Smart Grid The New and Improved Power Grid A Survey

944 IEEE COMMUNICATIONS SURVEYS & TUTORIALS, VOL. 14, NO.
4, FOURTH QUARTER 2012
Smart Grid – The New and Improved Power Grid:

A Survey
Xi Fang, Student Member, IEEE, Satyajayant Misra, Member, IEEE, Guoliang Xue, Fellow, IEEE, and
Dejun Yang, Student Member, IEEE
TABLE I
Abstract—The Smart Grid, regarded as the next generation A B RIEF C OMPARISON BETWEEN THE E XISTING G RID AND THE S MART
power grid, uses two-way flows of electricity and information G RID [70]
to create a widely distributed automated energy delivery net-
work. In this article, we survey the literature till 2011 on the
enabling technologies for the Smart Grid. We explore three Existing Grid Smart Grid
major systems, namely the smart infrastructure system, the Electromechanical Digital
smart management system, and the smart protection system. One-way communication Two-way communication
We also propose possible future directions in each system. Centralized generation Distributed generation
Specifically, for the smart infrastructure system, we explore the Few sensors Sensors throughout
Manual monitoring Self-monitoring
smart energy subsystem, the smart information subsystem, and
Manual restoration Self-healing
the smart communication subsystem. For the smart manage- Failures and blackouts Adaptive and islanding
ment system, we explore various management objectives, such Limited control Pervasive control
as improving energy efficiency, profiling demand, maximizing Few customer choices Many customer choices
utility, reducing cost, and controlling emission. We also explore
various management methods to achieve these objectives. For the
smart protection system, we explore various failure protection
mechanisms which improve the reliability of the Smart Grid, instance, once a medium voltage transformer failure event
and explore the security and privacy issues in the Smart Grid. occurs in the distribution grid, the SG may automatically
Index Terms—Smart grid, power grid, survey, energy, informa- change the power flow and recover the power delivery service.
tion, communications, management, protection, security, privacy. Let us consider another example of demand profile shaping.
Since lowering peak demand and smoothing demand profile
reduces overall plant and capital cost requirements, in the
I. I NTRODUCTION peak period the electric utility can use real-time pricing to
convince some users to reduce their power demands, so that
RADITIONALLY, the term grid is used for an electricity
T system that may support all or some of the following
four operations: electricity generation, electricity transmission,
the total demand profile full of peaks can be shaped to a nicely
smoothed demand profile.
More specifically, the SG can be regarded as an electric
electricity distribution, and electricity control.
system that uses information, two-way, cyber-secure commu-
A smart grid (SG), also called smart electrical/power grid,
nication technologies, and computational intelligence in an
intelligent grid, intelligrid, futuregrid, intergrid, or intragrid, is
integrated fashion across electricity generation, transmission,
an enhancement of the 20th century power grid. The traditional
substations, distribution and consumption to achieve a system
power grids are generally used to carry power from a few
that is clean, safe, secure, reliable, resilient, efficient, and
central generators to a large number of users or customers.
sustainable. This description covers the entire spectrum of the
In contrast, the SG uses two-way flows of electricity and
energy system from the generation to the end points of con-
information to create an automated and distributed advanced
sumption of the electricity [80]. The ultimate SG is a vision.
energy delivery network. Table I gives a brief comparison
It is a loose integration of complementary components, sub-
between the existing grid and the SG.
systems, functions, and services under the pervasive control
By utilizing modern information technologies, the SG is of highly intelligent management-and-control systems. Given
capable of delivering power in more efficient ways and
the vast landscape of the SG research, different researchers
responding to wide ranging conditions and events. Broadly may express different visions for the SG due to different
stated, the SG could respond to events that occur anywhere in focuses and perspectives. In keeping with this format, in this
the grid, such as power generation, transmission, distribution,
survey, we explore three major systems in SG from a technical
and consumption, and adopt the corresponding strategies. For perspective:
Manuscript received 27 May 2011; revised 25 September 2011. This • Smart infrastructure system: The smart infrastructure
research was supported in part by ARO grant W911NF-09-1-0467 and NSF system is the energy, information, and communication
grant 0905603. The information reported here does not reflect the position or
the policy of the federal government. infrastructure underlying of the SG that supports 1) ad-
X. Fang, G. Xue, and D. Yang are affiliated with Arizona State University, vanced electricity generation, delivery, and consumption;
Tempe, AZ 85281 (e-mail: {xi.fang, xue, dejun.yang}@asu.edu). 2) advanced information metering, monitoring, and man-
S. Misra is affiliated with New Mexico State University, Las Cruces, NM
88003 (e-mail: misra@cs.nmsu.edu). agement; and 3) advanced communication technologies.
Digital Object Identifier 10.1109/SURV.2011.101911.00087 • Smart management system: The smart management sys-
1553-877X/12/$31.00 © 2012 IEEE
Authorized licensed use limited to: National Inst of Training & Indust Eng - Mumbai. Downloaded on May 01,2023 at 11:12:27 UTC from IEEE Xplore. Restrictions apply.
FANG et al.: SMART GRID – THE NEW AND IMPROVED POWER GRID: A SURVEY 945
tem is the subsystem in SG that provides advanced structing self-healing reliable grid protection against mali-
management and control services. cious sabotage and natural disasters [204]. However, new
• Smart protection system: The smart protection system requirements and demands drove the electricity industries,
is the subsystem in SG that provides advanced grid research organizations, and governments to rethink and ex-
reliability analysis, failure protection, and security and pand the initially perceived scope of SG. The U.S. Energy
privacy protection services. Independence and Security Act of 2007 directed the National
Other surveys on SG were done in [3], [17], [29], [41], [42], Institute of Standards and Technology (NIST) to coordinate
[90], [97], [211], [247], [251], [254], [267]. Chen et al. [41], the research and development of a framework to achieve
Yu et al. [267], and Hassan and Radman [97] briefly reviewed interoperability of SG systems and devices. Although a precise
the basic concepts of SG and some technologies that could be and comprehensive definition of SG has not been proposed
used in SG. The authors of [211], [247] reviewed the existing yet, according to the report from NIST [177], the anticipated
SG standardizations and gave concrete recommendations for benefits and requirements of SG are the following:
future SG standards. Vasconcelos [251] outlined the potential 1) Improving power reliability and quality;
benefits of smart meters, and provided a short overview of 2) Optimizing facility utilization and averting construction
the legal framework governing metering activities and policies of back-up (peak load) power plants;
in Europe. Brown and Suryanarayanan [29] determined an 3) Enhancing capacity and efficiency of existing electric
industry perspective for the smart distribution system and power networks;
identified those technologies that could be applied in the 4) Improving resilience to disruption;
future research in the smart distribution system. Baumeister 5) Enabling predictive maintenance and self-healing re-
[17] presented a review of the works related to SG cyber sponses to system disturbances;
security. Chen [42] explored the security and privacy issues in 6) Facilitating expanded deployment of renewable energy
SG and related these issues to cyber security in the Internet. sources;
Gungor and Lambert [90] explored communication networks 7) Accommodating distributed power sources;
for electric system automation and attempted to provide a 8) Automating maintenance and operation;
better understanding of the hybrid network architecture that 9) Reducing greenhouse gas emissions by enabling electric
can provide heterogeneous electric system automation appli- vehicles and new power sources;
cation requirements. Akyol et al. [3] analyzed how, where, 10) Reducing oil consumption by reducing the need for
and what types of wireless communications are suitable for inefficient generation during peak usage periods;
deployment in the electric power system. Wang et al. [254] 11) Presenting opportunities to improve grid security;
provided a survey on the communication architectures in the 12) Enabling transition to plug-in electric vehicles and new
power systems, including the communication network com- energy storage options;
positions, technologies, functions, requirements, and research 13) Increasing consumer choice;
challenges. They also discussed the network implementation 14) Enabling new products, services, and markets.
considerations and challenges in the power system settings. In order to realize this new grid paradigm, NIST provided a
Our survey complements these existing surveys in that conceptual model (as shown in Fig. 1), which can be used as
we: 1) comprehensively survey the literature till 2011, and a reference for the various parts of the electric system where
systematically classify the works for the smart infrastructure SG standardization works are taking place. This conceptual
system (energy, information, and communications), the smart model divides the SG into seven domains. Each domain en-
management system, and the smart protection system; and 2) compasses one or more SG actors, including devices, systems,
outline challenges and future research directions for each of or programs that make decisions and exchange information
these three major systems. The novelty of this survey is in the necessary for performing applications. The brief descriptions
classification, volume of information provided, and outlining of the domains and actors are given in Table II. Refer to
of future research in these three major systems. the appendix of the NIST report [177] for more detailed
This survey is structured as follows. In Section II, we descriptions. Note that NIST proposed this model from the
present an overview of SG. In Section III, we review the perspectives of the different roles involved in the SG.
legislations, the standards, the projects, the programs, and In contrast, our survey, which looks at SG from a technical
the trials of SG. We then describe three subsystems of the view point, divides SG into three major systems: smart infras-
smart infrastructure system in Sections IV-VI, respectively. tructure, smart management and smart protection systems.
We next describe the smart management system and the smart
protection system in Sections VII and VIII, respectively. In
Section IX, we conclude this survey and present some lessons 1) Smart infrastructure system: The smart infrastructure
learned. In addition, refers to Appendix A for the abbreviations system is the energy, information, and communication
used in this survey. infrastructure underlying the SG. It supports two-way
flow of electricity and information. Note that it is
straightforward to understand the concept of “two-way
II. W HAT IS S MART G RID ? flow of information.” “Two-way flow of electricity”
The initial concept of SG started with the idea of advanced implies that the electric energy delivery is not unidirec-
metering infrastructure (AMI) with the aim of improving tional anymore. For example, in the traditional power
demand-side management and energy efficiency, and con- grid, the electricity is generated by the generation plant,
946 IEEE COMMUNICATIONS SURVEYS & TUTORIALS, VOL. 14, NO. 4, FOURTH QUARTER 2012
TABLE II
D OMAINS AND A CTORS IN THE NIST SG C ONCEPTUAL M ODEL [177]
Domain Actors in the Domain

Customers The end users of electricity. May also generate, store,
and manage the use of energy.
Markets The operators and participants in electricity markets.
Service Providers The organizations providing services to electrical
customers and utilities.
Operations The managers of the movement of electricity.
Bulk Generation The generators of electricity in bulk quantities. May
also store 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.
frastructure, the grid will keep becoming “smarter.” The

smart management system takes advantage of the smart
Fig. 1. The NIST Conceptual Model for SG [177] infrastructure to pursue various advanced management
objectives. Thus far, most of such objectives are related
to energy efficiency improvement, supply and demand
then moved by the transmission grid, the distribution
balance, emission control, operation cost reduction, and
grid, and finally delivered to users. In an SG, electricity
utility maximization.
can also be put back into the grid by users. For example,
3) Smart protection system: The smart protection system
users may be able to generate electricity using solar
is the subsystem in SG that provides advanced grid
panels at homes and put it back into the grid, or electric
reliability analysis, failure protection, and security and
vehicles may provide power to help balance loads by
privacy protection services. By taking advantage of the
“peak shaving” (sending power back to the grid when smart infrastructure, the SG must not only realize a
demand is high). This backward flow is important. For
smarter management system, but also provide a smarter
example, it can be extremely helpful in a microgrid
protection system which can more effectively and effi-
(described in Section IV-D) that has been ‘islanded’ due
ciently support failure protection mechanisms, address
to power failures. The microgrid can function, albeit at
cyber security issues, and preserve privacy.
a reduced level, with the help of the energy fed back
by the customers. In this survey, we further divide this Fig. 2 shows the detailed classification of these three
smart infrastructure into three subsystems: the smart major systems. In this paper, we will describe SG using this
energy subsystem, the smart information subsystem, and classification. We encourage the readers to refer back to this
the smart communication subsystem. classification in case of any confusion while reading the text.
• The smart energy subsystem is responsible for
advanced electricity generation, delivery, and con- III. A N OVERVIEW OF L EGISLATIONS , S TANDARDS ,
sumption. P ROJECTS , P ROGRAMS AND T RIALS
• The smart information subsystem is responsible In 2001, the U.S. Department of Energy (DOE) began a
for advanced information metering, monitoring, and series of Communications and Controls Workshops focused
management in the context of the SG. on the integration of distributed energy resources [146]. The
• The smart communication subsystem is responsible broad view of a transformation to SG was reflected in DOE’s
for communication connectivity and information GridWise [51], [200]. The U.S. federal government has also
transmission among systems, devices, and applica- established its policy for SG, which is reflected in two Acts
tions in the context of the SG. of Congress. The first one is the Energy Independence and
Note that the reason why we separate information sub- Security Act of 2007 [239] which specifies studies on the state
system and communication subsystem is to get a handle and security of SG; establishes a federal advisory committee
on the involved complexity of the SG as a system of sys- and intergovernment agency task force; frames technology
tems. This also makes our survey compliant with IEEE research, development and demonstration; directs the advance-
P2030 [109] to meet the interoperability requirements. ment of interoperability; and creates a matching fund program
We will briefly describe IEEE P2030 in Section III. to encourage investment in SG [146]. The second one is the
2) Smart management system: The smart management sys- American Recovery and Reinvestment Act of 2009 [240],
tem is the subsystem in SG that provides advanced which includes $3.4 billion in funding for the SG Investment
management and control services and functionalities. Grant Program and $615 million for the SG Demonstration
The key reason why SG can revolutionize the grid is Program. The result of these programs is expected to lead to
the explosion of functionality based on its smart infras- a combined investment of over $8 billion in SG capabilities.
tructure. With the development of new management ap- Several standardizations have also come up in different
plications and services that can leverage the technology areas, countries, or organizations. We list several major SG
and capability upgrades enabled by this advanced in- standardization roadmaps and studies in the following:
Smart Grid
• Smart Protection System
• System reliablity and failure protection
• System reliablity
• Failure protection mechanism
• Failure prediction and prevention
• Failure identification, diagnosis, and recovery
Protection • Failure identification and localization
• Grid self-healing
• Data recovery
• Microgrid protection
• Security and privacy
• Information metering and measurement
• Information transmission
Management
Infrastructure
• Smart Management
System • Smart Infrastructure System
• Management objectives • Smart energy subsystem
• Energy efficiency and demand profile • Power generation
• Demand profile shaping • Transmission grid
• Energy loss minimization • Distribution grid
• Utility, cost, and price • New grid paradigm: microgrid and grid-to-
• Emission vehicle/vehicle-to-grid
• Management methods and tools • Smart information subsystem
• Optimization • Information metering and measurement
• Convex programming • Smart meter
• Dynamic programming • Sensor
• Stochastic programming • Phasor measurement unit
• Robust programming • Information management
• Particle swarm optimization • Data modeling
• Machine learning • Information analysis, integration, and optimization
• Game theory • Smart communication subsystem
• Auction • Wireless
• Wireless mesh networks
• Celluar communication systems
• Cognitive radio
• Wireless communications based on 802.15.4
• Satellite communications
• Microwave or free-space optical communications
• Wired
• Fiber-optic communications
• Powerline communications
• End-to-end communication management
Fig. 2. The Detailed Classification of the Smart Infrastructure System, the Smart Management System, and the Smart Protection System: In Sections IV-VI,
we will describe the smart energy subsystem, the smart information subsystem, and the smart communication subsystem, respectively. In Section VII, we will
describe the smart management system. In Section VIII, we will describe the smart protection system.
1) United States: NIST IOP Roadmap [177]; [75]) can be found in [211], [247]. In order to drive all
2) European Union: Mandate CEN/CENELEC M/441 [67]; the dimensions of the future standards of SG, a cooperative
3) Germany: BMWi E-Energy Program [187], BDI initia- standardization roadmap crossing different areas, countries,
tive -Internet der Energie [111]; and organizations is desired. In the meantime, those existing
4) China: SGCC Framework [233]; standards may need to be developed and revised to adapt to
5) Japan: METI Smart Grid roadmap [118]; the changes within technical, political, and regulatory aspects.
6) Korea: Smart Grid Roadmap 2030 [247]; Considering the importance of IEEE standards, we briefly
7) IEEE: P2030 [109]; describe IEEE P2030 [109]. IEEE P2030 focuses on a system
8) IEC SMB: SG 3 Roadmap [227]; level approach to the guidance for interoperability components
9) CIGRE: D2.24 [113]; of communications, power systems, and information technol-
10) Microsoft: SERA [167]. ogy platforms. SG interoperability provides organizations the
ability to communicate effectively and transfer meaningful
A detailed study comparing them and an overview of data, even though they may be using a variety of differ-
other SG roadmaps (e.g. Austria [209], UK [65], and Spain ent information systems over widely different infrastructures,
Smart Grid Projects in the U.S. Smart Grid Projects outside of the U.S.
Grids
Grids
Fig. 3. Smart Grid Project Map [226]
sometimes across different geographic regions and cultures. Generating step up Substation step down
transformer transformer
P2030 views the SG as a large, complex “system of systems”
Residential
and provides guidance to navigate the numerous SG design users
pathways throughout the electric power system and end-use
Nuclear plant
applications.
In order to promote the development of SG, governments,
Commercial
academia, industry, and research organizations have put a great users
deal of effort in pilot projects, programs, and field trials. In Oil plant
order to help the readers assess the recent progress, especially

in the industrial sector, we summarize 17 major projects,
programs, and trials, shown in Table IV of Appendix B. They Coal plant Industrial
users
cover smart meter, AMI, transmission grid, distribution grid,
distributed resource, virtual power plant, home application, Power Transmission Distribution
microgrid, electric vehicle, and integrated systems. These con- generation grid grid
cepts will be described in the following sections. In addition,
Fig. 4. An Example of the Traditional Power Grid
in order to give the readers a direct impression, we use Fig. 3
to show the map of the SG projects collected by Smart Grid
Information Clearinghouse [226]. This map roughly shows
the locations and the objectives of these SG projects. We electromechanical generators, primarily driven by the force
can observe that in the U.S., Europe, and East Asia, there of flowing water or heat engines fueled by chemical com-
already exist several integrated system projects, although we bustion or nuclear power. In order to take advantage of the
are just at the beginning of the SG transition. As pointed out economies of scale, the generating plants are usually quite
by Giordano et al. [84], in almost all countries, a significant large and located away from heavily populated areas. The
amount of investments is devoted to projects which address generated electric power is stepped up to a higher voltage for
the integration of different SG technologies and applications. transmission on the transmission grid. The transmission grid
Most of the technologies are known, but their integration is moves the power over long distances to substations. Upon
the new challenge. arrival at a substation, the power will be stepped down from
the transmission level voltage to a distribution level voltage.
IV. S MART I NFRASTRUCTURE S YSTEM I - S MART As the power exits the substation, it enters the distribution
E NERGY S UBSYSTEM grid. Finally, upon arrival at the service location, the power
Two-way flows of electricity and information lay the in- is stepped down again from the distribution voltage to the
frastructure foundation for the SG. The smart infrastructure required service voltage(s). Fig. 4 shows an example of the
can be subdivided into the smart energy subsystem, the traditional power grid.
smart information subsystem, and the smart communication In contrast with the traditional power grid, the electric
subsystem, respectively. In this section, we explore existing energy generation and the flow pattern in an SG are more
works on the smart energy subsystem and outline some future flexible. For example, the distribution grid may also be capable
research directions and challenges. of generating electricity by using solar panels or wind turbines.
The traditional power grid is unidirectional in nature [70]. In this survey, we still divide the energy subsystem into
Electricity is often generated at a few central power plants by power generation, transmission grid, and distribution grid.
Smart Energy Subsystem
Power Generation Transmission Grid Distribution Grid

