California Investor Owned Utilities (IOU)

1. California Investor Owned Utilities (IOU) HAN vision statement development 15 June 2007

2. Introduction • Purpose: • Information Sharing • Validate approach • Establish responsibility and participation • Outline: • Framework Introduction • Documentation Purpose • Documentation Process • Technology Drivers • Functional Characteristics and System Criteria • Communication Example • Security Example • Next Steps

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

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

5. Documentation Process

6. HAN Technology Drivers • Utility Value Proposition • Provides justification • Utility specific • Vision Statement • End state vision based on utility’s mission • Creates value and opportunity for all stakeholders • Guiding Principles • Organized as capabilities and constraints • Establishes the parameters for a two way communication interface with the meter • Sets the boundaries of the system • Establishes ownership • High level expectations for functionality (e.g., load control, price signaling) • Establishes handling expectations (e.g., security, signal types) • Standards • Open source • Applied at each level • Can be constrained from the level above

7. Functional Characteristics and System Criteria • Criteria and characteristics provides non authoritative context and clarification • Viewed as technology enablers • Driven by Guiding principles and use cases • Establishes high level technical expectations • Organized by behavior and function • Includes Application, Communications, Security and Privacy and Performance • Application Criteria • Utility functionality • Know consumer functionality • Application evolution and migration • Communication Criteria • Logical and physical communication decoupling (AMI Backhaul and HAN) • Interoperability and interference (e.g., customer gateways, networks) • Communication evolution • Security and Privacy • Graduated model (low, medium, high robustness) based on signal type • Authentication, Authorization and Accountability • Authentication material: source, distribution flows • Authorization (rights): device registration, participation and revocation • Accountability: audit, alerts and non-repudiation • Performance (Adaptability, Flexibility, Scalability, Reliability, etc.)

8. Communication Specification Example

9. Security Specification Example

10. Next Steps • Publish CA IOU vision statement • 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)