Nist Framework And Roadmap For Smart Grid Interoperability ...
NIST Draft Publication
NIST Framework and Roadmap for
Smart Grid Interoperability Standards
Release 1.0 (Draft)
Office of the National Coordinator for Smart Grid Interoperability
NIST Draft Publication
NIST Framework and Roadmap for
Smart Grid Interoperability Standards
Release 1.0 (Draft)
Office of the National Coordinator for Smart Grid Interoperability
September 2009
U.S. Department of Commerce
Gary Locke, Secretary
National Institute of Standards and Technology
Patrick D. Gallagher, Deputy Director
NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
Table of Contents
Executive Summary ........................................................................................................................ 5
1
Purpose and Scope .................................................................................................................. 8
1.1
Overview and Background............................................................................................... 8
1.2
How This Report Was Produced...................................................................................... 9
1.3
Key Concepts ................................................................................................................. 11
1.3.1
Definitions............................................................................................................... 11
1.3.2
Applications and Requirements: Eight Priority Areas............................................ 12
1.4
Content Overview .......................................................................................................... 13
2
Smart Grid Vision ................................................................................................................. 15
2.1
Overview ........................................................................................................................ 15
2.2
Importance to National Energy Policy Goals................................................................. 17
2.3
Key Attributes ................................................................................................................ 19
2.3.1
Mature Requirements.............................................................................................. 19
2.3.2
Defined Architectures ............................................................................................. 19
2.3.3
Different Layers of Interoperability........................................................................ 20
2.3.4
Standards and Conformance ................................................................................... 21
3
Conceptual Reference Model................................................................................................ 23
3.1
Overview ........................................................................................................................ 23
3.2
Description of Conceptual Model .................................................................................. 24
3.3
Models for Smart Grid Information Networks............................................................... 26
3.3.1
Information Networks............................................................................................. 26
3.3.2
Security for Smart Grid information networks ....................................................... 28
3.3.3
IP-Based Networks ................................................................................................. 29
3.3.4
Smart Grid and the Public Internet – Security Concerns........................................ 29
3.3.5
Technologies for Smart Grid Communication Infrastructure................................. 30
3.4
Use Case Overview ........................................................................................................ 30
4
Standards Identified for Implementation .............................................................................. 32
4.1
Overview of the Process................................................................................................. 32
4.2
List of Standards After Initial Comments ...................................................................... 32
4.3
Standards for Further Consideration .............................................................................. 38
NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
5
Priority Action Plans............................................................................................................. 48
5.1
Overview ........................................................................................................................ 48
5.2
Develop Common Specification for Price and Product Definition................................ 49
5.3
Develop Common Scheduling Mechanism for Energy Transactions ............................ 51
5.4
Develop Common Information Model (CIM) for Distribution Grid Management ....... 52
5.5
Standard Demand Response Signals .............................................................................. 54
5.6
Standards for Energy Usage Information....................................................................... 56
5.7
IEC 61850 Objects/DNP3 Mapping............................................................................... 57
5.8
Time Synchronization .................................................................................................... 59
5.9
Transmission and Distribution Power Systems Model Mapping................................... 61
5.10 Guidelines for the Use of IP Protocol Suite in the Smart Grid ...................................... 63
5.11 Guidelines for the Use of Wireless Communications .................................................... 65
5.12 Energy Storage Interconnection Guidelines................................................................... 66
5.13 Interoperability Standards to Support Plug-in Electric Vehicles ................................... 69
5.14 Standard Meter Data Profiles ......................................................................................... 71
6
Cyber Security Risk Management Framework and Strategy................................................ 73
6.1
Overview ........................................................................................................................ 73
6.2
Cyber Security and Critical Infrastructure ..................................................................... 73
6.3
Scope, Risks, and Definitions ........................................................................................ 74
6.4
Smart Grid Cyber Security Strategy............................................................................... 75
6.5
Time Line and Deliverables ........................................................................................... 79
7
Next Steps ............................................................................................................................. 80
7.1
Phase 2 – Smart Grid Interoperability Panel.................................................................. 80
7.2
Smart Grid Conformity Testing ..................................................................................... 80
7.3
Other Issues that Must be Addressed ............................................................................. 81
7.3.1
Affordability and Availability of Standards and Design Information .................... 81
7.3.2
Electromagnetic Disturbances ................................................................................ 82
7.3.3
Electromagnetic Interference .................................................................................. 83
7.3.4
Privacy Issues in the Smart Grid............................................................................. 83
7.3.5
Safety ...................................................................................................................... 85
8
List of Acronyms .................................................................................................................. 86
NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
Executive Summary
Background
Under the Energy Independence and Security Act (EISA) of 2007, the National Institute of
Standards and Technology (NIST) is assigned “primary responsibility to coordinate development
of a framework that includes protocols and model standards for information management to
achieve interoperability of Smart Grid devices and systems…” [EISA Title XIII, Section 1305].
There is an urgent need to establish these standards. Deployment of various Smart Grid
elements, such as smart meters, is already underway and will be accelerated as a result of
Department of Energy (DOE) Investment Grants. Without standards, there is the potential for
these investments to become prematurely obsolete or to be implemented without necessary
measures to ensure security.
Recognizing the urgency, NIST developed a three-phase plan to accelerate the identification of
standards while establishing a robust framework for the longer-term evolution of the standards
and establishment of testing and certification procedures. In May 2009, U.S. Secretary of
Commerce Gary Locke and U.S. Secretary of Energy Steven Chu chaired a meeting of nearly 70
executives from the power, information technology, and other industries at which they expressed
their organizations’ commitment to support NIST’s plan.
This report is the output of Phase 1. It describes a high-level reference model for the Smart Grid,
identifies nearly 80 existing standards that can be used now to support Smart Grid development,
identifies 14 high priority gaps, plus cyber security, for which new or revised standards are
needed, documents action plans with aggressive timelines by which designated Standards
Development Organizations are tasked to fill these gaps, and describes the strategy being
pursued to establish standards for ensuring cyber security of the Smart Grid.
Input to this report was provided through three public workshops, in April, May and August
2009, in which more than 1500 individuals representing hundreds of organizations participated.
It is being released for public review and comment prior to finalization in the fourth quarter of
2009.
Summary of Key Elements Included in the Report
Smart Grid Conceptual Reference Model
The Smart Grid is a very complex system of systems. There needs to be a shared understanding
of its major building blocks and how they inter-relate (an architectural reference model) in order
to analyze use cases, identify interfaces for which interoperability standards are needed, and to
develop a cyber security strategy. The NIST Smart Grid Conceptual Reference Model identifies
seven domains (bulk generation, transmission, distribution, markets, operations, service provider,
and customer) and major actors and applications within each. The reference model also
identifies interfaces among domains and actors and applications over which information must be
exchanged and for which interoperability standards are needed. The Smart Grid Conceptual
Reference Model described in this report will be further developed and maintained by a Smart
Grid Architecture Board, to be established as a subcommittee of the Smart Grid Interoperability
Panel (the Panel being established by NIST).
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NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
Priorities for Standardization
The Smart Grid will ultimately require hundreds of standards. Some are more urgently needed
than others. To prioritize its work, NIST chose to focus on standards needed to address the
priorities identified in the Federal Energy Regulatory Commission (FERC) Policy Statement plus
four additional items representing cross-cutting needs or major areas of near-term investment by
utilities. The priority areas are:
• Demand Response and Consumer Energy Efficiency
• Wide Area Situational Awareness
• Electric Storage
• Electric Transportation
• Advanced Metering Infrastructure
• Distribution Grid Management
• Cyber Security
• Network Communications
Standards Identified for Implementation
In April 2009 NIST identified 16 initial standards for the Smart Grid for which it believed there
was strong stakeholder consensus. As a result of public comments on this list and subsequent
analysis, this list has now been expanded to 31 standards. An additional 46 standards were also
identified as potentially applicable to the Smart Grid through the workshop process; however
NIST seeks further public comment on these additional standards before deciding on their
inclusion in the final version of this document.
Priority Action Plans
Through the NIST workshops, it was determined that many of the standards noted above require
revision or enhancement to satisfactorily address Smart Grid requirements. In addition, gaps
requiring new standards to be developed were identified. A total of 70 gaps and issues were
identified. Of these, NIST selected 14 for which resolution is most urgently needed to support
one or more of the Smart Grid priority areas. For each, an action plan has been developed,
specific organizations tasked, and aggressive milestones in 2009 or early 2010 established. One
action plan has already been completed. The Priority Action Plans and targets for completion
are:
• Smart meter upgradeability standard (completed)
• Common specification for price and product definition (early 2010)
• Common scheduling mechanism for energy transactions (year-end 2009)
• Common information model for distribution grid management (year-end 2010)
• Standard demand response signals (January 2010)
• Standard for energy use information (January 2010)
• IEC 61850 Objects / DNP3 Mapping (2010)
• Time synchronization (mid-2010)
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NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
• Transmission and distribution power systems models mapping (year-end 2010)
• Guidelines for use of IP protocol suite in the Smart Grid (mid-year 2010)
• Guidelines for use of wireless communications in the Smart Grid (mid-year 2010)
• Electric storage interconnection guidelines (mid-2010)
• Interoperability standards to support plug-in electric vehicles (December 2010)
• Standard meter data profiles (year-end 2010)
Cyber Security
Ensuring cyber security of the Smart Grid is a critical priority. To achieve this requires that
security be designed in at the architectural level. A NIST-led Cyber Security Coordination Task
Group consisting of more than 200 participants from the private and public sectors is leading the
development of a cyber security strategy and requirements for the Smart Grid. The task group is
identifying use cases with cyber security considerations, performing a risk assessment including
assessing vulnerabilities, threats and impacts, developing a security architecture linked to the
Smart Grid conceptual reference model, and documenting and tailoring security requirements to
provide adequate protection. Results of the task group’s work to date are in a companion 240
page document, NIST IR 7628 (draft), which will be available soon.
The Advanced Metering Infrastructure (AMI) is a key part of the Smart Grid that has raised
security concerns. These are being addressed by the Advanced Security Acceleration Project –
Smart Grid. The ASAP-SG is a collaborative effort of EnerNex Corporation, multiple major
North American utilities, the NIST, and the DOE, including resources from Oak Ridge National
Laboratory and the Software Engineering Institute of Carnegie Mellon University. A detailed
set of security requirements for the AMI are included in the companion NIST IR 7628 (draft).
Next steps
The reference model, standards, gaps and action plans described in this document provide an
initial foundation for a secure, interoperable Smart Grid. However it is only the beginning of an
ongoing process that is needed to create the full set of standards that will be needed and manage
their evolution in response to new requirements and technologies. A public-private partnership,
the Smart Grid Interoperability Panel will be established by the end of 2009 to provide a more
permanent organizational structure to support the ongoing evolution of the framework.
A robust framework for testing and certification of Smart Grid devices and systems must also be
established to ensure interoperability and cyber security. NIST has initiated work to plan such a
framework in consultation with stakeholders and will initiate implementation steps in 2010.
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NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
1
Purpose and Scope
1.1 Overview and Background
Under the Energy Independence and Security Act (EISA) of 2007, the National Institute of
Standards and Technology (NIST) is assigned “primary responsibility to coordinate development
of a framework that includes protocols and model standards for information management to
achieve interoperability of smart grid devices and systems…” [EISA Title XIII, Section 1305]
There is an urgent need to establish standards. Some Smart Grid devices, such as smart meters,
are moving beyond the pilot stage into large-scale deployment. DOE investment grants will
accelerate this. In the absence of standards, there is a risk that these investments will become
prematurely obsolete or, worse,
be implemented without
NIST Plan for Interoperability Standards
adequate security measures.
To carry out its EISA-assigned responsibilities, NIST devised a
Lack of standards may also
three-phase plan to rapidly identify an initial set of standards,
impede the realization of
while providing a robust process for continued development
promising applications, such as
and implementation of standards as needs and opportunities
smart appliances that are
arise and as technology advances.
responsive to price and demand
response signals. In early 2009,
• Engage stakeholders in a participatory public
process to identify applicable standards and
recognizing the urgency, NIST
requirements, gaps in currently available standards
intensified and expedited efforts
and priorities for additional standardization
to accelerate progress in
activities. With the support of outside technical experts
identifying and actively
working under contract, NIST has compiled and
coordinating the development of
incorporated stakeholder inputs from three public
workshops, as well as technical contributions from
the underpinning interoperability
expert working groups and a cyber security
standards.
coordination task group, into the NIST-coordinated
standards-roadmapping effort.
In May 2009, U.S. Secretary of
Commerce Gary Locke and U.S.
• Establish a standards panel forum to drive longer-
Secretary of Energy Steven Chu
term progress. A representative, reliable, and
chaired a meeting of nearly 70
responsive organizational forum is needed to sustain
continued development of interoperability standards.
executives from the power,
By the end of 2009, NIST plans to establish a Smart
information technology, and
Grid Interoperability Panel to serve this function.
other industries at which they
expressed their organizations’
• Develop and implement a framework for testing
commitment to support NIST’s
and certification. Testing and certification of how
standards are implemented in Smart Grid devices,
plan.
systems, and processes are essential to ensure
This report, NIST Framework
interoperability and security under realistic operating
conditions. NIST, in consultation with stakeholders,
and Roadmap for Smart Grid
plans to develop an overall framework for testing and
Interoperability Standards,
certification, with initial steps completed by the end of
Release 1.0 (draft for public
2009.
review and comment), is an
output of NIST’s approach to expediting development of key standards and requirements that
will enable the networked devices and systems that make up the envisioned Smart Grid to
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NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
communicate and work with each other. This approach constitutes the NIST framework and is
based on a three-phase plan to accelerate development and implementation of key standards
essential to progress toward realizing the Smart Grid vision. (See box above.)
This report is an output of the first phase. The majority of the document is devoted to presenting
the initial standards and priorities to achieve interoperability of smart grid devices and systems.
It contains:
• a conceptual reference model to facilitate design of an architecture for the Smart Grid
overall and for its networked domains;
• an initial set of 77 identified standards for the Smart Grid;
• priorities for additional standards and revisions to existing standards necessary to resolve
important gaps and to assure the interoperability, reliability, and security of Smart Grid
components;
• initial steps toward a Smart Grid cyber security strategy and requirements document
using a high-level risk assessment process; and
• action plans with aggressive timelines by which designated standards development
organizations (SDOs) with expertise in Smart Grid domains or technology areas are
tasked to fill gaps.
This document is a draft release— in an ongoing standards and harmonization process that
ultimately will deliver the hundreds of communication protocols, standard interfaces, and other
widely accepted and adopted technical specifications necessary to build an advanced, secure
electric power grid with two-way communication and control capabilities. The final version of
Release 1.0, which will be issued later in 2009, also will serve to guide the work of a Smart Grid
Interoperability Panel that also is being established as part of the NIST framework for achieving
end-to-end interoperability. A key component of the second phase of the NIST Plan for
Interoperability Standards, the panel, which will be composed of representatives of Smart Grid
stakeholders, will support NIST to identify, prioritize and address new and emerging
requirements for Smart Grid interoperability and security beyond Release 1.0.
The results of NIST’s ongoing work on standards for the Smart Grid also provides input to
FERC, which under EISA is charged with instituting, once sufficient consensus is achieved,
rulemaking proceedings to adopt the standards and protocols necessary to ensure Smart Grid
functionality and interoperability in interstate transmission of electric power, and in regional and
wholesale electricity markets.
1.2 How This Report Was Produced
This report distills insights, analyses, and recommendations from the general public, proffered
during stakeholder-engagement workshops that have involved over 1,500 people. Participants at
the first three workshops (April 28-29, 2009; May 19-20, 2009; August 3-4, 2009) represented a
broad range of technical expertise and a diversity of stakeholder perspectives, including power
transmission and distribution, information and communications technology, energy storage,
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NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
smart buildings, state and federal regulators, and consumers. Significant portions of these
workshops were devoted to developing use cases and generating requirements to be addressed by
interoperability standards. Use cases are a systems engineering tool for defining a systems
behavior from the perspective of users. In effect, a use case is a story told in structure and
detailed steps—scenarios for specifying required usages of a system, including how a
component, subsystem, or system should respond to a request that originates elsewhere.
In addition, NIST drew on the technical contribution of domain expert working groups (DEWGs)
that it established in 2008 in partnership with DOE’s GridWise Architecture Council (GWAC) to
provide an open, regular means of collaboration among technical experts interested in furthering
the goal of Smart Grid interoperability.1 Involving more than 350 people representing 100
different organizations, the DEWGs developed domain-specific requirements for Smart Grid
functionality and interoperability, identified cyber security risks and vulnerability, and engaged
in other technical, foundation-setting activities
Also, in April 2009, NIST awarded a contract to the Electric Power Research Institute, Inc.
(EPRI), a private non-profit research organization to facilitate the April and May stakeholder
workshops. Following the workshops, EPRI—using its technical expertise—then compiled,
distilled, organized and refined stakeholder contributions, and integrated the results with
previously prepared information, and produced a Report to NIST on the Smart Grid
Interoperability Standards Roadmap.2 Delivered to NIST in mid-June 2009, the report identified
issues and proposed priorities for developing interoperability standards and conceptual reference
models for a U.S. Smart Grid. The report listed more than 80 existing standards that might be
applied or adapted to Smart Grid interoperability or cyber security needs, and identified more
than 70 standardization gaps and issues.
The EPRI-prepared document was made available for public review and comment.3 NIST
consulted the report and evaluated the comments received as it drafted this standards roadmap.
A key intermediate NIST output was a distillation of 15 priorities4 that, in addition to the long-
standing, cross-cutting requirement for cyber security, NIST proposed for immediate, focused
action by standards development organizations (SDOs) and stakeholder groups. The priority
action plans (PAPs) and the status of cyber-security efforts were reviewed and further developed
1 Organized by Smart Grid domains, the six DEWGs are: transmission and distribution, building to grid, industry to
grid, home to grid, business and policy, and a cross-cutting cyber security coordination task group. An additional
working group on electric-vehicle-to-grid issues has recently been initiated.
2 Report to NIST on the Smart Grid Interoperability Standards Roadmap (Contract No. SB1341-09-CN-0031—
Deliverable 7) Prepared by the Electric Power Research Institute (EPRI), June 17, 2009. Available at:
http://www.nist.gov/smartgrid/
3 Request for Comments on “Report to NIST on the Smart Grid Interoperability Standards Roadmap”
4 One of these priority areas, Data Tables Common Semantic Model for Meter Data Tables, was deemed important;
however, the consensus with stakeholders was to address this PAP after some of these other pressing needs have
been met.
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NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
at a public workshop, held on August 3 and 4, 2009. With representatives of more than 20
standards organizations among the participants, the workshop was devoted to discussing
individual SDO and stakeholder perspectives on the evolving roadmap for Smart Grid
interoperability standards, reaching agreement on which organizations should resolve specific
standards needs, and developing plans and setting timelines for meeting these responsibilities as
described in the PAPs. Progress on the PAPs and cyber security is summarized in Chapters 5
and 6.
1.3 Key Concepts
Although it only makes up one aspect of building a Smart Grid infrastructure, the expedited
development of an interoperability framework and a roadmap for underpinning standards is key
to the realization of a modernized, smart electric power grid.
Technical contributions from numerous stakeholder communities will be required to realize this
national priority. Because of the diversity of technical and industrial perspectives involved, most
participants in the roadmapping effort are familiar with small subsets of Smart Grid-related
standards. Few have detailed knowledge of all pertinent standards, even in their own industrial
and technical area.
This report contributes to achieving the widely shared understanding of standards-related
priorities, strengths and weaknesses of individual standards, and inter-domain functionality and
cyber security requirements that are critical to realization of the Smart Grid.
1.3.1 Definitions
Several important terms appear throughout the roadmap. Definitions of some may vary among
stakeholders. To facilitate clear stakeholder discourse, NIST has defined five key terms as
follows:
Architecture: Philosophy and structural patterns encompassing technical and business designs,
demonstrations, implementations, and standards that, together, convey a common
understanding of the Smart Grid. The architecture embodies high-level principles and
requirements that designs of Smart Grid applications and systems must satisfy.5
Cyber Security: The protection required to ensure confidentiality, integrity and availability of
the electronic information communication systems.
Harmonization: The process of achieving technical equivalency and enabling interchangeability
between different standards with overlapping functionality. Harmonization requires an
architecture that documents key points of interoperability and associated interfaces.
Interoperability: The capability of two or more networks, systems, devices, applications, or
components to exchange and readily use information—securely, effectively, and with little or
5 Pacific Northwest National Laboratory, U.S. Department of Energy. GridwiseTM Architecture Tenets and
Illustrations, PNNL-SA-39480 October 2003.