[6], [36], [114], [117] [24], [141] [234], [235]
[155], [172], [265]
[266], [269]
Fig. 5. Classification of the Works on the Smart Energy Subsystem
400
Final Energy (EJ/a)

300
200
100
(a) 2008 (b) 2009

0
2000 2010 2020 2030 2040
Fig. 6. U.S. Electricity Generation by Source [58]
Fig. 7. World Energy Supply by Source [259]

Fig. 5 shows a classification of the works on the smart energy
subsystem.
study [114] from the International Energy Agency pointed out
A. Power Generation that a power system based on a large number of reliable small
DGs can operate with the same reliability and a lower capacity
Electricity generation is the process of generating electricity
margin than a system of equally reliable large generators.
from other forms of energy, such as natural gas, coal, nuclear
A review of different distributed energy technologies such
power, the sun, and wind. During the 1820s and early 1830s,
as microturbines, photovoltaic, fuel cells, and wind power
British scientist Michael Faraday discovered the fundamental
turbines can be found in [269].
principles of electricity generation: electricity can be generated
by the motion of a loop of wire or a disc of copper between the However, implementing DG(s) in practice is not an easy
poles of a magnet, a principle still being used today. There are proposition due to several reasons. First, DG involves large-
many energy sources used to generate electric power. Fig. 6 scale deployments for generation from renewable resources,
shows the U.S. electricity generation by source in 2008 and such as solar and wind, whose yield is, however, subject to
2009 [58]. As fossil fuels get depleted and generally get more wide fluctuations. In general, the generation patterns resulting
expensive, it is expected that renewable energy will play a from these renewables and the electricity demand patterns are
more important role in the future power generation. Fig. 7 far from being equal [172]. Therefore, effective utilization
shows the predicted world energy supply by source [259]. of the DG in a way that is cognizant of the variability of
the yield from renewable sources is important. Second, the
In contrast to the power generation in the traditional power
authors of [114], [269] indicated that the usual operation costs
grid, smarter power generation becomes possible as the two-
of distributed generators for generating one unit of electricity
way flows of electricity and information are supported. A key
are high compared with that of traditional large-scale central
power generation paradigm enabled by SG will be the dis-
power plants. Considering the DG’s potential benefits on
tributed generation (DG). DG takes advantage of distributed
power quality, a systematic research on how to balance the
energy resource (DER) systems (e.g. solar panels and small
high capital costs and the reliable power supplies brought by
wind turbines), which are often small-scale power generators
DG is essential.
(typically in the range of 3 kW to 10,000 kW), in order
to improve the power quality and reliability. For example, a Although we can only see a limited penetration of DG in
microgrid (discussed in Section IV-D), which is a localized today’s power system, the future SG is expected to adopt a
grouping of electricity generators and loads, can disconnect large number of distributed generators to form a much more
from the macrogrid so that distributed generators continue to decentralized power system. As predicted in [114], it may
power the users in this microgrid without obtaining power evolve from the present system in three stages:
from outside. Thus, the disturbance in the macrogrid can be 1) Accommodating DGs in the current power system;
isolated and the electric power supply quality is improved. A 2) Introducing a decentralized system of DGs cooperating
with the centralized generation system; integrated system that functionally consists of three interactive
3) Supplying most power by DGs and a limited amount by components: smart control centers, smart power transmission
central generation. networks, and smart substations.
Note that as DG enables the users to deploy their own Based on the existing control centers, the future smart
generators, the large-scale deployment of DG will also change control centers enable many new features, such as analytical
the traditional power grid design methodology, in which the capabilities for analysis, monitoring, and visualization.
generators are connected to the transmission grid (see Fig. 4). The smart power transmission networks are conceptually
The development and deployment of DG further leads to a built on the existing electric transmission infrastructure. How-
concept, namely Virtual Power Plant (VPP), which manages ever, the emergence of new technologies (e.g new materials,
a large group of distributed generators with a total capacity electronics, sensing, communication, computing, and signal
comparable to that of a conventional power plant [172]. processing) can help improve the power utilization, power
This cluster of distributed generators is collectively run by quality, and system security and reliability, thus drive the
a central controller. The concerted operational mode delivers development of a new framework architecture for transmission
extra benefits such as the ability to deliver peak load electricity networks.
or load-aware power generation at short notice. Such a VPP The vision of the smart substation is built on the existing
can replace a conventional power plant while providing higher comprehensive automation technologies of substations. Al-
efficiency and more flexibility. Note that more flexibility although the basic configurations of high-voltage substations
lows the system to react better to fluctuations. However, a VPP have not changed much over the years, the monitoring, mea-
is also a complex system requiring a complicated optimization, surement, and control equipment have undergone a sea change
control, and secure communication methodology. in recent years [24]. Major characteristics of a smart substation
Traditional VPPs are studied in [6], [36], [155], [265], shall include digitalization, autonomization, coordination, and
[266]. Anderson et al. [6] aimed to find and describe a suitable self-healing. By supporting these features, a smart substation is
software framework that can be used to help implement the able to respond rapidly and provide increased operator safety.
concept of a VPP in future power systems, and emphasized the In brief, with a common digitalized platform, in the smart
importance of Service Oriented Architecture in implementing transmission grid it is possible to enable more flexibility in
the VPP. Caldon et al. [36] proposed a cost based optimiza- control and operation, allow for embedded intelligence, and
tion procedure for harmonizing the concurrent operation of foster the resilience and sustainability of the grid.
distribution system operator and VPP which, although acting
in an independent manner, can be coordinated by means of C. Distribution Grid
suitable economic signals. Lombardi et al. [155] focused on
the optimization of the structure of the VPP. By using an For the distribution grid, the most important problem is how
energy management system, a VPP can be controlled in order to deliver power to serve the end users better. However, as
to minimize the electricity production costs and to avoid many distributed generators will be integrated into the smart
the loss of renewable energy. You et al. [265] proposed a distributed grid, this, on one hand, will increase the system
market-based VPP, which uses bidding and price signal as two flexibility for power generation, and on the other hand, also
optional operations, and provides individual distributed energy makes the power flow control much more complicated, in turn,
resource units with the access to current electricity markets. necessitating the investigation of smarter power distribution
You et al. [266] proposed a generic VPP model running under and delivery mechanisms.
liberalized electricity market environment, and attempted to An interesting research work was done by Takuno et al.
provide an outline of the main functions that are necessary [235]. Takuno et al. proposed two in-home power distribution
for the efficient operation of this generic VPP. systems, in which the information is added to the electric
In addition, recently the integration of Vehicle-to-Grid power itself and electricity is distributed according to this
(V2G) technology (explained in Section IV-D) and VPP information. The first one is a circuit switching system based
was investigated in [117], which outlined an architecture of on alternating current (AC) power distribution, and the other
V2G integrating VPP, provided a sketch of the trip-prediction is a direct current (DC) power dispatching system via power
algorithm, and the associated optimization problem for the packets. Note that the packetization of energy is an interesting
overall system architecture. but challenging task since it requires high power switching
Similar ideas of “virtual” have also been used for other devices. Researchers have shown that silicon carbide junction
applications, such as virtual energy buffers [245] and virtual gate field-effect transistors are able to shape electric energy
energy provisioning systems [119]. packets [234]. Hence, the system proposed in [235] has the
potential as an intelligent power router. More specifically,
supplied electricity from energy sources is divided into several
B. Transmission Grid units of payload. A header and a footer are attached to the unit
On the power transmission side, factors such as infrastruc- to form an electric energy packet. When the router receives
ture challenges (increasing load demands and quickly aging packets, they are sorted according to the addresses in the
components) and innovative technologies (new materials, ad- headers and then sent to the corresponding loads. Using energy
vanced power electronics, and communication technologies) packet, providing power is easily regulated by controlling the
drive the development of smart transmission grids. As stated number of sent packets. In addition, many in-home electric
in [141], the smart transmission grid can be regarded as an devices are driven by DC power and have built-in power
conversion circuits to commutate AC input voltage. Thus, DC-

based power distribution is feasible. These systems will make
in-home power distribution systems more efficient and easier
to control energy flow. Information flow
D. Some New Grid Paradigms

In this subsection, we describe two of the most important
new grid paradigms, which benefit from smart energy subsys- Power flow
tem technologies and also further promote the development of
SG. These two paradigms are widely regarded as important
components of the future SG. Note that these two paradigms
also take advantage of other SG technologies as we will
explain in the corresponding sections. Macrogrid
1) Microgrid: Distributed generation promotes the devel-
opment of a new grid paradigm, called microgrid, which is
seen as one of the cornerstones of the future SG [68]. The
Microgrid
organic evolution of the SG is expected to come through the
plug-and-play integration of microgrids [70]. A microgrid is a Fig. 8. An Example of a Microgrid: The lower layer shows a physical
localized grouping of electricity generations, energy storages, structure of this microgrid, including four buildings, two wind generators, two
and loads. In the normal operation, it is connected to a solar panel generators, and one wireless access point (AP). These buildings
and generators exchange power using powerlines. They exchange information
traditional power grid (macrogrid). The users in a microgrid via an AP-based wireless network. The blue (top) layer shows the information
can generate low voltage electricity using distributed genera- flow within this microgrid and the red (middle) layer shows the power flow.
tion, such as solar panels, wind turbines, and fuel cells. The
single point of common coupling with the macrogrid can be
disconnected, with the microgrid functioning autonomously be charged after the batteries deplete. This technology is
[122]. This operation will result in an islanded microgrid, conceptually simple. However, from the perspective of the
in which distributed generators continue to power the users grid, one of the most important issues in G2V is that the
in this microgrid without obtaining power from the electric charging operation leads to a significant new load on the
utility located in the macrogrid. Fig. 8 shows an example of existing distribution grids. In the literature, many works have
the microgrid. Thus, the multiple distributed generators and studied the impact of EVs on the power grid.
the ability to isolate the microgrid from a larger network in Schneider et al. [224] pointed out that the existing distribu-
disturbance will provide highly reliable electricity supply. This tion grid infrastructure in the Pacific Northwest is capable of
intentional islanding of generations and loads has the potential supporting a 50% penetration of EVs with the 120V smart-
to provide a higher local reliability than that provided by charging profile, which equates to approximately 21.6% of
the power system as a whole [136]. Note that although these the light duty vehicle fleet. This level of penetration exceeds
users do not obtain the power from outside in the islanding the known capability of the existing generation resources,
mode, they may still exchange some information with the which is approximately 18%. The authors of [92], [210],
macrogrid. For instance, they may want to know the status [228] further pointed out that serious problems (e.g.significant
of the macrogrid and decide whether they should reconnect to degradation of power system performance and efficiency, and
the macrogrid and obtain power from the electric utility. even overloading) can arise under high penetration levels of
Lasseter [135] also pointed out that using microgrids in the uncoordinated charging.
distribution system is straightforward and also simplifies the One solution to mitigate the impact of EVs on the grid is
implementation of many SG functions. This includes improved to optimize their charging profile. In other words, we need
reliability, high penetration of renewable sources, self-healing, to keep the peak power demand as small as possible, taking
active load control, and improved efficiencies. For example, into account the extra power consumption from the vehicle
in order to realize self-healing during outages, microgrids can charging. This can be done by coordinating the charging
switch to the islanding mode and as a result the users in operations of different EVs so that they are not charged at
microgrids will not be affected by outages. the same time. For example, Clement et al. [48] show that the
2) G2V and V2G: An electric vehicle is a vehicle that uses coordinated charging of EVs can improve power losses and
one or more electric motors for propulsion. As fossil fuels voltage deviations by flattening out peak power.
diminish and generally get more expensive, fully electric ve- In V2G, EVs provide a new way to store and supply electric
hicles or plug-in hybrid electric vehicles will rise in popularity. power. V2G-enabled EVs can communicate with the grid to
In the following, we use EV to represent both fully electric deliver electricity into the grid, when they are parked and
vehicle and plug-in hybrid electric vehicle. The wide use and connected to the grid. Note that as reported by Kempton et al.
deployment of EVs leads to two concepts, namely Grid-to- [127], in the U.S. the car is driven only one hour a day on
Vehicle (G2V) and Vehicle-to-Grid (V2G). average. In other words, these cars are parked most of the time
In G2V, EVs are often powered by stored electricity doing nothing. There exist three major delivery setups:
originally from an external power source, and thus need to 1) A hybrid or fuel cell vehicle, which generates power
from storable fuel, uses its generator to produce power For example, He et al. [100] divided a 24-hour period into
for a utility at peak electricity usage times. These vehi- M slots of length T1 each; and each T1 -slot, in turn, consists
cles serve as a distributed generation system producing of K slots, each of length T2 . The wind generation can be
energy from conventional fossil fuels or hydrogen. modeled as a non-stationary Gaussian random process across
2) A battery-powered or plug-in hybrid vehicle uses its the T1 -slots, i.e., the wind generation amount in the kth T2 -
excess rechargeable battery capacity to supply power slot of the mth T1 -slot follows N (θ, σ 2 ), where N is the
for a utility at peak electricity usage times. These Gaussian distribution, θ is the mean, and σ 2 is the variance.
vehicles can then be recharged during off-peak hours In addition, finite-state Markov models have also been used as
at cheaper rates. These vehicles serve as a distributed an effective approach to characterize the correlation structure
battery storage system to store power. of the renewable energy outputs [66], [181]. Since we may
3) A solar vehicle which uses its excess charging capacity not fully observe the system transition state, hidden Markov
to provide power to the power grid when the battery models are also used in modeling renewable energy systems
is fully charged. These vehicles serve as a distributed [32], [33], [175], [230]. Considering that in practice the power
small renewable energy power system. pattern of renewable resources may not follow any simple
Thus far, researchers have focused on the connection between distribution or Markov process, Fang et al. [69] further used
batteries and the power grid [126], [244], the validity of the non-stochastic multi-armed bandit online learning technique
V2G system [123], the feasible service [244], its environ- to learn the evolution of power pattern of renewable energy
mental and economic benefits [186], its new markets [125], source. Note that online learning is a model of induction
[124], and system integration [258]. Utilities currently also that learns the label of one instance at a time. The goal in
have V2G technology trials. For example, Pacific Gas and online learning is to predict labels for instances. A typical
Electric Company tried to convert a number of company- application could be that the instances are able to describe
owned Toyota Prius to V2G plug-in hybrids at Google’s the current conditions of the renewable sources, and an online
campus [28]. Xcel Energy performed the nation’s first large algorithm predicts tomorrow’s value of a particular source. In
test of V2G-enabled EVs in Boulder, Colorado, as part of its summary, in order to effectively utilize the renewable energy,
internationally recognized SmartGridCity project [260]. more thorough mathematical analysis on modeling renewable
Note that G2V and V2G are not fully separated concepts energy is desirable.
in the vision of SG. For example, V2G-enabled EVs are often Another possible research topic is the optimal deployment
used to provide power to help balance loads by “peak shaving” of the additional ancillary services (e.g. energy reserves) to
(sending power back to the grid when demand is high) but also maintain reliability and meet operational requirements, taking
“valley filling” (charging when demand is low). Therefore, a into account the uncertainty and variability of renewable
key question is how to determine the appropriate charge and energy resources.
discharge times throughout the day. Hutson et al. [107] studied 2) Utilization of G2V/V2G:
this problem and used a binary particle swarm optimization In G2V, the challenge is that vehicle charging will lead to
algorithm to look for optimal solutions that maximize profits a significant new load on the existing distribution grids, with
to vehicle owners while satisfying system and vehicle owners’ many of these circuits not having any spare capacity. In V2G,
constraints. Note that particle swarm optimization is an iter- the challenge is the availability of EVs, since an EV can only
ative stochastic optimization algorithm. The solution search deliver power to the grid when it is parked and connected to
is performed in a stochastic nature allowing the algorithm grid. As a result, this increases the uncertainty of the power
to overcome nonlinear, non-differentiable, and discontinuous supplied by EVs.
problems. It is easy to see that the above two challenges lead to
an urgent need for an analysis of large-scale EV stochastic
E. Summary and Future Research behavior. More specifically, we can use probability theory or
In this subsection, we have reviewed the works on the smart experiments to model the power request profile for a large
energy subsystem, more specifically, power generation, trans- number of EVs charging operations, and the total available
mission, and distribution. We have also described two new grid power profile provided by a large number of EVs. Although
paradigms: microgrid and G2V/V2G. In the following, we list we cannot accurately predict the behavior of each EV, it is
several research challenges and possible future research worth very likely that over a large dataset, the overall profile must
exploring. follow some distribution. Let us recall the normal distribution,
1) Effective utilization of intermittent and fluctuant one of the most famous distributions. According to the central
renewables: It is believed that distributed renewable energy limit theorem [63], the mean of a sufficiently large number
generation will be widely used in SG. However, the utilization of independent random variables, each with finite mean and
of distributed renewable energy resources also poses many variance, follows the normal distribution. This analysis can
challenges and opens up many new research topics. help the operator pre-design the system capacity margins.
The key problem is how to model renewable energy source. In addition, queueing theory [87] could also play an impor-
The intermittent and fluctuant nature of wind and solar tant role in G2V analysis. Assume that an EV charging station
generation requires much more complicated forecasting and works as a queue, i.e., serving EVs sequentially. Queueing
scheduling. Both long-term and short-term renewable source theory [87] enables mathematical analysis of several related
patterns and likely behavior must be understood and explored processes, including arrival of EVs at the queue, waiting in
[198]. the queue for being served, and being served at the front
of the queue. Thus, we can predict the expected number changing conditions in the utility’s operational environment.
of EVs waiting or receiving service, and the probability of This methodology is of great importance for the large-scale
encountering the charging system in certain states, such as deployment and interoperability of the SG. For example,
empty, full, having an available server, or having to wait a each entity can design its own implementation. As long as
certain amount of time to be served. its implementation follows the standards, the whole system
3) Challenges in large-scale deployment: A deployed will work. In other words, the large-scale deployment task is
large-scale commercial SG may have tens of millions of nodes. hence divided into several small basic tasks, while these small
So far we have little experience in large-scale distributed tasks can be coordinated based on the well-defined interfaces
control approaches to addressing the complex power system and relationships. Different functions of SG can be realized
component interactions, and in large-scale deployment of new by using different combinations of basic tasks. [109] shows
technologies, such as batteries, thermal storages, DGs, and several such examples. In this way, the complexity of building
EVs [146]. This challenge requires us to think about how to a large-scale SG is significantly reduced. Therefore, designing
organize so many devices in a large-scale SG. Two approaches a highly scalable, open, and instructive standard is of great
may be applicable: top-down and bottom-up. importance, albeit difficult.
In the top-down approach, the high-level framework of the
system is formulated by a powerful grid operator, and each
V. S MART I NFRASTRUCTURE S YSTEM II - S MART
subsystem is then refined in greater details. For example, a
I NFORMATION S UBSYSTEM
group of users in a microgrid can refine their own connection
structure based on the high-level framework defined by an The evolution of SG relies on not only the advancement
upper supervisor. However, this approach needs a powerful of power equipment technology, but also the improvement
operator to initially design the whole architecture, which is of sophisticated computer monitoring, analysis, optimization,
not an easy task. and control from exclusively central utility locations to the
The bottom-up approach is the piecing together of systems distribution and transmission grids. Many of the concerns of
to give rise to grander systems. For example, a group of users distributed automation should be addressed from an informa-
first link together to form a system. Then these systems link tion technology perspective, such as interoperability of data
together to form a larger system. Although this methodology exchanges and integration with existing and future devices,
does not need a powerful operator to initially design the whole systems, and applications [109]. Therefore, a smart infor-
architecture, the final system grows up from many individually mation subsystem is used to support information generation,
formed subsystems. Therefore, the performance of the whole modeling, integration, analysis, and optimization in the context
system may not be good enough. of the SG.
The advantages and disadvantages of both top-down and In this section, we concentrate on the smart information
bottom-up approaches need to be investigated. Furthermore, subsystem. We first explore the information metering and
self-organization is a topic worth exploring. For example, in measurement, which generates information from end entities
the bottom-up approach, one question is how a group of users (e.g. smarter meters, sensors, and phasor measurement units)
or devices can be self-organized to form a system. in an SG. This information is often used for billing, grid status
In addition, open, scalable, and instructive standards will monitoring, and user appliance control. We then explore the
play an important role in the large-scale deployment of SG. information management, including data modeling, informa-
Let us take the IEEE P2030 guide for SG interoperability [109] tion analysis, integration, and optimization. We finally outline
as an example. Using a system of systems approach, this guide some future research directions and challenges.
defines three perspectives: power systems, information tech-
nology, and communications. Moreover, these interoperability
A. Information Metering and Measurement
architectural perspectives are comprised of domains, entities,
interfaces, and data flows. The domains are the same as the Study in information metering and measurement can be
seven domains mentioned in Section II. Entities (devices, com- classified into smart metering, and smart monitoring and
munication networks, computer systems, software programs, measurement as shown in Fig. 9. In the following, we describe
etc.) are generally located inside a domain and are connected this classification in detail.
to each other through one or more interfaces. Interfaces are 1) Smart Metering: Smart metering is the most important
logical connections from one entity to another that support mechanism used in the SG for obtaining information from
one or more data flows implemented with one or more data end users’ devices and appliances, while also controlling
links. These data flows are application-level communications the behavior of the devices. Automatic metering infrastruc-
from entities that provide data to entities that consume data. ture (AMI) systems [96], which are themselves built upon
This guide does not specify which particular technology automatic meter reading (AMR) systems [208], are widely
should be used. Instead, it aims to establish both entities and regarded as a logical strategy to realize SG. AMR is the tech-
relationships within the environment of the SG and define nology of automatically collecting diagnostic, consumption,
interfaces in a technology-agnostic manner. For example, and status data from energy metering devices and transferring
it defines 20 entities and 81 interfaces among the major that data to a central database for billing, troubleshooting, and
entities in each of the domains. The methodology of this analyzing. AMI differs from traditional AMR in that it enables
guide is applicable to all SG implementations. It is general two-way communications with the meter. Therefore nearly all
enough to allow the implementation of newer technologies and of this information is available in real time and on demand,
Information Metering, Monitoring, and

