Survey of Smart Grid Standardization Studies and

Recommendations
Sebastian Rohjans∗ , Mathias Uslar∗ , Robert Bleiker∗ , José González∗ , Michael Specht∗ ,
Thomas Suding∗ and Tobias Weidelt∗
∗ OFFIS

Institute for Information Technology,

26121 Oldenburg, Germany
Email: [first name].[last name]@offis.de

Abstract—Currently, several smart grid efforts in US and
Europe are gaining momentum. Even if there are different focuses
in US and Europe on what is known as the smart grid, all agree on
the fact, that standardization is a key issue. Hence, a lot of studies
and roadmaps pick standardization in the context of smart grids
out as a central theme. The various approaches are concentrating
on different core areas, depending on the circumstances in
which they were elaborated. However, no overview aligning these
approaches exists. This contribution takes all relevant approaches
up to now into account, which give concrete recommendations for
smart grid standards. The approaches will be aligned, and a set of
core standards will be identified to point out the most important
fields for future research and development. Furthermore, the IEC
TC 57 Seamless Integration Architecture SIA will be introduced
and extended by future standards, which were identified as core
standards and existing work not yet included in the SIA.
I. I NTRODUCTION
The smart grid is the dominating topic in today’s energy
domain. However, many definitions of smart grid exist all
around the world, and depending on them the smart grid is
defined as state, transition process or target infrastructure.
The basic content of each definition is influenced by many
different factors, for example different generation structures
caused by natural resources and regulation and different
consumption structures caused by energy prices, using habits
as well as urban population density. The following definitions
emphasize the influence of the aforementioned factors:
”The term ’Smart Grid’ refers to a modernization of
the electricity delivery system so it monitors, protects and
automatically optimizes the operation of its interconnected
elements – from the central and distributed generator through
the high-voltage network and distribution system, to industrial
users and building automation systems, to energy storage
installations and to end-use consumers and their thermostats,
electric vehicles, appliances and other household devices.”
”A Smart Grid is an electricity network that can intelligently
integrate the actions of all users connected to it - generators,
consumers and those that do both - in order to efficiently
deliver sustainable, economic and secure electricity supplies.”
The first definition [1] was published by the US National
Institute of Standards and Technology (NIST) and defines
the smart grid as a transition process from the existing
power system to the future, Information and Communication
Technologies (ICT) based power system. The second
definition [2] was published by the European Technology
Platform (ETP) SmartGrids and defines the smart grid as a
target architecture. Thus, the NIST definition focuses on the
way, and the ETP SmartGrids definition on the target.
All this leads to the conclusion, that not a single smart grid
model exists, but a lot of smart grids with different focuses.
However, almost all definitions have some requirements, rec-
ommendations and ideas in common:
• integration of Distributed Energy Resources (DER) and
storage
• full-scale smart power supply system based on modern
and advanced ICT
• efficient and sustainable power supply
• improving and transitioning the existing infrastructure to
a new overall system
• decentralized network operation technologies
• integration of consumer as ”prosumer”
• intelligent use of smart equipment
• new energy market products and services
• use of improved ICT based management functions for
Energy Management System (EMS) and Distribution
Management System (DMS)
The most important aspect is the agreement on the fact
that a changing power infrastructure needs a new-style ICT
infrastructure. Such a radical and far-reaching process provides
several opportunities – in this context the opportunity to reach
a level regarding interoperability for the new system that is
as high as possible. An established way to approach this
challenge is the application of standards. Accordingly, lots of
countries develop national standardization roadmaps as well
as organizations and companies specify their own smart grid
strategies. That results in a large variety of approaches, which
were often developed independent from each other. Unfortu-
nately, no overview on the standardization recommendations
is available. This contribution was created in the context of

