### • Please turn your cell phones down or off

• Share the air

• Stay in the room

• Take side conversations outside

Specifically

...

• We are here today to talk about the Framework for Characterization, not about the specifics of how any equipment may be characterized.

• This is not a regulatory activity. It is voluntary.

• We will provide summary notes, but are not recording this session
nor providing a meeting transcript.

• Per the Federal Register Notice, “Grid connected water heaters are subject to an ongoing rulemaking proceeding and will not be discussed at the meeting.” 

# Meeting Ground Rules

# Physical Characterization of Connected Buildings End

- Use Equipment: Scope and Intent

July 11, 2014

2 

## Joe Hagerman Senior Advisor, DOE

- BTO3 

# Physical Characterization Framework

• Expected Outcome: Work with and convene industry to develop and publish a national characterization framework, so that characterization protocols can be uniformly developed to measure the response that connected equipment can provide.



### • Public commitment: Any activity will be developed through a series of public meetings.

– Open and transparent.



### • Where are we in the process?

– First public meeting at NREL on April 30 th 2014

– Second public meeting at DOE on July 11 th 2014 (today!)

– Planning on release of draft document (in ~2

- 3 weeks)

Scope and Intent

# Illustrative Public Comments

• “AHAM supports the Department of Energy (DOE) in their efforts to determine the value and benefits to consumers from the deployment of grid connected equipment and appliances... Objectives and goals for the physical characterization of grid connected appliances should include open standards and architectures that are expandable in the future.”

• “We (Goodman Global, Inc ) strongly believe that the following attributes are imperative for any upcoming...initiatives :

– It is not necessary to specify the technology within a smart system...

– ...Consumers should ultimately have the ability to override a DR signal if necessary.

– The effect...on equipment reliability and system efficiency must be considered .”

4

# Illustrative Public Comments

• “ We (Massachusetts Department of Public Utilities) fully support DOE’s leadership on this topic...To foster widespread deployment... we recommend that the DOE framework be understandable and easily communicate the capabilities of smart appliances to

consumers... we support the use of open source standards to the greatest extent possible and a framework that allows for utilities and third

- party providers to test out many business models...”

• ”...M2M Systems Integrators strongly endorses the Green Button initiative, and its potential to inexpensively combine HVAC operations data with energy consumption and demand history for creating profiles to reveal relationships between facilities management and power usage .”

5

# Public Comments

- Conclusion

• General support for DOE as the convener of the industry stakeholders to develop characterization protocols in an open and transparent process.

• General agreement that DOE is the right entity to develop these types of resources for the nation.

67 

# Physical Characterization Framework

• Goal for Today: DOE will present the structure and content for a draft framework, discuss this material at the meeting, and publish a draft framework document for formal comment after this meeting (~2

- 3 weeks)



### • The Framework (and this meeting) will cover:

• Scope , Terminology, and Connected Equipment

• Characterization Protocol Framework

• Process for Developing Characterization Protocols



### • To illustrate the Framework, we will also cover a notional example with hypothetical data for a connected room air conditioner.

Scope and Intent8 

# Primary Objectives of the Framework

1) A characterization protocol structure and performance metrics that industry can use to evaluate the services that connected equipment can deliver . Applies to equipment in buildings:

• Residential

• Commercial

• Industrial



### 2) A process for collaborating with industry stakeholders to develop characterization protocols and performance metrics for connected equipment

.

How connected equipment communicates (physical, protocol, security, privacy) is not within the scope of this framework

Scope and Intent9 

# Why Develop a Framework?

• Promote innovation

• Help establish a scalable market for connected equipment. Data to inform:

– Consumers/building owners

– Manufacturers

– Utilities (electric, gas)

• Protect consumer value (within limits)

– Quality of service, amenity provided by equipment

– Cost of life

- cycle operation, energy minus incentives minus maintenance plus...

