2940 CENELEC TC 210 and Product Committees to review existing standards concerning an appropriate
2941 modification for closing gaps in order to also ensure EMC in the frequency ranges from 2 kHz to 150
2942 kHz (in practice 2-9 kHz and 9-150 kHz).
2943 NOTE Technical input in this domain can be found in several reports/publications, such as the CENELEC SC 205A Study
2944 report on electromagnetic interference between electrical equipment/systems in the frequency range below 150 kHz,
2945 (SC205A/Sec0260/R, April 2010). Nevertheless, further studies are probably necessary before a complete set of standards can
2946 be available.
2947 Furthermore, the following actions of the standardization communities are suggested to support low
2948 frequency EMC/power quality in the context of smart grids.
2949 EMC-2 Review EMC and Power Quality levels

2950 Review electromagnetic compatibility levels and/or characteristics of voltage at interfaces for all
2951 standard voltage levels of public electrical power networks, and define the associated operating
2952 conditions in the context of the smart grids.
2953 EMC-3 Consider distorting current emissions from DER equipment

2954 Standardize how to fairly allocate the ability of networks to absorb distorting current emissions among
2955 present and possibly forthcoming connected equipment, including Distributed Generation at sites in
2956 networks. Connected equipment may well be other network(s). The work is recommended to originate
2957 from documents IEC TR 61000-3-6, IEC TR 61000-3-7, IEC TR 61000-3-13 and future
2958 IEC TR 61000--3-14.
84
2959 (5.2.1 Generation)
2960 Gen-1 Harmonized glossary, semantic & modelling between back-office applications (CIM 16))
2961 and field applications (IEC 61850 17))
2962 Provide experts to IEC TC 57 body to boost CIM/IEC 61850 harmonisation planning, fix this issue
2963 ASAP and establish clear messages to the market. Support electronic form of IEC 61850 data model
2964 at IEC level based on UML language.
2965 Gen-2 Harmonisation between DLMS/COSEM data model and IEC 61850/CIM
2966 Take the lead on this DLMS/COSEM data model harmonization with CIM/IEC 61850, within the IEC
2967 body (through CENELEC TC 57X)
2968 Gen-3 Extended field data modelling standard (part of IEC 61850) to support demandresponse,
2969 DER and VPP & Extended CIM to model more accurately Generation Fleet Management
2970 Applications in the case of Bulk Generation, and to integrate DER and VPPs
2971 Clearly express and formalize to CENELEC TC 8X, the selected use cases which the Eruopean smart
2972 grids have to support and ensure IEC TC 57/WG 17 body (through CENELEC TC 57X) will provide
2973 expected answers in IEC 61850 data modelling regarding: Demand response for generators, for
2974 ancillary services, including VPPs and aggregators. Support TC 57/WG 13 initiatives to define use
2975 cases and modelling (such as AI715)
2976 Gen-4 Standard for electrical connection and installation rules to ensure energy availability and
2977 security, in presence of high ratio of DER
2978 Harmonize electrical connection and installation rules within Europe, down to all levels of connection
2979 of DER
2980 Gen-5 Standard to allow all connected generators associated in VPPs to participate to new
2981 ways of operating grid
2982 Adapt installation rules of DER to allow new ways of operating grid such as microgrid (TC 64X and
2983 TC 8X)
2984 (5.2.2 Transmission)
2985 T1 – HV-DC grid architecture

2986 With the development of off-shore grids, there is a need for coordination, coherence and
2987 interoperability for equipment (converters, circuit-breakers, protections,….) as well as for grid topology
2988 (grid design, voltage level, grid code,…) in High Voltage DC domain. A present Study Group, hosted
2989 by the German National Committee will elaborate the basis for the standardization work to be
2990 continued within CENELEC. This initiative should be encouraged.
2991 T2 – Smart assets

2993 for the optimized used of the assets. Particularly it could provide relevant data in order to optimize the
2994 loading capabilities. It should also improve the knowledge of the behaviour of the assets in order to
2995 assess the lifetime of the transmission assets with more accurate models.
2996 Therefore, there is a need for standards on condition monitoring including prediction models and
2997 applicable to all assets, even to the assets already in operation for years.
2998 Nevertheless, the standard should be focused only on the relevant data, instead of monitoring

85
2999 excessive and useless parameters. The standard should help users to identify the value of condition
3000 monitoring and how it can be used in operation for decision making.
3001 The ongoing IEC 61850-90-3 work, devoted to condition monitoring in power energy domain, should
3002 be encouraged, the present standard and protocol for communication in substations, should involve
3003 communication and relevant data model, whereas the relevant products Technical Committees have
3004 to standardize the methods and the devices needed for on-line monitoring.
3005 Therefore, it is recommended that the on-going IEC standard involves on the one hand, the experts of
3006 equipment to monitor for the technical aspects and the prediction models and on the other hand
3007 representatives of users in order to assess the relevant decision making.
3008 T3 – offshore equipment

3009 A review of the existing standards for transmission equipment is required in order to check that the
3010 special requirements for off-shore installations are properly covered. Otherwise, standards should be
3011 adapted.
3012 These tasks should be notably performed by TC 14 (transformer), TC 17 (switchgear), TC 38
3013 (instrument measurement) and TC 20 (underground-cable).
3014 (5.2.3 Distribution)
3015 Dis-1 Feeder and Advanced Distribution Automation

3016 Develop a standard that supports feeder automation (at CEN/CENELEC), and Advanced Distribution
3017 Automation.
3018 Dis-2: Use CIM

3019 Give high priority of harmonisation of CIM /IEC 61850.
3020 Dis-3: Seamless communication between control center and substation

3021 Support international work in order to provide seamless communication between control centres and
3022 sub-stations based on 61850.
3023 Dis-4: Integrate Cybersecurity in IEC 62351

3024 Work on standard for cybersecurity as long as intensive public communication services (from Telecom
3025 Operators) will be used in Distribution, advance in the IEC 62351 in this area.
3026 Dis-5: Auxiliary power systems standardization

3027 Develop standardization for auxiliary power systems ( low voltage DC networks ) :AC/DC converters,
3028 DC management systems, DC protection. Ongoing work in TC 57: IEC 61850-90-3 (TR)
3029 Dis-6: Integrate condition monitoring capabilities

3031 for optimized loading and help to increase the lifetime of the distribution assets. IEC 61850, the
3032 present standard and protocol for communication in substations, should involve communication as far
3033 as the sensors needed for on-line monitoring.
3034 (5.2.4 Smart metering)
3035 SM 1: Currently various standards or extensions of existing standards are being developed to cover
3036 the exchange of metering data. Examples are:
3037 - EN 62056 Electricity metering – Data exchange for meter reading, tariff and load control
3038 - EN 13757-1:2002: Communication systems for meters and remote reading of meters
3039 - IEC 61968-9: System Interfaces for Distribution Management – Part 9: Interface Standard for Meter
3040 Reading and Control
3041 - ANSI C12 suite
3042 A harmonisation of these standards is necessary to prevent further development of different (and
3043 competing) standards for the same purpose.
86
3044 SM 2: Smart metering, home automation and electric vehicles are envisaged as elements in smart
3045 electricity grids. It is recommended that CEN/CENELEC/ETSI consider the use cases envisaged for
3046 smart grids involving these elements and take care in their standardization work in these areas to
3047 ensure the needs and applications of smart grids are addressed in a harmonized fashion.
3048 SM 3: Specifically to assist the development of proposals for possible link technologies in relation to
3049 smart grids and e-Mobility, it is recommended that CEN/CENELEC/ETSI should jointly undertake an
3050 investigation of the interfaces required insofar as they are not currently being addressed within the
3051 M/441 mandate. The ESOs should propose where standardization in these areas is necessary, taking
3052 care to ensure harmonisation with existing metering models and other relevant standardization
3053 initiatives.
3054 (5.2.5 Industry)
3055 Ind-1: Tariff information

3056 On-site energy management system should be able to spread tariff information down to the load. We
3057 recommend to extend IEC 61850 model (the most common backbone system for EMS) to support
3058 tariff related information.
3059 Ind-2: DR information

3060 Demand response mechanism is not considered yet to support network ancillary services. We
3061 recommend to extend IEC 61850 model (DER) and other DR information channel to support ancillary
3062 services participation.
3063 Ind-3: Smart Meter and building system interface

3064 In their work on data exchange between the smart meter and the building management system, the
3065 European Standardization Organizations should ensure coordination between CEN TC 247 and
3066 TC 13.
3067 Ind-4: Harmonized data model for industry and power grid
3068 Too many protocols already exist without mapping between them. We recommend to harmonize data
3069 model related to energy management between Industry and Electricity (EN 61158, EN 61850).This
3070 work should be coordinated between TC 65 and TC 57.
3071 Ind-5: Electrical installation allowing for DER integration

3072 The usage of distributed energy resources as part of electrical installations and part of micro grids for
3073 industry induces new safety and protection issues. The multi sources aspect is not covered by current
3074 installation rules. We recommend TC 64 to work on new installation rules for safety aspects and TC 8
3075 to work on common rules for grid protection.
3076 (5.2.6 Home and building)
3077 HB-1: Separate realization from standards description

3078 The use cases described above interface to the field of smart metering, but have to be logically
3079 separated. In standardization, there are arguments for distinguishing meter gateways from energy
3080 management gateways considering both applications as two logical blocs, since both fields are driven
3081 by different kinds of interests and innovation speeds. Competition is likely to result in different devices
3082 & technologies combining logical applications, defined by standardization. In order to be open for such
3083 market development and for innovation, standardization should not define the device but the logical
3084 functions, data and interfaces in case this is needed for communication between different market roles
3085 or devices.
3086 HB-2: Unified language for tariff information

3087 A unified language (kind of common semantic layer above the existing technologies) has to be defined
3088 to communicate demand response related elements (e.g. an incentive like a new price / tariff). A
3089 Europe-widely or even world wide unified data model for these aspects would be favourable
3090 considering the global market for smart appliances, devices and automation systems. For that, data
87
3091 models/profiles have to be developed from the use cases. A multi-stakeholder committee considering
3092 the different domains and ESOs involved should be assigned to this task considering ongoing
3093 initiatives (from research, industry and standardization).
3094 This approach can succeed only by broad introduction including existing standard technologies.
3095 Therefore, the unified language must be mapped onto the communication standards lying below.
3096 These “lower standards” should support this mapping mechanism which isn’t the case today.
3097 (5.3 Markets and actors)
3098 Mkt-1 Defined actors and roles as base for smart grid use-cases
3099 Standardization should play a role also in other areas where technical enforcement for market
3100 decisions by regulators or private sector actors is needed. Moreover, Standardization Organisations
3101 have to provide the needed flexibility to accommodate with the increasing variety of business models.
3102 These needs must be based on an agreed set of use cases to be developed and maintained over
3103 time. All of those use cases should be based on the described actors and roles.
3104 Mkt-2 Market Communication

3105 One of the particularly important areas of ICT standardization concerns market communication
3106 standards like EDIFACT, etc. and their capability of fulfilling the services and functionalities. Besides
3107 general interest for standardization bodies and all other stakeholders, this issue is of utmost interest
3108 for all market players (suppliers, generators, traders, etc.) but also network operators, as it ensures a
3109 uniform and efficient exchange of data and information in the market. It is the standardization bodies
3110 for electricity and ICT sector together, who will need to review and identify all the required
3111 improvements and further development in this area.
3112 Mkt-3 <still under consideration>

3113 There is a debate on the "standing" of the ESO's standards, similar as it is the case for the New
3114 Approach directives (see http://www.newapproach.org/): presumption of conformity etc). This does not
3115 exist for smart grids.
3116
88
3117 Annex 2 – Abbreviations and acronyms

3GPP third generation partnership project
AAL ambient assisted living
AMI advanced metering infrastructure
AMM automatic meter management
AMR automatic meter reading
ANSI American National Standards Institute
API application program interface
BACS building automation and control systems
BUGS back-up generating system
CC control centre
CCS carbon capture and storage
CEN European Committee for Standardization
CENELEC European Committee for Electrotechnical Standardization
CHP combined heat and power
CIM common information model
CIP critical infrastructure protection
CIS component interface specification
CISPR International Special Committee on Radio Interference (in IEC)
COSEM companion specification for energy metering
CD committee draft
DER distributed energy resources
DG Directorate-General (European Commission)
DIN Deutsches Institut für Normung
DKE Deutsche Kommission Elektrotechnik Elektronik Informationstechnik im DIN und VDE
DLMS distribution line message specification
DMS distribution management system
DON distribution network operator
DR demand response
DSL digital subscriber line
DSO distribution system operator
DSR demand side response
EDGE enhanced data for global evolution
EEGI European electricity grid initiative
EG expert group (of the European Commission Smart Grid Task Force)
EISA Energy Independence and Security Act (in USA)
EMC electromagnetic compatibility
89
EMS energy management system

ERP enterprise resource planning
ESO European Standardization Organization (CEN, CENELEC and ETSI)
ETP European Technology Platform
ETSI European Telecommunications Standards Institute
EU European Union
EV electric vehicle
FACTS flexible alternating current transmission system
GIS geographic information system
GPRS general packet radio service
GRC governance, risk and compliance
HAN home area network
HBES home and building electronic system
HES home electronic system
HV high voltage
HVAC heating, ventilating and air conditioning
HVDC high voltage direct current
JWG Joint Working Group (of CEN, CENELEC and ETSI on standards for smart grids)
ICT information and communication technologies
IEC International Electrotechnical Commision
IED intelligent electronic device
IEEE Institute of Electrical and Electronics Engineers
IEV International Electrotechnical Vocabulary
IP internet protocol
ISO International Organization for Standardization
IT information technology
ITU International Telecommunication Union
ITU-T ITU’s Telecommunication standardization sector (ITU-T)
JISC Japanese Industrial Standards Committee
JTC Joint Technical Committee (ISO/IEC)
LAN local area network
LV high voltage
KATS Korean Agency for Technology and Standards
M2M machine-to-machine
M/441 standardization mandate issued by the European Commission
METI Ministry of Economy, Trade and Industry (in Japan)
MID Measuring Instruments Directive
MV medium voltage
90
NAN neighbourhood area network

NERC North American Electric Reliability Corporation (USA)
NIST National Institute of Standards and Technology (USA)
NISTIR NIST interagency report
PAS Publicly Available Specification (in IEC)
PLC power line communications
PMU phasor measurement unit
PPC product properties and classification
PSTN public switched telephone network
PV photovoltaic
R&D research & development
RES renewable energy sources
SAE Society of Automotive Engineers
SC sub-committee
SCADA supervisory control and data acquisition
SDD strategic deployment document
SET strategic energy technology
SG strategic group (IEC)
SGCC State Grid Corporation of China
SGIS smart grid information security
SGCSWG Smart Grid Cyber Security Working Group (in USA)
SIDM system interfaces for distribution management
SIPS system integrity protection scheme
SMB Standardization Management Board (of IEC)
SMCG Smart Metering Coordination Group (of CEN, CENELEC and ETSI)
SME small and medium enterprises
SOA service oriented architecture
TASE telecontrol application service element
TC Technical Committee (in CEN, CENELEC, ETSI, ISO or IEC)
TCP transmission control protocol
TR Technical Report (in CEN, CENELEC or IEC)
TV television
UML unified modelling language
UMTS universal mobile telecommunications system
V2G vehicle to grid
VPP virtual power plant
WAN wide area network
XML extensible markup language
91
3118 Annex 3 – References / Bibliography

3119 [1] COM/2006/0105 final GREEN PAPER – A European Strategy for Sustainable, Competitive and
3120 Secure Energy
3121 [2] "Vision and Strategy for Europe’s Electricity Networks of the Future" EUR 22040 – Directorate-
3122 General Research Sustainable Energy Systems (2006)
3123 [3] "Strategic Deployment Document for Europe’s Electricity Networks of the Future" – European
3124 Technology Platform Smart Grids (April 2010)
3125 [4] "EU Commission Task Force for Smart Grids – Expert Group 1: Functionalities of smart grids
3126 and smart meters - Final Deliverable" (September 2010)
3127 [5] "EU Commission Task Force for Smart Grids – Expert Group 3: Roles and Responsibilities of
3128 Actors involved in the Smart Grids Deployment – EG3 Deliverable – Revision 1 (1 October
3129 2010)
3130 [6] Annex 1 of the Directive 2009/72/EC and Directive 2009/73/EC
3131 [7] See Annex 3 of Directive 2006/32/EC
3132 [8] See Article 16 of the Directive 2009/28/EC
3133 [9] See Article 8 of the Directive 2010/31/EU
3134 [10] "The European Electricity Grid Initiative (EEGI) - Roadmap 2010-18 and Detailed
3135 Implementation Plan 2010-12" 25 May 2010, Version V2
3136 [11] "EU Commission Task Force for Smart Grids - Expert Group 1: Functionalities of smart grids
3137 and smart meters - Final Deliverable" (September 2010), pp 29-30
3138 [12] THE GERMAN ROADMAP E-ENERGY / SMART GRID; available at

3139 http://www.e-energy.de/documents/DKE_Roadmap_SmartGrid_230410_English.pdf
3140 [13] IEC Smart Grid Standardization Roadmap; Prepared by SMB Smart Grid Strategic Group
3141 (SG3); June 2010; Edition 1.0 available at
3142 http://www.iec.ch/zone/smartgrid/pdf/sg3_roadmap.pdf
3143 [14] NIST Special Publication 1108; NIST Framework and Roadmap for Smart Grid Interoperability
3144 Standards, Release 1.0; January 2010
3145 [15] Electric Power Research Institute: Report to NIST on the Smart Grid Interoperability Standards
3146 Roadmap, 2009, www.nist.gov/smartgrid/
3147 [16] Japan’s roadmap to international standardization for Smart Grid and collaborations with other
3148 countries, document distributed at the CEN /CENELEC meeting “Smart Grids” on 8 March 2010
3149
92
3150 Annex 4 – Core editorial and champion teams

3151 compositions
3152 Core editorial team
3153 Ralph Sporer (JWG Chairman)
3154 Luc Van den Berghe (JWG Secretary)
3155 Emmanuel Darmois
3156 Laurent Guise
3157 Johannes Stein
3158
3159 Champion and champion teams for section 5
3160 5.1 Cross cutting topics
3161 5.1.1 Terminology, object identification and classification
3162 Lead: Herve Rochereau
3163 Members: Omar Elloumi, François Ennesser, Benrachi-Maassam
3164 5.1.2 Reference architecture
3165 Lead: Emmanuel Darmois
3166 Members: Rolf Apel, Omar Elloumi; Laurent Guise; David Johnson; Johannes Stein; Willem
3167 Strabbing
3168 5.1.3 System aspects
3169 Lead: Laurent Guise
3170 Members: Marilyn Arndt; Emmanuel Darmois; David Johnson; Herve Rochereau; Gerald
3171 Sanchis; Laurent Schmitt
3172 5.1.4 Data communication inerfaces
3173 Lead: Willem Strabbing
3174 Members: Laurent Guise, David Johnson; Mathias Uslar
3175 5.1.5 Smart grid information security
3176 Lead: Alfred Malina
3177 Members: Francois Ennesser; David Johnson; Johannes Stein
3178 5.1.6 Other cross cutting issues
3179 Lead: Herve Rochereau
3180 Members: Gerald Sanchis
3181 5.2 Domain specific topics

3182 5.2.1 Generation
3183 Lead: Laurent Guise
3184 Members: Laurent Schmitt
3185 5.2.2 Transmission
3186 Lead: Gerald Sanchis;
3187 Members: Regis Hourdouillie; Peter Rümenapp; Pascal Tantin
93
3188 5.2.3 Distribution

3189 Lead: Enrique Garcia
3190 Members: Laurent Guise; Regis Hourdouillie; Peter Maas; Steve Van den Berghe
3191 5.2.4 Smart metering
3192 Lead: David Johnson,
3193 Members: Joachim Koss; Willem Strabbing; Pascal Tantin
3194 5.2.5 Industry
3195 Lead: Serge Volut
3196 Members: Marilyn Arndt; Luc Baranger
3197 5.2.6 Home and building
3198 Lead: Peter Kellendonk
3199 Members: Luc Baranger; Emmanuel Darmois; Regis Hourdouillie; Jürgen Tretter; Serge Volut
3200 5.3 Market and actors

3201 Lead: Tahir Kapetanovic;
3202 Members: Marilyn Arndt; Luc Baranger; Maher Chebbo; Benrachi-Maassam; Thomas Niemand;
3203 Laurent Schmitt; Johannes Stein
3204
94
3205 Annex 5 – Demand response

3206 Demand response is one of the corner stones of smart grids, that appears as an answer to many of
3207 the expected smart grid top-level services.
Top-level services N° Main SG applications Typical demand response application

DR is needed to shape loads at users side
Facilitate connections at all voltages / locations
1 DR helps reaching quality criteria, and
Integrate users with for any kind of devices
balancing reactive power
new requirements
Use of network control systems for network Automated DR contributes to increase the
2
purposes ratio of new users
Enhance monitoring and control of power flows
3
and voltages
Enhancing efficiency Enhance monitoring and observability of grids
4
in day-to-day grid down to low voltage levels
operation
DR is needed to balance active power
Exchange of information on actual
5 DR helps reaching quality criteria, and
active/reactive generation / consumption
balancing reactive power
Allow grid users and aggregators to participate DR helps reaching quality criteria, and
6
in ancillary services market balancing reactive power
Ensuring network DR helps reaching quality criteria, and

7 operation schemes for voltage/current control
security, system balancing reactive power
control and quality of Intermittent sources of generation to contribute DR helps reaching quality criteria, and
supply 8
to system security balancing reactive power
Allow demand response for system security DR (high speed) contributes to network
9
purposes at sufficient speed security
Participation of all connected generators in the Automated DR contributes to increase the
10
electricity market ratio of DER
Improving market
functioning and DR, through VPPs is needed to shape active
customer service Participation of VPPs and aggregators in the power
11
electricity market DR, through VPPs helps reaching quality
criteria, and balancing reactive power
More direct
involvement of Availability of individual continuity of supply
12
consumers in their and voltage quality indicators
energy usage
3208 A5.1 How to proceed to tackle DR standardization ?