978-1-4244-6511-8/10/$26.00 ©2010 IEEE 583

the German Standardization Roadmap [3] and tries to close
this gap.
The remainder of this paper is organized as follows: Section
II and its subsections describe several standardization recom-
mendation roadmaps, whereas section III gives an overview
on the identified set of core standards. Afterwards, the In-
ternational Electrotechnical Commission Technical Committee
(IEC TC) 57 Seamless Integration Architecture (SIA) is intro-
duced as a basic framework in section IV. Finally, section V
concludes the results and section VI presents the future work
which has been identified while comparing all available smart
grid studies.
II. S UMMARY OF S TANDARDIZATION S TUDIES
To identify the core set of standards for the future smart
grid, various approaches have to be taken into consideration.
In the following sub-sections, those approaches are introduced,
which give clear recommendations for standards. The last sub-
section summarizes approaches, which are also of high impor-
tance though they do not recommend individual standards, but
more general practice and architectures.
A. The German Roadmap E-Energy / Smart Grid
The national smart grid standardization roadmap for Ger-
many [3] considers national and international standards ex-
haustively, focusing on the smart grid’s ICT infrastructure.
Basic elements of the roadmap consider an overview on
various international standardization efforts as well as specific
recommendations for standards relating to different parts of the
smart grid. Not only core standards for the future smart grid in
terms of ICT have been identified, but also the improvement
of existing and the development of new standards has been
taken into account. Furthermore, a second edition is already
planned to incorporate experiences gained from the realiza-
tion of the recommendations. The second edition will also
include a multi-utility aspect (gas, heat and water) as well as
communication standards for further focal topics like market
communications, High-Voltage Direct Current (HVDC) and
Flexible Alternating Current Transmission System (FACTS).
B. US NIST IOP Roadmap
In the United States, the Energy Independence and Security
Act (EISA) authorized the Department of Commerce (DoC)
in 2007 to coordinate the development of an interoperability
framework. This framework is coordinated by NIST and aims
at interoperability between and among smart grid systems
and equipment with special respects to standards in the fields
of ICT protocols and data models. NIST designed an action
plan to support and foster the development of important
standards. The first version of the framework includes an
abstract reference model consisting of about 80 standards,
which are related to the smart grid directly or on a meta
level [4]. Furthermore, 15 key areas and gaps – where new
or improved standards are needed – have been identified.
In conclusion, 16 core standards are recommended by NIST
[5]. The latter document, NIST Framework and Roadmap
for Smart Grid Interoperability Standards, Release 1.0, is the
output of the first phase of the three phase NIST plan [5].
Standards listed here are to be regarded as neither exhaustive
nor exclusionary. Apart from the 16 core standards, additional
standards, specifications, requirements, guidelines and reports
for further review are presented and discussed, too.
C. IEC SMB SG 3
In February 2010, the SG 3 (Strategy Group ”Smart Grids”)
published a draft of a roadmap [6] including their own
standards and eleven high level recommendations. The SG
3 was appointed by the IEC Standardization Management
Board (SMB). The main focus of the IEC roadmap is on
improved monitoring and control of all components within the
network. Therefore, it is necessary to achieve a higher level
of syntactic and semantic interoperability between all involved
components and solutions. Increasing energy consumption,
further spread of DER, sustainability of generation and dis-
tribution, competitive market prices, security of energy supply
as well as the maturing infrastructure are seen as main drivers
for the changing process. Furthermore, common requirements
regarding a smart grid reference architecture, which should be
based on the SIA, are defined by the roadmap. Altogether,
more than 100 standards have been identified, described and
prioritized, whereas five standard series are ranked as ”core”
and nine as ”high priority”. The roadmap includes twelve main
application areas, six general topics and 44 recommendations
overall.
D. German BMWi E-Energy Program
E-Energy is a public funding program of the Federal Min-
istry of Economics and Technology (BMWi) and the Federal
Ministry of Environment, Nature Conservation and Nuclear
Safety (BMU) and consists of six model regions spread
across Germany. The current objective is to create the so
called and coined ”Internet of Energy”. In the course of that
