ETSI TR 103 401 V1.1.1 (2016-11)

ETSI TR 103 401 V1.1.1 (2016-11)






TECHNICAL REPORT
Smart Grid Systems and Other Radio Systems
suitable for Utility Operations,
and their long-term spectrum requirements

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2 ETSI TR 103 401 V1.1.1 (2016-11)



Reference
DTR/ERM-TGDMR-340
Keywords
dPMR, M2M, PMR, resilience, Smart Grid
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3 ETSI TR 103 401 V1.1.1 (2016-11)
Contents
Intellectual Property Rights . 4
Foreword . 4
Modal verbs terminology . 4
Executive summary . 4
Introduction . 5
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 7
3 Definitions, symbols and abbreviations . 9
3.1 Definitions . 9
3.2 Symbols . 9
3.3 Abbreviations . 10
4 Utility operations requirements . 12
5 Existing and potential utility operations technologies . 19
5.1 Data systems . 19
5.2 High-definition Real-time Video . 21
5.3 Other Utility Operations Radio Systems . 21
6 Long-term spectrum requirements for utility operations . 22
7 Conclusion . 23
Annex A: Simple Electricity Grid Network . 24
Annex B: Electricity Grid control and monitoring . 27
B.0 Background . 27
B.1 Point-to-multipoint systems . 27
B.2 Point-to-point systems . 28
B.3 Point-to-point and Point-to-multipoint technical details . 29
History . 31

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4 ETSI TR 103 401 V1.1.1 (2016-11)
Intellectual Property Rights
IPRs essential or potentially essential to the present document may have been declared to ETSI. The information pertaining
to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found in
ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in respect
of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web server
(https://ipr.etsi.org/).
Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee can
be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web server)
which are, or may be, or may become, essential to the present document.
Foreword
This Technical Report (TR) has been produced by ETSI Technical Committee Electromagnetic compatibility and Radio
spectrum Matters (ERM).
Modal verbs terminology
In the present document "should", "should not", "may", "need not", "will", "will not", "can" and "cannot" are to be
interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
Executive summary
The present document highlights the future requirements for the mission critical real-time systems, e.g. Smart Grids, that
are necessary to meet Europe's need for the "reliable provision of electricity wherever and whenever it is required". It also
emphasises that almost all of Europe's businesses are dependent on electricity, and/or gas (gas may also be used to generate
electricity), to enable them to supply the goods and/or services to Europe's citizens and consumers.
Article 194 of the Treaty on the Functioning of the European Union [i.1] (TFEU/Treaty of Rome) sets out that the aim of
EU Energy policy is to "ensure security of energy supply in the Union", i.e. to ensure that energy (including electricity) is
available to all when needed, and while doing so "promote energy efficiency and energy saving and the development of new
and renewable forms of energy". Smart Electricity Grids will be used to distribute and control these energy efficient/saving
networks.
The present document builds on the Smart Grids Co-ordination Group Technical Report Reference Architecture for the
Smart Grid [i.2] (RASG) in that it highlights that real-time mission critical Smart Grid systems typically need to be
resilient, sometimes requiring best practice resilience [i.3]. By contrast best-effort, non-real-time, Smart Meter systems
typically do not need to be resilient. This should clarify which of the systems mentioned within the RASG [i.2] may be
suitable for Smart Grid systems and which may only be suitable for Smart Meter systems.
In line with the requirement of Mandate M/462 [i.25] to enable efficient energy use in fixed and mobile information and
communication networks, the present document also highlights the power efficiencies of using 12,5 and 25 kHz narrow
band equipment versus, say, 150 kHz wideband and MHz-wide broadband equipment.
The present document also highlights that there may be options for the existing ETSI standards suitable for low data rate
electricity grid systems, e.g. 9,6 kbit/s within 12,5 kHz narrow band channels, to be updated to enable higher data rates,
e.g. 64 kbit/s within 25 kHz channels, for use by Smart Grid systems.
