21, rue d'Artois, F-75008 Paris

http://www.cigre.org 35-107 Session 2002

© CIGRÉ

USING STANDARD PROTOCOLS FOR SCADA MASTER-STATION AND

REMOTE TERMINAL UNITS (RTUs)

by

ABDULLA R. AL-SALEEM
System Operations Department*
SCADA Division

I. ABSTRACT II. INTRODUCTION

SCADA protocols have been in operation for decades Remote monitoring and control systems were first
and have become widespread and very robust. With implemented in the early 1940’s. Those SCADA system
decades of development, there is a significant embedded were providing basic functions (monitoring, control,
value in the current protocols. Existing SCADA breaker close or trip) and periodic analog sampling. Due
protocols share certain characteristics that make them to the diversity of equipment and manufacturers, it was
very robust in what is termed "legacy" networks. Legacy difficult and sometimes impossible to make components
means primarily private wire, private microwave and operate in a single system. Power system SCADA
telephone company point to point and multipoint private requires a high level of availability. Most power system
line networks SCADA systems and the network SCADA requires an efficient means of gathering small
environment they operate in are changing. Today, more quantities of data from large number of remote sites.
computer power is engineered into the latest SCADA SCADA systems security and reliability requirements
equipment. More data must be moved to meet the have often forced utilities to provide and maintain their
information demands of more powerful SCADA systems. own communication infrastructure. Each systems physical
And these systems must operate over new types of operation and economic requirement needs careful
networks and certainly newer types of protocols. At the evaluation to determine the appropriate communication
same time, acquisitions and mergers of smaller network type to adapt–radio, satellite. Leased line digital
Supervisory Control And Data Acquisition (SCADA) communication is evolving rapidly.
companies has resulted in multiple parallel and dissimilar
networks operating under one organizational umbrella. Today, we are seeing data communications networks
This paper will discuss the need for using standard evolve to a new environment that can cause significant
protocols for the modern SCADA Master station and the challenges for current SCADA networking practices. In
RTUs. It will explore the use of two communication addition, as more computer power is embedded into new
protocols that are fast gaining ground and gaining wider SCADA equipment, there is a demand for more
market acceptance - IEC-60870-5-101 and the DNP information to be transferred, requiring higher data rates.
V3.00 protocols. A brief description on the use of these SCADA protocols are the point at which SCADA
standard protocols for substation automation and equipment must meet the challenges presented by modern
computer-to-computer link will also be presented. networks and more computer power. Frame relay, higher
speeds, Ethernet, and IP protocols are the new
environment for SCADA. Getting SCADA and these
networks to work together is the challenge. The average

* SCADA Division Tel. (03) 858-6358

Room # 2-303 W, SEC-ERB Fax. (03) 858-6486
P.O. Box # 5190, Dammam-31422 E-Mail: scadpcchu@sceco-east.com.sa
Kingdom of Saudi Arabia aralsaleem@hotmail.com

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lifetime for most industrial SCADA equipment is well play'. If the standard is not supported by a large number
over 10 years. Networking technology changes must of vendors, and/or there is not a large user base then the
faster than that. protocol may not gain widespread acceptance. If the open
protocol attempts to be 'all things for all people' then it
Computer-to-computer data communication standards may be technically inferior to proprietary protocols.
have been developed over the past few decades. One of
the well-known model is the Seven Layer OSI. Although IV. PROTOCOL SELECTION
the seven layer OSI is wildly accepted, it has a significant
drawback. The Seven Layer model adds significant The choice of protocol should be determined by:
overhead in processing power and bandwidth utilization.
ƒ Performance
III. PROPRIETARY versus OPEN ƒ Reliability
STANDARDS ƒ Security
ƒ Maintenance
- Proprietary: ƒ Expandability
ƒ Ease of interfacing
ƒ Implementation (i.e. what hardware platforms
Advantages are available)
Use of a proprietary protocol along with proprietary
hardware provides a near certain guarantee that a system
- Need for Open Protocol:
will work. Proprietary systems are often more efficient
than open standard protocols due to them being designed There is a significant push in the SCADA and automation
for one specific application. industries for the use of standard protocols. Historically,
large expenses have been incurred by customers who
need to interface equipment from different suppliers. The
Disadvantages use of open protocols, that are widely implemented, will
reduce the interface costs associated with purchasing
Locked into a single vendor, therefore reliant on that equipment from various vendors.
vendor for;
A licensed proprietary protocol does not necessarily have
ƒ Price the same advantages as those associated with a truly open
ƒ Availability protocol. Vendors will normally only implement such a
ƒ Support protocol in response to customers demand., and when the
ƒ Functionality customer pays. These implementations may be a subset
ƒ Maintenance tools of the protocols functionality and are often hardware
specific. If a particular vendor makes their proprietary
- Open Standards: protocol an open protocol, this does not ensure that other
vendors will implement it. Therefore selection of
Advantages equipment is still extremely limited.

