<Company Name> SGMM Findings and Aspirations Workshop

&lt;Company Name&gt; SGMM Findings and Aspirations Workshop

These blue flags appear throughout the presentation and contain instructions and tips. Delete all of them before presenting to the customer. Update this slide with specifics. SYSTEM REQUIREMENTS: You must have Arial Narrow loaded as a font for this presentation. Aspirations Workshop for DD Month YYYY 2018 Carnegie Mellon University Update with the customers name. Meeting objectives Todays meeting will accomplish the following: Broaden the management teams understanding of the SGMM as a management tool Help identify where is on the smart grid landscape Help to understand and prioritize options to support decision making Measure progress 2 Update with the customers name. Contents / agenda Opening remarks SGMM overview Community data Optional: Insert start times for agenda items. Duration guidelines are: Opening remarks - 15 min. SGMM overview - 25 min. Community data - 15 min. SGMM scores - 1 hr 30 min. Aspirations - 3 hr. Wrap up and next steps - 10 min. s SGMM Survey scores and observations

Overall findings Community comparisons Findings by domain s Smart Grid aspirations Wrap up and next steps 3 Opening remarks Replace this slide with opening remarks from the Sponsor or delete. 4 Update with the customers name. Contents / agenda Opening remarks SGMM overview Community data Optional: Insert start times for agenda items. Duration guidelines are: Opening remarks - 15 min. SGMM overview - 25 min. Community data - 15 min. SGMM scores - 1 hr 30 min. Aspirations - 3 hr. Wrap up and next steps - 10 min. s SGMM Survey scores and observations Overall findings Community comparisons Findings by domain s Smart Grid aspirations Wrap up and next steps 5 A major power grid transformation is underway How can utilities Develop effective roadmaps? Track progress? Understand their posture in comparison to peers?

The Smart Grid Maturity Model was developed by utilities to address these concerns 6 The Smart Grid Maturity Model is A management tool that provides a common language and framework for defining key elements of smart grid transformation and helping utilities develop a programmatic approach and track their progress 7 SGMM timeline 2007 2008 2009 2010 2011 2012 - 2017 2016 Utilities use SGMM v1.0 v1.1 Global Intelligent Utility Network Software Engineering Coalition Institute becomes model (GIUNC) steward develops SGMM GIUNC: GIUNC: SEI releases CenterPoint CenterPoint Energy

Energy Progress Progress Energy Energy SGMM v1.1 product suite DONG DONG Energy Energy North North Delhi Delhi Power Power Ltd Ltd Country Country Energy Energy Sempra Sempra Energy Energy Pepco Pepco Holdings Holdings IBM IBM APQC APQC Licensing & certification program for SGMM Navigation begins 2018 SGMM public release v1.2 SGMM Open Assessment Event SEI releases SGMM v1.2 product suite Developed by utilities, for utilities

8 The Software Engineering Institute The SEI is a federally-funded research and development center at Carnegie Mellon University, a global university recognized worldwide for its energy and environmental research initiatives. A trusted, objective source of best practices, methods and tools to organizations worldwide, the SEI is a global leader in software and systems engineering, process improvement and security best practices all critical elements of smart grid success. The SEI collaborates in public-private partnership with government and industry on important cyber security, architecture, and interoperability challenges of the smart grid. 9 The SEIs Role as Steward of the SGMM Provide governance working with multiple stakeholders Enable widespread availability, adoption, and use of the model for the benefit of the community Evolve the model based on stakeholder needs, market developments, user feedback, and interactions with domain experts Develop transition mechanismseducation, training, awareness, research collaboration to support the model Grow the SGMM community of users worldwide 10 SGMM at a glance 6 Maturity Levels: Defined sets of characteristics and outcomes 5 4 3 175 Characteristics: Features you would expect to see at each stage of the smart grid journey 2 1