The present document supports the RASG recommendation [i.2] that: "deployment constraints mandate the need for both
wire-line and wireless communications. Utility access to wireless network resources is necessary. Where spectrum is
allocated for use by utility networks, this will help progress the Smart Grid deployments ensuring the standard work and
products take into account the allocated spectrum for utilities." It should be noted that there may be significant differences
between the enhanced requirements of critical infrastructure utility (CIU) networks, such as those used by the electricity
utilities, and the lesser requirements of non-critical infrastructure utility networks.
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5 ETSI TR 103 401 V1.1.1 (2016-11)
The present document highlights that when a radio link is used as the diversity route for another link, e.g. wired, the radio
link needs to work immediately when required and continue to work despite any power disruptions, etc.
The present document highlights that Utility Operations have ~50 years of experience in designing, installing, operating,
and maintaining resilient machine to machine (RM2M) systems such as those used to supervise and control electricity
grids. The present document suggests that, whereas Member States are expected to provide an average of 1 200 MHz for
IMT systems, the average spectrum requirements for Critical Infrastructure Utility Operations Networks, including Smart
Grids, is likely to be ~1,5 percent of that for IMT systems.
Noting that, regarding spectrum for International Mobile Telecommunications (IMT) broadband use, "the RSPG
recommends that future discussions on spectrum management decisions avoid setting an arbitrary amount of spectrum to
be harmonised" [i.23]. It is expected that the evidence based identification of 18 MHz of spectrum within the VHF,
400 MHz UHF and 1,4 GHz bands will be seen as a realistic figure rather than an arbitrary one.
The details of the future spectrum requirements will be expanded within ETSI TR 103 492 [i.26].
Introduction
The present document has been developed to support the co-operation between ETSI and the Electronic Communications
Committee (ECC) of the European Conference of Posts and Telecommunications Administrations (CEPT).
Almost every service or product offered to Europe's citizens and consumers relies directly or indirectly on the reliable
provision of electricity and/or gas (gas can also be used to generate electricity) by Europe's Utility Operations. The
European Commission, within its Energy Strategy [i.4], fully recognises and supports the important requirement for "secure
energy supplies to ensure the reliable provision of energy whenever and wherever needed".
The European Commission's 2030 policy framework seeks to de-carbonise the energy system. The framework encourages
the electrification of heat and transport, as well as the connection of more intermittent generation. As these policies take
effect, the electricity system will become more complex to plan, control and balance. More flexibility will be needed to
ensure that the energy system is able to cope with the future challenges. It will be key to delivering an affordable and
climate-friendly energy system [i.5]. Natural disasters, terrorist attacks, and criminal activity can all disrupt the critical
energy infrastructure Europeans depend on. While national authorities are primarily responsible for the protection of energy
facilities such as power plants and transmission lines, energy disruptions can be felt across national borders. The EC
considers that, inter alia, energy infrastructures and facilities for the generation and transmission of electricity in respect of
supply electricity between member states are European Critical Infrastructures [i.6] (ECI). Likewise, Gas production,
refining, treatment, storage and transmission by pipelines, and liquid natural gas (LNG) terminals, are considered to be
ECI.
The EC's European Programme for Critical Infrastructure Protection [i.7] (EPCIP) identifies that "European Critical
Infrastructures (ECI) constitute those designated critical infrastructures which are of the highest importance for the
Community and which if disrupted or destroyed would affect two or more Member States, or a single Member State if the
critical infrastructure is located in another Member State. The identification and designation of National Critical
Infrastructures is defined by a Member State according to predefined national criteria. With due regard to existing
Community competences, the responsibility for protecting National Critical Infrastructures falls on the NCI
owners/operators and on the Member States".
The EC Directive 2008/114/EC on European Critical Infrastructures [i.8] fully recognises that the "infrastructures and
facilities for generation and transmission of electricity in respect of supply electricity" is part of each member state's
critical infrastructure. This criticality is emphasised by the European Commissions' acknowledgement of the continued
requirement for electricity grids to have Resilience to ensure critical infrastructure protection (CIP). It should be noted that
there may be significant differences between the enhanced requirements of critical infrastructure utility (CIU) networks,
such as those used by the electricity utilities, and the lesser requirements of non-critical infrastructure utility networks.
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6 ETSI TR 103 401 V1.1.1 (2016-11)
Indeed, the importance of Smart Grid electricity is such that the EC has created the M/490 EN Smart Grid Mandate [i.9].
