IEC TS 62872:2015

IEC TS 62872 ®
Edition 1.0 2015-12
TECHNICAL
SPECIFICATION
colour
inside
Industrial-process measurement, control and automation system interface
between industrial facilities and the smart grid

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IEC TS 62872 ®
Edition 1.0 2015-12
TECHNICAL
SPECIFICATION
colour
inside
Industrial-process measurement, control and automation system interface

between industrial facilities and the smart grid

INTERNATIONAL
ELECTROTECHNICAL
COMMISSION
ICS 25.040.40; 29.240.99; 35.100.05 ISBN 978-2-8322-3044-2

– 2 – IEC TS 62872:2015 © IEC 2015

CONTENTS
FOREWORD . 5

INTRODUCTION . 7

1 Scope . 8

2 Normative references . 8

3 Terms and definitions . 9

3.1 General . 9

3.2 Models in automation . 10
3.3 Models in energy management system and smart grid . 11
4 Abbreviations . 13
5 Requirements . 14
5.1 General . 14
5.2 Architecture requirements . 15
5.2.1 General . 15
5.2.2 Energy management in industrial facilities . 17
5.3 System interface model between facility and smart grid . 20
5.4 Security requirements . 21
5.5 Safety requirements . 22
5.6 Communication requirements . 22
5.6.1 General . 22
5.6.2 Use of common communications technology . 22
5.6.3 Communication security requirements . 22
5.6.4 Network availability . 22
5.6.5 Time synchronization . 23
5.7 Audit logging requirements . 23
5.8 Information requirements . 23
5.8.1 General . 23
5.8.2 Information attributes . 23
Annex A (informative) User stories and use cases . 30
A.1 General . 30
A.2 User stories . 30
A.3 Use cases . 32
A.3.1 Use case analysis . 32

A.3.2 Actor names and roles . 33
A.3.3 Use case descriptions . 34
Annex B (informative) An application example of demand response energy
management model . 47
B.1 General . 47
B.2 Main architecture . 47
B.3 Structure of a task . 48
B.4 Approaches of energy management . 48
B.4.1 General . 48
B.4.2 Approach 1 . 49
B.4.3 Approach 2 . 49
B.5 Mapping industrial demand response energy management model to use
cases . 49
Annex C (normative) Security services . 51

Annex D (informative) Solutions for information requirement . 52

D.1 General . 52

D.2 Existing standards . 52

D.3 Analysis for each use case . 53

D.3.1 General . 53

D.3.2 Analysis of "OpenADR2.0b" . 53

D.3.3 Analysis of "OASIS Energy Interoperation 1.0" . 56

D.3.4 Analysis of "NAESB Energy Services Provider Interface (ESPI)". 57

D.3.5 Analysis of "ISO/WD 17800 Facility Smart Grid Information Model”

(FSGIM) . 59

D.3.6 Analysis of "SEP 2.0 (IEEE P2030.5)" . 61
Bibliography . 62

Figure 1 – Overview of interface between FEMS and smart grid . 15
Figure 2 – Example facility electric power distribution . 16
Figure 3 – Facility enterprise and control systems . 17
Figure 4 – Model elements . 18
Figure 5 – Model architecture: (a) main architecture, (b) task structure . 19
Figure 6 – Network architecture model . 21
Figure A.1 – Generic communication diagram between the smart grid and the FEMS . 33
Figure A.2 – Sequence diagram for FG-100 . 36
Figure A.3 – Sequence diagram for FG-200 . 38
Figure A.4 – Sequence diagram for FG-300 . 40
Figure A.5 – Sequence diagram for FG-400 . 42
Figure A.6 – Sequence diagram for FG-500 . 43
Figure A.7 – Sequence diagram for FG-600 . 44
Figure A.8 – Sequence diagram for FG-700 . 46
Figure B.1 – An application example of demand response energy management model . 47
Figure B.2 – Structure of water cooling task . 48
Figure D.1 – Interaction to register report . 54
Figure D.2 – Interaction to request report. 54
Figure D.3 – Simple setup exchange . 55