framework, the BMWi commissioned a study [7] to analyze
the standardization environment of the six projects in late
2008. Based on expert interviews, literature research and the
consortium’s experiences of IEC and Institute of Electrical and
Electronics Engineers (IEEE) participation, a set of standards
has been identified. Eleven standards for eight topics were
recommended as core standards. The recommendations are
not absolutely specific for the funded model regions and, thus,
applicable to other smart grid projects. Besides IEC standards,
the study focuses on converging technologies between the ICT
and automation domains. The study was the basic document
and overview for the national roadmap and one of the inputs
for the IEC roadmap.
E. German BDI initiativ - Internet der Energie
The German Bundesverband der deutschen Industrie (BDI)
published a study (”Internet of Energy – ICT for Energy
Markets of the Future”) [8] in February 2010, which con-
siders energy shortage, the regulatory environment, technical
developments associated with increasing energy prices and the
584
German electricity system including its ICT infrastructure. A
number of standards were linked to four domains (decen-
tralized energy generation, transport grids, energy quantity
measurement and end consumption). The following four main
recommendation areas were given:
• an improved harmonization and integration of existing
standards and communication protocols
• extend standardization to gas, water and heat
• coordinated support for interoperability
• development of open communication standards for new
technologies
F. Microsoft SERA
The Microsoft Smart Energy Reference Architecture
(SERA) is a comprehensive reference architecture based on
NIST work and Microsoft products [9]. It addresses the
technology integration throughout the scope of the smart
energy ecosystem and the surrounding systems. It should help
utilities to create an integrated utility by providing a method
of testing the alignment of information technology. To meet
the necessary requirements of power utilities IT infrastructure,
there has been close cooperation between key power industry
partners (i.e. Accenture, Alstom Power, ABB, ESRI, Itron Inc.
and OSIsoft Inc.) and Microsoft. The main intention of the
reference architecture is to accelerate solutions development
under the aid of specific Microsoft products. SERA tries to
assure to enable developers to provide enhanced, more cost-
effective, secure and scalable solutions.
G. CIGRE D2.24
The Conseil International des Grands Reseaux Électriques
(CIGRE) WG D2.24 focuses on ”EMS Architectures for the
21st Century” and works on a visionary architecture for
the next generation energy and market management systems.
The architecture and its implementation aim to be used as
a de-facto standard. Therefore, real time systems should be
linked up with transmission grids and market systems, whereas
interoperability and reusability are defined as non-functional
requirements. Ten design rules were defined for the develop-
ment. A ”Cat A Liaison” between IEC TC 57 and CIGRE D2
has already been established, so that the developed architecture
will be mainly based on IEC TC 57 standards and architectures
[10].
H. European Union: Mandate CEN/CENELEC M/441
The European Smart Meter Coordination Group (SM-CG)
classifies existing standards into six categories based on dif-
ferent functionalities for smart metering. The SM-CG operates
in the context of the mandate M/441, which was given to
Comité Européen de Normalisation (CEN), European Com-
mittee for Electrotechnical Standardization (CENELEC) and
European Telecommunications Standards Institute (ETSI) by
the European Union. M/441 comprises the standardization
of smart meter functionalities and communication interfaces
for European power, gas, heat and water industries. They
develop standards and technical reports, whereas standards
are understood as optional technical specifications and general
technical rules for products and systems in the market [11].
I. Others Studies, Frameworks and Programs
The IEEE is also working on a document focusing on
interoperability and convergence in terms of energy and in-
formation technologies. The ”IEEE P2030 Draft Guide for
Smart Grid Interoperability of Energy Technology and Infor-
mation Technology Operation with the Electric Power System
(EPS)” [12] is developed within the IEEE P2030 project and
aims to be a knowledge base for smart grid interoperability
consisting of consistent terminology, characteristics, functional
descriptions, evaluation criteria and appropriate development
activities.
Furthermore, various national roadmaps exist, for example
from Spain [13], Austria [14], the UK [15] and Japan [16].
Those national roadmaps are either still under development
or do not recommend specific standards, hence it is not
reasonable to go in detail within this contribution, but they
still provide a very usefull insight on needed function in
