1. UCAIug HAN SRS v2.0 Summary August 12, 2010

2. 2 Scope of HAN SRS in the NIST conceptual model

3. 3 OpenHAN History 2008 August 2008 UtilityAMI 2008 HAN SRS v1.04 released 2007 OpenHAN TF is formed to develop system requirements for the HAN 2009 June 2009 Utility AMI 2008 HAN SRS v1.04 selected as a customer domain standard in the NIST Smart Grid Interoperability Standards Roadmap October 2009 OpenHAN 2.0 formed to develop the next version of the HAN SRS 2010 July 2010 UCAIug HAN SRS v1.98 released August 2010 UCAIug HAN SRS v2.0 ratified

4. OpenHAN 2.0 Effort Over 130 individuals representing over 80 companies participated in the development of the HAN SRS v 2.0 over a 10 month period

5.  Industry use cases reviewed to identify any HAN SRS gaps o ZigBee+HomePlug SEP MRD o SAE J2836/1™ J2836/2™ and J2836/3™ Use Cases o NAESB Draft Requirements Specifications for NIST PAP03, PAP04, and PAP09 o EIS Alliance Customer Domain Use Cases v1.0 o CEC Requirements Engineering for the Advance Metering Infrastructure and the Home Automation Network (AMI-HAN) interface – February 2008 o AHAM Smart Grid White Paper o DER Contribution to OpenHAN; EPRI/DOE PV/Storage Communication Project o Summary of Use Cases: For Demand Response Appliances Interface (EPRI Adapters)  February 2010 NISTIR 7628 Smart Grid Cyber Security Strategy and Requirements Documents Reviewed

6. 6 UCAIug HAN SRS v2.0 Purpose Define the system requirements for an open standard Home Area Network system Promote open standards-based HANs that are interoperable Provide the vendor community with a common set of principles and requirements around which to build products Ensure reliable and sustainable HAN platforms Support various energy policies in a variety of states, provinces, and countries Empower consumers to manage their electricity consumption by giving them the information and control they need to make decisions on their energy use

7. 7 UCAIug HAN SRS v2.0 The audiences for the HAN SRS are: Utilities considering deploying AMI systems that interact with HANs Vendors that make AMI systems for Utilities that interact with HANs Vendors that make consumer products (e.g. programmable communicating thermostats, energy management systems, load control switches, in-home displays, smart appliances, Plug-in Electric Vehicles (PEV), distributed energy resources (DER), etc.) Service Providers developing smart grid enabled programs for consumers (e.g. demand response, energy management, pre-pay, PEV programs, DER programs, etc.) Policy makers looking to understand how Utility AMI deployments that interact with HANs benefit and impact consumers Industry alliances and standards organizations NIST Smart Grid Interoperability Panel (SGIP) activities (e.g. Smart Grid Architectural Committee (SGAC), Cyber Security Working Group (CSWG), Smart Grid Testing and Certification Committee (SGTCC), etc.)

8. 8 UCAIug HAN SRS v2.0 Guiding Principles  Capabilities 1.Supports Two-way Communication Between HAN Devices and Service Providers 2.Supports load control integration 3.The AMI meter provides the HAN with direct access to Consumer- specific usage data 4.Provides a growth platform for future products which leverage the HAN and meter data 5.Supports three types of messaging: Public Information, Consumer- Specific Information, and Control Signals 6.Supports end-use metering and other utility meters 7.Supports distributed energy resources  Assumptions 8.Consumer owns the HAN 9.HAN devices present additional security considerations 10.The HAN is enabled by open and interoperable standards

9. 9 UCAIug HAN SRS v2.0 Architectural Considerations  HAN SRS applies from the edge of the AMI System, where the Energy Services Interface (ESI) resides, to all relevant HAN Devices in the premises  Energy Services Interface (ESI) o An interface which enables communication between authorized parties and HAN devices that are registered to it o There may be more than one ESI in the premise (e.g. Utility ESI, 3 rd party ESI) o Utility ESI – provides interface between the Utility AMI network and HAN devices, including the AMI meter o Other ESI – provides interface between other communication media (e.g. internet, cell phone, EMS, etc.) and HAN devices registered to it

10. 10 Architectural Considerations, continued  Commissioning, Registration, Enrollment o Commissioning is the process by which a HAN device obtains access to a specific physical network and allows the device to be discovered on that network o Registration is the process by which a Commissioned HAN device is authorized to communicate on a logical network by exchanging security credentials with an ESI o Enrollment is the process by which a Consumer enrolls a Registered HAN device in a Service Provider program (e.g. demand response, energy management, PEV program, etc.) UCAIug HAN SRS v2.0

11. 11 UCAIug HAN SRS v2.0

12. 12 Architectural Considerations, continued  HAN SRS is agnostic to device ownership  Some HAN devices may reside on more than one ESI  HAN SRS is agnostic to electric market structure and may be used in integrated utility markets as well as consumer choice electric markets  There may be multiple communication paths into the HAN (e.g. Utility AMI, internet, cell phone network, EMS, etc.)  HAN SRS addresses the following special applications o Plug-in-Electric Vehicle (PEV) o Energy Management System (EMS) o Distributed Energy Resources (DER) UCAIug HAN SRS v2.0

13. 13 HAN System Requirements  Application Requirements  Control applications respond to control signals  Measurement and Monitor applications provide internal data and status  Processing applications consume, process, and act on external and internal data  Human Machine Interface (HMI) provides Consumers a means to provide input into an application or to view information from an application  Communication Requirements  Commissioning is the network process of adding a HAN device on the HAN to allow the device to communicate with other devices and involves network scanning, selection, admission, and configuration  Control of a node involving self-organization, path selection, mitigation UCAIug HAN SRS v2.0

14. 14 HAN System Requirements, continued  Security Requirements  Access Controls and Confidentiality address data protection for data-at- rest and data-in-transit  Registration is the network process to authenticate and authorize HAN device participation with an ESI and includes initialization, authentication, correlation, authorization, and de-register  Enrollment is the process by which a Consumer enrolls a HAN device in a Service Provider’s program (e.g. demand response, energy management, pre-pay, PEV programs, distributed generation, pricing, messaging, etc.) and gives certain rights to the Service Provider to communicate with their HAN device  Integrity preserves the HAN operating environment through resistance and recovery  Accountability will allow for monitoring malicious activities through audit and non-repudiation UCAIug HAN SRS v2.0

15. 15 HAN System Requirements, continued  Performance Requirements  Ensure applications or other factors do not limit the performance of the system, which is dependent upon availability, reliability, maintainability, scalability, upgradeability, quality and latency  Operations, Maintenance, and Logistics Requirements  Manufacturing and Distribution - Vendor’s pre-installation activities including pre-Commissioning settings, application configuration, labeling, support for multiple distribution channels  Installation – Documentation for the physical placement of the device and support systems  Manage, Maintain – ensure HAN device diagnostic, management and trouble shooting capabilities including alarming, logging, testing, device reset, and monitoring UCAIug HAN SRS v2.0