0 SMR Strategy, Management, & Regulatory OS Organization & Structure GO Grid Operations WAM Work & Asset Management TECH Technology CUST Customer VCI Value Chain Integration SE Societal & Environmental 8 Domains: Logical groupings of smart grid related characteristics 11 Smart Grid Maturity Model levels PIONEERING OPTIMIZING INTEGRATING ENABLING INITIATING

DEFAULT Breaking new ground; industry-leading innovation Optimizing smart grid to benefit entire organization; may reach beyond organization; increased automation Integrating smart grid deployments across the organization, realizing measurably improved performance Investing based on clear strategy, implementing first projects to enable smart grid (may be compartmentalized) Taking the first steps, exploring options, conducting experiments, developing smart grid vision Default level (status quo) 12 WAM GO OS Organization and Structure Culture, structure, training, communications, knowledge mgmt Grid Operations Reliability, efficiency, security, safety, observability, control CUST TECH Vision, planning, governance, stakeholder collaboration VCI Strategy, Mgmt & Regulatory Work & Asset Management Asset monitoring, tracking & maintenance, mobile workforce Technology IT architecture, standards, infrastructure, integration, tools Customer Pricing, customer participation & experience, advanced services

Value Chain Integration Demand & supply management, leveraging market opportunities Societal & Environmental SE SMR Smart Grid Maturity Model domains Responsibility, sustainability, critical infrastructure, efficiency 13 V 1.2 Product Suite Model Fully described in the Model Definition document Compass Survey Questionnaire-based assessment yields maturity ratings and comparisons Navigation Process Defined process to complete Compass to build a common understanding and set aspirations across the organization To download the SGMM product suite, go to https://resources.sei.cmu.edu/library/asset-view.cfm?asseti d=512758 14 WAM Work and Asset Management

SGMM Compass Survey Contains One question for each expected characteristic in the model and Attribute and performance questions Example questions: WAM-3.2 WAM-3.2 Condition-based Condition-based maintenance maintenance programs programs for for key key components are in place. components are in place. WAM-2.1 WAM-2.1 An An approach approach to to track, track, inventory, inventory, and and maintain maintain event event histories histories of of assets assets is is in in development. development. 15 SGMM Navigation: five-phase, expert-led process Stakeholders complete SGMM Compass survey Stakeholders review survey findings & set aspirational profile

Discussion and consensus answers lead to internal alignment on current state Consensus on aspirational state and identification of motivations, actions, and obstacles to achieve it 16 SGMM benefits a community view Another mechanism to support grid modernization SEI Product to help customers and participation in roadmap development DOE Guidance, common language, & means to track progress SGMM Partners Utilities Use of SGMM by utilities Maturity & Performance Data What works patterns to inform strategies, services, & programs. Demonstrations of the value of grid modernization. Correlations of performance to maturity patterns

and other analyses Improvements to SGMM product suite. 17 Update with the customers name. Contents / agenda Opening remarks SGMM overview Community data Optional: Insert start times for agenda items. Duration guidelines are: Opening remarks - 15 min. SGMM overview - 25 min. Community data - 15 min. SGMM scores - 1 hr 30 min. Aspirations - 3 hr. Wrap up and next steps - 10 min. s SGMM Survey scores and observations Overall findings Community comparisons Findings by domain s Smart Grid aspirations Wrap up and next steps 18 SGMM community baseline: 384 utilities in 47 countries =1 =5 19 SGMM community baseline: 384 utilities in 47 countries Other USA 13% 36%

AsiaPacific 13 2 10 2 4 26 3 1 8 2 1 3 1 2 57 2 1 Australia Bahrain Bangladesh Belgium Brazil Canada China Colombia Costa Rica Denmark Ecuador Finland France Hong Kong India Indonesia Ireland 2 1 1 1 1 6 1 1 2 8 4 7

1 1 3 1 1 Israel Jamaica Japan Kuwait Malaysia Mexico Myanmar Nepal Netherlands New Zealand Nigeria Oman Pakistan Panama Philippines Poland Russia 6 Saudi Arabia 1 Scotland 1 Singapore 8 South Africa 1 South Korea 1 Spain 17 Sweden 1 Switzerland 10 United Arab Emirates 7 United Kingdom 133 United States 1 Vietnam 1 Zimbabwe 29% Europe, Middle East, and Africa 22% 20 Utilities in SGMM community baseline 37 U.S. States 9 Canadian Provinces