Open standard protocols provide a significant advantage,

if supported by many vendors, - Interfacing:

ƒ Competition There are four basic scenarios for interfacing equipment.

ƒ Support
ƒ Availability (a) Equipment from a single vendor using a
ƒ Price proprietary protocol
ƒ Maintenance tools A solution using equipment from a single vendor
ƒ Expertise using that vendors’ proprietary protocols is
ƒ Integration of equipment from different vendors basically guaranteed to work.

(b) Equipment from a single vendor using an open

Disadvantages protocol
A solution using equipment from a single vendor
If the open standard protocol is not tightly defined, or the using an open protocol is also basically guaranteed
protocol itself, allows for vendor defined functionality, to work as the protocol implementation will be
then there is a significant possibility that two 'off the identical, even if it does not meet the standard.
shelf' devices from different vendors will not 'plug and

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(c) Equipment using an open protocol from more or LAN-based systems.
than one vendor
Unless the protocol standard is fully defined and DNP offers flexibility and functionality that go far
does not allow for vendor specified functionality beyond conventional communications protocols. Among
there is not guarantee that this type of its robust and flexible features DNP 3.0 includes:
implementation will work. The interfacing of this
type of equipment however, should be possible, ƒ Output options
with minor modifications to the implementation of ƒ Secure configuration/file transfers
the protocol. ƒ Addressing for over 65,000 devices on a single link
(d) Equipment using different protocols, from one or ƒ Time synchronization and time-stamped events
more vendors ƒ Broadcast messages
If equipment is needed to be interfaced that does ƒ Data link and application layer confirmation
not use the same protocol then a protocol
converter, of some form or another, is required. DNP 3.0 was originally designed based on three layers of
This introduces a number of issues; the OSI seven-layer model: application layer, data link
layer and physical layer. The application layer is object-
- Equipment failure based with objects provided for most generic data
A protocol converter, normally resides on an formats. The data link layer provides for several methods
independent hardware platform, therefore of retrieving data such as polling for classes and object
increasing costs and potential failure points. variations. The physical layer defines most commonly a
- Database configuration simple RS-232 or RS-485 interface.
Multiple copies of databases are required. This
has impact in terms of maintenance and DNP 3.0 is very efficient for a layered protocol while
commissioning costs. ensuring high data integrity. The IEC 60870-5-1
- Performance (transmission frame format) and IEC 60870-5-2 (link
The use of a protocol converter will normally transmission procedures) standards were used as a basis
mean slower response times for developing the DNP V3.00 data link layer. The
DNPv3.00 supports asynchronous or synchronous bit-
- Selection of Equipment serial physical layer and designed to operate with
connection and connection less orientated.
The use of a proprietary protocol, by default, requires the
use of proprietary hardware. In some cases this will The protocol used four layers of OSI 7 layers:
require the purchasing of field based equipment, that can
interface to the RTU's. This has the potential to severely ƒ Application layer
restrict the capability to purchase the equipment that ƒ Transport layer
provides the best solution for the business operations. ƒ Data link layer
The adoption of an open protocol can solve some of these ƒ Physical Layer
problems. If the chosen protocol has widespread support
from the user base and is implemented by a wide range of Protocol Requirements:
vendors then the protocol will become the protocol of
choice for the industry. I believe that DNP3.0 and IEC- Functional Requirements: Provide similar application
60870-5 is currently in this position functionality in similar ways.
Configuration Requirements: for basic communication
V. DNP V3.00 (Distributed Network include baud rate, device address and fragment size.
Protocol)
VI. IEC 60870-5-101
DNP, the Distributed Network Protocol, is a standards-
based communications protocol developed to achieve The IEC-60870-5-101 protocol is used in Tele-control
interoperability among systems in the electric utility, oil applications of SCADA as recommended by
& gas, water/waste water and security industries. This International Electro technical Commission (IEC). There
robust, flexible non-proprietary protocol is based on are two components of this protocol, namely, master
existing open standards to work within a variety of station and Remote Terminal Unit (RTU).
networks. The IEEE* has recommended DNP for remote
terminal unit to intelligent electronic device messaging. The IEC 60870-5-101 protocol is based on the Enhanced
DNP can also be implemented in any SCADA system for Performance Architecture (EPA). EPA provides faster
efficient and reliable communications between substation response than the complete 7 layer Open System
computers, RTUs, IEDs and master stations; over serial Interconnection (OSI).