3209 In front of the level of uncertainty attached to the setting-up of DR mechanism within the smart Grid,
3210 here are some recommendations for going more in-depth, and this could be a roadmap for the
3211 proposed Task Force :
3212 Main objective : Define consistent signals and processes for an efficient deployment of DR smart grid
3213 application :
3214 Main system level use cases to be covered by DR:
3215 • Balance active power supply (low speed)

3216 • Balance reactive power supply and reach Energy quality criteria (low speed)
95
3217 • Automatic DR (low speed)

3218 • Contributes to network security (high speed)
3219 • Manage the EV charging issues, including the constraint of having the electricity supply contract
3220 following the charging spot location change due to the EV move.
3221 Proposed steps :
3222 Today’s DR specifications are still too broad, and too business model dependant. Then
3223 standardization should focus in a first stage to sub-functions (as enablers of the top-level use cases
3224 listed above):
3225 Role definitions :
3226 DR Asset or Resource : An energy resource that is capable of delivering demand response services,
3227 such as shaping load in response to Demand Response Events, Electricity Price Indications or other
3228 system events (e.g. under frequency detection).
3229 DR Participant : An entity or role with the responsibility to coordinate Demand Assets or Resources to
3230 deliver demand response services
3231 DR Requester : An entity or role with the responsibility to specify and initiate DR events
3232 DR Event : A DR Event is defined by a set of data, and refers to the time periods, deadlines, and
3233 transitions during which Demand Asset or Resources are expected to perform
Exchange Pricing indications Communicate the Energy and service price indications to the
interested parties
Manage DR contract Handle the process which links a DR participant (or stakeholder)
and a DR requester (Market or Grid operator) in implementing a
DR service
Notify DR event Inform the DR Participants that a DR event is expected to be
implemented by a DR requester.
Dispatch DR instruction Instructs a DR Asset or Resource to offer the requested service
(change its consumption level or produce a defined level of
reactive power, …)
Verify DR implementation Handle the needed process to verify that the DR Asset or
Resource effectively reached the committed level of
performance during the DR Event
3234 A5.2 One case : managing distributed demand and supply flexibility
3235 Among many potential mechanisms to consider, explicitly offering and trading fine-grained flexibilities
3236 provide one alternative mechanism to influence distributed demand and supply behaviour as currently
3237 addressed by the European DG INFSO Miracle project.
3238 Explicit knowledge of available flexibilities in distributed demand and supply in combination with
3239 forecasts of power from intermittent power sources and non-flexible load and generation allows more
3240 detailed scheduling.
96
3241 In order to support such mechanism, standardization effort should focus on enabling :
3242 • Communication/sharing of available flexibility in both time and power of distributed supply and
3243 demand (between market roles).
3244 • Communication/sharing of conditions under which the flexibilities are provided (between market
3245 roles).
3246 • Negotiating the usage of flexibility provided.
3247 • Communicating/sharing the desired behaviour within the provided flexibility, e.g. in terms of
3248 lowering, raising or shifting demand and/or supply.
3249
97
3250 Annex 6 – Interoperability standards

3251 This annex lists currently available standards for the interfaces that are identified in the functional
3252 communication architecture of a smart grid shown in section 5.1.3 (note this list is not exhaustive).
3253 A6.1 Intra-sectional standards

3254 A6.1.1 WAN interface to Operations Subsystem
3255 Formal (de-jure) communication standards
3256 Related to external WAN's and LAN's:
3257 • IEC 60870-5, Telecontrol equipment and systems

3258 • IEC 60870-5-101, Telecontrol equipment and systems – Part 5-101: Transmission protocols –
3259 Companion standard for basic telecontrol tasks
3260 • IEC 60870-5-103, Telecontrol equipment and systems – Part 5-103: Transmission protocols -
3261 Companion standard for the informative interface of protection equipment
3262 • IEC 60870-5-104, Telecontrol equipment and systems – Part 5-104: Transmission protocols
3263 Network access for IEC 60870-5-101 using standard transport profiles
3264 • IEC 61850 series, Communication networks and systems in substations
3265 • Mapping of IEC 61850 Common Data Classes on IEC 60870-5-104 (IEC 61850-80-1 TS)
3266 • IEC 60870-6, Telecontrol equipment and systems – Part 6: Telecontrol protocols compatible with
3267 ISO standards and ITU-T recommendations
3268 Related to internal enterprise LAN's:
3269 • IEC 61968/61970 suites (see cross sectional standards)
3270 A6.1.2 Local interface between AMI and Home Automation
3272 • EN 50090 series, Home and Building Electronic Systems (HBES, KNX)
3273 • EN 50523-1, Household appliances interworking – Functional specification
3274 • EN 14908 series, Open data communication in building automation, controls and building
3275 management implementation guideline – Control network protocol – Implementation
3276 • EN ISO 16484 series, Building Automation and Control Networks
3277 • ISO/IEC 14543-3 series, Information technology – Home electronic system (HES) architecture
3278 • ISO 16484-5, Building automation and control systems – Part 5: data communication protocol
3279 • EN 13321 series, Open data communication in building automation, controls and building
3280 management – Home and building electronic systems
3281 • EN 50428, Switches for household and similar fixed electrical installations
3282 • EN 50491 series, General requirements for Home and Building Electronic Systems (HBES)
3283 • ISO 16484-5/ ANSI-ASHRAE 135-2008, BACnet, A Data Communication Protocol for Building
3284 Automation and Control Networks
3285 • ISO/IEC 15045, Information technology – Home Electronic Systems (HES)
98
3286 • ISO/IEC 15067-3, Model of an energy management system for the Home Electronic System
3287 • ISO/IEC 18012, Guidelines for Product Interoperability
3288 A6.1.3 WAN interface to Substation Automation
3289 For 60870, CENELEC has adopted the following parts:
3290 • EN 60870-5-6:2009, Telecontrol equipment and systems – Part 5-6: Guidelines for conformance
3291 testing for the EN 60870-5 companion standards
3292 • EN 60870-5-104:2006, Telecontrol equipment and systems – Part 5-104: Transmission protocols
3293 – Network access for IEC 60870-5-101 using standard transport profiles
3294 • EN 60870-6-802:2002 + A1:2005, Telecontrol equipment and systems – Part 6-802: Telecontrol
3295 protocols compatible with ISO standards and ITU-T recommendations – TASE.2 Object models
3297 – Companion standard for basic telecontrol tasks
3299 – Companion standard for the informative interface of protection equipment
3300 • EN 60870-2-2:1996, Telecontrol equipment and systems – Part 2: Operating conditions –
3301 Section 2: Environmental conditions (climatic, mechanical and other non-electrical influences)
3302 • EN 60870-5-102:1996, Telecontrol equipment and systems – Part 5: Transmission protocols –
3303 Section 102: Companion standard for the transmission of integrated totals in electric power
3304 systems
3305 • EN 60870-2-1:1996, Telecontrol equipment and systems – Part 2: Operating conditions –
3306 Section 1: Power supply and electromagnetic compatibility
3308 Section 5: Basic application functions
3310 Section 1: Transmission frame formats
3312 Section 2: Link transmission procedures
3314 Section 3: General structure of application data
3315 A6.1.4 WAN interface to Distributed Energy Resources
3317 • IEC 61850-7-410 Ed. 1.0, Communication networks and systems for power utility automation –
3318 Part 7-410: Hydroelectric power plants – Communication for monitoring and control
3319 • IEC 61850-7-420, Communication networks and systems for power utility automation –
3320 Part 7-420: Basic communication structure – Distributed energy resources logical nodes
3321 • IEC 61400-25-1, Communications for monitoring and control of wind power plants –
3322 Part 25-1: Overall description of principles and models
3324 Part 25-2: Information models
3326 Part 25-3: Information exchange models
99
3328 Part 25-4: Mapping to communication profiles (Mapping to XML based communication profile)
3330 Part 25-5 Conformance testing
3332 Part 25-6 Communications for monitoring and control of wind power plants: Logical node classes
3333 and data classes for condition monitoring
3334 CENELEC has adopted the following parts so far:
3335 • EN 61850-7-410:2007, Communication networks and systems for power utility automation –
3336 Part 7-410: Hydroelectric power plants – Communication for monitoring and control
3337 • EN 61850-7-420:2007, Communication networks and systems for power utility automation –
3338 Part 7-420: Basic communication structure – Distributed energy resources logical nodes
3339 • EN 61400-25-X Logical Nodes for WPP, from CENELEC TC 88
3340 A6.1.5 WAN interface to AMI subsystem & Head-End
3342 • Metering protocols

3343 o EN 13757 series, Communication systems for meters and remote reading of meters (M-bus)
3344 o IEC 62056 series, Electricity metering – Data exchange for meter reading, tariff and load
3345 control, Parts 21, 31, 41, 42, 46, 47, 51, 52, 53, 61, 62
3346 o IEC 61334, Distribution automation using distribution line carrier systems – Part 4 Sections
3347 32, 511, 512, Part 5 Section 1
3348 Public Cellular Mobile Network (GSM/GPRS/EDGE/UMTS)
3349 Smart Card Platform for mobile communication systems of 2G, 3G and beyond:
3350 • ETSI TS 102 221, Smart Cards – UICC-Terminal interface – Physical and logical characteristics
3351 • ETSI TS 102 223, Smart Cards – Card Application Toolkit (CAT)
3352 • ETSI TS 102 671 (under development), Smartcards – Machine to Machine UICC – Physical and
3353 logical characteristics
3354 • ETSI TS 102 225, Smart Cards – Secured packet structure for UICC based applications
3355 • ETSI TS 102 484, Smart Cards – Secure channel between a UICC and an end-point terminal
3356 3GPP
3357 • TS 41.101, TS21.101, TS21.201, TS21.202
3358 ETSI TISPAN
3359 • ETSI TS 184 002 V1.1.1, Telecommunications and Internet converged Services and Protocols for
3360 Advanced Networking (TISPAN) – Identifiers (IDs) for NGN
3361 • ETSI TR 187 010 V2.1.1, Telecommunications and Internet converged Services and Protocols for
3362 Advanced Networking (TISPAN) – NGN SECurity (SEC) – Requirements
3363 • ETSI TS 185 005 V2.0.0, Services requirements and capabilities for customer networks connected
3364 to TISPAN NGN
100
3365 • Draft ETSI TS 185 003 V2.2.4, TISPAN Customer Network Gateway (CNG) Architecture and
3366 Reference Points
3367 • ETSI TS 185 006 V2.1.2, Customer Devices architecture and interfaces and Reference Points
3368 • ETSI TS 181 005 v3, Service and Capability Requirements
3369 • ETSI TS 122 228 v.8.6.0, Service requirements for the Internet Protocol (IP) multimedia core
3370 network subsystem (IMS) – Stage 1
3371 • ETSI TS 122 173 V8.7.0, IMS Multimedia Telephony Service and supplementary services;
3372 Stage 1
3373 • ETSI TR 187 002 V2.1.1, TISPAN NGN Security (NGN_SEC);Threat, Vulnerability and Risk
3374 Analysis
3375 • ETSI TS 187 001 V2.1.1, TISPAN NGN Security (NGN Sec): Security Requirements
3376 • ETSI TS 187 003 V2.1.1, TISPAN NGN Security (NGN Sec): Security Architecture
3377 Integrated Service Digital Network (ISDN)
3378 • EN 300 356-1 Version 4.2.1, Integrated Services Digital Network (ISDN) – Signalling System No.7
3379 (SS7) – ISDN User Part (ISUP) version 4 for the international interface – Part 1: Basic services
3380 • EN 300 403-1 Version 1.3.2, Integrated Services Digital Network (ISDN) – Digital Subscriber
3381 Signalling System No. one (DSS1) protocol – Signalling network layer for circuit-mode basic call
3382 control – Part 1: Protocol specification Services
3383 • ETSI EN 301 489-1, Electromagnetic compatibility and radio spectrum matters (ERM) –
3384 ElectroMagnetic Compatibility (EMC) standard for radio equipment and services –
3385 Part 1: Common technical requirements
3386 • ETSI EN 300220-2 (v2.3.1), Electromagnetic compatibility and Radio spectrum Matters (ERM) –
3387 Short Range Devices (SRD); Radio equipment to be used in the 25 MHz to 1 000 MHz frequency
3388 range with power levels ranging up to 500 mW – Part 2: Harmonized EN covering essential
3389 requirements under article 3.2 of the R&TTE Directive
3390 • ETSI EN 300440-2 (v1.4.1), Electromagnetic compatibility and Radio spectrum Matters (ERM) –
3391 Short range devices; Radio equipment to be used in the 1 GHz to 40 GHz frequency range –
3392 Part 2: Harmonized EN covering the essential requirements of article 3.2 of the R&TTE Directive
3393 • ETSI EN 300328 (v1.7.1): Electromagnetic compatibility and Radio spectrum Matters (ERM) –
3394 Wideband transmission systems – Data transmission equipment operating in the 2,4 GHz ISM
3395 band and using wide band modulation techniques – Harmonized EN covering essential
3396 requirements under article 3.2 of the R&TTE Directive
3397 • ETSI EN 302 065 (V1.2.1) (all parts): Electromagnetic compatibility and Radio spectrum Matters
3398 (ERM) – Short Range Devices (SRD) using Ultra Wide Band technology (UWB) for
3399 communications purposes – Harmonized EN covering essential requirements of Article 3.2 of the
3400 R&TTE Directive
3401 • ETSI EN 302 500 (V1.2.1) (all parts): Electromagnetic compatibility and Radio spectrum Matters
3402 (ERM) – Short Range Devices (SRD) using Ultra WideBand (UWB) technology – Location
3403 Tracking equipment operating in the frequency range from 6 GHz to 9 GHz
3404 Power Line Communications (PLC)
3405 • EN 50065-1:2001, Specification for signalling on low-voltage electrical installations in the

3406 frequency range 3 kHz to 148,5 kHz – Part 1: General requirements, frequency bands and
3407 electromagnetic disturbances
101
3408 A6.1.6 LAN/WAN interface to Generation Resources
3409 IEC 60870-5 is commonly used to access Generation operation controllers :
3410 • IEC 60870-5-101 and IEC 60870-5-104 for EMS/SCADA

3411 • IEC 60870-5-103 is used to access Generation operation protection devices for the electrical
3412 process part
3413 IEC 61850 extension is in progress in order to be used in the following cases :
3414 • IEC 61850-7-420 to access DER Generation devices and controllers

3415 • IEC 61850-7-410 to access Hydro Generation devices and controllers
3416 • IEC 61400-25 to access Wind Generation devices and controllers
3417 • 57/1079/DC to access large-scale power production units (eg Thermal devices and controllers)
3418 Since IEC 61850 covers various domains of the smart grid landscape, it is included in the section
3419 about cross sectional standards (5.1.4.2).
3420 CIM (IEC 61970, IEC 61968, IEC 62325) extension is in progress in order to be used in the following
3421 cases :
3422 • Communication between Generation applications (eg Fleet Scheduling / Unit Operation or
3423 Performance Monitoring / Maintenance)
3424 • Communication between Generation and Market applications (eg Fleet Scheduling / Energy
3425 Trading)
3426 • Communication between Generation and External IT applications (eg for production reports, fuel
3427 planning, pollutant emission caps and prices etc…)
3428 Since CIM (IEC 61970, IEC 61968, IEC 62325) covers various domains of the smart grid landscape, it
3429 is included in the section about cross sectional standards (5.1.4.2).
3430 OPC UA (IEC 62541) is considered as a possible candidate to support the above CIM profiles.
3431 A6.2 Cross sectional standards