Table 1 – Required information . 24
Table A.1 – Facility user stories: facility manager view points . 31
Table A.2 – Utility user stories: utility operator view points . 31
Table A.3 – Dependency between user stories and use cases . 32
Table A.4 – Actors and roles . 34
Table A.5 – Exchanged information in FG-100 . 37
Table A.6 – Exchanged information in FG-200 . 39
Table A.7 – Exchanged information in FG-300 . 41
Table A.8 – Exchanged information in FG-400 . 42
Table A.9 – Exchanged information in FG-500 . 43
Table A.10 – Exchanged information in FG-600 . 45

– 4 – IEC TS 62872:2015 © IEC 2015

Table A.11 – Exchanged information in FG-700 . 46

Table D.1 – Overview of existing standard applicability . 52

Table D.2 – "ADR2.0b" applicability . 53

Table D.3 – "OASIS Energy Interoperation 1.0" applicability . 56

Table D.4 – "NAESB Energy Services Provider Interface (ESPI)" applicability . 58

Table D.5 – "ISO/WD 17800 Facility Smart Grid Information Model" applicability . 60

Table D.6 – "SEP 2.0 (IEEE P2030.5)" Applicability . 61

INTERNATIONAL ELECTROTECHNICAL COMMISSION

____________
INDUSTRIAL-PROCESS MEASUREMENT,

CONTROL AND AUTOMATION SYSTEM INTERFACE

BETWEEN INDUSTRIAL FACILITIES AND THE SMART GRID

FOREWORD
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future but no immediate possibility of an agreement on an International Standard.
Technical specifications are subject to review within three years of publication to decide
whether they can be transformed into International Standards.
IEC TS 62872, which is a technical specification, has been prepared by IEC technical
committee 65: Industrial-process measurement, control and automation.

– 6 – IEC TS 62872:2015 © IEC 2015

The text of this technical specification is based on the following documents:

Enquiry draft Report on voting

65/590/DTS 65/598/RVC
Full information on the voting for the approval of this technical specification can be found in

the report on voting indicated in the above table.

This publication has been drafted in accordance with the ISO/IEC Directives, Part 2.

A review of this Technical Specification will be carried out not later than 3 years after its
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Standard; or withdrawal.”
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related to the specific publication. At this date, the publication will be
• transformed into an International standard,
• reconfirmed,
• withdrawn,
• replaced by a revised edition, or
• amended.
A bilingual version of this publication may be issued at a later date.

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INTRODUCTION
The World Energy Outlook 2013 [13] reported that industry consumed over 40 % of world

electricity generation in 2011. Furthermore, industry itself is a significant generator of internal

power, with many facilities increasingly implementing their own generation, co-generation and

energy storage resources. As a major energy consumer, the ability of some industries to

schedule their consumption can be used to minimize peak demands on the electrical grid. As

an energy supplier, industries with in-house generation or storage resources can also assist

in grid load management. While some larger industrial facilities already manage their use and

supply of electric power, more widespread deployment, especially by smaller facilities, will

depend upon the availability of a readily available standard interface between industrial

automation equipment and the “smart grid”.
NOTE In this document “smart grid” is used to refer to the external-to-industry entity with which industry interacts
for the purpose of energy management. In other documents this term may be used to refer to all of the elements,
including internal industrial energy elements, which work together to optimize energy generation and use.
Standards are already being developed for home and building automation interfaces to the
grid; however the requirements for industrial facilities differ significantly and are addressed in
this Technical Specification. Specifically excluded from the scope of this Technical
Specification are the protocols needed for the direct control of energy resources within a
facility where the control and ultimate liability for such control is delegated by the industrial
facility to the external entity.

—————————
Numbers in square brackets refer to the bibliography.