This is the "Standardization Mandate to European Standardisation Organisations (ESOs) to support European Smart Grid
deployment". The objective of this mandate was/is to develop or update a set of consistent standards within a common
European framework that integrates a variety of digital computing and communication technologies and electrical
architectures, and associated processes and services that will achieve interoperability and will enable or facilitate the
implementation in Europe of the different high level Smart Grid services. It should be noted that two of the high-level
services the Smart Grids Task Force defined are "enhancing efficiency in day-to-day grid operation" and "ensuring network
security, system control and quality of supply". It should also be noted that there are options for the existing 12,5 and
25 kHz narrow band grid systems to use higher data rate systems, e.g. 64 kbit/s in 25 kHz. This will enable any higher data
rate Smart Grid systems the option to continue to use 12,5 and 25 kHz narrow bandwidth channels rather than having to
move unnecessarily to, say, 150 kHz wideband systems or MHz broadband systems.
The need for reliable, secure, and resilient network operation is an over-riding influence on the choice of technologies or
service provision model in some instances. The increasing number of attacks on utility monitoring and control systems
makes it increasingly important for Utility Operations systems to be protected against intrusion. Fortunately, Utility
Operations have circa 55 years of experience in designing, installing, operating, and maintaining resilient machine to
machine (RM2M) systems. During this time, experience has proven that a simple solution to potential external attacks is to
ensure that there is an "air gap" between critical utility control networks and the public networks to guarantee secure and
reliable operation of the former.
The present document highlights which types of self-managed Resilient Machine to Machine (RM2M) system technologies
and self-managed Machine to Machine (M2M) system technologies are currently being used for Utility Operations, and
their spectrum requirements.
It is important to note that utility communications systems are typically incorporated for safety, security, system monitoring
& control and not for economic gain. Ownership, or self-licensing, is seen as a cost effective method of accessing
spectrum. It also ensures that the systems will work exactly as they are designed/intended to rather than risking using
adapted generic systems that rely on a supplier meeting key performance indicators (KPI) even during extreme conditions,
e.g. coverage during storms to remote rural locations with major power outages.
In considering these requirements, it should be noted that future Critical Infrastructure Utility Operations spectrum
requirements are expected to be very limited compared with the spectrum requirements of, for example, broadband public
mobile systems. Indeed, the European Utility Telecom Council (EUTC) spectrum proposal identified a potential
requirement for 6 MHz of licensed 400 MHz UHF and 10 MHz of 1,4 GHz spectrum for Smart Grid utility operations. This
potential requirement may be considered minimal in contrast to the 1 200 MHz of spectrum proposed for public mobile
broadband data in the European Radio Spectrum Policy Programme (RSPP).
It will be seen that in some cases, with the current absence of suitable licensed spectrum, utility operational systems may
need to use alternative wireless solutions, but this does not necessarily indicate their suitability in the long-term.
The present document notes that the European Common Allocation Table shows 450 MHz to 470 MHz is identified for use
by narrow band mobile systems complying with, for example, ETSI EN 300 086 [i.10], ETSI EN 300 113 [i.11], ETSI
EN 301 166 [i.21], and ETSI EN 302 561 [i.13].
NOTE: The UK power utilities use 12,5 kHz narrow band UHF systems that operate within the technical
requirements of ETSI EN 300 113 [i.11] and with no detrimental impact to adjacent 12,5 kHz narrow band
private mobile radio users.)
The present document also notes ITU footnote RR No. 5.286AA [i.14]: "The band 450-470 MHz is identified for use by
administrations wishing to implement International Mobile Telecommunications (IMT). See Resolution 224 (Rev.WRC-07).
This identification does not preclude the use of this band by any application of the services to which it is allocated and does
not establish priority in the Radio Regulations. (WRC-07)".

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7 ETSI TR 103 401 V1.1.1 (2016-11)
1 Scope
The present document considers:
1) systems suitable for Critical Infrastructure Utility Operations Smart Grids;
2) the essential requirements for systems suitable for other Utility Operations radio systems;
3) the long-term spectrum requirements for Utilities.
