“SG-Systems” (Smart Grid – Operational Applications Integration) “Boot Camp” Overview Greg Robinson, Co-Chair, SG-Systems Brent Hodges, Chair, SG-Systems

Agenda Introductions and Brief Overview of SG-Systems Requirements Gathering – Use Cases and System Requirements Overview with AMI-Ent example OpenADE OpenADR OpenHAN EIM Task Force General discussion, questions & answers Adjourn

NIST Conceptual Model [Source: NIST Interim Roadmap]

Business Drivers Interoperability requires many standards in a profile stack The SDO process is relatively slow & needs more user input Work collaboratively with SDOs to ensure common user requirements are addressed Facilitate standards development by proposing potential solutions for addressing gaps in existing standards. The SDO ultimately determines when and how its standards are updated based on input. For Information Standards, resolve (don’t add to) semantic chaos Avoid having the same information defined with different names, varying definitions, etc. Ensure same information standards can be used across different communication profiles While mapping to other standards will be unavoidable, strive to use, correct and extend one information model standard: The IEC TC57 Common Information Model (CIM) is the default information model for this purpose. There is substantial information overlap among AMI, ADE, HAN and ADR While requirements and services vary significantly, they can be built using the same information model.

Proprietary and Confidential The CIM is the Basis for a Common Systems Language for Utilities One Dictionary Supports Many Forms of Communication The same dictionary is used for multiple forms of human communication: Letters Phone calls Conversations s Etc. In similar manner, the same CIM is used for multiple forms of computer communication: XML RDF OWL DDL Etc. 7

SG-Systems Working Group Charter: The SG-Systems Working Group defines requirements, policies, and services, based on utility industry standards such as the Common Information Model (CIM), required for information exchange from and to utility enterprise back office systems and between these back office systems and data acquisition and control servers (e.g., MDMS, AMI Head Ends, SCADA, OMS, GIS, CIS, work management, etc.). Task forces are established on an as needed basis to accomplish these goals for specific functional areas.

SG-Systems WG Process Overview Use Case Development System Requirements Specification (SRS) Service Definitions (supporting SDOs) Use Cases From SCE and others IEC TC57 WG14, OASIS, IEEE Other SDOs NIST HomePlug & ZigBee SE 2.0 Integration Requirements Patterns Sequence Diagram Services WSDL Business-Oriented, Common Format Use Cases Based on SRS Reference Model Recommendations to IEC TC57 WG14: Proposed CIM Extensions Message Schemas Updates Requirements Updates Recommendations to other SDOs EPRI, MultiSpeak SG-Conformity WG Task Forces SG-Security WG

Key Collaboration Concept for the SG-Systems Working Group Standard building blocks are defined by IEC, other Standards Development Organizations, and industry groups: e.g., OAISIS, Open Applications Group (OAG), MultiSpeak, OGC Requirements (use cases) are gathered from helpful sources Utilities Industry initiatives The SG-Systems WG articulates Industry Best Practices (see next slide) that satisfy requirements through the use of industry standard building blocks. Ideas for recommended extensions and changes to standard building blocks are provided back to appropriate standards bodies. February 2010 SG-Systems WG

Our Focus: Finding/Developing Best Practices & Making Them into Vetted “Industry Best Practices” Local Utility Projects Consortiums & User Groups like OpenSG (business requirements) & CIMug (optimization & implementation support) Standards Development Organizations (SDOs) like IEC TC57 Working Group 14 for the IEC series of standards Utility’s Projects - Design & Implementations Utility’s Architecture Industry Best Practices Interoperability Testing Industry Best Practices Standards Conformance & Interoperability Testing Industry Standards SG-Systems WG

Agenda Introductions and Brief Overview of SG-Systems Requirements Gathering – Use Cases and System Requirements Overview with AMI-Ent example OpenADE OpenADR OpenHAN EIM Task Force General discussion, questions & answers Adjourn

Agenda Introductions and Brief Overview of SG-Systems Requirements Gathering – Use Cases and System Requirements Overview with AMI-Ent example OpenADE OpenADR OpenHAN EIM Task Force General discussion, questions & answers Adjourn

Agenda Introductions and Brief Overview of SG-Systems Requirements Gathering – Use Cases and System Requirements Overview with AMI-Ent example OpenADE OpenADR OpenHAN EIM Task Force General discussion, questions & answers Adjourn

15 Scope of HAN SRS in the NIST conceptual model

OpenHAN - Scope 16

17 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 Jan – July 2010 OpenHAN 2.0 collaboration effort August 30, 2010 UCAIug HAN SRS v2.0 ratified and released

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

 Industry use cases were reviewed to identify any 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

20 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

21 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

22 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

23 This figure shows the type of communication a HAN Device may engage in, which is dependent upon its relationship with the ESI and the Service Provider.