Abu-Sultan Thermal Power Plant Arkansas Electric Cooperatives, INC Bhutan Power Corp. Ltd. Abuja Electricity Distribution Company ASAB Zero Substation (GASCO Power Generation Units at Habshan Bonneville Power Admin. ActewAGL Adani Transmission Ltd. Ahmedabad AtA Bruce Power L.P. AES Electropaulo Atchison-Holt Electric Cooperative BSES Yamuna Power Ltd. Ajmer Vidyut Vitran Nigam Ltd. ATCO Electric BSES- Rajdhani Alameda Municipal Power ATCO Gas Burbank Water and Power Alectra Utilities Corporation Atlantica Yield plc Calcutta Electric Cooperative Corp. Alfanar Construction Saudi Arabia Aurora Energy Capital Power Corporation

Allegheny Power Ausgrid Carroll Electric Cooperative Corp. Alliander Ausnet Carteret-Craven Electric Cooperative Alliant Energy Corporation Austin Energy Cauvery Power Generation Chennai Pvt Ltd. AltaLink Avantha Power & Infrastructure Ltd. Cegelec Saudi Co. MNC AZUSA Light and Water CELPE Bangladesh Power Development Board CENACE Ameren Illinois Ameren Missouri 47 Countries American Electric Power Andhra Pradesh Gas Power Company Ltd. Andhra Pradesh Power Generation Corp. Ltd. APCPDCL Bangladesh Rural Electrification Board Baraka Power Ltd. Barapukuria Power Station Basin Electric Power Cooperative Bayfield Electric Cooperative

Boone Electric Cooperative CenterPoint Energy Central Maine Power Company Centro Sur CESC Limited CESC Mysore BC Hydro BESCOM 21 Utilities in SGMM community baseline (cont.) CFE (Mexico) Gulfonorte City Of Westerville DONG Energy Sales & Distribution A/S Ellevio AB CFE (Mexico) Jalisco City Power Johannesburg (SOC) Ltd. DPA Power Generation International Ltd. Emera Maine CFE (Mexico) Peninsular Cleco Power Dr Narla Tata Rao (Vijayawada) TPS Empresa de Servicios Pblicos de Heredia CFE Distribution CLP Power Drax Power CFE Transmission Cogentrix Energy Power Management LLC DTE Energy

Empresas Pblicas de Medellin, Centro de Excelencia Tcnica Chelan County PUD Coldwater Board Of Public Utilities Dubai Electricity and Water Authority Chettinad Corp. Ltd. Power Division Columbus Southern Power Company DUBAL Power Plant Chhattisgarh State Power Distribution Company Ltd. Comisin Federal de Electricidad- Corprativo Duke Energy Chugach Electric Compaa Nacional de Fuerza y Luz, S.A. CitiPower and Powercor Australia Ltd. Connexus Energy City of Anaheim COOPEALFARORUIZ R.L City Of Columbus Coopeguanacaste R.L. City Of Danville COOPELESCA RL City Of Dover COOPESANTOS, R.L. City of Ekurhuleni (Energy) Corn Belt Energy

City Of Hamilton Coserv Electric City Of Hudson Cotton Electric Cooperative Inc. City Of Jackson Country Energy City Of Napoleon CPFL Paulista City Of Painesville Dairyland Power Cooperative City Of Palo Alto Damodar Valley Corp. City Of Piqua Power System Davao Light and Power Company City of Riverside Public Utilities Desh Energy Ltd. City of Tshwane Dhofar Power Company S.A.O.C. City Of Wapakoneta DNH Power Distribution Corp. Ltd. Eandis Eandis cvba East Kentucky Power Cooperative, Inc. Dr Narla Tata Rao (Vijayawada) TPS Drax Power DTE Energy Dubai Electricity and Water Authority DUBAL Power Plant Duke Energy