3432 A6.2.1 IEC 61970
3433 The Common Information Model being standardized as the IEC 61970 family provides a proper EMS-
3434 API for energy management systems which can be used to provide seamless integration based on a
3435 common data model for EMS. It is being standardized by the IEC and has the following sub-parts
3436 which are of relevance for the smart grid. It contains a data model (domain ontology), system
3437 interfaces, generic payload descriptions and generic interfaces for mass data processing. Therefore, it
3438 should also be considered a cross sectional standard.
3439 Figure 10 – IEC TC 57 Seamless Integration reference Architecture – IEC TR 62357 provides an
3440 overview on the IEC TR 62357 Seamless Integration Architecture with a joint view on both IEC and
3441 CEN/CENLEC standards. The CIM family provides various inputs and interfaces for this layered
3442 communication architecture. For data communications, the CIM provides three main use cases:
3443 Custom Interface Design based on common semantics: For custom EAI solutions within a utility,
3444 the CIM ontology /information model can be used to define custom payloads for message-based
3445 system integration based on standardized semantics. With the included profiles and XML naming and
3446 design rules, a canonical process and methodology for designing the XML schemes and payloads
3447 exists.
102
3448 Data exchange of topological data: Apart from the XMl-based serialization for data exchange
3449 between EMS-related systems, topological information about the power grid can be serialized as RDF-
3450 triple graphs and be exchanged between GIS, SCADA and OTS systems. RDF being a graph based
3451 format, it is less fragile than XML based tree structures and reasoning capabilities to find
3452 inconsistencies in the modelling of the power grid can be applied.
3453 Predefined interfaces for secondary IT: The IEC 61968 family provides the so called Interface
3454 Reference Model IRM which is used for providing interfaces for typical systems used in the distribution
3455 management. Alongside XML schemes, payloads and processes are defined in order to provide a
3456 good blueprint on highly standardizing the interfaces between those systems. Figure A2 provides an
3457 overview about the scope of those interfaces already being standardized and being capable of
3458 functioning as Distribution Automation interface.
3459 The following lists contain an overview on the standards for the IEC 61970 family with a focus on
3460 SCADA and EMS operations.
3461 CENELEC adopted standards (depicted light grey in Figure 10 – IEC TC 57 Seamless Integration
3462 reference Architecture – IEC TR 62357 are non adopted parts):
3463 • EN 61970-1:2006 Ed. 1, Energy management system application program interface (EMS-API) –
3464 Part 1: Guidelines and general requirements
3465 • CENELEC /TS 61970-2, Energy management system application program interface (EMS-API) –
3466 Part 2: Glossary
3467 • EN 61970-301:2004, Energy management system application program interface (EMS-API) –
3468 Part 301: Common information model (CIM) base
3469 • EN 61970-402:2008 Ed. 1.0, Energy management system application program interface (EMS-
3470 API) – Part 402: Component interface specification (CIS) – Common services
3471 • EN 61970-403:2007, Energy management system application interface (EMS- API) – Part 403:
3472 Component Interface Specification (CIS) – Generic Data Access
3474 Part 404: High Speed Data Access (HSDA))
3476 Part 405: Generic eventing and subscription (GES)
3478 Part 407: Time series data access (TSDA)
3479 • EN 61970-453:2008, Energy management system application interface (EMS- API) –
3480 Part 453: CIM based graphics exchange
3481 • EN 61970-501:2006, Energy management system application interface (EMS- API) –
3482 Part 501: Common information model resource description framework (CIM RDF) Schema
3483 IEC SG3 recommended standards for operations in smart grids:
3484 • IEC 61970-1 Ed. 1, Energy management system application program interface (EMS-API) –
3485 Part 1: Guidelines and general requirements
3486 • IEC 61970-2 Ed. 1.0, Energy management system application program interface (EMS-API) –
3487 Part 2: Glossary
3488 • IEC 61970-301, Energy management system application program interface (EMS-API) –
3489 Part 301: Common information model (CIM) base
3491 Part 302: Common information model (CIM) financial, energy scheduling and reservations
103
3492 • IEC 61970-401 TS Ed.1, Energy management system application program interface (EMS-API) –
3493 Part 401: Component interface specification (CIS) framework
3495 Part 402: Component interface specification (CIS) – Common services
3496 • IEC 61970-403 Ed. 1.0, Energy management system application interface (EMS- API) – Part 403:
3497 Component Interface Specification (CIS) – Generic Data Access
3499 Part 404: High Speed Data Access (HSDA))
3500 • IEC 61970-405 Ed.1, Energy management system application program interface (EMS-API) –
3501 Part 405: Generic eventing and subscription (GES)
3503 Part 407: Time series data access (TSDA)
3504 • IEC 61970-453 Ed. 1.0, Energy management system application interface (EMS- API) –
3505 Part 453: CIM based graphics exchange
3506 • IEC 61970-501 Ed. 1, Energy management system application interface (EMS- API) –
3507 Part 501: Common information model resource description framework (CIM RDF) Schema
3508
3509 Figure A6.1 – Overview on the CIM family – both EN 61968 and 61970
3510 Most of those standards have also been recommended by the IEC SG3 roadmap, US NIST Smart
3511 Grid Interoperability Framework, the German DKE e-Energy /Smart Grid Standardization Roadmap
3512 and the SGCC Framework for Strong and Smart Grid Standardization amongst many others.
104
3513 A6.2.2 IEC 61968 – Data models and system for distribution management and automation
3514 (secondary IT)
3515 The following lists contain an overview on the standards for the IEC 61968 family.
3516 CENELEC adopted standards (depicted light grey in Figure A6.1 – Overview on the IEC 61968 IRM
3517 family, are non adopted parts):
3518 • EN 61968-1:2004, Application integration at electric utilities – System interfaces for distribution
3519 management – Part 1: Interface architecture and general requirements
3520 • EN 61968-:2004, Application integration at electric utilities – System interfaces for distribution
3521 management – Part 3: Interface for network operations
3522 • EN 61968-4:2007, Application integration at electric utilities – System interfaces for distribution
3523 management – Part 4: Interfaces for records and asset management
3524 • EN 61968-9:2009, System Interfaces For Distribution Management – Part 9: Interface Standard
3525 for Meter Reading and Control
3526 • FprEN 61968-11:2010, System Interfaces for Distribution Management – Part 11: Distribution
3527 Information Exchange Model
3528 • EN 61968-13:2008, System Interfaces for distribution management – CIM RDF Model Exchange
3529 Format for Distribution
3530 IEC SG3 and NIST recommended standards for DMS operation in smart grids:
3531 • IEC 61968-1, Application integration at electric utilities – System interfaces for distribution
3532 management – Part 1: Interface architecture and general requirements
3533 • IEC 61968-2 Ed. 1.0, Application integration at electric utilities – System interfaces for distribution
3534 management – Part 2: Glossary
3535 • IEC 61968-3 Ed. 1, Application integration at electric utilities – System interfaces for distribution
3536 management – Part 3: Interface for network operations
3537 • IEC 61968-4 Ed. 1, Application integration at electric utilities – System interfaces for distribution
3538 management – Part 4: Interfaces for records and asset management
3540 management – Part 6: Interface Standard for Maintenance and Construction
3542 management – Part 8: Interface Standard for Customer Support
3543 • IEC 61968-9 Ed. 1.0, System Interfaces For Distribution Management – Part 9: Interface Standard
3544 for Meter Reading and Control
3545 • IEC 61968-11 and -12 Advance Copies: System Interfaces for Distribution Management
3546 • IEC 61968-13 Ed. 1.0, System Interfaces for distribution management – CIM RDF Model
3547 Exchange Format for Distribution
3548 • IEC 61968-14, System Interfaces for distribution management – XML Naming and Design Rules
3549
105
3550
3551 Figure A6.2 – Overview on the IEC 61968 IRM family
3552 A6.2.3 IEC/EN 61850 – Substation Automation
3553 IEC/EN 61850 is much more than just a communication standard but deals also with configuration,
3554 engineering testing for interoperability and data modelling in substations Figure A3: Overview on the
3555 EN 61850 family alongside related standards provides an overview on how the different parts interact
3556 while Figure A6.4 shows how the modelling is done using the standards and deriving the
3557 computational representation from the physical device. The two most important parts are the data
3558 model having a different model paradigm than the CIM, providing a tree-like structure other than an
3559 object-oriented model. Furthermore, the ACSI (Abstract Communication System Interface) provides an
3560 abstract interface to the logical model which is implemented by different communication links.
3561 Therefore, technological advancement does not break the logical model but just introduces an new
3562 technical communication layer.
3563
106
3564
3565
3566 Figure A6.3 – Overview on the EN 61850 family alongside related standards
3567
107
3568
3569 Figure A6.4 – logical overview on IEC 61850 from edition 2 upcoming
3570 The IEC SG3 and the NIST Framework recommend the following parts :
3571 • IEC/TR 61850-1 Ed. 1.0, Communication networks and systems in substations – Part 1:
3572 Introduction and overview
3573 • IEC/TS 61850-2 Ed. 1.0, Communication networks and systems in substations – Part 2: Glossary
3574 • IEC 61850-3 Ed. 1.0, Communication networks and systems in substations – Part 3: General
3575 requirements
3576 • IEC 61850-4 Ed. 1.0, Communication networks and systems in substations – Part 4: System and
3577 project management
3578 • IEC 61850-5 Ed. 1.0, Communication networks and systems in substations – Part 5:
3579 Communication requirements for functions and device models
3580 • IEC 61850-6 Ed. 1.0, Communication networks and systems in substations – Part 6: Configuration
3581 description language for communication in electrical substations related to IEDs
3582 • IEC 61850-7-1 Ed. 1.0, Communication networks and systems in substations – Part 7-1: Basic
3583 communication structure for substation and feeder equipment – Principles and models
3585 communication structure for substation and feeder equipment – Abstract communication service
3586 interface (ACSI)
3588 communication structure for substation and feeder equipment – Common data classes
108
3590 communication structure for substation and feeder equipment – Compatible logical node classes
3591 and data classes
3592 • IEC 61850-8-1 Ed. 1.0, Communication networks and systems in substations – Part 8-1: Specific
3593 Communication Service Mapping (SCSM) – Mappings to MMS (ISO 9506-1 and ISO 9506-2) and
3594 to ISO/IEC 8802-3
3596 Communication Service Mapping (SCSM) – Sampled values over serial unidirectional multidrop
3597 point to point link
3599 Communication Service Mapping (SCSM) – Sampled values over ISO/IEC 8802-3
3600 • IEC 61850-10 Ed. 1.0, Communication networks and systems in substations – Part 10:
3601 Conformance testing
3602 • IEC 61850-80-1 TS Ed. 1.0, Communication networks and systems for power utility automation –
3603 Part 80-1: Guideline to exchange information from a CDC based data model using IEC 60870-5-
3604 101/104
3605 • IEC 61850-90-1 TR Ed. 1.0, Communication networks and systems for power utility automation –
3606 Part 90-1: Use of IEC 61850 for the communication between substations
3607 CENELEC has adopted the following parts (Also depicted in Figure 10 – IEC TC 57 Seamless
3608 Integration reference Architecture – IEC TR 62357)
3609 • EN 61850-3:2002, Communication networks and systems in substations – Part 3: General

3610 requirements
3611 • EN 61850-4:2002, Communication networks and systems in substations – Part 4: System and
3612 project management
3613 • EN 61850-5:2003, Communication networks and systems in substations – Part 5: Communication
3614 requirements for functions and device models
3615 • E 61850-6:2010, Communication networks and systems in substations – Part 6: Configuration
3616 description language for communication in electrical substations related to IEDs
3617 • FprEN 61850-7-1, Communication networks and systems in substations – Part 7-1: Basic
3618 communication structure for substation and feeder equipment – Principles and models
3619 • FprEN 61850-7-2:2010, Communication networks and systems in substations – Part 7-2: Basic
3620 communication structure for substation and feeder equipment – Abstract communication service
3621 interface (ACSI)
3622 • FprEN 61850-7-3:2010, Communication networks and systems in substations – Part 7-3: Basic
3623 communication structure for substation and feeder equipment – Common data classes
3624 • EN 61850-7-4:2010, Communication networks and systems in substations – Part 7-4: Basic
3625 communication structure for substation and feeder equipment – Compatible logical node classes
3626 and data classes
3627 • EN 61850-8-1:2004, Communication networks and systems in substations – Part 8-1: Specific
3628 Communication Service Mapping (SCSM) – Mappings to MMS (ISO 9506-1 and ISO 9506-2) and
3629 to ISO/IEC 8802-3
3631 Communication Service Mapping (SCSM) – Sampled values over serial unidirectional multidrop
3632 point to point link
3634 Communication Service Mapping (SCSM) – Sampled values over ISO/IEC 8802-3
109
3635 • EN 61850-10:2005 Communication networks and systems in substations – Part 10: Conformance
3636 testing
3637 Edition 2 of IEC 61850 should be fully available by beginning of 2011.
3638 Apart from the pure substation communication, models for DER (EN 61850-7-420) and WPP
3639 (CENELEC TC 88 EN 61400-25-X) exist.
3640 A6.2.4 Data transport technologies
3641 The ETSI M2M committee is working on Machine-to-Machine data communication standards
3642 (TS 102 690). These standards permit service creation and optimized application development and
3643 deployment. M2M Service Capabilities permit local/remote and flexible handling of application
3644 information. The M2M architecture intends to offer the best framework for smart grid applications.
3645
User interface to application

e.g. Web portal interface PC/dedicated
(usage monitoring, appliance
user preferences, …)
M2M Applications M2M

Management
Functions
M2M Core
Service Capabilities
M2M Specific
M2M Capabilities Management
(include enhancements to Core Network (CN) Functions
Network and Applications domain existing CN capabilities)
Based on existing standards 3GPP,
TISPAN, IETF, …
M2M Network
Capabilities Management
Functions
Transport M2M
Network Capabilities Access Network
M2M
Applications
M2M
Capabilities
M2M Device Domain M2M Gateway
Based on existing standards and
technologies, e.g.: DLMS, CEN, CENELEC,
PLT, Zigbee, M-BUS, KNX, etc. M2M Area
Network M2M
Applications
M2M
Capabilities
M2M
Devices M2M Device
3646
3647 Figure A6.5 – Machine to machine data communication
110
3648 Annex 7 – Smart grid information security –

3649 Explanations/details
3650 Please note the status of the information in this Annex 7: Direct input from the smart grid information
3651 security (SGIS) champion; not commented by the champion’s team.
3652 A7.1 Introduction

3653 Section 5.1.5 and this annex concentrate on “Information Security” as a fundamental requirement to
3654 ensure data protection/privacy and other relevant legal requirements in the smart grid information
3655 system, from an overall system aspect and how to ensure specific requirements for information
3656 security and data protection/privacy is implemented and updated in products, solutions and service
3657 requirements respectively in organisational standards. The structure of the information system in this
3658 open market scenario is based on decentralized and distributed system components and “networks”,
3659 which requires administrative measures like security policies and technical measures to enforce the
3660 policies.
3661 The knowledge of the information security threads/vulnerabilities in the ICT Sector (standardization
3662 done e.g. in JTC1 SC 27) also applies to the ICT in smart grids where dedicated ICT resources are
3663 used, but some important parts of the information system are embedded in smart grid system
3664 components (i.e. equipment, appliances, devices, sensors, control gears/actors, solutions and
3665 services). Nevertheless, the common vulnerabilities and threads and their protective measures need
3666 to be re-evaluated if they represent higher risks for the sector specific functions and operation model
3667 within the energy sector and its “sphere of action” domains (bulk generation, transmission net,
3668 distribution net, connecting objects and its internal substructures and final nodes). The weakest link in
3669 the chain defines the overall achieved level of protection. The analysis may conclude that common
3670 (ICT) vulnerabilities and threads may result in higher risk levels and therefore need higher protective
3671 measures and requirements for the same vulnerability or thread, in order to contain those risks
3672 appropriately.
3673 In those areas of the smart grid information system where critical infrastructure and the availability of
3674 energy supply may be impacted, this is known and taken care of. In other smart grid transformation
3675 and innovation areas – e.g. the provision of energy services – the risk level associated with threads
3676 and vulnerabilities most probably is the same as in normal ICT applications; therefore the common
3677 knowledge and common protective measures may apply. The re-assessment of known common ICT
3678 vulnerabilities and threads in the smart grid roadmap context is a very important task.
3679 Even though this task is strongly recommended, it is not covered in depth in this annex. This annex
3680 provides recommendations on how to derive and maintain a SGIS model and recommends steps that
3681 are required for the evolution of the smart grid while ensuring the essential requirements of SGIS and
3682 DPP.
3683 It is strongly recommended that this process is accompanied by a new guidance/reference group for
3684 smart grid information security and data protection/privacy.
3685 The smart grid information system has – in addition to normal ICT – sector specific essential
3686 requirements, risks, vulnerabilities and threads for information security, that DO NOT exist in
3687 “common” ICT information systems, that are unique to
3688 • the energy and utility sector (electricity, gas, heat or water), and
3689 • the specific “sphere of action” Domain.
3690 This is of great importance and needs an in depth analysis of all vulnerabilities and threads – the risks
3691 associated with the distinct area of energy supply (i.e. process- or embedded ICT) and energy
3692 business support ICT (servers and desktops) respectively ICT relevant to new energy and energy
3693 management services (dedicated and embedded ICT) in smart grids that are not available today.
111
3694 Therefore, this annex concentrates on the “Smart Grid Information Security” SGIS and takes into
3695 consideration all information technology and system components in all “sphere of action” domains and
3696 scenarios with specific vulnerabilities and threads and protective measure requirements.
3697 Since sustainable “state of the art” SGIS is a prerequisite to ensure data protection and privacy, DPP
3698 requirements are also referenced by section 5.1.5 as the same methodology may apply (i.e. the
3699 provision of standards for organisations participating with specific market roles in smart grids). The
3700 ensurance of the SGIS and DPP essential requirements/primary protection goals is depending on its
3701 sustained assurance by all actors participating in the smart grid operation in all “sphere of action”
3702 domains.
3703 Many data models handled in the smart grid operation need protection and definition of usage rights –
3704 due to relevant legal requirements.
3705 The protection requirements are depending on the associated risks. Therefore, all function and use
3706 cases need to describe the usage and boundaries of data model usage and prosumer rights to access
3707 SG-DPC 1 and 2 (personal data), as well as the contractual and legal justification to do so.
3708 It is strongly recommended that data models need to be classified (SG-DPC) and their protection
3709 requirements need to be identified. The protection needs are derived from the SGIS and DPP
3710 essential requirements and need to cover protective measures for different information security levels
3711 (SG-ISL).
3712 One other important factor needs to be mentioned up front – the goals for interoperability and inter-
3713 changeability of system components and service providers set out e.g. by the EU. Many ICT is
3714 embedded in system components. There are no concepts available for “plug and play” with automatic
3715 adjustments to the specific environment the system component is added to. Despite this – the
3716 challenge for the embedded system components is to operate in an interoperable, seamless way,
3717 even when interchanged with a system component from different vendors.
3718 The current situation however prevents this:

3719 • Prescriptive and inconsistent standards – lack of Smart Grid operational standards'
3720 • The approach of standardization is not proactively anticipating innovation dynamics and its impact
3721 • Inconsistencies between states and territories add significant costs for businesses operating
3722 across state boundaries
3723 • Lack of national and EU consistency will hinder the development EU market as well as the export
3724 markets
3725 The new legislative framework
3726 • Regulation 765/2008 – requirements for accreditation and market surveillance relating to the
3727 marketing of products
3728 • Decision 768/2008/EC – a common framework for the marketing of products
3729 • Regulation 764/2008 – procedures relating to the application of certain national technical rules to
3730 products lawfully marketed in another Member State
3731 is focused on new approach and prevention instead of relying on end product testing and on proactive
3732 outcome based approach, i.d. requiring smart grid participants to provide only compliant products to
3733 the market, with flexible, risk based market access regimes defined in modules A-H.
3734 It is not yet applied in the energy and utility sector, therefore there is no reference nor guidance
3735 available on how to derive a set of agreed upon, harmonized system level requirements for SGIS,
3736 DPP and its resulting five SG-ISLs. Since a set of agreed upon, harmonized system level
3737 requirements is needed for 5 SG-ISLs defining the technical and organisational requirements, to be
3738 implemented in a seamless way, the JWG recommendation is to establish a guidance and reference
112
3739 group to ensure SGIS and DPP primary protection goals are met as well as goals for interoperability
3740 and inter-changeability.
3741 The concepts recommended ensure sustained “state of the art” SGIS and DPP along the pathway
3742 and evolution of electricity grid, by transforming the current situation of “silos” of energy supply and
3743 energy services from the current level of intelligence into a holistic “Smart Electricity Grid that
3744 eventually will be integrated with Smart Gas Grids, Smart Water Grids and Smart Thermal Grids. Only
3745 the ultimate multi utility smart grid will allow to take energy management and efficiency to new levels.
3746 Even more innovative products and energy management devices will be provided in the market on the
3747 various “sphere of action” domains i.e. energy market places, the distribution nets as well as in
3748 properties, integrating single utility and multi utility equipment, appliances sensors, actors for improved
3749 energy management and energy efficiency in properties. The energy efficiency improvement option in
3750 a multi utility smart grid is huge.
3751 Why is this mentioned in a document addressing mainly Smarter Electricity Grid? Because standards
3752 are a critical foundation in supporting the sustainability of the goals to be achieved and the
3753 transformation into a “multi utility smart grid” (whenever this may happen) will represent additional
3754 challenges for sustaining “state of the art” SGIS and DPP. The standardization concepts provided by
3755 the ESOs need to anticipate this transformation into a “multi utility smart grid” and its increased
3756 number of “sphere of action” domains, while maintaining state of the art SGIS and DPP.
3757 The overarching goal is the integrated and interactive management of energy and energy efficiency as
3758 well as its orchestration to optimize the smart grid in total but also inside respective “sphere of action”
3759 domains for economic and ecological reasons.
3760 It is anticipated from bulk generation through transition nets and distribution nets into private
3761 properties, their internal substructures, to influence/control the functions of final nodes directly or
3762 indirectly (i.e. incentive based) to influence the final nodes to consume, produce or store energy in the
3763 course of their duty cycles. But other functions e.g. monitoring and maintenance in various function
3764 areas are of importance as well.
3765 The Smart Electricity Grid is a starting point, an EU taskforce on the next Smart Gas Grid silo will be
3766 established soon. The final destination may be the smart multi utility grid with interaction for energy
3767 and energy efficiency management between the utilities in the various “sphere of action” domains of
3768 each utility. Smart meters as defined in mandate M/441 are defined to cover multi utilities as of today.
3769 Therefore the SGIS and DPP concepts need to cover this multi utility requirement in a sustainable way
3770 as well.
113
3771
3772 Figure A7.1 – Pathway forward and final destination – the Smart Multi Utility Grid
3773 In summary, smart grid functions, use cases – data models used – will experience strong innovation
3774 dynamics. SGIS and DPP need to be ensured along the pathway and evolution of smart grid in future
3775 until its final architecture is stable. Standards need to provide the trust, that relevant legal compliance
3776 and essential requirements are ensured in a sustainable way.
3777 To keep SGIS and DPP sustainably at “state of the art” it needs to be assumed that new functions,
3778 use cases and data models used in the use cases will get defined, along the evolution of smart grid.
3779 Therefore it needs to be evaluated, how those new functions and use cases (and data models used)
3780 will be implemented and updated while securing SGIS and DPP.
3781 Due to utility specific regulations and standards and its various “sphere of action” domains – ranging
3782 from “bulk generation” to “connection objects”, i.e. buildings (but also into its internal cell structures
3783 and appliances used internally) – no single sector or entity has overall responsibility, the ownership for
3784 the smart grid information system components is and will most probably stay very diverse.
3785 SGIS and DPP are to be managed in complex matrix of responsibilities and ownerships.
3786 The best way to approach this complex environment is a modular and modelling approach, where the
3787 modules need to fit a holistic approach and may be adjusted individually over time – the matrix shall
3788 stay in sync during all times as the weakest chain link defines the overall information security.
3789 As already stated above – in order to contain the risks in the smart grid information system and ensure
3790 information security, the smart grid specific threads, risks and protective measures and requirements
3791 need to be evaluated in a holistic/overall “smart grid system level” view but eventually needs
3792 implementation in all standards for all actors participating in the smart grid
3793 • organisations/legal entities, their employees and each individual in its individual role or group role,
3794 • all system components (products, solutions) and services.
3795 In order to ensure “state of the art” in a sustainable way, it is vital that continued updates to the model
3796 for SGIS and DPP are done and the changes to SG-ISL and SG-DPC are also updated and
3797 synchronized and roll out to
3798 • new products or services provide products, solutions or services to the smart grid market,
3799 • the install base of the relevant system components in the field.
114
3800 The latter needs to be decided on a case by case basis standards the use case (on how to get to a
3801 decision) is part of the governance model. Updates may need synchronicity throughout all “sphere of
3802 action” domains and utilities for all actors i.e. smart grid system components.
3803 SGIS provides a critical foundation for Smart Grid

