PIER FINAL PROJECT REPORT. OPEN AUTOMATED DEMAND RESPONSE COMMUNICATIONS SPECIFICATION (Version 1.0)

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1 OPEN AUTOMATED DEMAND RESPONSE COMMUNICATIONS SPECIFICATION (Versin 1.0) Arnld Schwarzenegger Gvernr Prepared Fr: Califrnia Energy Cmmissin Public Interest Energy Research Prgram PIER FINAL PROJECT REPORT Prepared By: Lawrence Berkeley Natinal Labratry Akuacm April 2009 CEC

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3 Prepared By: Demand Respnse Research Center Lawrence Berkeley Natinal Labratry Mary Ann Piette Girish Ghatikar Sila Kiliccte Ed Kch Dan Hennage Peter Palensky Charles McParland Berkeley, Califrnia Cmmissin Cntract N Prepared Fr: Public Interest Energy Research (PIER) Califrnia Energy Cmmissin Ivin Rhyne Prject Manager Kristy Chew/ Chris Scrutn Cntract Manager Pedr Gmez / Nrm Burassa Prgram Area Lead Energy Systems Integratin / Buildings Mike Gravely Office Manager Energy Systems Research Martha Krebs, Ph.D. PIER Directr Thm Kelly Deputy Directr ENERGY RESEARCH & DEVELOPMENT DIVISION Melissa Jnes Executive Directr

4 DISCLAIMER This reprt was prepared as the result f wrk spnsred by the Califrnia Energy Cmmissin. It des nt necessarily represent the views f the Energy Cmmissin, its emplyees r the State f Califrnia. The Energy Cmmissin, the State f Califrnia, its emplyees, cntractrs and subcntractrs make n warrant, express r implied, and assume n legal liability fr the infrmatin in this reprt; nr des any party represent that the uses f this infrmatin will nt infringe upn privately wned rights. This reprt has nt been apprved r disapprved by the Califrnia Energy Cmmissin nr has the Califrnia Energy Cmmissin passed upn the accuracy r adequacy f the infrmatin in this reprt. Disclaimer This dcument was prepared as an accunt f wrk spnsred by the United States Gvernment. While this dcument is believed t cntain crrect infrmatin, neither the United States Gvernment nr any agency theref, nr The Regents f the University f Califrnia, nr any f their emplyees, makes any warranty, express r implied, r assumes any legal respnsibility fr the accuracy, cmpleteness, r usefulness f any infrmatin, apparatus, prduct, r prcess disclsed, r represents that its use wuld nt infringe privately wned rights. Reference herein t any specific cmmercial prduct, prcess, r service by its trade name, trademark, manufacturer, r therwise, des nt necessarily cnstitute r imply its endrsement, recmmendatin, r favring by the United States Gvernment r any agency theref, r The Regents f the University f Califrnia. The views and pinins f authrs expressed herein d nt necessarily state r reflect thse f the United States Gvernment r any agency theref r The Regents f the University f Califrnia. Ernest Orland Lawrence Berkeley Natinal Labratry Attentin: Mary Ann Piette Demand Respnse Research Center One Cycltrn Rad, MS 90R3111 Berkeley, CA United States f America E mail: Website:

5 Acknwledgements The wrk described in this reprt was crdinated by the Demand Respnse Research Center and funded by the Califrnia Energy Cmmissin (Energy Cmmissin), Public Interest Energy Research (PIER) Prgram, under Wrk fr Others Cntract N and by the U.S. Department f Energy under Cntract N. DE AC02 05CH The authrs wuld like t thank the Technical Advisry Grup (listed belw) fr their assistance in this dcument. The authrs als want t acknwledge Rn Hfmann and Rger Levy, cnsultants t the Califrnia Energy Cmmissin and LBNL, and David Watsn, frmer LBNL emplyee, fr their nging supprt. The authrs als want t thank Nance Matsn fr her assistance in finalizing this dcument. Please cite this reprt as fllws: Piette, Mary Ann, Girish Ghatikar, Sila Kiliccte, Ed Kch, Dan Hennage, Peter Palensky, and Charles McParland Open Autmated Demand Respnse Cmmunicatins Specificatin (Versin 1.0). Califrnia Energy Cmmissin, PIER Prgram. CEC i