– 8 – IEC TS 62872:2015 © IEC 2015

INDUSTRIAL-PROCESS MEASUREMENT,

CONTROL AND AUTOMATION SYSTEM INTERFACE

BETWEEN INDUSTRIAL FACILITIES AND THE SMART GRID

1 Scope
This Technical Specification defines the interface, in terms of information flow, between

industrial facilities and the “smart grid”. It identifies, profiles and extends where required, the
standards needed to allow the exchange of the information needed to support the planning,
management and control of electric energy flow between the industrial facility and the smart
grid.
Industry is a major consumer of electric power and in many cases this consumption can be
scheduled to assist in minimizing overall peak demands on the smart grid. In addition, many
industrial facilities have in-house generation or storage resources which can also assist in
smart grid load management. While some larger industrial facilities already manage their use
and supply of electric power, more widespread deployment, especially by smaller facilities,
will depend upon the availability of readily available standard automated interfaces.
Standards are already being developed for home and building automation interfaces to the
smart grid; however the requirements of industry differ significantly and are addressed in this
Technical Specification. For industry, the operation of energy resources within the facility will
remain the responsibility of the facility operator. Incorrect operation of a resource could
impact the safety of personnel, the facility, the environment or lead to production failure and
equipment damage. In addition, larger facilities may have in-house production planning
capabilities which might be co-ordinated with smart grid planning, to allow longer term energy
planning.
Specifically excluded from the scope of this Technical Specification are the protocols needed
for the direct control of energy resources within a facility where the control and ultimate
liability for such direct control is delegated by the industrial facility to an external entity (e.g.
distributed energy resource (DER) control by the electrical grid operator).
2 Normative references
The following documents, in whole or in part, are normatively referenced in this document and
are indispensable for its application. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any

amendments) applies.
IEC 62264-1, Enterprise-control system integration - Part 1: Models and terminology
IEC 62264-3, Enterprise-control system integration - Part 3: Activity models of manufacturing
operations management
IEC TS 62443-1-1, Industrial communication networks - Network and system security - Part 1-
1: Terminology, concepts and models
IEC 62443-2-1, Industrial communication networks - Network and system security - Part 2-1:
Establishing an industrial automation and control system security program
IEC TR 62443-3-1, Industrial communication networks - Network and system security - Part 3-
1: Security technologies for industrial automation and control systems

IEC 62443-3-3, Industrial communication networks - Network and system security - Part 3-3:

System security requirements and security levels

3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.

3.1 General
3.1.1
profile
set of one or more base standards and/or other profiles and, where applicable, the
identification of chosen classes, conforming subsets, options and parameters of those base
standards, or profiles necessary to accomplish a particular function
[SOURCE: IEC/ISO TR 10000-1:1998, 3.1.4, modified – reference to international standard
profiles has been removed]
3.1.2
level
group of functions categorized with the functional hierarchy model of production systems
defined in IEC 62264-1
Note 1 to entry: The highest level, Level 4, typically includes enterprise resource planning and similar functions,
while the lowest level, Level 0, represents the physical industrial process itself.
3.1.3
level 4
functions involved in the business-related activities needed to manage a manufacturing
organization
[SOURCE: IEC 62264-1:2013, 3.1.16]
3.1.4
level 3
functions involved in managing the work flows to produce the desired end-products
[SOURCE: IEC 62264-1:2013, 3.1.17]
3.1.5
level 2
functions involved in monitoring and controlling of the physical process
[SOURCE: IEC 62264-1:2013, 3.1.17]
3.1.6
level 1
functions involved in sensing and manipulating the physical process
[SOURCE: IEC 62264-1:2013, 3.1.18]
3.1.7
level 0
actual physical process
[SOURCE: IEC 62264-1:2013, 3.1.19]

– 10 – IEC TS 62872:2015 © IEC 2015

3.1.8
enterprise
one or more organizations sharing a definite mission, goals and objectives which provides an

output such as a product or service

[SOURCE: IEC 62264-1:2013, 3.1.10]

3.1.9
area
physical, geographical or logical grouping of resources determined by the site