• Protect manufacturers

– Damage to equipment, violation of warranty

– Consumer dissatisfaction

• Inform utilities and service providers

– End

- user, societal, grid, energy market services

– Create an opportunity for new services and value streams

Scope and Intent10 

# DOE Working Core Principles

• Work with and convene industry around this topic and need.

– Any activity will be developed through a series of public meetings.

– Open and transparent



### • Minimize the burden of characterization.

– Leverage existing test methods



### • Separate characterization of physical response from that of communication protocols

• Drive characterization via use

- cases and services

Scope and Intent

# Terminology and Definitions

11

### • DOE envisions a future where Connected Equipment provides valuable S ervices to consumers, building owners, third party providers, or electricity providers. Measuring equipment Responses through Characterization is an important step toward realizing this future.

• These terms need to be defined in order clarify this vision and to provide common ground for discussion. 

# Terminology and Definitions

Terminology and Definitions 12 

### Revised in response to comments from April 30 th 

### , 2014 meeting: Smart, Grid

- Connected, Actions

## • “Equipment” are appliances and equipment that consume electricity within residential, commercial, or industrial buildings.

• Examples of equipment include:

- Refrigerator

- Heat pump

- Vehicle charger

- Computer

- Room AC

- Inverter

- HVAC

- C hiller

- Energy storage 

# Equipment

13 Terminology and Definitions

### • “Connected” is the capability of equipment to receive and transmit signals, make decisions and respond accordingly. Connected equipment also includes intelligent features that broaden the usability, impact, or capabilities of the equipment.

• Example of connected equipment functionality:

– HVAC equipment detects a compressor failure and transmits condition to a third party maintenance provider.

– Refrigerator receives load curtailment request then adjusts electrical load and forecasts future availability 

# Connected

14 Terminology and Definitions

# Services

• “Services” are consumable and perishable functions that benefit interested parties.

• Services of interest for characterizing equipment may include those described in “Reference Guide for Transaction

- Based Building Controls Framework ,” PNNL

- 23302, April, 2014.

– End

- user, Energy market, Societal, or Grid



### • Example services include:

– Maintenance, diagnostics, data center queuing, energy trading

– Peak shifting, renewable integration

15 Terminology and Definitions

### • “Responses” include physical or informational actions taken by equipment in reaction to external signals or internally generated information.

• Example physical responses include:

– Modify electrical load, adjust set points

– Prevent short cycling, schedule events



### • Example informational responses include:

– Forecast future conditions, log performance data

– Report maintenance issues, alert consumers 

# Response

16 Terminology and Definitions

# Characterization

• “Characterization” involves measuring the physical and informational performance of equipment along with supporting experimental parameters.

• Characterization is not energy efficiency testing (e.g. appliance standards testing).

• Examples of characterization:

- Electrical Load Voltage, current, phase angle

- Temporal Response duration, recovery time, lock out time

- Experimental Temperature, pressure, humidity, flow rate

- Informational Operating modes, status

17 Terminology and Definitions

Physical

# Public Comments

DOE envisions a future where Connected Equipment provides valuable Services to consumers, building owners, third party providers, or electricity providers. Measuring equipment Responses through Characterization is an important step toward realizing this future

.

18 Terminology and Definitions 

### 1. How can these terms be better defined? 2. What other terms are important to define?

# Characterization Protocol Framework

19

# What is Characterization?

Characterization Protocol Framework 20 

### • Characterization is not...

– Annual energy efficiency testing

– Seasonally adjusted rating

– Label development program

– Test procedure development

– ENERGY STAR 

### • Characterization is...

– Evaluation of the physical and informational responses that are possible for connected equipment

Characterization is the first step toward:

• Mapping equipment characteristics to services

• Helping industry determine value and benefits

• Evaluating national impact of connected equipment

# Linking Characterization to Services

21 Characterization Protocol Framework Performance Metrics

Characterization Data Services

Characterization Sequence Benefits to nation, consumers, building owners, 3 rd parties, or electricity providers

Metrics provide information for evaluating the ability of connected equipment to deliver services

Physical or informational data gathered during characterization is used to compute metrics