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7 Preface The Califrnia Energy Cmmissin s Public Interest Energy Research (PIER) Prgram supprts public interest energy research and develpment that will help imprve the quality f life in Califrnia by bringing envirnmentally safe, affrdable, and reliable energy services and prducts t the marketplace. The PIER Prgram cnducts public interest research, develpment, and demnstratin (RD&D) prjects t benefit Califrnia. The PIER Prgram strives t cnduct the mst prmising public interest energy research by partnering with RD&D entities, including individuals, businesses, utilities, and public r private research institutins. PIER funding effrts are fcused n the fllwing RD&D prgram areas: Buildings End Use Energy Efficiency Energy Innvatins Small Grants Energy Related Envirnmental Research Energy Systems Integratin Envirnmentally Preferred Advanced Generatin Industrial/Agricultural/Water End Use Energy Efficiency Renewable Energy Technlgies Transprtatin Open Autmated Demand Respnse Cmmunicatins Specificatin is the final reprt fr the Open Autmated Demand Respnse prject by the Demand Respnse Research Center (Cntract Number ), cnducted by Lawrence Berkeley Natinal Labratry. The infrmatin frm this prject cntributes t PIER s Energy Systems Integratin Prgram. Fr mre infrmatin abut the PIER Prgram, please visit the Energy Cmmissin s Website at r cntact the Energy Cmmissin at iii

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9 Table f Cntents ABSTRACT... XI EXECUTIVE SUMMARY... 1 PATENTS... 3 PARTICIPANTS... 4 TECHNICAL ADVISORY GROUP INTRODUCTION SCOPE Purpse Reasn NORMATIVE REFERENCES USE OF THIS SPECIFICATION Implementing Demand Respnse Autmatin Server Interface Prper Use and Citatin DEMAND RESPONSE AUTOMATION SERVER REQUIREMENTS General Rle f Demand Respnse Autmatin Server in Demand Respnse Prgrams and Dynamic Pricing Use Cases Use Case Scenaris Use Case Scenaris Prgram Cnfiguratin Generalized Use Cases fr Demand Respnse Prgrams Overall Requirements SPECIFICATIONS Autmated Demand Respnse Architecture General Requirements Cmmn Requirements Demand Respnse Autmatin Server User Accunts and Security Rles Lgs and Reprts The DRAS Client Cmmunicatins State All Transactins With the DRAS Exceptins and Alarm Cnditins Operatr Ntificatins Testing Intrductin t Data Entities Used By Interface Functins Data Entities in Supprt f Utility and ISO Use Case Actins Utility Issues DR Event Utility Cnfiguratin f DRAS Utility Manages Bids Utility gets Lgs and Alarms Data Entities in Supprt f Participant Operatr Functins Participant Cnfiguratin Data Entities in Supprt f Demand Respnse Autmatin Server Client Functins v