3804 Smart grid defines a holistic intelligent bi-directional delivery system for energy and energy services
3805 and its information system. SGIS is a key enabler to the successful transformation toward smart grid.
3806 Client Value and Acceptance depend on SGIS.
3807 A7.2.1 Client Value
3808 Even though the availability of both is of high importance to client value, the unavailability of energy
3809 supply has a higher impact on the client than the unavailability of the smart grid energy services.
3810 To contain and protect for the differences in risk levels, different SG-ISL need to apply.
3811 Client values strongly depend on a sustained “state of the art” SGIS, but also on a strong client
3812 acceptance of the offerings. Regulatory requirements may overrule missing client acceptance but
3813 strong client acceptance for strong client value propositions are preferred to make a sustained
3814 successful journey of the smart grid and its evolution and its penetration in the EU.
3815 A7.2.2 Client Acceptance
3816 As mentioned above – client acceptance is critical to the perception of the values offered.
3817 Client acceptance is directly impacted by strong data protection and privacy and compliance to other
3818 relevant legal requirements. Client acceptance furthermore depends on the interoperability and inter-
3819 changeability of system components and services (Client values) offered in the smart grid business
3820 sector. All 3 elements in turn depend on a sustainably “state of the art” SGIS.
3821 Therefore, the development and implementation of a sustainable “state of the art” Information Security
3822 model is a fundamental requirement for smart grid to be addressed with top priority.
3823
3824 Figure A7.2 – Information security in the context of smart grids
3825 As the current focus is transforming the Current Electricity Network the discussion on information
3826 security concentrates in the following paragraphs on the electricity portion of smart grids.
115
3827 So additional primary goals exist in respect to information security in addition to common goals.
3828 As discussed before, protection measures for threads and vulnerabilities are “moving targets” (the
3829 common ICT knowledge is – new vulnerabilities and treads are developing daily). SGIS supports
3830 compliance to all relevant legal requirements such as data protection laws, metrological requirements
3831 and duly e-business operation among others.
3832 The essential requirements/primary protection goals for SGIS and DPP are considered stable – the
3833 information system and its security must comply and meet those at all times.
3834 Essential requirements for SGIS and DPP

3835 The essential requirements for the smart grid information security consists of
3836 a) essential requirements common between smart grid and ICT sector,
3837 b) sector specific essential requirements, i.e.
3838 o electricity supply, energy services – smart electricity grid (current focus),
3839 o thermal energy supply – smart thermal grid (for heating & cooling),
3840 o gas & fuel supply,
3841 o water supply.
3842 Smart Grid essential requirements “common” (with ICT and common to all energy
3843 sectors/utilities)
3844 The primary protection common to all utilities (electricity, thermal, gas fuel and water) as well as ICT
3845 need to be assured must not be compromised but be achieved continuously by smart grid:
3846 • Confidentiality and privacy
3847 • Integrity
3848 • Authenticity of Data and Access
3849 • Legitimacy
3850 • Validity
3851 • Legal certainty & Tamper proofness in data processing ,transition, storage and disposal
3852 • Guarantees for non-repudiation /fraud
3853 • Audit proofness
3854 • Availability of normal ICT Services but also Availability of data
3855 • Time synchronicity (required only in specific Processes)
3856 • Data security & protection (i.e. Usage boundaries for certain data protection classes)
3857 Those are derived and support relevant legal requirements i.e. DPP, MID (measurement instrument
3858 directive) as well as for regulation and normative requirements for duly business operation.
3859 Smart Grid specific essential requirements “sector specific” for smart electricity grid
3860 Sector specific primary protection goals are in addition to common primary protection goals. The
3861 following is a set of essential requirements from the electricity grid:
3862 • Time synchronicity (required only in specific processes)
3863 • Robustness and resilience in situations of crisis
3864 Common analysis methods address availability in times of normal operation.
116
3865 For the smart energy grid additional robustness is required for times of crisis.
3866 Analysis of robustness and resilience in situations of crisis needs to be analyzed thoroughly, when
3867 compromised information security may endanger energy supply.
3868 • Support of Emergency Situations
3869 Where information security in smart grids prevent emergency personal access to physical
3870 locations, systems and applications required for them in their rescue activities, definitions and
3871 implementations (i.e. broken glass) need to be implemented to overcome the limiting factors of
3872 information security.
3873 • Resiliency in/after blackout situations
3874 Robustness of the smart grid in respect to blackout situations need to be analyzed
3875 Smart grids need to be able to start after blackout, “energy flow” needs to start even without
3876 energy
3877 • Resiliency to interdependence
3878 In the highly diverse and distributed resiliency and robustness in respect to interdependence must
3879 be analyzed.
3880 • Graceful degradation
3881 Functional information system requirements need to be identified for graceful degradation or for
3882 interruptions in situations of crisis.
3883 • Availability of energy supply and data for those
3884 Strong separation on processes that have a direct impact to the availability of energy supply and
3885 those process ICT that is indispensible (see Table A7.1).
3886 • Availability of energy management services & data for those
3887 Strong separation on processes that have a direct impact to the availability of energy services
3888 (ICT that may be temporarily unavailable)
3889 Table A7.1 – Indispensible and temporary expendable ICT Components
3890
3891 • Interoperation with legacy equipment, especially for information security
3892 Specific supply and energy services may need to be considered for within other silos of utilities
3893 specific services for interaction between the silos of utilities to be considered in the evolution of smart
3894 Grids. Other primary protection goals may exist and need to be analyzed and integrated into the smart
3895 grid information security model upon integration of specific utilities (i.e. for gas and thermal
3896 energy,possibly also water).
3897 SGIS – securing the very diverse information system of smart grids
3898 A7.4.1 Smart Grid information system
3899 The smart grid information security needs to cover any combination of information and communication
3900 technology as well as people's activities using that technology to support operations, management,
3901 and decision making. The term “information system” in this document is used to refer to all interactions
3902 between system components (hardware, software, services and data) either automated (requires a
3903 higher SG ISL) or electronically assisted manually triggered information processes by products,
3904 solutions or services and the respective environment the system components reside in – to be
3905 securely operated by organizations / legal entities providing and govern secure operation of their
3906 employees and their credentials (user ID, individual roles, or group roles assigned to this individual
117
3907 IDs). This includes physical access to locations and system components and logical access to
3908 applications as well remote access to parts of the smart grid system.
3909 A sustainable, state of the art “information security model” for smart grids needs to be architected in
3910 such ways to allow for this integration and interaction in a secure and data protecting manner,
3911 achieving the same essential requirements in all sectors and “sphere of action” domains. Figure A7.3
3912 is meant to illustrate and underline the different facets to be considered only, i.e. it shows different
3913 types of requirements, technical (like secure discovery) and organizational (like management of
3914 SGIS). A more structured approach is described in this annex.
3915
3916 Figure A7.3 – Information Security in a multi utility smart grid
3917 The following is detailing the recommendations to the EU:

3918 Define European information security requirements on “system-level”
3919 Guidance on information security and data protection / privacy governance
3920 A7.4.2 Phase 1 – Modelling SGIS and DPP
3921 The task on hand is highly complex – the definition of a sustainable model of SGIS and DPP as well
3922 as its implementation continued update is vital and top priority – it needs modifications over time.
3923 The System level requirements for SGIS and DPP are essential to a harmonised way to ensure
3924 Information security and data protection/privacy in all member states of the EU, since a large number
3925 of System components have embedded ICT contributing and participating in the smart grid information
3926 system, the harmonised system level requirements for SGIS and DPP are critical for a harmonized
3927 smart grid operation and to ensure interoperability and inter-changeability of those actors i.e. system
3928 components.
3929 Without those – the current situation will sustain – many different national definitions and approaches
3930 to SGIS and DPP, leading to proprietary and national unique situations, hindering the free movement
3931 of goods (smart grid system Components) and energy service-providers in all sphere of action
3932 domains including the connection points of objects (buildings, charging stations) and their
3933 substructures and the final nodes (smart grid ready devices).
118
3934 As discussed earlier, the NLF is not applied in the Energy and Utility sector – but the need to introduce
3935 a framework the system level requirements for SGIS and SGDPP is vital and top priority as it is a
3936 critical success factor for the acceptance and penetration of smart grid and the anticipated climate
3937 protection programs with associated challenges in energy provision and energy services provisions.
3938 The need for updates along the journey was also discussed before. Therefore it is vital to lay down
3939 principles for the SGIS operation and governance in a sustainable way ensuring “state of the art” SGIS
3940 and DPP is existing at all times.
3941 This can be achieved only by a very structured approach using modelling techniques for complex
3942 interdependent systems as discussed in section 5.1.5 already – it needs mentioning here though,
3943 because those tools need to support information security and experts in data protection and privacy
3944 engaged in alss phases along the evolution of smart grid, So the need for continued guidance and
3945 reference group is vital along the pathway of the smart grid evolution.
3946 Figure A7.4 provides a proposal for such a systematic approach with phase 1 elements highlighted.
Architecting the Smart Grid Information Security

Generic Model
Requirements Risk Assessment 1 Identify 2 Information security3
bring to market & architekting protective Measure Implementation
Operate, maintain,,repair
dispose
the Security System & requirements Operation &roadmap
dully
Business Operation Essential Requirements System Monitoring Fraud&Incident
Primary Protection Goals System Governance Response
Standards defining
state-of-the-art technology
use cases specific to Security Levels Common Credential &
Legisative Framework Information Security & Privacy SCL1-5 State of the Art Mgmt
Operation Information Security

Architecture & model Implementing
Model Sector specific
Requirements
Specific
Sector Specific Sector Specific System Level

Sector
Information Vulnerabilities Impact&Risk „Sphere of Action“

System 1) Threads Assessment requirements Domain & Sector
Organistaions specific
Context
Sector
Common Sector Specific legal entities

Data Protection Classes Impact&Risk
Products & Services
Vulnerabilities
& assigned Secrurity Level Threads Assessment
Products & Servies
Sector
Applicability Implementing
Common specific
ICT Sector
Operation Common Common Requirements

Common
Model Vulnerabilities Impact&Risk System Level „Sphere of Action“

Threads Assessment requirements Domain & Sector
Information Information Security Organistaions specific
System 1) Architecture & model Products & Services legal entities
Products & Servies
1) ICT Solutions, Dedicated ICT, Embedded ICT
Domains,System Roles, Responsibilities, Actors HW/SW/Person,
3947 Fuctions & use cases, Incl. Access rights for Actors (Person,HW,SW)), Groups,Roles,Services, Datamodels & DPC
3948 Figure A7.4 – SGIS,DPP Concept – Phase 1
3949
3950 For this phase the following tasks are assigned
3951 1A) all relevant legal requirements

3952 the identification and analysis of all relevant legal aspects and requirements
3953 this is currently scope of the EU TF EG2 and scheduled for 1H 2011.
3954 1B) Smart Grid essential requirements
3955 identification of all smart grid essential requirements for SGIS and DPP
3956 • common with ICT and Essential
3957 • sector specific (Smart electricity Grid) Essential requirements for the 2 client values
3958 − Energy supply
3959 − Energy Management Services
119
3960 1C) SGID and DPP specific use cases

3961 Identification of Use Cases specific to SGIS and DPP , its setup, operation and maintenance
3962 1D) Vulnerabilities and threads
3963 • identification of all vulnerabilities and threads
3964 − known in the ICT industry sector
3965 risk analysis of those vulnerabilities in for smart grid
3966 − specific to smart grid and the utility sector
3967 risk analysis of those vulnerabilities in for smart grid
3968 − Both risk analysis tasks need to separate out the risks for the 2 client values
3969 Actors supporting Energy supply | Actors supporting Energy Management Services
3970
3971 • Analysis of risk associated with the interdependency between
3972 Energy Management Services and Energy Supply
3973 1E) Smart Grid operational Model
3974 Identification and analysis of the smart grid operational model
3975 As shown in Figure A7.4 – the model of a stable smart grid operations would be an input
3976 requirement. This is not finally available today and will evolve over the next years
3977 Eventually the central repository for use cases data-models used will be the only reference
3978 point to be used to describe the smart grid operations as a base for evaluating the risks
3979 As a starting point, the following reports / scenarios will be used
3980 • results of EU TF EG1, EG2 and EG3
3981 • results of the Smart Meter Coordination Group
3982 • some smart grid Use Case scenarios discussed in this document,
3983 Additional smart grid Use Case scenarios available in the various countries,
3984 • assumptions for a final pathway towards an integrated “multi utility smart grid”.
3985 An important part of the information system of smart grid, is the knowledge about the data
3986 models.
3987 Data generated, processed, transmitted, stored or disposed the use cases in specific UML
3988 models.
3989 The knowledge about the data and their assigned data-protection-class (SG-DPC) is of utmost
3990 importance for identification of the required SG-ISL.
3991 Since the smart grid use-cases and data models as well as their SG-DPC it is not available
3992 today, it is recommended to start with the data protection classes identified and recommended
3993 below .
3994 1F) SGIS and DPP Modelling input
3995 Input findings above into the model of SGIS and DPP
3996 Summarize the risks identified – as input for phase 2
120
3997 A7.4.3 Phase 2 – Identification of SG-ISL and SGIS – DPP monitoring and governance
3998 2A) protective measures &requirements at smart grid “System level”

3999 Based on the input from phase 1 – details about the applicable essential requirements and the
4000 risk identified for the 2 distinct smart grid value areas namely the energy supply and energy
4001 services need to be available.
4002 This knowledge initially comes from reports of EG1,2,3 and from further assumptions about
4003 functions and use cases as well as the initial set of SG-DPC provided in this report about the
4004 data handled in the course of use case execution. The ultimate source for data and its usage
4005 will come from the central repository on use cases for Smart grid discussed in this report. It
4006 needs to become the central reference point for smart grid functions but also for functions and
4007 use cases that are not addressing smart grid operation but horizontal issues- i.e. specific use
4008 cases to model, operate update, synchronize, monitor and govern an SGIS and DPP.
4009 This step is for the development of the agreed set of harmonized system level requirements
4010 for the 5 security levels (SG-ISL) in 2 areas
4011 • All technical requirements to be applied in standards for all system components
4012 (products, solutions or services) brought into market and interacting in smart grid as
4013 actors in the information systems in an interoperable and interchangeable way
4014 • All organisational requirements applicable for all legal entitires participating in the smart
4015 grid ecosystem (also legal authorities i.e. market surveillance, police…) and for all actors
4016 in those organisations in respect to their specific role or group (interchange ability of
4017 service providers).
4018 2B) System monitoring, system governance
4019 In this phase the identification of an appropriate monitoring and governance system is
4020 required, ensuring Fraud, and security incidents are captured and recognized. The use cases
4021 and data models (and their assigned data protection classes) used to monitor analyse and
4022 report into a governance hierarchy, are to be defined and captured in the central repository for
4023 use cases respectively data models. Figure A7.5 below provides a proposal for such a
4024 systematic approach with phase 2 elements highlighted.

Generic Model
dispose
dully
Standards defining

Requirements
Specific

Sector

Context
Sector

Data Protection Classes Impact&Risk
Products & Services
Vulnerabilities
Products & Servies
Sector
Common specific
ICT Sector

Common

Products & Servies
4026 Figure A7.5 – SGIS, DPP concept – Phase 2
121
4027 The above may be defined as input by the guidance or reference group, but needs to be part of the
4028 SGIS model in any case.
4029 A7.4.4 Phase 3 – SGIS & DPP requirements in standards
4030 3A) Implementing the set of harmonized system level requirements
4031 Based on the input from phase 2 – detailed knowledge about the smart grid system level
4032 technical requirements and organizational for each of the 5 SG-ISLs is available
4033 This needs to be transformed / incorporated and included into standards for all actors
4034 participating in smart grid.
4035 • All technical requirements to be applied in standards for all system components
4036 (products, solutions or services) brought into market and interacting in smart grid as
4037 actors in the information systems in an interoperable and interchangeable way
4038 • All organisational requirements applicable for all organisations participating in the smart
4039 grid ecosystem (also legal authorities i.e. market surveillance, police…) and for all actors
4040 in those organisations in respect to their specific role or group (interchange ability of
4041 service providers )
4042 3B) Fraud and incident response
4043 The input from the monitoring and governance model needs to be transformed into standards
4044 defining actions as a response to SGIS incidents (ID or encryption keys are compromised,
4045 denial of service is recognized or fraud is identified) and the required short term response (i.e.
4046 stop communication until new ID or new encryption key is actually at the respetive location –
4047 that maybe is the prosumers energy management gateway) as well as the medium and long
4048 term response (i.e. modification of SG-ISL). The use cases and functions to identify and
4049 manage the responses are considered SGIS, DPP specific use cases and need to be
4050 captured in the central use case database including the Datamodels and assigned SG-DPC
4051 and provided by the SGIS and DPP experts.
4052 3C) Common Customer Credential and state of the art management
4053 Customer credentials will need to be managed. This may be done within the utilities and its
4054 “sphere of action domains) or centrally for the total smart grid – in any case change standards
4055 are required to describe the way it is managed, i.e. when contracts are new, changed or
4056 closed, if contracts for energy supply or energy services cover multi utility , mutli domains and
4057 multi services.
4058 In addition there will be incidents and fraud – that require changes in customer credentials (i.e.
4059 new IDs or Keys activated at the customer site).Therefore a central management of those
4060 customer credentials may be advised – as the ID and Key for customers require SG-ISL Level
4061 High.
4062 Based on the severity of SGIS Incidents or fraud it become required to change / update or
4063 modify the SG-ISL levels, the SG-DPCs. The “state of the art” management needs also to be
4064 addressed in here and in standards.
4065 Figure A7.6 provides a proposal for such a systematic approach with phase 3 elements highlighted.
122

Generic Model
dispose
dully
Standards defining

Requirements
Specific

Sector

Context
Sector
Data Protection Classes
Impact&Risk
Products & Services
Vulnerabilities
Products & Servies
Sector
Common specific
ICT Sector