[SOURCE: IEC 62264-1:2013, 3.1.2]
3.1.10
site
identified physical, geographical, and/or logical component grouping of a manufacturing
enterprise
[SOURCE: IEC 62264-1:2013, 3.1.39]
3.1.11
facility
industrial facility
manufacturing facility
site, or area within a site, that includes the resources within the site or area and includes the
activities associated with the use of the resources
[SOURCE: IEC 62264-1:2013, 3.1.20]
3.2 Models in automation
3.2.1
asset
physical or logical object owned by or under the custodial duties of an organization, having
either a perceived or actual value to the organization
Note 1 to entry: In the case of industrial automation and control systems the physical assets that have the largest
directly measurable value may be the equipment under control.
[SOURCE: IEC TS 62443-1-1:2009, 3.2.6]
3.2.2
automation asset
asset with a defined automation role in a manufacturing or process plant
Note 1 to entry: It would include structural, mechanical, electrical, electronics and software elements (e.g.
controllers, switches, network, drives, motors, pumps). These elements cover components, devices but not the
plant itself (machine, systems). It would not include human resources, process materials (e.g. raw, in-process,
finished), or financial assets.
3.2.3
process
set of interrelated or interacting activities that transforms input to output
[SOURCE: ISO 14040:2006, 3.11]
3.2.4
product
result of labour or of a natural or industrial process

Note 1 to entry: This term is defined by "any goods or service" in IEC 62430 and ISO 20140-1:2013. The

European Commission adopts a similar understanding in the directive "Ecodesign requirements for energy-related
products". In the context of this Technical Specification, the term "product" does not cover the automation assets

but only the output of the manufacturing or process plant.

[SOURCE: IEC TR 62837:2013, 3.7.7]

3.3 Models in energy management system and smart grid

3.3.1
smart grid
utility grid
electric power system that utilizes information exchange and control technologies, distributed

computing and associated sensors and actuators, for purposes such as to integrate the
behaviour and actions of the network users and other stakeholders, and to efficiently deliver
sustainable, economic and secure electricity supplies
Note 1 to entry: In this Technical Specification, smart grid is the counterpart system to which FEMS is connected.
[SOURCE: IEC 60050-617:2009, 617-04-13, modified by adding Note 1 to entry]
3.3.2
smart meter
SM
embedded-computer-based energy meter with a communication link
Note 1 to entry: In this Technical Specification smart meters are used to measure both the consumption and
supply of energy by the facility. They may also be deployed within the facility to measure internal energy flows.
3.3.3
utility smart meter
USM
smart meter deployed by the utility company to measure energy consumption and supply by
the facility
Note 1 to entry: This meter typically forms part of the advanced metering infrastructure of smart grid.
3.3.4
facility smart meter
FSM
smart meter deployed and used by the facility to measure energy flows
Note 1 to entry: This meter will normally communicate with the FEMS.
3.3.5
distributed energy resource
DER
energy resource, often of a smaller size, operated by the utility to augment the local supply of
energy
Note 1 to entry: In this Technical Specification, DER, in contrast to FER, is used to refer to resources under the
direct control of the utility. Such resources may include generation and/or storage capabilities.
3.3.6
facility energy resource
FER
energy resource, operated by the facility, which is used to supply energy to the facility and
which may also be used to provide energy to the grid
Note 1 to entry: This terminology, rather than distributed energy resource (DER) terminology, is used to
emphasize that the FER is operated by the facility and not under the direct control of the utility. Such resources
may include generation and/or storage capabilities.

– 12 – IEC TS 62872:2015 © IEC 2015

3.3.7
demand response
DR
mechanism to manage customer load demand in response to supply conditions, such as

prices or availability signals

3.3.8
facility energy management system

FEMS
system providing the functionality needed for the effective and efficient operation of energy
generation, storage and consumption within the industrial facility, and which provides the

necessary information interface with the smart grid

[SOURCE: IEC TS 61968-2, 2.101:2011, modified – factory is replaced by facility in the term
and in the definition “computer” is removed and “to the electrical grid” is replaced by “with the
smart grid”]
3.3.9
utility gateway
UG
function within FEMS responsible for the connection with the smart grid
Note 1 to entry: It is a function within FEMS.
3.3.10
energy generation system
EGS
energy resource capable of creating electric energy from other sources of energy or process
wastes
EXAMPLE combined heat and power systems, photo-voltaic cells, wind power generators.
3.3.11
energy storage system
ESS
energy resource capable of storing energy for later use
EXAMPLE batteries, flywheels, pumped hydro storage, electrical vehicles, fuel cells.
3.3.12
facility power line
network, which distributes energy to individual industrial equipment within a facility