10 6.5. Demand Respnse Event Mdels Utility r ISO View f a Demand Respnse Event Prpagatin f Demand Respnse Events by the Demand Respnse Autmatin Server Demand Respnse Autmatin Server Client View f Demand Respnse Events Demand Respnse Autmated Bidding Mdels FUNCTIONAL SPECIFICATIONS Utility r ISO Operatr Functins Utility r ISO Handling Demand Respnse Events Utility r ISO Supprt fr Autmated Bidding Utility r ISO Cnfigure Demand Respnse Autmatin Server Utility r ISO Mnitring f Demand Respnse Autmatin Server Related Activities Demand Respnse Autmatin Server Client Functins Participant Operatr Functins Opting Out f Demand Respnse Events Submitting Feedback (Facility Status) t Demand Respnse Autmatin Server Autmated Bidding Cnfiguratin f Participant Related Infrmatin in Demand Respnse Autmatin Server Mnitring f Demand Respnse Autmatin Server Related Activities Installatin and Testing f Demand Respnse Autmatin Server Clients DETAILED DATA MODELS AND SCHEMAS UtilityPrgram UtilityDREvent RespnseSchedule PrgramCnstraint ParticipantAccunt OptOutState Lgs Feedback EventInf DRASClient Bid EventState DETAILED APPLICATION PROGRAMMING INTERFACE SPECIFICATIONS Utility Prgram Operatr APIs Participant Operatr APIs DRAS Client APIs Use f Simple REST Services t Exchange DR EventState Infrmatin Use f Simple SOAP Services t Exchange DR EventState Infrmatin Use f BACnet Web Services t Exchange DR EventState Infrmatin SECURITY POLICY Scpe Access Cntrl and Security Rles FUTURE DEVELOPMENTS DEFINITIONS, ACRONYMS AND ABBREVIATIONS APPENDIX A: XSD SCHEMA FILES... 1 APPENDIX B: WSDL INTERFACE FILES... 1 vi

11 APPENDIX C: SECURITY ANALYSIS AND REQUIREMENTS... 1 C.1 Assumptins... 1 C.2 Existing Security Standards... 1 C.3 DRAS Risk Cntext... 2 C.4 DRAS Surces f Risk... 4 C.5 Adverse Risk-Related Effects... 5 C.6 Security Requirements... 7 APPENDIX D: DR PROGRAM USE CASES... 1 D.1 General Use Case Definitins and Nmenclature... 1 D.1.1 Use Case Elements... 1 D.2 Specific Use Cases... 3 D.2.1 Critical Peak Pricing (CPP)... 3 D.2.2 Demand Bidding Prgram (DBP) D.2.3 Capacity Bidding Prgram (CBP) D.2.4 Base Interruptible Prgram (BIP) D.2.5 Peak Day Credit (PDC) D.2.6 DR Prgrams with Prgrammable Cmmunicating Thermstat (PCT) D.2.7 Generic Real-Time Pricing Based Prgrams (RTP) vii

12 List f Figures Figure 1. DRAS Client Interfaces Figure 2. Autmated Generic Event-Based Prgram (GEBP) Use Case Figure 3. Generic Bidding Prcess (GBP) Figure 4. General Autmated Events Architecture with Standalne DRAS Figure 5. General Autmated Bidding Architecture with Standalne DRAS Figure 6. Use Case References t Functinal Specificatin Figure 7. Utility Issued DR Event Entity Figure 8. Utility Cnfiguratin Entities Figure 9. Utility Lgs and Client Alarms Figure 10. Participant Cnfiguratin Entities Figure 11. Participant Submit Bid Entity Figure 12. Participant Opt-Out Entities Figure 13. Participant Feedback Entities Figure 14. Client Alarms and Utility Lgs Figure 15. DRAS Client DR Event State Entities Figure 16. DR Event Mdel (Utility r ISO View) Figure 17. State Transitin Diagram Figure 18. Relevant Attributes and Structures fr Event Prpagatin Figure 19. Sample Cnfiguratin - Participant Accunts and DRAS Clients Figure 20. DR Event Prpagatin fr Prgram P2 All Participant Accunts Figure 21. DR Event Prpagatin fr Prgram P2 Specific Participant Accunts A3, A Figure 22. DR Event Prpagatin fr Prgram P1 Specific Participant Accunt A Figure 23. DR Event Prpagatin fr Prgram P2 Grups G2, G Figure 24. DR Event Prpagatin fr Prgram P2 Specific DRAS Clients C1, C4, C5 65 Figure 25. DR Event Prpagatin fr Prgram P2 Specific Lcatins L1, L Figure 26. DR Event Prpagatin fr Prgram P2 Grups G2 and Participants A4 Specified Figure 27. DR Event Cnstraint Mdel (Which DRAS Clients Receive the Event) Figure 28. Prgram Cnstraints and Filters Figure 29. DR Event Windw Depending Upn Filter Cnstraints Figure 30. DR Event Ntificatin Time Depending Upn Filter Cnstraints Figure 31. DR Event Duratin Depending Upn Duratin Cnstraints Figure 32. PUSH Mdel Sequence Diagram Figure 33. PULL Mdel Sequence Diagram Figure 34. DR Event State Mdel (Simple Client View) Figure 35. DR Event Mdel (Utility r ISO View) Figure 36. Transitin Diagram fr a General DR Event Figure 37. DRAS Client DR Event State Simple DRAS Client State Transitin Diagram Figure 38. State Transitin Diagram fr a Participant s Bid State Figure 39. Bidding Sequence Diagram viii