Eandis Eandis cvba East Kentucky Power Cooperative, Inc. East Miss EPA EDF Energy Networks Branch EDP - Energias do Brasil, S.A. Eggborough Power Ltd. Electricity and Water Authority of Bahrain (Transmission Division) Energinet EnergyAustralia EnergyPac Power Generation Ltd. EnergyUnited Electric Membership Corp. Enexis ENSA Entergy EPCOR Distribution & Transmission Ephrata Borough ERDF Ergon Energy ESB Networks Eskom Holdings SOC Ltd. Essar Power Transmission Company Ltd. Essel Utilities Distribution Company Ltd. eThekwini Municipality, Electricity Unit Everest Power Generation Company Ltd. Eversource Energy Exelon/ComEd Exelon/PECO Energy Fingrid Oyj Dominion Virginia Power 22 Utilities in SGMM community baseline (cont.) Fingrid Oyj Hydro-Qubec Distribution Kristinehamns Elnt AB Msunduzi Electricity Sub-Unit First Electric Cooperative ICE (Instituto Costarricense de Electricidad) L&T Power

FirstEnergy IEC Lahore Electric Supply Company Muscat Electricity Distribution Company S.A.O.C Fortum Imperial Irrigation District Lamma Coal Power Station Foster Wheeler Infigen Energy London Hydro Inc. Garland Power & Light Integral Energy Los Angeles Department of Water and Power GASCO Power Generation Units at Habshan Intergys M.P. Power Transmission Co. Ltd. Intermountain Rural Electric Association Maharashtra Electricity Regulatory Commission Genesis Energy Glendale Water & Power Gteborg Energi Nt AB Great Lakes Energy Great River Energy Guandong Power Co. Guernsey Electricity Gujarat Energy Transmission Corp. Ltd. Hajar Trading and Technical services WLL (Transmission Division)

Hallstaviks Elverk HAWK Power Generation Hidd Power Company Hindalco Industries Ltd. Holland Board of Public Works Horizon Power Hydro One Hydro One - Distribution Hydro Ottawa Ltd. Israel Electric Corporation IVRCL Jamaica Public Service Company JASEC Jindal India Thermal Power Ltd. Jos Electricity distribution PLC Kalpataru Power Transmission Ltd. Kamo Electric Cooperative, Inc. Karlskoga Elnt AB Kathmandu Alternative Power and Energy Group (KAPEG) KaXu Solar One Kelvin Power Station Kentucky Utilities Company Inc. KEPCO Kerala State Electricity Board Ltd. Kissimmee Utility Authority Kylin-Skyln Shk Oy Maharashtra State Electricity Distribution Co. Ltd. Muscatine Power & Water PHE J&K Sub Division I PNM Pohjolan Voima Oy Port-Burnett Electric Cooperative Port-Harcourt Electricity Distribution Co. Portland General Electric Majan Electricity Company S.A.O.C. Power & Water Utility Company for Jubail & Yanbu Mlarenergi Elnt AB Powerco Mangalore Electricity Supply

PowerGrid Corporation of India Manila Electric Company PPL Electric Utilities Manitoba Hydro - T&D Princeton Electric Plant Board Maquoketa Valley Rural Electric Cooperative Progress Energy Marietta Board of Lights and Water PSEG Power LLC. Marquette Board of Light & Power PT. International Power Mitsui Mazoon Electricity Company PT. Jawa power Mellersta Sknes Kraft Public Utility District 1 of Clark County Memphis Light, Gas, and Water Division Puget Sound Meridian Energy Quilliq Energy Corp. Minnkota Power Cooperative Inc. Rabigh Arabian Water & Electricity Company Mjlby Kraftnt AB Mogale City Electricity MSEDCL REC Power Distribution Co. Ltd. Redding

