IEEE 2030.5 Workshop

IEEE 2030.5/CA Rule 21 Foundational Workshop June 12, 2017

1 THANK YOU TO OUR SPONSOR Agenda

3:15 PM Welcome and opening remarks Tom Tansy, SunSpec Alliance 3:20 PM What is IEEE 2030.5 and what does it mean to California and Rule 21? Bob Fox, Principal Engineer, SunSpec Alliance Gordon Lum, CTO, Kitu Systems Steve Kang, Sr. VP of Engineering, Quality Logic 4:00 PM What are the options for building/buying IEEE 2030.5 technology? Mike Bourton, VP of Business Development, Kitu Systems 4:20 PM SunSpec Test and Certification program for IEEE 2030.5/CSIP Tom Tansy, Chairman, SunSpec Alliance 4:40 PM IEEE 2030.5 test and certification solutions James Mater, GM-Smart Grid Business, Quality Logic 5:00 PM Roundtable discussion and audience Q&A 5:15 PM Closing remarks plus networking and drinks IEEE 2030.5 and DER Grid Standards

Bob Fox, SunSpec Alliance July 12, 2017 DER Grid Standards

¾ CA Rule 21 – Common Smart Inverter Profile (CSIP) ¾ IEEE 1547, 1547.1

5 CA Rule 21

¾ Accelerate deployment of smart inverter functionality in CA ¾ Initial work done in Smart Inverter Working Group (SIWG) ¾ Three phases – Phase 1: Autonomous functions – Phase 2: Communications – Phase 3: Additional functions

6 CA Rule 21 Phase 2

¾ Ability to communication with DER ¾ IEEE 2030.5 is the default communications interface ¾ CA Rule 21 allows the 2030.5 interface to be at an aggregator, facility energy management system, or individual DER ¾ If the interface is not at the DER, any protocol may be used at the DER to communicate with the component(s) supplying the IEEE 2030.5 interface

7 IEEE 2030.5 (SEP 2.0)

¾ Developed for general protocol and information model support for smart grid device functionality ¾ Default communication interface for DER in CA Rule 21 ¾ CA Rule 21, IEEE 2030.5 allows the interface to be at an aggregator, facility energy management system, or individual DER ¾ Currently being updated to provide CA Rule 21 support ¾ With the successful ballot of IEEE 1547, full 1547 support may be supplied in the current update ¾ DER functionality originally based on SunSpec/IEC 61850 information models

8 Common Smart Inverter Profile (CSIP)

¾ Common Smart Inverter Profile (CSIP) defines the IEEE 2030.5 functionality required by Rule 21 ¾ Developed and published by the CA IOUs to provide uniform requirements for communication support in Rule 21 ¾ SunSpec Alliance is developing CSIP/2030.5 Test Procedures and certification requirements for Rule 21 Phase 2 ¾ CA Rule 21 Phase 2 becomes mandatory 9 months after the release of the SunSpec CSIP/2030.5 Test Procedure are released

9 IEEE 2030.5 Status

¾ Currently being updated to address comments from last version and changes required to support CA Rule 21 Phase 1 and 3 functionality ¾ Due to IEEE 1547 passing on the first ballot, changes to support the current draft of IEEE 1547 are being considered ¾ Editing group led by Robby Simpson is working on the above updates ¾ Targeted to finish draft for IEEE 2030.5 working group vote by end of July

10 CSIP Implementation Guide

Gordon Lum Origin of Implementation Guide (IG) • Mandated as part of the April 7, 2017, CPUC Resolution E-4832 on the Phase 2 recommendations for communications protocols. • Resolution E-4832 incorporates IOU Advice Letters 3532-E, 4982- E, and 3023-E. • 3532-E: Each IOU Handbook shall make reference to a common “California IEEE 2030.5 Implementation Guide” that will be developed and maintained collectively by the California IOUs. This implementation Guide shall provide detailed communication requirements and implementation guidelines that ensure consistent interoperability of DER systems with all the IOUs. This guide may be updated periodically to support advances in technology or updates in tariffs and other California DER rules. What is the Implementation Guide? • Describes how to use the default IEEE 2030.5 (SEP2) Protocol to implement CA Rule 21 functions (i.e. describes the CA Rule-21 “profile” of the IEEE 2030.5 protocol) • Assumes communicating devices are fully-compliant with IEEE 2030.5 • Uses a subset of the 2030.5 protocol/resources • Adds additional constraints on the use of 2030.5 resources • Also describes the architecture, model, and expected usage pattern for communications that are not explicitly defined by CPUC Orders and Advice Letters. • CSIP Implementation Guide version 1.0 published in September 2016. • Next revision of IG will address recent 2030.5 changes to incorporate IEEE 1547 updates. • Any feedback on how to improve the IG is welcome Architecture Models