3.3.13
schedulable processing task
task for which energy demand can be scheduled among multiple operating modes, where
each mode has a different production rate and energy demand, such as heating, cooling,
packaging, etc.
3.3.14
non-schedulable processing task
task for which energy demand must be satisfied immediately, such as rolling in steel
manufacturing, assembling in automobile industry, etc.
3.3.15
monitor and control agent
MCA
agent that monitors and controls processing operations of a task

3.3.16
energy management agent
EMA
agent that monitors the energy consumption and controls the electric load of a task

3.3.17
power source switch
switch which selects the energy source of a task

3.3.18
non-shiftable equipment
NSE
equipment whose operation cannot be re-scheduled
3.3.19
controllable equipment
CE
equipment whose energy demand can be controlled among multiple operating levels, each of
which has a different energy demand
3.3.20
shiftable equipment
SE
equipment that can be operated at an earlier or later time
3.3.21
production planner
personnel who develops, monitors and modifies the production plan based on facility
requirements and the availability of inputs
Note 1 to entry: Example of inputs are equipment, labour, raw materials and energy.
3.3.22
operation manager
personnel who monitors facility operations responding to emerging changes related to shifting
energy supplies, material disruptions, and equipment breakdowns
3.3.23
firewall
inter-network connection device that restricts data communication traffic between two
connected networks
4 Abbreviations
APO Advanced Planning and Optimization
CE Controllable Equipment
CHP Combined Heat and Power (co-generation) Equipment
CMM Computerized Maintenance Management
DCS Distributed Control System
DER Distributed Electric Resource
DR Demand Response
EGS Energy Generation System
EMA Energy Management Agent
EMS Energy Management System
ERP Enterprise Resource Planning

– 14 – IEC TS 62872:2015 © IEC 2015

ESS Energy Storage System
FEMS Facility Energy Management System

FER Facility Electric Resource

FG Facility-Grid (Use Case)
FSM Facility Smart Meter
FUS Facility User Story
GW Utility Gateway
HMI Human Machine Interface
I/O Input Output
ICT Information and Communications Technology
LAN Local Area Network
LIMS Laboratory Information Management System
MCA Monitor and Control Agent
MES Manufacturing Execution System
NSE Non-shiftable Equipment
NST Non-schedulable Processing Task
PLC Programmable Logic Controller
PV Photo Voltaic
SCADA Supervisory Control and Data Acquisition
SE Shiftable Equipment
SG Smart Grid
ST Schedulable Processing Task
USM Utility Smart Meter
UUS Utility User Story
VEN Virtual End Node
VTN Virtual Top Node
WAN Wide Area Network
WMS Warehouse Management System
5 Requirements
5.1 General
As discussed in the Introduction, the efficient and safe management of energy consumption
by industry, and energy supply by industry, can result in reduced peak smart grid loads and
the ability to better use intermittent and less predictable energy sources such as wind and
solar sources. It will also permit the smart grid and industry to co-operate to better address
occasional and emergency energy shortages. To manage this flow of energy, a
communications interface is required, as represented in Figure 1.
While industry is well placed to contribute in this way, such contributions need to take into
account the priorities of industrial production. Typical industrial facilities operate according to
production schedules, which once started can often not be suspended in the short term.

IEC
Red line: Electicity line, Blue line: Informational line
Figure 1 – Overview of interface between FEMS and smart grid
Power interruptions can impair safe facility operation or impact production quality. In most
cases, all facility equipment is under the direct control of the facility control systems and is
operated to meet the requirements of production, and these internal operations are at all
times the responsibility of the facility operator. This represents a significant difference from
building and home automation. Any direct control of internal facility equipment by external
entities can raise potential facility safety, production quality, and facility liability concerns.
Incorrect operation of a resource could impact the safety of personnel, the facility, the
environment or lead to production failure and equipment damage.
The interface shall be designed to provide adequate confidence that cooperation with the
smart grid cannot compromise the safety and security of the facility.
Although less common, some industrial facilities may, as a matter of policy or practice,
delegate the control of internal energy resources to the smart grid operator or an intermediary