Measurement
Smart Metering Smart Monitoring and Measurement

[71], [96], [251]
Sensor Phasor Measurement Unit

[26], [139] [11], [20], [22], [23], [38], [56], [110]
[90], [91] [137], [160], [183], [184], [197]
[156], [157] [196], [199], [221], [238], [237]
[256] [243], [248], [252], [270], [271], [272]
Fig. 9. Classification of the Works on the Information Metering and Measurement
Energy flows users to reduce their demands in peak load periods, or to

Secure communication flows
optimize power flows according to the information sent from
demand sides.
2) Smart Monitoring and Measurement: An important
Utility
Dishwasher TV
function in the vision of SG is monitoring and measurement
of grid status. We review the following two major monitoring
Data
Aggregator/
and measurement approaches, namely sensors and phasor
Refrigerator Smart meter Concentrator measurement units.
Sensors: Sensors or sensor networks have already been used
as a monitoring and measurement approach for different
Distribution
Substation purposes [1]. In order to detect mechanical failures in power
grids such as conductor failures, tower collapses, hot spots,
and extreme mechanical conditions, Leon et al. [139] proposed
that sensor networks should be embedded into the power grid
and help to assess the real-time mechanical and electrical
Fig. 10. An Example of the Smart Metering Structure: The smart meter
collects the power consumption information of the dishwasher, TV, and the
conditions of transmission lines, obtain a complete physical
refrigerator, and also sends the control commands to them if necessary. The and electrical picture of the power system in real time,
data generated by the smart meters in different buildings is transmitted to a diagnose imminent as well as permanent faults, and determine
data aggregator. This aggregator could be an access point or gateway. This
data can be further routed to the electric utility or the distribution substation.
appropriate control measures that could be automatically taken
Note that the smart communication subsystem, described in Section VI, is and/or suggested to the system operators once an extreme
responsible for the information transmission. mechanical condition appears in a transmission line.
Wireless sensor networks (WSNs) in particular, given their
low cost, can provide a feasible and cost-effective sensing
and communication platform for remote system monitoring
allowing for improved system operations and customer power and diagnosis. Gungor et al. [91] reviewed the application
demand management. of WSNs for electric power systems along with their op-
Smart meters, which support two-way communications be- portunities and challenges and presented a comprehensive
tween the meter and the central system, are similar in many experimental study in different electric power system environ-
aspects to AMI meters, or sometimes are regarded as part of ments. They concluded that with the help of WSN, a single
the AMI. A smart meter is usually an electrical meter that system contingency in the power grid could be detected and
records consumption in intervals of an hour or less and sends isolated before it causes cascading effects and leads to more
that information at least daily back to the utility for monitoring catastrophic system-wide breakdowns.
and billing purposes [71]. Also, a smart meter has the ability to Other research works on applying WSNs for SG are [26],
disconnect-reconnect remotely and control the user appliances [156], [157]. Bressan et al. [26] explored the implementation
and devices to manage loads and demands within the future of a smart monitoring system over a WSN, with particular
“smart-buildings.” Fig. 10 shows a typical usage scenario for emphasis on the creation of a solid routing infrastructure
smart meters. using the routing protocol for low-power and lossy networks,
From a consumer’s perspective, smart metering offers a whose definition is currently being discussed within the IETF
number of potential benefits. For example, end users are able ROLL working group. Lu et al. [156] proposed a closed-loop
to estimate bills and thus manage their energy consumptions energy management scheme with a WSN, which was applied
to reduce bills. From a utility’s perspective, they can use smart as the architecture of an industrial plant energy management
meters to realize real-time pricing, which tries to encourage system. The importance of the proposed scheme lies in its non-
intrusive, intelligent, and low cost nature. Later, Lu et al. [157] tations of FNET’s applications by using PMUs, which are
extended the previous work [156], and studied the overall significantly better at observing power system problems than
system architecture. the earlier implementations. The current FNET system hier-
However, the use of sensor networks in the SG has many archy is suitable for high volume data transfer, processing,
requirements: [90], [91], [256]: storage, and utilization. A variety of applications, especially
1) Quality-of-Service (QoS) requirements: The information with regards to real-time dynamic monitoring, have been de-
generated by sensor networks may be associated with veloped and integrated into the system. FNET is growing into
some data QoS requirements, such as reliability, latency, a mature, multifunctional, and low-cost phasor measurement
and network throughput. For example, the critical sensed system with stable performance and high accuracy.
data related to grid failures should be received by Early research on the applications of PMU technology was
the controller in a timely manner. The communication mainly focused on validation of system models and accurate
subsystem (described in Section VI) supporting sensor postmortem analysis. However, now with wide-scale real-
networks must provide mechanisms to satisfy these QoS time PMU data being obtainable, system operators have the
requirements. capability of deploying system state estimation procedures and
2) Resource constraints: Sensor nodes are often low cost system protection functionalities in power grids, with the goal
and resource limited devices. Thus the control programs of making the power system immune to catastrophic failures.
for sensor networks should be energy efficient. Several countries, such as Brazil, China, France, Japan, South
3) Remote maintenance and configuration: Sensors must be Korea, Mexico, Norway, and the U.S., have installed PMUs
remotely accessible and configurable, so that the sensor on their power grid systems for research or are developing
networks could be maintained remotely, conveniently, prototypes [270]. The installation of PMUs on transmission
and promptly. grids of most major power systems has become an important
4) High security requirements: Security is very important activity.
for electric power systems. By compromising sensors, In addition, the investigation of PMUs is an exciting area
attackers can jeopardize the power grid operation. being explored by both industry and academia. Industry is
5) Harsh environmental conditions: In SG environments, investigating how to install the PMUs, collect the data, and es-
sensors may be subject to radio frequency (RF) in- tablish communication transfers of this data to the utility con-
terference, highly caustic or corrosive environments, trol centers [110], [183]. In academia, typical research fields
high humidity levels, vibrations, dirt and dust, or other are the applications of PMU for grid protection functions, such
conditions that may cause a portion of sensor nodes as providing loss-of-mains protection [137], monitoring fault
to malfunction. Hence sensor network design must event [221], [237], [238], [243], [272], locating disturbance
consider the survivability requirement, i.e., the sensor [160], estimating grid state [199], [248], studying synchronous
network is still connected or the critical areas are still islanded operation [20], monitoring power quality [38], and
monitored if some sensors fail. devising experimental applications for the monitoring of active
Phasor Measurement Unit: Recent developments in the SG distribution grids [23].
have spawned interest in the use of phasor measurement units
(PMUs) to help create a reliable power transmission and
distribution infrastructure [11]. A PMU measures the electrical
B. Information Management
waves on an electrical grid to determine the health of the
system. Technically speaking, a phasor is a complex number In SG, a large amount of data and information will be
that represents both the magnitude and phase angle of the sine generated from metering, sensing, monitoring, etc. SG must
waves found in electricity. Phasor measurements that occur support advanced information management. The task of the
at the same time are called synchrophasor, as are the PMU information management is data modeling, information anal-
devices that allow their measurement. Typically, PMU read- ysis, integration, and optimization.
ings are obtained from widely dispersed locations in a power 1) Data Modeling: As stated by IEEE P2030 [109], the
system network and synchronized using the global positioning goal of SG information technology data modeling is to pro-
system (GPS) radio clock. With a large number of PMUs and vide a guide to creating persistent, displayable, compatible,
the ability to compare shapes from alternating current (AC) transferable, and editable data representation for use within
readings everywhere on the grid, system operators can use the the emerging SG. In other words, the objective is to make
sampled data to measure the state of the power system and it as interoperable as possible using relevant standards. That
respond to system conditions in a rapid and dynamic fashion. is specifically addressing the data that represents state infor-
Refer to [56] for a technical introduction to the PMU. mation about the grid and individual items in it. This would
Phasor measurements using GPS based time synchroniza- include nearly all connected items from generation down to
tion were introduced in the mid-1980s [22], [197], [196], individual consuming devices. They all have state information
[252]. A Virginia Tech research team developed the first that may need to be read, stored, transmitted, etc.
prototype PMU in 1988 [271]. Later, the frequency moni- Why is data modeling important? Let us look at the follow-
toring network (FNET) project utilized a network of low- ing two reasons. First, the information exchange between two
cost, high-precision frequency disturbance recorders to collect application elements is meaningful only when both of them
synchrophasor data from the U.S. power grid [184]. Recently can use the information exchanged to perform their respective
Zhang et al. [271] presented some of the latest implemen- tasks. Therefore, the structure and meaning of the exchanged
information must be understood by both application elements. issue of an asset having multiple names in multiple systems.
Although within the context of a single application, developers Second, as stated in [115], [212], currently most utility
can strive to make the meaning clear in various user interfaces, companies have limited installed capability for integration
when data is transferred to another context (another system), across the applications associated with system planning, power
the meaning could be lost due to incompatible data represen- delivery, and customer operations. In most cases, this informa-
tation. Considering that the SG is a complicated system of tion in each department is not easily accessible by applications
systems, design of a generally effective data representation is and users in other departments or organizations. These “islands
very important. of information” correspond to islands of autonomous business
Second, the data modeling is also related to the system activities. Therefore, the emerging SG calls for enterprise-
forward compatibility and backward compatibility. On one level integration of these islands to improve and optimize
hand, a well-defined data model should make legacy program information utilization throughout the organization.
adjustments easier. We hope that the data representation de- Information optimization is used to improve information
signed for SG can also be (or at least partially) understood effectiveness. The data size in the future SG is expected to be
by the current power system, in order to take advantage fairly large as a result of the large-scale monitoring, sensing,
of the existing infrastructure as much as possible. On the and measurement. However, the generated data may have a
other hand, thus far SG is more like a vision. Its definition large amount of redundant or useless data. Therefore, we
and functionality keep evolving. Suppose that in the current need to use advanced information technology to improve the
implementation, all the data is particularly designed to be information effectiveness, in order to reduce communication
stored in an optimized way that can be understood by a burden and store only useful information. This problem has
current application X. After some time, a new application Y is been studied, among others, by [180], [257]. In order to
integrated into SG. Data modeling is the key to whether this compress the size of disturbance signals and reduce sinusoidal
new application can understand the historical data and obtain and white noise in the signals, Ning et al. [180] proposed
enough information from the historical data. a wavelet-based data compression approach for SG. The
IEEE P2030 [109] pointed out that ontology may be a good proposed method can be implemented in SG to mitigate data
option, because it is becoming an increasingly popular way congestion and improve data transmission and quality. Wang
of providing a data model with formal semantics based on a et al. [257] applied the singular value decomposition analysis
shared understanding that is machine-readable. Ontology helps to examine the coupling structure of an electrical power grid
convey knowledge in a formal fashion, just like a programming in order to highlight opportunities for reducing the network
language conveys mathematics in a formal fashion. With ontol- traffic, by identifying what are the salient data that need
ogy, one speaks of concepts in a subject area, and relationships to be communicated between parts of the infrastructure to
between them. Like a programming language, it helps define, apply a control action. They found that typical grid admittance
clarify, and standardize what is being discussed. Another matrices have singular values and vectors with only a small
reason that ontology-based strategies are commonly used with number of strong components.
success in creating and manipulating data models is that
they provide easy export or translation to Extensible Markup
Language (XML) or Unified Modeling Language (UML), C. Summary and Future Research
which provides for a great deal of information interoperability. In this section, we reviewed the works on the smart infor-
2) Information Analysis, Integration, and Optimization: mation subsystem, especially information metering, measure-
Information analysis is needed to support the processing, inter- ment, and management in SG. We list the following challenges
pretation, and correlation of the flood of new grid observations, and possible directions worth exploring.
since the widely deployed metering and monitoring systems 1) Effective information store: A large amount of informa-
in SG will generate a large amount of data for the utility. tion, such as the data from smart meters, sensors, and PMUs,
As mentioned in [109], one part of the analytics would be will be sampled in SG, and sent to the control system. One
performed by existing applications, and another part of the important problem is what information should be stored in
analytics dimension is with new applications and the ability the control system so that meaningful system or user history
of engineers to use a workbench to create their customized can be constructed from this data. Note that system history is
analytics dashboard in a self-service model. important for analyzing system operations, and user history is
Information integration aims at the merging of information important for analyzing user behaviors and bills. Considering
from disparate sources with differing conceptual, contextual, that the amount of information received by the control system
and typographical representations. In SG, a large amount of is huge, solving this problem is challenging.
information has to be integrated. First, the data generated by We suggest using data mining, machine learning, and infor-
new components enabled in SG may be integrated into the mation retrieval techniques to analyze the information and thus
existing applications, and metadata stored in legacy systems obtain the representative data. Furthermore, the correlation
may also be used by new applications in SG to provide among some data may be high. For example, the smart meter
new interpretations. IEEE P2030 [109] indicated that data readings must be similar when no activity takes place at home.
integrity and name services must be considered in information This opens a door for significantly reducing the amount of
integration. Data integrity includes verification and cross- information needed to store by using data compression. In
correlation of information for validity, and designation of addition, database tools should be used to organize, store, and
authoritative sources. Name service addresses the common retrieve this data.
2) The utilization of cloud computing: Cloud comput- VI. S MART I NFRASTRUCTURE S YSTEM III - S MART
ing has been envisioned as the next-generation computing C OMMUNICATION S UBSYSTEM
paradigm for its major advantages in on-demand self-service, The third part in the smart infrastructure system is the smart
ubiquitous network access, location independent resource communication subsystem. This subsystem is responsible
pooling, and transference of risk [99]. The basic idea of for communication connectivity and information transmission
cloud computing is that the cloud providers, who operate among systems, devices, and applications in the context of the
large data centers with massive computation and storage SG.
capacities, deliver computing as a service, whereby shared In this section, we first give an overview of the smart com-
resources, software and information are provided to computers munication subsystem in SG. We then describe wireless and
and other devices as a utility over a network. Integrating cloud wired communication technologies in Sections VI-B and VI-C,
computing may improve the information management in SG. respectively. In Section VI-D, we describe how to manage end-
First, since cloud providers have massive computation and to-end communications in this heterogenous communication
storage capacities, they can design some basic and generic system, where various communication technologies, network
information management services for electric utilities. There- structures, and devices may be used. We finally outline some
fore, electric utilities can focus on more advanced and compli- future research directions and challenges.
cated information management functions, while outsourcing
the basic and generic information management functions to A. An Overview
the cloud. As a result, electric utilities do not have to develop
the information management functions from scratch. This is The most important question in the communication sub-
system is, “What networking and communication technology
especially useful for small utilities or even personal users
who provide power service. Let us consider an example. should be used?” While there is a general agreement on the
Since distributed renewable generations are expected to be need for communication networks to support a two-way flow
of information between the various entities in the electric grid,
widely used in the emerging SG, a user equipped with a
distributed renewable generator may want to sell his excess there is still much debate on what specific technologies should
energy to other users nearby. This user can outsource the be used in each SG application domain and how they should
basic information storage and management to the cloud, and be implemented [231]. One reason why this is still not clear
thus has no need to design his own information management is that the SG consists of many different types of networks,
including for example
system.
Second, cloud computing may be able to improve the 1) Enterprise bus that connects control center applications,
information integration level in SG. For example, as mentioned markets, and generators;
before in most cases, the information in each department 2) Wide area networks that connect geographically distant
is not easily accessible by applications and users in other sites;
departments or organizations. These “islands of information” 3) Field area networks that connect devices, such as in-
correspond to islands of autonomous business activities. If all telligent electronic devices that control circuit breakers
the information is stored and managed by a cloud, it actually and transformers;
provides a relatively cost-effective way to integrate these 4) Premises networks that include customer networks as
islands of information. As stated by Rusitschka et al. in [215], well as utility networks within the customer domain.
the ease-of-interfacing with the cloud has the potential to Although thus far the answer is not clear, since reliable and
create usable de facto standards while enabling interoperability effective information exchange is a key to the success of the
and extensibility. future SG, a communication subsystem in an SG must at least
Although using cloud computing may improve the informa- satisfy the following basic requirements:
tion management in SG, it also poses many challenges. First, 1) The communication subsystem must support the quality
information security and privacy must be the major concern of service (QoS) of data [144]. This is because the
of electric utilities, since the information storage and man- critical data (e.g. the grid status information) must be
agement is out of the control of electric utilities. Rusitschka delivered promptly.
et al. [215] discussed the confidentiality and privacy issues, 2) The communication subsystem must be highly reliable.
and proposed some solutions, including designing multi-tenant Since a large number of devices will be connected and
data architectures, and applying pseudonymization or crypto- different devices and communication technologies will
graphic hashes. Second, it is unlikely that an electric utility be used, guaranteeing the reliability of such a large and
outsources all the information management functions to the heterogeneous network is not a trivial task.
cloud. Therefore, we ask two questions: 3) The communication subsystem must be pervasively
available and have a high coverage. This is mandated
by the principle that the SG can respond to any event
1) From the cloud provider’s perspective, which infor- in the grid in time.
mation management services should be provided to 4) The communication subsystem must guarantee security
maximize its own profit? and privacy. In Section VIII, we will discuss the security
2) From the electric utility’ perspective, which information and privacy issues of information transmission in SG.
management functions should be outsourced and which In the rest of this section, we focus on the communication
should be operated by itself to maximize its own profit? and networking technologies which are applicable in SG. We
Communication Technologies
Wireless Wired
Wireless Mesh Cellular Cognitive IEEE 802.15 Satellite Microwave or Free-Space