terms of DMS, demand response and intelligent sensor grids.
To improve work on e-mobility, several national items like
the German ”National Development plan Electric Mobility”
[17], the France ”14-Point Plan to Accelerate Development
of Electric Cars and Plug-in Hybrids” [18] or the ”American
Recovery and Reinvestment Act” [19] are focusing on this
aspect of the smart grid.
In addition, the International Telecommunication Union
(ITU) Telecommunication Standardization Sector (ITU-T) es-
tablished a focus group on smart grid to analyze among other
aspects the potential impacts on standards development and,
therefore, identified several smart grid acitivites of leading
standardization developing organizations, see [20].
III. OVERVIEW ON R ECOMMENDED S TANDARDS FROM
THE S TUDIES
As mentioned in the sections before, currently several stud-
ies regarding smart grids proposing the use of standards are
developed. To enable comparison of the different approaches
and stress out their differences, we choose to identify the stan-
dards proposed by the different studies. Figure 1 shows a table
containing all identified standards with a short description of
each of them. Next to the standards, the main approaches
analyzed alongside a mapping of which approach uses which
standard (black cell) are listed. As the SMB SG 3 IEC
study distinguishes in the relevance of the proposed standards
between ”core” and ”high priority”, figure 1 shows table cells
in black and grey, accordingly. Apart from comparing studies
developed by other institutions, the German Standardization
Roadmap (section II-A) was added as well.
The development of figure 1 was first elaborated through
desktop research, based on the analysis of published docu-
ments regarding the approaches (see corresponding sections
for references). This first version was later on discussed and
refined in several workshops and through expert interviews,
mainly within the German Strategy Group Standardization
585
Roadmap Smart Grid / E-Energy. Hereby, discussions and
interviews proved to be fruitful for identifying relevant ref-
erences and checking the correct mapping of approaches to
standards. Afterwards, the German Standardization Roadmap
Smart Grid / E-Energy [3] was added to show its recommen-
dations in comparison of the other studies and roadmaps.
Through this analysis, the following standards can be
regarded as the consensus on core information technology
standards for the future transition of the electric distribution
grid towards a smart grid:
• IEC 61970/61968: Common Information Model (CIM)
[21], [22]
• IEC 61850: Substation Automation Systems (SAS) and
DER [23]
• IEC 62351: Security for the Smart Grid [24]
• IEC 62357: TC 57 Seamless Integration Architecture [25]
• IEC 60870: Communication and Transport Protocols
[26], [27], [28]
• IEC 61400-25: Communication and Monitoring for Wind
Power Plants [29]
• IEC 61334: DLMS [30]
• IEC 62056: COSEM [31]
• IEC 62325: Market Communications using CIM [32]
The mentioned standards are referenced by most of the
approaches (see figure 1) and play an important role within
the IEC SIA. All of these standards are developed within the
IEC TC 57, but unfortunately by different working groups.
IV. IEC TC 57 S EAMLESS I NTEGRATION A RCHITECTURE
The IEC TC 57 SIA 62357 provides an important frame-
work for standardization in the electric energy domain. Most
of the studies introduced in section II identified the SIA
as the core framework for standardization in smart grids in
terms of automation and power system management. Figure
2 shows the different layers of the SIA and both combines
the important standards from IEC TC 57 and IEC TC 13 and
depicts the relations between them. Furthermore, two major
interfaces are included, on the one hand an interface for market
communications and on the other hand an interface for smart
metering. The layers can be summarized as follows:
• Application and business integration (top and middle)
• Power system integration (bottom)
• Security and data management (left, vertical functions)
The SIA includes object and data models, services and
protocols as well as interfaces between systems, communica-
tion architectures (e.g. SOA – service oriented architecture),
processes and data formats. The basic data model and do-
main ontology for the future smart grid is the CIM (IEC
61970/61968), which provides interfaces for the primary and
secondary IT in terms of EMS and DMS. Leading commu-
nication protocols are standardized in IEC 60870 (transport
protocols) and IEC 61850-7-4xx (Substation automation and
DER communication). In the field of smart metering, the SIA
tries to standardize applications and functions not too much
to leave enough space for innovations and vendor specific
implementations - and of course, work done by other TCs.
Fig. 2. IEC TC 57 Seamless Integration Architecture (SIA)
V. C ONCLUSIONS
Summarizing all recommendations leads to the conclusion,