13 Figure 40. REST DRAS Client PULL Interactin Sequence Diagram Figure 41. Simple SOAP PUSH Mdel Sequence Diagram Figure 42. Simple SOAP PULL Mdel Sequence Diagram Figure 43. BWS PUSH Mdel Sequence Diagram Figure 44. BWS PULL Mdel Sequence Diagram Figure 45. DRAS Cmmunicatin Partners with Different Security Levels List f Tables Table 1 Relevant Sectins f the Specificatin Table 2 DR Prgram Executin Table 3 OperatinStateSpec Entity Table 4 Required Services and Supprted Cmmunicatin Mdels Table 5 Security Rles f Interfaces ix

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15 Abstract The develpment f the Open Autmated Demand Respnse Cmmunicatins Specificatin, als knwn as OpenADR r Open Aut DR, began in 2002 fllwing the Califrnia electricity crisis. This specificatin describes an pen standards based cmmunicatins data mdel designed t prmte cmmn infrmatin exchange between the utility r Independent System Operatr and electric custmers using demand respnse price and reliability signals. OpenADR is ne element f the Smart Grid infrmatin and cmmunicatins technlgies that are being develped t imprve ptimizatin between electric supply and demand. The intentin f the pen autmated demand respnse cmmunicatins data mdel is t prvide interperable signals t building and industrial cntrl systems that are pre prgrammed t take actin based n a demand respnse signal, enabling a demand respnse event t be fully autmated, with n manual interventin. The cncept f an pen specificatin is intended t allw anyne t implement the signaling systems, the autmatin server, r the autmatin clients. This cmmunicatin specificatin is an essential enabling technlgy fr Califrnia s future electrical grid. OpenADR will prvide benefits t Califrnia by bth increasing the number f facilities that participate in demand respnse, and reducing the cst t cnduct frequent and persistent participatin in demand respnse. The wrk has been carried ut by the Demand Respnse Research Center (DRRC), which is managed by Lawrence Berkeley Natinal Labratry. Keywrds: Demand respnse, buildings, electricity use, autmatin, cmmunicatins, pen standards, data mdels, specificatins xi