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NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
no inconvenience to the user.6 The Smart Grid will be a system of interoperable systems.
That is, different systems will be able to exchange meaningful, actionable information. The
systems will share a common meaning of the exchanged information, and this information
will elicit agreed-upon types of response. The reliability, fidelity, and security of information
exchanges between and among Smart Grid systems must achieve requisite performance
levels.7
Reference Model: A set of views (diagrams) and descriptions that are the basis for discussing
the characteristics, uses, behavior, interfaces, requirements and standards of the Smart Grid.
This does not represent the final architecture of the Smart Grid; rather it is a tool for
describing, discussing, and developing that architecture.
Requirement: (1) A condition or capability needed by a user to solve a problem or achieve an
objective. (2) A condition or capability that must be met or possessed by a system or system
component to satisfy a contract, standard, specification, or other formally imposed
documents.8
Standards: Specifications that establish the fitness of a product for a particular use or that
define the function and performance of a device or system. Standards are key facilitators of
compatibility and interoperability. They define specifications for languages, communication
protocols, data formats, linkages within and across systems, interfaces between software
applications and between hardware devices, and much more. Standards must be robust so
that they can be extended to accommodate future applications and technologies.
Voluntary consensus standards are developed by organizations following formal rules.
Government regulations may incorporate or reference voluntary standards.
1.3.2 Applications and Requirements: Eight Priority Areas
The Smart Grid will ultimately require hundreds of standards. Some are more urgently needed
than others. To prioritize its work, NIST chose to focus on six key functionalities plus cyber
security and network communications, aspects that are especially critical to ongoing and near-
term deployments of Smart Grid technologies and services. Four priority applications were
recommended by FERC in its policy statement:9
6 Recovery Act Financial Assistance, Funding Opportunity Announcement. U. S. Department of Energy, Office of
Electricity Delivery and Energy Reliability, Smart Grid Investment Grant Program Funding Opportunity Number:
DE-FOA-0000058.
7 GridWise Architecture Council, Interoperability Path Forward Whitepaper, November 30, 2005 (v1.0).
8 IEEE Std 610.12
9 Federal Energy Regulatory Commission, Smart Grid Policy, 128 FERC ¶ 61,060 [Docket No. PL09-4-000] July
16, 2009
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o Wide-area situational awareness: Monitoring and display of power-system components
and performance across interconnections and wide geographic areas in near real-time.
Goals of situational awareness are to enable understanding and, ultimately, optimize
management of power-network components, behavior, and performance, as well as to
anticipate, prevent, or respond to problems before disruptions can arise.
o Demand response: Mechanisms and incentives for utilities, business and residential
customers to cut energy use during times of peak demand or when power reliability is at
risk. Demand response is necessary for optimizing the balance of power supply and
demand.
o Electric storage: Means of storing electric power, directly or indirectly. The significant
bulk electric energy storage technology available today is pumped storage hydroelectric
technology. New storage capabilities—especially for distributed storage—would benefit
the entire grid, from generation to end use.
o Electric transportation: Refers, primarily, to enabling large-scale integration of plug-in
electric vehicles (PEVs). Electric transportation could significantly reduce U.S.
dependence on foreign oil, increase use of renewable sources of energy, and dramatically
reduce the nation’s carbon footprint.
Besides the FERC priority applications, two cross-cutting priorities—cyber security and network
communications—were included, and two other priority applications—advanced metering
infrastructure and distribution grid management—were added because they represent major areas
of near-term investment by utilities:
o Cyber security: Measures to ensure the confidentiality, integrity and availability of the
electronic information communication systems, necessary for the management and
protection of the Smart Grid’s energy, information technology, and telecommunications
these infrastructures.
o Network communications: Encompassing public and non-public networks, the Smart
Grid will require implementation and maintenance of appropriate security and access
controls tailored to the networking and communication requirements of different
applications, actors and domains.
o Advanced metering infrastructure (AMI): Primary means for utilities to interact with
meters at customer sites. In addition to basic meter reading, AMI systems provide two-
way communications that can be used by many functions and, as authorized, by third
parties to exchange information with customer devices and systems. AMI enables
customer awareness of electricity pricing on a real-time (or near real-time) basis, and it
can help utilities achieve necessary load reductions.
o Distribution grid management: Maximizing performance of feeders, transformers, and
other components of networked distribution systems and integrating with transmission
systems and customer operations.
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1.4 Content Overview
Chapter 2, “Smart Grid Vision,” provides a high-level description of the envisioned Smart Grid
and describes major organizational drivers, opportunities, challenges, and anticipated benefits.
Chapter 3, “Conceptual Reference Model” presents a set of views (diagrams) and descriptions
that are the basis for discussing the characteristics, uses, behavior, interfaces, requirements and
standards of the Smart Grid. Since the Smart Grid is an evolving networked system of systems,
the high-level model is a tool for developing the more detailed, formal Smart Grid architectures.
Chapter 4, “Standards Identified for Implementation,” presents and describes existing standards
and emerging specifications applicable to the Smart Grid. It includes descriptions of proposed
selection criteria, a general overview of the standards identified by stakeholders in the NIST-
coordinated process, and a discussion of their relevance to Smart Grid interoperability
requirements.
Chapter 5 describes 14 “Priority Action Plans,” to address standard-related gaps and issues for
which resolution is most urgently needed to support one or more of the Smart Grid priority areas.
For each, an action plan has been developed, specific organizations tasked, and aggressive
milestones in 2009 or early 2010 established. One—a plan to develop a smart meter
upgradeability standard—already has been completed. The full set of detailed priority action
plans, which are works in progress undergoing continuing development and refinement, can be
reviewed on-line at the NIST Smart Grid wiki.10
Chapter 6, “Cyber Security Risk Management Framework and Strategy,” reviews the criticality
of cyber security to the Smart Grid, and describes how this overriding priority is being
addressed.
The report concludes with a discussion, in Chapter 7 “Next Steps” of plans to establish a Smart
Grid Interoperability Panel to deal with the ongoing evolution of the framework, plans to
establish a testing and certification framework, and additional issues impacting standardization
efforts and progress toward realizing a safe, secure, innovation-enabling Smart Grid.
10 http://collaborate.nist.gov/twiki-sggrid/bin/view/SmartGrid/WebHome
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2
Smart Grid Vision
2.1 Overview
In the United States and many other countries, modernization of the electric power grid is central
to national efforts to increase energy efficiency, transition to renewable sources of energy,
reduce greenhouse gas emissions, and build a sustainable economy that ensures prosperity for
current and future generations. Around the world, billions of dollars are being spent to build
elements of what ultimately will be “smart” electric power grids.
Definitions and terminology vary somewhat. But whether called “Smart,” “smart,” “smarter,” or
even “supersmart,” all notions of an advanced power grid for the 21st century hinge on adding
and integrating many varieties of digital computing and communication technologies and
services with the power-delivery infrastructure. Bi-directional flows of energy and two-way
communication and control capabilities will enable an array of new functionalities and
applications that go well beyond “smart” meters for homes and businesses. The Energy
Independence and Security Act (EISA) of 2007, which directed NIST to coordinate development
of this framework and roadmap, states that support for creation of a Smart Grid is the national
policy. Distinguishing characteristics of the Smart Grid cited in the act include:11
• Increased use of digital information and controls technology to improve reliability,
security, and efficiency of the electric grid;
• Dynamic optimization of grid operations and resources, with full cyber security;
• Deployment and integration of distributed resources and generation, including renewable
resources;
• Development and incorporation of demand response, demand-side resources, and energy-
efficiency resources;
• Deployment of ‘‘smart’’ technologies for metering, communications concerning grid
operations and status, and distribution automation;
• Integration of ‘‘smart’’ appliances and consumer devices;
• Deployment and integration of advanced electricity storage and peak-shaving
technologies, including plug-in electric and hybrid electric vehicles, and thermal-storage
air conditioning;
• Provision to consumers of timely information and control options; and
• Development of standards for communication and interoperability of appliances and
equipment connected to the electric grid, including the infrastructure serving the grid.
The U.S. Department of Energy (DOE), which leads the overall federal Smart Grid effort
summarized the anticipated advantages enabled by the Smart Grid in its June 25, 2009 funding
opportunity announcement. The DOE statement explicitly recognizes the important enabling
role of an underpinning standards infrastructure:
11 Energy Independence and Security Act of 2007 [Public Law No: 110-140] Title XIII, Sec. 1301.
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The application of advanced digital technologies (i.e., microprocessor-based
measurement and control, communications, computing, and information systems) are
expected to greatly improve the reliability, security, interoperability, and efficiency of the
electric grid, while reducing environmental impacts and promoting economic growth.
Achieving enhanced connectivity and interoperability will require innovation, ingenuity,
and different applications, systems, and devices to operate seamlessly with one another,
involving the combined use of open system architecture, as an integration platform, and
commonly-shared technical standards and protocols for communications and information
systems. To realize smart grid capabilities, deployments must integrate a vast number of
smart devices and systems. 12
To monitor and assess progress of deployments in the United States, DOE is tracking activities
grouped under six chief characteristics of the envisioned Smart Grid:13
• Enables informed participation by customers;
• Accommodates all generation and storage options;
• Enables new products, services, and markets;
• Provides the power quality for the range of needs;
• Optimizes asset utilization and operating efficiently; and
• Operates resiliently to disturbances, attacks, and natural disasters.
Interoperability and cyber security standards identified under the NIST-coordinated process in
cooperation with DOE will underpin component, system-level, and network- wide performances
in each of these six important areas.
The framework described in the EISA describe several important characteristics. They include14:
• that it be “flexible, uniform and technology neutral, including but not limited to
technologies for managing smart grid information,”
• that it “accommodate traditional, centralized generation and transmission resources and
consumer distributed resources,”
• that it be “flexible to incorporate regional and organizational differences, and
technological innovations,” and
• that it “consider the use of voluntary uniform standards” that “incorporate appropriate
manufacturer lead time.”
12 U. S. Department of Energy, Office of Electricity Delivery and Energy Reliability, Recovery Act Financial
Assistance Funding Opportunity Announcement, Smart Grid Investment Grant Program, DE-FOA-0000058, June
25, 2009.
13 U.S. Department of Energy, Smart Grid System Report, July 2009.
14 Quotes in the bulleted list are from the Energy Independence and Security Act of 2007 [Public Law No: 110-140]
Title XIII, Sec. 1305.
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2.2 Importance to National Energy Policy Goals
The Smart Grid is a vital component of President Obama’s comprehensive energy plan, which
aims to reduce U.S. dependence on foreign oil, to create jobs, and to help U.S. industry compete
successfully in global markets for clean energy technology. The President has set ambitious short
and long-term goals, necessitating quick action and sustained progress in implementing the
components, systems, and networks that will make up the Smart Grid. For example, the
President’s energy policies are intended to double renewable energy generating capacity, to 10
percent, by 2012—an increase in capacity that is enough to power 6 million American homes.
By 2025, renewable energy sources are expected to account for 25 percent of the nation’s electric
power consumption.
The American Recovery and Reinvestment Act of 2009 (ARRA) includes $11 billion in
investments to “jump start the transformation to a bigger, better, smarter grid.”15 These
investments and associated actions to modernize the nation’s electricity grid will result, for
example, in more than 3,000 miles of new or modernized transmission lines and 40 million
“smart meters” in American homes.16 In addition, progress toward realization of the Smart Grid
will contribute to accomplishing the President's goal of putting one million plug-in hybrid
vehicles on the road by 2015.17 A DOE study found that the idle capacity of today’s electric
power grid could supply 70 percent of the energy needs of today’s cars and light trucks without
adding to generation or transmission capacity—if the vehicles charged during off-peak times.18
Over the long term, the integration of the power grid with the nation’s transportation system has
the potential to yield huge energy savings and other important benefits. Estimates of associated
potential benefits include:
• Displacement of about half of our nation’s net oil imports;
• Reduction in U.S. carbon dioxide emissions by about 25 percent; and
• Reductions in emissions of urban air pollutants of 40 percent to 90 percent.
While the transition to the Smart Grid may unfold over many years, incremental progress along
the way can yield significant benefits (see box below). In the United States, electric-power
generation accounts for about 40 percent of human-caused emissions of carbon dioxide, the
15 “The American Reinvestment and Recovery Plan—By the numbers,”
http://www.whitehouse.gov/assets/documents/recovery_plan_metrics_report_508.pdf.
16 Ibid.
17 The White House, Office of the Press Secretary, “President Obama Announces $2.4 Billion in Funding to Support
Next Generation Electric Vehicles.” March 19, 2009.
18 M. Kintner-Meyer, K. Schneider, and R. Pratt, “Impacts Assessment of Plug-in Hybrid Vehicles on Electric
Utilities and Regional U.S. Power Grids.” Part 1: Technical Analysis. Pacific Northwest National Laboratory, U.S.
Department of Energy, 2006.
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primary greenhouse gas.19 If the current power grid were just 5 percent more efficient, the
resultant energy savings would be equivalent to permanently eliminating the fuel consumption
and greenhouse gas emissions from 53 million cars.20
In its National Assessment of Demand Response Potential, FERC estimated the potential for
peak electricity demand reductions to be equivalent to up to 20 percent of national peak
demand—enough to eliminate
the need to operate hundreds of
Anticipated Smart Grid Benefits
back-up power plants.21
• Improves power reliability and quality
President Obama has called for
• Optimizes facility utilization and averts construction of
a national effort to reduce, by
back-up (peak load) power plants
2020, the nation’s greenhouse
•
gas emissions to 14 percent
Enhances capacity and efficiency of existing electric
below the 2005 level and to
power networks
about 83 percent below the
• Improves resilience to disruption
2005 level by 2050. 22
Reaching these targets will
• Enables predictive maintenance and “self-healing”
require an ever-more capable
responses to system disturbances
Smart Grid with end-to-end
• Facilitates expanded deployment of renewable
interoperability.
energy sources
The transition to the Smart
• Accommodates distributed power sources
Grid already is under way, and
it is gaining momentum,
• Automates maintenance and operation
spurred by ARRA investments.
• Reduces greenhouse gas emissions by enabling
In late June, DOE announced
electric vehicles and new power sources
that it is requesting proposals
for its Smart Grid Investment
• Reduces oil consumption by reducing the need for
Grant Program. The program
inefficient generation during peak usage periods
will provide $3.3 billion for
•
cost-shared grants to support
Improves cyber security
manufacturing, purchasing and
• Enables transition to plug-in electric vehicles and new
installation of existing Smart
energy storage options
Grid technologies that can be
•
deployed on a commercial
Increases
consumer
choice
scale. The DOE
19 Energy Information Administration, U.S. Department of Energy, “U.S. Carbon Dioxide Emissions from Energy
Sources, 2008 Flash Estimate.” May 2009.
20 U.S. Department of Energy, The Smart Grid: an Introduction, 2008. Available through
http://www.oe.energy.gov/SmartGridIntroduction.htm
21 Federal Energy Regulatory Commission, A National Assessment Of Demand Response Potential. Staff report
prepared by the Brattle Group; Freeman, Sullivan & Co; and Global Energy Partners, LLC, June 2009.
22 Office of Management and Budget, A New Era of Responsibility, Renewing America’s Promise. U.S. Government
Printing Office, Washington, D.C. 2009.
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announcement instructs grant applicants that their project plans should describe their technical
approach to “addressing interoperability,” including a “summary of how the project will support
compatibility with NIST’s emerging Smart Grid framework for standards and protocols.”
2.3 Key Attributes
The Smart Grid effort is unprecedented in its scope and breadth. It will demand unprecedented
levels of cooperation to achieve the ultimate vision. Efforts directed toward enabling
interoperability among the many, diverse components of the evolving Smart Grid must reckon
with the following issues and considerations.
2.3.1 Mature Requirements
Requirements that drive and specify the functions and how they are applied are foundational to
the realization of the Smart Grid. Requirements define what the Smart Grid is and does. The
following are some of the key requirements:
• Industry policies and rules of governance are well-developed, mature, and can be consistently
applied.
• Requirements are well-developed by domain experts and well-documented following mature
systems-engineering principles.
• Requirements define support for applications and are well-developed enough to support their
management and cyber security as well.
2.3.2 Defined Architectures
An architecture describes how systems and components interact. It embodies high-level
principles and requirements that Smart Grid applications and systems must satisfy. An
architecture enables technical and management governance and can be used to direct ongoing
development work.
For the Smart Grid, which like the Internet is a loosely coupled system of systems, a single, all-
encompassing architecture is not practical. Rather, the Smart Grid architecture will be a
composite of many system and subsystem architectures. This will allow for maximum
flexibility during implementation and will simplify interfacing with other systems.
Thus, it is not the intent of this framework to describe a single architecture for the Smart Grid.
Rather, it describes a conceptual reference model for discussing the characteristics, uses,
behavior, and other elements of Smart Grid domains and for showing relationships among these
elements. The model is a tool for identifying the standards and protocols needed to ensure
interoperability and cyber security, and defining and developing architectures for systems and
subsystems within the Smart Grid.
Ultimately, these architectures must be well defined, well documented and robust. Desired
attributes of architectures for the Smart Grid include:
• Support for a broad range of technology options—legacy and new.
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• Architecture artifacts include well-defined interfaces across industries external to the utility
industry.
• Modern system-modeling tools and techniques are used to manage the documentation and
complexity of the system.
• Architectural interfaces are well-defined. Each architectural element must be appropriate for
the applications which reside within it. The architectures must support development of
massively scaled, well-managed and secure networks with life-spans of 30 years or more.
• The infrastructure supports third-party products that are interoperable and can be integrated
into the management and cyber security infrastructures.
Architectures must be flexible enough to incorporate evolving technologies. They also must
support interfacing with legacy applications and devices in a standard way, avoiding as much
additional capital investment and/or customization as possible.
2.3.3 Different Layers of Interoperability
Large, integrated, complex systems require different layers of interoperability, from a plug or
wireless connection to compatible processes and procedures for participating in distributed
business transactions. In developing the conceptual model described in the next chapter, the
high-level categorization approach developed by the GridWise Architecture Council (GWAC)
was considered.23
Driver
Layer
Description
Figure 1. The GridWise Architecture
Council’s eight-layer stack provides a context
for determining Smart Grid interoperability requirements and defining exchanges of
information.
23 GridWise Architecture Council, GridWise Interoperability Context-Setting Framework. March 2008.
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Referred to as the “GWAC stack,” the eight layers comprise a vertical cross-section of the
degrees of interoperation necessary to enable various interactions and transactions on the Smart
Grid. Very simple functionality—such as the physical equipment layer and software for
encoding and transmitting data—might be confined to the lowest layers. Communication
protocols and applications reside on higher levels with the top levels reserved for business
functionality. (This differs from the Open Systems Interconnect (OSI) model which stops at the
application layer, or about layer 3 in the GWAC stack.)
As functions and capabilities increase in complexity and sophistication, more layers of the
GWAC stack are required to interoperate to achieve the desired results. Each layer typically
depends upon—and is enabled by—the layers below it.
The most important feature of the GWAC stack and the OSI model which preceded it is that
layering defines well-known interfaces: establishing interoperability at one layer can enable
flexibility at other layers. The most obvious example of this is seen in the Internet: with a
common Network Interoperability layer, the Basic Connectivity Layer can vary from Ethernet to
WiFi to optical and microwave links and devices can still communicate.
As shown in Figure 1and as described in the GridWise Interoperability Context-Setting
Framework, the eight layers are divided among three “drivers,” each requiring a different level
of interoperability:
• Technical: Emphasizes the syntax or format of the information, focusing on how
information is represented on the communication medium.
• Informational: Emphasizes the semantic aspects of interoperation, focusing on what
information is exchanged and its meaning.
• Organizational: Emphasizes the pragmatic (business and policy) aspects of interoperation,
especially those pertaining to the management of electricity.
2.3.4 Standards and Conformance
Standards are critical to enabling interoperable systems and components. Mature, robust
standards are the foundation of mature markets for the millions of components that will have a
role in the future Smart Grid. Standards enable innovation where components may be
constructed by thousands of companies. They also enable consistency in systems management
and maintenance over the life-cycles of components. Further discussion of the criteria for Smart
Grid interoperability standards appears in Chapter 4.
The evidence of the essential role of standards is growing. A recent Congressional Research
Service report, for example, cited the ongoing deployment of smart meters as an area in need of
widely accepted standards. Ultimately, the U.S. investment in smart meters is predicted to total
$40 billion to $50 billion.24 Globally, 100 million new smart meters are predicted to be installed
24 S. M. Kaplan, Electric Power Transmission: Background and Policy Issues. Congressional Research Service,
April 14, 2009.
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over the next five years.25
Sound interoperability standards are needed to ensure that sizable public and private-sector
technology investments are not stranded. Such standards enable diverse systems and their
components to work together and to securely exchange meaningful, actionable information.
