1. California Investor Owned Utilities (IOU)
HAN Guiding Principles
Functional Characteristics and System Criteria
2 July 2007
June 2007

2. Presentation Purpose:
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
June 2007

4. Describes utility’s view of HAN
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
June 2007

6. HAN Guiding Principles
Value Proposition
Guiding Principles
Functional
Characteristics & Criteria
Platform Independent Requirements
Platform Requirements
(Technology Specific)
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)
June 2007

9. HAN Functional Characteristics and System Criteria
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. Availability - The applications are consistently reachable
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)
June 2007