Common

Products & Servies
4067 Figure A7.6 – SGIS, DPP concept – Phase 2
4068 A7.4.5 Phase 4 – Operation of SGIS, DPP and the governance system
4069 3A) system components will be brought into market complying to the sytem level SGIS
4070 requirements
4071 Harmonized standards for the operation of SGIS, DPP and the monitoring and governance
4072 related use cases seam to be required as it needs to accompany the evolution of the smart
4073 grid and its functions/use cases. Those standards depends greatly on the real implementation
4074 of above mentioned recommendations – i.e. if the monitoring and governance system, the
4075 management of customer credentials (ID, encryption keys) is handled centrally or is
4076 distributed.
4077 Furthermore, its real operation requirement is not defined today defined today.
4078 The ensurance to integrate updates on SGIS, DPP,SG-ISL and SG_DPC into standards for
4079 products, solutions and services and operation of organizations and people in their specific
4080 roles is and the synchronicity in the field is part of the operational model for SGIS. If organized
4081 in distributed form – the analysis and interaction with the governance and incident / fraud
4082 response centres is also a concern of standards on the intersections of those distributed parts
4083 of smart grid SGIS.
4084 Over time and operation it may become obvious that the 5 SG-ISL do not protect the smart
4085 grid operation therefore the process needs to start with pPhase 1 over again – in addition it
4086 needs to be decided on whether and how the field install base needs and will be updated –
4087 synchronized through the various “sphere of action” domains.
4088 With the above 3 Phases the need for the following recommendations should be described
4090 standards

4093 This includes updates in all elements of the SGIS and DPP model
4094 ISec-4 ESO Provide IT Tools to support SGIS and DPP modelling and repositories for SG-
4095 ISL/SG-DPC
123
4096 In addition to the need for tools for modelling the SGIS DPP – the need for SG-ISL and SG-DPC
4097 repositories in vital – it must be interlinked with the central repository of smart grid functions, use
4098 cases and data models and their assigned SG-DPC.
4099
4100 Figure A7.7 – Proposal for a systematic approach for a sustainable smart grid information
4101 Security
4102 A7.4.6 Smart Grid information security levels (SG-ISL)
4103 It is recommended to define the agreed set of harmonize system level requirements and protective
4104 measures for the assurance of essential requirement for SGIS and DPP in different areas and
4105 responsibilites in smart grid. Each of the levels need to specify technical respectively organizational
4106 protective measures.
4107 It is recommended to capture those in the SGIS Model in one central repository.
4108 The levels need adjustment over time, since it is to be expected that with increasing penetration of
4109 smart grids and Smart Meters the “economy of crime” will motivate information security attacks.
4110
4111 Figure A7.8a – Potential penetration of smart grid including smart grid enabled devices
124
4112 To ensure sustainable and “state of the art” information security and provide measures that contain the
4113 risks at all times, the protective measures and requirements need to be re-evaluated annually based
4114 on an updated risk evaluation, including experience with use cases, data misuse, fraud and security
4115 incidents, but also based on changes in regulatory requirements (see above comments on SGIS and
4116 DPP).
4117
4118 Figure A7.8b – Evolution sustainable state of the art SGIP, DPP and its protective measures
4119 The anticipation of increases in risks over time needs governance and furthermore the updates need
4120 to be synchronized with the standards for organization providing standards for system components
4121 (products, solutions or services) of for legal entities and people of organizations participating in the
4122 smart grid in specific roles.
4123
4124 Figure A7.8c – The governance and re-evaluation cycle
4125
4126 Figure A7.8d shows the expected development of the various SG-ISL over time, while slope of
4127 requirements exchange greatly depends on the results of the concepts described above.
125
4128
4129 Figure A7.8d – SG-ISL expected evolution
4130 The following discussion is not comprehensive but to highlight some of the risks to be addressed
4131 The required SG-ISL should be based on risk assessments.
4132 Considering risks associated with “availability” and “quality” Energy supply. Whether it is at risk for
4133 single a connecting Object(or appliances inside the object), for the specific distribution net cells, or
4134 the Energy Supply of the overall Distribution net require a higher Information security level than those
4135 risks, associated solely with the availability of Energy Services. i.e. when the risk involves the inability
4136 to participate in smart grid incentive systems- may have the implication that “offerings” for better tariffs
4137 or CO2 free renewable Energy may not be available to the Prosumers – but Energy supply is still in
4138 function and available, this may require medium Information Security levels “only”.
4139 All relevant legal and normative requirements (i.e. Laws on privacy/Data-protection on laws on
4140 metrology – i.e. the measurement instrument directive or e-business) that create the need for technical
4141 requirements such as
4142 • End 2 End integrity , i.e. when signature are used it need to be contained in its original version
4143 ("unbroken") – special effort is required to implement this requirement for
4144 o metrological data i.e. relevant to billing processes,
4145 o offerings i.e. dynamic tariffs or incentives for consuming available energy or Energy Types
4146 o data that initiates control and switching
4147 • Data mad anonymous / data that where pseudonyms have replaced personal data of meter data
4148 used in various “sphere of action” domain “Energy Distribution” for net-stability monitoring and
4149 creation of dynamic distribution net usage fees£
4150 EU Taskforce Expert Group 2 reached consensus for a definition of technical (anonymous) data
4151 and private data – this should be used in definition of Data protection Classes
4152 • Bidirectional Authentication (required for remote access situations, and across Utility operations)
4153 • Sometimes legal requirements may have conflicting goals that create higher vulnerabilities and in
4154 higher risks in domains / system components – i.e. Data protection and MiD
4155 • Research effort should be addressed to provide the user option to switch OFF the display of the
4156 metrology Meters for data protection reasons, as it provides additional information and a
4157 vulnerability to backward calculation of encryption keys.
4158 In the long term the MID should be revised to allow meter may not be required to provide a display
126
4159 in unattended operations, provided there is a MID compliant portal/billing information for
4160 prosumers to get the billing relevant information.
4161 Existing Standards / input and activities have been reviewed

4162 ISO / IEC JTC1 – SC27 Standards
4163 Current Energy Information System Security requirements i.e. IEC 62351
4164 Both provide Organisational requirements.
4165 The “BDEW” White Paper on Procurement requirements for Distribution Net Equipment
4166 Results of EU Taskforce on smart grid – Expert Group 2
4167 German Roadmap for Standardisation of E-Energy – smart grid made in Germany
4168 German Research demonstration Projects for E-Energy
4169 some of the projects have very detailed studies of smart grid specific scenarios, vulnerabilities
4170 and threads as well do those include recommendations for sustainable “smart grid
4171 Information security”
4172 MoMa Comprehensive Study on smart grid Information Security
4173 EDEMA Common Criteria Testing Profile for Meter Gateways
4174 Research demonstration projects for integration of Electric Vehicles to the Electricity Grid
4175 A very detailed and comprehensive set of documents from US provide guidance to “Information
4176 Security” for the “smart grid Information System” has been published.
4177 nistir-7628_vol1 – Strategy, Architecture and High-level Requirements
4178 nistir-7628_vol2 – Privacy and smart grid
4179 nistir-7628_vol3 – Supportive Details on Analysis Results and References
4180 For the integration of detailed protective measures and requirements for the agreed set of harmonized
4181 SG-ISL s (technical and organizations) into i.e. system components or standards addressing
4182 organizations, the following pages include some initial proposals of areas to be considered for the
4183 agreed set of harmonized system level requirements that needs eventually needs to be included in
4184 standards for smart grid system components and organizations.
SG-ISL Technical Organizational Comments, Examples

The agreed set of harmonized System The agreed set of harmonized System
level requirements for protective level requirements for protective
measures must contain technical measures must contain requirements
requirements for the following areas for organisations for the following
areas
1 Low SG-ISL 1 requirements in the SG-ISL 1 requirements in the
following areas following areas
Same as areas as level 2 but different Same as areas as level 2 but different
technical requirements at low level requirements at low level
2 Medium SG-ISL 2 requirements in the SG-ISL 2 requirements in the i.e. Personal data made
following areas following areas anonymous, but still need to
Same as areas as level 3 but different Same as areas as level 3but different be signed with a qualified
technical requirements at medium requirements at medium level signature (for its use by the
level distribution operator)
3 High SG-ISL 3 requirements in the SG-ISL 3 requirements in the This is the appropriate SG-
following areas following areas ISL for
AC-T Access control AC-O Access control of all actors to
AS-T Application Security physical locations, system SG-DPC 1 (for personal
IA-T Identification and components, Applications and data, i.e. meter readings not
Authentication Services protection classes made anonymous) to
AA-T Authorization and Accounting dedicated per ensure protection of privacy.
CK-T Cryptography and Key Users/roles/groups(access
127

Management depth, authentication) access to But also for
IM -T Identifications Management system I/O data and access to energy management of
PE-T Physical and Environmental data storage devices control functions
Security(sys comp) AS-O Service Security i.e. Access directly (contract based)
PS-T Personal Security rights of Applications developed
LO-T Logging requirements and deployed (privacy by or (SG-DPC6) i.e. for
AU-T Logging & reporting for Audit design and default) incentive data based on
and Accountability IA-O Identification and existing contracts, for
CA-T Information Security Authentication, i.e. mutual sensible and contract
Assessment and Risk authentication – for pysical unique business data or
Management & authorization access and development offerings for economical or
systems ecological incentives not yet
CM-T Configuration and
Parameterization Mgmt AA Authorization and Accounting covered by existing
CP-T Continuity of Operation, CK-O Cryptography and Key contracts,(normal e-
Business Continuity & Disaster Management requirement business) where End2End
Recovery Planning & physical access management signatures are required.
Preparedness IM-O Identifications Management
ID-T Data and Document Live Cycle PE-O Physical and Environmental
Management Security
MP-T Media Protection PS-O Personal Security
IR-T Incident Response AT-O Awareness & Training
MA-T smart grid Information System LO-O Logging requirements(physical
Development and Maintenance access)
SA-T Security Architecture(privacy by AU-O Logging & reporting for Audit &
design&default), Design of Accountability
Products & Services CA-O Information Security
TN-T Communication Stack, Assessment and Risk
Firewalls Telecommunications Management &authorization
and Network Security CM-O Configuration and
AS-T Application Security by design Parameterization Mgmt
GO-T Governance Model for Legal, CP-O Continuity of Operation,
Regulations, Compliance and Business Continuity & Disaster
Investigations Recovery Planning&
Prepardeness
ID-O Data and Document Live Cycle
Management
MP-O Media Protection
IR-O Incident Response
MA-O smart grid Information System
Development and Maintenance
PL-O Planning SG-IS Model and
implementation
SA-O Security Architecture & Design
of Products & Services
TN-O Communication Stack,
Firewalls Telecommunications
and Network Security
AS-O Application Security by design
GO-O Governance Model for Legal,
Regulations Compliance and
Investigations
128

4 Very High SG-ISL 4 requirements in the following SG-ISL 4 requirements in the following This is the level for critical
areas areas Infrastructures
Same as areas as level 3 but different Same as areas as level 3 but different For connecting objects this
technical requirements at very high organizational requirements at very level may be required for the
level high level Switch off Energy supply to
the Object. (from the point of
view of the objects this is
critical)
This may also be the level
required for distributing
Customer Credentials (ID,
encryption keys) or Admin
People
5 Top Secret SG-ISL 5 requirements in the following SG-ISL 5 requirements in the following reserved for country
areas areas authorities – i.e. intelligence
, police, fire department ...
4185
4186 Last but not least – it is to be conclude, that it shall be an obligation to classify data models for their
4187 data protection classes for its protection requirements but only a limited number of data protection
4188 classes.
4189 The set of agreed and harmonized SG-ISL requirements includes technical requirements to be met by
4190 products/ logical or physical system-components or organizations participating in the smart grid
4191 market. Please find some examples of elements for the technical requirements
4192 • Encryption (Algorithm, Hardware) Requirements over time

4193 i..e. in Germany published by BSI respectively BNetzA (for Energy)
4194 Hashfunctions , Signaturverfahren, Zufallsgenerator
4195 • End2End unbroken Signature Requirements
4196 i.e. Signature methodology , Random Generators…
4197 • Communication Stack
4198 Dedicated Communication ports – others „closes“
4199 • Logging Requirements
4200 • Authentication requirements one-directional / bidirectional for Applications & Services
4201 • User – Role – Group – Access level and Authentication requirements
4202 or some organisational requirements

4203 • Room Accessibility (physical protection)
4204 o Access Control Mechanisms
4205 o Access Logging
4206 o Physical surveillance
4207 • Fraud / Incident recognition and reporting
4208 o Fraud & Incident Monitoring
4209 o Fraud & Incident Analysis
4210 o Fraud &Incident Identification and recognition
4211 o Fraud & Incident Reporting
129
4212 • Data erasure / disposal requirements i.e. for SG-DPC 1 Personal Data
4213 o i.e. immediately after transaction
4214 o i.e. immediately after billing
4215 A7.4.7 Smart Grid data protection classification (SG-DPC)
4216 The following is the initial proposal for smart grid data protection classes, it is recommended that those
4217 are captured in a central SG-DPC repository.
4218 When defining the use cases and the data models in the central use case and data-models
4219 repositories, the appropriate SG-DPC needs to be assigned from a central SG-DPC repository –
4220 therefore the repositories for use cases, data models and SG-DPC need to be interlinked.
SG-DPC SG-DPC Description “SG-ISL” required Comments

Sub for data processing, Examples
Class transmitting (send or
receive), storing or
disposing data
1 Personal data SG-ISL 3, High i.e. Meter data, Data
Need of compliance to concerning Electric
data protection rights is confirmed Vehicle connection
points
(similar to telecom Cell
information)
2 Personal data SG-ISL 3, High
Need of compliance to
data protection rights is not confirmed
but privacy concerns have been raised
3 3-0 Control Data – changes in functions (unspecified) SG-ISL 4, Very high
3-1 Data to Switch off total Object Subcell SG-ISL 4, very high
3-2 Data to Control Object Devices functions SG-ISL 3, High
3-3 Data to Switch & Control Distribution Net Devices SG-ISL 4, very High
3-4 Data to Switch & Control Transition Net Devices SG-ISL 4, very High
3-5 Data to Switch & Control Bulk Generation Devices SG-ISL 4, very High
4 Credentials (unspecified)
4-1 Prosumer Credentials SG-ISL 3, High ID,Key,SLA, DN
Cell,…
4-2 Residential Building Credentials SG-ISL 3, High ID,Key,SLA, DN
Cell,…
4-3 Commerial Building Owner Credentials SG-ISL 3, High ID,Key,SLA, DN
Cell,…
4-4 Industrial Building Owner Credentials SG-ISL 3, High ID,Key,SLA, DN
Cell,…
4-5 Charging Station credentials SG-ISL 3, High ID,Key,SLA, DN
Cell,…
5 5-0 Contract specific operational data SG-ISL 3, High
5-1 Contract specific operational data SG-ISL 3, High Incentive Value
Between ESP and Prosumer
5-2 Between Distribution Net Operator (Last Mile) and SG-ISL 3, High Dynamic Net use
Prosumer costs
5-3 Between Distribution Net Operator and Property Owner SG-ISL 3, High Dynamic Net Use
costs
5-4 Between ESP and Distribution Net Operator SG-ISL 3, High Dynamic Net Use
costs
130

disposing data
6 6-0 Metrological data SG-ISL 3, High
(Need of compliance to requirements billing relevant
rights- i.e. MID is confirmed)
7 7-0 Prosumer Data required at Distribution Net SG-ISL 2, Medium
operator
7-1 Anonymized Meter Readings SG-ISL 2, Medium Personal data made
anonymous, but still
need to be signed with
a qualified signature
(for its use by the
distribution operator)
7-2 Meter readings with pseudonyms SG-ISL 2, Medium Personal data send
with pseudonyms, but
still need to be signed
with a qualified
signature (for its use
by the distribution
operator)
8 8-0 Logging data – not specified SG-ISL 5, top secret
8-1 N/A N/A It is assumed that
there will be no
logging required for
SG-ISL level 1
8-2 Logging data for all SG-DPC where SG-ISL 2 is SG-ISL 2, medium
required
8-3 Logging data for all SG-DPC where SG-ISL 3 is SG-ISL 3, high
required
8-4 Logging data for all SG-DPC where SG-ISL 4 is SG-ISL 4, very high
required
8-5 Logging data for all SG-DPC where SG-ISL 5 is SG-ISL 5. Top secret
required
9 9-0 Identified Fraud and Information Security incidents SG-ISL 5, Top Secret
– not specified
9-1 Reports for Fraud and Information Security incidents at SG-ISL 1
level SG-ISL 1
9-2 Reports for Fraud and Information Security incidents at SG-ISL 2, medium
level SG-ISL 2
9-3 Reports for Fraud and Information Security incidents at SG-ISL 3, high
level SG-ISL 3
9-4 Reports for Fraud and Information Security incidents at SG-ISL 4, very high
level SG-ISL 4
9-5 Reports for Fraud and Information Security incidents at SG-ISL 5 Top secret
level SG-ISL 4
10 10-0 Device Configuration & Parametric Data SG-ISL 5, Top Secret
– not specified
10-1 Device Configuration data for devices with where the SG-ISL 1
maximal processed SG-ISL applicable is SG-ISL 1
10-2 Device Configuration data for devices with where the SG-ISL 2, medium
10-3 Device Configuration data for devices with where the SG-ISL 3, high
10-4 Device Configuration data for devices with where the SG-ISL 4, very high
131

disposing data
10-5 Device Configuration data for devices with where the SG-ISL 5 Top secret
11 11-0 System configuration / vendor confidential data SG-ISL 5, top secret
– not specified
11-1 System configuration / vendor confidential data for SG-ISL 1
systems where the maximal processed SG-ISL
applicable is SG-ISL 1
11-2 System configuration / vendor confidential data for SG-ISL 2, medium
11-3 System configuration / vendor confidential data for SG-ISL 3, high
11-4 System configuration / vendor confidential data for SG-ISL 4, very high
11-5 System configuration / vendor confidential data for SG-ISL 5. Top secret
4221
4222 Last but not least
4223 The smart grid operation side needs to be tightly interlinked with the SGIS and DPP side of the smart
4224 grid implementation, operation and the independent evolution on both sides, the functional as well as
4225 the SGIS activities.
4226 This is to be achieved by the obligation to describe ALL data models (from a central use data model
4227 repository) – in all function and use cases (smart grid functionality and use cases for horizontal topics
4228 like SGIS,DPP operation, monitoring analysis and governance) – as use cases shall include only
4229 data models with its SG – DPC assigned,
4230 Within fhe data model repository is an obligation to classify all data-models for their SG-DPC – the
4231 SG-SPC as well it is recommended that those are provided from a central SG-DPC repository.
4232 Finally the SG-DPC repository shall include the appropriate SG-ISL for each SG-DPC.
4233 The SG-ISL is derived from modelling the SGIS and DPP essential requirement and governance
4234 system.
4235 Therefore the linkage between the operations side and the SGIS and DPP side should be through the
4236 above described concepts – that is illustrated in Figure A7.9.
132
4237
4238 Figure A7.9 – Linking and updating all relevant part of the functions and use cases,
4239 as well on the SG-ISL and its part.
4240 A7.4.8 Smart Grid use cases examples & scenarios – viewed from the SGIS perspective
4241 Based on the above and some use case scenarios, some of the gaps identified far is described below
4242 a) Existing Standards lack overall system approach and methodology that ensure sustainability for
4243 the “smart grid Information System”
4244 • Available Standards address single products or single organisations
4245 • System integration and interaction standards do not exist for Internet of energy yet
4246 • Standards on smart grid SGIS need to address the distributed but integrated and interactive
4247 “smart grid information system” stretching over the boundaries of single “sphere of action”
4248 domains, organisations. Its system components product/system/services are reaching into
4249 connecting objects and their respective sub-structures. It integrates and enables interaction of
4250 smart grid participating actors be it system components or market roles (i.e. Prosumers, property
4251 owners/landlords or property management services).
4252 • lack of comprehensive guidance and requirements derived from an overall smart grid system view
4253 • lack of concept for continued adoption of “SG-ISL” ( with updated or new requirements and
4254 “protection measures”, as a result of increased risks due to rise in attack motivation (i.e. rise of
4255 “economy of crime”) and technical capabilities and as a result of fraud/incident monitoring,
4256 analysis and responses
4257 • Lack of methodology to include integration & interaction horizontal “smart grid information system
4258 security requirement” in technical product requirements or requirements organisations or
4259 individuals (i.e. their roles) participation in smart grid “sphere of action” domains and with system
4260 requirements
4261 b) Sustainability concepts

4262 • Lack of sustainable concepts for continued adjustment and implementation of “State of the Art”
4263 Information security and data-protection/privacy technical and organisational requirements.
133
4264 c) Develop roadmap to phase in / include other Utility