Clearly, there is a need for concerted action and accelerated efforts to speed the development of
high-priority standards. But the standards process must be systematic, not ad hoc.
Moreover, while standards are necessary for achieving interoperability, they are not sufficient. A
testing and certification regime is essential. NIST, in consultation with industry, government,
and other stakeholders, has started work to develop an overall framework for testing and
certification and plans to initiate steps toward implementation in 2010.
25 ON World, “100 Million New Smart Meters within the Next Five Years.” June 17, 2009;
http://www.onworld.com/html/newssmartmeter.htm
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3
Conceptual Reference Model
3.1 Overview
For the purpose of developing a conceptual model that supports planning and organization of
what ultimately will be a collection of interconnected networks, NIST adopted the approach of
dividing the Smart Grid into seven domains, as described in Table 1.
In turn, each domain—and its sub-domains—encompasses actors and applications. Actors are
devices, systems, or programs that make decisions and exchange information necessary for
performing applications. Examples of devices and systems include smart meters, solar panels,
and control systems. Applications, on the other hand, are tasks performed by one or more actors
within a domain. For example, corresponding applications may be home automation, solar
energy generation and storage, and energy management. To enable Smart Grid functionality,
the actors in a particular domain often interact with actors in other domains, as
shown in Figure 2
Table 1. Actors in the Domains in the Smart Grid Conceptual Model
Domain
Actors in the Domain
Customers
The end users of electricity. May also generate, store, and
manage the use of energy. Traditionally, three customer types are
discussed, each with its own domain: home, commercial/building,
and industrial.
Markets
The operators and participants in electricity markets
Service
The organizations providing services to electrical customers and
Providers
utilities
Operations
The managers of the movement of electricity
Bulk
The generators of electricity in bulk quantities. May also store
Generation
energy for later distribution.
Transmission
The carriers of bulk electricity over long distances. May also store
and generate electricity.
Distribution
The distributors of electricity to and from customers. May also
store and generate electricity.
In general, actors in the same domain have similar objectives. However, communications within
the same domain may not necessarily have similar characteristics and requirements. Actors in
one domain also may interact with actors in other domains, and particular domains also may
contain components of other domains. For instance, the 10 Independent System Operators (ISOs)
and Regional Transmission Organizations (RTOs) in North America have actors in both the
Markets and Operations domains. Similarly, a distribution utility is not entirely contained within
the Distribution domain—it is likely to contain actors in the Operations domain, such as a
distribution management system, and in the Customer domain, such as meters.
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NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
Figure 2. Smart Grid Domains
3.2 Description of Conceptual Model
The conceptual model described here is intended to be high-level. It is a tool for identifying
actors and possible communications paths in the Smart Grid. It is useful for identifying potential
intra- and inter-domain interactions and potential applications and capabilities enabled by these
interactions. The diagram shown in Figure 3 is intended to aid in analysis; it is not a design
diagram that defines a solution and its implementation. In other words, the conceptual model is
descriptive and not prescriptive. It is meant to foster understanding of Smart Grid operational
intricacies; it does not prescribe how the Smart Grid will be implemented.
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NIST Smart Grid Framework 1.0 September 2009
Figure 3. Conceptual Reference Diagram
Domain: Each of the seven Smart Grid domains (see Table 1) is a high-level grouping of
organizations, buildings, individuals, systems, devices or other actors with similar objectives and
relying on—or participating in—similar types of applications. Communications among actors in
the same domain may have similar characteristics and requirements. Domains may contain sub-
domains. The transmission and distribution domains have much overlapping functionality and
often share networks and are therefore represented as overlapping domains.
Actor: A device, computer system, software program, or the individual or organization that
participates in the Smart Grid. Actors have the capability to make decisions and to exchange
information with other actors. Organizations may have actors in more than one domain. The
actors illustrated here are representative examples but are by no means all the actors in the Smart
Grid. Each of the actors may exist in several different varieties, and may contain many other
actors within them.
Gateway Actor: An actor that interface with actors in other domains or in other networks.
Gateway actors may use a variety of communication protocols; therefore it is possible that one
Gateway actor may use a different communication protocol than another actor, or use multiple
protocols simultaneously.
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Network: A collection or aggregation of interconnected computers, communication devices, and
other information and communication technologies. Technologies in a network exchange
information and share resources. The Smart Grid consists of many different types of networks,
not all of which are shown in the above diagram. The networks include: the Enterprise Bus that
connects control center applications to markets, generators and with each other; Wide Area
Networks that connect geographically distant sites; Field Area Networks that connect devices
such as Intelligent Electronic Devices (IEDs) that control circuit breakers and transformers;
Substation Networks of IEDs collected in one location; and Premises Networks that include
customer networks as well as utility networks within the customer’s domain. These networks
may be implemented using public (e.g., the Internet) and non-public networks in combination.
Both public and non-public networks will require implementation and maintenance of
appropriate security and access control to support the Smart Grid. Examples of where
communications may go through the public networks include: customer to third-party providers,
bulk generators to grid operators, markets to grid operators, third-party providers to utilities.
Comms (communications) Path: Shows the logical exchange of data between actors or actors
and networks. Secure communications are not explicitly shown in the figure and are addressed
in more detail in Chapter 6.
3.3 Models for Smart Grid Information Networks
The conceptual reference diagram in Figure 3 shows many comunication paths between and
within domains. Currently, various functions are supported by independent and, often, dedicated
networks. Examples are SCADA systems, enterprise data networks, and corporate voice and
video services. However, to fully realize the Smart Grid goals of vastly improving the control
and management of energy generation, distribution and consumption, the current state of grid
interconnectivity must be improved so that information can flow securely between the various
actors in the Smart Grid. The following sections discuss some of the key outstanding issues that
need to be addressed in order to support this vision.
Given that the Smart Grid will not only be a system of systems, but also a network of
information networks, a thorough analysis of network and communications requirements for
each subnetwork is needed. This analysis should differentiate among the requirements needed
by different Smart Grid applications, actors and domains. One component of this analysis is to
identify the security constraints and issues associated with each network interface and the impact
level (low, moderate, and high) of a security compromise of confidentiality, integrity and
availability. This information will be used in the selection and tailoring of security requirements.
3.3.1 Information Networks
The Smart Grid is a network of many systems and subsystems, and it is a network of networks.
That is, many systems with various ownership and management boundaries are interconnected to
provide end-to-end services between stakeholders and in and among intelligent electronic
devices (IEDs).
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Figure 4 is a high-level vision for the information network for the Smart Grid. The clouds
represent the networks handling two-way communications between the network end points of
different domains, as represented by rectangular boxes in the figure. The domains include
Generation, Transmission, Distribution, Customer, Markets, Operations, and Service Provider.
Each domain is a unique distributed computing environment, and may have its own sub-network
to meet the special communication requirements for the domain. This is shown in the innermost
clouds in Figure 4. Within each network, a hierarchical structure consisting of network
technologies, such as Home Area Networks, Personal Area Networks, Wireless Access
Networks, Local Area Networks, and Wide Area Networks, may be implemented. Based on
Smart Grid functional requirements the network should provide the capability to enable an
application in a particular domain to communicate with an application in any other domain over
the information network, with proper management control as to who and where applications can
be inter-connected. Within each network and as the networks are linked together, security
including the confidentiality, integrity and availability, is required to ensure the Smart Grid
information and related information systems are properly protected.
Service
Service
Opera tions
Ma rkets
Opera tions
Ma rkets
Provider
Provider
Nationwide
Network
Network A
Network B
Genera tion
Genera tion
Customer
Customer
Tra nsmission
Tra nsmission
Distribution
Distribution
…
…
…
…
…
…
…
…
Genera tion
Distribution
Genera tion
Distribution
Pla nt
Substa tion
Pla nt
Substa tion
Tra nsmission
Customer
Tra nsmission
Customer
Lines
Premise
Lines
Premise
Figure 4. Smart Grid Networks for Information Exchange
Because the Smart Grid will include networks from the IT, telecommunications and electric
sectors, security is required to ensure that information is protected and that a security
compromise in a specific network does not result in a security compromise to other,
interconnected systems. A security compromise could impact the availability and reliability of
the electric sector. In addition, information within each specific system also needs to be
protected. Security includes the confidentiality, integrity and availability of information. The
NIST Smart Grid Cyber Security Coordination Task Group (CSCTG) is currently identifying and
assessing the Smart Grid network interfaces to determine the impact of a loss of confidentiality,
integrity and availability. The objective is to select countermeasures to mitigate the risk of
cascading security breaches.
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Devices and applications in each domain are the end points of the network. Examples of
applications in the Customer domain could be a smart meter, appliance, thermostat, electric
storage, electric vehicle, or distributed generation. Applications in the Transmission or
Distribution domain could be a phasor measurement unit (PMU) in a transmission line
substation, substation controller, electric storage, or field device. Applications in the Operations
domain could be SCADA systems, computers or display systems at the operation center. The
applications in the Operations, Market, and Service Provider domains are similar to typical web
and business information processing. Thus, their networking function may not be
distinguishable from normal information processing networks; therefore, no unique clouds are
illustrated.
This information network may consist of multiple interconnected networks, represented by two
backbone networks, A and B, in Figure 4. Each of these represents the network in the service
region of a power utility or service. The physical or logical links within and between these
networks, and the links to network end points could utilize any appropriate communication
technology currently available or yet to be developed and standardized in the future. It is
important to note that Figure 4 represents a vision for dedicated networks for Smart Grid control
and information exchange.
Additional requirements for the information network include:
• management functionality for networks, network activities, and network devices,
including status monitoring, fault detection, isolation, and recovery;
• addressing capability to entities in the network and devices attached to it;
• routing capability to all network end points; and
• quality-of-service support for a wide range of applications with different bandwidths and
different latency and loss requirements.
3.3.2 Security for Smart Grid information networks
Because Smart Grid information flows through so many different networks with different
owners, it is of extreme importance to properly secure the information and the information
networks. This means preventing intrusion, at the same time allowing access for the relevant
stakeholders.
Security for the Smart Grid information network must include:
• security policies, procedures, protocols, and security controls to protect Smart Grid
information in transit or residing in the network;
• authentication policies, procedures, mechanisms, protocols, and credentials for
infrastructure components and network users;
• security policies, procedures, protocols, and security controls to protect infrastructure
components and the interconnected networks;
An overview of the security strategy is included in Chapter 6 of this document.
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3.3.3 IP-Based Networks
Among Smart Grid stakeholders, there is a wide expectation that Internet Protocol (IP) -based
networks will serve as a key element for the Smart Grid information networks. While IP may not
address all Smart Grid communications requirements there are a number of aspects that make it
an important Smart Grid technology. Benefits of using IP-based networks include the maturity
of a large number of IP standards, the availability of tools and applications that can be applied to
Smart Grid environments, and the widespread use of IP technology in both private and public
networks. In addition, IP technologies serve as a bridge between applications and the underlying
communication medium. They allow applications to be developed independent of the
communication infrastructure, and various communication technologies to be used, be it wired or
wireless. Cyber security requirements must be analyzed and addressed for IP the same as any
other Smart Grid networking technology.
Furthermore, IP-based networks enable bandwidth sharing among applications and increased
reliability with dynamic routing capabilities. For Smart Grid applications that have specific
Quality of Service requirements, such as minimum access delay, maximum packet loss or
minimum bandwidth constraints, some IP protocols, such as Multi Protocol Label Switching
(MPLS), can be used for the provisioning of dedicated resources.
Note that the use of IP in this context refers to use of IP as a networking protocol within private
networks used for communications in the Smart Grid, not use of the public Internet. Smart Grid
security considerations and the public Internet are discussed further in Section 3.3.4.
An analysis needs to be performed for each set of Smart Grid requirements to determine whether
IP is appropriate and whether cyber security can be assured. For the correct operation of IP
networks in Smart Grid environments, a suite of protocols needs to be identified based on
standards defined by the Internet Engineering Task Force (IETF), commonly referred to as
Request for Comments (RFCs). The definition of the necessary suite of RFCs will be dictated by
the networking requirements yet to be fully determined for Smart Grid applications. Given the
heterogeneity and the large number of devices and systems that will be interconnected within the
Smart Grid, multiple IP protocol suites may be needed to satisfy a wide range of network
requirements. In addition, protocols and guidelines need to be developed for the initiation of
Smart Grid applications , and the establishment and management of Smart Grid connections, in
addition to the packetization of Smart Grid application specific data traffic over IP.
3.3.4 Smart Grid and the Public Internet – Security Concerns
One of the advantages of the Smart Grid is the ability to better manage the consumption of
energy within many domains. Many of the Smart Grid use cases describe how the utilities can
work with customers to control and manage the energy consumption at home. To enable this
functionality information must flow back and forth between the utility and the customer. The
presence of both Smart Grid networks and public internet connections at the customer site (e.g.,
within the home) introduces security concerns that must be addressed. With the customer having
access to information at the utility, it is important to ensure that this access is separate from the
utility access to the home to manage power grid operations. This can be generalized to cover any
Smart Grid application that provides an interface between the Public Internet and the utility
networks. These security risks are being addressed by the Cyber Security Coordination Task
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Group (CSCTG). An overview of the security strategy is included in Chapter 6 of this
document.
3.3.5 Technologies for Smart Grid Communication Infrastructure
There are a number of mature technologies that are available to support Smart Grid information
networks. It is necessary to develop network requirements in support of Smart Grid applications
in order to guide the choice of the communication technologies to be used. The following is a
partial list of protocols for Smart Grid communication infrastructures that are defined by
accredited standard developing organizations. In addition there may be applicable industry fora
specifications, not listed here.
Wired Networks - Wavelength Division Multiplexing (WDM) techniques, SONET /SDH
fiber links, Passsive Optical Networks (PON), and Gigabit Ethernet (GbE, 10GbE), power
line
Wireless Networks – IEEE 802.15, IEEE 802.11, IEEE 802.16, 3/4G cellular
3.4 Use Case Overview
The conceptual reference models provide a useful tool in the construction of use cases. A use
case describes the interaction between an actor and a system when the actor is using the system
to accomplish a specified goal. Use cases can be classified as “black box” or “white box.” The
black-box variety describes the user-system interaction and the functional requirements to
achieve the goal, but it does not give details of the inner workings of the system. In contrast,
white-box use cases also describe the internal details of the system, along with the interaction
and associated requirements.
For this interoperability standards roadmap, black-box use cases were developed to describe how
actors within Smart Grid systems will interact. The system requirements necessary to meet the
needs of particular interactions were determined, but without specifying how the systems will
implement a particular solution. These black-box use cases do not provide all details of the
interactions. However, these use cases provide designers with information necessary to verify
whether a particular implementation meets the needs of users, while providing designers with the
flexibility to be innovative when crafting solutions.
Individually and collectively, use cases are helpful when scoping out interoperability needs in
specific areas of functionality—such as on-premises energy management—and grid capability—
such as predictive maintenance. When viewed from a variety of stakeholder perspectives and
application domains, combining the actors and interactions from multiple use cases permits the
Smart Grid to be rendered as a collection of transactional relationships, within and across
domains, as illustrated in Figure 3.
Many Smart Grid intra- and inter-domain use cases already have been developed, and the
number will grow substantially. The scope of the body of existing use cases also cover cross-
cutting requirements, including cyber security, network management, data management, and
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NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
application integration, as described in the GridWise Architecture Council Interoperability
Context-Setting Framework.26
Developing black-box use cases was a major activity at the second NIST Smart Grid
interoperability standards public workshop (May 19-20, 2009), which was attended by more than
600 people. This activity was focused on the initial six priority Smart Grid functionalities: wide-
area situational awareness, demand response, electric storage, electric transportation, advanced
metering infrastructure, and distribution grid management. The cross-cutting cyber-security task
group utilized use cases in the priority areas, in addition to those it is developing to supplement
the priority area use cases.
The detailed use cases can be found on the NIST Smart Grid wiki.27
26 Document can be found at http://www.gridwiseac.org/pdfs/interopframework_v1_1.pdf
27 http://collaborate.nist.gov/twiki-sggrid/bin/view/SmartGrid/WebHome
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4
Standards Identified for Implementation
4.1 Overview of the Process
During the first phase of its three-phase plan for Smart Grid interoperability, NIST’s approach to
accelerating the availability of standards was to (1) identify existing standards that could be
applied to meet Smart Grid needs; and (2) identify gaps and establish priorities and action plans
to develop additional needed standards to fill the gaps.
NIST convened two public workshops devoted, in part, to identifying existing standards—or
those under development—that stakeholders suggested as relevant and potentially important to
current and future development of the Smart Grid. Following the first of these workshops (April
28-29, 2009), NIST published a list of 16 existing standards and other specifications that the
Institute identified for inclusion in its initial release of Smart Grid interoperability standards.
The 16 specifications were submitted for public review and comment. In a notice published in
the Federal Register, 28 NIST advised that the list was neither complete, nor exclusionary. Other
existing standards, it said, “have not been eliminated from consideration, [and] standards that
currently appear on the list ultimately may not be included.” 29 In all, NIST received comments
from 97 individuals and organizations on the 16 standards and specifications. The majority of
the comments were positive, and several additional standards were recommended for inclusion
on the initial list.
NIST reviewed all comments submitted in response to its notice in the Federal Register as well
as other inputs received during its many interactions with stakeholders.
4.2 List of Standards After Initial Comments
Table 2 lists the standards identified by NIST at the conclusion of this process. The list includes
the initial 16 specifications, plus 15 standards (which are shaded in Table 2) that NIST added
after reviewing and evaluating the inputs it received.
Table 2. Standards Identified by NIST.
Standard
Application
1 AMI-SEC System Security Requirements
Advanced metering
http://osgug.ucaiug.org/utilisec/amisec/Shared%20Documents/1.%20Syst infrastructure (AMI) and SG
em%20Security%20Requirements/AMI%20System%20Security%20Requ end-to-end security
irements%20-%20v1_01%20-%20Final.doc
28 74 FR 27288, June 9, 2009.
.
29 Ibid. p. 27288.
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Standard
Application
2 ANSI C12.19/MC1219
Revenue metering
http://webstore.ansi.org/RecordDetail.aspx?sku=ANSI+C12.19-2008
information model
3 BACnet ANSI ASHRAE 135-2008/ISO 16484-5
Building automation
http://resourcecenter.ashrae.org/store/ashrae/newstore.cgi?itemid=30853&
view=item&page=1&loginid=39839941&priority=none&words=135-
2008&method=and&
4 DNP3
Substation and feeder device
http://www.dnp.org/About/Default.aspx
automation
5 IEC 60870-6 / TASE.2
Inter-control center
http://webstore.iec.ch/webstore/webstore.nsf/artnum/034806
communications
6 IEC 61850
Substation automation and
http://webstore.iec.ch/webstore/webstore.nsf/artnum/033549!opendocume protection
nt
7 IEC 61968/61970
Application level energy
http://webstore.iec.ch/webstore/webstore.nsf/artnum/031109!opendocume management system
nt
interfaces
http://webstore.iec.ch/webstore/webstore.nsf/artnum/035316!opendocume
nt
8 IEC 62351 Parts 1-8
Information security for
http://webstore.iec.ch/webstore/webstore.nsf/artnum/037996!opendocume power system control
nt
operations
9 IEEE C37.118
Phasor measurement unit
https://sbwsweb.ieee.org/ecustomercme_enu/start.swe?SWECmd=GotoVi (PMU)communications
ew&SWEView=Catalog+View+(eSales)_Standards_IEEE&mem_type=C
ustomer&SWEHo=sbwsweb.ieee.org&SWETS=1192713657
10 IEEE 1547
Physical and electrical
https://sbwsweb.ieee.org/ecustomercme_enu/start.swe?SWECmd=GotoVi interconnections between
ew&SWEView=Catalog+View+(eSales)_Standards_IEEE&mem_type=C utility and distributed
ustomer&SWEHo=sbwsweb.ieee.org&SWETS=1192713657
generation (DG)
11 IEEE 1686-2007
Security for intelligent
https://sbwsweb.ieee.org/ecustomercme_enu/start.swe?SWECmd=GotoVi electronic devices (IEDs)
ew&SWEView=Catalog+View+(eSales)_Standards_IEEE&mem_type=C
ustomer&SWEHo=sbwsweb.ieee.org&SWETS=1192713657
12 NERC CIP 002-009
Cyber security standards for
http://www.nerc.com/page.php?cid=2|20
the bulk power system
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Standard
Application
13 NIST Special Publication (SP) 800-53, NIST SP 800-82
Cyber security standards and
http://csrc.nist.gov/publications/drafts/800-82/draft_sp800-82-fpd.pdf
guidelines for federal
information systems,
including those for the bulk
power system
14 Open Automated Demand Response (Open ADR)
Price responsive and direct
http://openadr.lbl.gov/pdf/cec-500-2009-063.pdf
load control
15 OpenHAN
Home Area Network device
http://osgug.ucaiug.org/utilityami/openhan/HAN%20Requirements/Forms communication,
/AllItems.aspx
measurement, and control
16 ZigBee/HomePlug Smart Energy Profile
Home Area Network (HAN)
http://www.zigbee.org/Products/TechnicalDocumentsDownload/tabid/237 Device Communications and
/Default.aspx
Information Model
17 AEIC Guidelines v2.0
Utility-generated framework
and testing criteria for
vendors and utilities who
desire to implement
Standards-based AMI
(StandardAMI) as the choice
for Advanced Metering
Infrastructure (AMI)
solutions.