Network Communications Radio [3], [70] Communications Optical Communications
[2], [3] [3], [102] [82], [161] [177], [264] [57], [90], [242] [27], [60]
[81], [90] [106], [109] [202], [203]
[232] Fiber-Optic Powerline
Communications Communications
[90], [163] [16], [54], [73], [76]
[77], [78], [90], [131]
[149], [165], [195]
[208], [262], [273]
Fig. 11. Classification of Relevant Research in Communication Technologies in SG
describe wireless and wired communication technologies in communications. In the SG, a large amount of data, such
Sections VI-B and VI-C, respectively. Fig. 11 shows a clas- as the information from smart meters, sensors, and pha-
sification of the works related to communication technologies sor measurement units (PMUs), will be generated and
in SG. Fig. 12 shows an example of a communication network sent to the control system. A communication network
used in SG. with large coverage and high data rate is necessary.
Traditionally, electricity power grid and WMN are two
B. Wireless Technologies parallel concepts. In the literature, there exists a large amount
Wireless technologies not only offer significant benefits of works focused on WMN technologies. An excellent survey
over wired technologies, such as low installation cost, rapid on the general concepts of WMNs can be found in [2]. The
deployment, mobility, etc., but are also more suitable for emerging SG will attempt to integrate WMN into power grid.
remote end applications [193]. Wireless communication has Recently, some researchers have conducted some studies
already been widely used in our daily life and can be deployed along this line. Gharavi and Hu [81] presented a multi-gate
anywhere and anytime. We list the following important wire- mesh network architecture to handle real-time traffic for the
less communication and networking technologies which may last mile communication. The multigate routing is based on a
be applicable in future SG. flexible mesh network architecture that expands on the hybrid
Wireless Mesh Network: Wireless mesh network (WMN), tree routing of the IEEE 802.11s. The network is specifically
which is a communication network made up of radio nodes designed to operate in a multi-gateway structure in order to
organized in a mesh topology, has emerged as a key tech- meet the SG requirements in terms of reliability, self-healing,
nology for next-generation wireless networking [2]. Industrial and throughput performance. More detailed studies on wireless
standards groups, such as IEEE 802.11 and 802.16, are all mesh technologies used in electric power system can be found
actively working on new specifications for WMNs. A WMN in [3], [90].
also provides basic networking infrastructure for the commu- Cellular Communication Systems: A cellular communica-
nications in SG. Some of the benefits of using WMNs in SG tion system, such as GSM [174] and 3G (WCDMA [103] and
are highlighted as follows: CDMA-2000 [263]), is a radio network distributed over land
1) Increased communication reliability and automatic net- areas called cells, each served by at least one fixed-location
work connectivity: Since redundant paths usually exist transceiver known as a cell site or base station. It has been
in WMNs, network robustness against potential prob- a proven mature technology for data transmission for several
lems, e.g., node failures and path failures, can be im- decades. By using the existing 3G (or even 4G [105]) cellular
proved. Furthermore, generally speaking a WMN is self- communication systems, it is quick and inexpensive to obtain
organized and self-configured. This feature is crucial data communications coverage over a large geographic area
for electric system automation, since it enables electric [3].
utilities to cope with new connectivity requirements Researchers have also conducted some studies on cellular
driven by customer demands [90]. communications for the SG. For example, Hung et al. [106]
2) Large coverage and high data rate: WiMAX mesh studied a new network model in which sensor/relay nodes
network can enable both long distance and high data rate can also communicate with other back-end nodes using a
Satellite
WiFi Satellite
Communications
Free-space
Microwave
Optical
Communications
Wireless Mesh Access Communications
Point
Base
Station
Electric
Utility
Cellular
Zigbee Powerline
Powerline Communications
Communications
Communications
Residential
Community
Substation
Fig. 12. An example of a communication network in SG: User devices and smart meters use ZigBee, WiFi, and powerline communications. Wireless mesh
networks are used for information exchanges between users. Communities are connected to their electric utility via free-space optical, satellite, microwave,
or cellular systems. A substation communicates with an electric utility over the powerline.
wide area network such as the cellular network, and proved energy and spectrum efficient designs of cognitive radio based
that the delay and cost of transmitting data can be reduced. wireless sensor networks at the smart grid utility. Their design
Hochgraf et al. [102] proposed to use the GSM network and provides a reliable and low-latency routing support for large-
Short Message Service (SMS) messages as an option for SG scale cognitive SG networks. Qiu et al. [202] built a real-
communications, and presented a system that provides the time CR network testbed, which can help tie together CRs
control of thousands of mobile electric vehicle (EV) chargers in the next-generation SG network. Later, Qiu et al. [203]
using a simple SMS message interface. In addition, using 3G systematically investigated the idea of applying CR for SG,
cellular communication system as the backhaul network has studied system architecture, algorithms, and hardware testbed,
also been recommended by IEEE P2030 [109]. Compared with and proposed a microgrid testbed supporting both power flow
WMN, the biggest strength of cellular communication systems and information flow.
is the pervasiveness of this mature technology.
Wireless Communications based on 802.15.4: Three wire-
Cognitive Radio: The communication system in SG needs to less communication technologies based on IEEE 802.15.4
be designed to accommodate the current management require- protocol stack are recommended to be used in SG [3]. They
ments as well as the potential demand of future applications. are ZigBee, WirelessHART, and ISA100.11a. ZigBee is a
It is likely that unlicensed spectrum will also be used when wireless technology which is designed for radio-frequency
SG is in large-scale commercial use. applications that require low data rate, long battery life, and
Ghassemi et al. [82] proposed an application of cognitive secure networking. It might be one of the most widely used
radio for the SG based on the IEEE 802.22 standard. In rural communication technologies in the customer home network.
areas, the standalone option can provide broadband access to The ZigBee and ZigBee Smart Energy Profile (SEP) have
the geographically spread customers. In urban areas, IEEE been defined as one of the communication standards for use
802.22 transceivers can be used as secondary radios to handle in the customer premise network domain of the SG by the
high volumes of non-critical data and also act as backup radios U.S. National Institute of Standards and Technology (NIST)
in emergency situations. Ma et al. [161] proposed to commu- [177]. It has also been selected by many electric utilities as
nicate through a cognitive radio link between the sensors at the the communication technology for the smart metering devices
consumer side and the control center of the SG. Therefore, the [70], since it provides a standardized platform for exchanging
state estimator needs to adjust to this new communication link data between smart metering devices and appliances located
as the link is affected by primary users. This link is governed on customer premises. The features supported by the SEP
by multiple semi-Markov processes each of which can capture include demand response, advanced metering support, real-
and model one channel of the cognitive radio system. Sreesha time pricing, text messaging, and load control [264].
et al. [232] proposed a multi-layered approach to provide WirelessHART utilizes a time synchronized, self-
organizing, and self-healing mesh architecture, and supports also provide point-to-point solutions suitable for use in dense
operation in the 2.4 GHz band using IEEE 802.15.4 standard urban areas where microwave solutions are impractical from
radios. Developed as a multi-vendor, interoperable wireless an interference standpoint [27].
standard, WirelessHART was defined for the requirements Therefore, one important application of microwave or free-
of process field device networks. ISA100.11a is an open space optical point-to-point communications is to build up SG
wireless networking technology standard developed by the communication backhaul networks. This is especially impor-
International Society of Automation. The official description tant in rural or remote areas, where using other wireless or
is “Wireless Systems for Industrial Automation: Process wired technologies is costly or even impossible. However, both
Control and Related Applications.” For wireless sensor microwave communication and free-space optical communica-
network applications in SG, such as a substation or a tion are line of sight communication technologies. Therefore,
generation plant, it is recommended to use WirelessHART or their communication qualities are greatly affected by obstacles
ISA100.11a. These two standards are similar in functionality, (e.g. buildings and hills) and environmental constraints (e.g.
and therefore either standard is suitable for deployment [3]. rain fade).
Satellite Communications: Satellite communication is a Remarks: It is clear that wireless communication technologies
good solution for remote control and monitoring, since it are important for future SG, and that different technologies
provides global coverage and rapid installation [90]. In some might be applicable. In order to assess the suitability of
scenarios where no communication infrastructure exists, es- various wireless technologies for meeting the communication
pecially for remote substations and generation deployments, requirements of SG applications, Souryal et al. [231]
satellite communication is a cost-effective solution. For exam- presented a methodology to evaluate wireless technologies.
ple, Deep et al. [57] pointed out that with remote generation The proposed approach to modeling wireless communications
deployments, such as those based on wind energy, a cost- first identifies the various applications utilizing a specific link.
effective communication system with global coverage using Second, it translates the requirements of these applications to
satellite technology would be advantageous. Such communi- link traffic characteristics in the form of a link layer arrival
cation can be easily set up by only acquiring the necessary rate and average message size. Third, it uses coverage analysis
satellite communication equipment. Note that some utilities to determine the maximum range of the technology under an
have already installed such equipment for rural substations outage constraint and for a given set of channel propagation
monitoring [242]. Furthermore, a terrestrial-only architecture parameters. Finally, using the link traffic characteristics and
is vulnerable to disasters or communication system failures on coverage area determined above, it employs a model to
the ground. Therefore, in order to ensure the fail-safe operation measure link performance in terms of reliability, delay, and
and the delivery of critical data traffic in disasters or terrestrial throughput.
communication system failures, satellites can be used as a
backup for the existing grid communication networks.
However, we should also note the disadvantages of satellite
C. Wired Technologies
communications. There are two major shortcomings. First,
a satellite communication system has a substantially higher It is also believed that wired communication technologies
delay than that of a terrestrial communication system. This will be integrated into SG. We list the following important
makes some protocols (e.g. TCP), which are originally de- wired communication technologies.
signed for terrestrial communication, unsuitable for satellite Fiber-optic Communications: There is a long history of the
communications [90]. Second, satellite channel characteristics use of fiber communications by large power companies to
vary depending on the effect of fading and the weather connect their generation network with their network control
conditions. This property can heavily degrade the performance facilities. Furthermore, its electromagnetic and radio interfer-
of the whole satellite communication system [104]. ence immunity make fiber-optic communication ideal for high
Microwave or Free-Space Optical Communications: voltage operating environment [163].
Microwave technologies are widely used for point-to-point Due to its high bandwidth capacity and immunity charac-
communications, since their small wavelength allows use teristics, it is believed that optical fibers will play an important
of conveniently sized directional antennas to obtain secure role for the information network backbones in future SG
information transmission at high bandwidths. The report by [90]. Although it is well-known that the installment cost of
Donegan [60] pointed out that over 50% of the world’s mobile optical fibers may be expensive, fiber optic network is still
base stations are connected using point-to-point microwave a cost-effective communication infrastructure for high speed
technologies. For over 20 years, microwave has been the communication network backbones in future SG, since such
primary solution for rapidly rolling out cost-effective mobile fibers are already widely deployed in today’s communication
backhaul infrastructure worldwide [148]. network backbones, with a large amount of spare capacity
Free-space optical communication is an optical communi- being unused.
cation technology that can use light propagating in free space Powerline Communications: Powerline communications
to transmit point-to-point data. It provides high bit rates with (PLC) is a technology for carrying data on a conductor also
low bit error rates. Furthermore, it is very secure due to the used for electric power transmission. In the last decades, utility
high directionality and narrowness of the beams. In addition companies around the world have been using PLC for remote
to providing long-distance point-to-point communication in metering and load control applications [73]. The debate on
remote or rural areas, these “optical wireless” technologies what is the actual role of PLC in future SG is still open.
Some advocate that PLC is a very good candidate for some constants–are derived based on the lumped-element circuit
applications [78], [208], while others express concerns on model. Zimmermann and Dostert et al. [273] analyzed and
PLC (e.g. the security issue due to the nature of powerlines) tried to model impulsive noise in broadband PLC. Refer to
[149], [195]. Although the SG could use many different [73] for more works along the research on channel modeling
communications technologies, without a doubt, PLC is the and analysis methods for PLC.
only wired technology that has deployment cost comparable
to wireless technologies since the lines are already there [78].
D. End-to-end Communication Management
Technically, in PLC power electronics are used to ma-
nipulate high-voltage waveforms for signal and information One important issue in the communication subsystem is the
oriented applications [262]. For example, a thyristor or similar end-to-end communication management. More specifically, in
device is used to create a waveform disturbance such as a this heterogenous communication subsystem where various
very small but detectable voltage sag. The existence of the communication technologies, network structures, and devices
sag implies digital “1” and no sag implies digital “0.” may be used, we need to identify each entity (probably by
Although how to most effectively utilize PLC is still not giving a unique ID for each one), and solve the problem of
clear, Galli et al. [78] predicted that PLC may be more suitable how to manage end-to-end communications (perhaps between
for the distribution grid. Traditional substations in the medium any pair of entities).
voltage distribution grids are not equipped with communica- Recently, there is a growing trend towards the use of TCP/IP
tions capabilities. Thus using the existing powerline infrastruc- technology (usually based on IPv6 address) as a common and
ture represents an appealing alternative to the installation of consistent approach in order to achieve end-to-end communi-
new communication links. This enables the information about cations [18], [46], [129], [153], [154], [177], [223]. TCP/IP is
state and event to flow among substations within a grid. In low an easy solution to the problem of managing systems based
voltage distribution grids (close to the homes), there also exist on incompatible lower layer technologies. Therefore electric
a large number of applications of PLC. First, narrowband PLC utilities can deploy multiple communication systems, while
is well suited for smart metering infrastructure [208]. Second, using TCP/IP technology as a common management platform
PLC enables the communications between electric vehicles for maintaining end-to-end communications, and enjoy the
and power grid via powerline without introducing other wired high rate of innovation (and competition) focused around the
or wireless equipments. Third, broadband PLC can provide the TCP/IP protocol suite.
service of transferring data seamlessly from SG controllers to NIST also indicated that there are a number of benefits that
home networks and vice versa. make TCP/IP an important SG technology, including the ma-
The most urgent task for the research on PLC might be a turity of a large number of standards, the availability of tools
comprehensive theoretical understanding. Most of the works and applications that can be applied to SG environments, and
are focused on the ultimate performance that can be achieved its widespread use in both private and public networks [177].
over the powerline channel [90]. In order to further utilize If an application does not support TCP/IP natively, it may
PLC, we need to have a better understanding of the powerline still be possible to implement encapsulation, gateway, or semi-
channel, since it is a complicated and noisy medium disturbed transparent tunneling by providing a special communication
by noise, external emissions, and frequent impedance alter- interface for this application.
ations. Some researchers have investigated channel modeling
and analysis methods for PLC, such as [16], [54], [76], [77],
E. Summary and Future Research
[131], [165], [273].
Barmada et al. [16] studied load-time variation in PLC In this section, we reviewed the works on the smart com-
systems and analyzed asynchronous impulsive noise and re- munication subsystem, including wireless technologies, wired
lated channel variations due to switch commutations. Corripio technologies, and end-to-end communication management. We
et al. [54] analyzed the properties of indoor PLC channels list the following challenges and possible directions worth
when they are used for broadband transmission. It is shown exploring.
that these channels exhibit a short-term variation. Galli [76] 1) Interoperability of communication technologies: Since
reported for the first time some statistical properties of indoor many different communication protocols and technologies will
powerline channel that exhibit some interesting similarities be used in SG, and each of them probably will use its own
to the wireless channel. He also reported for the first time protocols and algorithms, materializing interoperability is not
that both channel gain and root-mean-square delay spread easy.
of indoor channels are lognormally distributed, leptokurtic, Although the framework architecture in the classic layer
and negatively correlated, thus suggesting that channels which model (e.g. the famous Open Systems Interconnection model)
introduce severe multipath fading are also characterized by could provide a promising conceptual solution to this problem,
large attenuation. Konaté et al. [131] studied both frequency it is well-known that this model suffers in some modern
(100 kHz-30 MHz) and time-domain channel modeling in applications. For example, the performance of the pure TCP
inverter driven electrical drives. Meng et al. [165] presented may be very bad in wireless networks since it cannot dif-
an approach to model the transfer function of electrical pow- ferentiate packet loss due to wireless fading from that due
erlines for broadband PLCs. In this approach, the powerline to a real congestion in the network. In order to improve
is approximated as a transmission line, and the two intrinsic the quality of service, under various operational conditions,
parameters–the characteristic impedance and the propagation some functions or services are not tied to a given layer, but
can affect more than one layer. This often requires cross-
layer design and optimization, which may be essential in the
SG. However, interoperability among different communication
technologies, a precursor to cross-layer approaches, is difficult.
We suggest studying the advantages and disadvantages of
cross-layer design in SG communication subsystem consid-
ering interoperability, especially the trade-offs between cross-
layer optimization and the need for interoperability.
2) Dynamics of the communication subsystem: The
communication subsystem underlying an SG may be dynamic,
with topology changes being unpredictable. For example, both
the operation of connecting (or disconnecting) the electric
vehicle (EV) to (or from) the grid and the motion of vehicle
may result in the change of communication network topology.
Note that these operations may not follow a predictable
pattern. The dynamics of an SG communication subsystem Fig. 13. Total California Load Profile for a Hot Day in 1999 [214].
have not been fully explored.
The following two research directions are worth exploring.
assessment is: With the development of new management
First, systematic protocol designs are needed to support topol-
applications and services that can leverage the technology and
ogy dynamics. For example, communication protocols should
capability upgrades enabled by this advanced infrastructure the
deal with topology reconfiguration in the connect-disconnect
grid will keep becoming “smarter.”
operation of EVs. Second, dynamic resource allocation algo-
rithms are needed to support topology dynamics. For example, For example, let us consider demand response, one of the
due to the topology change, the network resources (e.g. band- most important concepts supported by SG. Traditionally, the
width) may need to be reallocated to optimize performance. electric utilities try to match the supply to the demand for
3) Smoothly updating existing protocols: The current energy. However, this may be not only expensive but also
power grid has used several protocols to realize simple data impractical, perhaps impossible in the longer run. This is
communications. For example, the currently used metering and because the total amount of power demand by the users can
Supervisory Control and Data Acquisition Systems (SCADA) have a very widespread probability distribution, which requires
[176] protocols are based on a simple request/response scheme spare generating plants in standby mode to respond to the
with their own addressing [223]. One problem is how to rapidly changing power usage. The last 10% of generating
smoothly update existing protocols to the ones which are capacity may be required in as little as 1% of the time. The
applicable in future SG. For example, as stated in Section attempts to meet the demand could fail, resulting in brownouts
VI-D, for the end-to-end communication management, even (i.e. a drop in voltage), blackouts (i.e. electrical power outage),
if an application does not support TCP/IP natively, it may and even cascading failures. In SG, demand response manages
still be possible to implement the encapsulation, gateway, or the customer consumption of electricity in response to supply
semi-transparent tunneling for this application. However, en- conditions. More specifically, by using demand response, SG
capsulating such SCADA and metering protocols into mature does not need to match the supply to the demand, but in
TCP/IP protocols generates an overhead without additional contrast, to match the demand to the available supply by
benefit, and thus is deliberately not considered [223]. How using control technology or convincing the consumers (such
to smoothly transit the systems using these protocols to the as through variable pricing) thus achieving better capacity
ones applicable in future SG is still an open question. utilization.
For this open question, we may be able to borrow from For example, Fig.13 shows the total energy usage pattern
industry the idea of how to smoothly update old IPv4 networks during a twenty-four hour period for a typical hot day in
to new IPv6 networks. For example, this transition can be California (1999) [214]. As we can see, the total demand from
done in two stages: 1) the system can communicate using 14:00PM to 18:00PM is much higher than the average. In an
pre-existing old protocols and also TCP/IP and 2) the system SG, smart management by a smart meter can reduce energy
operates by only using TCP/IP. A complete solution along this consumptions by turning off non-essential devices during peak
line is desired. time in a way that the peak total demand can be reduced.
In this section, we explore smart management in SG. We
VII. S MART M ANAGEMENT S YSTEM first classify smart management techniques according to their
In SG two-way flows of electricity and information are management objectives and then according to their manage-
supported, which lay the foundation for realizing various ment methods and tools.
functions and management objectives, such as energy effi-
ciency improvement, operation cost reduction, demand and
A. Management Objectives
supply balance, emission control, and utility maximization. A
common superficial understanding about SG is that only the Within the framework of SG, many management goals,
energy, information and communication infrastructure under- which are difficult and possibly infeasible to realize in con-
lying the SG is smart. This is not true. The more accurate ventional power grids, become possible and easy. So far, the
Management Objectives
Energy Efficiency and Utility, Cost, and Price Emission