Order and content of each step required for gathering characterization data

Experimental Setup Characterization Execution

# Characterization Protocol Elements: Experimental Set

- Up

22 Instrumentation Equipment Installation

Boundary Conditions Global Definitions

Characterization Protocol Framework 

### 3. Are there other aspects of the experimental set

- up to be considered for connected equipment? Blue Elements of existing test methods Red May differ from existing test methods Experimental Set

- Up 

### • DOE anticipates that experimental set

- up elements may not vary substantially for connected equipment

• Leverage existing test methods and industry familiarity

# Characterization Protocol Elements: Execution

23 Characterization Data Characterization Sequence

Performance Metrics

Characterization Protocol Framework Responses to be

Characterized Determination of Eligibility

Blue Elements of existing test methods Green Specific to connected equipment Red May differ from existing test methods Approved Response List Characterization Execution 

### • DOE anticipates that execution elements may vary considerably for connected equipment

• New elements may need to be developed to characterize connected equipment

4. Are there other aspects of the characterization execution to be considered for connected equipment?

# Determination of Eligibility

• Propose that equipment have minimum features in order to qualify for characterization as connected equipment (go/no

- go)

• For example, minimum features may include:

– Two

- way digital electronic communication

– At least one automated response from an approved list of responses



### 5. Should there be a step to determine eligibility for characterization? 6. If so, what are the minimum features?

24 Characterization Protocol Framework

# Responses to be Characterized

• Example responses that could be characterized from an approved list of responses

Load

- Adjust load, scheduling/delay
Consumer

- Response thresholds and limits Equipment

- Short cycling, overloading

Reporting

- Alert, history, mode, status, availability Applications

- M&V, forecasting, diagnostics Physical

Informational

25 Characterization Protocol Framework Responses to be Characterized



### 7. What responses should be characterized for connected equipment?

### • DOE proposes an approved response list to assure stakeholders that equipment responses have value a nd reflect services

• Developing and maintaining the approved list may reside within the process (described later) for developing characterization protocols 

# Approved Response List

8. Should there be an approved list of responses to be characterized? Approved Response List

Characterization Protocol Framework 26 Approved Response List

Informational Forecast Status/Availability Record history Report/Alert Diagnostic Maintenance M&V Physical Adjust load Move set points Consumer protection Schedule events

# Characterization Sequence

• The characterization sequence should be informed by services

• Sequence may depend heavily on equipment type

• Example aspects of a characterization sequence may include:

– Controlling profiles ( e.g., temperature ramp, electrical load)

– Timing of data collection (e.g. sampling intervals)

– Switching of operating modes (e.g. eco/med/fast)

– Activation of informational responses (e.g. low refrigerant, stored data)

27 Characterization Protocol Framework 

### 9. Does characterization sequence depend on equipment type? 10. What aspects should be included in a characterization sequence for connected equipment?

# Characterization Data

• Illustrative physical and informational data to be collected

11. What data should be collected for physical, informational, or other responses?

28 Characterization Protocol Framework Physical Informational Other

• Voltage

• Current

• Phase angle

• Time

• Response duration

• Response time

• Recovery time

• Experimental parameters

• # of cycles • Presence/absence

• Modes

• States

• Sensor values

• Set points

• Lock out

• Failures • DOE seeking input

# Performance Metrics

• Illustrative physical and informational metrics to be computed

29 Characterization Protocol Framework Physical Informational Other

• kW, kWh, kVAR

• Energy consumption as % of baseline

• Power reduction or increase as % of baseline

• Length of response

• Availability

• Deficit of service

• Recovery of service • Present/absent

• Correct/incorrect

• Time lag • DOE seeking input



### 12. What metrics should be computed for physical, informational, or other responses?

# Characterization Framework

30 Characterization Protocol Framework Performance Metrics

Characterization Data Services

Characterization Sequence

Experimental Setup Characterization Execution Eligibility and Approved List

# Public Comments

31 3. Are there other aspects of the experimental set

- up to be considered for connected equipment? 4. Are there other aspects of the characterization execution to be considered for connected equipment? 5. Should there be a step to determine eligibility for characterization? 6. If so, what are the minimum features ? 7. What responses should be characterized for connected equipment? 8. Should there be an approved list of responses to be characterized? 9. Does characterization sequence depend on equipment type? 10. What aspects should be included in a characterization sequence for connected equipment? 11. What data should be collected for physical, informational, or other responses? 12. What metrics should be computed for physical, informational, or other
responses ?