that the IEC TC 57 SIA is a good basis and, most important, a
general consensus for a smart grid standardization framework,
because several standards are already included. However, the
SIA combines efforts from different working groups focusing
on different topics and stakeholders. Hence, a great need
for integration and cooperation is obviously needed for the
smart grid to become reality. Furthermore, some future focal
topics are not yet addressed. Different regions in the world
have different focal topics, but still have to rely on the very
same standards. Vendors do not want to develop products
for single markets, as this just rises costs and provides less
interoperability between products. There are several new focal
topics coming up.
For example, electromobility and national and trans-national
market communications will be part of the smart grid. That
emphasizes the need for a close information exchange be-
tween standardization organizations and their working groups.
The existing standards have to be developed continuously
to deal with changes within regulatory, technical, political
and organizational aspects. It would also be reasonable to
have a close coordination in the fields of international and
national standardization roadmaps to learn from each other
and foster joint work programs. Furthermore, different national
scopes can lead to fruitful complementary work, as national
standardization body alone cannot drive all the dimensions of
standards for the smart grid.
VI. F UTURE W ORK
An important part of the future work will be focused on the
SIA. In figure 3, we suggest to extend the SIA by at least three
important components and working areas and we highlight
four more components for future research and development.
The first component we suggest to add are new extensions
and profiles of the CIM. The CIM already includes a large
and rather complete data model, but it is not possible to model
e.g. DER or multi-utility aspects in an appropriate way. Thus,
586
 Standard Approach
Standard Description DKE NIST SMB SG 3 BMWi BDI - Microsoft CIGRE CEN/CEN Japan's
Normungs- IOP IEC E-Energy Internet SERA D2.24 ELEC Roadmap to
roadmap Framework Program der M/441 international
Smart Grid Roadmap Recommend Energie standardization
1.0 1.0 ations OFFIS for Smart Grid
(preliminary)
AMI-SEC System Security Requirements Advanced metering infrastructure (AMI) and SG end- + + +
to-end security
ANSI C12.19/MC1219 Revenue metering information model + + +
BACnet ANSI ASH-RAE 135-2008/ISO Building automation + + +
16484-5
Digital meter / Homegateway Mandate M/441 of CEN/CENELEC + + +
DNP3 Substation and feeder device automation + + +
EDIXML Market communication for Germany +
IEC 60870 Communications protocol + + + +
IEC 60870-5 Telecontrol, EMS, DMS, DA, SA + High + +
IEC 60870-6 / TASE.2 Inter-control center communications + + High + + +
TASE.2 Inter Control Center Communication
EMS, DMS
IEC 61334 DLMS + + + + +
IEC 61400-25 Wind Power Communication + High + + +
EMS, DMS, DER
IEC 61499 SPS and Automation, Profile for IEC 61850 +
IEC 61850 Substation automation and protection,Distributed + + core + + + + +
generation, Wind parks, Hydro, E-Mobility
IEC 61850-7-410 Hydro Energy Communication + High +
EMS, DMS, DA, SA, DER
IEC 61850-7-420 Distributed Energy Communication + High + + + +
DMS, DA, SA, DER, EMS
IEC 61851 EV-Communication + High
Smart Home, e-Mobility
IEC 61968 Distribution Management, System Interfaces for + core + + +
Distribution Management Systems, DCIM (CIM for
Distribution)
IEC 61968/61970 Application level energy management system + + core + + + + +
interfaces, CIM (Common Information Model) ,
Domain Ontology, Interface, Exchange format,
Profile, Process blueprints, CIM (Common
Information Model) EMS, DMS, DA, SA, DER, AMI,
DR, E-Storage
IEC 61970 Energy Management, Application level energy + core + + +
management system interfaces, Core CIM
IEC 62051-54/58-59 Metering Standards + High +
DMS, DER, AMI, DR, Smart Home, E-Storage, E-
Mobility
IEC 62056 COSEM High + + + +
DMS, DER, AMI, DR, Smart Home, E-Storage, E-
Mobility
IEC 62325 Market communications using CIM + + +
IEC 62351 SIA Security + + core + + + + +
IEC 62351 Parts 1-8 Information security for power system control + + + + + + +
operations
IEC 62357 IEC 62357 Reference Architecture – Service- + + core + +
oriented Architecture, EMS, DMS, Metering,
Security, Energy Management Systems, Distribution
management Systems
IEC 62443 General Security +
IEC 62541 OPC UA (Automation)) + + +
IEC TR 61334 DLMS, Distribution Line Message Service High +
IEEE 1547 Physical and electrical inter-connections between + + +
utility and distributed generation (DG)
IEEE 1686-2007 Security for intelligent electronic devices (IEDs) + +
IEEE C37.118 Phasor measurement unit (PMU) communications + + +
ISO / IEC 14543 KNX, BUS +
NERC CIP 002-009 Cyber security standards for the bulk power system + + +