1. Direct – Inverter directly communicates with the Utility Server 2. EMS-Gateway – Entity/Device that manages a small number of local Inverters. 3. Aggregator – Entity that manages communications for a fleet of Inverters. Assumed to be a cloud-based Server. This is the utility’s preferred model of operation. Special Requirements for Aggregators • Aggregator are assumed to be cloud server capable of managing a large fleet of Inverters. • Aggregators must act on behalf of all of the Inverters under its control. • Must know the group assignments of all Inverters and act on all controls targeted to those groups. • Must provide aggregated and non-aggregated meter data for all Inverters • Aggregators must use the IEEE 2030.5 Subscription/Notification mechanisms to reduce network traffic. Hierarchical System Model

System A1 Each node in the system is a Group (FSA) • Grid network assumes a Subtransmission A1-B1 A1-B2 hierarchical system topology Substation A1-B1-C1 A1-B1-C2 model. Feeder A1-B1-C1-D1 A1-B1-C2-D1 • Each node in the topology is Segment A1-B1-C1-D1-E1 a Group (i.e. FSA). Transformer A1-B1-C1-D1-E1-F1 • Inverters must support Service Point A1-B1-C1-D1-E1-F1-G1 A1-B1-C1-D1-E1-F1-G2 membership in up to 9 Inverter-A Inverter-B Groups.

Inverter-A belongs to these Groups • Utilities can target a DER The Inverter’s FSA List contains all of the Groups the inverter belongs to Inverter-A FSA List A1, A1-B1, A1-B1-C1, A1-B1-C1-D1, A1-B1-C1-D1-E1, A1-B1-C1-D1-E1-F1, A1-B1-C1-D1-E1-F1-G1 Control to any Group. Inverter-B FSA List A1, A1-B1, A1-B1-C1, A1-B1-C1-D1, A1-B1-C1-D1-E1, A1-B1-C1-D1-E1-F1, A1-B1-C1-D1-E1-F1-G2 Targeting controls to a Group is a very important feature for the utilities. CA Rule 21 – Phase 1 Mappings

Phase 1 Requirement IEEE 2030.5 Mapping

HV/LV MustTrip Curves Voltage Ride-Throughs (F8) HV/LV MomentaryCessation Curves

Frequency Ride-Throughs (F8) HF/LF MustTrip Curves

Ramp Rates (F8) setGradW, setSoftGradW

Connect/Disconnect (F2) opModConnect, opModEnergize

Fixed Power Factor (F8) opModFixedPF

Dynamic Volt-Var (F8) opModVoltVar CA Rule 21 – Phase 3 Mappings

Phase 3 Requirement IEEE 2030.5 Mapping

MUP function set for meter data EDER/DERS for status, settings, and ratings Monitor Meter Data (F1) LogEvent function set for alarms Response function set for event acks

Limit Maximum Power (F3) opModMaxLimW

Set Active Power (F4) opModFixedFlow

Frequency Watt (F5) opModFreqWatt

Voltage Watt (F6) opModVoltWatt

Dynamic Reactive Current (F7) TBD

Scheduling (F8) DERControl events July 12, 2017

Introduction to IEEE 2030.5 for CA Rule 21

Steve Kang, VP Engineering, QualityLogic

IEEE 2030.5 Overview History Design Features Function Sets for CSIP Why IEEE 2030.5 for CA Rule 21 Standard Update

