1. CATALOG OF STANDARDS Mark Klerer 2 December 2010

2. 2 Plenary leadership led team drafted a document defining the criteria and procedures for inclusion of a document in the SGIP Catalog of Standards. Scope of the Standards Catalog – Standards and guides recognized as relevant for enabling SG capabilities Objectives of the Standards Catalog – Explain value & purpose of the catalog for SG community – Influential, but independent of NIST/FERC decision-making – Characterize the various specification organizations with respect to their processes in developing their specifications – Provide an annotated resource that identifies standards created by recognized SSOs and/or industry consortia that are relevant to Smart Grid applications – Identify functional areas of smart grid where each standard is appropriate (draw on SGAC work) C ATALOG OF S TANDARDS

3. 3 Process – NIST Framework and Roadmap for SG Interoperability v1.0 identifies many standards to consider – Additional standards can be identified to the SGIP Administrator by any SGIP member for potential inclusion in catalog – Relevance and importance evaluated by appropriate SGIP working group (e.g. DEWG, PAP, etc) and consensus developed – Conclusions forwarded to SGIPGB for recommendation to on inclusion to the SGIP membership – 75% approval by SGIP membership required for inclusion in the catalog – Standards included in the catalog may be deprecated from further use to changes in technology or needs by following the same process. Catalog Structure – Entries in catalog will be structured based on application domain defined in the Framework and further classified by GWAC stack Catalog Record Structure – Each catalog entry will include a set of attributes that classify the document with respect to: Development process IRP regime Cyber-security aspects Domain of applicability Functionality supported C ATALOG OF S TANDARDS ( CONT.)

4. 4 Relationship to NIST and FERC lists – Standards Catalog strives for accurate characterization and relevance to the smart grid community, and avoids recommendation – Standards Catalog expected to be a larger compilation which can inform NIST and FERC in their decision processes Next Steps – Closure of consensus of document – Review and approval of process aspects by BOPWG – Review and approval of complete document by SGIPGB C ATALOG OF S TANDARDS ( CONT.)

5. 5 L IST OF C RITERIA 1.Relevancy: Facilitates interoperability related to the integration of smart grid devices or systems. Relevant smart grid capabilities are as defined by EISA 2.Community Acceptance: The standard should be widely acknowledged as important to the integration of devices or systems that enable Smart Grid capabilities. 3.Deployment Suitability: The standard must demonstrate evidence of either having been deployed or filling a Smart Grid deployment gap thereby demonstrating adequate performance in commercial (real- world) applications. 4.Interface Characterization: The relevant portions of the standard focus on requirements for integration and interaction through well defined interfaces. The standard facilitates the independence in device or system design and implementation choices. 5.Document Maintenance: The standard is supported by a multi- member organization that will ensure that it can be unambiguously referenced, is regularly revised and improved to meet changing requirements, and that there is strategy for continued relevance.

6. 6 Standards Goals from EISA  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 (real-time, automated, interactive technologies that optimize the physical operation of appliances and consumer devices) 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  Development of standards for communication and interoperability of appliances and equipment connected to the electric grid, including the infrastructure serving the grid.  Lowering of unreasonable or unnecessary barriers to adoption of smart grid technologies, practices, and services.

7. 7 P ROPOSED A TTRIBUTES AND C HARACTERISTICS Smart Grid Standards Catalog Record Definition Attribute DescriptionPermissible Values A. Identification and Affiliation 1Number of the standardStandard designator assigned by the publishing organization 2Title of the standardText title by which the document is known 3Name of owner organizationText 4Latest versions, stages, datesRevision, drafty and date designators assigned by SSO 5URL(s) for the standardDocument URL if available 6Working group / committeeOfficial Committee designator 7Original source of the content (if applicable) 8Brief description of scope B. Level of Standardization 1Level of Standard (check all that apply) International National Industry de Facto 2Type of documentStandard Report Guide Technical Specification 3Level of Release Released In Development Proposed C. Areas of Use 1Applicable domains (check all that apply) Markets Operations Service Providers Generation Transmission Distribution Customer