Characterization Protocol Framework

# Illustrative Example: Room Air Conditioner (RAC)

32

# Scenario

• ACME Equipment, Inc. approaches Wiley Electric Co. with a proposition to supply connected room air conditioners (RACs) to its customers to supply grid services.

• Wiley Electric requires characterization of equipment’s ability to respond before certifying their eligibility for participation in their programs.

• ACME Equipment submits its RAC to a 3 rd



### - party testing agency to undergo characterization. Illustrative Example Only

33

### Confirmation of eligibility  2

- way communication (product offers WIFI/SEP 2.0)  Automated response (product offers load curtailment) Responses to be characterized Load

– adjusts thermostat upward 5 o 

### F when mode activated by <specified> SEP 2.0 command

– returns thermostat to original setting when deactivated by <specified> SEP 2.0 command Consumer

– load mgmt. must be enabled by user button

– 5

- hr time limit on load management mode Equipment

– mode persists for minimum of 2 minutes to prevent short cycling Applications

– forecasts remaining off time when in mode

– diagnostic warning for low refrigerant charge 

# Eligibility & Characterization Illustrative Example Only

340.00 0.20 0.40 0.60 0.80 1.00

1.760 1.780 1.800 1.820 1.840

59 60 61Power FactorReal Power (W)

Frequency (Hz) Consumption vs. Frequency

Input

Power Factor 0.00 0.20 0.40 0.60 0.80 1.00

1.700 1.750 1.800 1.850 1.900

110 115 120Power FactorReal Power (W)

Voltage (V) Consumption vs. Voltage

Input (kW)

Power Factor Purpose of test: Determine fundamental electrical properties of device and its steady

- state energy performance 

# RAC Electric Characterization

35 Base Case 115 V 60 Hz 110 V 60 Hz 120 V 60 Hz 115 V 59 Hz 115 V 61 Hz Voltage Test Frequency Test

59.0 59.5 60.0 60.5 61.0

1.97 1.98 1.99 2.00 2.01 2.02 2.03

110 115 120 Frequency (Hz)Output/Input

Voltage (V) Output/Input Ratio vs. Voltage

vs. Voltage vs. Frequency Illustrative Example Only

Not actual test data

# RAC Load Curtailment Characterization Tests

Purpose of test: Characterize curtailment capabilities: e.g., amount of power curtailed, time lag, effect on energy consumption, etc.

Example Metrics

• Absolute load reduction

• % load reduction

• Time lag from request to curtailment

Example Metrics

• 92% recovery energy

• 5 o F temp. rise limit

• 5

- hr mode time limit (not shown) temp. limit reached recovery energy = 92% of shifted energy baseline period, with 50% duty cycle time lag = 2 min.

100% load reduction (1.8 kW)

curtail request Illustrative Example Only

36 Not actual test data

# RAC Load Following Test

Purpose of test: Characterize load following capabilities, i.e., ability to follow load

- up/load

- down signals at increasingly short intervals (for ancillary services, renewables integration, etc.)

baseline period, with 50% duty cycle transition to middle of curtailment range 8

- min. test 4

- min . test 2

- min. Failure @ 1

- min. test

Example Metrics

• 104% recovery energy (not shown)

• 100% l oad following, down 2

- minute intervals

• Time lag (2

- min) Illustrative Example Only

37 Not actual test data

# Connected Equipment is Already on the Way!

From a June 24 th 

### 2014 article in the press:

“ ConEd will help NYC residents connect their air conditioner to their iPhone for free”

• New York utility ConEd is offering customers a free outlet adapter that turns a standard window

- mounted air conditioner into a WiFi

connected unit that can be controlled from an iPhone.