Evolution of ZigBee Smart Energy 1.x A widely deployed standard for the Smart Grid HAN IEEE 2030.5-2013 incorporates all of the application functionality of ZSE 1.x with several additions (including DER and EV support) Robust testing and certification program with a certification mark 60+ million meters currently deployed or under contract, from a variety of manufacturers ~550 Certified Products However, limited to the ZigBee PRO technology (802.15.4 at 2.4 GHz running the ZigBee PRO stack) QL Test IEEE 2030.5 ZSE 1.0 ZSE 1.0 IEEE 2030.5- Harness Selected by CA Started Published 2013 Published Approved Rule 21

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 SEP 2.0 SEP 2.0 PAR SunSpec CA Started Published Approved Rule 21 Certification 21 IEEE 2030.5 History

ZigBee Smart Energy Profile 2 initiated in 2008 Requirements defined by utilities Designed to use widely-adopted technologies Consortium for SEP 2 Interoperability (CSEP) formed in 2012 Founded by HomePlug, Wi-Fi and ZigBee Completed V1.0 PICS and Test Spec in December 2013 Standard completed and adopted as IEEE 2030.5 in 2013 (IEEE 2030.5-2013) Added to SGIP Catalog of Standards in 2013 First CSEP Test Harness approved in February 2015 First Conformance tests by UL in 2015 Selected as the “default protocol” for California Rule 21 in 2016

22 IEEE 2030.5 Design

Leverages open standards for communication and data formats Integrates energy devices into the smart grid based upon demand response events, price signals, and DER requirements Transport Layer Agnostic – relies on HTTPS/XML TCP/IP based - Wifi, BlueTooth, Zigbee IP, WiSUN, HomePlug, etc Subscription or Polling method determined by end device Data compression optional for end devices Zero configuration networking – use of mdns 7 years test specification and certification tool development

23 Design Uses Function Sets = Toolsets

Supports the CA Rule 21 SIWG functions Full Metering data support Monitoring/alarms for situational awareness and measurement/verification DER information model harmonized with 61850 and SunSpec Controls provide support for DER advanced functionality - Autonomous controls and Curves Ability to group and target groups or individual devices based upon the utility network design Security: Strong security profile (TLS 1.2, Certificates for authentication, Access control) meets NIST requirements

25 CA Rule 21 CSIP and IEEE 2030.5

IEEE 2030.5 Function Set IEEE 2030.5 Function Set Design Pattern Power Status Application Support Network Status Security LogEvent List Certificate Management Configuration Discovery (DNS-SD/xmDNS) File Download Device Capabilities Demand Response and Load Control Time Metering Self Device Pricing End Device Messaging Function Set Assignments Billing Subscription/Notification Prepayment Response Flow Reservation Distributed Energy Resources Function Sets in dark blue required for CSIP Metering Mirror

Maintenance PAR opened in 2014 ✔ Address feedback from implementation and field experience ✔ Address feedback from California Rule 21 needs ✔ Address feedback from IEEE 1547 revisions Have received 212 comments, addressed all as a group, now editing Expected publication 4Q17

27 IEEE 2030.5 and DER Summary

Formally published in 2013 with technologies and test tools available now Based on “Function Sets” that serve as building blocks to build a product Open standard that supports CA Rule 21 DER requirements Internet protocols: HTTPS and XML Transport agnostic: not tied to any specific transport layers/networks Technologies widely available that support underlying technologies DER model harmonized with 61850 and SunSpec information models Standard continues to evolve to meet new needs – IEEE 2030.5 update to be published

28 Energy Management and IoT Solutions What are the options for building/buying IEEE 2030.5 technology?

Mike Bourton [email protected] IEEE2030.5 Status (aka SEP2.0) • Process started in November 2009 – Use cases and MRD Created by Utilities and other stakeholders – TRD and specification developed by a Zigbee/Homeplug workgroup • SEP2.0 Release 1.0 by ZigBee/HomePlug – April 2013 • Released as IEEE 2030.5 – October 2013 • Included in the SGIP Catalog of Approved Standards • CSEP (Consortium for SEP) – Alliance of Alliances (WiFi, ZigBee, Bluetooth, HomePlug) – Developed PICS and test specification • Interop Events between Vendors held throughout the process • IEEE is maintaining the specification and currently finalizing IEEE2030.5-2017 based upon CA Rule 21 and Hawaii Rule 14 requirements for Utility Interconnection of generation behind the meter.

