California Investor Owned Utilities (IOU)

1. California Investor Owned Utilities (IOU) HAN Guiding Principles Functional Characteristics and System Criteria 2 July 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

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. Guiding Principles HAN Guiding Principles Value Proposition Functional Characteristics & Criteria Platform Independent Requirements Platform Requirements (Technology Specific)

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

8. HAN Functional Characteristics Value Proposition Guiding Principles Functional Characteristics & Criteria Platform Independent Requirements Platform Requirements (Technology Specific)

9. HAN Functional Characteristics and System Criteria

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)

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

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)

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

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

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)