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Joe Hagerman

Senior Advisor, DOE-BTO

Characterization of 

Connected Equipment

Docket EERE-2014-BT-NOA-0016
What is Characterization?

• “Characterization” is the measurement or evaluation of the 

physical or informational responses that connected equipment 

can provide. 

– See Backup slides for full definitions of all terms that DOE asked for public 

comment.

• Examples of characterization:

- Electrical Voltage, current, power, phase angle

- Temporal Response duration, recovery time, lock out time 

- Experimental Temperature, pressure, humidity, flow rate

- Digital Operating mode, status, forecast, diagnostic

• Characterization is a voluntary process. It is not annual 

efficiency testing, a labeling or rating program (such as Energy 

Star), or test procedure development. 

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Physical

Informational
Why is Characterization Important?

• Objectively characterizing engagement of connected equipment 

will enable integration of intermittent renewable resources at 

scale and enhance grid reliability/resiliency while unlocking 

potential new value streams for homeowners and building 

owners and operators.

• Example benefits of characterization include:

– Help establish a scalable market for connected equipment to deliver grid 

services.

– Inform population analyses of scaled effects for utilities to rely on this 

equipment to deliver services.

– Protect consumer value (e.g. amenity, quality of service)

– Protect manufacturers (e.g. violation of warranty)

– Promote innovation by developing level playing field for evaluating what 

services can be delivered

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Process to Date

• 4/30/14 - public meeting at NREL, announced in the Federal Register, to engage 

industry in BTO vision for connected equipment delivering valuable services. 

– “Physical Characterization of Smart and Grid-Connected Commercial and Residential Buildings 

End-Use Equipment and Appliances,” FR Vol. 70, No. 76, 19322

– General support for DOE as convener of industry and stakeholders to develop characterization 

protocols through an open, transparent, voluntary, consensus process.

• 7/1/14 - public meeting in Washington, DC, announced in the Federal Register, to 

present draft characterization framework to industry and invite comments.

– “Physical Characterization of Grid-Connected Commercial and Residential Buildings End-Use 

Equipment and Appliances,” FR Vol. 78, No. 108, 32542.

– Industry continues to support DOE direction to develop characterization protocols for 

connected equipment. Emphasis on open, transparent, voluntary, consensus process.

• 8/14/14 – “A Framework for Characterizing Connected Equipment” published in FR Vol. 

79, No. 157, 47633. 

– 23 public comments received either on the process or the framework document itself

– Revision in progress to incorporate public comments. Final publication scheduled for Dec. 15th, 2014.

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Our “Ask” of ASRAC

• Form ASRAC Working Group (WG) as a vehicle for engaging industry in an open, 

voluntary, consensus process to develop characterization protocols.

– Process can convene industry to move in unified direction. 

– Overwhelming supported by industry and industry encouraged DOE to employ a 

consensus process to discuss and develop this area of concentration since it is emerging.

• ASRAC WG Charter will be to discuss and achieve consensus on:

– Prioritized list of equipment for which DOE should consider developing characterization 

protocols. 

– Complete characterization protocols for two highest priority equipment types on 

prioritized list.

– Position paper on the industries’ and utilities’ needs for connected equipment which 

includes a discussion of important sensitivities (see backup slide XX) as identified by 

industry during the DOE public meeting and comment process. 

– Convene from Jan.5th to Sept. 30th of 2015.

• Propose that nominations for working group members shall be provided to ASRAC 

by no later than Dec. 31st, 2015.

– First meeting to be co-located at ASHRAE winter meeting. 5
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Backup Information
Terms

• Equipment: Building end-use loads that consume, store, or generate electricity while providing necessary 

services and amenities within buildings. Examples of equipment include: refrigerators, computers, lighting, 

HVAC, heat pumps, room AC, vehicle chargers, inverters, or energy storage to name a few. Because 

equipment varies widely in size and complexity, boundaries delineating what is, and is not considered part 

of a particular piece of equipment should be clearly defined on an individual basis and may occur during 

the characterization protocol development. 

• Connected: The capability of equipment to receive and transmit signals (e.g., to/from equipment, 

buildings, utilities, or third-party providers), make decisions, and respond accordingly. Connected 

equipment also includes intelligent features that enable, for example, the projection of future states, 

measurement and verification (M&V), or maintenance needs. Two simple illustrative examples of 

connected functionality are as follows: (1) HVAC equipment detects a compressor failure and transmits its 

condition to a third-party maintenance provider; (2) a refrigerator receives a load curtailment request and 

then adjusts load and forecasts future availability. 

• Service: In the context of this framework document, services are energy or power related functions that 

benefit consumers, building owners, third-party providers, or utilities. For example, a building owner may 

contract with a third-party provider which provides a service to monitor energy consumption of 

equipment and to report when consumption drops below a given threshold. Another service may be the 

offering of equipment by a building owner to participate in peak load reduction programs. Services may be 

a one-time offering, periodic, or regular in frequency depending on the service contract that has been 

agreed upon. 