24 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 is applicable to both 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

25 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

26 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

27 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

28 UCAIug HAN SRS v2.0UCAIug HAN SRS v2.0 is located on the OpenHAN sharepoint: Questions????

Agenda Introductions and Brief Overview of SG-Systems (Greg) Requirements Gathering – Use Cases and System Requirements Overview with AMI-Ent example (Mark) OpenADE (Steve or Dave) OpenADR (Bruce) OpenHAN (Erich) EIM Task Force (Jim) General discussion, questions & answers Adjourn

Smart Grid Interoperability Ability of systems to operate in coordination Ability to exchange and use information appropriately Requires standard interface definitions Governed by open industry working groups Provides Benefits Promotes loosely-coupled integration Allows incremental functional enhancements Creates market for reusable, compatible components Only one integration instead of many To an open, public, standard interface Instead of each proprietary vendor or utility interface

Smart Grid Challenges Requires Integration – LOTS of integration Onslaught of new applications and technologies AMI, MDMS, HAN, DR, ADE, etc. In a complex IT environment Many custom systems, legacy technologies Typically departmentally controlled – within “silos” Need ability to govern, manage, and share resources at the Enterprise level and beyond (external services) Aging / outsourced systems and IT workforce Historically, extremely low R&D expenditures Must ramp up capabilities quickly Each utility has its own Software Development Life Cycle (SDLC)

It’s More Than Just Technical Matters Driving Forces Restraining Forces Status Quo 1.Lack of stable industry standard definitions 2.Vendor’s way = lower project costs 3.Vendors pushing for ‘proprietary lock-in’ 4.Consultants pushing to be ‘thought leaders’ 5.Hours-sold revenue driving System Integrators 6.Internal system experts want to remain experts 7.Project managers striving for control 8.Inertia – why change? 9.Our situation’s unique – standards hinder us 1.Consistent enterprise-wide data 2.One version of the truth 3.Access to data regardless of source 4.Business transformation agility 5.Reduced project implementation costs 6.Reduced maintenance costs 7.Reduced IT risks 8.Availability of external services 9.Scalable business process automation 10.Scalable business activity monitoring 11.Accurate reporting – regulatory, KPIs 12.Mergers and acquisitions For further information, please refer to the article on page 56 of the January issue of Utility T&D Automation & Engineering:

Defining EIM (Gartner) Enterprise Information Management (EIM) is: An organizational commitment to structure, secure and improve the accuracy and integrity of information assets, to solve semantic inconsistencies across all boundaries, and support the technical, operational and business objectives within the organization's enterprise architecture strategy. A commitment to EIM is recognition that information in the enterprise is as important as process (application development) and infrastructure (technology)

EIM Vision & Strategy EIM Governance EIM Core Processes EIM Organization EIM Infrastructure Enterprise Vision & Strategy Enterprise Architecture Enterprise Business & IT Core Processes Enterprise Business & IT Organizations Enterprise Infrastructure Vision Mission Strategy Goals & Objectives Value Propositions Sponsorship Stewardship Policies, Principles & Tenets Alignment Structure CSFs & KPIs Structure (Virtual, Hybrid……) Roles & Responsibilities Functional Services Business Value and Relationship Management Information Architecture Blueprint Management Technologies (DBMS, Content Mgmt, ETL, EAI, EII, Data Modeling, BI/DW, Collaboration…..) Knowledgebase and Repositories Standards & Best Practices Data Quality Data Integrity Data Security & Protection Data Lifecycle Management Data Movement Semantics Management Database Management Master Data Management Information Services Services & Support Overall EIM Framework

Slide 35 EIM Charter Identify and articulate common EIM requirements: Use cases Activity Diagrams EIM Requirements Specification Develop common EIM Framework that satisfies requirements, taking advantage of other relevant industry work as appropriate (e.g., vision, governance, processes, etc.) Develop requirements for an OpenSG generic semantic model to be used by members as a starting point for their enterprises. Collaborate with SGAC of the NIST SGIP Provide a forum for exchanging information so that all members can benefit from lessons learned. Collaborate with Standards Development Organizations (SDOs), NIST SGIP, and/or consortiums so that needed advancements are accomplished in the most appropriate organizations in the most efficient manner.

Agenda Introductions and Brief Overview of SG-Systems (Greg) Requirements Gathering – Use Cases and System Requirements Overview with AMI-Ent example (Mark) OpenADE (Steve or Dave) OpenADR (Bruce) OpenHAN (Erich) EIM Task Force (Jim) General discussion, questions & answers Adjourn