Demand Profile [14], [32]
[86], [151]
Utility and Cost Price [218]
Demand Profile Energy Loss
Shaping Minimization [213]
[14], [37], [40] [10], [12]
[83], [108], [130] [185], [228] Individual Multiple Electricity
[171], [170] User Users Industry
[188], [236] [32], [40] [98], [220] [37], [74]
[53], [69] [83], [89]
[95], [108] [120], [150]
[120], [171] [171], [178]
[170], [188] [206], [218]
Fig. 14. Classification of Management Objectives
works for smart management mainly focus on the following the grid, by using a network congestion game, where each
three objectives: user allocates demand as a response to other users’ actions.
1) Energy efficiency and demand profile improvement; Kishore and Snyder [130] first presented an optimization
2) Utility and cost optimization, and price stabilization; model for determining the timing of appliance operation to
3) Emission control. take advantage of lower electricity rates during off-peak peri-
Fig. 14 shows a detailed classification of the research works ods. They then proposed a distributed scheduling mechanism
related to these management objectives. to reduce peak demand within a neighborhood of homes.
The research on energy efficiency and demand profile They finally introduced a more powerful energy management
mainly focuses on two topics. The first one can be categorized optimization model, based on dynamic programming, which
as demand profile shaping. It can help match the demand to accounts for electricity capacity constraints. Mohsenian-Rad
the available supply. The usual way to shape demand profile is and Leon-Garcia [170] proposed an optimal and automatic
shifting, scheduling, or reducing demand in order to reshape residential energy consumption scheduling framework, which
a demand profile full of peaks to a nicely smoothed demand attempts to achieve a desired trade-off between minimizing
profile, or reduce the peak-to-average ratio or peak demand of the electricity payment and minimizing the waiting time for
the total energy demand [14], [37], [40], [83], [108], [130], the operation of each appliance. Mohsenian-Rad et al. [171]
[170], [171], [188], [236]. As discussed before, since electri- discovered that by adopting pricing tariffs which differentiate
cal generation and transmission systems are generally sized the energy usage in time and level, the global optimal perfor-
to correspond to peak demand, lowering peak demand and mance is achieved at a Nash equilibrium of the formulated
smoothing demand profile reduces overall plant and capital energy consumption scheduling game. O’Neill et al. [188]
cost requirements, and also increases the system reliability. proposed an online learning algorithm to reduce residential
Next we briefly describe these research works. energy costs and smooth energy usage. Taneja et al. [236]
Bakker et al. [14] designed a three step control and opti- introduced a generalized measure of dispatchability of energy
mization strategy and focused on the control algorithms used (called slack), identified two classes of dispatchable energy
to reshape the energy demand profile of a large group of build- loads, and created models for these loads to match their
ings and their requirements. Caron and Kesidis [37] proposed consumption to the generation of energy sources. Ghosh et al.
a dynamic pricing scheme incentivizing consumers to achieve [83] designed an optimal incentive mechanism offered to
an aggregate load profile suitable for utilities, and studied energy customers. According to their mechanism, customers
how close they can get to an ideal flat profile. Chen et al. who are more willing to reduce their aggregate demand over
[40] studied two abstract market models for designing demand the entire horizon, which consists of multiple periods, rather
response to match power supply and shape power demand. than simply shifting their load to off-peak periods, tend to
They characterized the resulting equilibria in competitive as receive higher incentives, and vice versa.
well as oligopolistic markets, and proposed distributed demand The second topic of energy efficiency and demand profile
response algorithms to achieve the equilibria. Ibars et al. is minimizing energy loss. However, using distributed energy
[108] aimed to smooth the electric demand curve and avoid generation in SG makes this problem more complicated. In
overloading both the generation and distribution capacity of order to minimize the system energy loss, Ochoa and Harrison
[185] proposed to determine the optimal accommodation of Considering the importance of microgrids and G2V/V2G,
distributed renewable energy generation for minimizing energy we particularly list the works related to them.
loss by using an optimal multi-period alternating current power Microgrids: Guan et al. [89] applied microgrid technology
flow. Atwa et al. [12] aimed to minimize energy loss through to minimize the overall cost of electricity and natural gas for
the optimal mix of statistically-modeled renewable sources. a building operation while satisfying the energy balance and
Aquino-Lugo and Overbye [10] presented a decentralized complicated operating constraints of individual energy supply
optimization algorithm to minimize power losses in the dis- equipment and devices. The results showed that through
tribution grids. integrated scheduling and control of various energy supply
sources of the building, significant energy cost saving can be
We have reviewed the works on energy efficiency and
achieved. Vandoorn et al. [249] presented a method for active
demand profile improvement in the above. Improving utility,
load control in islanded microgrids, which is triggered by the
increasing profit, and reducing cost are also important manage-
microgrid voltage level. This is enabled by using the voltage-
ment objectives. Researchers realize these objectives in various
droop control strategy and its specific properties. It is shown
levels and from various perspectives, such as individual user
that the presented demand dispatch strategy leads to reduction
cost/bill or profit [32], [40], [53], [69], [95], [120], [170],
of line losses and that with the combination of the active power
[171], [188], single energy bill or aggregate utility of a group
control and the presented active load control, the renewable
of users [98], [220], cost or utility of electricity industry and
energy can be exploited optimally. A review of challenges to
system [37], [74], [83], [89], [120], [150], [171], [178], [206],
power management in microgrids can be found in [52].
[218]. Stabilization of prices is also a research topic in SG,
G2V/V2G: As stated in Section IV-D, in G2V, high pene-
since relaying the real-time wholesale market prices to the
tration levels of uncoordinated electric vehicle (EV) charging
end consumers creates a closed loop feedback system which
will significantly reduce power system performance and ef-
could be unstable or lack robustness, leading to price volatility.
ficiency, and even cause overloading. Coordinated charging
Roozbehani et al. [213] therefore developed a mathematical
has hence been proposed to mitigate these negative impacts
model for characterization of the dynamic evolution of supply,
using stochastic programming [48], [49], quadratic optimiza-
demand, and market clearing (locational marginal) prices
tion [93], particle swarm optimization [218], and dynamic
under real-time pricing, and presented a stabilizing pricing
programming [95]. Recall that particle swarm optimization
algorithm.
can solve complex constrained optimization problems quickly,
Emission control, another important management objective with accuracy and without any dimensional limitation and
in the electric power industry, has a significant influence on physical computer memory limit. In the context of coordinated
environment protection. However, note that minimizing gener- EV charging, Sortomme et al. [228] studied the relationship
ation cost or maximizing utility/profit is not directly equivalent between feeder losses, load factor, and load variance. They
to minimizing emission by utilizing renewable energy as much showed the benefits of reduced computation time and problem
as possible. This is because, generally speaking, the cost of complexity, when we use load variance or load factor as
power generation from renewable energy source is not always the objective function rather than system losses. Another
the lowest. Therefore, as suggested by Gormus et al. [86], interesting work is done by Pan et al. in [192]. Instead of
environmental impact of energy produced from fossil fuels attempting to find an optimized power dispatching approach,
should be factored into the demand scheduling algorithm as they explored how to aptly place EV infrastructures like
a cost parameter which may result in more peak loads to be battery exchange stations so that they can support both the
moved to the periods where renewable sources have a higher transportation system and the power grid.
percentage in the generation mix. However, individual users In V2G, we often discharge the battery to deliver the
should be willing to accept their appliances to be scheduled power to the grid and then recharge it later when the price
according to the requirements of low carbon scheduling. In is low. Therefore, a key question is how to determine the
addition, many researchers have also investigated how to appropriate charge and discharge times throughout the day,
optimize emission reduction. Saber and Venayagamoorthy taking into account the requirements of both vehicle owners
[218] studied how to take advantage of both plug-in hybrid and utility. Hutson et al. [107] studied this problem and
electric vehicles and renewable resources to reduce emission. used binary particle swarm optimization to look for optimal
Bakker et al. [14] presented a three step control strategy solutions that maximize profits to vehicle owners while sat-
to optimize the overall energy efficiency and increase gen- isfying system and vehicle owners’ constraints. In addition,
eration from renewable resources with the ultimate goal to Lund and Kempton [159] analyzed the positive influence of
reduce the CO2 emission caused by electricity generation. Bu V2G on integration of renewable energy into the electricity
et al. [32] modeled the stochastic power demand loads as a sectors. Since today’s abundant renewable energy resources
Markov-modulated Poisson process, and formulated the unit have fluctuating output, to increase the fraction of electricity
commitment scheduling problem of power generation systems from them, we must learn to maintain a balance between
as a partially observable Markov decision process multi-armed demand and supply. V2G technology can provide storage,
bandit problem. By adjusting the pollutant emission costs, the matching the time of generation to time of load. They found
CO2 emissions can be reduced. Liu and Xu [151] performed that adding V2G to these national energy systems allows
a mathematical analysis for the effects of wind power on integration of much higher levels of wind electricity without
emission control, and developed a load dispatch model to excess electric production, and also greatly reduces national
minimize the emission. CO2 emissions.
Management Methods and Tools
Optimization Machine Learning Game Theory Auction