July 12th 2017 31 Kitu Systems IEEE2030.5 Overview

Energy Storage Energy Management Solar, Wind Backhaul: System Radio, PLC etc. Smart EMS Meter

12345 Utility Back-office Appliances Server

SE1 to SE2 Application Layer Gateway (if required)

Loads E.g. Pool Pumps LAN

WAN

Optional Gateway Broadband Modem Third Party Thermostats Aggregator Server

EVSE PC Wired 12345 Water, Gas Portable Meter Wireless Display

Electric Sub-Meter (EUMD) Vehicles Both

July 12th 2017 Kitu Systems 32 IEEE2030.5 Specification

• Original Smart Energy 2.0 Documents - no longer available – [ZB 09-5162] ZigBee + HomePlug Joint Working Group Smart Energy Profile Market Requirements Document (09-5162) http://www.zigbee.org/Standards/ZigBeeSmartEnergy/HomePlugM arketingRequirementDocument.aspx – [ZB 09-5449] Smart Energy Profile Technical Requirements Document (09-5449). http://www.zigbee.org/Standards/ZigBeeSmartEnergy/20Technical RequirementsDoc.aspx – [ZB 13-0201] Smart Energy 2.0 UML Model (13-0201) • IEEE2030.5 – 2013 to be replaced with IEEE2030.5-2017 – http://www.techstreet.com/ieee/standards/ieee-2030-5- 2013?gateway_code=ieee&vendor_id=5666&product_id=1860492 • Join the IEEE2030.5 workgroup – https://standards.ieee.org/develop/wg/SEP2.html

July 12th 2017 33 Kitu Systems IEEE2030.5 IETF References

[RFC 768] User Datagram Protocol http://tools.ietf.org/html/rfc768 [RFC 793] Transmission Control Protocol http://tools.ietf.org/html/rfc793 [RFC 1630] Universal Resource Identifiers in WWW http://tools.ietf.org/html/rfc1630 [RFC 1738] Uniform Resource Locators http://tools.ietf.org/html/rfc1738 [RFC 1808] Relative Uniform Resource Locators http://tools.ietf.org/html/rfc1808 [RFC 2119] Key words for use in RFCs to Indicate Requirement Levels http://tools.ietf.org/html/rfc2119 [RFC 2560] X.509 Internet Public Key Infrastructure Online Certificate Status Protocol – OCSP, IETF, M. Meyers et al, June 1999 http://tools.ietf.org/html/rfc2560 [RFC 2616] Hypertext Transfer Protocol - HTTP/1.1 http://tools.ietf.org/html/rfc2616 [RFC 2717] Registration Procedures for URL Scheme Names http://tools.ietf.org/html/rfc2717 [RFC 2818] HTTP Over TLS http://tools.ietf.org/html/rfc2818 [RFC 2863] The Interface MIB https://tools.ietf.org/html/rfc2863) [RFC 3535] IAB Network Management Workshop http://tools.ietf.org/html/rfc3535 [RFC 3635] Definitions of Management Objects for the Internet-Like Interface Types http://tools.ietf.org/html/rfc3625) [RFC 4108] Using Cryptographic Message Syntax (CMS) to Protect Firmware, IETF, R. Housley, April 2005 http://tools.ietf.org/html/rfc4108 [RFC 4193] Unique IPv6 Unicast Addresses http://tools.ietf.org/html/rfc4193 [RFC 4291] IP Version 6 Addressing Architecture http://tools.ietf.org/html/rfc4291 [RFC 4293] Management Information Base for the Internet Protocol (IP) http://tools.ietf.org/html/rfc4293) [RFC 5246] Transport Layer Security (TLS) Protocol V1.2 http://tools.ietf.org/html/rfc5246 [RFC 5280] Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile, IETF, D Cooper et al, May 2008 http://tools.ietf.org/html/rfc5280) [RFC 5480] Elliptic Curve Cryptography Subject Public Key Information, IETF, S. Turner et al., March 2009 http://tools.ietf.org/html/rfc5480) [RFC 6550] RPL: IPv6 Routing Protocol for Low-Power and Lossy Networks http://tools.ietf.org/html/rfc6550) [RFC 6554] An IPv6 Routing Header for Source Routes with the Routing Protocol for Low-Power and Lossy Networks (RPL) http://tools.ietf.org/html/rfc6554 [RFC 6762] Multicast DNS http://tools.ietf.org/html/rfc6762 [RFC 6763] DNS Based Service Discovery http://tools.ietf.org/html/rfc6763) [I-D AESCCM] AES-CCM ECC Cipher Suites for TLS https://docs.zigbee.org/zigbee-docs/dcn/12/docs-12-0462-00-SEP 2-aes-ccm.pdf) [I-D XMDNS]. Extended Multicast DNS https://docs.zigbee.org/zigbee-docs/dcn/12/docs-12-0461-00-SEP 2-xmdns.pdf