The present document identifies the functional requirements for existing and future radio systems for critical infrastructure
utility operators, e.g. electricity and gas, and associated implications for spectrum requirements. Requirements for Smart
Cities or Smart Homes are not within the scope of the present document. The present document does not contain any
spectrum requests. It is envisaged that a further Technical Report (TR) will be developed complementing the present
document and providing a formal System Reference Document for CEPT to consider.
2 References
2.1 Normative references
Normative references are not applicable in the present document.
2.2 Informative references
References are either specific (identified by date of publication and/or edition number or version number) or non-specific.
For specific references, only the cited version applies. For non-specific references, the latest version of the referenced
document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication ETSI cannot guarantee
their long term validity.
The following referenced documents are not necessary for the application of the present document but they assist the user
with regard to a particular subject area.
[i.1] "Treaty on the Functioning of the European Union" (Treaty of Rome).
NOTE: Available at http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:12012E/TXT&from=EN.
[i.2] CEN-CENELEC-ETSI Smart Grid Coordination Group: "Smart Grid Reference Architecture".
NOTE: Available at http://ec.europa.eu/energy/sites/ener/files/documents/xpert_group1_reference_architecture.pdf.
[i.3] CPNI: "Telecommunications Resilience Good Practice Guide", Version 4.
NOTE: Available at http://www.cpni.gov.uk/documents/publications/undated_pubs/1001002-
guide_to_telecomms_resilience_v4.pdf
[i.4] EC Energy Strategy.
NOTE: Available at https://ec.europa.eu/energy/en/topics/energy-strategy.
[i.5] Smart Grid Task Force report: "Regulatory Recommendations for the Deployment of Flexiblity".
NOTE: Available at http://ec.europa.eu/energy/sites/ener/files/documents/EG3%20Final%20-
%20January%202015.pdf.
[i.6] Council Directive 2008/114/EC on the identification and designation of European critical
infrastructures and the assessment of the need to improve their protection.
NOTE: Available at http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2008:345:0075:0082:EN:PDF.
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8 ETSI TR 103 401 V1.1.1 (2016-11)
[i.7] European Programme for Critical Infrastructure Protection.
NOTE: Available at http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=URISERV%3Al33260.
[i.8] Council Directive 2008/114/EC on European Critical Infrastructures Annex 1.
NOTE: Available at http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2008:345:0075:0082:EN:PDF.
[i.9] EC M/490 EN Smart Grid Mandate.
NOTE: Available at ftp://ftp.cencenelec.eu/CENELEC/Smartgrid/M490.pdf.
[i.10] ETSI EN 300 086: "Land Mobile Service; Radio equipment with an internal or external RF connector
intended primarily for analogue speech; Harmonised Standard covering the essential requirements of
article 3.2 of the Directive 2014/53/EU".
[i.11] ETSI EN 300 113: "Land Mobile Service; Radio equipment intended for the transmission of data
(and/or speech) using constant or non-constant envelope modulation and having an antenna connector;
Harmonised Standard covering the essential requirements of article 3.2 of the Directive 2014/53/EU".
[i.12] ETSI EN 302 426: "Electromagnetic compatibility and Radio spectrum Matters (ERM); Harmonized
EN for CDMA spread spectrum Repeaters operating in the 450 MHz cellular band (CDMA450) and
the 410 MHz, 450 MHz and 870 MHz PAMR bands (CDMA-PAMR) covering essential requirements
of article 3.2 of the R&TTE Directive".
[i.13] ETSI EN 302 561: "Land Mobile Service; Radio equipment using constant or non-constant envelope
modulation operating in a channel bandwidth of 25 kHz, 50 kHz, 100 kHz or 150 kHz; Harmonised
Standard covering the essential requirements of article 3.2 of the Directive 2014/53/EU".
[i.14] ITU Radio Regulations footnote No. 5.286AA.
[i.15] EUTC position paper: "Spectrum needs for Utilities"
NOTE: Available at http://utc.org/europe/wp-content/uploads/sites/4/2016/04/EUTC-Spectrum-Position-Paper.pdf.
[i.16] IEC 61850: "Power Utility Automation".