4265 • Thermal storage may be a large opportunity to store volatile electrical energy or energy generated
4266 by CHP – (using fossil primary energy sources i.e. gas or bio fuels) may lack of sustainable
4267 concepts for continued adjustment and implementation of “state of the art” “Information security”
4268 and data-protection/ privacy technical and organisational requirements.
4269 • For the “smart grid information systems” this represents potential sector specific requirements and
4270 represents additional challenge on privacy as well (i.e. fencing of customer credentials and
4271 communication networks)
4272 d) Re-invention of Information security

4273 • Potential lack of acknowledgment and application or utilization of existing ICT standards and
4274 Information security experience in the “smart grid Information Security” definitions
4275 e) Develop roadmaps based on modular logical system components neutral to specific technology
4276 implementations and physical product packaging. The product requirements need to be modular
4277 and “assembled” based on what logical system components are integrated in specific physical
4278 packaging and technologies.
4279 • Residential or property service gateways may integrate the functionality of the “Energy
4280 Management Gateway” the energy managers / orchestrators or meter gateways. There is no
4281 definition available in respect to required functionality and Information security requirements –
4282 (conflicts with definition of Smart Meters – and their physical packaging)
4283 f) System Level Interoperability and Interchange ability

4284 • Lack of identification for compliance and interoperability requirements prior to introduce products
4285 or services to smart grid and its “sphere of action” domains.
4286 g) Reference architectures need to detail connecting objects/terminals “internal building networks”
4287 as well as legal and privacy spheres i.e. semi public metrology or energy ´management LANs
4288 • Public telecommunication / IP gateways and energy connection points are at the property
4289 boundary. Intra ´property (connecting objects and its sub cells). Even though installations or
4290 electricity distribution and communication/IP distribution are in other legally private space, their
4291 implementation and quality effect the quality of the communication of the energy management
4292 gateways and energy management LANs and potentially the meter gateway and meters.
4293 h) Fraud/Incident recognition & response in the smart grid distributed information system
4294 • Lack of requirements to monitor, analyse, identify and report fraud/incidents concerning
4295 information security and data protection.
4296 • lack of definition , what measures need to be taken short term (i.e. stop communication) and long
4297 term(adjust “state of the art” requirements)
4298 • Defining the requirements to monitor/analyze/identify “fraud”, information security Incidents and
4299 attacks as well as the required short and long term activities for solving the issues.
4300 j) Current normative focus in vehicle 2 grid integration – does not focus on utilization of smart grid
4301 developments and flexible integration points to the energy net/ energy information system
4302 integration points. current focus is on dedicated “charging stations only.
134
4303 Recommendations have been summarized in the report section 5.1.5 the following provides some
4304 comments
4305 a) The normative activities by CEN/CENELEC/ETSI aim at generating definitions and processes
4306 that accelerates the generation of harmonized Standards – especially in light of the mandate
4307 anticipated for smart grid – for the “smart grid Information Security” the mandate may point out
4308 the areas where standards may even provide “presumption of conformity” to essential or detailed
4309 legal requirements inside EU.
4310 b) Analysis of Global requirements to enhance exportability of smart grid solutions

4311 To the benefit of the Smart Energy Grid system participants and to foster exports from member
4312 states to markets outside the EU, international harmonized standards are the goal.
4313 A thorough analysis should be made of the NIST 7628 documents where this could be used as
4314 an international guide and where it may be used as a “model” for the European “Information
4315 Security for smart grid” , highlighting also differences in legal and systematic methodologies and
4316 architectures. Especially the 189 technical and recommendations should be analyzed.
4317 Specific overarching technical requirements are addressed by separate recommendations i.e.
4318 Prosumers credentials require specific IDs, encryption & signatures
4319 Requirements for “contract based“Identification of management IDs & encryption key
4320 management system for authentication and encryption in distributed ICT systems.
4321 Smart Meter logical blocks
4322 Meter readings are personal data; the Smart Meter and meter gateway are identified as system
4323 components with vulnerabilities in Europe as well as in US.
4324 c) The design of the “Information Security for smart grid” needs to include all “sphere of action”
4325 domains, those includes all connecting objects and their substructures (immobile i.e. buildings as
4326 well as mobile connecting units i.e. electric-Vehicles but also appliances that are moved as their
4327 owning Prosumers moved to a different location). The reference architectures needs to be more
4328 detailed for connecting objects and their internal networks and structures of system components
4329 and organizations – as needs to be the requirements for Information security.
4330 A closer look at SGIS in the context of the Smart Electricy Grid
4331 The following is a discussion about scenarios of smart grid functions and its relevance to SGIS, DPP.
4332 Use cases and data-models – the smart grid mode of operation – is subject of other sections of this
4333 report.
4334 In this annex however a limited set of assumptions for use case scenarios are discussed to generate
4335 awareness and for clarity, that SGIS must not stay an independent discussion. Function and Use Case
4336 evolution and SG-ISL and SG-DPC evolution need to be in sync.
4337 Requirements from SGIS and DPP need to be integral part of the function and use case evolution.
4338 The concepts required have been discussed earlier in this document and will be outlined below in
4339 more detail
4340 The participants in the smart grid do communicate be-directionally, they interact and do e-business
4341 with each other – buying (for direct consumption or storing) / selling energy (from generators or
4342 storage) and energy services be-directionally. Sometimes – the same market participant may be
4343 customer or vendor during the course of processes, relying upon vendors and customers from other
4344 “sphere of action” domains to fulfill the contractual obligations and processes required. Optimizations
135
4345 energy usage and energy efficiency in the various “sphere of action” domains may be through internal
4346 cell optimization (i.e. inside buildings – the dependency from external supply (buying energy) may be
4347 optimized for ecological or economical reasons by orchestrating all consumers , generators and
4348 storage in the respective cells.
4349 The make of buy decision is one important aspect of energy trading, i.e. drawing from storage or
4350 generating producing for self usage. This is a functional aspect; the information security aspect is in
4351 the interchange of and flow of Information along energy source or drains.
4352
4353 Figure A7.10 – “Sphere of action” domains in the electricity grid and flow of energy
4354 Bidirectional and circular flow of energy in the various “sphere of action” domains is evidentially one of
4355 the functions and challenges in the energy distribution net and its substructures. it requires
4356 bidirectional flow of energy as well.
4357 The same function performed in the distribution net may need different use cases, data-models and
4358 their assigned data protection class (SG-DPC) as compared with the function performed inside a
4359 building i.e. the interaction with solar- , wind-generators or CHP / storage – due to the size, capacities,
4360 maintenance and ownership of generators in addition the required information security level may differ
4361 (SG-ISL) due to different protection requirements. Even further down the pathway in the internet of
4362 energy it may be an option, that prosumers inside connecting objects may sell energy to other
4363 Prosumers in the same or other connection objects.
4364 One of many future use case scenarios being discussed is the introduction of cellular concepts
4365 allowing autarky of the individual cell. In those concepts cells would be able to switch from “net
4366 coupled interactive energy management and energy efficiency mode of operation” into “island mode of
4367 operation” and vice versa is a vision along the pathway of the smart grid evolution. Forcing connection
4368 objects into off or Island mode is also one of the “Service functions” being discussed and may be
4369 initiated from the energy services contractually agreed upon.
4370 From an information security point of view – it needs clarification whether communication still exists
4371 even in an island mode of operation and what communication needs to take place when switching
4372 back from Island mode into “Net coupled interactive energy management and efficiency management”
4373 mode. This is a similar discussion as with mobile devices attaching to the immobile charging stations.
4374 It is however not a focus in this annex.
4375 Deadlock and critical situations may exist in this use case scenario.
4376 The smart grid information-system in open, it will become decentralized and highly distributed.
136
4377 The communication links will evolve from point to point connections to open network based
4378 communication, where single actors may communicate with all other actors attached to the same
4379 network at all times.
4380 Since actors (be it system-components, appliances/ devices and their physical or software interfaces
4381 are accessed by software application and services as well as by people with specific roles or
4382 belonging to specific groups)– are in different “sphere of action” domains- legal entities or private
4383 areas – SG Information security rules (SG ISL) will be need to ensure only “allowed communication”
4384 happens.
4385 Actors may need other actors to fulfill a function or use case.
4386 – i.e. the “Energy Service Providers” ESP does need the services of distribution net operator (last
4387 mile) for specific services (i.e. to get dynamic net fees or the overall incentive value) to “Prosumers”
4388 (consumers drawing energy from multiple utilities and multiple distribution nets and at the same time
4389 are producer, feeding-into distribution nets i.e. for electricity or for thermal distribution nets for heating
4390 or cooling).
4391 Data exchange and interaction within the “smart grid information system” during the course of the
4392 execution of functions / use-cases or process steps is a requirement. Because the interacting actors
4393 this will often be outside the boundaries of specific systems, organizations/legal entities or “privacy
4394 areas”.
4395 Societal acceptance is based on the trust in its overall security and availability. Acceptance is required
4396 for this vision to come true, without it the envisioned benefits of the smart grid– be it the stable
4397 integration of highly volatile at a very large scale to achieve the CO2 targets, the business cases for
4398 future energy service offerings or the energy autonomy of regions, or energetic self-determination of
4399 Prosumers and individuals in a truly open energy market will – not materialize.
4400 SGIS is the foundation – actions are required to ensure that products, services and organizations
4401 involved in the course of use cases and usage of data model are compliant to the relevant laws (i.e.
4402 data protection laws on privacy or metrology for billing processes (MID) as well as for duly business
4403 operation in the e-business environment) by assigning the appropriate SG-DPC and application of its
4404 appropriate level of SG-ISL (technical & for organizations),
4405 Trust and acceptance by society is greatly depending on the concepts and structures of the final JWG
4406 report and the recommendations brought forward by this groupThe requirements on System level
4407 should be mapped to all system components (hardware and application software and services) as well
4408 as users, groups, roles and to physical locations through all “sphere of action” domains.
4409 Since a lot of Smart Electricity Grid sector specific vulnerabilities have been identified in smart grid
4410 participating object cells. The Smart Electricity Grid needs to be analysed in respect to all “connecting
4411 Properties, be it Buildings or charging stations. Derived from the input the connecting Objects and their
4412 Sub-cells and Structures, its intra Architectures/Use Cases and Market players are critical success
4413 factor for integrating energy supply and efficiency management as well as an important factor for
4414 sustainable the “State of the art” overall “smart grid Information Security” .
4415 • Connecting objects include Intra substructures and sub-cells that are of great importance
4416 • Networks (metrology or energy management LANs) inside premises are private property but semi
4417 public as those connect different legal entities and private properties
4418 • Public telecommunication / IP gateways and energy connection points are at the property
4419 boundary. Internal to the properties – the electricity distribution and distribution of
4420 communication/IP networks are have different legal ownership and different private spaces, their
4421 implementation quality impacts the “smart grid Information Security” greatly.
137
4422
4423 Figure A7.11 – Detailing Logical System Components of the Smart Electricity Grid
4424 System component: Energy Management Gateway (EMG) / the Energy Manager (EM) as
4425 orchestrator
4426 One logical function Block (it may be integrated in various physical system components) was identified
4427 that contain many sector specific vulnerabilities and threads – it resides inside connecting Property
4428 and its sub-cells.
4429 The logical building block is named “Energy Management Gateway” EMG and energy manager”.
4430 Its functions provide basic service functions, energy manger functionality i.e. director / orchestrator
4431 functions for the sub infrastructure net for the integrated energy management and the driver levels to
4432 communicate to the outside of the property (i.e. public IP or private DSO / energy service provider
4433 communication networks). This energy manager is required to reside inside the sub-Cells of the
4434 connection objects (i.e. the apartment). It connects multiple “sphere of action” domains and its specific
4435 networks, interfaces and processes. Since drivers, resource models and device specific services will
4436 be provided from a very divers group, it is essential that the energy management gateway and energy
4437 manager provide a trusted runtime platform.
4438
4439 Figure A7.12 – Blocks inside Energy Management Gateway and Energy Manager
138
4440 For the energy management gateway respectively the energy manager and its automation and
4441 orchestration services it is important that an open and trusted runtime environment is standardized.
4442 Information security specific use cases need to be developed over the course of implementing the
4443 “multi utility smart grid”. In respect the Smart Electricity Grid, work is in process to identify specific use
4444 cases, the Information Security requirements needs to be ensured for all classes also for the final
4445 node.
4446 The final node is the appliance or devices – consuming / storing energy or feeding energy back into
4447 the object infrastructure or to the energy distribution net, during the course of use case execution.
4448 The process to interact with devices from the outside is through the energy management gateway
4449 discussed above. The EMG is available in each of the sub cells internal to connecting objects. The
4450 communication network is private property and needs to reach to the final node in a way that assures
4451 the required SG-ISL level is available in this internal and private property environment as well. The
4452 protective measures need to apply at the energy management LAN and in the device as well – in
4453 order to support the overall SGIS DPP requirements as well.
4454
4455 Figure A7.13 – Energy Management LAN – inside Sub Cells of connecting Objects
4456 Smart grid system components: Electric cars and net coupled hybrid cars.
4457 Those electric transportation vehicles are mobile – in any case – when they are connected to the
4458 Smart Electricity Grid, it’s through an immobile integration point – i.e. charging stations or a building
4459 infrastructure.
4460 The connection at those immobile integration points required interaction, before energy can flow from
4461 the respective net integration point and its local distribution net infrastructure from or into the vehicle.
4462 There will be multiple integration connection points where ownership of the immobile connection points
4463 are changing, while the mobile car roams from one integration point to the other.
4464 Also the type of integration point varies the smart grid information system vehicle data is available at
4465 all integration points the mobile car is attached to – within the charging stations of different types and
4466 ownership but also within buildings the electric car attach to – be it at the connection Object level
4467 directly or its Sub-cells on private property.
139
4468
4469 Figure A7.14 – Integration Points of Electric Vehicles to the smart grid
4470 It is vital that the communication between the various integration points is seamless and follows the
4471 harmonized to the SG-ISL requirements for the data exchanged.
4472 Since the data may also be used to profile personal movements – the rules i.e. like in mobile
4473 telecommunication need to apply. It is obvious that the data protection class SG-DPC 1 for personal
4474 data applies and therefore a high protection requirement SG-ISL 3 does apply as well.
4475 The standard ISO/IEC 15118, which is currently in definition address the interaction of vehicles with
4476 the charging station only. Net integration points may vary though as discussed above – therefore the
4477 roadmap for standard for electric vehicles needs to the additional integration points to the smart grid –
4478 and harmonized with overall smart grid information system requirements – especially for SGIS and
4479 DPP since profiling of movements is possible using the net integration or roaming information.
4480 System component: Smart Meter
4481 The smart meter needs to fit into a holistic smart grid concept – integrating all “Silos” of energy utilities
4482 (i.e. gas, thermal energy for heating or cooling and water) and their specific services in the smart grid.
4483 In respect to SGIS, each utility may have other essential requirements and primary protection goals
4484 As discussed above the phases of SGIS and the requirements for SG-ISL need to be analyzed for
4485 each utility and integrated into the smart grid Information security model. The Smart Meter definition
4486 according M/441 is a mutli utility discussion as of today.
4487 For the System components Smart Meter gateway and the meter, the results of research
4488 demonstration projects confirm that this to be divided into logical blocks identified as “building blocks”
4489 of Smart Meters. Those logical building blocks may be implemented in various products in the market
4490 place in total or partly, i.e. into the residential service gateways. It is vital that those technical
4491 implementations follow the concepts, obligations (i.e. define the use cases in the central use case
4492 repository – and define the SG-DPC for each data model used, from the repository defining the SG-
4493 DPCs and the required SG-ISL as well. The requirements laid out by the respective SG-ISL needs to
4494 be implemented no matter how the physical realization (in Smart Meters or residential gateways) will
4495 be done in the market place.
4496 The physical and logical interfaces need to include security bridges to ensure appropriate SG-ISL
4497 even when it is packaged together in one physical enclosure. This is vital for ensuring relevant legal
4498 requirements and interoperability and inter-changeability goals.
140
4499 Figures A7.15 and A7.16 illustrate the various logical blocks and the various types of locigal
4500 communication interfaces for Smart Meters (as indicated by the scope of mandate M/441)
4501
4502 Figure A7.15 – Smart meter logical Interfaces & security bridge types (M/441 Scope)
4503 Smart meters may contain the following logical blocks – i.e. Smart Meter gateway – metrology network
4504 to metrology sensors – i.e. meters relevant to billing – the energy management gateway – the energy
4505 manager talking to the energy management LAN and attached smart grid enabled appliances/devices.
4506 Both gateways have outside communication between the public IP network or alternatively private
4507 networks of distribution net operators or others.
4508 No matter how those are packaged in real products, the communication between the logical blocks as
4509 well different network connections need to include appropriate SG-ISL at level 3. This may include the
4510 requirement for bi-directional authentication (for remote access), and requirements for encryption as
4511 well as “unbroken” signatures end 2 end in such a way that actors interacting in specific use cases i.e.
4512 energy service providers and Prosumer are able to identify the root source of the information.
4513
4514 Figure A7.16 – Smart Meter logical Interfaces & Security Bridge Types (M/441 Scope)
4515 In multi apartment buildings the management of the communication internal to buildings is vital who is
4516 allowed to access specific meter data – the ownership – who manages access rights for all Parties
4517 and all credentials – i.e. defining rights and obligations of data usage (Who, what, when, why).
141
4518 This requires management of credentials for Prosumers at various points i.e. at the Meter gateway or
4519 the energy management gateway in all situations when credentials change i.e. when
4520 • Prosumer changes the energy supplier or metering operator

4521 • Prosumers are moving to different locations & buildings.
4522 • Prosumers move – to different cities or buildings / apartment in the same building
4523 This use case needs to include definitions about data disposal of data stored inside the smart
4524 meter
4525 • Security incidents have been recognized where prosumer credentials have been compromised
4526 The use case to handle this needs to address the communication interruption until new Prosumer
4527 credentials are available and implemented
4528 The option to declassify SG-DPC 1 classified data was discussed earlier. The requirements to make
4529 data anonymous or to substitute personal data with pseudonyms may be required – along with that will
4530 be discussion on the required quality of making this anonymous or use pseudonyms and will certainly
4531 be discussed with the data protection authorities.
4532 In respect to the smart meter, where SG-DPC 1 personal data is generated it may become required to
4533 declassify this data when send to the distribution net. Figure 17 illustrated this in respect to the “sphere
4534 of action domains” of the Smart Electricity Grid.
4535
4536 Figure A7.17 – Smart meter multi zone communication options
4537 Since smart meters are often installed in public places, the information displayed on the meter is
4538 accessible to people not entitled to access the data. Furthermore, this information may be used as
4539 input to hackers and provides a risk for SGIS at this system component. Research effort should be
4540 addressed to provide the user with option to switch off / on the display with a personal PIN or similar
4541 protection modes for SGIS but also DPP reasons. To allow such an option , the in the long term the
4542 measurements instrument directive needs to address and allow this i.e. by allowing different
4543 visualisation of metering data, i.e. to visualize the billing relevant information for prosumers through a
4544 trusted internet portal (with End 2 End integrity allowing clear identification of the source of the billing
4545 data, i.e. by end 2 end signatures .
142
4546 Annex 8 – References related to EMC/power quality