NIST Special Publication (SP) 800-53,
NIST SP 800-82
Open Automated Demand Response
(Open ADR)
OpenHAN
ZigBee/HomePlug Smart Energy Profile
Cyber security standards and guidelines for federal + +
information systems, in-cluding those for the bulk
power system
Price responsive and direct load control + +
Home Area Network device communication, + +
measurement, and control
Home Area Network (HAN) Device Communications + +
and Information Model

Fig. 1. Overview on standards and related approaches based on [3].

we suggest special extensions to meet the requirements of the
future smart grid. Furthermore, electromobility should be part
of the standardization framework. In detail, utility extensions
for electromobility should be added as well as the IEC 62196-
2 for charging poles and the work done by the Joint Technical
Committee (JTC) 1 focusing on e-Mobility. The IEC 62541
[33] is the third component that should be added. The IEC
62541 family standardizes the OPC Unified Architecture (UA),
which is a new and powerful standard for process automation
and already established in other domains. This can easily be
applied to the CIM layer of the SIA and can replace the
old deprecated OPC interfaces like Time Series Data Access
(TSDA) or Historical Data Access (HDA) there [34]. One
important aspect is also that with an inclusion as an Abstract
Communication Service Interface (ACSI) interface mapping
for the IEC 61850 family, this could lead to a common
vertical communication standard meeting the requirements of
the automation with a binary protocol and the ICT world with
web services.
CIM extensions and technology mappings are two already
included components. Both are very important for future
research and development. Technology mappings for platform
independent and abstract models always have to consider the
state-of-the-art technologies to use the full potential of the

587

Fig. 3. Extension of the SIA.
updated developments. For example, semantic technologies
will provide new possibilities e.g. for meta data annotation or
internet communication. The CIM for DER is an example for
a necessary CIM extension, and in the future more extensions
have to be realized, e.g. for electric vehicles and Plug-in
Hybrid Electric Vehicle (PHEV).
In addition to the SIA specific future work, some general
work has to be done. To realize a sustainable knowledge
management in terms of the use and implementation of ICT
smart grid standards, a centralized knowledge data base has
to be established, e.g. some kind of internet portal. This
knowledge data base should also comprise the current work
from South America and Asia like the engagement of Brazil
in the IEC and the Chinese SAC and its ”Strengthened Smart
Grid” plan [20]. Furthermore, experience reports concerning
implementations (being technical reports) are a good way to
help other stakeholders to participate in the smart grid. Another
reasonable way to create a broader and deeper understanding
for the core standards is to support the publication of white
papers and white books.
As this paper is limited in both space and updating pos-
sibilities, we will provide an up-to-date overview on smart
grid standardization approaches at a dedicated web site at
www.offis.de/energie/.
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