[69], [188] [108], [171] [94], [169]
Convex Dynamic Stochastic Robust Particle Swarm

Programming Programming Programming Programming Optimization
[120], [170] [8], [95] [48], [49], [150] [53] [107], [168]
[220], [228] [130], [172] [178], [194], [192] [217], [218]
Fig. 15. Classification of Management Methods and Tools
B. Management Methods and Tools example, Ibars et al. [108] proposed a distributed solution
based on a network congestion game to guarantee that the
In order to solve management objectives, researchers have
optimal local solution of each selfish consumer is also the
adopted various methods and tools. Thus far, researchers
solution of a global objective. In [171], by adopting pricing
mainly use optimization, machine learning, game theory, and
tariffs that differentiate the energy usage in time and usage
auction as tools to solve various management problems.
level, the global optimal performance is achieved at the Nash
Fig. 15 shows a classification of the related works.
equilibrium of the formulated energy consumption scheduling
For optimization approaches, the commonly used mathe- game. Another reason why game theory is desirable is that the
matical tools are convex programming [120], [170], [220], emerging SG will lead to the emergence of a large number
[228] and dynamic programming [8], [95], [130], [172]. of markets, which will be akin to multi-player games. For
Since the renewable energy supply is often a time-varying example, the consumers within a microgrid can create a market
process, other optimization techniques such as stochastic pro- for trading energy. Game theory can help us analyze the
gramming [48], [49], [150], [178], [192], [194] and robust resulting market. For example, Chen et al. [40] characterized
programming [53] are also widely used. In addition, since the the resulting equilibria in competitive as well as oligopolistic
particle swarm optimization can solve complex constrained markets, and proposed distributed demand response algorithms
optimization problems quickly, with accuracy and without any to achieve the equilibria.
dimensional limitation and physical computer memory limit, Auction may also be popular in the emerging SG. Dis-
it is also a widely used optimization tool [107], [168], [217], tributed energy generation and microgrid will be widely used
[218]. in SG. As mentioned above, the consumers within a microgrid
Machine learning focuses on the design and development can create a market for trading energy. Bidding and auction
of algorithms that allow control systems to evolve behaviors can be used for energy sale within a local microgrid market.
based on empirical data, such as from sensor or phasor Auction is not limited to the microgrid market. The authors of
measurement unit (PMU) data. O’Neill et al. [188] used online [94], [169] proposed demand reduction bid, a kind of demand
learning application to implicitly estimate the impact of future response programs. Recall that demand response can be used
energy prices and consumer decisions on long term costs, to reduce the system peak load. At the peak load period,
and thus schedule residential device usage. Fang et al. [69] customers send demand reduction bids to the utility with the
used online machine learning to analyze the renewable energy available demand reduction capacity and the price asked for.
resource use strategy in islanded microgrids. More specifically, This program encourages customers to provide load reductions
a customer tries to decide among multiple renewable energy at prices for which they are willing to curtail.
sources which should be used to maximize profit. Although the
power pattern of the renewable energy source is not known in
advance, they proved that when the time horizon is sufficiently
large, on average the upper bound on the gap between the
expected profit obtained at each time slot by using the optimal C. Summary and Future Research
renewable energy source and that by following their strategies Within the framework of SG, many management goals,
is arbitrarily small. Considering that a large number of smart which are difficult and even infeasible to realize in conven-
meters, sensors, and PMUs will be deployed, we believe that tional power grids, become easy and possible.
machine learning will play an important role in analysis and As reviewed in this survey, we found that most of the works
processing of user data and grid states. on the smart management aim to improve energy efficiency,
Game theory is also a strong analysis tool for SG man- shape demand profile, increase utility, and reduce costs and
agement. One reason is that we cannot always expect and emissions based on the advanced SG smart infrastructure.
require all the users to be cooperative. Game theory can We believe that this advanced infrastructure will lead to an
help us design effective schemes to cope with this case. For explosion of functionalities, and that more and more new
management services and applications will emerge. We present speaking, more amount of timely information means smarter
two possible services in the following. management decisions in the management process. There-
1) The integration of pervasive computing and Smart fore, considering the limitation on accessible information,
Grid: Pervasive computing is a post-desktop model in which distributed management systems usually cannot compute a
information processing has been thoroughly integrated into globally optimal decision. We thus need to consider how
everyday objects and activities. Using the information pro- to determine the optimal size of a subgrid controlled by a
vided by pervasive computing, SG is able to serve users distributed management system and how to obtain necessary
more effectively and smartly, and eventually revolutionize timely information, so that the local decision is good enough.
the consumers’ lives. Let us consider a simple example. In 3) Impact of ad-hoc organization of SG: In an SG many
summer, the average high temperature in Phoenix (Arizona, parts (such as solar panels) are deployed in a distributed
USA) area can be over 100◦ F (37.8◦ C) and has spiked over manner, and are even required to work as plug-and-play
120◦ F (48.9◦C). People hope that when they get home, the components. More flexibility from the users’ perspective also
temperature at home is within 60−80◦F . Therefore, the smart leads to more difficulty in system design and management.
meter connected to the air conditioner can periodically inquire This actually opens up many possible research topics.
the position of the house owner by sending the inquiry to the For example, we need to study the self-configuration of the
owner’s smart phone which can obtain the owner’s position power grid, and further how to manage the power dispatching
via GPS. If the smart meter finds the owner coming back in such a self-configured system. Let us consider a more spe-
home, it will decide to turn on the air conditioner in advance cific example. In a power system containing many functioning
so that when the owner gets home, the temperature is within microgrids, when some components stop functioning in one
the comfortable zone. microgrid, it could be interesting to study how to optimally
2) Smart Grid Store: Like “Apple’s Application Store”[9], allocate some resources (e.g. distributed energy generators)
many management applications and services are available from other microgrids to this one to improve the overall
online. Users can choose their expected services and download performance of the whole power system.
them to the local system (e.g. the smart meter). For example, a 4) Impact of utilization of fluctuant and intermittent
user, who needs a management program supporting the smart renewables: The utilization of the renewable resources, such
control of air conditioner mentioned above, can buy such a as wind and solar, also makes management more difficult due
program from the Smart Grid Store online and download it. to their fluctuant and intermittent nature. The management
This Smart Grid Store provides an integrated platform, which system should maintain reliability and satisfy operational
can drive the third party to develop new management programs requirements, meanwhile taking into account the uncertainty
and meantime help users easily customize their management and variability of energy sources.
services. In order to solve the optimization problems related to
Although a smart management system in SG is promising such renewables, we suggest that stochastic programming and
and encouraging, we still face many challenges. We sum- robust programming [53] play more important roles as math-
marize the important challenges and the possible research ematical tools, since they can model optimization problems
directions worth exploring in the following. that involve uncertainty. As discussed in Section IV-E, Markov
1) Regulating emerging markets: As mentioned before, process and online machine learning technology may also be
microgrids could lead to the emergence of new markets among applicable for the analysis of renewable source performance.
users within a microgrid for trading energy. Due to the lack Based on the prediction of renewable source performance, we
of supervision of conventional utilities, it is a challenge to can try to achieve our management objectives.
regulate such new markets.
For example, in an auction market where the consumers VIII. S MART P ROTECTION S YSTEM
within a microgrid trade energy, how to guarantee truthful The smart protection system in SG must address not only
auction is a challenge, since some users could make untruthful inadvertent compromises of the grid infrastructure due to
bids to cheat the seller in order to obtain the benefit which user errors, equipment failures, and natural disasters, but also
they cannot get in truthful bidding. Note that truthful auction deliberate cyber attacks, such as from disgruntled employees,
has been studied for several years. One of the most well- industrial spies, and terrorists.
known auction schemes is the Vickrey-Clarke-Groves (VCG) In this section, we explore the works targeted the smart
scheme [47], [88], [253], which is a type of sealed-bid auction protection system in SG. We first review the works related to
where multiple items are up for bid, and each bidder submits system reliability analysis and failure protection mechanisms,
a different value for each item. This system charges each and then the security and privacy issues in SG.
individual the harm they cause to other bidders, and ensures
that the optimal strategy for a bidder is to bid the true
valuations of the objects. The truthful auction problem in SG A. System Reliability and Failure Protection
may be solved along this line. Reliability is the ability of a component or system to
2) Effectiveness of the distributed management system: perform required functions under stated conditions for a stated
The SG is expected to utilize distributed management sys- period of time. System reliability is an important topic in
tems more often, since distributed generation and plug-and- power grid research and design. In the U.S., the annual cost
play components will be widely used to form autonomous of outages in 2002 was estimated to be in the order of $79B,
and distributed subgrids (e.g. microgrids). However, generally while the total electricity retail revenue was $249B [173].
Furthermore, cascading blackouts could happen. For example, 2) Failure Protection Mechanism: In this subsection, we
in the infamous 2003 East Coast blackout, 50 million people in first review two topics related to failure protection mechanism.
the U.S. and Canada lost power for up to several days [182]. First, failure prediction and prevention play important roles
An initial review of methods for cascading failure analysis in the smart protection system since they attempt to prevent
in power grid systems can be found in [15]. The future SG failures from happening. Second, once the system does fail,
is expected to provide more reliable system operation and failure identification, diagnosis, and recovery are required to
smarter failure protection mechanism. make the system recover from the failure and work normally
1) System Reliability : It is expected that distributed gen- as soon as possible. Fig. 16 shows a classification of the works
eration (DG) will be widely used in SG. While using some related to these two topics. In addition, since the microgrid is
fluctuant and intermittent renewables may compromise the regarded as one of the most important new components in
stability of the grid [61], [132], the authors of [43], [173] the SG vision, we review the works focused on the microgrid
stated that innovative architectures and designs can offer great protection.
promise to connect DGs into the grid without sacrificing Failure Prediction and Prevention: For an SG, one effective
reliability. approach to preventing failures from happening is predicting
the weak points or the region of stability existence in its energy
Chen et al. [43] proposed to take advantage of new ar-
subsystem. Chertkov et al. [44] developed an approach to
chitectures such as microgrid to simplify the impact of DG
efficiently identify the most probable failure modes in static
on the grid. Intuitively, as loads are being served locally
load distribution for a given power network. They found that if
within a microgrid, less power flows within the entire grid
the normal operational mode of the grid is sufficiently healthy,
infrastructure. Thus, the reliability and stability of the SG can
the failure modes are sufficiently sparse, i.e., the failures
be enhanced. They found a very encouraging result that local
are caused by load fluctuations at only a few buses. Their
power generation, even when only introducing a small number
technique can help discover weak links which are saturated at
of local generators into the grid, can reduce the likelihood
the failure modes, and can also identify generators working
of cascading failures dramatically. Moslehi and Kumar [173]
at the capacity and those under the capacity, thus providing
observed that an ideal mix of the SG resources (e.g. distributed
predictive capability for improving the reliability of any power
renewable sources, demand response, and storage) leads to a
system. Vaiman et al. [248] proposed to utilize PMU data
flatter net demand that eventually further improves reliability.
to compute the region of stability existence and operational
However, realizing this requires a systematic approach –
margins. An automated process continuously monitors voltage
developing a common vision for cohesive gridwide integration
constraints, thermal limits, and steady-state stability simulta-
of necessary information technologies. Thus, they proposed an
neously. This approach can be used to improve the reliability
architectural framework to serve as a concrete representation
of the transmission grid and to prevent major blackouts.
of a common vision.
Failure Identification, Diagnosis, and Recovery: Once a
Furthermore, the reliability and stability of an SG also failure occurs, the first step must be quickly locating and
depends on the reliability of the measurement system which identifying the failure to avoid cascading events.
is used to monitor the reliability and stability of the SG. Due to the wide deployment of PMUs in SG, the authors of
Recently, the wide-area measurement system (WAMS) based [237], [238], [272] proposed to take advantage of the phasor
on phasor measurement units (PMUs) is becoming an im- information for line outage detection and network parameter
portant component for the monitoring, control, and protection error identification. Tate and Overbye [237] developed an
functions in SG. In order to analyze the reliability of WAMS, algorithm which uses known system topology information,
Wang et al. [255] presented a quantified reliability evaluation together with PMU phasor angle measurements, to detect
method by combining Markov modeling and state enumera- system line outages. In addition to determining the outaged
tion techniques. This method can be used for evaluating the line, their algorithm also provides an estimate of the pre-
reliability of the backbone communication network in WAMS outage flow on the outaged line. Later, Tate and Overbye
and the overall WAMS from a hardware reliability viewpoint. [238] studied how double line outages can be detected using
Another research topic is using simulation for system relia- a combination of pre-outage topology information and real-
bility analysis. The more accurately a simulation platform can time phase angle measurements that are obtained from PMUs.
emulate the behavior and performance of an SG architecture, Zhu and Abur [272] showed that the identification of certain
the better we will understand its advantages and potential parameter errors based on conventional measurements, no
shortcomings. However, the question is how to build up a matter how redundant they are, may not always be possible.
simulation system which is accurate, flexible, adaptable, and They hence described the need for phasor measurements to
scalable enough. Bou Ghosn et al. [25] utilized an incremental overcome this limitation.
method, beginning with simulating a local microgrid, but with Other works on failure identification and diagnosis in-
a scalable design that can grow hierarchically into a more clude [34], [35], [101], [216]. Sometimes we need to select
complete model. Such a simulator can help us understand proper features to identify the root cause. Cai et al. [34]
SG issues and identify ways to improve the electrical grid. reviewed two popular feature selection methods: 1) hypothesis
Godfrey et al. [85] proposed to model both the communication test, 2) stepwise regression, and introduced another two: 3)
network and the power system in SG using simulation. This stepwise selection by Akaike’s Information Criterion, and 4)
model provides means to examine the effect of communication LASSO/ALASSO. Those algorithms are used to help engi-
failures as a function of the radio transmission power level. neers to find out the information that may be buried under
Failure Protection Mechanism
Failure Prediction and Prevention Failure Identification, Diagnosis, and Recovery

[44], [248]
Failure Identification Grid Self-healing Smart Meter Methodology of

and Locating [145], [205] Data Recovery Failure Processing
[34], [35], [101], [216] [39] [189]
[238], [237], [272]
Fig. 16. Classification of Failure Protection Mechanisms
the massive data. Considering that many events in power from the central controller. They found that when coupled
systems are stochastic, He and Zhang [101] proposed to with a distributed rather than hierarchical communications
use probabilistic graphical models for modeling the spatially architecture, preloading substation and field devices with a
correlated data from PMUs, and to use statistical hypothesis set of next-actions-to-be-taken instructions can significantly
testing for the task of fault diagnosis. Calderaro et al. [35] increase grid reliability while simultaneously reducing real-
carefully designed a Petri Net to capture the modeling details time impact from loss of reliable control.
of the protection system of the distribution grid, and presented Microgrid Protection: Protection of microgrids during nor-
a method based on this Petri Net to detect and identify the mal or island operations is also an important research topic
failures in data transmission and faults in the distribution since microgrids will be widely used in SG. Note that pro-
grid. Note that the Petri net is one of several mathematical tection of a microgrid is strongly related to its control and
modeling languages for the description of distributed systems. operation issues [133]. For example, traditional protection for
Russell and Benner [216] presented some examples of the distribution grids is designed for high fault-current levels in
types of incipient failures that can be detected from substation radial networks. However, during an islanding operation of
electrical waveforms, and described the significant data and the microgrid, high fault-currents from the utility grid are
analysis requirements to enable detection and classification. not present. Moreover, most of the DG units which will
The ability to “self-heal” in the event of failure is expected be connected to the low voltage microgrid will be con-
to be an important characteristic of SG according to the verted/interfaced with limited fault-current feeding capabili-
standards [177] from the National Institute of Standards and ties. This means that the traditional fuse protection of low
Technology (NIST). An effective approach is to divide the voltage network is no longer applicable for microgrid, and that
power grid into small, autonomous islands (e.g. microgrids) new protection methods must be developed. Feero et al. [72]
which can work well during normal operations and also also examined several protection problems that must be dealt
continue working during outages [205]. By appropriately con- with to successfully operate a microgrid when the utility is
trolling the system reconfiguration, the impact of disturbances experiencing abnormal conditions, and pointed out that there
or failures can be restricted within the islands or can be are two distinct sets of problems to solve. The first is how
isolated. Cascading events and further system failures can to determine when an islanded microgrid should be formed in
hence be avoided. Therefore the overall efficiency of system the face of abnormal conditions that the utility can experience.
restoration can be improved [145]. The second is how to provide segments of the microgrid with
Failures could also occur on smart meters so that load sufficient coordinated fault protection while operating as an
data could contain corrupted or missing data. Processing or island separated from the utility.
even recovering such data is important since it contains vital These new issues drive the research on new protection
information for day-to-day operations and system analysis. methods. Various methods for microgrid protection have been
Chen et al. [39] hence presented B-Spline smoothing and proposed in [4], [31], [62], [133], [179], [219], [229], [246].
Kernel smoothing based techniques to cope with this issue Al-Nasseri and Redfern [4] described a relay that uses dis-
and automatically cleanse corrupted and missing data. turbances in the three phase voltages to provide reliable and
In addition, for the methodology of making decision on how fast detection of different types of faults within the microgrid.
to process a failure, Overman and Sackman [189] suggested Brucoli and Green [31] investigated the fault behavior of
that the decision-making ability should be distributed to the inverter-supplied microgrids. They showed that the response
substation and/or field devices; or at the minimum, to preload of the system in the event of a fault is strongly dependent
these distributed devices with sufficient information such that on the inverter control which actively limits the available
they can take corresponding automatic actions in the event fault current. Therefore, the choice of an alternative protection
of a system failure without having to wait for instructions scheme for an islanded microgrid is strongly dependent on
Security and Privacy
Metering and Measurement Information Transmission