4547 in the range 2-150 kHz
4548 IEC/EN 61000-3-8, Electromagnetic compatibility (EMC) – Part 3: Limits – Section 8: Signalling on
4549 low-voltage electrical installations – Emission levels, frequency bands and electromagnetic
4550 disturbance levels (IEC SC 77A/ CENELEC TC 210)
4551 IEC/EN 61334-3-1, Distribution automation using distribution line carrier systems – Part 3-1: Mains
4552 signalling requirements – Frequency bands and output levels (IEC TC 57/ CENELEC SR57)
4553 4. Low-voltage mains signalling requirements
4554 IEC 61000-3-8 shall apply to low-voltage distribution networks.
4555 NOTE In some countries national regulations prevail on the requirements of IEC 61000-3-8.
4556 EN 50065-2-1, Signalling on low-voltage electrical installations in the frequency range 3 kHz to
4557 148,5 kHz – Immunity requirements for mains communications equipment and systems operating in
4558 the range of frequencies 95 kHz to 148,5 kHz and intended for use in residential, commercial and light
4559 industrial environments (CENELEC SC 205A)
4560 No requirement for conducted disturbances below 150 kHz
4563 the range of frequencies 95 kHz to 148,5 kHz and intended for use in industrial environments
4564 (CENELEC SC 205A).
4568 the range of frequencies 3 kHz to 95 kHz and intended for use by electricity suppliers and distributors
4569 (CENELEC SC 205A)
4571 IEC/EN 61000-4-16, Electromagnetic compatibility (EMC) – Part 4-16: Testing and measurement
4572 techniques – Test for immunity to conducted, common mode disturbances in the frequency range 0 Hz
4573 to 150 kHz (IEC SC 77A/ CENELEC TC 210)
4574 Scope :
4575 The immunity to harmonics and interharmonics, including mains signalling, on a.c. power ports (in
4576 differential mode) is not included in the scope of this standard and is covered by IEC 61000-4-13. The
4577 immunity to conducted disturbances generated by intentional radio-frequency transmitters is not included in
4578 the scope of this standard and is covered by IEC 61000-4-6.
4579 IEC/EN 61000-4-13, Electromagnetic compatibility (EMC) – Part 4-13: Testing and measurement
4580 techniques – Harmonics and interharmonics including mains signalling at a.c. power port, low
4581 frequency immunity tests (IEC SC 77A/ CENELEC TC 210)
4582 Current scope limited to 2 kHz
4583 Current scope limited to 16 A
4584 IEC/EN 61000-2-2, Electromagnetic compatibility (EMC) – Part 2-2: Environment – Compatibility levels
4585 for low-frequency conducted disturbances and signalling in public low-voltage power supply systems
4586 (IEC SC 77A/ CENELEC TC 210)
4587 4.10.3 Medium-frequency power-line carrier systems (3 kHz to 20 kHz)
4588 (Under consideration )
4589 4.10.4 Radio-frequency power-line carrier systems (20 kHz to 148,5 kHz)
4590 (Under consideration)
143
4591 IEC/EN 61000-2-12, EMC – Environment – Compatibility levels for low-frequency conducted
4592 disturbances and signalling in public medium-voltage power supply systems (IEC SC 77A/ CENELEC
4593 TC 210)
4594 4.10.3 Medium-frequency power-line carrier systems (3 kHz to 20 kHz)
4595 (Under consideration )
4596 4.10.4 Radio-frequency power-line carrier systems (20 kHz to 148,5 kHz)
4597 (Under consideration)
4598 CISPR 11/EN 55011, Industrial, scientific and medical equipment – Radio-frequency disturbance
4599 characteristics – Limits and methods of measurement (CISPR/CENELEC TC 210)
4600 6.2.1.2 Frequency range 9 kHz to 150 kHz
4601 For group 1 equipment, no limits apply in this frequency range.
4603 For group 1 equipment, no limits apply in the frequency range 9 kHz to 150 kHz.
4605 In the frequency range 9 kHz to 150 kHz, limits for mains terminal disturbance voltages apply to induction
4606 cooking appliances only
4608 In the frequency range 9 kHz to 150 kHz, limits apply to induction cooking appliances only
4609 CISPR 15/EN 55015, Limits and methods of measurement of radio disturbance characteristics of
4610 electrical lighting and similar equipment (CISPR/CENELEC TC 210)
4611 4.3.1 Mains terminals
4612 The limits of the mains terminal disturbance voltages for the frequency range 9 kHz to 30 MHz are given in
4613 Table 2a.
4614 IEC/EN 61000-6-1, Electromagnetic compatibility (EMC) – Generic standards – Immunity for
4615 residential, commercial and light-industrial environments (IEC TC77/CENELEC TC 210)
4616 No requirement between 2 and 150 kHz
4617 IEC/EN 61000-6-2, Electromagnetic compatibility (EMC) – Generic standards – Immunity for industrial
4618 environments (IEC TC77/CENELEC TC 210)
4620 IEC/EN 61000-6-3, Electromagnetic compatibility (EMC) – Generic Standards – Emission standard for
4621 residential, commercial and light-industrial environments (CISPR/CENELEC TC 210)
4623 IEC/EN 61000-6-4, Electromagnetic compatibility (EMC) – Generic Standards – Emission standard for
4624 industrial environments (CISPR/CENELEC TC 210)
4626 CISPR/I/330/NP, Electromagnetic Compatibility of Multimedia equipment Immunity Requirements

4627 (CISPR/CENELEC TC 210)
4628 No requirement under 150 kHz
4629 IEC TR 61000-2-5(77/382/CD), Electromagnetic compatibility (EMC) – Part 2-5: Environment –

4630 Classification of electromagnetic environments
4631 CENELEC SC205A, Study report on electromagnetic interference between electrical

4632 equipment/systems in the frequency range below 150 kHz
4633 IEC TS 62578, Power electronics systems and equipment – Operation conditions and characteristics
4634 of active infeed converter applications (IEC TC 22)
4635
144
4636 Annex 9 – Standards related to low frequency EMC

4637 or power quality
4638 EN 50160, Voltage characteristics of electricity supplied by public electricity networks (CENELEC
4639 TC 8X)
4640 IEC TR 62510, Standardising the characteristics of electricity (IEC TC8)
4641 IEC/EN 61000-2-2, EMC – Environment . Compatibility levels for low frequency conducted
4642 disturbances and signalling in public low-voltage power supply systems (IEC SC 77A/CENELEC
4643 TC 210)
4644 IEC/EN 61000-2-12, EMC – Environment – Compatibility levels for low-frequency conducted
4645 disturbances and signalling in public medium-voltage power supply systems (IEC SC 77A/CENELEC
4646 TC 210)
4647 IEC TR 61000-3-6, EMC – Limits – Assessment of emission limits for the connection of distorting
4648 installations to MV, HV and EHV power systems (IEC SC 77A)
4649 IEC TR 61000-3-7, EMC – Limits – Assessment of emission limits for the connection of fluctuating
4651 IEC TR 61000-3-13, EMC – Limits – Assessment of emission limits for the connection of unbalanced
4653 Draft IEC TR 61000-3-14, EMC – Assessment of emission limits for the connection of disturbing
4654 installations to LV power systems (IEC SC 77A)
4655 Draft IEC TR 61000-3-15, EMC – Limits – Assessment of low frequency electromagnetic immunity and
4656 emission requirements for dispersed generation systems in LV network (IEC SC 77A)
4657 IEC/EN 61000-4-30, EMC – Testing and measurement techniques – Power quality measurement
4658 methods (IEC SC 77A/CENELEC TC 210)
4659 8/1284/NP, Power Quality of Energy Supply – Characterization of power quality from the point of view
4660 of the electrical energy suppliers (IEC TC 8)
4661 IEC TR 61000-2-5(77/382/CD), Electromagnetic compatibility (EMC) – Part 2-5: Environment –

4662 Classification of electromagnetic environments
145
4663 Annex 10 – Generation

4664 A10.1 From high level services to use cases
4665 Generation is involved in many high-level smart grid services as described in the matrix below.
Top-level services N° Main SG applications Typical Generation application

Facilitate connections at all voltages / locations Connection of DER at all voltages/any
1
Integrate users with for any kind of devices locations
new requirements Use of network control systems for network Generation (incl DER) ressources are all
2
purposes dispatchables
Generation (incl DER) is actively participating
Enhance monitoring and control of power flows
3 to network ancillary services: power flow and
and voltages
voltage control
Enhancing efficiency
in day-to-day grid Enhance monitoring and observability of grids Generation (incl DER) connection point to the
4
operation down to low voltage levels Grid is monitorable
Exchange of information on actual
5 Idem above
active/reactive generation / consumption
Allow grid users and aggregators to participate Generation (incl DER) is actively participating
6
in ancillary services market to network ancillary services
Ensuring network 7 operation schemes for voltage/current control same as 3
security, system
control and quality of Intermittent sources of generation to contribute
8 same as 6
supply to system security
Allow demand response for system security
9 same as 6
purposes at sufficient speed
Participation of all connected generators in the Generation and DER can participate to the
Improving market 10
electricity market (active) Energy Market
functioning and
customer service Participation of VPPs and aggregators in the VPP can participate to the (active) Energy
11
electricity market Market
More direct
involvement of Availability of individual continuity of supply Generation (incl DER) participate to islanding
12
consumers in their and voltage quality indicators mode
energy usage
4666
146
4667 A10.2 Existing standards and gaps

4668 Standards : Interface to the Grid and Grid operation
Use cases Existing Gaps priority

All IEC 61850 18) G1 : Harmonized glossary, semantic & modelling between back- 1
office applications (CIM) and field applications (61850)
IEC 61400-25
G3 :Efficient and consistent communication means compatible 2
IEC 61968-
with narrow bandwidth / intermittent communications
IEC 61970 19)
G4 : Extended data modelling standard (part of IEC 61850) to 2
IEC 60870-5 have more complete description of generation elements (nuclear,
series hydro, DER, …), 2
IEC 62351 G5 : Extended data modelling standard (part of IEC 61850)
beyond the substation, to have a more general automation
system description,
Connect the Power generator National Grid G6 : Standard for electrical connection rules and installation rules 1
to the Grid codes to ensure energy availability and security, in presence of high
(Electrical interface) ratio of DER
Make the Power generator IEC 61850 Already covered by G1-G5
monitorable IEC 60870-5
(Enable the network operator series
to monitor the electrical point
of connection of the
generation)
Make the Power generator IEC 61850 Already covered by G1-G5
dispatchable IEC 60870-5
(Enable the network operator series
to send control to the
generation)
Make the Virtual Power Plant G11 : Extended CIM to model more accurately Generation Fleet 1
dispatchable Management Applications in the case of Bulk Generation, and to
(Enable the network operator integrate DER and VPPs
to send control to generators
organized in cluster (VPPs))
18 IEC 61850 series standard provides :

a model for substation automation system (part 7-4) and renewable energy resources (PV, hydro & wind and other – part
7-410, 7-420 and IEC 61400-25)
19 IEC 61968 and IEC 61970 series standards provide :
147
4669 Standards : Interface to the Energy market
Use cases Existing Gaps priority

All IEC 62056 G7: Harmonization between DLMS/COSEM data model and 1
IEC 61850/CIM
Make the Power generator G8 : Extended field data modelling standard (part of IEC 61850) 1
dispatchable to support demand response schema
(Enable the generator to G9 : Extended field data modelling standard (part of IEC 61850) 1
participate to the energy to enable DER (and VPPs) to contribute to network ancillary
market, including ancillary services
services)
Make the Virtual Power IEC 61968- G9 : see above 1
Plant dispatchable 61970 G10 : Standard to allow all connected generators associated in 1
(Enable the cluster of IEC 62325 VPPs to participate to new ways of operating grid
generators (VPP) to series
participate to the energy
market including ancillary
services)
148
4670 Annex 11 – Transmission high level services:

4671 details/explanations
4672 a) Enabling the network to integrate grid users with new requirement
4673 Outcome: Guarantee the integration of intermittent generation and of distributed renewable energy
4674 sources connected to the Transmission network.
4675 Provider: TSOs
4676 Primary beneficiaries: Grid users (Generators, DSOs).
4677 Functionalities – use cases:

4678 • Facilitate connections at high voltages, in all locations for RES (including offshore installations), for
4679 AC grids as well as for DC grids.
4680 • Registers of the technical capabilities of connected users/devices with an improved network
4681 control system, to be used for network purposes (ancillary services).
4682 Explanations:
4683 European energy policy enhances the share of renewable energy in electricity, leading to a huge
4684 change in generation mix and its location.
4685 Moreover, interconnection of national transmission systems are encouraged in order to enlarge the
4686 electricity market.
4687 Therefore, the change in the mix of generation across Europe has an impact not just on the host large
4688 amounts of renewable and distributed generation, but on all those that are part of the synchronous
4689 transmission system.
4690 The requirements for transmission grid connection are yet defined by national standard, also called
4691 grid code.
4692 The necessity of grid code arose with the new context of market liberalisation and the unbundling of
4693 network and generation functions. Now electricity transmission and distribution grids are separated
4694 from generation. Grid operators have no direct influence on the location or operation of generation
4695 plant.
4696 Consequently, grid connection rules are now transparent, but defined according national experience
4697 and with some differences between countries.
4698 Grid connection requirements are yet predominantly defined by specific national legislation and/or Grid
4699 Codes and by bilateral contracts between network operators and grid users. Now harmonisation is
4700 required by the 3rd package in order to facilitate the integrated European electricity market.
4701 By EU Directive 714/2009, ENTSO-E is mandated to develop network codes which will in future form
4702 the legally binding framework for the issues addresses by the Directive. Grid connection rules are one
4703 of the issues to be covered by network codes. Grid connection requirements for generators are
4704 currently under development in a pilot project to exercise the processes given by the EU Directive and
4705 respective codes for other grid will follow shortly.
4706 Nevertheless, the Grid code is a regulation issue, and not a standardization issue.
149
4707 Moreover, the technical capabilities of connected users/devices with an improved network control
4708 system, to be used for network purposes (ancillary services) are yet defined by requirements in
4709 contracts of grid users.
4710 With the growing levels of renewable generation connecting to the enlarged transmission system in
4711 Europe, there is a need now for harmonized responses from system users across synchronous areas,
4712 to avoid or at least minimize the impact of widespread faults, in order to maintain security of supply
4713 and in line with the objectives of European policy.
4714 The objective is hence to establish an appropriate minimum degree of standardization of connection
4715 requirements applicable across all synchronous areas that maintains the existing standards of security
4716 and quality of supply. This should ensure equitable treatment in the connection of generators and
4717 consumers.
4718 b) Enhancing the observability and the monitoring of the transmission grid
4719 Outcome: Improve the observability of the real-time control of an enlarged System, including
4720 Distributed Energy Resources, more TSOs interconnected, more relevant parameters of Transmission
4721 assets to monitor and facilitate the active participation of stakeholders in the electricity market.
4722 Provider: Grid users, TSOs.
4723 Primary beneficiaries: TSOs.

4725 • Enhance monitoring and control of the transmission systems.
4726 • Enhance the supervision of a Pan-european grid by exchange of information between TSOs.
4727 • Monitor the relevant parameters of DER with an impact on the global system stability,
4728 • Collect and transmit relevant information about clusters of customers in order to facilitate the
4729 active participation of consumers in the electricity market.
4730 • Improve monitoring of network assets for a better optimized use.
4731 • Develop new real-time measurement-based algorithms for Energy Management Systems (EMS).
4732 • Integrate data from different sources (asset management, grid operation, ….) at EMS level.
4733 • Use of WAMS, WACS, WAP based on Phasor Measurement Units (PMU) technologies-develop
4734 real time application.
4735 Explanations:
4736 The mission of Transmission grid is the transfer of electrical power from generation sources to the
4737 distribution areas, in maintaining stability on the grid by balancing generation with load.
4738 In their process, Transmission operators need information from generation and load centres.
4739 Therefore, observability is not a new issue for Transmission grid.
4740 The Transmission networks are yet equipped for obtaining a large number of measurement values.
4741 They are typically monitored and controlled through a supervisory control and data acquisition system
4742 composed of a communication network, monitoring devices and control devices.
4743 But due to the new challenges, the Transmission has to face, this observability must be hugely
4744 enlarged.
150
4745 An optimal representation and visualization as well as decision-supporting tools must be developed in
4746 order to support the operator of such complex systems. The massive amount of data must be
4747 transmitted, synchronized, analysed and represented in a way to safeguard the system integrity of the
4748 overall transmission net.
4749 The combination of distributed generation with intermittent sources, long lines between generators and
4750 loads, and an increase in interconnections illustrate the new situation and emphasize the change for
4751 the observability challenge.
4752 In order to maintain adequacy, security and quality levels, the new situation requires to know the state
4753 of the electrical system, more enlarged, with more accurately and quickly data than in the past, in
4754 order to precisely and timely identify critical contingencies, as well as to dispose as soon as possible
4755 the power network protection in case of systems faults or restoration in case of black-outs.
4756 This enlargement concerns all the stakeholders of the electricity chain, from generation until end-users
4757 and through Transmission operators. Information exchange may be necessary across large
4758 geographical areas and across traditional systems operation boundaries.
4759 The needs for a wider observability of the transmission grid are indicated below.
4760 Enlargement between TSOs
4761 More closely cooperation between European TSOs are encouraged by European legislation in order
4762 to develop methods and to take actions to improve system security of the European transmission grid,
4763 more and more meshed.
4764 IT platforms for data exchange and performing common security assessments are required, and
4765 therefore also interoperability is expected.
4766 Enlargement with new generation centres
4767 The main renewable sources, wind and solar, have specific generation characteristics : intermittent
4768 and distributed.
4769 In order to face their missions, TSOs need to ensure the suitable contribution of local resources to the
4770 global system security.
4771 Virtual Power Plant (VPP) concept has emerged for a better management of distributed generation
4772 installations. VPP provides location-specific services to the network operators by aggregating local
4773 Distributed Energy Resources (DER).
4774 Therefore VPPs appear as a new contributor in Transmission system with specific characteristics for
4775 the observability : frequency, voltage, power flow controls.
4776 Enlargement with clusters of customers
4777 The smart grid initiative will encourage “end-users” for a more active participation in the electricity
4778 market.
4779 As for DER, cluster of consumers should be introduced in order to optimize the management of the
4780 useful information. Nevertheless, new contributors will appear with an impact in the management of
4781 the global transmission grid.
4782 To achieve this challenge, relevant information should be communicated to stakeholders and therefore
4783 the observability of Transmission system should be improved.
151
4784 Optimising Grid operation and usage
4785 In order to face the new challenges in a cost efficient way, TSOs need to improve the use of existing
4786 infrastructure.
4787 Condition monitoring of components of a substation or of lines, provides technical information, useful
4788 for optimized loading and help to increase the lifetime of the transmission assets.
4789 Therefore condition monitoring should be developed, involving more components of transmission
4790 assets and prediction models, should be improved.
4791 The improvement of the observability is not limited to the hardware domain but also include the
4792 software aspect, and especially the data model for the real time processing.
4793 c) Ensuring network security of supply in a more complex and optimized grid
4794 Outcome:
4795 • Ensure security of supply of the European electricity system in an enlarged grid, including
4796 Distributed Energy Resources, with more interconnections and in the most cost-efficient way
4797 possible.
4798 • Optimize the use of the present infrastructure.
4799 Provider: Generators, DSOs, TSOs.
4800 Primary beneficiaries: consumers.