18 ANSI C12 Suite :
ANSI C12.1
Performance and safety type
tests for revenue meters
ht-tp://webstore.ansi.org/RecordDetail.aspx?sku=ANSI+C12.1-2008
ANSI C12.18/IEEE P1701/MC1218
Protocol and optical
http://webstore.ansi.org/FindStandards.aspx?SearchString=c12.18&Search interface for measurement
Option=0&PageNum=0&SearchTermsArray=null|c12.18|null
devices
ANSI C12.20
Revenue metering accuracy
http://webstore.ansi.org/FindStandards.aspx?SearchString=c12.20&Search specification and type tests
Option=0&PageNum=0&SearchTermsArray=null|c12.20|null
ANSI C12.21/IEEE P1702/MC1221
Transport of measurement
http://webstore.ansi.org/FindStandards.aspx?SearchString=c12.21&Search device data over telephone
Option=0&PageNum=0&SearchTermsArray=null|c12.21|null
networks
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Standard
Application
ANSI C12.22-2008/IEEE P1703/MC1222
End Device Tables
http://webstore.ansi.org/FindStandards.aspx?SearchString=c12.22&Search communications over any
Option=0&PageNum=0&SearchTermsArray=null|c12.22|null
network
ANSI C12.24
A calculation algorithm
Draft standard – not yet approved
catalog
Actors: Measurement
devices, sensors, MDMS,
enterprise applications
19 ANSI/CEA 709 and CEA 852.1 LON Protocol Suite
ANSI/CEA 709.1-B-2002 Control Network Protocol
This is a general purpose
Specification
networking protocol in use
http://www.ce.org/Standards/browseByCommittee_2543.asp
for various applications
including electric meters,
street lighting, home
automation and building
automation.
ANSI/CEA 709.2-A R-2006 Control Network Power Line
This is a specific physical
(PL) Chanel Specification
layer protocol designed for
http://www.ce.org/Standards/browseByCommittee_2545.asp
use with ANSI/CEA 709.1-
B-2002.
ANSI/CEA 709.3 R-2004 Free-Topology Twisted-Pair
This is a specific physical
Channel Specification
layer protocol designed for
http://www.ce.org/Standards/browseByCommittee_2544.asp
use with ANSI/CEA 709.1-
B-2002.
ANSI/CEA-709.4:1999 Fiber-Optic Channel Specification
This is a specific physical
http//www.ce.org/Standards/browseByCommittee_2759.asp
layer protocol designed for
use with ANSI/CEA 709.1-
B-2002.
CEA-852.1:2009 Enhanced Tunneling Device Area Network This protocol provides a way
Protocols Over Internet Protocol Channels
to tunnel local operating
http://www.ce.org/Standards/browseByCommittee_6483.asp
network messages through
an IP network using the User
Datagram Protocol (UDP),
thus providing a way to
create larger internetworks.
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Standard
Application
20 CableLabs PacketCable Security Monitoring and Automation Broad range of services,
(SMA)
including energy
http://www.cablelabs.com/specifications/PKT-TR-SMA-ARCH-V01-
management
081121.pdf
21 FIXML Financial Information eXchange Markup Language
Data exchange for markets
http://www.fixprotocol.org/specifications/fix4.4fixml
22 IEEE 1588
Time Management and
http://ieee1588.nist.gov/
Clock Synchronization
across the Smart Grid,
equipment needing
consistent time management
23 Internet Protocol Suite including, but not limited to :
IETF RFC 791 (IPv4)
IETF RFC 791 : The internet
http://www.ietf.org/rfc/rfc791.txt
protocol (IPv4) provides for
transmitting blocks of data
called datagrams from
sources to destinations,
where sources and
destinations are hosts
identified by fixed length
addresses. The internet
protocol also provides for
fragmentation and
reassembly of long
datagrams, if necessary,
for transmission through
"small packet" networks.
IETF RFC 768 (UDP)
IETF RFC 768: User
http://tools.ietf.org/html/rfc768
Datagram Protocol (UDP)-
This protocol provides a
procedure for application
programs to send messages
to other programs with a
minimum of protocol
mechanism.
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Standard
Application
IETF RFC 2460 (IPv6)
IETF RFC 2460: Internet
http://www.ietf.org/rfc/rfc2460.txt
Protocol Version 6 (IPv6)
Specification
24 ISO/IEC 15045, "A Residential gateway model for Home
Specification for a
Electronic System."
residential gateway (RG)
http://www.iso.org/iso/catalogue_detail.htm?csnumber=26313
that connects home network
domains to network domains
outside the house.
25 ISO/IEC 15067-3 "Model of an energy management system
A model for energy
for the Home Electronic System. "
management that
http://webstore.iec.ch/preview/info_isoiec15067-3%7Bed1.0%7Den.pdf accommodates a range of
load control strategies.
26 ISO/IEC 18012, "Guidelines for Product Interoperability."
Specifies requirements for
http://www.iso.org/iso/catalogue_detail.htm?csnumber=30797
product interoperability in
http://www.iso.org/iso/catalogue_detail.htm?csnumber=46317
the home and building
automation systems,
27 ITU Recommendation G.9960 (G.hn)
In-home networking over
http://www.itu.int/ITU-T/aap/AAPRecDetails.aspx?AAPSeqNo=1853
power lines, phone lines, and
coaxial cables.
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Standard
Application
28 Multispeak
Application software
http://www.multispeak.org/About/specifications.htm
integration within the
operations domain; a
candidate for use in an
Enterprise Service Bus.
29 OPC-UA Industrial
A secure, high-speed data
http://www.opcfoundation.org/Downloads.aspx?CM=1&CN=KEY&CI=2 pipe from one system to
83
another based on a tight
publish/subscribe
mechanism to provide a
plug-n-play interface to
another system with
significant internal, high-
speed data. Used in a variety
of operations domain
applications.
30 Open Geospatial Consortium Geography Markup Language
Exchange of location-based
(GML)
information addressing
http://www.opengeospatial.org/standards/gml
geographic data
requirements for many
Smart Grid applications.
31 US Department of Transportation’s Federal Highway
Addresses open protocol
Administration’s Intelligent Transportation System (ITS)
remote monitoring and
Standard NTCIP 1213, “Electrical Lighting and Management control of street, roadway
Systems (ELMS)
and highway based electrical
http://www.ntcip.org/library/documents/pdf/1213v0219d.pdf
assets including lighting,
revenue grade metering,
power quality and safety
equipment including remote
communicating ground fault
and arc fault interrupters.
While there is strong stakeholder consensus on the relevance of the standards listed in Table 2,
many of the specifications require enhancements or other changes necessary to fully address
Smart Grid requirements. Many of the needed modifications to these standards and related
specifications will be driven by the Priority Actions Plans described in the next chapter. In
addition, the Cyber Security Task Group, whose ongoing efforts are summarized in Chapter 6,
also is addressing some of these needed modifications.
4.3 Standards for Further Consideration
Subsequently, NIST and its contractor, the Electric Power Research Institute (EPRI), convened a
second workshop (May 19-20, 2009), where more than 600 people engaged in sessions focused
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NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
on analyzing and enhancing use cases, locating key interfaces, determining Smart Grid
interoperability requirements, and identifying additional standards for consideration. Many of
the use cases discussed during this workshop referenced standards in addition to those in Table 2.
Altogether, the use cases, which concentrated on the six priority areas, yielded more than 70
candidate standards and emerging specifications, which were compiled in EPRI’s Report to
NIST on the Smart Grid Interoperability Standards Roadmap.30 The remainder of that list not
covered by those in Table 2 is presented in Table 3.
EPRI used four “non-exclusive criteria” when identifying standards to include in the list:
• Standard is supported by a standards development organization (SDO) or via an emergent
SDO process.
• Standard is supported by a users’ community.
• Standard is directly relevant to the Use Cases analyzed for the Smart Grid.
• Consideration was given to those standards with a viable installed base and vendor
community.
EPRI’s Report to NIST on the Smart Grid also was submitted for public review and comment.
However, the standards listed were only a portion of a lengthy report. NIST is using the public
review process for this draft document as an opportunity to solicit further public comments
and recommendations on existing standards or emerging specifications for inclusion in the
list of standards that the Institute will publish in the final version of this document, the
NIST Framework and Roadmap for Smart Grid Interoperability Standards, Release 1.0. A
notice published in the Federal Register to announce the availability of this draft for public
review will include a specific request for comments on standards listed in this chapter.
Table 3. Additional Standards for Further Review.
# Standard
Application
1 ASN.1 (Abstract Syntax Notation)
Used to serialize data; used in (e.g.) X.400
2 Common pricing data and scheduling Exchange of price, characteristics, time, and related
model (OASIS EMIX)
information for markets, including market makers,
market participants, quote streams, premises
automation, and devices
30 Report to NIST on the Smart Grid Interoperability Standards Roadmap (Contract No. SB1341-09-CN-0031—
Deliverable 7) Prepared by the Electric Power Research Institute (EPRI), June 17, 2009.
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# Standard
Application
3 DHS Cyber Security Procurement
The National Cyber Security Division of the
Language for Control Systems
Department of Homeland Security (DHS) developed
this document to provide guidance to procuring
cyber security technologies for control systems
products and services - it is not intended as policy or
standard. Because it speaks to control systems, its
methodology can be used with those aspects of
Smart Grid systems.
4 DLMS/COSEM (IEC 62056-X)
Device Language Message Specification/Companion
Electricity metering - Data exchange Specification for Energy Metering.
for meter reading, tariff and load
control
5 FERC 888 Promoting Wholesale
Regulatory documentation for wholesale
Competition Through Open Access
competition.
Non-discriminatory Transmission
Services by Public Utilities; Recovery
of Stranded Costs by Public Utilities
and Transmitting Utilities
6 GPS
Global Positioning System for geospatial location
and time
7 HomePlug AV
Entertainment networking content distribution for
consumer electronic equipment
8 HomePlug C&C
Control and management of residential equipment
for whole-house control products: energy
management, lighting, appliances, climate control,
security and other devices.
9 IEC 60929 AC-supplied electronic
Appendix E is known as DALI.
ballasts for tubular fluorescent lamps Application: Information to and from lighting
– performance requirements
ballasts for Energy Management Systems
10 IEC PAS 62559
Requirements development method for all
applications. This is a pre-standard with wide
acceptance by early Smart Grid and AMI
implementing organizations
11 IEEE C37.2
Protective circuit device modeling numbering
scheme
for various switchgear.
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NIST Framework and Roadmap for Smart Grid Interoperability Standards Release 1.0 (Draft) September 2009
# Standard
Application
12 IEEE C37.111-1999 (COMTRADE) Applications using transient data from power system
monitoring, including power system relays, power
quality monitoring field and workstation equipment.
13 IEEE C37.232
Naming time sequence data files for substation
equipment requiring time sequence data
14 IEEE 802 Family
This includes 802.1, 802.2, 802.3, 802.11 and
subparts, 802.15.4, 802.15.4g, 802.16 and subparts,
802.20.
802.1 Standard for Local and Metropolitan
Area Networks (MAC/PHY layers)
Station and Media Access Control
Connectivity Discovery
802.2 Logical Link Control
802.3 Carrier Sense Multiple Access with
Collision Detection Physical Layer
802.11 Wireless LAN Medium Access
Control and Physical Layer (MAC/PHY).
Subparts are different network speeds and
MAC/PHY characteristics.
Commonly called WiFi. IEEE 802.11b data
rate is 11Mbps, IEEE 802.11g data rate is
54Mbps, IEEE 802.11i specifies security
802.15.1 Wireless Personal Area Networks
(WPAN). Base for Bluetooth
802.15.4 Wireless Personal Area Networks
(WPANs). Base for ZigBee and others
802.16 Fixed Broadband Wireless access
systems. Base for WiMAX
802.20 Mobile Broadband Wireless Access
15 IEEE 1159.3
Communications with Distributed Energy Resources
16 IEEE 1379-2000
Substation Automation - Intelligent Electronic
Devices (IEDs) and remote terminal units (RTUs) in
electric utility substations
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# Standard
Application
17 IEEE 1686-2007
The IEEE 1686-2007 is a standard that defines the
functions and features to be provided in substation
intelligent electronic devices (IEDs) to accommodate
critical infrastructure protection programs. The
standard covers IED security capabilities including
the access, operation, configuration, firmware
revision, and data retrieval.
18 IEEE P1901
Smart Grid Physical Communications Broadband
over Powerline (MAC/PHY)
19 IEEE P2030
Smart Grid Infrastructure
20 Internet-Based Management
Data Communications Networking, Routing,
Standards (DMTF, CIM, WBEM,
Addressing, Multihoming, Faults, Configuration,
ANSI INCITS 438-2008
Accounting, Performance, Security and other
management
21 Internet-Based Management
Data Communications Networking, Routing,
Standards (SNMP vX)
Addressing, Multihoming, Fault, Configuration,
Accounting, Performance, Security and other
management
22 ISA SP99
Cyber security mitigation for industrial and bulk
power generation stations. International Society of
Automation (ISA) Special Publication (SP) 99 is a
standard that explains the process for establishing an
industrial automation and control systems security
program through risk analysis, establishing
awareness and countermeasures, and monitoring and
improving an organization’s cyber security
management system. Smart Grid contains many
control systems that require cyber security
management.
23 ISA SP100
Wireless communication standard intended to
provide reliable and secure operation for non-critical
monitoring, alerting, and control applications
specifically focused to meet the needs of industrial
users.
24 ISO27000
Security Management Infrastructure across various
IT environments, which could be applied to field
systems
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# Standard
Application
25 ISO/IEC 24752 user interface –
Facilitates operation of information and electronic
universal remote control
products through remote and alternative interfaces
and intelligent agents. The series of standards,
ISO/IEC 24752: 1-5, defines a framework of
components that combine to enable remote user
interfaces and remote control of network-accessible
electronic devices and services through a universal
remote console (URC)
26 NAESB OASIS (Open Access Same- Utility business practices
Time Information Systems)
27 NAESB WEQ 015 Business Practices Utility business practices for Demand Response
for Wholesale Electricity Demand
Response Programs
28 NEMA Smart Grid Standards
This standard will be used by smart meter suppliers,
Publication SG-AMI 1-2009 –
utility customers, and key constituents, such as
Requirements for Smart Meter
regulators, to guide both development and decision
Upgradeability
making as related to smart meter upgradeability.
www.nema.org
29 Networking Profiles Standards and
Recent workshops and prior work by the power
Protocols
industry has needed to adopt open standards for
networking profiles. The Internet Protocols and
standards in widespread use are supported by a
significant number of documents. There is no single
document that defines a networking profile for the
use of the Internet Protocol. In addition the power
industry will need a variety of different profiles to
meet different requirements.
NIST Special Publication 500-267 provides an
example of profiles that several Internet Protocols
and their capabilities satisfying the requirements of
Smart Grid applications.
30 NIST FIPS 140-2
U.S. government computer security standard used to
accredit cryptographic modules.
31 NIST FIPS 197 AES
Cryptographic standard: Advanced Encryption
Standard (AES)
32 oBIX
Building automation, access control
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# Standard
Application
33 OSI (Open Systems Interconnect)
Data Communications Networking, Routing,
Networking Profiles
Addressing, Multihoming, Mobility and other
networking services supporting functions
34 OSI-Based Management Standards
Data Communications Networking, Routing,
(CMIP/CMIS)
Addressing, Multihoming, Fault, Configuration,
Accounting, Performance, Security and other
management
35 RFC 3261 SIP: Session Initiation
Session Initiation Protocol (SIP) is an application-
Protocol
layer control (signaling) protocol for creating,
modifying, and terminating sessions with one or
more participants.
36 SAE J1772 Electrical Connector
Electrical connector between Plug-in Electric
between PEV and EVSE
Vehicles (PEVs) and Electric Vehicle Supply
Equipment (EVSE)
37 SAE J2293 Communications between Communications between PEVs and EVSE for DC
PEVs and EVSE for DC Energy
energy flow
38 SAE J2836/1-3 Use Cases for PEV
J2836/1: Use Cases for Communication between
Interactions
Plug-in Vehicles and the Utility Grid. J2836/2: Use
Cases for Communication between Plug-in Vehicles
and the Supply Equipment (EVSE). J2836/3: Use
Cases for Communication between Plug-in Vehicles
and the Utility Grid for Reverse Power Flow
39 SAE J2847/1-3 Communications for J2847/1 Communication between Plug-in Vehicles
PEV Interactions
and the Utility Grid. J2847/2 Communication
between Plug-in Vehicles and the Supply Equipment
(EVSE). J2847/3 Communication between Plug-in
Vehicles and the Utility Grid for Reverse Power
Flow
40 Telecommunication Network
This list represents the collections of cellular and
Standards for Cellular and Broadcast broadcast communications networking standards:
1xRTT, 3GPPP/LTE, CDMA, DLS, EDGE, EvDO,
GPRS, GSM, HSDPA, RDS, SMS.
41 W3C Simple Object Access Protocol XML protocol for information exchange
(SOAP)
42 W3C WSDL Web Service Definition Definition for Web services interactions
Language
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# Standard
Application
43 W3C XML eXtensible Markup
Self-describing language for expressing and
Language
exchanging information
44 W3C XSD (XML Schema Definition) Description of XML artifacts, used in WSDL (q.v.)
and Web Services as well as other XML
applications.
45 WS-Calendar (OASIS)
XML serialization of IETF iCalendar for use in
calendars, buildings, pricing, markets, and other
environments
46 WS-Security
Toolkit for building secure, distributed applications.
Broadly used in eCommerce and eBusiness
applications. Fine-grained security. Part of extended
suite using SAML, XACML, and other fine-grained
security standards.
In all, it is anticipated that hundreds of standards will be required to build a safe, secure Smart
Grid that is interoperable, end to end. Identification and selection of standards will be aided by
useful, widely-accepted criteria or guidelines. Clearly, any set of guidelines for evaluating
candidate standards will have to evolve as Smart Grid is developed, new needs and priorities are
identified, and new technologies emerge. For example, NIST concentrated on six priority areas
for the first phase of its standards-coordination effort. As this effort proceeds, new priorities will
be established and standards applicable to these priorities will be emphasized.
NIST has developed a core set of criteria to provide initial guidance when evaluating prospective
Smart Grid standards. This guidance is presented in the text box below. NIST seeks public
comments on the usefulness of the criteria as well as suggestions for improving the guidance for
future evaluations of standards.
In evaluating standards for inclusion, NIST also recommends considering principles put forward
by the World Trade Organization’s Committee on Technical Barriers to Trade “Decision of the
Committee - Principles for the Development of International Standards, Guides and
Recommendations (Annex 4)”. . These are summarized below:
1. Transparency in the standards development process;
2. Openness of the standardizing body to all interested parties;
3. Impartiality and consensus in the standards development process;
4. Relevance and effectiveness in responding to regulatory and market needs, as well as
scientific and technological developments;
5. Coherence, such that standards minimize duplication and overlap with other existing
international standards; and
6. Developmental dimensions have been adequately addressed by the standards developing
body.
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Reviewing these criteria and the comments received on them will be one of the first tasks of the
Smart Grid Interoperability Panel that will be created to continue development of action plans for
the Smart Grid.
Guidance for Identifying Standards for Implementation
NIST proposes that the criteria listed below be used to evaluate standards and emerging
specifications for inclusion in the NIST Framework and Roadmap for Smart Grid
Interoperability Standards, Release 1.0, and subsequent versions. The full set of criteria does
not apply to every standard or specification listed in Tables 2 and 3. Judgments on whether a
standard merits inclusion should be made on the basis of combinations of relevant criteria.
For Release 1.0, NIST proposes that a standard or emerging specification should be evaluated
on whether it:
• Is well-established and widely acknowledged as important to the Smart Grid.
• Is an open, stable and mature industry-level standards developed in consensus processes
from a standards development organization (SDO).
• Enables the transition of the legacy power grid to the Smart Grid.