[59], [128], [142]
[158], [241]
Smart Metering Monitoring and

Measurement
[21], [55], [152]
Security Privacy [222], [261], [268]
[7], [19], [50] [45], [64], [79], [177]
[162], [164], [250] [121], [143], [140], [147]
[162], [207]
Fig. 17. Classification of the Works on Security and Privacy for SG
the type of control implemented. Driesen et al. [62] discussed on the other hand opens up many new vulnerabilities. Thus in
protection issues concerning DG. Their simulations concern the following, we also discuss many new security and privacy
the effect of local induction generators on protection selec- issues due to the deployment of smart meters, sensors, and
tivity in a system with parallel distribution feeders. Nikkha- PMUs, together with some solutions.
joei and Lasseter [179] indicated that the philosophy for 1) Information Metering and Measurement: Security in
microgrid protection is to have the same protection strategies Smart Metering: One of the security issues comes from
for both islanded and grid-connected operations, and that the newly deployed smart meters. Smart meters are extremely
it is important that the protection functions have plug-and- attractive targets for malicious hackers, since vulnerabilities
play functionality. Laaksonen [133] presented the protection can easily be monetized [162]. Hackers who compromise a
issues of low-voltage microgrids and developed extensions smart meter can immediately manipulate their energy costs
to the low-voltage microgrid protection concept based on or fabricate generated energy meter readings to make money.
simulations with PSCAD simulation software [201]. Tumilty A common consumer fraud in traditional power grid is that
et al. [246] aimed at developing practical protection, control, customers turn a traditional physical meter upside down in
and automation schemes for microgrids, and outlined several the electrical socket to cause the internal usage counters to
schemes covering both urban and rural applications. Sortomme run backward. Due to the use of smart meter, this attack can
et al. [229] proposed a protection scheme using digital relays even be done with remote computers.
with a communication network for the protection of the Moreover, widespread use of smart meters may provide a
microgrid system, explored the increased reliability of adding potentially large number of opportunities for adversaries. For
an additional line to form a loop structure, and demonstrated a example, injecting misinformation could mislead the electric
novel method for modeling high impedance faults to show how utility into making incorrect decisions about local or regional
the protection scheme can protect against them. Salomonsson usage and capacity. Let us consider a simple but probably
et al. [219] proposed a low-voltage DC microgrid protection effective Denial-of-Service (DoS) attack. An adversary forges
system design. They presented the operating principles and the demand request of a smart meter, and keeps requesting
technical data of low-voltage DC protection devices, both a large amount of energy. Within the framework of SG, it is
available and in the research stage. They also discussed possible that the electric utility disconnects all the appliances
different fault-detection and grounding methods. connected to this meter so that all the power services for this
user are denied.
Widespread deployment of smart meters not only leads to a
B. Security and Privacy
potentially large number of opportunities for adversaries, but
Security is a never-ending game of wits, pitting attackers also opens up a door to the cyber attacks which could result in
versus asset owners. SG security is no exception to this broad effects and even large-scale disasters. Let us consider an
paradigm. Cyber security is regarded as one of the biggest example given by Anderson and Fuloria [7]. An ideal attack on
challenges in SG [17], [166], [177]. Vulnerabilities may al- a target country is to interrupt its citizens’ electricity supply.
low an attacker to penetrate a system, obtain user privacy, Until now, the only plausible way to do that involves attacks on
gain access to control software, and alter load conditions critical generation, transmission, and distribution assets, which
to destabilize the grid in unpredictable ways [166]. Fig. 17 are increasingly well defended. However, the emergence of
shows a classification of the works on security and privacy smart meters changes this game. The nightmare scenario is that
for SG. We must note that the advanced infrastructure used a country installs tens of millions of smart meters, controlled
in SG on one hand empowers us to realize more powerful by a few central controllers. The attacker can compromise
mechanisms to defend against attacks and handle failures, but these controllers and send the combination of commands that
will cause meters to interrupt the supply. Such attack could smart metering structure should be rethought in order to
cause disastrous results. replace a unilateral trust assumption with a more multilateral
In order to improve the security of smart metering sys- architecture in which meters have a trusted component and
tems, researchers have investigated many possible attacks enjoy a certain level of autonomy. Kalogridis et al. [121]
and proposed some solutions. Cleveland [50] discussed the introduced a load signature moderation system that protects
security requirements (confidentiality, integrity, availability, smart metering data privacy. They discussed a model in which
and accountability) and related threats to the main components the amount of utility energy required may (partially) hide
of an advanced metering infrastructure (AMI). McLaughlin the consumer’s demand, by configuring a power router to
et al. [164] studied an adversary’s means of defrauding the determine the power provided or required by a rechargeable
electrical grid by manipulating AMI systems, and validated the battery. Such a system allows users to control (to a certain
viability of these attacks by performing penetration testing on degree) their energy usage and their home energy privacy.
commodity devices. They concluded that not only is theft still Security in Monitoring and Measurement: Wide deploy-
possible in AMI systems, but that current AMI devices intro- ment of monitoring and measurement devices (e.g. sensors and
duce a myriad of new vectors for achieving it. To prevent the PMUs) could also lead to system vulnerabilities. The effective
adversary from forging the smart meter reading and guarantee operation of SG depends on the widely-deployed accurate
the reading accuracy, Varodayan and Gao [250] proposed a measurement devices. These measurements are typically trans-
secure method for power suppliers to echo the energy readings mitted to a control center, such as Supervisory Control and
they receive from smart meters back to the customers so that Data Acquisition (SCADA) Systems [176]. State estimators
users can verify the integrity of the smart meter. Further- in the control center estimate the power grid state through
more, their mechanism can guarantee information-theoretic analysis of measurement data and power system models.
confidentiality, therefore solving the potential confidentiality Therefore, it is very important to guarantee the integrity of
leak introduced by the redundant measurement. Berthier et al. the data.
[19] explored the practical needs for monitoring and intrusion A typical attack to compromise data integrity is the stealth
detection through a thorough analysis of the different threats attack (also called false-data injection attack), which was first
targeting an AMI. They indicated that specification-based studied by Liu et al. in [152]. It was shown that an attacker
detection technology has the potential to meet the industry- can manipulate the state estimate without triggering bad-data
strength requirements and constraints of an AMI. However, alarms in the control center. Xie et al. [261] also showed
such technology incurs a high development cost. that with the knowledge of the system configuration, such
Privacy in Smart Metering: Smart meters also have unin- attacks will circumvent the bad-data measurement detections
tended consequences for customer privacy. NIST pointed out in present SCADA systems, and may lead to profitable fi-
that “the major benefit provided by the SG, i.e. the ability to nancial misconduct. In order to estimate how difficult it is
get richer data to and from customer meters and other electric to perform a successful false-data injection attack against
devices, is also its Achilles’ heel from a privacy viewpoint” particular measurements, Sandberg et al. [222] defined se-
[121], [177]. The obvious privacy concern is that the energy curity indices to quantify the least effort needed to achieve
use information stored at the meter acts as an information- attack goals while avoiding bad-data alarms in the power
rich side channel, and can be repurposed by interested parties network control center. Yuan et al. [268] fully developed
to reveal personal information such as individual’s habits, the concept of load redistribution attacks, a special type of
behaviors, activities, preferences, and even beliefs [45], [147], false data injection attacks, and analyzed their damage to
[162]. A small-scale monitoring experiment on a private power system operation in different time steps with different
residence conducted in [147] showed that personal information attacking resource limitations.
can be estimated with high accuracy, even with relatively To prevent such attacks, researchers have proposed various
unsophisticated hardware and algorithms. approaches. Recall that the control center uses state estimators
In order to address the privacy issues of smart meters, some to estimate the power grid state. In [21], it was shown
approaches have been proposed. Li et al. [140] proposed a how one can completely protect a state estimator from these
distributed incremental data aggregation approach, in which unobservable attacks by encrypting a sufficient number of
data aggregation is performed at all smart meters. Homomor- measurement devices. Dán and Sandberg [55] extended the
phic encryption is used to secure the data en route. Hence, works in [21], [222] and proposed two algorithms to place
intermediate meters do not see any intermediate or final result. encrypted devices in the system to maximize their utility in
Li et al. [143] proposed to compress meter readings and use terms of increased system security.
random sequences in the compressed sensing to enhance the
privacy and integrity of the meter readings. Rial and Danezis 2) Information Transmission: It is well-known that the
[207] proposed a privacy-preserving protocol for billing and communication technologies we are using are often not secure
for performing general calculations on fine grained meter enough themselves. It is expected that most of the security and
readings. The Zero-knowledge proofs are used to ensure that privacy issues existing in the general communication networks
the fee is correct without disclosing any consumption data. (e.g. Internet and wireless networks) could also exist in SG.
Costas and Kalogridis [64] addressed the privacy problem Particularly, we need to focus more on wireless communi-
by anonymizing smart metering data so that information cation technologies since wireless networks are expected to
gleaned from it cannot be easily associated with an identified be the more prevalent networks in SG. For example, wireless
person. Garcia and Jacobs [79] suggested that the current mesh networks (WMNs) are considered very reliable because
they provide redundant communication paths, but WMNs are interoperability between cryptographic systems is not a trivial
vulnerable to attacks by intelligent adversaries. ZigBee is problem. Before cryptography can be used, we need a method
a low-cost, low-power, wireless networking standard, based of securely issuing and exchanging cryptographic keys. One
on the IEEE 802.15.4 standard. However, there are known possible solution is to design, as suggested in [17], a public
vulnerabilities associated with IEEE 802.15.4 implementations key infrastructure approach, which can mimic the layered
[59]. approach used in communication models. A complete solution
Malicious attacks on information transmission in SG can based on this initial idea is needed.
be categorized into the following three major types based on 2) Conflict between privacy preservation and informa-
their goals [158]. tion accessibility: How to balance privacy preservation and
1) Network availability: Malicious attacks targeting net- information accessibility is not an easy task. Consider, for
work availability can be considered as DoS attacks. example, a group of users. On one hand, the more information
They attempt to delay, block, or even corrupt informa- about demand patterns these users are willing to disclose, the
tion transmission in order to make network resources smarter decisions a management system can make for opti-
unavailable to nodes that need to exchange information mizing profits. However, more accessible information usually
in SG. As pointed out by NIST [241], the design of means more privacy leaks, which may easily disclose user
information transmission networks that are robust to profiles and behaviors. We suggest defining several privacy
attacks targeting network availability is the top priority, preservation levels similar to those in access control, each of
since network unavailability may result in the loss of which describes a tolerable amount of information leak. In
real-time monitoring of critical power infrastructures each level, based on the accessible information, we can define
and global power system disasters. the management objectives. For example, one privacy policy
2) Data integrity: Data integrity attacks attempt to delib- may allow full information exchange within a group of users.
erately modify or corrupt information shared within the Therefore, this group of users can optimize their profits using
SG and may be extremely damaging in the SG. their shared information. Other mechanisms using advanced
3) Information privacy: Information privacy attacks attempt encryption techniques may also be applicable.
to eavesdrop on communications in SG to acquire de- 3) Impact of increased system complexity and expanded
sired information, such as a customer’s account number communication paths: The advanced infrastructure used in
and electricity usage. An initial work was done by SG is a double-edged sword. On one hand, it lays the
Li et al. [142], who studied a fundamental limit, i.e., foundation for the future advanced grid which can serve us
how much channel capacity is needed to guarantee the better. On the other hand, increased system complexity and
secured communications in SG, from the information expanded communication paths can easily lead to an increase
theory perspective, and investigated the case of single in vulnerability to cyber attacks and system failures. Note
meter and Gaussian noise communication channel with that a fully implemented SG may consist of tens of millions
an eavesdropper. of nodes. This system scale makes it difficult to anticipate
In order to improve the security and privacy of information how attacks may be manifested by an unpredictable and
transmission, researchers have proposed various solutions. Lu intelligent adversary, and what failures could happen due to
et al. [158] suggested that the design of countermeasures many dependent or independent unpredictable factors [59].
to attacks targeting data integrity and information privacy One possible research direction to solve this challenge is
should consider authentication protocol design and intrusion to divide the whole system into many autonomous sub-grids
detection. Furthermore, Khurana et al. [128] proposed a set so that the system complexity can be decreased dramatically.
of design principles and discussed engineering practices which Therefore, the impact of system failures and attacks can be
can help ensure the correctness and effectiveness of standards restricted to a limited level as much as possible. This is
for authentication in SG protocols. These design principles essentially similar to the concept of microgrid. We must note
include explicit names, unique encoding, explicit trust as- that “autonomy” does not mean absolutely no connection
sumptions, use of timestamps, protocol boundaries, release of among these sub-grids and electric utilities. The result of the
secrets, and explicit security parameters. existence of such connections is that failures or attacks cannot
be completely isolated. Thus a complete solution needs to
consider both autonomy and interconnectivity.
C. Summary and Future Research 4) Impact of increasing energy consumption and asset
In this section, we have reviewed the works on the smart utilization: The modern grid is working at the “edge” of its
protection system in SG. Although realization of reliable reliable operation in more locations and more often because of
system operation, resistance to attacks and failures, and preser- increasing energy consumption and especially the methodol-
vation of privacy are the principle characteristics in the SG ogy of increasing asset utilization (as much as possible) using
vision, realizing these objectives poses many challenges. We modern tools [173]. This inevitably increases system reliability
summarize the important challenges and the possible research risk.
directions worth exploring in the following. In order to improve system reliability, we first need to de-
1) Interoperability between cryptographic systems: velop effective approaches to compute the margins in advance
Since many different communication protocols and technolo- for reliable operation of the system. Second, we need real
gies will be used in SG, and each of them may have their time monitoring methods to dynamically observe the margins.
own cryptography requirements and security needs, realizing In addition, as stated before, maximizing the asset utilization
could reduce the margins and hence increase the risk of system from four perspectives: practical deployments and projects,
failure. We have to balance the utilization maximization and infrastructure, management system, and protection system.
the risk increase. First, the practical deployments and projects of SG should
5) Complicated decision making process: In order to be well-analyzed before the initiative begins. For example,
process failures in SG, we usually have to solve much more Xcel Energy’s SmartGridCity project [260] aimed at turning
complex decision problems, but within shorter time [173]. Boulder, Colorado into an ultimate SG hub. However, when
Considering that a commercial SG may have tens of millions the project was almost finished in 2010, only 43% of Boulder
of nodes, realizing this is challenging. residents had installed smart meters and the cost of the project
A possible solution is trying to use more distributed decision ballooned to $42.1 million from $15.3 million. Note that this
making systems. That is to say, a large number of failure con- number does not count the cost of running and maintaining the
trollers could be placed in the SG. Each of them takes care of grid. One possible reason why the result was not satisfactory
several devices and makes decisions locally. This can decrease is that Xcel failed to perform a thorough cost-benefit analysis
the complexity of the decision making process and thus reduce before the initiative begins. Therefore, although SG itself is
the failure response time. However, a locally optimal decision an encouraging and promising technology, we still need to
is not always globally optimal. We need to consider how to carefully design blueprints of SG projects. In other words,
balance the response time and the effectiveness of the local new and advanced technologies do not necessarily and directly
decision. lead to a profitable and bright future. We need advanced and
mature project initiation, planning, execution, and controlling
IX. C ONCLUSIONS AND L ESSONS to ensure that the practical projects of SG can be completed
Due to the potential importance of SG, this survey compre- satisfactorily.
hensively explores the technologies used in SG. We have sur- Second, the current projects and programs are mainly led
veyed the major SG projects/programs/trials and three major by electric utilities or related organizations (refer to Table
technical systems in SG: the smart infrastructure system, the IV). They probably may not have enough experience on the
smart management system, and the smart protection system. design and deployment of complicated communication and
We have outlined challenges and future research directions information systems. However, SG is a complex system of
worth exploring for each of these three systems. systems, resulting in complicated interactions among energy,
We further divided the smart infrastructure into three sub- information, and communication subsystems. The evolution of
systems: the smart energy subsystem, the smart information the SG infrastructure may ask for more experienced informa-
subsystem, and the smart communication subsystem. For the tion and communication technology sectors to be involved.
smart energy subsystem, we have reviewed the works on For example, electric utility may still lead the evolution of
power generation, transmission, and distribution. We have also the grid while getting other sectors involved by outsourcing
described two important new grid paradigms: microgrid and or collaboration.
G2V/V2G. For the smart information subsystem, we have Third, the term smart in “Smart Grid” implies that the
reviewed the works on information metering, measurement, grid has the intelligence to realize advanced management
and management. For the smart communication subsystem, objectives and functionalities. However, thus far, as stated in
we have reviewed the wireless and wired communication Section VII, most of such objectives are related to energy
technologies, and the end-to-end communication management. efficiency improvement, supply and demand balance, emission
In brief, in the transition from the conventional power grid to control, operation cost reduction, and utility maximization.
the SG, we will replace a physical infrastructure with a digital The experience in other sectors, especially consumer electron-
one. The needs and changes present the power industry with ics, tells us that only the technologies leading to customer-
one of the biggest challenges it has ever faced [116]. oriented functionality will eventually motivate customers to
For the smart management system, most of the existing accept and use them. SG is no exception. For example, one
works aim to improve energy efficiency, demand profile, of the important management objectives in SG is reducing
utility, cost, and emission, based on the smart infrastructure CO2 emission. However, this does not necessarily imply that
by using optimization, machine learning, and game theory. We the customers are willing to upgrade their devices to support
believe that within the advanced infrastructure framework of the new feature. Therefore, in addition to designing various
SG, more and more new management services and applica- management objectives and functionalities, the electric power
tions would emerge and eventually revolutionize consumers’ industry needs to think about how to motivate customers to
daily lives. buy into these new ideas.
For the smart protection system, we have reviewed the Fourth, for the protection part, we have the following
works related to system reliability, failure protection mech- two lessons. The first one is that we need to investigate
anism, security and privacy in SG. However, we must note the behaviors of electric utilities. Although SG is expected
that the advanced infrastructure used in SG on one hand to provide advanced protection mechanisms, in real life the
empowers us to realize more powerful mechanisms to defend electric utilities desire to provide services to minimize costs or
against attacks and handle failures, but on the other hand, maximize profits. Therefore, they may tend to neglect security
opens up many new vulnerabilities. More thorough research and privacy, and long-term system reliability in the face of a
on the smart protection system is desirable. threat not well understood [59]. This poses some potential
From the existing efforts on SG, we have also learned challenges for other system designers. For example, we may
some useful lessons. In the following, we list these lessons ask “Should we still fully trust the electric utility when we
TABLE III
design our functions in the domain of this electric utility?” A BBREVIATIONS
It is likely that the electric utility itself is trustworthy, but
it has no capacity of providing fully trusted services. As 3G or 4G 3rd or 4th generation mobile telecommunications
AC Alternating current
mentioned in Section V-C, in order to save cost, electric AP Access point
utilities may outsource the information management to a third DC Direct current
party (e.g. a cloud provider). As a result, electric utilities may AMI Advanced metering infrastructure
lose, to some extent, the control of ensuring the information AMR Automatic meter reading
DER Distributed energy resource
confidentiality and integrity. The second lesson is that when DG Distributed generation
we introduce new technologies into SG, we should also assess DOE Department of energy
the possible risk introduced. For example, as stated in Section DoS Denial-of-service
EV Electric vehicles
VIII, using the smart metering architecture itself introduces FNET Frequency monitoring network
many new security and privacy issues. Therefore, we need to G2V Grid-to-vehicle
do a thorough assessment on the new technologies. GPS Global positioning system
In summary, there is no doubt that the emergence of SG GSM Global system for mobile communications
IEEE Institute of electrical and electronics engineers
will lead to a more environmentally sound future, better IETF Internet engineering task force
power supply services, and eventually revolutionize our daily IP Internet protocol
lives. However, we still have a long way to go before this NIST National institute of standards and technology
PHEV Plug-in hybrid electric vehicle
vision comes true. We need to explore not only how to
PLC Powerline communications
improve this powerful hammer (SG), but also the nails (various PMU Phasor measurement unit
functionalities) it can be used on. QoS Quality of service
RF Radio frequency
SCADA Supervisory control and data acquisition
ACKNOWLEDGMENT SEP Smart energy profile
We thank the editor and the anonymous reviewers whose SG Smart grid
SMS Short message service
comments on an earlier version of this survey have helped to
TCP Transmission control protocol
significantly improve the presentation and the content of this V2G Vehicle-to-grid
survey. VCG Vickrey-Clarke-Groves
VPP Virtual power plant
WCDMA Wideband code division multiple access
A PPENDIX A CDMA-2000 Code division multiple access 2000
A BBREVIATIONS UML Unified modeling language
WAMS Wide-area measurement system
See Table III (right).
WMN Wireless mesh network
WSN Wireless sensor network
A PPENDIX B XML Extensible markup language
S MART G RID P ROJECTS /P ROGRAMS /T RIALS
See Table IV next page.
[12] Y. M. Atwa, E. F. El-Saadany, M. M. A. Salama, and R. Seethapathy.
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TABLE IV
A S UMMARY OF M AJOR P ROJECTS /P ROGRAMS /T RIALS
Project/Program Name Organization *Country Period Brief Description of Project/Program/Trial Project/Program