July 12th 2017 34 Kitu Systems IEEE2030.5 Other References

[ASN.1] ITU-T Recommendation X.680 – Information technology – Abstract Syntax Notation One (ASN.1): Specification of basic notation, ITU, July 2002 [CSEP] Consortium for SEP 2 Interoperability http://www.csep.org [DOCSIS DOCSIS http://cablelabs.com/cablemodem/specifications/index.html [EPRI] Common Functions for Smart Inverters. EPRI, Palo Alto, CA: 2011. Product ID Number 1023059 [EXI] Efficient XML Interchange (EXI) Format 1.0 http://www.w3.org/TR/2008/WD- exi-20080919.html [EXIBP] Efficient XML Interchange (EXI) best practices http://www.w3.org/TR/exi-best-practices/ [Fielding] Fielding, Roy Thomas (2000), "Architectural Styles and the Design of Network- based Software Architectures", Doctoral Dissertation, University of California, Irvine http://www.ics.uci.edu/~fielding/pubs/dissertation/top.html [IEEE 802.1AR] Standard for Local and Metropolitan Area Networks: Secure Device Identity, IEEE, 2009 http://www.ieee802.org/1/pages/802.1ar.html [ISO 4217 Codes for the representation of currencies and funds http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=46121) [Linux] Linux https://www.linux.com/ [NIST–1108] NIST framework and roadmap for Smart Grid Interoperability Standards, Release 1.0. http://collaborate.nist.gov/twikisggrid/pub/SmartGrid/IKBFramework/NISTFra meworkAndRoadmapForSmartGridInteroperability_Release1final.pdf [NIST SP800-131A] Transition: Recommendation for Transitioning the Use of Cryptographic Algorithms and Key Lengths http://csrc.nist.gov/publications/nistpubs/800-131A/sp800-131A.pdf [NIST SP800-131B].Transition: Validation of Transitioning Cryptographic Algorithm and Key Lengths http://csrc.nist.gov/publications/drafts/800-131B/draft-SP800- 131B_February2011.pdf [NIST SP800-131C]...... Transitions: Validating the Transition from FIPS 1862 to FIPS 1863 http://csrc.nist.gov/publications/drafts/800-131C/draft-SP800- 131C_February2011.pdf) [PEN] Internet Authority Assignment numbers (IANA) PEN http://pen.iana.org/pen/PenApplication.page [REST] Representational State Transfer http://www.ics.uci.edu/~fielding/pubs/dissertation/rest_arch_style.htm [SunSpec] SunSpec Alliance Inverter Control Model http://www.sunspec.org/specifications/ [WADL]Web Application Description Language http://www.w3.org/Submission/wadl/ [XML] Extensible Markup Language http://www.w3.org/TR/REC-xml/ [IEC 61850]Communication networks and systems in substations - ALL PARTS (http://webstore.iec.ch) [IEC 61968]Application integration at electric utilities - System interfaces for distribution management – ALL PARTS (http://webstore.iec.ch)

