June 2007 1

California Investor Owned Utilities (IOU)

HAN Guiding Principles

Functional Characteristics and System Criteria

2 July 2007

June 2007 2

Introduction

Presentation Purpose: Information sharing Validate approach Drive technology implementations Establish participation and responsibility

Outline: Framework introduction Documentation Purpose Documentation process Guiding principles Functional Characteristics Next Steps

June 2007 3

Utility HAN Framework

Based on Strategic Planning and System Engineering

Each level provides direction and context for lower level

Delineates participation and accountability Can be mapped to GridWise Architecture

Framework (Loosely coupled - Decomposition framework vs. organizational interoperability view)

Stakeholder considerations at every level: regulators, consumers, utilities, vendors

Organizational

Economic | Policy

Objectives | Procedures

Technical

Connectivity

Syntactic | Network

Informational

Context | Semantics

GridWise Interoperability FrameworkHAN Lif

ecycle

Hierarch

y

Value

Proposition

Vision &

Guiding Principles

Platform

Requirements

(Technology Specific)

Functional

Characteristic

s &

Criteria

Platform

Independent

Requirements

openHA

N C

ompliant

June 2007 4

Document Purpose

Describes utility’s view of HAN Establishes participation scope and scale Intended audience:

Regulators – establish position, clarify roles and responsibility

OpenHAN – creates input for further system refinement (e.g., platform independent requirements, use cases)

Vendors – shows approach, motivation Establishes a baseline Time management: cuts down on clarification

meetings and phone calls

June 2007 5

Documentation Process

SCE Value Proposition

SDG&E Value Proposition

PG&E Value Proposition

Bus

ines

s N

eeds

Business Continuity Needs

Assessment

RegulatoryCompliance

Analysis

Prog

ram

Nee

ds

Common Purpose Common Vision

Indu

stry

Ena

bler

s

Common Principles

CA IOUValidation

Compliance Validation

Use Cases

OpenHAN Vetting and Refinement

System Criteria

OpenHAN Assessment

Platform Independent Requirements and Architecture

CA

IOU

HA

N D

ocum

enta

tion

Proc

ess

Technology Platforms and Alliances

OpenHAN Authorship

Examples: CPUC, CEC, NERC, etc.

June 2007 6

HAN Guiding Principles

Value Proposition

Guiding Principles

Functional

Characteristics & Criteria

Platform Independent Requirements

Platform Requirements

(Technology Specific)

OpenH

AN

Com

pliant

June 2007 7

HAN Guiding Principles

Capabilities Supports secure two way communication between the AMI Network and HAN Supports load control integration (e.g. Distributed Resource dispatch / control / relaying) Provides direct access to usage and other meter data (e.g. kWHr, kW, Voltage, etc.) Provides a platform for future customer owned products which leverage meter data and

utility/grid information Supports three types of communications: public price signaling, consumer specific

signaling and control signaling Supports communications to other HAN Devices with metering capability (e.g. other

entity gas and/or water meters, EV sub-metering, PV sub-metering, etc.)

Assumptions Consumer owns the HAN (i.e. consumer may grant permission to use/manage/integrate

the HAN Devices to enable programs / rates) AMI Network to HAN Interface is based on open standards Implementation is appropriate given the high value and relative low cost Potential technology obsolescence is low due to multiple bridging options

June 2007 8

HAN Functional Characteristics

Value Proposition

Guiding Principles

Functional

Characteristics & Criteria

Platform Independent Requirements

Platform Requirements

(Technology Specific)

OpenH

AN

Com

pliant

June 2007 9

HAN Functional Characteristics and System Criteria

Applications

DirectControl

Cycling Control

Limiting Control

Distributed Generation

Submetering

EnvironmentState

Device State

EnergyCost

Energy Production

Energy Optimization

Energy Demand

Reduction

EnvironmentImpact

UserInput

UserOutput

ControlHuman

MachineInterface

MeasureMonitor

System

Communications

Discovery Control

Announce

Respond

InitialIdentify

Identify

Authenticate

Configure

Organize

Optimize

Prioritize

Mitigation

Security PerformanceOperations

MaintenanceLogistics

Availability Reliability Maintain-

ability

Scalability Upgrade-

ability Quality

Lev

el 4

Lev

el 2

Lev

el 3

Lev

el 1

Integrity Account-

abilityRegistration

Authentication

AccessControl

Confidenti-ality

Public

Private

Utility

Initialization

Validation

Correlation

Resistance

Recovery

Audit

Non-Repudaition

Revocation

Pre-commision

Registrationconfig

Labeling

Document

Support

AlarmLogging

Testing

Reset

Installation ManufactureDistribute

Manage Maintain

Purchasing

Platform Independent Requirements

CommisionProcessing

Energy Consumption

Authorization

June 2007 10

HAN Application Characteristics

Control - Applications that respond to control commands Direct - Turns load On or Off Cycling - Turns load On or Off at configurable time intervals Limiting - Turns load On or Off based on configurable thresholds

Measurement & Monitoring - Applications that provide internal data & status Distributed generation (DG) - Local energy input/output (kWh, kW, other energy values) Sub-metering - Device specific, end-use energy consumption or production (e.g. Consumer PHEV) Environmental State - Current local conditions (e.g., temperature, humidity, time, airflow, ambient light

level, motion) Device State - The current or historical state of the device (e.g., lights/fans/compressor/motor/heater are

on/off) Processing - Applications that consume, process and act on external and internal data. These

applications accept data from external systems and HAN measurement & monitoring applications. In general, these applications that have a higher level of complexity and cost.