• Has, or is expected to have, significant implementations, adoption, and use.
• Is supported by an SDO or Users Group to ensure that it is regularly revised and improved
to meet changing requirements and that there is strategy for continued relevance.
• Is developed and adopted internationally, wherever practical.
• Is integrated and harmonized with complementing standards across the utility enterprise
through the use of an industry architecture that documents key points of interoperability
and interfaces.
• Enables one or more of the framework characteristics as defined by EISA† or enables one
or more of the six chief characteristics of the envisioned Smart Grid‡
• Addresses, or is likely to address, anticipated Smart Grid requirements identified through
the NIST workshops and other stakeholder engagement.
• Is applicable to one of the priority areas identified by FERC and NIST:
o Demand Response and Consumer Energy Efficiency,
o Wide Area Situational Awareness,
o Electric Storage,
o Electric Transportation,
o Advanced Metering Infrastructure, or
o Distribution Grid Management.
† Energy Independence and Security Act of 2007 [Public Law No: 110-140] Title XIII, Sec. 1305.
‡ U.S. Department of Energy, Smart Grid System Report, July 2009.
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• Addresses cyber-security, network communications, or other cross-cutting issues.
• Focuses on the semantic understanding layer of GWAC stack , which has been identified as
most critical to Smart Grid interoperability.
• Is openly available under fair, reasonable, and nondiscriminatory terms.
• Accommodates legacy implementations.
• Allows for additional functionality and innovation through:
o Symmetry – facilitates bi-directional flows of energy and information.
o Transparency – supports a transparent and auditable chain of transactions.
o Composition – facilitates building of complex interfaces from simpler ones.
o Extensibility – enables adding new functions or modifying existing ones.
o Loose coupling – helps to create a flexible platform that can support valid bilateral
and multilateral transactions without elaborate pre-arrangement.*
o Layered systems – separates functions, with each layer providing services to the
layer above and receiving services from the layer below.
o Shallow integration – does not require detailed mutual information to interact with
other managed or configured components.
o Symmetry – facilitates bi-directional flows of energy and information.
o Transparency – supports a transparent and auditable chain of transactions.
o Composition – facilitates building of complex interfaces from simpler ones.
o Extensibility – enables adding new functions or modifying existing ones.
• Has associated conformance tests or a strategy for achieving them.
* While loose coupling is desirable for general applications, tight coupling often will be required for critical
infrastructure controls.
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5
Priority Action Plans
5.1 Overview
NIST has identified an initial set of priorities for developing standards necessary to build an
interoperable Smart Grid. Among the criteria for inclusion on this initial list were (1) immediacy
of need, (2) relevance to high-priority Smart Grid functionalities,31 (3) availability of existing
standards to respond to the need, and (4) the extent and stage of the deployment of affected
technologies. In assembling this list, NIST considered stakeholder input received at three public
workshops and other public interactions, as well as reviews of research reports and other relevant
literature.
The most recent of these workshops (August 3-4, 2009) engaged more than 20 standards
development organizations (SDOs) as well as user groups in addressing these priorities. At the
workshop, SDOs and other Smart Grid stakeholders agreed on many individual and collaborative
responsibilities for addressing standards issues and gaps. They also defined tasks and set
aggressive timelines for accomplishing many of them.
In addition to parallel efforts on cyber security (described in the next chapter), the priority
actions plans (PAPs) summarized below are proceeding rapidly but are also works in progress.
They are undergoing continuing improvement and refinement, and are updated to incorporate
new developments and to reflect the current status of plan implementation. Complete versions of
the PAPs, which are summarized below, can be found on-line on the NIST Smart Grid wiki.32
The initial PAPs are just the beginning of accelerated development and sustained standardization
effort that will span a number of years. New PAPs will be developed over time as existing PAPs
are completed to encompass the larger scope of standardization efforts that will be required as
the nation pursues the vision of a fully interoperable Smart Grid.
31 NIST is focusing initial standardization efforts on six Smart Grid functionalities: wide-area situational awareness;
demand response; electric storage; electric transportation; advanced metering infrastructure; and distribution grid
management; in addition to cyber security and network communications. See chapter 1 for a discussion of these
priorities.
32 http://collaborate.nist.gov/twiki-sggrid/bin/view/SmartGrid/WebHome
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Meter Upgradeability Standard—A Completed Priority Action Plan
To support the development and deployment of a Smart Grid, many electric utilities are
looking to make their Advanced Metering Infrastructure (AMI) and Smart Meter investments
now as a precursor or enabler to additional Smart Grid, energy management, and consumer
participation initiatives.
One of the critical issues facing these electric utilities and their regulators is the need to
ensure that technologies or solutions that are selected by utilities will be interoperable and
comply with the yet-to-be-established national standards. Further, many utilities want to
ensure that the system they select will allow for evolution and growth as Smart Grid
standards evolve. To manage change in a dynamically growing Smart Grid, it is essential to
be able to upgrade firmware, such as meters, in the field without replacing the equipment or
“rolling a truck” to manually upgrade the meter firmware. Remote image download
capability, common practice today in many embedded computing devices, will permit certain
characteristics of the meter to be substantially altered on an as needed basis.
For investment in and deployment of smart metering to continue at an aggressive pace,
industry requires standards to accommodate upgradeability requirements. These standards
are needed to allow utilities to mitigate risks associated with “predicting the future” and to
install systems that are flexible and upgradeable to comply with emerging requirements for
the Smart Grid.
NIST identified this need for a meter upgradeability standard as a high priority requiring
immediate attention. The objective was to define requirements for smart meter firmware
upgradeability in the context of an AMI system for industry stakeholders, such as regulators,
utilities, and vendors. The National Electrical Manufacturers Association (NEMA) accepted
the challenge to lead this effort to develop a standard set of requirements for smart meter
upgradeability on an exceptionally rapid schedule. The standard was completed in less than
90 days with the help of a team of meter manufacturers and electric utilities. The standard
has been approved by NEMA’s Codes & Standards Committee, and is titled NEMA Smart
Grid Standards Publication SG-AMI 1-2009 – Requirements for Smart Meter
Upgradeability. This standard will be used by smart meter suppliers, utility customers, and
key constituents, such as regulators, to guide both development and decision making as
related to smart meter upgradeability. The final standard will be available from NEMA’s
Web site (www.nema.org) at no cost. In total, the standard will have taken roughly 90 days
from start to final NEMA approval, which is a truly accelerated standards development.
5.2 Develop Common Specification for Price and Product Definition
A common specification for price is critical for applications used across the Smart Grid. The
price and product specification is being developed on a rapid time-scale. A draft specification
will be ready in April 2010. This effort is drawing on input from a wide group of stakeholders as
well as existing work. It focuses on meeting the immediate needs of utilities and demand
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response program mandates while building an extensible foundation for a market-based Smart
Grid.
Abstract
Actions under this plan will result in a common specification for price. This specification will be
used in demand response applications, market transactions, distributed energy resource
integration, meter communications, and many other inter-domain communications. Businesses,
homes, electric vehicles, and the power grid will benefit from automated and timely
communication of energy prices, characteristics, quantities, and related information.
Price is a number associated with product characteristics, including delivery schedule, quality
(reliability, power quality, source, etc.), and environmental and regulatory characteristics. Price
also is a common abstraction for abundance, scarcity, and other market conditions. A common
price model will define how to exchange data on energy characteristics, availability, and
schedules to support efficient communication of information in any market.
Why
Coordination of energy supply and demand requires a common understanding of supply and
demand. A simple quotation of price, quantity, and characteristics in a consistent way across
markets enables new markets and integration of distributed energy resources. Price and product
definition are key to transparent market accounting.
A consistent information model will reduce implementation costs. A consistent model for
market information exchange simplifies communication flow and improves the quality and
efficiency of actions taken by energy providers, distributors, and consumers.
Better communication of actionable energy prices facilitates effective dynamic pricing and is
necessary for net-zero-energy buildings, supply-demand integration, and other efficiency and
sustainability initiatives. Common, up-to-the-moment pricing information is also an enabler of
local generation and storage of energy, such as electric-charging and thermal-storage
technologies for homes and buildings.
Major Objectives
• Develop a summary of power reliability and quality characteristics that affect price and
availability (supply side) and desirability (demand side).
• Survey existing price communications and develop harmonized specification (review by
October 2009, draft specification by April 2010).
• Engage the broad group of stakeholders into the effort.
• Build on existing work in financial energy markets and existing demand response programs.
• Integrate with schedule and interval specifications under development (see section 5.3).
Project Team
NIST Lead: Dave Holmberg
Collaborators:
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IEC
OASIS
AHAM
ISO
OpenADR
ASHRAE
LONMark International
PNL
BAE Systems
Multispeak
UCAIug
Cazalet Group
NAESB
ZigBee
FIX
New England ISO
FIX Protocol
No Magic, Inc.,
GWAC
The full plan can be found at this referenced link33
5.3 Develop Common Scheduling Mechanism for Energy
Transactions
The coordination of supply and demand is already of critical importance on the grid; tomorrow,
with the increase of distributed energy resources, this coordination becomes more critical. A
draft specification for facilitating common scheduling operations across different domains will
be completed by December 2009.
Abstract
Already important, coordination of supply and demand in the grid will be even more critical as
distributed energy resources increase and as renewables account for a growing share of electric
power. Beyond electromechanical devices and equipment, necessary levels of coordination
extends to enterprise activities, home operations and family schedules, and market operations. A
common schedule specification is required for the Smart Grid and the many sectors that interact
with the grid.
Under this plan, NIST and its collaborators are surveying existing calendaring specifications.
They will develop a standard for how schedule and event information is passed between and
within services. The output will be a micro-specification that can then be incorporated into
price, demand-response, and other specifications. Easy integration of the specification will
facilitate a common scheduling operation across different domains and diverse contracts. A draft
is scheduled to be completed by the end of 2009 so that it can be included in the Common
Specification for Price and Product Definition that will be developed under another PAP.
Why
Services operate—and are negotiated—on the basis of schedules. Some services may stem from
almost instantaneous transactions while others may require significant lead times and
33 http://collaborate.nist.gov/twiki-sggrid/bin/view/_SmartGridInterimRoadmap/PAP03PriceProduct
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coordination with other services, processes, or actors. Central coordination of such services
actually reduces interoperability, as it requires the coordinating agent to know the lead time of
each service. The Smart Grid relies on coordinating processes in homes, offices, and industry
with projected and actual power availability, including different prices at different times. In
addition, regularly updated weather reports are becoming increasingly important to projecting
energy availability. Energy use in buildings can be reduced if building-system operations are
coordinated with the schedules of the occupants. A common standard for transmitting
calendaring information will enable the coordination necessary to improve energy efficiency and
overall performance.
In the evolving transactive power grid, market communications will involve energy consumers,
producers, and transmission and distribution systems. Coordinated scheduling will enable
aggregation for both consumption and curtailment resources. With information in consistent
formats, building and facility agents can make decisions on energy production, sale, purchase,
and use that to fit the goals and requirements of their home, business, or industrial facility.
Major Objectives
• The Calendar Consortium will complete its current work of XML serialization of ICalendar
into a Web-service component (WS-Calendar) by the end of 2009.
• ISO20022 will comment on and coordinate with the Calendar Consortium on schedule
semantics across enterprise, energy, and financial information.
• Ongoing work in price and product definition standards development and in grid end node
interactions (OASIS Energy Interoperability) will incorporate a schedule component pending
completion of this work.
Project Team
NIST Lead: Dave
Holmberg
Collaborators:
CALCONNECT
NAESB
SIIA
FIX Protocol
OASIS
UCAIug
ISO
OSCRE
ISO20022
PNL
The full plan can be found at this referenced link.34
5.4 Develop Common Information Model (CIM) for Distribution Grid
Management
Standards are urgently needed to enable the rapid integration of wind, solar, and other renewable
resources, and to achieve greater reliability and immunity to grid instabilities resulting from their
wide-scale deployment and create a more reliable and efficient grid. The accelerated timeline
calls for creation of an interoperability test team in 2009; development of integrated models for
34 http://collaborate.nist.gov/twiki-sggrid/bin/view/_SmartGridInterimRoadmap/PAP04Schedules
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Multispeak, a standard that is widely used by rural cooperative electric utilities; and development
of requirements and common models for data and information used in distribution systems and
back-office equipment by the end of 2010.
Abstract
This action plan intends to ensure that new Smart Grid equipment for distribution grid
operations, which is being deployed in many different grid environments, can readily
communicate with new and legacy equipment and act on the information exchanged. The
strategy calls for defining the key distribution applications that will enable Smart Grid functions
for substation automation, integration of distributed energy resources, equipment condition
monitoring, and geospatial location; evaluating existing standards; and coordinating standards
development work necessary to ensure the interoperability of new equipment. This work will
enable the integration of data and information from equipment in the distribution grid with
information used for enterprise back office systems.
Efforts are focusing on three standards used in North American distribution systems. The
standards differ in the types of data models they use. Their integration will enable many new
Smart Grid applications and lower technical barriers to the implementation of these applications.
Currently, none of these standards has a complete data model for distributed energy resources,
equipment condition monitoring data, geospatial location, and other information that will
underpin Smart Grid technologies and applications. It is critical to act quickly on the initial tasks
defined in this action plan since deployments, particularly those funded by the Department of
Energy Smart Grid Grants and demonstration projects, are under way.
Why
This work is developing an approach for integrating application-level communications from
three standards. IEC 61968, which is beginning to be used in the North American grid, and
Multispeak, which is widely used by rural cooperative utilities, provide the structure and
semantics for integrating a variety of back-office applications. In addition, IEC 61850 defines
semantics for communications with substation equipment, including exchanging data on real-
time operations as well as non-operational data, such as for condition monitoring. Integrating
these standards provides a basis for powerful integration for both real-time operations for status
monitoring and control of substation equipment (circuit breakers, relays, transformers) that will
lead to fewer, shorter, or completely prevented outages as well as support for a variety of back
office applications for more efficient and powerful management of equipment assets, validation
and analysis of metering data, billing, forecasting, distribution planning and operations that
realize the full potential of Smart Grid capabilities.
Major Objectives
• Develop strategies to integrate and expand IEC 61970-301, IEC 61968, Multispeak and IEC
61850 for Smart Grid applications.
• Create a scalable strategy to integrate other identified standards.
• Evaluate the contents of each standard for a “best fit” to meet the requirements of key
applications that span the environments of these standards. Agree on an approach to integrate
domain knowledge represented in each standard.
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Project Team
NIST Lead: Jerry FitzPatrick
SDO Leads: IEC TC57 WG14, IEC TC57 WG17, MultiSpeak
Collaborators:
IEC TC57 WG10
OpenGeospatial Consortium
IEC TC57 WG13
Transmission & Distribution Domain Expert
Working Group
IEC TC57 WG15
IEC TC57 WG19
UGAIug
IEEE Power Systems Relay
Communications Committee
Utility Communication Architecture
International users’ group (UCAIug)
IEEE Power and Energy Society
Distribution Automation Working Group
Utilities Standards Board (USB)
NAESB
The full plan can be found at this referenced link.35
5.5 Standard Demand Response Signals
Demand response (DR) communications cover interactions between wholesale markets and retail
utilities and aggregators, and between these entities and the end-load customers who reduce
demand in response to grid reliability or price signals. Given the rapid deployment of smart
meters, DR standards are widely acknowledged as a top priority, with a draft DR specification
expected by January 2010.
Abstract
While the value of DR is generally well understood, the interaction patterns, semantics, and
information conveyed vary. Price (often with the time of effectiveness), grid integrity signals
(e.g., event levels of low, medium, high), and possibly environmental signals (e.g., air quality)
are components of DR communications. Defining consistent signal semantics for DR will make
the information conveyed more consistent across Smart Grid domains.
The swift deployment of smart meters and the integration of distributed energy resources (DER)
into the grid requires DR standards. The focus of the DR standards effort, as represented in this
PAP, is to integrate the work in OpenADR, OpenSG, IEC TC57, and NAESB, along with the
input of other stakeholders to deliver a draft DR specification by January 2010. The initial
emphasis is on meeting utility DR requirements, while developing an extensible signaling
framework that allows continued development of DER semantics.
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Why
DR has evolved over the years. Previous mechanisms included calling or paging plant managers
to advise them to curtail energy use at their facilities; current mechanisms support varying levels
of automation. Technologies such as Open Automated Demand Response (OpenADR) have
demonstrated rapid, automated curtailment based on price or grid integrity signals, so that
aggregators have a clearer understanding of what loads customer facilities can shed at what
times. Unfortunately, lack of widely accepted signals across the entire DR signaling and
validation chain hinders widespread deployment of these technologies. Consistent signals will
allow further automation and improve DR capabilities across the grid.
Integration of renewable and other intermittent resources increases the need for balancing
reserve, spinning reserve, and other techniques to take advantage of lower operating costs for
renewables. However, the responsiveness of the entire power generation and delivery system
needs to improve in correspondence with the extent and degree of intermittency. DER integration
raises interoperation issues related to distribution automation, signals and information exchanges,
and profiles; some of these (e.g. storage) are being addressed specifically in other action plans.
Markets, operations, distribution, distribution-related capital costs, and the customer domains are
the primary areas affected, though all are affected to some extent.
Major Objectives
• Collect, analyze, and consolidate use cases and gather stakeholder user requirements.
• Define a framework and common terminology (message semantics) for: price
communication (including schedules, import from other PAPs); grid safety or integrity
signals; DER support; and other signals and/or extensibility mechanism.
• Address safety of interconnection and resale issues.
• Address common vocabulary across existing DR specifications.
Project Team
NIST Lead: Dave Holmberg
Collaborators:
ASHRAE
HomePlug SEP2
NAESB
AHAM
IEC TC57 WG14
OASIS
CAISO
ISO/IEC JTC 1 WG15
UCAIug
EPRI (appliances)
ISO/RTU+GWAC
UCAIug AMI-ENT TF
GWAC/Industrial
LBNL OpenADR
UCAIug Smart Grid SC
Home Automation
LONMark
ZigBee
The full plan can be found at this referenced link.36
36 http://collaborate.nist.gov/twiki-sggrid/bin/view/_SmartGridInterimRoadmap/PAP09DRDER
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5.6 Standards for Energy Usage Information
Customers will benefit from energy usage information that enables them to make better decisions
about energy use and take other actions consistent with the goals of Section 1301 of EISA. In
particular, consumers could make better decisions about emerging energy
conservation/efficiency applications, including whether to change DR plans, or to take specific
actions now in anticipation of future DR events. Given that some states have mandated customer
access to this information, an initial specification is expected in January 2010.
Abstract
This action plan will define data standards to enable customers and customer-authorized third-
party service or software providers to access energy usage information from the Smart Grid,
enabling customers to make better decisions about energy use and conservation. The data
standards will enable immediate and widespread benefit. They will support access to monthly
usage information, which is already available, as well as near-real-time information that will be
available as smart meters are deployed. The standards will promote innovation by third-party
service and software providers in providing novel ways to help consumers manage their energy
usage. In the absence of these standards, software developers and utilities would have to
negotiate pair-wise interfaces, an impractical situation.
These standards must be developed on an aggressive timetable. States such as California and
Texas have mandated that consumers have electronic access to such data in 2010. This action
plan will result in a requirements definition for the standards by October 2009 and an initial
specification by January 2010.
Why
Attempts to encourage consumers of electricity to conserve energy are greatly assisted when
consumers have means to track their actual energy use. Real-time, or near real-time, information
supports energy management decisions and action far more effectively than after-the-fact billing.
Today, customer-focused energy management is hindered by limited access to information.
Making understandable, actionable energy-usage information readily available to consumers
requires widely adopted data standards. Such standards will support innovation in automated
energy management services and products, help to build national and global markets for these
technologies, and help to conserve energy.
Information about energy consumption can be provided by the on-premises meter. It also can be
made available through energy delivery systems (such as those operated by utilities or
aggregating service providers) and through consumer devices. Anticipated initial users of this
information model will be utilities and other service providers, which will provide energy usage
information to customers via the World Wide Web, or public Internet. The model also will
support development of on-premises devices that can access meters and provide usage
information directly to the occupant.
A robust information model should be invariant, scalable, and extensible, as well as interoperable
with the communications standards in place in the home, business, distribution system, or
enterprise. This effort will overlap with and support information standards for load curtailment,
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load shaping, and energy market operations. The primary focus, however, will be on more
immediate actionable steps to define and standardize energy usage information and to make it
more readily available.
Major Objectives
• Develop a summary of information needs for various means of customer access to metering
and billing information. The goal is to develop requirements by the end of October 2009.
• Vet these requirements among standards organizations (including IEC, NEMA, OASIS, and
ZigBee) and identify potential harmonization opportunities. (UCAIug – OpenSG has
committed to developing a statement of support for extending their process to include
additional stakeholders.).
