June California Investor Owned Utilities (IOU) HAN vision statement development 15 June 2007

June Introduction  Purpose:  Information Sharing  Validate approach  Establish responsibility and participation  Outline:  Framework Introduction  Documentation Purpose  Documentation Process  Technology Drivers  Functional Characteristics and System Criteria  Communication Example  Security Example  Next Steps

June 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 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 Documentation Process

June HAN Technology Drivers  Utility Value Proposition  Provides justification  Utility specific  Vision Statement  End state vision based on utility’s mission  Creates value and opportunity for all stakeholders  Guiding Principles  Organized as capabilities and constraints  Establishes the parameters for a two way communication interface with the meter  Sets the boundaries of the system  Establishes ownership  High level expectations for functionality (e.g., load control, price signaling)  Establishes handling expectations (e.g., security, signal types)  Standards  Open source  Applied at each level  Can be constrained from the level above

June Functional Characteristics and System Criteria  Criteria and characteristics provides non authoritative context and clarification  Viewed as technology enablers  Driven by Guiding principles and use cases  Establishes high level technical expectations  Organized by behavior and function  Includes Application, Communications, Security and Privacy and Performance  Application Criteria  Utility functionality  Know consumer functionality  Application evolution and migration  Communication Criteria  Logical and physical communication decoupling (AMI Backhaul and HAN)  Interoperability and interference (e.g., customer gateways, networks)  Communication evolution  Security and Privacy  Graduated model (low, medium, high robustness) based on signal type  Authentication, Authorization and Accountability  Authentication material: source, distribution flows  Authorization (rights): device registration, participation and revocation  Accountability: audit, alerts and non-repudiation  Performance (Adaptability, Flexibility, Scalability, Reliability, etc.)

June Communication Specification Example

June Security Specification Example

June Next Steps  Publish CA IOU vision statement  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)