July 12th 2017 35 Kitu Systems IEEE2030.5 Implementation Challenges

• Security – IEEE 2030.5 uses a variation of an AEAD cipher-suite, which is compliant to NSA Suite B standards, for TLS encryption – This is a relatively new cipher-suite and may not be available in some security stacks • Event Processing – IEEE 2030.5 has an event model that describes how to handle non-overlapping events, overlapping events, nested events, randomized events, multi-program events, multi-server events, etc. – Implementing all of these rules correctly is challenging • Groups (FSA) – IEEE 2030.5 allows devices to be assigned to 1 or more groups. For CA Rule 21, and End Device can be assigned to up to 9 groups – Controls can be targeted to any group and these controls can overlap and supersede each other – The End Device needs to be able to manage controls coming from all of these groups and apply the event rules along with the associated priorities correctly

July 12th 2017 Kitu Systems 36 IEEE2030.5 Implementation Challenges

• Subscription – Subscription/Notification is a mechanism to reduce the amount of communications traffic by allowing the Server to push changes to the client instead of the client having to periodically poll for changes – Although subscription support is optional in IEEE 2030.5, it is mandatory for Aggregators in CSIP-CA Rule 21 – To support this, an Aggregator is not only client, but also a server to receive notifications – This new role as a server adds to the complexity of an Aggregator. • Metering – Metering and Mirror Metering is used for devices to send their meter data to the utility server – The challenge for the Aggregator is to be able to aggregate meter readings from its clients intelligently and efficiently

July 12th 2017 Kitu Systems 37 Kitu IEEE2030.5 Solution

Application • Complete Solution for both Client and Server

Application API • All Functions sets available Applications Framework and Services • Embedded solution shown – Can be ported to any processor or Operating System

Infrastructure Services SEP Manager Application Support Layer – Memory: 256K flash, 64K Ram

Function Sets • Also available for Linux or cloud based Platforms • XML EXI Web Configurable Implementation OTA Parser Parser Server Resource – Client and/or Server Discovery HTTP HTTPS – Function Set (30 different Function sets) – Operating Mode BSD Sockets Interface • Application Framework and Services Transport and Network Layers – Performs many of the tasks to simplify application Security developers

Device Drivers TCP UDP • Discovery Debug & Monitor • Security IPv6 Stack • Data Validation ROLL-RPL • XML/EXI paring Routing • Responses and error handling 6LoWPAN • API available for customer application File System Kernel Abstraction Abstraction – Standard Applications available examples: Layer Layer MAC Abstraction Layer • Sunspec Modbus Smart Inverter Interface • Secure Sub-Metering FSAL API KAL API MAC Abstraction Layer API • Electric Vehicle

File Operating – Customization service available System System MAC / PHY

Microcontroller / Platform

July 12th 2017 Kitu Systems 38 Kitu Business Model

• Upfront License Fee + Royalty – Varies depending upon • Function Sets • Server and/or Client • Platform and OS • Contact [email protected] for a quote

July 12th 2017 Kitu Systems 39 Any Questions?

[email protected]

July 12th 2017 Kitu Systems 40 SunSpec IEEE 2030.5/CSIP DER Certification Test Standards & Plan

February 14, 2017

41 Background

• California Rule 21 requires that DER systems must communicate • Requirements outlined in “California Smart Inverter Profile” (“CSIP”) • IEEE 2030.5 specified as the default protocol • SunSpec was named by California to provide criteria for IEEE 2030.5/CSIP

42 SunSpec IEEE 2030.5/CSIP Certification Program Plan

Planned Program Element Description and Notes Delivery PICS template “Protocol Information Conformance Statement” template 06/17 allowing implementers to declare how products comply to the IEEE 2030.5 standard for DER and CSIP requirements. Communication Royalty-free test protocol requirements sufficient to evaluate 10/17 protocol certification and certify DER systems for IEEE 2030.5 compliance. Starts clock test standard for CA Rule 21 Phase 2. Testing provider Facility and tool qualification criteria for third parties wanting to 10/17 criteria administer SunSpec test procedures.

Digital Certificate Public Key Infrastructure established and available to 4/18 Authority manufacturers of IEEE 2030.5 devices.

SunSpec compliance First SunSpec IEEE 2030.5 /CSIP mark ready to issue. 5/18 program active

43 For More Information

Thomas Tansy SunSpec Alliance [email protected] 831-227-1073