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17 Executive Summary The develpment f the Open Autmated Demand Respnse Cmmunicatins Specificatin, als knwn as OpenADR r Open Aut DR, began in 2002 fllwing the Califrnia electricity crisis. In Califrnia, the United States, and abrad, many utilities, gvernments, electric independent systems peratrs and thers have been pursuing demand respnse t manage the grwing demand fr electricity and peak capacity f the electric systems. Demand respnse (DR) has been defined as actin taken t reduce electricity demand in respnse t price, mnetary incentives, r utility directives s as t maintain reliable electric service r avid high electricity prices 1.ʺ OpenADR is ne element f the Smart Grid infrmatin and cmmunicatins technlgies that are being develped t imprve matching between electric supply and demand. The research that led t this dcument was funded by the Califrnia Energy Cmmissin as part f its Public Interest Energy Research Prgram. The wrk has been carried ut by the Demand Respnse Research Center (DRRC) which is managed by Lawrence Berkeley Natinal Labratry. The research explred the feasibility f develping a lw cst cmmunicatins infrastructure t imprve the reliability, repeatability, rbustness, and cst effectiveness f demand respnse in cmmercial buildings. One key research questin was: Culd tday s cmmunicatins and infrmatin technlgies be used t autmate demand respnse peratins f cmmercial buildings using standardized electricity price and reliability signals? Six years f research, develpment, and demnstratin have led t this pen data mdel. This dcument utlines a cmmunicatins exchange signals specificatin t enable demand respnse in end use participant r custmer systems. Open Autmated Demand Respnse is a cmmunicatins data mdel designed t facilitate sending and receiving f DR signals frm a utility r independent system peratr t electric custmers. The intentin f the data mdel is t interact with building and industrial cntrl systems that are pre prgrammed t take actin based n a DR signal, enabling a demand respnse event t be fully autmated, with n manual interventin. Open specificatin is intended t allw anyne t implement the signaling systems, the autmatin server r the autmatin clients. Definitin f Open Autmated Demand Respnse Cmmunicatins OpenADR Cmmunicatins have the fllwing defining features: 1 U.S. Federal Energy Regulatry Cmmissin (FERC), 2007 Assessment f Demand Respnse and Advanced Metering, Staff Reprt, available: reprts/09 07 demand respnse.pdf. 1

18 Cntinuus, Secure, and Reliable Prvides cntinuus, secure, and reliable twway cmmunicatins infrastructures where the clients at the end use site receive and acknwledge t the DR autmatin server upn receiving the DR event signals. Translatin Translates DR event infrmatin t cntinuus Internet signals t facilitate DR autmatin. These signals are designed t interperate with Energy Management and Cntrl Systems, lighting, r ther end use cntrls. Autmatin Receipt f the external signal is designed t initiate autmatin thrugh the use f pre prgrammed demand respnse strategies determined and cntrlled by the end use participant. Opt Out Prvides pt ut r verride functin t participants fr a DR event if the event cmes at a time when reductin in end use services is nt desirable by participants. Cmplete Data Mdel Describes a rich data mdel and architecture t cmmunicate price, reliability, and ther DR activatin signals. Scalable Architecture Prvides scalable cmmunicatins architecture t different frms f DR prgrams, end use buildings, and dynamic pricing. Open Standards Open standards based technlgy such as Simple Object Access Prtcl (SOAP) and Web services frm the basis f the cmmunicatins mdel. OpenADR has been field tested in a number f DR prgrams in Califrnia. The scpe f this cmmunicatins specificatin fcuses n signals fr DR events and prices. This specificatin als cvers the signaling data mdel and des nt cver infrmatin related t specific DR electric reductin r shifting strategies. The Open Aut DR Cmmunicatins Specificatin is designed t facilitate autmating demand respnse actins at the custmer lcatin, whether it is electric lad shedding r shifting. The questin is ften asked if the cmmunicatins data mdel can be used fr cntinuus peratins, every day. The answer is yes. Many emergency r reliability DR events ccur at specific times when the electric grid is strained. The Open Aut DR cmmunicatins are designed t crdinate such signals t building r industrial cntrl systems. Open Aut DR is als designed t prvide cntinuus dynamic price signals such as hurly day ahead r day f real time pricing. With such price infrmatin an autmated client can be designed t cntinuusly mnitr these prices and translate this infrmatin int cntinuus autmated cntrl and respnse strategies within a facility. Ptential Benefits OpenADR will prvide benefits t Califrnia by bth increasing the number f facilities that participate in demand respnse, and reducing the cst t cnduct frequent and persistent participatin in demand respnse. Furthermre OpenADR will imprve the feasibility f achieving the stateʹs plicy gals f mving tward dynamic pricing, such as critical peak r real time pricing, fr all custmers. Increasing participatin in 2