23 Utilities in SGMM community baseline (cont.) Reliance Energy Reliance Infrastructure Ltd. Reliance Power Transmission Ltd. Rihand Super Thermal power Roseville Electric Rural Areas Electricity Co. SA Power Network Sabiya CCGT Power Plant Sacramento Municipal Utility District Salt River Project Sand Mountain Electric Cooperative Sandhult-Sandareds Elektriska Santee Cooper SaskPower Saudi Electricity Company (SEC) National Grid SCANA Scottish Power SDG&E Sevab Nat AB Shams Solar Power Station SIG Geneva Silicon Valley Power SJVN Ltd. SMEPC - International Cooperation Dept. Snohomish Snohomish County Public Utility District (PUD) Sdra Hallands Kraft Ekonomisk Fren South Central Power Co. South River Electric Membership Corporation South Texas Electric Cooperative Inc. Southern Company Southern Electricity Supply Company of Orissa Ltd. Southern Maryland Electric Cooperative Southwestern Public Services Co. SSE PLC Sterlite Power Transmission Ltd. Summit Power Ltd. Talen Energy Corporation Tamil Nadu Electricity Board Tampa Electric Company TAQA

TasNetworks Pty Ltd. Tata Power Te Mihi Power Station Tenaga Nasionale Berhad The Middle Tennessee Electric Membership Corporation The United Illuminating Co. Tihama Power Generation Co. Tokyo Electric Power Co. Top Energy VELCO Toronto Hydro Electric System Ltd. Venture Energy Resources Ltd. Torrent Power Ltd. Vietnam Electricity Town Of Front Royal Village Of Carey, Ohio Toyo-Thai Corp. Public Co. Ltd. Village Of Clinton TransAlta Renewables Village Of Oak Harbor Tri-State Generation and Transmission Association Inc. Village Of Yellow Springs TTPMC Wadi Al Jazzi Power Co. Tuas Power Generation Wadsworth Electric And Communications Tucson Electric Power UGVCL

West Bengal State Electricity Transmission Co. Ume Energi AB Westar Energy Inc. Unidaan FZ LLC, Aljouf Cement Company (O&M Site) Western Electricity Supply Company of Orissa Ltd. Unin Fenosa Distribucin Western Power Distribution Unison Networks Ltd. Wind World (India) Ltd. United Power Inc. Wyandotte Municipal Service UNS Electric Xcel Energy Vara Energi Ek. Yantarenergo Varbergortens Elkraft Yola Electricity Distribution Co. Vattenfall Distribution ZADCO Upper Zakum Project Vattenfall INC. Zhejiang Jiaxing Electric Power Bureau Vattenfall Wind Power Ltd Zimbabwe Power Company Visayan Electric Company Inc.

Vector Ltd. 24 SGMM community baseline: meter count Meter Count 100,000,000 Largest: 40,194,371 Meters 10,000,000 1,000,000 Median: 1,000,000 Meters 250,000 100,000 10,000 1,000 Community segmentation breakpoint: 250,000 meters 100 10 Smallest: 40 Meters SGMM Community 25 SGMM community baseline: utility type 26 Update with the customers name. Contents / agenda Opening remarks SGMM overview Community data Optional: Insert start times for agenda items. Duration guidelines are: Opening remarks - 15 min. SGMM overview - 25 min. Community data - 15 min.

SGMM scores - 1 hr 30 min. Aspirations - 3 hr. Wrap up and next steps - 10 min. s SGMM Survey scores and observations Overall findings Community comparisons Findings by domain s Smart Grid aspirations Wrap up and next steps 27 See script ANA, step 3.2.6. Overall observations Include a summary of your findings e.g.: a summary of how the organization compares to the peer community data the number of domains where the organization is better or worse than their peers domains where the organization has the most and/or least best practices overall strengths and weaknesses contradictory answers or themes observations that are counter to the organizations stated or implied objectives spikes between or within SGMM domains other trends or groupings if the organization has previous SGMM scores, summarize the changes here Follow this slide with one or more pages of specifics (e.g. question data) to support these observations. 28 See script ANA, step 3.2.6. Include a summary of your findings e.g.: Overall observations supporting data a summary of how the organization compares to the peer community data the number of domains where the organization is better or worse than their peers