[i.17] Ofcom (UK) MPT1411: "Performance Specifications and Frequency Assignment Criteria for Private
Fixed Mobile Equipment for Telemetry and Telecontrol Purposes Operating in the Bands 457.5 to
458.5 MHz and 463.0 to 464.0 MHz". (January 1995).
[i.18] Ofcom (UK) OfW49: "Fixed Point-to-Point and Point-to- Multipoint Scanning Telemetry Radio
Services with Analogue Modulation Operating in the Frequency Ranges 457.5 to 458.5 MHz paired
with 463.0 to 464.0 MHz".
NOTE: Available at http://stakeholders.ofcom.org.uk/binaries/spectrum/spectrum-policy-area/spectrum-
management/research-guidelines-tech-info/tfac/tfac_ofw49.pdf.
[i.19] British Radiocommunications Agency MPT1327: "Trunked Private Mobile Radio Systems".
[i.20] ScottishPower press release 16th February 2012.
NOTE: Available at
http://www.scottishpower.com/news/pages/scottishpower_and_national_grid_award_contracts_to_deliver_m
ajor_electricity_grid_upgrade.asp
[i.21] ETSI EN 301 166: "Radio equipment for analogue and/or digital communication (speech and/or data)
and operating on narrow band channels and having an antenna connector".
[i.22] Telent Study for UK Energy Networks Association (ENA).
[i.23] European Commission Radio Spectrum Policy Group: "RSPG Opinion on the implementation of the
current RSPP and its revision to address the next period".
NOTE: Available at https://circabc.europa.eu/d/a/workspace/SpacesStore/4709f36a-f27b-4850-a19b-
95df0154d5aa/FRSPG16-006final_RSPP_opinion.pdf.
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9 ETSI TR 103 401 V1.1.1 (2016-11)
[i.24] Joint Radio Committee history.
NOTE: Available at http://www.jrc.co.uk/about-us/history.
[i.25] EC M/462 Standardisation mandate addressed to CEN, CENELEC and ETSI in the field of ICT to
enable efficient energy use in fixed and mobile information and communication networks.
[i.26] ETSI TR 103 492: " System Reference document (SRdoc); Critical Infrastructure Utility Operations
requirements for Smart Grid systems, other radio systems, and future radio spectrum access
arrangements below 1,5 GHz".
[i.27] ETSI TS 102 361: "Electromagnetic compatibility and Radio spectrum Matters (ERM); Technical
Requirements for Digital Mobile Radio (DMR)".
[i.28] ETSI TS 102 490: "Intelligent Transport Systems (ITS); Security; ITS communications security
architecture and security management".
[i.29] ETSI TS 102 658: "Electromagnetic compatibility and Radio spectrum Matters (ERM); Digital
Private Mobile Radio (dPMR) using FDMA with a channel spacing of 6,25 kHz".
3 Definitions, symbols and abbreviations
3.1 Definitions
For the purposes of the present document, the following terms and definitions apply:
400 MHz UHF band: spectrum within the range 380 MHz to 470 MHz
best practice resilience: measures that can be taken to guarantee resilience, irrespective of cost [i.3]
broadband: channel widths of 1 300 kHz and greater
good practice resilience: measures which can be taken to provide a degree of resilience commensurate with the Corporate
risk strategy [i.3]
Machine to Machine (M2M) systems: any past, existing, or future wireless, wired, fibre, or combination of technologies
that enable connected devices to exchange information and perform actions typically without the manual assistance of
humans
narrow band: channel widths of 6,25 kHz, 12,5 kHz and 25 kHz
Resilient Machine to Machine (RM2M) systems: any suitably enhanced/hardened past, existing, or future wireless,
wired, fibre, or combination of technologies that enable connected devices to exchange information and perform actions
typically without the manual assistance of humans
upload centric: remote communication point that primarily transmits data to a central point rather than primarily receives
data from a central point
NOTE: This is opposite to a typical public mobile system.
wide band: 50 kHz to 14 300 kHz channel widths
3.2 Symbols
For the purposes of the present document, the following symbols apply:
dBi dB gain with respect to an isotropic radiator
dBW dB gain with respect to one watt
kHz Kilo Hertz
MHz Mega Hertz
 Receiver noise power density typical
NRX
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10 ETSI TR 103 401 V1.1.1 (2016-11)
3.3 Abbreviations
For the purposes of the present document, th
...