8. 8 P ROPOSED A TTRIBUTES AND C HARACTERISTICS F. Priority Areas as defined by FERC and NIST 1Cybersecurity and physical security □ Yes □ No 2Communicating and coordinating across inter-system interfaces □ Yes □ No 3Wide area situational awareness □ Yes □ No 4Smart grid-enabled response for energy demand □ Yes □ No 5Electric storage □ Yes □ No 6Electric vehicle transportation □ Yes □ No 7Advanced metering infrastructure □ Yes □ No 8Distribution grid management □ Yes □ No G. Openness 1Development Process □ ANSI Accredited □ International SDO □ Industry Consortium □ Users Group □ Multi Company Agreement □ Open Source 2IPR regime □ FRAND □ Royalty Free □ Public Domain □ Open Source

9. 9 P ROPOSED A TTRIBUTES AND C HARACTERISTICS H.Support, Conformance, Certification and Testing 1Name of the users group or manufacturers group (if any) 2Test procedures are defined to test this standard? □ Internal to the lab □ Published by standards organization □ Published by users group □ No procedures, informal testing 3Scope of defined test procedures (check all that apply) □ Interoperability Testing □ Conformance Testing □ Security Testing □ No Testing 4Certification type (check all that apply) □ Interoperability Certificate □ Conformance Certificate □ Security Certificate (text document) □ No Certificates 5Is there a program to approve test labs? □ Yes □ No 6Is there a published conformance checklist or table? □ Yes □ No

10. 10 Section II: Functional Description of the Standard K. GridWise Architecture: Layers Could be combined as single attribute with allowing multiple layers to be checked as value Please identify which layers this standard specifies, as described in http://www.gridwiseac.org/pdfs/interopframework_v1_1.pdfhttp://www.gridwiseac.org/pdfs/interopframework_v1_1.pdf, and the applicable section of the standard. Note the mapping to the Open Systems Interconnect (OSI) model is approximate. 1Layer 8: Policy □ Yes □ No 2Layer 7: Business Objectives □ Yes □ No 3Layer 6: Business Procedures □ Yes □ No 4Layer 5: Business Context □ Yes □ No 5Layer 4: Semantic Understanding (object model) □ Yes □ No 6Layer 3: Syntactic Interoperability (OSI layers 5-7) □ Yes □ No 7Layer 2: Network Interoperability (OSI layers 3-4) □ Yes □ No 8Layer 1: Basic Connectivity (OSI layers 1-2) □ Yes □ No L. GridWise Architecture: Cross-Cutting Issues Please provide an explanation in the box beside the heading for any questions answered “Not applicable". If the question is not applicable because the function is provided in another layer or standard, please suggest any likely candidates. Note that “the standard” refers to the technology specified by the standard, not the documents themselves. Security and Privacy 1Security Support □ Within this standard □ By other standards □ None 2Does the standard provide authentication? □ Yes □ No 3Does the standard permit role-based access control? □ Yes □ No 4Does the standard provide encryption? If so, please list any security algorithms and standards used. □ Yes □ No 5Does the standard facilitate logging and auditing of security events? □ Yes □ No Logging and Auditing 6Does the standard facilitate logging and auditing of critical operations and events? □ Yes □ No

11. 11 Transaction State Management 7Can the standard remotely enable or disable devices or functions? □ Yes □ No □ Not applicable Quality of Service 8Is data transfer bi-directional? □ Yes □ No 8Can data be prioritized? □ Yes □ No □ Not applicable 9What types of reliability are provided? □ Reliable □ Non-guaranteed □ Both □ Either □ Provided in another layer 10Can information be broadcast to many locations with a single transmission? □ Yes □ No □ Not applicable P ROPOSED A TTRIBUTES AND C HARACTERISTICS