Energy Cost - Calculates current and overall energy cost Energy Consumption - Calculates current and overall energy consumption Energy Production - Calculates current and overall energy Production Energy Optimization - Utilizes external and HAN data to determine desired response based on a

consumer configurable profile Energy Demand Reduction - Uses external and HAN data to reduce load based on a consumer

configurable profile Environmental Impact - Calculates environmental impact of current energy consumption (e.g. Power

Generation Plant CO2 emissions related to consumer specific load) Human Machine Interface (HMI) - Applications that provide local user input and/or output.

These applications are based constrained and based on the data type User Input - Provides consumers with a means to input data into an Application (e.g., Touch screen,

Keypad) User Output - Provides an Application with a means to output data to the consumer (e.g., In-Home

Display, text message)

June 2007 11

HAN Communications

Discovery - The identification of new nodes within the HAN Announcement – both active and passive device notification methods Response - Includes both endpoints (e.g., announcing entity and recipient

entity) Initial Identification - Device-type and address identification

Commissioning - The network process of adding or removing a node on the HAN with the expectation that the system is self-organizing (i.e., initial communication path configuration). This process is decoupled from utility registration. Identification - Uniquely identifying the device Authentication - Validation of the device (e.g., the network key) Configuration - Establishing device parameters (e.g., network ID, initial path,

bindings) Control Autonomous functions enabled by the platform specific

technology Organization - Communication paths (e.g., route) Optimization - Path selection Prioritization - Communication based on importance (e.g., queuing,

scheduling, traffic shaping) Mitigation - Ability to adapt in response to interference or range constraints

through detection and analysis of environmental conditions

June 2007 12

HAN Security

Access Controls and Confidentiality – protection methods associated with both data-at-rest and data-in-transit based on data type Public Controls (low robustness) - protection methods for publicly available information

(e.g., energy price) Private Controls (medium robustness) - protection methods for confidential or sensitive

data (e.g., consumer usage) Utility Controls (high robustness) - protection methods for utility accountable data (e.g.,

load control, sub-metering data) Registration and Authentication – Verifying and validated HAN participation

Initialization – establishes the application/device as a validated node (i.e., logical join to the utility’s network)

Validation – validates the application’s data (i.e., request or response) Correlation – correlating an account (e.g., consumer) with a device, application or

program (e.g., DR programs, peak time rebate, etc.) Authorization – rights granted to the applications Revocation – removing an established node, correlation or authorization

Integrity – Preserves the HAN operating environment Resistance – methods which prevent changes to the application or application’s data

(e.g., tamper and compromise resistance) Recovery – restores an application or the application’s data to a previous or desired state

(e.g., reloading an application, resending corrupted communications) Accountability – monitoring malicious activities

Audit – application log detected compromise attempts Non-repudiation – applications and application operators are responsible for actions

(e.g., can not deny receipt or response)

June 2007 13

HAN Performance

Availability - The applications are consistently reachable

Reliability - The applications are designed and manufactured to be durable and resilient

Maintainability - The applications are designed to be easily diagnosed and managed

Scalability - The system supports a reasonable amount of growth in applications and devices

Upgradeability - The applications have a reasonable amount of remote upgradeability (e.g., patches, updates, enhancements)

Quality - The applications will perform as advertised

June 2007 14

HAN Operations, Maintenance and Logistics

Manufacturing and Distribution - Vendor’s pre-installation activities Pre-commissioning - Depot level configuration setting Registration configuration - Any required utility specific

configurations Labeling - Utility compliance and standards labeling Purchasing - Supports multiple distribution channels (e.g., retail,

wholesale, utility) Installation - physical placement of the device

Documentation - Installation materials and manuals Support Systems - Installation support systems including web

support, help line, other third party systems Management and Diagnostics

Alarming and logging - Event driven consumer and utility notifications

Testing - System and device testing Device reset - Resets the device to the installation state

June 2007 15

Next Steps

Publish CA IOU Vision statement (Guiding Principles, Functional Characteristics)

Develop OpenHAN comprehensive HAN use cases Develop OpenHAN platform independent requirements Develop UtilityAMI platform independent architectural

views for AMI and HAN Continue to share information with technology

communities (i.e., vendors, alliances)