• As part of the program, customers can sign up to receive up to five free kits

— normally retailing for $120 each that plug in between the wall outlet and window unit, connecting the unit to the cloud and enabling remote control using a companion app.

38

# Public Comment

39 

### 13. Would it be useful to have illustrative examples like this in the Framework document?

14. After seeing this illustrative example, does the Framework need additional steps or further revision?

# Process for Developing Characterization Protocols

4041 

# Process for Developing Characterization Protocols

• DOE is committed to an open and transparent process

• DOE will develop a draft proposed protocol for a particular type of connected equipment and circulate it for public review and comments

• Address and respond to the comments and release the final protocol in the Federal Register

Process for Developing Framework42 

# Process for Developing Characterization Protocols (cont.)

• Alternatively, DOE can achieve the same objective through a

consensus

- like process where DOE and stakeholder representatives may meet as a committee to compile in a shorter timeframe the text of a draft characterization protocol for an equipment type.

• The committee may also be responsible for:

– Creating and maintaining an approved list of equipment responses

– Identifying services to which the characterization is applied

Process for Developing Framework

# Public Comments

DOE is committed to an open and transparent process to engage industry in developing characterization protocols for connected equipment.

43 

### 15. DOE requests comments on which of the two options for establishing the characterization protocols best addresses industry needs and minimizes their burdens.

16. Are there other options that DOE can pursue for establishing characterization protocols?

Process for Developing Framework

# Overview of Questions for Public Comment

44

# Questions

Terminology and Definitions
1. How can these terms be better defined?
2. What other terms are important to define? Characterization Protocol Framework
3. Are there other aspects of the experimental set

- up to be considered for connected equipment?
4. Are there other aspects of the characterization execution to be considered for connected equipment?
5. Should there be a step to determine eligibility for characterization?
6. If so, what are the minimum features?

45

# Questions (cont.)

7. What responses should be characterized for connected equipment?
8. Should there be an approved list of responses to be characterized?
9. Does characterization sequence depend on equipment type?
10. What aspects should be included in a characterization sequence for connected equipment ?
11. What data should be collected for physical, informational, or other responses ?
12. What metrics should be computed for physical, informational, or other responses?

46

# Questions (cont.)

Illustrative Example

- RAC
13. Would it be useful to have illustrative examples like this in the Framework document?
14. After seeing this illustrative example, does the Framework need additional steps or further revision?
Process for Developing Characterization Protocols
15. DOE requests comments on which of the two options for establishing the characterization protocols best addresses industry needs and minimizes their burdens

. 16. Are there other options that DOE can pursue for establishing characterization protocols?

47

# Questions

- Other

Other
17. What tools, approaches, and reports would help inform an analysis of the aggregate impacts of implementation of connected equipment at scale?

48 

### To Comment, please direct your browser to Regulations.gov
at http://www.regulations.gov/#!documentDetail;D=EERE

2014

- BT

- NOA

- 0016

- 0008 and hit the blue “Comment Now” button on the upper right

- hand side. This comment period is open until Friday August 8 2014. DOE plans to request an extension of this comment period to maximize the opportunity for public input.

# Next Steps

49

# Schedule

Activity Date

1 st P ublic Meeting: physical characterization of connected equipment (Golden, CO) Apr 30, 2014

Public C omment Period on Request for Information re physical characterization of connected equipment Apr 8

- Jun 23

2 nd Public Meeting: development of a draft framework for physical characterization of connected equipment (Washington, DC) Jul 11

Release of draft framework document for public comment Approx. end of July

Public Comment Period concludes on d raft framework document Approx. early Sept.

3 rd P ublic Meeting: Finalizing framework document and DOE announcement of next steps (Washington, DC) Oct.

– Nov.

Release of final framework document Nov.

– Dec.