• Carry out an initial effort that delivers on meeting upcoming state public utility commission
mandates (including California) to provide customer electronic access to energy-usage data
(from both smart meters and legacy meters). This effort must encompass scalability for the
larger effort, such that applications designed to use the initial release will function properly
in the presence of data from later, more extensive releases. The goal is to have useable
definitions in place by January 2010 to meet PUC mandates.
• Develop a composite information model that can be easily transformed without loss and
transported via standards in OASIS, IEC61970/61968, IEC61850, ANSI C12.19/22,
ASHRAE 135, and ZigBee SEP.
• Develop and implement a plan to expedite harmonized standards development and adoption
within the associated standards bodies.
Project Team:
NIST lead:
David Wollman
Lead organization: UCAIug – OpenSG
Coordinating organizations:
IEC (61850; 61970/61968)
OASIS
NEMA (ANSI C12 Secretariat)
ZigBee
The full plan can be found at this referenced link. 37
5.7 IEC 61850 Objects/DNP3 Mapping
DNP3 (the Distributed Network Protocol) is the de facto communication protocol used at the
distribution and transmission level in the North American power grid. However, DNP3 is not
fully capable of enabling Smart Grid functions. The Smart Grid must accommodate and build
upon the legacy systems of today’s power grid, and DNP3 is an essential element of it.
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Guidelines for achieving interoperable integration of DNP3 with Smart Grid standards will be
completed in 2010.
Abstract
This action plan focuses on developing the means to enable transport of Smart Grid functions
over the legacy DNP3 networks. This will be accomplished by carrying out the first step in
integrating DNP3 data to conform with the newer IEC 61850 standard for Communication
Networks and Systems in Substations, which is better suited to support Smart Grid functions.
IEC 61850 is a standard for substation automation, and supports monitoring and control of grid
equipment (relays, circuit breakers, transformers) as well as renewable energy resources. This
step is called mapping, which enables the translation of data between different systems. There is
an urgent need for communication networks in legacy, DNP3-based distribution systems to
support exchanges of large volumes of data (with low latency, i.e., time delays) that are
necessary to achieve new Smart Grid capabilities. Many of the new deployments, including those
funded under Department of Energy Smart Grid grants programs, will require rapid, high-
bandwidth communications that are better supported by IEC 61850. For 2009, the tasks of this
action plan include performing a gap analysis to identify the extent to which DNP3 meets Smart
Grid requirements. Guidelines for achieving interoperable integration of DNP3 with IEC 61850
and other Smart Grid standards will be produced in 2010.
Why
DNP3 was designed for low-bandwidth Supervisory Control and Data Acquisition (SCADA)
operations that control grid equipment. Data acquisition consists of three types of data: binary
(digital) inputs, analog inputs, and counters. Supervisory control consists of commands for both
digital and analog equipment. Although this protocol allows any DNP data to be transported
between any two points, the semantic content of the messages depends upon lists of tables,
which are not machine readable.
The desire is to ensure that data is seamlessly transported between devices and readily used by
them, even when there are communication constraints imposed by the DNP3 protocol.
Mapping of objects in each direction presents difficult challenges.
Major Objectives
• Agree upon a consistent algorithm to map a selected subset of IEC 61850 information objects
to corresponding DNP3 objects (May 2010).
• Provide a method to map between DNP3 information objects and IEC 61850 objects.
Because DNP3 uses less-specific semantics than IEC 61850, this is only an approximate
mapping. The DNP3 specification (Volume 8 clause 8.4 and its Appendix 1 clause 2)
presents the approach recommended by the DNP3 Technical Committee, which uses XML to
perform this mapping. This DNP mapping approach is referenced in Annex E of IEC 61400-
25-4 (June 2010).
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Project Team
NIST Leads: Jerry FitzPatrick, Tom Nelson
SDO Leads:
DNP Technical Committee
IEC TC57 WG10
UCAIug Technical Committee
Collaborators:
DNP User Group
UCAIug Testing
Utility Representatives
Committee
IEC TC57 WG03
The full plan can be found at this referenced link.38
5.8 Time Synchronization
Common time synchronization is the key to many Smart Grid applications that will result in the
real-time operation necessary to make the Smart Grid highly robust and resilient to disturbances
(“self-healing”), either from natural events such as earthquakes or large variations in wind or
solar power availability, or from terrorist actions. Precision time protocols and synchrophasor
rapid prototyping and testing are planned for mid-2010.
Abstract
This action plan focuses on ensuring that Smart Grid deployments use a common format and
have common meaning for time data so that the applications are readily interoperable. The
approach includes determining detailed requirements for Smart Grid applications and in
particular, for synchrophasor measurements used to monitor conditions in the transmission grid.
Additionally, the tasks cover harmonizing the differences in time data formats used by Smart
Grid standards, promoting rapid prototype development and interoperability testing, and
developing guidelines on how to achieve uniform time-stamping throughout the Smart Grid. The
DOE Smart Grid Investment Grant Program will fund implementations of phasor measurement
units (PMUs) that measure synchrophasors, which makes rapid resolution of time
synchronization issues imperative. The tasks for this action plan to be completed in 2009 include
determining synchrophasor data transport requirements, performing device interoperability
demonstrations for time standards such as IEEE 1588, a key element to achieving
synchronization, resolving timestamp differences between PMU and substation communication
standards, and performing interoperability demonstrations for time data. A precision time
protocol is to be completed in early 2010, and the synchrophasor rapid prototyping and
interoperability testing is planned for mid-2010.
Why
Two standards are related to communications of phasor measurement unit (PMU) data and
information. IEEE C37.118 was published in 2005 for PMUs. IEC 61850 has been substantially
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developed for substations but is seen as a key standard for all field equipment operating under
both real-time and non-real time applications. The use of IEC 61850 for wide-area
communication is already discussed in IEC 61850-90-1 (Draft technical report) in the context of
communication between substations; it is only a small step to use it as well for transmission of
PMU data. The models for PMU data need to be defined in IEC 61850. This work item seeks to
assist and accelerate the integration of standards that can impact phasor measurement and
applications depending on PMU-based data and information. Integrating IEEE C37.118 with IEC
61850 will help to remove overlaps between the standards, which may impede development of
interoperable equipment and systems. IEEE C37.118 is intended to support applications such as
protection. IEC 61850 is suitable for system-wide applications that require higher publishing
rates.
With IEEE 1588, a standard is available to achieve highly accurate synchronization over
communication networks. Several applications related to Smart Grid require time
synchronization and many aspects need to be considered like loss of synchronization, dealing
with synchronization “islands” and resynchronization after loss. Calendar models are required
and other mechanisms for time synchronization such as GPS or IRIG-B are considered. A
standards-based approach for time synchronization that addresses the requirements from all
applications will support interoperability and facilitate implementation of new Smart Grid
applications.
Major Objectives
• Develop contributing technical work to integrate IEEE C37.118 and IEC 61850 under a Dual
IEEE/IEC Logo Standard January 2010.
• Participate with SDO working groups to work out technical issues related to the standard
integration (ongoing).
• Support prototyping activities (ongoing).
• Facilitate interoperability demonstrations of prototypes (plugfest) (September 2009).
• Validate detailed requirements from Smart Grid applications using common time
synchronization and time management (October 2009).
• Develop, in cooperation with SDO working groups, guidelines for application and role-based
time synchronization.
• Develop contributing technical work to prepare standard profiles for IEEE 1588 (January
2010).
• Ensure NASPI-NET and NERC timing requirements are encompassed by work of this group
(September 2009).
• Resolve differences between time stamp format and time semantic of C37.118 and 61850
(perhaps add a second timestamp to message) (November 2009).
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Project Team
NIST Lead: Jerry FitzPatrick
Lead SDO:
IEC TC 57 WG 10 6185090
Collaborators:
EPRI
IEEE PSRC, Communications
Subcommittee
IEC TC57 WG19
IEEE PSRC H4 C37.111 COMTRADE
IEC TC57 WG15
NASPI
IEC TC38 WG37
NASPI, Performance and Standards
IEEE Power Systems Relaying Committee
Committee
(PSRC) H11
NERC CSSWG
IEEE PSRC H7
PJM
IEEE PSRC H3
Utillity Communication Architecture
International users’ group (UCAIug)
The full plan can be found at this referenced link.39
5.9 Transmission and Distribution Power Systems Model Mapping
Advanced protection, automation, and control applications are needed to improve the reliability,
robustness, and resilience of the power grid, the goals of the Smart Grid. For all of these
envisioned applications, information requirements must be identified and standardized to the
level necessary to achieve interoperability in order to meet these goals. Transmission and
distribution power system information models defined in existing standards must be modified as
needed to meet these requirements. These modifications are expected to be completed by the
end of 2010.
Abstract
This plan will define strategies for integrating standards across different utility environments to
support different real-time grid operations (relay, circuit breaker, transformer operations) and
back-office applications for customer services, meter data and billing, and other business
operations. The work must meet an aggressive schedule to enable ready interoperability of
ongoing Smart Grid deployments funded by federal and industry investments. Modeling of the
electric power system, multifunctional intelligent electronic devices (IEDs), and definition of
standard methods for reporting events and exchanging relay settings will enable improving the
efficiency of many protection, control, engineering, commissioning, and analysis tasks. Tasks for
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2009 include identifying issues that stand in the way of harmonizing potentially conflicting
standards and identifying information requirements for relay settings in the Smart Grid. Some of
the tasks identified for this action plan overlapped with those in the PAP described in 5.4,
Develop Common Information Model (CIM) for Distribution Grid Management, and are covered
by it as noted in the objectives given below.
Why
Advanced protection, automation, and control applications will benefit from a utility-wide
communication infrastructure. Many of today’s applications require manual conversion between
different proprietary formats. A standards-based approach for system models, protection settings,
and event-reporting data exchange will improve the efficiency of many Smart Grid-related tasks.
This integration can enable many new applications.
The information requirements of Smart Grid protection, automation, and control applications
must be identified and, then, standardized to the level required to achieve interoperability. Use
cases describing the applications will be developed, and information needs will be mapped to
existing transmission and distribution power system models, which will be extended as required.
This work develops an approach for integrating the application-level communications from
several standards. The IEC 61850 standard provides a basis for field equipment communications,
including semantics, and encompasses real-time operations as well as non-operational data, such
as condition monitoring. The IEC 61968 and IEC 61970 standards provide the structure and
semantics for integrating a variety of back-office applications. Models of the transmission and
distribution power system are available in IEC 61970 and IEC 61968-11. Some of the
information to be added may be retrieved from devices supporting IEC 61850. An extension of
the IEC 61850 models may be required as well.
Automated verification of the different settings of the components of a power system will be
essential to preventing system failures due to misconfiguration. To make these applications
possible across the power system, standardization of protection-setting information is required.
Beyond the settings of individual devices, applications also may require more information about
the power network, such as line characteristics or topology. The IEEE Power and Energy Society
(PES) Power Systems Relaying Committee (PSRC) Working Group H5 is in the process of
completing the protection settings object models and defining a common data format for
exchange between applications.
Other standards to be considered are IEEE PC37.239, which defines a Standard Common Format
for Event Data Exchange (COMFEDE) for Power Systems, and IEEE PC37.237, which defines a
Recommended Practice for Time Tagging of Power System Protection Events.
Major Objectives
• Develop strategies to expand and integrate MultiSpeak, IEC 61850, IEC 61968, IEC 61970,
IEEE PC37.237 (Time Tagging), IEEE PC37.239 (COMFEDE), and the future IEEE
Common Settings File Format for Smart Grid Applications.
• Develop a summary of information required from the power system for various Smart Grid
applications (December 2009). (Covered by the PAP tasks described in section 5.4.)
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• Map that information with the already defined models from MultiSpeak, IEC 61970, IEC
61968-11, and IEC 61850 (June 2010). (Covered by the PAP tasks described in section 5.4.)
• Coordinate with the SDO to extend the existing models. (Covered by the PAP tasks
described in section 5.4.)
• Identify power equipment setting information that is required for performing an automatic
verification of the power system configuration to prevent failures due to misconfigurations.
This information shall include both settings in the devices as well as parameters of the power
network that need to be available for verification.
• Coordinate with SDOs to extend the existing standards to include the necessary setting
information (year-end 2010).
Project Team
NIST Lead: Jerry
FitzPatrick
Lead SDO: IEC TC57, WG10
Collaborators:
EPRI
IEEE PSRC, Communications
Subcommittee
IEEE PSRC H7
IEC TC57 WG13
IEEE PSRC H5
IEC TC 57 WG14
IEEE PSRC H16
UCAIug
The full plan can be found at this referenced link.40
5.10 Guidelines for the Use of IP Protocol Suite in the Smart Grid
Abstract
Internet technologies have important roles to play in the Smart Grid information networks.
Defining the roles and identifying the appropriate Internet standards or Internet Engineering Task
Force “requests for comments” (RFCs) are important jobs that must begin immediately and must
receive sustained effort. This action plan presents steps for developing guidelines for the use of
the IP protocol suite by working with key SDO committees to determine the characteristics of
Smart Grid application areas and types and the applicable protocols. The networking profiles
identified under this action plan will define a significant portion of the interfaces to Smart Grid
equipment and systems in any intra-domain and inter-domain applications.
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NIST expects the initial guidelines, based on the existing Smart Grid requirements, to be
completed by mid-year 2010.
Why
The Smart Grid will require a comprehensive mapping of application requirements to the
capabilities of protocols and technologies in a well-defined set of Internet Protocol Suite(s) or
Profiles. This set should be defined by experts well-versed in the applications and protocols,
including management and security. Most notably, the interfaces that integrate systems over
wide-area networks and large geographical areas must be defined, in part, by these profiles. The
profiles will specify networking functions, such as addressing, and the integration of concepts,
such as multihoming and other key functions necessary for the Smart Grid. Therefore, a set of
well-defined networking profiles needs to be tested for the consistency and interoperability
necessary to achieve appropriate levels of integration across the Smart Grid. Consistent, testable
protocol profiles also are necessary to ensure that conforming technologies will meet today’s
requirements and that the profiles can be extend to accommodate future Smart Grid application
as well.
Major Objectives
• Review the communications networks and domains identified in the Smart Grid conceptual
model and determine whether they are described in sufficient detail for evaluations of the
application of Internet Protocol suites.
• Determine an approach to fully defining the network and systems management requirements
for Smart Grid networking infrastructures.
• Define a set of standards profiles required for Smart Grid networks.
• Identify key networking profiles issues, including issues surrounding IPv4 vs. IPv6.
• Determine the key remaining issues surrounding adoption of standardized networking
profiles.
• Determine appropriate Smart Grid network architectures and technologies appropriate for
basic transport and security requirements (e.g., shared IP networks, virtual private networks,
MPLS switching, traffic engineering, and resource control mechanisms).
• Determine which transport layer security protocol(s) (e.g., TLS, DTLS, SCTP, and IPsec) are
most appropriate for securing Smart Grid applications.
• Identify higher layer security mechanisms (e.g., XML, S/MIME) to secure transactions.
• Develop an action plan for development of necessary usage guides, profiles, and remaining
work.
Project Team
NIST Lead: David Su
Lead SDO: IETF
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Collaborators:
ATIS
IEEE
TIA
NEMA
UCAIug
The full plan can be found at this referenced link.41
5.11 Guidelines for the Use of Wireless Communications
Abstract
Wireless technologies can be used in field environments across the Smart Grid, including
generation plants, transmission systems, substations, distribution systems, and customer premises
communications. The choice of wireless or non-wireless, as well as type of wireless, must be
made with full knowledge of the appropriate use of the technology.
This work area investigates the use of wireless communications for different Smart Grid
applications by assessing the strengths, weaknesses, capabilities, and constraints of existing and
emerging standards-based technologies for wireless communications. The approach is to work
with key SDO committees to determine the characteristics of each technology for Smart Grid
application areas and types. Results will be used in evaluations of the appropriateness of wireless
communications technologies for Smart Grid applications.
NIST expects the initial guidelines, based on the existing Smart Grid requirements, to be
completed by mid-year 2010
Why
Wireless technologies are candidate media for meeting Smart Grid requirements, especially those
for which alternative media are too costly or not workable. However, different types of wireless
technologies also have different availability, time-sensitivity, and security characteristics that
may limit their suitability for certain applications. Therefore, the capabilities and weaknesses of
specific wireless technologies must be assessed in all possible conditions of Smart Grid
operations. This work includes reviewing existing documentation and on-going work to assess
wireless technologies operating in both licensed and unlicensed bands. This review is necessary
before developing guidelines for safe, effective use of wireless technologies in different Smart
Grid applications.
Specific tasks include:
1) Segmenting the Smart Grid domains into wireless environments/groups with similar sets of
requirements,
2) Developing a common set of terminologies and definitions for use by the wireless and Smart
Grid communities.
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3) Compiling and communicating Smart Grid requirements and use cases in a standardized
format mapped into categories identified in task 1.
4) Creating an attribute list and performance metrics for wireless standards.
5) Creating an inventory of wireless technologies and standards that are identified by each SDO
in accordance with the metrics developed in task 4.
6) Performing the mapping and conducting an evaluation of the wireless technologies based on
the criteria and metrics developed in task 4 and identify gaps where appropriate.
Major Objectives
• Identify key issues to be addressed in wireless assessments and development for the Smart
Grid.
• Identify requirements for use of wireless technologies for different Smart Grid applications.
• Identify approaches to define the strengths and weaknesses of candidate wireless
technologies to assist Smart Grid design decisions.
• Analyze both intentional and unintentional interference issues and develop coexistence
guidelines for deployment and operation.
• Identify guidelines for effectively, safely, and securely employing wireless technologies for
different Smart Grid applications.
Project Team
NIST Lead: David Su
Collaborators:
ATIS
ISA SP100
Utility Telecom Council
(UTC)
IEEE 802
TIA
Zigbee Alliance
IEEE P2030
WiFi Alliance
IETF
UCAIug
The full plan can be found at this referenced link.42
5.12 Energy Storage Interconnection Guidelines
Although still in their infancy, energy storage technologies will play an increasingly important
role in the evolution of the power grid, particularly in providing a solution that will enable large
penetration of intermittent renewables while also enhancing the stability of the grid. Indeed, the
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Federal Energy Regulatory Commission has identified energy storage as a key Smart Grid
functionality. Specifications, standards and guidelines are planned to be completed by the
middle of 2010.
Abstract
Energy storage is required to accommodate increasing penetration of intermittent renewable
energy resources and to improve electrical power system (EPS) performance. Consistent,
uniformly applied interconnection and information model standards, supported by
implementation guidelines, are required for energy storage devices (ES), power electronics
interconnection of distributed energy resources (DER), hybrid generation-storage systems (ES-
DER), and plug-in electric vehicles (PEV). A broad set of stakeholders and SDOs have been
enlisted to address this need.
The initial step of defining interconnection requirements across a broad range of anticipated ES-
DER scenarios (including islanding43) is scheduled to be completed by October 2009, and the
use case analyses for these scenarios is scheduled to be completed by December 2009. This will
greatly expedite the formation of new standards projects for Smart Grid dispatchable storage
extensions of the IEEE 1547 series of standards, which define the physical and electrical
interconnection of DERs with the grid. A similar fast-tracking effort will focus on defining ES-
DER object models in the IEC 61850-7-420 standards to accommodate Smart Grid requirements.
Collaborations with UL, SAE, NEC-NFPA70, and CSA also have been initiated to focus on
specifications for safe and reliable implementation.
Why
Due to the initial limited applications of the use of power electronics for grid interconnection of
ES and DER, there are few standards that exist to capture how it could or should be utilized as a
grid-integrated operational asset on the legacy grid and Smart Grid. For example, no standards
address grid-specific aspects of aggregating large or small mobile energy storage units, such as
plug-in electric vehicles (PEVs). ES-DER is treated as a distributed energy resource in some
standards, but there may be distinctions between electric storage and connected generation. In
particular, storage systems such as PEVs may function as a load more than half of the time.
Interoperability standards must reckon with the diversity in functionality of ES-DER systems.
At the same time, we are moving toward large penetration of renewables into the Grid. While
desirable, this trend poses grid operational difficulties and stability concerns. First, because of
their intermittent nature, renewables are generally unsuitable as a dispatchable resource under the
control of the utility. Second, the present interconnection regulations and standards themselves
require the DER devices to trip off in response to minor variations in grid voltage or frequency,
which may actually increase the underlying disturbance leading to instability for large
penetration of renewables.
43 Islanding in a DER system can be intentional, such as when a customer disconnects his building from the grid and
draws power from his own distributed generator, or unintentional/forced, caused by an outage on the grid. In the
latter case, rather than supplying energy to the grid, the distributed generator is isolated from the grid and supplies
electricity to power the building.