/Trial Category
1 Acea Distribuzione Acea IT From The implementation of the integrated advanced me- Smart meter and
Smart Metering in Distribuzione 2004 tering management system began in 2004 with the AMI
Rome [226] objective of improving energy efficiency in Italy’s cap-
ital. The system includes high accuracy bi-directional
meters and smart grid applications such as network
operation control, and the ability to monitor low and
medium voltage line status automatically.
2 American Transmission American US 2010- It aims at building a fiber optics communications Transmission grid
Company’s Phasor Transmission 2012 network for high-speed communications to maximize
Measurement Unit Company the full capability of phasor measurement networks
Project [5] across American Transmission Company’s transmis-
sion system.
3 Austin Energy Smart Austin Energy US From Smart Grid 1.0 deployment started in 2003. It is the Integrated system
Grid [13] 2003 first fully operational SG deployment in the U.S. Smart
Grid 2.0 deployment started in 2008. It offers improved
customer services, including: 1) by phone or online
real-time meter reads, 2) web-based management of
smart consumer appliances, and 3) remote service turn-
on and shut-off.
4 CERTS Microgrid Test American US From It aims at enhancing the ease of integrating small Integrated system
Bed Demonstration Electric Power 2006 energy sources into a microgrid. and microgrid
[134], [138]
5 DLC+VIT4IP [84] Kema Neder- DE, AT, UK, 2010- It aims at developing, verifying, and testing a high- Communication
land BV NL, IT, BE, 2013 speed narrow-band power line communications in- and information
IL frastructure using the Internet Protocol (IP) which is systems
capable of supporting existing and extending new and
multiple communication applications.
6 EU-DEEP[84] GDF Suez FR, GR, UK, 2004- It brings together eight European energy utilities and Integrated system
DE, BE, ES, 2009 aims at removing most of the technical and non- and distributed re-
SE, PL, LV, technical barriers that prevent a massive deployment sources
AT, HU, IT, of distributed energy resources in Europe.
FI, CY, CZ,
TR
7 Fenix [84] Iberdrola Dis- ES, UK, Sl, 2005- It aims at boosting distributed energy resources by Integrated system
tribución AT, DE, NL, 2009 maximizing their contribution to the electric power and virtual power
FR, RO system, through aggregation into large scale virtual plants
power plants and decentralized management.
8 Grid4EU[84] ERDF DE, SE, ES, 2011- It is led by a group of European distribution system Integrated system
IT, CZ, FR 2015 operators and aims at testing in real size some in-
novative system concepts and technologies in order
to highlight and help to remove some of the barriers
to the SG deployment (technical, economic, societal,
environmental or regulatory).
9 INOVGRID [84] EDP Distribu- PT 2007- It aims at replacing the current low voltage meters Integrated system
cao SA 2011 with electronic devices called Energy Boxes, using and home applica-
Automated Meter Management standards. tion
10 IntelliGrid[30], [112] Electric Power US From It aims at creating a new electric power delivery infras- Other
Research Insti- 2001 tructure that integrates advances in communications,
tute computing, and electronics to meet the energy needs
of the future. At present, the IntelliGrid portfolio is
composed of five main projects: IntelliGrid architec-
ture, fast simulation and modeling, communications
for distributed energy resources, consumer portal, and
advanced monitoring systems.
11 Large-scale demonstra- ChoosEV A/S DK 2011- Its main investigation is whether it is possible to Smart meter and
tion of charging of elec- 2013 move the charging of electric vehicles to a more AMI, integrated
tric vehicles [84] environmental friendly time and whether the electric system, and
vehicle owner is interested in it. electric vehicle
*Country Codes: AT-Austria, BE-Belgium, CA-Canada, CN-China, CY-Cyprus, CZ-Czech Republic, DE-Germany, DK-Denmark, FI-Finland, FR-
France, GR-Greece, ES-Spain, HU-Hungary, IL-Israel, IT-Italy, LV-Latvia, MK-Macedonia, NL-Netherlands, RO-Romania, PL-Poland, PT-Portugal,
SE-Sweden, Sl-Slovenia, TR-Turkey, UK-United Kingdom, US-United States
estimation. the First Workshop on Secure Control Systems’10, pages [24] A. Bose. Smart transmission grid applications and their supporting
1–9, 2010. infrastructure. IEEE Trans. Smart Grid, 1(1):11–19, 2010.
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TABLE IV
A S UMMARY OF M AJOR P ROJECTS /P ROGRAMS /T RIALS (C ONTINUED )
Project/Program Name Organization *Country Period Brief Description of Project/Program/Trial Project/Program

/Trial Category
12 Model City Manheim MW Energie DE 2008- It concentrates on an urban conurbation in which dis- Integrated system
[84] 2012 tributed renewable energy resources are used to a large
extent. Within the framework of the E-Energy project,
a representative large-scale trial is being conducted
both in Manheim and in Dresden to demonstrate that
the project can be applied and translated to other
regions.
13 More Microgrids [84] ICCS/National ES, GR, PT, 2006- It aims at: 1) implementing sophisticated control tech- Integrated system,
Technical NL, IT, DK, 2009 niques for distributed generators; 2) integrating micro- smart meter and
University of MK, DE grids into operation and development of the power sys- AMI, microgrid,
Athens tem; 3) conducting field trials to test control strategies distribution
on actual microgrids; and 4) quantifying microgrids grid, and home
effects on power system operation and planning. application
14 Pacific Gas and Electric Pacific Gas US From It is part of a statewide effort driven by the California Smart meter and
Company’s SmartMeter and Electric 2006 Public Utilities Commission to upgrade California’s AMI
Program [190] Company energy infrastructure with automated metering tech-
nology. This technology will enable new programs that
help California energy customers use less energy and
save money.
15 Pacific Northwest Bonneville US 2010- It aims at 1) validating new smart grid technologies Integrated system
Smart Grid Demon- Power Admin- 2014 and business models; 2) providing two-way commu-
stration Project [191] istration nication between distributed generation, storage, and
demand assets and the existing grid infrastructure;
3) quantifying smart grid costs and benefits, and 4)
advancing standards for interoperability and cyber
security approaches.
16 SmartGridCity, Xcel Energy US 2008- SmartGridCity is a technology pilot that explores Integrated system,
Boulder, Colo. [260] 2010 smart-grid tools in a real-world setting. The goal of smart meter and
this pilot is to help determine: 1)Which energy man- AMI
agement and conservation tools customers want and
prefer; 2) Which technologies are the most effective at
improving power delivery; 3) How best to incorporate
SG technology into the business operations to improve
efficiency, reduce carbon emissions and modernize
the energy delivery system; 4) How to roll out the
most promising SG components on a wider scale.
Xcel Energy has installed approximately 23,000 smart
meters in Boulder as part of a new era in electricity
grid management.
17 Smart Grid Demonstra- Tianjin CN 2010- The project aims at building a smart power supply Integrated systems
tion Project in Sino- Electric Power 2011 network with 220kV and 110kV transmission grid, 10-
Singapore Tianjin Eco- Company 35kV distribution lines, and 380V/220V low voltage
city [225] distribution grid.
*Country Codes: AT-Austria, BE-Belgium, CA-Canada, CN-China, CY-Cyprus, CZ-Czech Republic, DE-Germany, DK-Denmark, FI-Finland, FR-
France, GR-Greece, ES-Spain, HU-Hungary, IL-Israel, IT-Italy, LV-Latvia, MK-Macedonia, NL-Netherlands, RO-Romania, PL-Poland, PT-Portugal,
SE-Sweden, Sl-Slovenia, TR-Turkey, UK-United Kingdom, US-United States
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class of power electronics applications. IEEE Trans. Smart Grid, on the executive committees of IEEE SECON’2011 and IEEE IPCCC’2010
1(3):332–339, 2010. as the publicity chair and on the TPC of several international conferences.
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House Publishers, 2004. Council award – Early Career Award for Exceptional Achievement in Creative
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guideline under WiFi interference for smart grid applications. IEEE journal articles and 22 referred conference publications and has received a
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System Control, Operation and Management, pages 1–6, 2009. 1999, Fellow, 2011) is a Professor of Computer
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CSEE, 29(34):1–8, 2009. He received the BS degree (1981) in mathematics
[268] Y. Yuan, Z. Li, and K. Ren. Modeling load redistribution attacks in and the MS degree (1984) in operations research
power systems. IEEE Trans. Smart Grid, 2(2):382–390, 2011. from Qufu Normal University, Qufu, China, and
[269] H. Zareipour, K. Bhattacharya, and C. Canizares. Distributed genera- the PhD degree (1991) in computer science from
tion: Current status and challenges. NAPS’04, pages 1–8, 2004. the University of Minnesota, Minneapolis, USA.
[270] P. Zhang, F. Li, and N. Bhatt. Next-generation monitoring, analysis, His research interests include survivability, security,
and control for the future smart control center. IEEE Trans. Smart and resource allocation issues in networks ranging
Grid, 1(2):186–192, 2010. from optical networks to wireless mesh and sensor
[271] Y. Zhang, P. Markham, T. Xia, L. Chen, Y. Ye, Z. Wu, Z. Yuan, networks and social networks. He has published over 200 papers (including
L. Wang, J. Bank, J. Burgett, R. W. Conners, and Y. Liu. Wide-area 97 journal papers) in these areas. He received a Best Paper Award at IEEE
frequency monitoring network (FNET) architecture and applications. Globecom’2007 (IEEE Global Communications Conference), a Best Paper
IEEE Trans. Smart Grid, 1(2):159–167, 2010. Award Runner-up at IEEE ICNP’2010 (IEEE International Conference on
[272] J. Zhu and A. Abur. Improvements in network parameter error Network Protocols), and a Best Paper Award at IEEE ICC’2011 (IEEE
identification via synchronized phasors. IEEE Trans. Power Systems, International Conference on Communications). He received the NSF Research
25(1):44–50, 2010. Initiation Award in 1994, and has been continuously supported by federal
[273] M. Zimmermann and K. Dostert. Analysis and modeling of impulsive agencies including NSF and ARO. He is an Associate Editor of IEEE/ACM
noise in broad-band powerline communications. IEEE Trans. Electro- Transactions on Networking and IEEE Network magazine, as well as an
magnetic Compatibility, 44(1):249–258, 2002. Editorial Advisory Board Member of IEEE Trans. Wireless Communica-
tions. He served as an Associate Editor of IEEE Transactions on Wireless
Communications and Computer Networks journal. His recent conference
services include TPC co-chair of IEEE INFOCOM’2010, Symposium co-
Chair of IEEE ICC’2009, General co-Chair of IEEE HPSR’2008, and
Xi Fang (Student Member 2009) received the B.S. Panels Chair of ACM MOBIHOC’2008. He was a Keynote Speaker at
and M.S. degrees from Beijing University of Posts LCN’2011 (the 36th IEEE Conference on Local Computer Networks) and
and Telecommunications, China, in 2005 and 2008 a Plenary Speaker at ICCCN’2011 (International Conference on Computer
respectively. Currently he is a Ph.D student in the Communication Networks). He is a Distinguished Lecturer of the IEEE
School of Computing, Informatics, and Decision Communications Society. He is a Fellow of the IEEE.
Systems Engineering at Arizona State University.
He has received a Best Paper Award at IEEE
MASS’2011 (IEEE International Conference on
Mobile Ad-hoc and Sensor Systems), a Best Pa-
per Award at IEEE ICC’2011(IEEE International Dejun Yang (Student Member 2008) received his
Conference on Communications), and a Best Pa- B.S. from Peking University, Beijing, China, in
per Award Runner-up at IEEE ICNP’2010 (IEEE International Conference 2007. Currently he is a PhD student in the School
on Network Protocols). His research interests include algorithm design and of Computing, Informatics, and Decision Systems
optimization in wireless networks, optical networks, cloud computing, and Engineering (CIDSE) at Arizona State University.
power grids. His research interests include economic and opti-
mization approaches to wireless networks and so-
cial networks. He has published over 20 papers
in venues such as IEEE Journal on Selected
Areas in Communications, IEEE Trans. Comput-
ers, IEEE Trans. Mobile Computing, ACM MOBI-
HOC, IEEE INFOCOM, IEEE ICNP, IEEE ICC, and IEEE Globecom. He
has received a Best Paper Award at IEEE ICC’2011, a Best Paper Award at
IEEE MASS’2011, and a Best Paper Award Runner-up at IEEE ICNP’2010.

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944 IEEE COMMUNICATIONS SURVEYS & TUTORIALS, VOL. 14, NO.

4, FOURTH QUARTER 2012

Smart Grid – The New and Improved Power Grid:

Domain Actors in the Domain

frastructure, the grid will keep becoming “smarter.” The

Fig. 3. Smart Grid Project Map [226]

order to help the readers assess the recent progress, especially

Smart Energy Subsystem

Power Generation Transmission Grid Distribution Grid

Final Energy (EJ/a)

(a) 2008 (b) 2009

Fig. 7. World Energy Supply by Source [259]

conversion circuits to commutate AC input voltage. Thus, DC-

D. Some New Grid Paradigms

Information Metering, Monitoring, and

Smart Metering Smart Monitoring and Measurement

Sensor Phasor Measurement Unit

Energy flows users to reduce their demands in peak load periods, or to

Wireless Mesh Cellular Cognitive IEEE 802.15 Satellite Microwave or Free-Space

Energy Efficiency and Utility, Cost, and Price Emission

Management Methods and Tools

Optimization Machine Learning Game Theory Auction

Convex Dynamic Stochastic Robust Particle Swarm

Fig. 15. Classification of Management Methods and Tools

Failure Protection Mechanism

Failure Prediction and Prevention Failure Identification, Diagnosis, and Recovery

Failure Identification Grid Self-healing Smart Meter Methodology of

Security and Privacy

Metering and Measurement Information Transmission

Smart Metering Monitoring and

Project/Program Name Organization *Country Period Brief Description of Project/Program/Trial Project/Program

Project/Program Name Organization *Country Period Brief Description of Project/Program/Trial Project/Program

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