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Terms

• Response: Physical or informational actions taken by equipment in reaction to external signals or 

internally generated information. Examples of physical responses include load reduction or increase, 

adjustment of set points, short cycle prevention, or scheduling of events. Examples of informational 

responses include forecasting future conditions, logging data, reporting maintenance issues, or alerting 

consumers. 

• Characterization: The measurement and evaluation of physical or informational responses that are 

possible for connected equipment. Examples of physical measurements include voltage, current, phase 

angle, or time. Informational measurements may include data files, status, or sensor values. Experimental 

parameters may include pressure, temperature, or humidity. Characterization may include the evaluation 

of information oriented characteristics (e.g., forecasting, status, or diagnostics). An example of 

characterization is an accounting of the presence or absence of given features, such as the ability to 

schedule future events or alert the owner of excessive energy consumption.

From “Physical Characteristics of Smart and Grid Connected Buildings Equipment“

Docket ID: EERE-2014-BT-NOA-0016

Agency: Energy Efficiency and Renewable Energy Office (EERE)

Parent Agency: Department of Energy (DOE)

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Common Themes from Framework 

Document Comments:

• Industry overwhelmingly supports DOE’s vision, objectives, and 

process for characterizing connected equipment.

– DOE should continue to reach out and collaborate with others performing 

related work.

– DOE should continue to engage stakeholders in an open, transparent, 

voluntary process.

• Protocols should be developed through a consensus process.

– Minimize burden on industry that characterization would impart. 

– Eligibility and approved responses should not stifle innovation.

• Interoperability is critical but was understood to be beyond scope.

– DOE is addressing interoperability through other means/processes
1. Explain how these activities promote innovation among industry players.

2. Determine how to inform stakeholders of services that connected 

equipment can deliver

3. Discuss how to best protect consumer value by maintaining quality of 

service and amenities

4. Consider how to protect manufacturers by avoiding damage and misuse

5. Identify suitable metrics based on potential services

6. Discuss how to minimize burden on industry

7. Develop and adopt a principle of doing no harm to efficiency

8. Outreach to other groups performing related work

9. Consider importance of information privacy and security

10. Discuss and help DOE understand the full implications for interoperability

11. Establish adequate reference architecture

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Sensitivities ASRAC WG May Consider 

During Protocol Development
AHRI

AO Smith

Bonneville Power

Bosch LLC

Carrier

Cox Software Architects

Danfoss

Drexel University 

Rheem Manufacturing

Southern Company

Trane

True Manufacturing

University of Colorado

USNAP

Virginia Tech

Emerson

Honeywell

Johnson Controls

Lennox

Mitsubishi Electric

PG&E

Portland General Electric

Participants at Apr 30 Public Meeting at ESIF
Participants at July 11 Public Meeting at DOE-HQ

1. AHAM

2. AHRI

3. Carrier

4. Consortium for Energy 

Efficiency

5. EEI

6. Energy Solutions

7. EPA

8. EPRI

9. Goodman Manufacturing

10. Ingersoll-Rand 

11. ITW

12. National Grid

13. NIST

14. NRDC

15. NRECA

16. Regen Energy

17. Schneider-electric 

18. Southern Company

19. Southern California Edison

20. Traulsen

21. Virginia Tech

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Reviewers of Physical Characterization 

Framework Process and Document

1. AHRI

2. AGA

3. American Public Gas Association 

4. AHAM

5. California Investor Owned Utilities 

6. Copper Development Association 

Inc.

7. Cox Software Architects

8. Department of Industry of the 

Commonwealth of Australia

9. Edison Electric Institute (EEI)

10. Goodman Global, Inc.

11. Ingersoll Rand

12. KLATU Networks 

13. Laclede Group

14. Lennox International, Inc.

15. M2M Systems Integrators

16. Massachusetts Department of 

Public Utilities

17. NEMA

18. NRECA

19. NRDC

20. Northeast Energy Efficiency 

Partnerships (NEEP)

21. REGEN Energy

22. TC9, Inc.

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• The SGIP’s stated vision is to further Smart Grid “Interoperability” by:

– Facilitating and harmonizing standards development

– Conducting outreach to establish interoperability 

– Developing reference architectures and implementation guidelines 

– Identifying testing , certification, and security requirements [in the cyber realm]

• The SGIP’s focus on interoperability standards, reference architectures, and 

communications is beyond the scope of connected equipment characterization.

– Characterization of connected equipment measures or evaluates the physical and informational 

responses that connected equipment can provide.

– Characterization does not include interoperability or communications. 

• Activities within the B2G and H2G SGIP domain expert working groups are not 

aimed at characterizing physical responses of connected equipment.

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How is Characterization of Connected 

Equipment Different from SGIP?