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ES-DER systems based on photovoltaic, wind, and other intermittent renewables are exploring
the use of storage to help smooth their intermittency and augment their ability to respond to
distribution power grid management requirements. Appropriate interconnection standards, Smart
Grid devices, and storage are all key elements of the solution that will enable large penetration of
renewables while also enhancing rather than diminishing the stability of the Grid.
An assortment of ES-DER systems are emerging. They vary in abilities to respond to power grid
management requests, and they use different system parameters and technologies for forecasting
their availability. Furthermore, the storage needs (power, energy, duty cycle, and functionality)
will also depend on the grid domain where the storage is used (e.g., transmission, distribution,
consumer). These considerations need to be included in the storage and hybrid generation-
storage interconnection and information model standards.
Major Objectives
• Convene a broad set of stakeholders, including utilities from different regions, the
international community, groups addressing similar issues (such as wind turbine
interconnection), vendors and researchers, to address ES-DER electric interconnection issues.
• Develop a scoping document to identify the ES-DER interconnection and operational
interface requirements for the full spectrum of application issues: high penetration of ES-
DER, ride-through of power system anomalies, plug-in electric vehicles, and all sizes of ES-
DER systems, including those at customer sites, within distribution systems, and at
transmission level; to be completed by October 31, 2009.
• Develop within IEEE P2030 use cases to identify and prioritize interconnection and object
modeling requirements for ES-DER before electrical connectivity standards are developed; to
be completed by December 31, 2009.
• Update or augment the IEEE 1547 distribution level standards series, as appropriate, to
accommodate the wide range of ES-DER system requirements; including new IEEE SCC21
projects to be initiated in Spring 2010.
• Augment the IEC 61850-7-420 object models for ES-DER.
• Initiate development of transmission level standards for ES-DER. These should build on the
FERC wind plant interconnect (LGIP) guidelines and European practice (e.g., e-on, ESB).
• Harmonize the distribution and transmission level standards, where possible.
Project Team
NIST Lead: Al Hefner
SDO Leads:
IEEE SCC21
IEC TC57 WG17
Collaborators:
A123Systems
AEP
BuildingSmart
ABB
Altairnano
CSA-Standards
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DTE Energy
NEMA
Satcon
EPRI
Novus Energy
Sandia
FSEC
NREL
S&C
GMATC
ORNL
UL
IEEE
OSCRE
NEC-NFPA
SAE
The full plan can be found at this referenced link.44
5.13 Interoperability Standards to Support Plug-in Electric Vehicles
Interoperbility standards that will define data standards to enable the charging of plug-in electric
vehicles (PEVs) will support the adoption of PEVs and other benefits. Standards are anticipated
to be available by the end of 2010.
Abstract
This action plan will define data standards to enable the charging of plug-in electric vehicles
(PEVs). The specifications will cover charging at home or away from home using a special rate
schedule, discharging of PEV energy storage for demand response purposes, and administration
and monitoring. The standards will allow the charging flexibility necessary for PEVs to meet
customer needs. They also will encourage the adoption of electric vehicles for general-purpose
transportation. This anticipated trend would favorably affect the nation’s energy portfolio. The
standards developed under this action plan will benefit electric utilities by supporting charging
during off-peak, low-demand periods and enabling energy stored in PEVs to be returned to the
grid during high-demand periods. The objectives described below are expected to be completed
by December 2010.
These standards must be developed on an aggressive timetable. One of cornerstones of the
current administration’s energy policy is to encourage PEV manufacturing and use to reduce the
nation’s dependence on foreign oil. The administration has set a goal of 1 million plug-in hybrid
and electric vehicles on U.S. roads by 2015. Achieving this goal requires implementing the
charging infrastructure prior to this date. Additionally, auto manufacturers must have some
confidence that the necessary charging infrastructure will be established before they can justify
developing and producing these vehicles on a large scale.
Why
Hybrid and electric vehicle owners will need to charge their vehicles, both at home and at sites
along their local and extended travels. These travels might take them to work, to the grocery
store, or on a cross-country trip. PEVs have the potential to significantly burden utilities. They
also have the ability to be used as strategically important energy storage assets that can smooth
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out power demand. By providing intelligent charging capabilities and giving customers the
control and the price incentives to charge during off-peak hours and to return stored power
during periods of high demand, the nation can better leverage existing resources to support this
new source of load and distributed storage.
Objectives
• Gather and normalize all the existing use cases and derive requirements so that each element
of prospective standards meetsa particular stakeholder need; to be completed by December
2009.
• Draft common high-level information models in UML to be used as a basis for specific
models needed for different SDO projects; to be completed by February 2010.
• Facilitate productive collaboration among the many different SDOs involved in the PEV
infrastructure. These SDOs represent a variety of domains and, traditionally, most have not
worked together. Currently, there are few—or no—mechanisms for the different standards
groups to work together; to be completed by September 2009.
• Once the common high-level model is developed in task (2), specific implementation models
must be developed for each standard. The common UML model will be used to create this
standards-specific view of the model for IEC 61968/61850. These standards-specific
implementation models will form the basis for the standards documents; to be completed by
December 2010.
• Identify regulatory impediments to achieving the goals defined in the PEV use cases.
Review the current regulatory/use case conflicts to determine areas where changes are
needed; advise regulatory bodies of the identified obstacles and develop options for
solutions; to be completed by January 2010.
• Ensure that other standards involving safety, interconnection, and certification support the
PEV use cases; to be completed by January 2010.
Project Team
NIST lead:
Eric Simmon
Lead organization: SAE
Collaborators:
ANSI
IEEE
ZigBee
IEC 61850; 61970/61968)
NEMA
The full plan can be found at this referenced link.45
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5.14 Standard Meter Data Profiles
Abstract
This action plan will define meter data in standard profiles that enable meter data to be available
in common profiles that will be needed by not only the utility company but also customers and
the devices they use to manage their energy consumption, such as thermostats and building
automation systems. Other potential clients exist inside and outside of the customer premises.
Tasks include mapping utility requirements expressed via AEIC Guidelines v2.0 to device
classes by January 2010, expressing AEIC Guidelines v2.0 in terms of one or more additional
device classes by May 2010, and completing AEIC Guidelines v2.0 by December 2009. Other
tasks include socializing the existence of additional tables within ANSI C12.21-2006 and
C12.22-2008 and socializing the existence and application of existing default sets, and the
definition of new default sets, device classes, and profiles via Web conferences, all by fourth
quarter 2010.
Why
Consumers will be better able to reduce energy consumption when they have easy access to
usage data. Different meter vendors report meter data in tables that are not uniform across all
vendors. The reason for this is that ANSI C12.19, the relevant standard for this purpose, is an
extremely flexible revenue metering model. In effect, it allows such a wide range of options that
request for actionable information from a meter, such as usage in kilowatt hours, requires
complex programming to secure this information. ANSI C12.19 2008 has a mechanism by which
table choices can be described, termed Exchange Data Language (EDL). This can be used to
constrain oft-utilized information into a well known form.
Meter information that can be made available in common data tables will greatly reduce the time
for utilities and others requiring meter data to implement Smart Grid functions, such as demand
response and real-time usage information.
Major Objectives
• Define common meter Device Classes by building upon the work performed by the AEIC for
defining the common meter data tables that are required to enable Smart Grid applications.
• Deliver these meter Device Classes to ANSI C12 SC17 for inclusion in ANSI C12.192008.
• Revise ANSI C12.19 and publish by March 2010.
• Publish these meter Device Classes in ANSI C12.19 and make these meter Device Classes
readily available for use by all vendors and software implementers.
Project Team
NIST lead: Tom Nelson
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Collaborators:
AEIC
ANSI C12 SC17 WG3
IEEE SCC31 End Devices
SC
ANSI C12 SC12.1
ANSI C12 SC17 WG4
MultiSpeak
ANSI C12 SC17
IEC TC13
NEMA:
ANSI C12 SC17 WG1
IEC TC57 Smart Grid TF
UCAIug AMI-NET TF
ANSI C12 SC17 WG2
IEEE SCC31
Measurement Canada
The full plan can be found at this referenced link.46
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6
Cyber Security Risk Management Framework and Strategy
6.1
Overview
With the Smart Grid’s transformation of the electric system to a two-way flow of electricity and
information, the information technology (IT) and telecommunications infrastructures have
become critical to the energy sector infrastructure. Therefore, the management and protection of
systems and components of all three of these infrastructures must also be addressed in concert by
an increasingly diverse energy sector. To achieve this requires that security be designed in at the
architectural level.
NIST has established a Smart Grid Cyber Security Coordination Task Group (CSCTG), which
now has more than 200 volunteer members from the public and private sectors, academia,
regulatory organizations, and federal agencies. Cyber security is being addressed in a
complementary and integral process that will result in a comprehensive set of cyber security
requirements. As explained more fully later in this chapter, these requirements are being
developed using a high-level risk assessment process that is defined in the cyber security strategy
for the Smart Grid.
Although still a work in progress, NIST soon will be publishing a preliminary report, NISTIR
7628 Smart Grid Cyber Security Strategy and Requirements, which describes the CSCTG’s
overall cyber security strategy for the Smart Grid. The preliminary report distills use cases
collected to date, requirements and vulnerability classes identified in other relevant cyber
security assessments and scoping documents, and other information necessary for specifying and
tailoring security requirements to provide adequate protection for the Smart Grid. Anticipated to
be published by the end of 2009, a subsequent draft will include the overall Smart Grid security
architecture and security requirements.
The first installment of this in-process document, Smart Grid Cyber Security Strategy and
Requirements,47, also will be submitted for public review and comment in conjunction with this
interoperability standards framework and roadmap. This roughly 200-page document is
summarized below.
6.2
Cyber Security and Critical Infrastructure
The critical role of cyber security in ensuring the effective operation of the Smart Grid is
documented in legislation and in the Department of Energy (DOE) Energy Sector Plan as
described below:
47 The document will be available at: http://csrc.nist.gov/publications/PubsDrafts.html#NIST-IR-7628 Comments
may be submitted to: csctgdraftcomments@nist.gov.
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The Energy Independence and Security Act of 2007 states that, “It is the policy of the United
States to support the modernization of the Nation's electricity transmission and distribution
system to maintain a reliable and secure electricity infrastructure that can meet future demand
growth and to achieve each of the following, which together characterize a Smart Grid: …
(1) Increased use of digital information and controls technology to improve reliability,
security, and efficiency of the electric grid.
(2) Dynamic optimization of grid operations and resources, with full cyber-security. ...."
DOE’s Energy Sector-Specific Plan48 “envisions a robust, resilient energy infrastructure in
which continuity of business and services is maintained through secure and reliable infor ation
m
sharing, effective risk management programs, coordinated response capabilities, and trusted
relationships between public and private security partners at all levels of industry and
government.”
6.3
Scope, Risks, and Definitions
Cyber security must address not only deliberate attacks, such as from disgruntled employees,
industrial espionage, and terrorists, but inadvertent compromises of the information
infrastructure due to user errors, equipment failures, and natural disasters. Vulnerabilities might
allow an attacker to penetrate a network, gain access to control software, and alter load
conditions to destabilize the grid in unpredictable ways. The need to address potential
vulnerabilities has been acknowledged across the federal government, including NIST, the
Department of Homeland Security (DHS), DOE, and FERC.
Additional risks to the grid include:
• Increasing the complexity of the grid could introduce vulnerabilities and increase
exposure to potential attackers and unintentional errors;
• Interconnected networks can introduce common vulnerabilities;
• Increasing vulnerabilities to communication disruptions and introduction of malicious
software that could result in denial of service or compromise the integrity of software and
systems;
• Increased number of entry points and paths for potential adversaries to exploit; and
• Potential for compromise of data confidentiality, including the breach of customer
privacy.
With the transition to the Smart Grid, the IT and telecommunication sectors will be more directly
involved. These sectors have existing cyber security standards to address vulnerabilities and
assessment programs to identify known vulnerabilities in these systems. These same
48 Department of Energy, Energy, Critical Infrastructure and Key Resources, Sector-Specific Plan as input to the
National Infrastructure Protection Plan, May 2007.
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vulnerabilities need to be assessed in the context of the Smart Grid. In addition, the Smart Grid
has additional vulnerabilities due to its complexity, large number of stakeholders, and highly
time-sensitive operational requirements.
The following definition of cyber infrastructure from the National Infrastructure Protection Plan
(NIPP) is included to ensure a common understanding.
• Cyber Infrastructure: Includes electronic information and communications systems
and services and the information contained in these systems and services. Information
and communications systems and services are composed of all hardware and software
that process, store, and communicate information, or any combination of all of these
elements. Processing includes the creation, access, modification, and destruction of
information. Storage includes paper, magnetic, electronic, and all other media types.
Communications include sharing and distribution of information. For example:
computer systems; control systems (e.g., SCADA); networks, such as the Internet;
and cyber services (e.g., managed security services) are part of cyber infrastructure.
For this document cyber security is defined as follows:
• Cyber Security: The protection required to ensure confidentiality, integrity and
availability of the electronic information communication systems.
6.4
Smart Grid Cyber Security Strategy
The overall cyber security strategy for the Smart Grid examines both domain-specific and
common requirements when developing a mitigation strategy to ensure interoperability of
solutions across different parts of the infrastructure.
Implementation of a cyber security strategy requires the development of an overall cyber security
risk management framework for the Smart Grid. This framework is based on existing risk
management approaches developed by both the private and public sectors. This risk
management framework establishes the processes for combining impact, vulnerability, and threat
information to produce an assessment of risk to the Smart Grid and to its domains and sub-
domains, such as homes and businesses. Risk is the potential for an unwanted outcome resulting
from an incident, event, or occurrence, as determined by its likelihood and the associated
impacts. Because the Smart Grid includes systems and components from the IT,
telecommunications, and energy sectors, the risk management framework is applied on an asset,
system, and network basis, as applicable. The goal is to ensure that a comprehensive assessment
of the systems and components of the Smart Grid is completed. Following the risk assessment,
the next step is to select and tailor (as necessary) the security requirements.
The following documents were used in developing the risk management approach for the Smart
Grid:
• National Institute of Standards and Technology (NIST) Special Publication (SP) 800-
39, DRAFT Managing Risk from Information Systems: An Organizational
Perspective, April 2008.
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• Federal Information Processing Standard (FIPS) 200, Minimum Security
Requirements for Federal Information and Information Systems, March 2006.
• FIPS 199, Standards for Security Categorization of Federal Information and
Information Systems, February 2004.
• North American Electric Reliability Corporation (NERC), Security Guidelines for the
Electricity Sector: Vulnerability and Risk Assessment, 2002.
• The National Infrastructure Protection Plan, 2009.
• The IT, telecommunications, and energy sectors sector specific plans (SSPs), initially
published in 2007 and updated annually.
• ANSI/ISA-99, Manufacturing and Control Systems Security, Part 1: Concepts,
Models and Terminology, 2007 and Part 2: Establishing a Manufacturing and
Control Systems Security Program, 2009.
• The Advanced Metering Infrastructure (AMI) System Security Requirements, 2008.
In a typical risk management process, assets, systems and networks are identified; risks are
assessed (including vulnerabilities, impacts and threats); security requirements are specified; and
security controls are selected, implemented, assessed for effectiveness, authorized, and then
monitored over the lifecycle of the system. The risk assessment process for the Smart Grid will
be completed when the security requirements are specified. These requirements will be selected
on the basis of a risk assessment and will apply to the Smart Grid as a whole. The requirements
will not be allocated to specific systems, components, or functions of the Smart Grid. In
specifying the security requirements, all gaps will be identified. The implementation, assessment
and monitoring of security controls are applicable when a system is implemented in an
operational environment. The output from the Smart Grid risk management process should be
used in these steps. In addition, the full risk management process should be applied to legacy
systems and when Smart Grid owners and operators implement new systems or augment/modify
existing systems.
The tasks within the cyber security strategy for the Smart Grid are being performed by
participants in the NIST-led Cyber Security Coordination Task Group (CSCTG).
Representatives from the private and public sectors, regulatory bodies, and federal agencies
participate in the CSCTG. The CSCTG is developing a NIST Interagency Report (NISTIR):
Smart Grid Cyber Security Strategy and Requirements. In addition, the CSCTG is coordinating
activities with the Advanced Security Acceleration Project – Smart Grid. The ASAP-SG is a
collaborative effort between EnerNex Corporation, multiple major North American utilities, the
National Institute of Standards and Technology (NIST), and the U.S. Department of Energy
(DOE), including resources from Oak Ridge National Laboratory and the Software Engineering
Institute of Carnegie Mellon University.
Following are the tasks that are being performed by the CSCTG in the implementation of the
cyber security strategy. Also included are the deliverables for each task. Because of the time
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frame for developing the document, the tasks listed below will be performed in parallel, with
significant interactions among the groups addressing the tasks. (These tasks are not listed in
priority order—task 1 is near completion, and tasks 2 and 3 are being worked on in parallel)
1. Selection of use cases with cyber security considerations.49
The use cases were selected from several existing sources, e.g., IntelliGrid, Electric Power
Research Institute (EPRI), and Southern California Edison (SCE). The set of use cases
provides a common framework for performing the risk assessment, developing the security
architecture, and selecting and tailoring the security requirements. Because of the
compressed time frame to complete the work, many of the tasks are being performed in
parallel.
2. Performance of a risk assessment of the Smart Grid, including assessing vulnerabilities,
threats and impacts.
The risk assessment, including identifying vulnerabilities, impacts and threats will be done
from both a high-level overall functional perspective and a focus on the six functional
priority areas that are the focus of this framework and roadmap report. The output will be
used in the selection of security requirements and the identification of security requirements
gaps. The initial draft list of vulnerability classes50 was developed using information from
several existing documents and Web sites, e.g., NIST SP 800-82 and the Open Web
Application Security Project (OWASP) vulnerabilities list. These vulnerability classes will
be used in ensuring that the security controls address the identified vulnerabilities. The
vulnerability classes may also be used by Smart Grid implementers, e.g., vendors and utilities
in assessing their systems.
Both top-down and bottom-up approaches are being used in implementing the risk
assessment. The top-down approach focuses on the use cases and the overall Smart Grid
functionality. The bottom-up approach focuses on well-understood problems that need to be
addressed, such as authenticating and authorizing users to substation IEDs, key management
for meters, and intrusion detection for power equipment. Also, interdependencies among
Smart Grid domains/systems will be considered when evaluating the impacts of a cyber or
physical security incident. An incident in one infrastructure can cascade to failures in other
domains/systems.
49 A use case is a method of documenting applications and processes for purposes of defining requirements.
50 A vulnerability is a weakness in an information system, system security procedures, internal controls, or
implementation that could be exploited or triggered by a threat source. A vulnerability class is a grouping of
common vulnerabilities.
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3. Development of a security architecture linked to the Smart Grid conceptual reference
model.
The first phase in this task is to assess and revise the six functional priority areas with logical
interfaces. The information that is communicated across each interface is specified. Also,
implementation constraints and issues are specified for each interface and the confidentiality,
integrity, and availability impact levels are defined. After all the logical interfaces across all
the priority areas have been identified, each interface will be allocated to one of the logical
interface categories based on similarity of networks, constraints, and types of information.
Some examples are: control systems with high data accuracy and high availability, as well as
media and compute constraints; B2B connections, interfaces between sensor networks and
controls systems; and interface to the customer site. For each logical interface category,
constraints, issues, and impacts will be selected using the information provided for each
individual interface. This information will be used in the selection and tailoring of security
requirements— task 4 below.
This Smart Grid conceptual reference model, described in Chapter 3, provides a common
view that is being used to develop the Smart Grid security architecture. The Smart Grid
security architecture will overlay this conceptual architecture and security requirements will
be allocated to specific domains, mission/business functions and/or interfaces included in the
Smart Grid conceptual reference model. Alternatively, some security requirements, such as
the policy requirements, will be allocated to the entire Smart Grid. (Note: this task has not
been initiated; therefore, how the security requirements will be allocated has not been
finalized.) The objective is to ensure that cyber security is addressed as a critical cross-
cutting requirement of the Smart Grid.
4. Specification and tailoring of security requirements to provide adequate protection.
There are many requirements documents that may be applicable to the Smart Grid.