19 demand respnse can reduce the need fr new electric supply, reduces the need fr new transmissin and distributin systems, and helps reduce verall electricity prices. The OpenADR Cmmunicatins Specificatin prvides the fllwing benefits: Open Specificatin Prvides a standardized DR cmmunicatins and signaling infrastructure using pen, nn prprietary, industry apprved data mdels that can be implemented fr bth dynamic prices and DR emergency r reliability events. Flexibility Prvides pen cmmunicatins interfaces and prtcls that are flexible, platfrm independent, interperable, and transparent t end t end technlgies and sftware systems. Innvatin and Interperability Encurages pen innvatin and interperability, and allws cntrls and cmmunicatins within a facility r enterprise t build n existing strategies t reduce technlgy peratin and maintenance csts, stranded assets, and bslesce in technlgy. Ease f Integratin Facilitates integratin f cmmn Energy Management and Cntrl Systems (EMCS), centralized lighting, and ther end use devices that can receive a relay r Internet signals (such as extensible Markup Languge [XML]). Remte Access Facilitates pt ut r verride functins thrugh a participant Web prtal t manage standardized DR related peratin mdes t DR strategies and cntrl systems. Future Research The Demand Respnse Research Center will cntinue t cnduct research t supprt brader develpment and deplyment f OpenADR. Future wrk will include cntinued cllabratin with frmal industry standards develpment rganizatins t harmnize these data mdels with related effrts. The Demand Respnse Research Center will als cntinue t evaluate end use DR cntrl strategies fr hmes, large and small cmmercial buildings, and industrial facilities. Patents Attentin is called t the pssibility that implementatin f this specificatin may require use f subject matter cvered by patent rights. By publicatin f this specificatin, n psitin is taken with respect t the existence r validity f any patent rights in cnnectin therewith. The Califrnia Energy Cmmissin, Lawrence Berkeley Natinal Labratry, and the Demand Respnse Research Center shall nt be respnsible fr identifying patents r patent applicatins fr which a license may be required t implement this specificatin r fr cnducting inquiries int the legal validity r scpe f thse patents that are brught t its attentin. 3

20 Participants The OpenADR Wrking Grup had the fllwing members: Ed Kch, Chair, Akuacm Girish Ghatikar, LBNL Dan Hennage, Akuacm Sila Kiliccte, LBNL Jim Butler, Cimetrics Mary Ann Piette, LBNL Peter Palnesky, Univ. f Pretria David Hlmberg, NIST Dave Rbin, Autmated Lgic Cntrls Charles McParland, LBNL Technical Advisry Grup The fllwing members f the Technical Advisry Grup (TAG) members had executive versight f the OpenADR specificatin and cntributed by review and apprval f the specificatin. Sme rganizatins and affiliatins have deputies fr cntinued participatin and vting. Organizatin Pacific Gas and Electricity Pacific Gas and Electricity Suthern Califrnia Edisn Suthern Califrnia Edisn San Dieg Gas and Electric San Dieg Gas and Electric Califrnia Independent Systems Operatr Califrnia Independent Systems Operatr Natinal Institute f Standards and Technlgy Califrnia Energy Cmmissin Levy Assciates Califrnia Institute f Energy and Envirnment Califrnia Institute f Energy and Envirnment University f Califrnia Berkeley University f Califrnia Berkeley Grid Net Sacrament Municipal Utility District Electric Pwer Research Institute Electric Pwer Research Institute EnerNex Crpratin EnerNex Crpratin Member Peter Chan Albert Chiu Kevin G. Wd Eric Parker Terry Mhn Julia Mendza Walt Jhnsn Jhn Gdin David Hlmberg Ivin Rhyne Rger Levy Rn Hfmann Gaymnd Yee Nate Ota Alex D David Watsn Alvar Mendza Bill Hwe Chuck Thmas Eric Gunther Grant Gilchrist 4