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 layer to permit single function messages larger than a
The protocol used only three layers of OSI 7 layers. data link frame. Both protocols application layer provide
the following:
— Application Layer (Layer 7)
— Data Link (Layer 2) — Time synchronization
— Physical Layer (Layer 1) — Time - stamped events
— Freeze/clear counters
Protocol Requirements: — Select before operate
— Polled report by exception
The requirements cover the message formats, message — Unsolicited responses
interaction and dialog interactions. — Data groups/classes
Functional Requirements: Requirements that must be
met. The requirement in this section is testable VIII. MAJOR DIFFERENCES BETWEEN
Configuration Requirements: Requirements indicate DNP V3.00 AND IEC-60870-5-101
parameters, must be provided to the protocol. PROTOCOLS
Requirement in this section is testable.
Performance Requirements: Requirements that must be DNP was derived from an early version of the IEC
met by the implementation of the functional requirement.
60870-5 specifications, and was developed for the
This requirement in this section is testable.
Constraints: Items, which may constrain the design or same purpose — SCADA in the power utility
implementation, are not testable. industry. Therefore, the protocols are similar in many
Assumptions: Assumption that have been made about the ways, and both are currently recommended by the IEEE
master station or RTU are not testable. for RTU to IED communications.

VII. SOME OF DNP V3.00 AND IEC - Physical Layer:

60870-5-101 FUNCTIONS
Both IEC 60870-5-101 and DNP use serial physical
layers selected from the 60870-5 series of standards.
Both DNP V3.00 and IEC 60870-5-101;

— Were designed for transmission of SCADA data. - Data Link Layer:

— Have wide market acceptance
— Are intended for use in SCADA systems using At the data link layer, DNP and IEC 60870-5 are very
directly connecter serial links. similar, with the following differences:
— Require similar amount of communications
bandwidth. • IEC 60870-5-101 uses only a single optional address,
— Are being extended to support LAN and WAN. the address of the remote device. The master’s address is
— To be expanded in scope of devices in the never transmitted. DNP extends the address field to
substation. include both the source and destination of each frame.
This step makes unsolicited responses, multiple masters
In deciding to implement either DNP or IEC 60870-5- and peer-to-peer operations easier.
101;
• IEC 60870-5 specifies several possible frame formats of
— What other systems or equipment are to be varying reliability: FT1.1, FT1.2, FT2 and FT3. DNP
incorporated uses only the most reliable of these, FT3. IEC 60870-5-
— Each vendor will have a preference for one of T101 uses FT1.2.
these protocols.
— Price differential • IEC 60870-5 specifies that FT3 is synchronous, while
DNP uses it for asynchronous communications. IEC
The directions to be taken by the next generation of 60870-5 specifies either balanced or unbalanced mode.
SCADA protocols will be cleared by Year 2005. DNP Balanced means any device may transmit at any time.
V3.00 and IEC 60870-5-101 family may evolve to Unbalanced means that a device may transmit only when
provide new functionality or transportations. Both recognized by the master. DNP uses only balanced mode,
protocols are designed for transmission of SCADA data and specifies a collision avoidance scheme for multi-drop
for electric power system control. Both protocols are networks.
used world-wide and use a simplified 3 layer version of • IEC 60870-5 specifies either fixed and variable length
the OSI 7 layers model called Enhanced Performance frames. DNP uses only the variable length frame. As you
Architecture (EPA) except that DNP adds a transport can see, the DNP data link layer uses a carefully chosen