4802 • Monitor the contribution of the intermittent generation sources to the system security.
4803 • Improve the methods and the knowledge on the real load capacity of assets in order to withstand
4804 load change without the replacement of assets.
4805 • Implement new scheduling algorithms and decision tools (user interface, remedial action
4806 scenarios) at the control center level.
4807 • Improve models for condition monitoring,
4808 • Ensure the suitable contribution of local resources to the global system security.
4809 • Consumer flexibility in ancillary services.
4810 Explanations:
4811 As the production of intermittent energy sources is not time-synchronized with the consumption, the
4812 management of the electricity supply-demand balance would be more complex with the development
4813 of new renewable energy sources.
4814 Nevertheless, the development of RES must not jeopardize the security of supply of the whole system.
4815 Therefore contributions from grid users are expected, including also intermittent sources, in order to
4816 provide the useful ancillary services, key issue for the security of supply.
4817 In relation with the development of RES, new investments in the Transmission grid are obviously
4818 required for the grid access. But the introduction of large scale renewable energy source and also the
4819 development of interconnections have indeed an impact on the present assets. The load flows could
4820 change and some bottlenecks could temporarily appear in some parts of the transmission grid.
152
4821 In order to avoid costly solutions for bottlenecks with the replacement of assets, optimized solutions
4822 are required for a better use of the present transmission assets, especially a better knowledge on the
4823 real load capacity of assets should avoid some replacements.
4824 Aging equipment, dispersed generation as well as load increase might lead to highly utilized
4825 equipment during peak load conditions. If the upgrade of the power grid should be reduced to a
4826 minimum, new ways of operating power systems have be found and established. New methods,
4827 mainly based on the efforts of modern information and communication techniques, to operate power
4828 systems, are required to secure a sustainable, secure and competitive transmission grid.
4829 Condition monitoring can improve the use of existing infrastructure, thanks to all the relevant technical
4830 information to maintain availability and at the same time maximize performance, including optimized
4831 loading and lifetime benefits.
4832 It provides valuable information for the reliability of the grid. In addition, capacity data analysis can
4833 provide recommendations on how to maximize asset performance and can lever existing overloading
4834 capabilities, especially of transformers and overhead lines. This optimizes grid operation and grid
4835 asset management.
4836 While it is always possible to increase capacity margins to ensure secure operation, this will be costly.
4837 With better system modelling, capacity margins and, therefore, costs will be able to be optimized.
4838 d) Planning of the future network
4839 Outcome:
4840 • Relevant architecture for transmission grid, integrating efficient solutions to face the challenge of
4841 interoperability between the different profiles of the grid users, traditional and new, in a sustainable
4842 way.
4843 • The deployment of the new solutions needs a seamless integration into the overall system
4844 architecture of an energy management system, for optimized load flow and network stability.
4845 Provider: Manufacturers, TSOs.
4846 Primary beneficiaries: grid users (Customers, Generators, DSOs)

4848 • Enhance flexibility and controllability of power flows,
4849 • Identify solutions for the increased transmission capacity over long distances.
4850 • Facilitate the introduction of new technologies (HVDC, FACTS,…) in the present AC meshed
4851 transmission grid.
4852 • Solutions for the architecture of a submarine-grid, in order to optimize the integration of offshore
4853 wind farms.
4854 • Improve asset management, maintenance and replacement strategies in order to take into
4855 account the requirement of new solutions.
4856 • Adapt network simulation tools to new constraints (renewable integration, DC networks,…).
4857 • Adapt the network for a use with bidirectional flows.
4858 • Develop new design of overhead lines, with a higher degree of environmental compatibility and
4859 social acceptance.
4860 • Specify the adapted requirements for equipments installed in off-shore platforms, in order to
4861 withstand maritime stress,
4862 • Enhance the integration of HVAC overhead lines combined with underground cable sections.
153
4863 • Develop the most efficient architecture for a DC grid,

4864 • Develop network architecture with new transmission solutions as a complement to classic
4865 solutions,
4866 • Mitigate the social and environmental impact of the transmission infrastructure.
4867 • Develop new methodologies and criteria for power system operation and planning, allowing the
4868 use of new technologies.
4869 • Develop solution for conversion of HVAC (≤ 420 kV) overhead lines to HVDC overhead lines.
4870 • Define the voltage level for DC underground (or submarine) cables.
4871 Explanations:
4872 With the development of RES, the priority for TSOs is to provide access to the grid for the new grid
4873 users, with respect to the necessary requirements and in the most cost-efficient way possible.
4874 Nevertheless, the architecture and the design of the transmission grid should change to take account
4875 for new constraints in a more efficient way.
4876 The new constraints concern technical aspect (longer distance for connections, off-shore connections,
4877 ….), environmental aspect (high sensibility to environmental issues) and also system aspect (flexibility
4878 and controllability of load flows).
4879 Nevertheless, the traditional challenges of Transmission grid are still valid for the future.
4880 • Ensuring network operational security,
4881 • Providing an optimal amount of network capacity,
4882 • Minimising transmission losses,
4883 • Minimising demand for ancillaries services,
4884 • Guaranteeing satisfactory quality of electricity supply.
4885 Innovation is required to develop new grid solutions (e.g new design for overhead lines, AC and DC
4886 underground cables) and to improve network operations, making the power flows follow new routes to
4887 avoid congestion.
4888 Solutions exist yet :

4889 • FACTS technologies allow fast voltage control, increased transmission capacity over long lines,
4890 power flow control in meshed systems and power oscillation damping.
4891 • HVDC technologies offer new solutions for transmission of bulk power over long distances.
4892 • Components for DC grid.
4893 • Phase shifting transformers,
4894 • ….
4895 But the deployment of the new solutions needs a seamless integration into the overall system
4896 architecture of an energy management system, for optimized load flow and network stability.
4897 Moreover, with the development of distribution generation, standards for DER interconnection with
4898 power networks are required. In particular, with the development of off-shore wind farms, DC grid
4899 should grow for technical and economical reasons.
4900 Nevertheless, DC technology is quite new in transmission domain. Several issues should be studied,
4901 in order to find sustainable and efficient solutions for the transmission grid.
154
4902 These issues concern DC equipment, as well as DC grid topologies and of course interoperability of
4903 equipment.
4904 e) Improving market functioning and customer service
4905 Outcome: Increase the performance and reliability of current market processes through improved data
4906 and data flows between market participants, and so enhance customer experience. The impact for the
4907 Transmission network should be a reduction of congestion.
4908 Provider: Generators, power exchange platform providers, DSOs, electricity installer/contractor.
4909 Primary beneficiaries: Customers, suppliers, networks operators.

4911 • Improve the participation of all connected generators in the electricity market.
4912 • Develop solutions for participation of VPPs in the electricity market.
4913 • Improve new options for congestion management.
4914 • Develop solutions for consumer participation in the electricity market, including information on
4915 critical peak situations.
4916 Explanations:
4917 Increasingly efficient allocation of cross-border interconnection capacity.
4918 Solution to involve stakeholders in the ancillaries services issue.
4919 f) Enabling and encouraging direct involvement of consumers in the energy usage
4920 Outcome: Facilitate the active participation of all actors to the electricity market, through demand
4921 response signals and a more effective management of the variable and non-programmable distributed
4922 generation. Obtain the consequent benefits : peak reduction, reduced transmission network and
4923 generation investments, ability to integrate more intermittent generation.
4924 Provider: DSOs, generators.
4925 Primary beneficiaries: Consumers, network operators.

4927 • Aggregate distributed loads and distributed generation (Virtual Power Plants),
4928 • Improve provision of energy usage information, including levels of green energy available at
4929 relevant intervals and supply contract carbon footprint.
4930 • Elaborate signal for grid users in order to avoid constraints in the grid.
4931 Explanations:
4932 With the 20-20-20 goals, changes in customer’s behaviour are expected.
4933 Customers should be encouraged to modify their load profile according the constraints present in the
4934 electricity market.
4935 In complement to the transmission development, smart grids should provide a solution to improve the
4936 management of the transmission load flow, by involving the consumers.
155
4937 Based on signals sent to the consumers, transformed in “prosumers”, the increase of peak load could
4938 be at least reduced.
4939 Moreover, the “operational security” or reserve providing by DER for ancillary services of transmission
4940 grid could also involved in the “pro-sumers” category.
4941 In order to achieve this change of behaviour, TSOs should contribute to provide relevant information,
4942 data or signal to the grid users.
4943 Aggregators, like DSOs, should be an useful interface between distributed consumers and TSOs.
4944
156
4945 Annex 12 – Transmission – Existing standards

4947 • IEC 61400, Communication for monitoring and control of wind power plants, based on IEC 61850
4949 Telecommunication domain:
4950 • IEC 60870-5, Telecontrol equipment and systems – Part 5: Transmission protocols
4951 • IEC 60870-6, Telecontrol equipment and systems – Part 6: Telecontrol protocols compatible with
4952 ISO standards and ITU-T recommendations;TASE-2
4953 • IEC 61400-25, Wind turbines – Part 25-X: Communications for monitoring and control of wind
4954 power plants
4955 • IEC 61850, Communication networks and systems in substations
4956 • IEC 61970, Energy management system application program interface (EMS-API)
4957 • IEC 61968, Application integration at electric utilities – System interfaces for distribution
4958 management
4959 • IEC 62357, Power system control and associated communications – Reference architecture for
4960 object models, services and protocols
4961 In equipment domain :
4962 • IEC 61869 and IEC 60044-x, Instrument transformers

4963 • IEC 62271-3, High-voltage switchgear and controlgear – Part 3: Digital interfaces based on
4964 IEC 61850
4966 IEC 60076-7, Loading guide for oil-immersed power transformers
4967 IEC 62271-1, High voltage switchgear and controlgear – Part 1: Common specifications
4968 IEC 60287-1, Electric cables – calculation of the current rating
4969 Besides the IEC standards, there are some publications of TSOs addressing the security of supply
4970 issue (for instance for French Transmission System Operator): http://www.rte-france.com/fr/nos-
4971 activites/notre-expertise/gestion-du-reseau/securiser-le-reseau/veiller-a-la-surete-du-systeme
4973 For on new technologies applicable to transmission:

4974 • IEC 60633, Ed 2.0, Terminology for high voltage direct current (HVDC) transmission)
4975 • IEC/TR 60919 (series) Performance of high voltage direct current (HVDC) systems with line-
4976 commuted converters
4977 • IEC 60700-1, Ed.1.2, Thyristor valves for high voltage direct current (HVDC) power transmission –
4978 Part 1 : Electrical testing
4979 • IEC 61954, Ed.1.1, Power electronics for electrical transmission and distribution systems –
4980 Testing of thyristor valves for static VAR compensators
157
4981 • IEC 61803, Ed.1, Determination of power losses in high-voltage direct current (HVDC) converter
4982 stations.
4983 • IEC 60255, Electrical relays
4984 • IEC 60834, Teleprotection equipment of power systems
4985 • IEC 60495, Single sideband power-line carrier terminals
4986 • IEC 61869, Instrument transformers
4987 • IEC 60909, Short Circuit currents in three phase AC systems
4988 For interoperability with other domains:

4989 • IEC 61727, Photovoltaic systems – characteristics of the utility interface
4990 • IEEE 1547 series, Interconnected Distributed Resources with Electric Power Systems
4991 • IEC 60870-5, Telecontrol equipment and systems
4992 • IEC 61850, Communication networks and systems in substations
4993 • IEC 61970, Energy management system application
4994 • IEC 62357, Power system control and associated communications – Reference architecture for
4995 object models, services and protocols
4996 • IEC 62351, Power systems management and associated information exchange
4997 For secure communication:

4998 IEC 62351, Power systems management and associated information exchange – data communication
4999 security
5000 White paper “Requirements for secure control and telecommunication system” BEDW-Germany.
5001 e) Grid market
5002 • IEC 62325, Framework for energy market communications

5003 (To be completed)
5004 f) Prosumers
5005 (To be completed after checking the list of other topics)
158
5006 Annex 13 – Transmission – Advanced EMS architecture
5007
5008 Figure A13.1 – Overview of advanced EMS architecture
5009 The IEC 62357 Reference Architecture gives an overview (figure above) on the useful standards in the
5010 domain of interoperability for power utility.
5011
159
5012 Annex 14 – Distribution high level services:

5013 details/explanations
5014 a) Enabling the network to integrate users with new requirements
5015 Outcome: Guarantee the integration of distributed energy resources (both large and small-scale
5016 stochastic renewable generation, heat pumps, electric vehicles) connected to the distribution network.
5017 Provider: DSOs
5018 Primary beneficiaries: Generators, consumers (including mobile consumers), storage owners.

5020 • Facilitate connections at all voltages/locations for all existing and future devices with SG solutions
5021 through availability of technical data and additional grid information to facilitate connection of new
5022 load types, particularly EV;
5023 • Better use of the grid for the users at all voltages/locations, including in particular renewable
5024 generators.
5025 • Allow the network control systems to be able to register the technical capabilities of connected
5026 users/devices; allow using them for network purposes (ancillary services).
5027 • Updated network performance on continuity of supply and voltage quality to inform connected
5028 users and prospective users.
5029 b) Enhancing efficiency in day-to-day grid operation
5030 Outcome: Optimize the management of distribution assets and improve the efficiency of the network
5031 at MV as well as LV level through enhanced automation, information on assets performance,
5032 monitoring, protection and outage management. Faster fault identification/resolution will help improve
5033 continuity of supply levels.
5034 Better understanding and management of technical and non-technical losses, and optimized asset
5035 maintenance activities based on detailed operational information.
5036 Provider: DSOs, metering operators
5037 Primary beneficiaries: DSOs, consumers.

5039 • Improved automated fault identification and optimal grid reconfiguration after faults reducing
5040 outage times:
5041 • using dynamic protection and automation schemes with additional information in presence of
5042 distributed generation;
5043 • strengthening Distribution Management Systems of distribution grids.
5044 • Enhance monitoring and control of power flows and voltages.
5045 • Enhance monitoring and observability of grids down to low voltage levels, even with the use of
5046 smart metering infrastructure.
5047 • Improved monitoring of network assets in order to enhance efficiency in day-to-day network
5048 operation and maintenance (proactive, condition based, operation history based maintenance).
5049 • Identification of technical and non technical losses through power flow analysis, network balances
5050 calculation and smart metering information.
160
5051 • Frequent information on actual active/reactive injection/withdrawals by generation and flexible

5052 consumption among DSOs and TSO.
5053 c) Ensuring network security, system control and quality of supply
5054 Outcome: Foster system security through an intelligent and more effective control of distributed
5055 energy resources, ancillary back-up reserves and other ancillary services. Maximize the capability of
5056 the network to manage intermittent generation, without adversely affecting quality of supply
5057 parameters.
5058 Provider: DSOs, metering operators, aggregators, suppliers, generators, consumers, storage
5059 owners.
5060 Primary beneficiaries: Generators, consumers, suppliers, ESCOs.

5062 • Develop smart grids solutions to allow grid users and aggregators to participate in an ancillary
5063 services market to enhance network operation.
5064 • Solutions for demand response and load control, in order to guarantee quality and continuity of
5065 supply.
5066 • Improved operation schemes for voltage/current control taking into account ancillary services.
5067 • Solutions to allow intermittent sources of generation to contribute to system security through
5068 automation and control.
5069 • System security assessment and management of remedies, including actions against terrorist
5070 attacks, cyber threats, actions during emergencies, exceptional weather events and force majeure
5071 events.
5072 • Improve monitoring of safety particularly in public areas during network operations.
5073 • Solutions for demand response for system security purposes in required response times.
5074 d) Enabling better planning of future network investment
5075 Outcome: Collection and use of data to enable more accurate modelling at LV level in order to
5076 optimize infrastructure requirements and so reduce their environmental impact. Introduction of new
5077 methodologies for more ‘active’ distribution, exploiting active and reactive control capabilities of
5078 distributed energy resources.
5079 Provider: DSOs, metering operators.
5080 Primary beneficiaries: DSOs, consumers, generators.

5082 • Better models of distributed generation, storage, flexible loads (including EV), and ancillary
5083 services provided by them for an improvement of infrastructure planning.
5084 • Improved asset management and replacement strategies by information on actual/forecasted
5085 network utilization.
5086 • Additional information on grid quality performance and consumption made available by smart
5087 metering infrastructure to support network investment planning.
161
5088 e) Improving market functioning and customer service
5089 Outcome: Increase the performance and reliability of current and incoming new market processes
5090 related to e.g. billing, change of supplier and change of tenancy, through improved data and dataflows
5091 between market participants and the necessary framework to enable and promote energy efficiency
5092 and services development, and so enhance customer experience.
5093 Provider: DSOs, ICT hub providers, power exchange platform providers, suppliers
5094 Primary beneficiaries: Consumers, suppliers, ICT hub providers

5096 • Solutions for participation of all connected generators in the electricity market.
5097 • Solutions for participation of VPPs and aggregators in the electricity market, where appropriate
5098 through access to the register of technical capabilities of connected users/devices.
5099 • Solutions for consumer participation in the electricity market, allowing market participants to offer:
5100 o time of use energy pricing, dynamic energy pricing and critical peak pricing;
5101 o demand response / load control programmes.
5102 • Grid solutions for EV recharging:
5103 o Open platform grid infrastructure for EV recharge purposes accessible to all market players
5104 and customers.
5105 o Smart Control of the recharging process through load management functionalities of EV.
5106 • Improved industry systems for settlement, system balance, scheduling and forecasting and
5107 customer switching.
5108 • Grid support to intelligent home/facilities automation and smart devices by consumers.
5109 • Individual advance notice for planned interruptions.
5110 • Customer level reporting in event of interruptions (during, and after event).
5111 f) Enabling and encouraging stronger and more direct involvement of consumers in their
5112 energy usage
5113 Outcome: Foster greater consumption awareness though improved customer information, in order to
5114 allow consumers to modify their behaviour according to price and load signals and related information.
5115 Promote the active participation of all actors to the electricity market, through demand response
5116 programmes and a more effective management of the variable and non-programmable generation.
5117 Obtain the consequent system benefits: peak reduction, reduced network investments.
5118 Provider: Suppliers (with metering operators and DSOs), aggregators, ESCOs.
5119 Primary beneficiaries: Consumers, generators, suppliers, DSOs.

5121 • Sufficient frequency of meter readings, measurement granularity for consumption/injection
5122 metering data (e.g. interval metering, active and reactive power, etc).
5123 • Remote management of meters.
5124 • Consumption/injection data and price signal via meter, via portal or other ways including home
5125 displays, as best suited to consumers.
162
5126 • Improved provision of energy usage information, including levels of green energy available at
5127 relevant intervals and supply contract carbon footprint.
5128 • Improved information on energy sources.
5129 • Individual continuity of supply and voltage quality indicators via meter, via portal or other ways
5130 including home displays.
5131
163
5132 Annex 15 – Home and building automation

5133 Extract of Standards, which defines profiles/services or functions in Home and Building Automation
Area Standard Organisation

HBES EN 50090 (CENELEC), VDE 0829-x (DKE), ISO/IEC 14543-3-x DKE 716
(KNX) (ISO/IEC) CENELEC TC 205
ISO/IEC JTC 1
BACS EN 13321 CEN
(KNX)
BACS EN ISO 14908 ISO; CEN
(LON)
HBES/ EN 50491 CEN/CENELEC
BACS JWG TC247/TC205
(neutral)
BACnet EN ISO 16484 ISO, CEN/TC247
UPnP ISO/IEC 29341 ISO/IEC
Zigbee IEEE 802.15.4 IEEE
Bluetooth IEEE 802.15.1 IEEE
5134
164

JWG report on standards for smart grids

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3 JWG report on standards for smart grids – V1.0

11 1. Executive summary .......................................................................................................................... 5

48 Annex 1 – Summary list of recommendations ....................................................................................... 80

57 Annex 10 – Generation ........................................................................................................................ 146

65 Figure 1 – Key elements of a sustainable energy system ....................................................................... 6

95 Figure A7.8c – The governance and re-evaluation cycle .................................................................... 125

110 1. Executive summary

122 • Use a top down approach

179 Figure 1 – Key elements of a sustainable energy system

189 2.1 Basic idea of smart grids

203 Source: [1]

204 Figure 2 – Future network

214 The addressed challenges and opportunities include:

240 2.2 Current political background in Europe

290 2.3 Aim of a European standardization report

301 <<start of EG1 report extract>>

304 The report should address:

322 <<end of EG1 report extract>>

337 2.4 Activities around the world

349 The following gives a short overview of various studies:

370 • German Standardization Roadmap E-Energy / Smart Grid [12]

480 3. Description of the overall concept

502 3.2 Procedure

538 4. European standardization and regulation landscape

543 G-1 Further development of the report

547 G-2 International standards as base for promoting EU economy

553 G-3 Speed of implementation – reuse existing

560 G-4 Concentrate on future proof standardization

575 G-6 Adapt standardization process

583 4.2 European Standardization Organizations (ESOs)

593 O-1 Extend timeframe and scope of JWG Smart Grids

597 O-2 Marketing of ESOs effort in Smart Grids

608 O-3 Mandates in relation to Smart Grids

613 5. Status of standardization

616 5.1.1.1 Description

625 Draft 617-04-13 smart grid, intelligent grid

630 5.1.1.2 Existing standards

Roadmap structure Content Source of definitions

General, architecture, concepts Smart grid IEV 617

Communication Telecontrol IEC 60870-1-3, IEV 371

Information security NIST key security terms

Smart metering SMCG Glossary

Roadmap structure Content Source of definitions

Industry, energy management Energy management CEN/CENELEC TR 16103

In house automation Home Electronic System (HES) ISO/IEC 15044

Market and actors IEV 617

NOTE List of Terminology publications related to smart grids

633 5.1.1.3 Gaps

651 5.1.1.4 Recommendations

652 Overview of existing glossaries to be complemented with Telecom domain terms

653 Term-1 : Harmonization of glossaries

657 <<start of IEC SG3 roadmap extract>>

658 Object Identification, Product Classification, Properties and Documentation

673 Another issue is documentation. In order to support consistency and common

675 Existing standards

676 Identification of objects:

686 Classification of objects:

692 Electronic product description activities:

706 IEC/PAS 62569-1, Generic specification of information on products – Part 1: Principles

708 IEC/PAS 62569-2, Generic specification of information on products – Part 2 – Structure of

714 <<end of IEC SG3 roadmap extract>>