21 1.0 Intrductin The develpment f the Open Autmated Demand Respnse Cmmunicatins Specificatin, als knwn as OpenADR r Open Aut DR, began in 2002 fllwing the Califrnia electricity crisis. In Califrnia, the United States, and abrad many utilities, gvernments, electric Independent Systems Operatrs and thers have been pursuing demand respnse t manage the grwing demand fr electricity and peak capacity f the electric systems. Demand Respnse (DR) has been defined as actin taken t reduce electricity demand in respnse t price, mnetary incentives, r utility directives s as t maintain reliable electric service r avid high electricity prices 1.ʺ OpenADR is ne element f the Smart Grid infrmatin and cmmunicatins technlgies that are being develped t imprve ptimizatin between electric supply and demand. The research that led t this dcument was funded by the Califrnia Energy Cmmissin s Public Interest Energy Research Prgram. The wrk has been carried ut by the Demand Respnse Research Center (DRRC), which is managed by Lawrence Berkeley Natinal Labratry. The initial gal f the research was t explre the feasibility f develping a lw cst cmmunicatins infrastructure t imprve the reliability, repeatability, rbustness, and cst effectiveness f demand respnse in cmmercial buildings. One key research questin was: culd tday s cmmunicatins and infrmatin technlgies be used t autmate demand respnse peratins f cmmercial buildings using standardized electricity price and reliability signals? Six years f research, develpment, and demnstratin have led t this pen data mdel. This dcument utlines a cmmunicatins specificatin t exchange signals t enable demand respnse in end use participant r custmer systems. Open Autmated Demand Respnse is a cmmunicatins data mdel designed t facilitate sending and receiving DR signals frm a utility r independent system peratr t electric custmers. The intentin f the data mdel is t interact with building and industrial cntrl systems that are pre prgrammed t take actin based n a DR signal, enabling a demand respnse event t be fully autmated, with n manual interventin. The OpenADR specificatin is a highly flexible infrastructure design t facilitate cmmn infrmatin exchange between a utility r Independent System Operatr (ISO) and their end use participants. The cncept f an pen specificatin is intended t allw anyne t implement the signaling systems, prviding the autmatin server r the autmatin clients. OpenADR Cmmunicatins have the fllwing defining features: Cntinuus, Secure, and Reliable Prvides cntinuus, secure, and reliable tw way cmmunicatins infrastructures where the clients at the end use site 1 U.S. Federal Energy Regulatry Cmmissin (FERC), 2007 Assessment f Demand Respnse and Advanced Metering, Staff Reprt, available: reprts/09 07 demand respnse.pdf. 5

22 receive and acknwledge t the DR autmatin sever upn receiving the DR event signals. Translatin Translates DR event infrmatin t cntinuus Internet signals t facilitate DR autmatin. These signals are designed t interperate with Energy Management and Cntrl Systems, lighting, r ther end use cntrls. Autmatin Receipt f the external signal is designed t initiate autmatin thrugh the use f pre prgrammed demand respnse strategies determined and cntrlled by the end use participant. Opt Out Prvides pt ut r verride functin t participants fr a DR event if the event cmes at a time when reductin in end use services is nt desirable. Cmplete Data Mdel Describes a rich data mdel and architecture t cmmunicate price, reliability, and ther DR activatin signals. Scalable Architecture Prvides scalable cmmunicatins architecture t different frms f DR prgrams, end use buildings, and dynamic pricing. Open Standards Open standards based technlgy such as Simple Object Access Prtcl (SOAP) and Web services frm the basis f the cmmunicatins mdel. The authrs refer t OpenADR as a cmmunicatins data mdel t facilitate infrmatin exchange between tw end pints, the utility r ISO and the facility. It is nt a prtcl that specifies bit structures r semantics as sme cmmunicatins prtcls d. In sme references the term system, technlgy, r service is used t refer t the features f OpenADR. OpenADR is in use in ver 200 facilities in Califrnia prviding an autmatin system fr several DR prgrams. These prgrams prvide ver 50 MW f DR in cmmercial and industrial facilities. Several reprts present the histry f the autmated DR research 2. While the scpe f this cmmunicatins specificatin fcuses n signals fr DR events and prices, significant research has explred the cntrls strategies and techniques t autmated DR in cmmercial buildings 3. This specificatin als cvers the signaling data mdel and des nt cver infrmatin related t specific DR electric 2 These reprts are available at pubsall.html: Piette, M.A., S. Kiliccte, G. Ghatikar, Design and Implementatin f an Open, Interperable Autmated Demand Respnse Infrastructure, Prceedings f the Grid Interp Frum, Octber 2007, LBNL Kch, E., M.A. Piette, Architecture Cncepts and Technical Issues fr an Open, Interperable Autmated Demand Respnse Infrastructure. Prceedings f the Grid Interp Frum,. Octber LBNL Piette, M.A, D. Watsn, N. Mtegi, S. Kiliccte Autmated Critical Peak Pricing Field Tests: 2006 Pilt Prgram Descriptin and Results. August, LBNL Mtegi, N., M.A. Piette, D.S. Watsn, S. Kiliccte, P. Xu. Intrductin t Cmmercial Building Cntrl Strategies and Techniques fr Demand Respnse. May LBNL