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subset of the IEC 60870-5 functionality, with a few protection and control scheme in the event of system
alterations. DNP also adds a “pseudo-transport layer” operation and low utility operators. Performing
byte between the data link and application layers to substation control algorithms while delivering data to the
provide segmentation of large application layer messages enterprise via a common networking strategy based on
into smaller data link frames. industry standard is cost effective and proves to be a key
factor in increasing over all enterprise performance. This
- Application Layer: demonstrate a low cost approach to operating breakers by
reducing the number of components in the control path
At the application layer, DNP and IEC 60870-5-101 and improving diagnostic, thus increasing system
share general concepts and perform essentially the same efficiency and reducing operating costs. An intelligent
basic SCADA functions: initialization, polling, report-by- restoration can reduce downtime and improve system
exception, clock synchronization, control and set point availability.
outputs, freezing data, file transfer, etc.. At the time DNP
was developed, the IEC had identified these items as The SCADA system, including substation RTUs is
being essential SCADA functions, however, it had not critical element for real-time system operation activities.
yet developed the actual message formats required to Emulation of an RTU reduces costs associated with
perform the functions. Therefore, DNP and IEC 60870-5 installation of traditional RTU.
diverge at this point, and the message formats of the two
application layer protocols are very different. IEC 60870- Emulation of DNP V3.00 or IEC 60870-5-101 RTUs in
5 provides some useful features that DNP currently only the substation level is critical for utilities real-time
supports via configuration download: remote setting of system operation activities. The IEE has recommended
analog dead bands, periodic reporting without an explicit both protocols DNPV3.00 and IEC 60870-5-101 for
poll, explicit support for scaling, two-bit binary inputs, remote terminal unit to intelligent electronic devices
etc.. IEC 60870-5-101 is comparable to DNP in its use of managing, can also be implemented in any SCADA
bandwidth, depending on the addressing options used. system for efficient and reliable communications between
However, it is currently in the state that DNP was two substation computers, RTUs, IEDs and master stations
years ago - a standard exists, but no subsets have been over serial or LAN based systems.
defined, and customers must compare implementations
feature-by-feature to ensure compatibility. There are Substation Automation:
many options in the IEC 60870-5- specification to
compare to DNP. The DNP Users Group is considering Integrated substation control system combines
modifications to DNP V3.00 to support some of IEC dependability with control, performing reliable remote
60870-5 features noted above. data collection from IED’s through its integrated design
and automated key substation functions.
IX. SUBSTATION INFORMATION
APPLICATION X. INTER-CONTROL CENTER
COMMUNICATION PPROTOCOL
There are wide varieties of substation automation (ICCP)
applications. Some of the applications listed are:
- Inter-Utility Data Links:
— Accumulators freeze
— Automatic frequency selection The need to exchange operation data between both
— Automatic voltage control hierarchical intra-utility centers and external utilities is a
— Capacitor bank control quickly growing requirement to ensure efficient and
— Load reporting system reliable power tool operations and to coordinate power
— Load shedding interchange transactions. Data Links to external systems
— PID closed loop control use similar connectivity techniques and equipment such
— Prologic executor (soft programmable logic as bridges, routers, and gateways and can be
controller. implemented over private or public switched
communication systems. Quite often inter-utility
The substation automation is a distribution automation connections involve interfacing to equipment provided
defined as (an integrated systems concept for the digital by separate vendors on different hardware platforms
automation of distribution substation, feeder, and user using various protocols.
functions). This concept includes control, monitoring and
protection of the distribution system. Load Management
and remote metering of customer loads substation
automation will increase system reliability for the