such as an external energy broker. Such arrangements might occur for blocks of time when
production at the facility is not required, or in cases where production can follow externally
defined schedules. Traditionally the smart grid has considered such directly controlled energy
resources as “distributed energy resources” (DER) and protocols to implement such direct
control have been, and are being, developed within the IEC.
5.2 Architecture requirements
5.2.1 General
Figure 2 provides a physical view of how an industrial facility might make its electric power
connection to the smart grid. In this example, two electrical connections are made to the
smart grid to increase the reliability of power delivery. Internally, the facility might contain a
range of electrical consuming, generation and storage equipment. Interconnection and
synchronizing equipment is used to route and coordinate electric power flows internally within
the facility, and between the facility and the smart grid. In many cases there may additionally
be thermal energy transfers between the equipment and the industrial process, for example
using combined heat and power (CHP) equipment.

– 16 – IEC TS 62872:2015 © IEC 2015

Electric utility Electric utility

Feeder west Feeder east
Utility smart meter Utility smart meter

Facility smart meter Facility smart meter

Low-voltage
distribution
Storage Generation Motors and loads
Industrial process
Thermal energy
to/from process
Factory utility Factory production Buildings and offices
Transformer Fused-disconnector Power converter Interlocked
disconnector
Generator/motor/load
Meter Circuit-breaker
control
IEC
Figure 2 – Example facility electric power distribution
A typical facility will deploy various metering and control devices to manage the electric and
thermal energy flows within the facility. Figure 2 depicts two smart meters at each of the
facility’s incoming feeders permitting independent metering by the smart grid and the facility.
Internally, various meters might be deployed to allow the facility to manage and account for its

own internal energy use. For example, the “factory utility” might operate as its own cost centre.
Control devices will be deployed to manage storage, generation, and motors and loads, as
well as to manage power synchronization and the interconnection of the equipment. These
meters and control devices will form part of the facility enterprise and control systems
described below.
Figure 3 presents a view of the facility enterprise and control systems aligned to the
IEC/ISO 62264 standard. The operation of all resources within the facility will be under the
control of the facility manager and facility automation. Resources will include generation and
storage as well as capabilities to manage production planning. At the top of the figure,
enterprise planning and logistics elements are used by facility management to manage
production planning. For example, the facility may have options to schedule production -shifts
with particular energy consumption or production (e.g. from cogeneration) profiles. Elements
at lower levels of the hierarchy are used to implement production plans in real time and to
ensure safe operation. For example, some processes, once started, cannot be stopped
without impacting product quality or facility safety.

IEC
Figure 3 – Facility enterprise and control systems
The operation of the facility, and all liability issues related to such operation, will normally
remain the responsibility of the facility manager and associated facility automation. The smart
grid will need to be isolated from such control and facility operation liability.
NOTE Not shown in these figures is a potential arrangement whereby the external smart grid operator takes
responsibility for the operation of internal facility generation or storage equipment. Such arrangements are out of
scope of this Technical Specification. The interface standards needed to support such arrangements may be
covered elsewhere.
Thus the utility gateway shall isolate the facility from the smart grid and direct control of
facility equipment, while at the same time exposing sufficient characteristics of the facility,
and production sequence options, to allow the effective planning and transfer of energy

between the smart grid and the facility.
5.2.2 Energy management in industrial facilities
5.2.2.1 General
Energy management in industrial facilities differ significantly from that typically found in home
and building environments. Industrial facilities often have far larger energy consumption,
generation and/or storage capacities. They often include sophisticated energy planning and
operating capabilities to ensure cost effectiveness, availability, compliance to regulations and
safe operation of the equipment.
Clause A.1 discusses these characteristics in more detail, however in summary:
• Many facilities have significant energy demands and the ability to reschedule (“shift”) this
demand to avoid times of peak demand in the smart grid.

– 18 – IEC TS 62872:2015 © IEC 2015

• Many facilities have significant energy generation and/or storage resources associated

with their industrial processes, and the potential ability to supply energy to the smart grid.

• Work centers (e.g. process cell, production uni
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