23 reductin r shifting strategies. This cmmunicatins specificatin has als been used fr autmating DR in industrial facilities. The Open Aut DR Cmmunicatins Specificatin is designed t facilitate autmating demand respnse actins at the custmer lcatin, whether it is electric lad shedding r shifting. The authrs are ften asked if the cmmunicatins data mdel can be used fr cntinuus peratins. The answer is yes. Many emergency r reliability DR events ccur at specific times when the electric grid is strained. The Open Aut DR cmmunicatins are designed t crdinate such signals t building r industrial cntrl systems. Open Aut DR is als designed t prvide cntinuus dynamic price signals such as hurly day ahead r day f real time pricing. With such price infrmatin an autmated client can be designed t cntinuusly mnitr these prices and translate this infrmatin int cntinuus autmated cntrl and respnse strategies within a facility. The Open Aut DR Cmmunicatins Specificatin prvides the fllwing benefits: Open Specificatin Prvides a standardized DR cmmunicatins and signaling infrastructure using pen, nn prprietary, industry apprved data mdels that can be implemented fr bth dynamic prices and DR emergency r reliability events. Flexibility Prvides pen cmmunicatins interfaces and prtcls that are flexible, platfrm independent, interperable, and transparent t end t end technlgies and sftware systems. Innvatin and Interperability Encurages pen innvatin and interperability, and allws cntrls and cmmunicatins within a facility r enterprise t build n existing strategies t reduce technlgy peratin and maintenance csts, stranded assets, and bslesce in technlgy. Ease f Integratin Facilitates integratin f cmmn Energy Management and Cntrl Systems (EMCS), centralized lighting, and ther end use devices that can receive a relay r Internet signals (such as XML). Remte Access Facilitates pt ut r verride functins thrugh a participant Web prtal t manage standardized DR related peratin mdes t DR strategies and cntrl systems. This reprt has the fllwing structure. It begins with a sectin that utlines the scpe, purpse, and reasn fr the OpenADR specificatin, fllwed by an intrductin t the use f the specificatin and implementatin cncepts. Next are the DR Autmatin Server (DRAS) requirements, cmpnent and functinal specificatins, fllwed by the data mdels and schemas. The final sectins discuss the applicatin prgram interfaces, security plicies, and future plans. The future plans fr OpenADR include additinal cllabratin with frmal standards grups. A set f appendices cntain supprt schema and interface files, a discussin f security issues, and DR prgram use cases. 7

UNITED STATES OF AMERICA FEDERAL ENERGY REGULATORY COMMISSION. Statement of Thomas F. O Brien. Vice President & Chief Information Officer

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