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- ICCP Data Link Implementations: with the development of the IEC 60870 and DNP V3.00
protocols. This paper has exposed the drawbacks of
— Allows for data exchange between utility control present legacy and proprietary protocols and systems and
centers and other control centers. has given emphasis on the need for standardization. As a
— Data exchange information consists of: conclusion, standardization is not only a widely accepted
trend but is an essential requirement for future SCADA
– Real-time and historical power system and substation automation systems. The benefits that can
monitoring and control data. be gained are overwhelming as follows:
– Including measured value, scheduling data,
energy accounting data and operator — Fast and easy to integrate
messages. — Flexible and applicable to common SCADA
requirements
— Time/Price savings
— Supports remote device control and program — Interconnectivity
control. — Inter-operability
— Data link subsystem resides in a Microsoft NT — Modularity
node. — Windows NT makes it easy to manage.
— Uses WAN/LAN for media — Software updates are easy to implement.
— The exchange data are: — Easy retrieval and more information from
Substations and distribution automation.
– Transfer shared analog, status, SOE, — Minimize investment in legacy protocols,
accumulator Selecting the correct protocol for your utility
– Transfer shared supervisory control depends very much on your SCADA master
commands station’s ability to support one or more of these
– Transfer operator initiated point operations. protocols and your network topology. In fact, there
– Transfer shared point tag commands and would be benefits to ensure both protocols are
codes. supported by their Master stations. This weould
– Perform link failure and recovery provide the absolute maximum in flexibility of
processing. choice when interfacing to RTUs and IEDs.

— Security ICCP will not allow clients to go more

than what is assign to them using object attribute. XII. References

- The Concepts used in ICCP: — IEC 60870-5-XXX Telecontrol Equipment and

System Part 5: Transmission Protocol Section 1 –
— Client/server model:- where control center that 5.
makes data available to other control centers. — DNP V3.00 Datalink Layer (Document Version
— Associations:- Where the logical connection 0.02
between server and client is established. This is — ISCS |D20 Product Family |D25Multi Function
called associations. IED |Substation Automation Application
— Bilateral Agreement/Security:- Where each server — Schneider Electric ABB Power Automation and
object defined (data, device, etc) has an attribute Protection
that determines whether or not a specific client can — Communication Standards in Power Control by:
read, write, delete, or execute any operation on Andrew C.West, B.E., B.Sc., B.A., P.Eng.,
that object. Grad.1.E., Aust, MIEEE Triangle MicroWorks,
— Virtual Control Centers:- Where it defines a Inc.
virtual control center (VCC) as an abstract — IEEE Standard P1379, Trial Use Recommended
representation of a real control center. Practice for Data Communication Between
— Domains:- The domains most likely only contain Intelligent Electronic Devices and Remote
special objects that are required to implement the Terminal Units in Substation.
ICCP. — Comparison of DNP and IEC 60870-5-101 by: Jim
— Quality of Service:- It’s the ability to specify the Coats, President, Triangle MicroWorks, Inc., Vice
desired path and priority of data packets. President, DNP User’s Group.
— Understanding Distribution Automation What is
XI. Conclusion it? What does it do? By: Thomas P. Desmond,
Vice President, Telegyr Systems, San Jose,
EPRI and IEEE have staged the start for standardization California.
of SCADA protocols and substation automation systems

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— Need for New and Integrated IT – Systems to
Enhance Management of Network Operations by:
Folke Dahlfors, Product Management, ABB
Automation Systems, Vasters, Sweden

— DNP V3.00 and IEC 60870-5-101

Implementations in Intelligent Electrical Devices
(IEDs) By: O’Sullivan Neil and Mikli, Lauri
— Communications Protocol, Proprietary Vs Open
By:Michael Arthur

* * *