1. OpenHAN SRS v1.95 Overview June 8, 2010

2. 2 OpenHAN SRS v1.95 1.Introduction  OpenHAN area of focus within the NIST conceptual model

3. 3 OpenHAN SRS v1.95 1. Introduction, continued  Purpose  Define the system requirements for an open standard Home Area Network system  Promote open standards-based HANs that are interoperable  Provides the vendor community with a common set of principles and requirements around which to build products  Ensures reliable and sustainable HAN platforms  Supports 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 and to effectively control their energy consumption

4. 4 OpenHAN SRS v1.95 1. Introduction, continued  Purpose, continued The audiences for the OpenHAN 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. PCT,EMS, load control switches, in-home displays, smart appliances, PEV, DER, etc.)  Service Providers developing smart grid enabled programs for consumers (e.g. demand response, energy management, pre-pay, PEV programs, distributed energy resources, etc.)  Policy makers looking to understand how Utility AMI deployments benefit 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.)

5. 5 OpenHAN SRS v1.95 1. Introduction, continued  Scope, Definitions, Other Considerations and References  Provides platform-independent requirements for HAN devices regardless of device ownership  Not limited to the residential premise, although the residential consumer has the most to gain from the OpenHAN SRS  Provides an overview of the regulatory, political, and legislative environment that influenced the development of the OpenHAN SRS  Security in the HAN Environment  Two-way HAN communication is a new technology being introduced to the electric power grid  The proper security measures need to be in place to reduce the risk of intrusion, eavesdropping, and the transmittal unwanted content  OpenHAN TF in conjunction with SG Security WG evaluated the potential impact of a security compromise to the HAN  OpenHAN TF reviewed the NISTIR 7628 recommended security requirements for the HAN interface to identify any gaps

6. 6 OpenHAN SRS v1.95 2. Overall Description  Guiding Principles  Capabilities 1.Secure Two-way Communication Between HAN Devices and Service Provider(s) 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, Consumer-Specific, and Control 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

7. 7 OpenHAN SRS v1.95 2. Overall Description, continued  Architectural Considerations  OpenHAN applies from the edge of the AMI System, where the Energy Services Interface (ESI) resides, to all relevant HAN Devices in the home  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 o Utility ESI – provides interface between the Utility AMI network and HAN devices o Other ESI – provides interface between other communication media (e.g. internet, cell phone, EMS, etc.) and HAN devices registered to it

8. 8 OpenHAN SRS v1.95 2. Overall Description, continued  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 HAN device in a Service Provider program (e.g. demand response, energy management, PEV program, etc.)

9. 9 OpenHAN SRS v1.95

10. 10 OpenHAN SRS v1.95 2. Overall Description, continued  Architectural Considerations, continued  OpenHAN SRS is agnostic to device ownership  Some HAN devices may reside on a 3rd party network and the Utility ESI  OpenHAN 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.)  OpenHAN SRS addresses the following special applications o PEV including the Energy Vehicle Supply Equipment (EVSE) and End-use Measurement Device (EUMD) o Energy Management System (EMS) o Distributed Energy Resources (DER)

11. 11 OpenHAN SRS v1.95 3. OpenHAN System Requirements  Requirements Mapping to Logical Devices  Provides guidance to Service Providers and vendors  For reference only and should not limit the needs of Service Providers or vender innovation  Mapping Categories o BC or Basic Commissioning – Minimum requirement for the Commissioning process. These requirements are mandatory and must be included to support the process of Commissioning a HAN device on the HAN. o BC or Basic Registration - Minimum requirement for the Registration process. These requirements are mandatory and must be included to support the process of Registering a HAN device on the ESI. o BF or Basic Functionality – Minimum requirement that the OpenHAN TF recommends is needed to support the basic functionality of the logical HAN device. o O or Optional – An optional requirement that may be included to support a Service Provider program or allow a vendor to differentiate their product. o NA or Not Applicable - This requirement is not applicable to this logical HAN Device.

12. 12 OpenHAN SRS v1.95 3. OpenHAN System Requirements, continued  Requirements Mapping to Logical Devices, continued  Logical Devices  Mapping table located after each requirement section except for the security requirements which will be mapped to each requirement rather than to a logical device

13. 13 OpenHAN SRS v1.95 3. OpenHAN System Requirements, continued  Requirements Framework and Assumptions  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

14. 14 OpenHAN SRS v1.95 3. OpenHAN 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

15. 15 OpenHAN SRS v1.95 3. OpenHAN 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

16. 16 OpenHAN SRS v1.95 4. Appendices  Use Cases  Industry use cases reviewed to identify any OpenHAN 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)

17. 17 OpenHAN SRS v1.95 4. Appendices  Use Cases, continued  OpenHAN TF use cases o Load and Energy Management o User Information o In-premises Metering o System Configuration and Management o HAN Security Considerations o Considers the potential impact to HAN stakeholders due to a security compromise in the HAN o Scope of compromise o Singular device within a single HAN o Multiple devices within a single HAN, up to and including all devices within a single HAN o Multiple devices within multiple HANs (single neighborhood scale) o Large number of HANs (multiple neighborhood)

18. 18 Questions? Join OpenHAN TF http://osgug.ucaiug.org/sgsystems/openhan/default.aspx OpenHAN Email reflector: OPENSG-SGSYS-OPENHAN@SMARTGRIDLISTSERV.ORG Web meeting information: Provided via email to all members of OpenHAN reflector Announced on the OpenSG sharepoint in the OpenHAN calendar OpenHAN documents: http://osgug.ucaiug.org/sgsystems/openhan/default.aspx Located in Shared Documents/OpenHAN 2.0 folder