Currently, only the North American Electric Reliability Corporation (NERC) Critical
Infrastructure Protections (CIPs) are mandatory for a specific domain of the Smart Grid. The
following documents have been identified by members of the CSCTG as having security
requirements relevant to one or more aspects of the Smart Grid:
The following standards are directly relevant to Smart Grid
• NERC CIP 002, 003-009
• IEEE 1686-2007, IEEE Standard for Substation Intelligent Electronic Devices
(IEDs) Cyber Security Capabilities
• AMI System Security Requirements, 2008
• UtilityAMI Home Area Network System Requirements Specification, 2008
• IEC 62351 1-8, Power System Control and Associated Communications—Data
and Communication Security
The following documents are applicable to control systems:
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• ANSI/ISA-99, Manufacturing and Control Systems Security, Part 1: Concepts,
Models and Terminology and Part 2: Establishing a Manufacturing and Control
Systems Security Program
• NIST Special Publication (SP) 800-53, Revision 3, Recommended Security
Controls for Federal Information Systems, August 2009
• NIST SP 800-82, DRAFT Guide to Industrial Control Systems (ICS) Security,
September 2008
• DHS Procurement Language for Control Systems
• ISA SP100, Wireless Standards
Because the impact of a security compromise may vary across the domains and interfaces of
the Smart Grid, security requirements from different baselines in NIST SP 800-53 will be
considered. For example, in the federal government, FIPS 199 identifies three impact levels;
low, moderate and high. The impact is based on the potential impact of the security breach
of confidentiality, integrity, and availability. FIPS 200 establishes the minimum security
requirements for federal information and information systems. These minimum requirements
are further defined by a set of baseline security controls in SP 800-53 that are based on the
impact levels in FIPS 199.
The cyber security requirements in the documents listed above are not unique across the
documents. To assist in assessing and selecting the requirements, a cross-reference matrix
was developed. This matrix maps the requirements from the various documents listed above
to the controls included in the Catalog of Control Systems Security: Recommendations for
Standards Developers, published by the Department of Homeland Security in 2008. The
security requirements included in the catalog document are the base for the development of
the specific cyber security controls for the Smart Grid. The requirements in the catalog are at
a high level and will need to be tailored for the specific needs of the Smart Grid. Included in
the NISTIR are the AMI security requirements that were developed by the ASAP-SG project.
6.5
Time Line and Deliverables
The first installment of Smart Grid Cyber Security Strategy and Requirements (NISTIR 7628) is
a companion document to this NIST framework document. The first draft includes the initial
risk assessment documents (vulnerability classes and bottom-up analysis), the security-relevant
use cases, the base set of security requirements and cross-reference of security standards, the six
functional priority areas diagrams and interfaces, and the interface categories with constraints,
issues and impacts. This document is being posted for public comment.
The draft of the initial sections of the report will be revised on the basis of comments received on
the first draft. In addition, the second draft will include the overall Smart Grid security
architecture and the security requirements. This draft also will be posted for public comment.
This draft is scheduled to be published in December 2009.
The final version of the NISTIR is scheduled to be published in March 2010 and will address all
comments received to date. The document will have the final set of security controls and the
final security architecture.
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7
Next Steps
7.1 Phase 2 – Smart Grid Interoperability Panel
The Release 1.0 Framework described by this document represents an important first step in
establishing the standards needed to realize a secure and interoperable Smart Grid. However it is
only the beginning of an ongoing process. Phase 2 of the NIST Plan will establish the Smart
Grid Interoperability Standards Panel to provide a more permanent process with stakeholder
representation to support the ongoing evolution of the Smart Grid Interoperability Framework to
identify and address additional gaps, reflect changes in technology and requirements in the
standards, and provide ongoing coordination of SDO efforts to support timely availability of new
or revised Smart Grid standards.
The Panel will be established by the end of 2009.
7.2
Smart Grid Conformity Testing
NIST recognizes the importance of ensuring the development of a conformity assessment
program for Smart Grid (SG) standards. In order to support true interoperability of Smart Grid
systems and products, it is important that Smart Grid products developed to conform to standards
go through a rigorous conformity testing process. NIST has laid out a program to develop a
Smart Grid Conformity Testing Framework which will be developed and maintained as part of
the planned Smart Grid Panel. NIST has a three-phase plan to expedite the acceleration of
interoperable Smart Grid standards, and Smart Grid Conformity Testing is part of Phase III of
this plan. However, in recognition of the importance of Smart Grid Conformity Testing, NIST
has now moved up Smart Grid Conformity Testing to be addressed within a contract established
to initiate the Smart Grid Interoperability Panel (Phase II).
In today’s standards environment, NIST understands the importance of eliminating duplication
of work activities related to Smart Grid standards as well as conformity testing. It is recognized
that some efforts exist today, and others are under way, to test certain SG standards. Our
intention is to identify the existing programs wherever possible. Hence our first step in
developing a SG Conformity Testing Framework is to perform an analysis of existing SG
standards conformity testing programs. As part of the NIST contract to establish a Smart Grid
Interoperability Panel, the contractor will conduct an in-depth study to identify and describe
existing conformity assessment programs for existing SG products/services based on standards
and specifications identified in the most recent NIST Framework Document and other NIST-
identified standards. This study will consist of a survey of conformity assessment programs and
shall address, in particular, conformity assessment programs for assuring interoperability and
cyber security and other relevant characteristics. Descriptions of these programs shall include,
but not be limited to, a survey of all elements of a conformity assessment system, including
accreditation bodies, certification bodies, testing and calibration laboratories, inspection bodies,
personnel certification programs, and quality registrars. The study will also identify present gaps
and deficiencies in these existing conformity assessment programs.
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In addition, the contractor, based on its technical expertise, will develop a report outlining the
conformity assessment requirements of federal and state governments, and other relevant SG
stakeholders.
The output of this scoping study will then be used to develop a framework for SG conformity
testing to be used by the Smart Grid Interoperability Panel as a baseline for an ongoing
conformity testing program. As mentioned above, the framework will consider maximizing use
of existing conformity assessment entities and systems in use today as appropriate. It is
envisioned that the Smart Grid Conformity Testing Framework will result in an organization
(via the SGIP) overseeing the current Smart Grid conformity testing which exists in the industry
today, recommending changes for improvements and to fill gaps, and working with current
standards bodies and user groups to develop new test programs to fill voids where they exist.
This Smart Grid Conformity Testing Framework will serve as an oversight group and
coordination advisor of all the current individual testing programs within the Smart Grid
ecosystem.
Another important aspect of the Smart Grid Conformity Testing Framework will be to work
with SDOs and other relevant bodies to provide a feedback mechanism to these groups.
Throughout the normal conformity testing process, errors, clarifications and enhancements are
typically identified to existing standards. It is critical that an overall process is incorporated to
ensure changes and enhancements are made continuously in order to improve interoperability.
NIST intends that the first Conformity Assessment Framework Organizational Coordination
Meeting be held within the SGIP by February 15, 2010. Invited attendees will include the Smart
Grid stakeholders but the meeting will be open and advertised to the general public.
7.3
Other Issues that Must be Addressed
This section describes other major standards-related issues and barriers impacting
standardization efforts and progress toward a fully interoperable Smart Grid.
7.3.1 Affordability and Availability of Standards and Design Information
Interoperability in the Smart Grid requires the ability for vendors of products and services to
independently implement designs that will result in the ability to interwork with equipment
developed by others. This requires that their equipment be based on open standards from SDOs
and user interoperability agreement specifications from user groups.
In this regard, ready access to standards and design material is essential. The Smart Grid is
anticipated to be based on many standards. Access to the latest standards and user agreements
by system developers including during development, is of key importance to the development of
interoperable equipment.
During the 1980s there was significant competition between standards developed in the
international standards community (OSI standards) and those of the Internet (IETF standards).
Free and ubiquitous access to IETF Request For Comments (RFCs) and working source code
enabled a highly accelerated degree of interoperation in the absence of a formal certification
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regime. Although the international standards are more capable, extensible, and well-developed,
the difficulty of obtaining this kind of support is a factor weighing against its success in the
marketplace.
This is especially true for small business, where entrepreneurs, and, in larger businesses
intrapeneurs, aggressively pursue rapid development opportunities. In order to capitalize on the
opportunity for rapid development of innovative products, while leveraging the substantial depth
and consensus work of the SDOs, it is desirable to facilitate access to standards and related user
agreements in a way comparable to the Internet model.
Initial conversations with SDOs are exploring approaches that seek to make draft standards
available at affordable cost to collaborators on the Smart Grid.
Additionally, the following concepts might be pursued:
In conjunction with the Conformity Assessment Framework part of NIST’s Phase III
plan, test vectors and reference test implementations and tools can be made available as
open source for developers’ usage . (Note this allows for rapid development but there
might be certification requirements that are not without cost.)
User’s guides can be contracted that paraphrase standards to provide condensed materials
for implementers to use. This approach has been used in several of the Smart Grid
standards to date, such as ANSI C12.19.
SDOs can arrange for critical Smart Grid standards to be freely publicly available, such
as with many of the IEEE 802 standards.
User groups such as UCA International can arrange for standards under development to
be made available to its user communities that are working on implementations of the
standard and/or resolving technical issues and developing implementation agreements.
Organizations or governments may procure and make available critical standards through
bulk purchases or, sometimes, through agreements as a result of developing contributions
to the SDO.
7.3.2 Electromagnetic Disturbances
When we consider electromagnetic disturbances, we are including severe solar (geomagnetic)
storm risk and Intentional Electromagnetic Interference (IEMI), threats including High-Altitude
Electromagnetic Pulse (HEMP).
Our modern high tech society is built upon a vulnerable foundation with respect to
electromagnetic disturbances. The Congressional EMP Commission (CEMPC;
http://www.empcommission.org/) has documented some of the electromagnetic-disturbance-
based risks and threats to critical U.S national infrastructures, including the electric power grid
upon which other infrastructures depend. These threats include IEMI such as HEMP weapons, as
well as Geomagnetic-induced currents (GIC) due to severe solar storms. The existence and
potential impacts of such threats provides impetus to evaluate, prioritize and protect/harden the
new Smart Grid. Efforts, such as within the new Smart Grid Interoperability Panel, should be
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initiated to (1) evaluate the applicability of existing IEC , IEEE (and other relevant bodies) , and
MIL EMP protection standards, and (2) propose revisions to help address Smart Grid directed
threats.
7.3.3 Electromagnetic Interference
Another example of a standards issue requiring study is the plethora of communications
technologies being employed by the smart meter manufacturers, both wired and wireless. There
are also proposals for new approaches, such as the Utility Telecom Council’s proposal for the
allocation of dedicated spectrum for utility communications. It is appropriate that multiple
standards be supported to meet different real-world requirements and is in keeping with
Congress’s requirement that the NIST Interoperability Framework be technology neutral to
encourage innovation. However, some communications technologies perform better in some
environments than others, and little guidance is available to utilities to inform their technology
choices. NIST identified the potential for wireless interference with some wireless meters
operating in the unlicensed frequencies as an important issue to be addressed and is working
closely with the FCC and DOE to study these issues and develop recommendations. These issues
will require study in order to develop recommendations and guidance on appropriate standards
and technologies for wireless smart meter communications. The goals in studying this issue will
be to clearly define potential interference problems, to offer the best technical guidance to
mitigate interference, and to fill any standards gaps identified.
Regardless of the outcome of these studies, there is no intention to mandate for smart meter
systems the use of specific spectrum (licensed or unlicensed) or the use of specific wireless
technologies. Thus, all current systems, as well as all systems under development, which fully
comply with FCC requirements, will be allowed.
In addition to the wireless transmitters discussed above, electromagnetic interference sources
include electrostatic discharge, fast transients, and surges, which can lead to interruptions of
service. The ability to withstand this interference with sufficient immunity without causing
interference to other devices or systems is generally termed electromagnetic compatibility
(EMC). There are significant benefits, including minimizing overall costs, to incorporating EMC
up front in system development through modeling, simulation and testing to appropriate
standards, including those standards discussed in section 7.3.2.. EMC standards and testing
issues relating to the Smart Grid are anticipated to be addressed within the Smart Grid
Interoperability Panel.
7.3.4 Privacy Issues in the Smart Grid
The vision of the Smart Grid includes dramatic increases in energy efficiency and cost savings to
both utilities and consumers, with the resultant environmental benefits that come from smart
energy use. Since the privacy implications of the Smart Grid are not yet fully understood, the
Privacy Sub-group of the Cyber Security Coordination Task Group (CSCTG) conducted an
initial Privacy Impact Assessment (PIA), as well as a broad look at the laws and regulations
relevant to the privacy of information on consumers' use of electricity. The results of this
analysis and the proposed next steps are included in a NIST Interagency Report (NISTIR 7628),
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Smart Grid Cyber Security Strategy and Requirements posted on the Web at the referenced
link.51
The PIA analysis was performed in accordance with the Generally Accepted Privacy Principles
(GAPP) on which most international, national and local data protection laws are based. Under
GAPP, privacy is defined as “the rights and obligations of individuals and organizations with
respect to the collection, use, retention, and disclosure of personal information.”52 The privacy
principles reviewed were: management and accountability; notice and purpose; choice and
consent; collection and scope; use and retention; individual access; disclosure and limiting use;
security and safeguards; accuracy and quality; and openness, monitoring and challenging
compliance.
The major benefit provided by the Smart Grid, i.e. the ability to get richer data to and from
customer meters and other electric devices, is also its Achilles' heel from a privacy viewpoint.
Privacy advocates have raised serious concerns53 about the type and amount of billing and usage
information flowing through the various entities of the Smart Grid, the dangers posed by data
aggregation of what was considered to be “anonymized” data,54 and the privacy implications of
frequent meter readings that could provide a detailed time-line of activities occurring inside the
home.
The PIA findings are that there is a “lack of consistent and comprehensive privacy policies,
standards and supporting procedures throughout the states, government agencies, utility
companies, and supporting entities that will be involved with Smart Grid management and
information collection and use creates a very significant privacy risk that must be addressed.”
While NARUC has adopted55 the “Resolution Urging the Adoption of General Privacy
Principles for State Commission Use in Considering the Privacy Implications of the Use of
Utility Customer Information,” the CSCTG Privacy Group’s research show
utility
s that few state
commissions have begun to consider the privacy implications of the SmartGrid.
Future research is necessary to keep up with the multitude of use cases of the various
technologies and business processes created for the Smart Grid. Legal and regulatory
frameworks can be further harmonized and updated as the Smart Grid becomes more pervasive.
PIAs of data collection, data flows and processing are also crucial for a deeper understanding of
the evolutionary and revolutionary changes that are coming about with the rollout of Smart Grid
implementations.
51 http://csrc.nist.gov/publications/PubsDrafts.html#NIST-IR-7628
52
http://infotech.aicpa.org/Resources/Privacy/Generally+Accepted+Privacy+Principles/Privacy++An+Introduction+to
+Generally+Accepted+Privacy+Principles.htm
53
http://www.philly.com/inquirer/business/20090906_Utilities__smart_meters_save_money__but_erode_privacy.html
54 http://arstechnica.com/tech-policy/news/2009/09/your-secrets-live-online-in-databases-of-ruin.ars
55 http://www.naruc.org/Resolutions/privacy_principles.pdf
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7.3.5 Safety
An additional cross-cutting issue that must be addressed within the Smart Grid Interoperability
Panel is role of safety in the Smart Grid, with respect to interoperability standards and
conformity testing. Within standards such as those needed to support distributed energy
resources including renewables, without proper attention to safety there could be situations in
which utility crews or first responders are potentially exposed to live wires connected to energy
storage units or local generation such as photovoltaic solar panels. These types of overall safety
operating issues must be addressed in a comprehensive manner across the Smart Grid. In
addition, the safety of operation of Smart Grid devices and systems, including consumer
products in the home, will need to demonstrated, such as through testing by entities, including
Underwriters Laboratory, Met Laboratories, and other similar organizations.
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8
List of Acronyms
ACSE
Association Control Service Element
AEIC
Association of Edison Illuminating Companies
AES
Advanced Encryption Standard
AMI
Advanced Metering Infrastructure
AMR
Automated Meter Reading
ANSI
American National Standards Institute
API
Application Program Interface
ASHRAE
American Society of Heating, Refrigerating and Air Conditioning Engineers
BAS
Building Automation System
CA
Contingency Analysis
CEIDS
Consortium for Electric Infrastructure to Support a Digital Society
CM
Configuration Management
CIM
Common Information Model
CIGRE
International Council On Large Electric Systems
CIP
Critical Infrastructure Protection
CIS
Customer Information System
CPP
Critical Peak Pricing
CSCTG
Smart Grid Cyber Security Coordination Task Group
CSRC
Computer Security Resource Center
DA
Distribution Automation
DDNS
Dynamic Domain Name System
DER
Distributed Energy Resources
DES
Data Encryption Standard
DEWG
Domain Expert Working Group
DGM
Distribution Grid Management
DHCP
Dynamic Host Configuration Protocol
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DHS
Department of Homeland Security
DLC
Direct Load Control
DMS
Distribution Management System
DNS
Domain Name System
DOD
Department of Defense
DOE
Department of Energy
DP
Dynamic Pricing
DR
Demand Response
DWML
Digital Weather Markup Language
ECWG
Electronic Commerce Working Group
EDL
Exchange Data Language
EISA
Energy Independence and Security Act
EMCS
Utility/Energy Management and Control Systems
EMS
Energy Management System
EPRI
Electric Power Research Institute
ES
Energy Storage
ESI
Energy Services Interface
ESP
Energy Service Provider
EUMD
End Use Measurement Device
EV
Electric Vehicle
EVSE
Electric Vehicle Supply Equipment
FBI
Federal Bureau of Investigation
FCC
Federal Communications Commission
FERC
Federal Energy Regulatory Commission
FIPS
Federal Information Processing Standards
FTP
File Transfer Protocol
GHG
Greenhouse Gases
GID
Generic Interface Definition
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GIS
Geographic Information System
GOOSE
Generic Object-Oriented Substation Event
GSA
General Services Administration
GWAC
GridWise Architecture Council
HTTP
Hyper Text Transfer Protocol
HVAC
Heating Ventilating and Air Conditioning
IATFF
Information Assurance Technical Framework Forum
ICS
Industrial Control Systems
IEC
International Electrotechnical Commission
IECSA
Integrated Energy and Communications System Architecture
IED
Intelligent Electronic Device
IEEE
Institute of Electrical and Electronic Engineers
IETF
Internet Engineering Task Force
IHD
In-Home Display
IRM
Interface Reference Model
IOSS
Interagency OPSEC Support Staff
IP
Internet Protocol
ISO
International Organization for Standardization, Independent Systems Operator
IT
Information Technology
KPI
Key Point of Interoperability
LAN
Local Area Network
LMS
Load Management System
LTC
Load Tap Changer
MDMS
Meter Data Management System
MGI
Modern Grid Initiative
MIB
Management Information Base
MIME
Multipurpose Internet Mail Extensions
MFR
Multi-level Feeder Reconfiguration
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MMS
Manufacturing Messaging Specification
NAESB
North American Energy Standards Board
NARUC
National Association of Regulatory Utility Commissioners
NEMA
National Electrical Manufacturers Association
NERC
North American Electric Reliability Corporation
NIAP
National Information Assurance Partnership
NIPP
National Infrastructure Protection Plan
NIST
National Institute of Standards and Technology
NOAA
National Oceanic and Atmospheric Administration
NSA
National Security Agency
NSM
Network and System Management
OASIS
Organization for the Advancement of Structured Information Standards
OGC
Open Geospatial Consortium
OID
Object Identifier
OMG
Object Management Group
OMS
Outage Management System
OpenSG
Open Smart Grid
OSI
Open Systems Interconnection
OWASP
Open Web Application Security Project
PEV
Plug-in Electric Vehicles
PMU
Phasor Measurement Unit
QOS
Quality Of Service
RAS
Remedial Automation Schemes
RBAC
Role Based Access Control
RFC
Request For Comments, Remote Feedback Controller
RSA
Rivest, Shamir, Adelman
RTO
Regional Transmission Operator
RTP
Real-Time Pricing
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RTU
Remote Terminal Unit
SCADA
Supervisory Control and Data Acquisition
SCL
Substation Configuration Language
SCP
Secure Copy Protocol
SDO
Standards Development Organization
SOA
Services Oriented Architecture
SHA
Secure Hash Algorithm
SNMP
Simple Network Management Protocol
SNTP
Simple Network Time Protocol
SP
Special Publication
SOA
Service-Oriented Architecture
SSH
Secure Shell
SSP
Sector Specific Plan
TCP
Transport Control Protocol
TFTP
Trivial File Transfer Protocol
TOGAF
The Open Group Architecture Framework
TOU
Time-of-Use
UCA
Utility Communications Architecture
UCAIug
UCA International Users Group
UID
Universal Identifier
UML
Unified Modeling Language
VAR
Volt Amps Reactive
VVWC
Voltage, Var, and Watt Control
WAMS
Wide-Area Measurement System
WAN
Wide Area Network
WASA
Wide Area Situational Awareness
XML
Extensible Markup Language
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