domains where the organization has the most and/or least best practices overall strengths and weaknesses contradictory answers or themes observations that are counter to the organizations stated or implied objectives spikes between or within SGMM domains other trends or groupings if the organization has previous SGMM scores, summarize the changes here Follow this slide with one or more pages of specifics (e.g. question data) to support these observations. 29 Update with customer data. Change questions marks in dots to reflect customers score and move dots accordingly to create the profile. Compass results: maturity profile ?? ?? ?? ?? ?? ?? ?? ?? today 30 OPTIONAL: Include this slide if the organization has previous scores. Add the previous profile in a different color and update with legend with the date of the previous results.

Previous maturity profile Current Results ?? ?? ?? ?? ?? ?? ?? ?? ?? ?? ?? ?? ?? ?? ?? ?? 31 Replace with customer data. Compass results: dashboard Point Range Meaning 0.70 Green reflects level compliance within the domain

0.40 and < 0.70 Yellow reflects significant progress < 0.40 Red reflects initial progress =0 Grey reflects has not started 32 OPTIONAL: Include this slide if the organization has previous scores. Add the previous dashboard in a different color and update with legend with the date of the previous results. Update the arrows to highlight the changes from the previous dashboard. Previous dashboard 2 levels higher 3 levels higher 2 levels higher 2 levels higher 3 levels higher 2 levels higher 1 level higher 1 level lower 33

Update with the customers name. Contents / agenda Opening remarks SGMM overview Community data Optional: Insert start times for agenda items. Duration guidelines are: Opening remarks - 15 min. SGMM overview - 25 min. Community data - 15 min. SGMM scores - 1 hr 30 min. Aspirations - 3 hr. Wrap up and next steps - 10 min. s SGMM Survey scores and observations Overall findings Community comparisons Findings by domain s Smart Grid aspirations Wrap up and next steps 34 Copy this chart from the Navigator report. Ensure that you include the appropriate peer community data. SGMM peer community: average/range comparison OPTION: You may want to add another slide that includes the average/range comparison of the customer against the total community. 35 Update with the customers name. Contents / agenda Opening remarks SGMM overview Community data Optional: Insert start times for

agenda items. Duration guidelines are: Opening remarks - 15 min. SGMM overview - 25 min. Community data- 15 SGMM scores - 1 hr 30 min. Aspirations - 3 hr. Wrap up and next steps - 10 min. s SGMM Survey scores and observations Overall findings Community comparisons Findings by domain s Smart Grid aspirations Wrap up and next steps 36 Legend: St ra te gy , M g m t, & R eg ul at or y Top 10-33% Bottom 33% Top 10% Red Italics Weakness against the model 5.3 New business model opportunities emerge as a result of smart grid capabilities and are implemented. 5 4

See ANA script stepscontinued 3.2.3 and 3.2.4. Highlight 5.2 Smart grid business activities provide sufficient financial resources to enable investment in smart gridthe table with your findings. sustainment and expansion. 1. Adjust colors in maturity level column to correspond to 5.1 Smart grid strategy capitalizes on smart grid as a foundation for the introduction of newthese services andswatches product offerings. customers score. Sample color to select correct colors as needed: 4.3 Smart grid strategy is shared and revised collaboratively with external stakeholders. RGB=255:0:0 RGB=255:255:0 4.2 Smart grid is a core competency throughout the organization. 4.1 Smart grid vision and strategy drive the organizations strategy and direction. RGB=0:128:0 3.4 Required authorizations for smart grid investments have been secured. 3 RGB=165:165:165 3.3 Smart grid leaders with explicit authority across functions and lines business are designated to ensure effective in 2. Place iconsof as appropriate to highlight observations implementation of the smart grid strategy. comparison to peer community data.

3.2 A smart grid governance model is established. 3.1 The smart grid vision, strategy, and business case are incorporated into the vision and strategy. 2.6 There is support and funding for conducting proof-of-concept projects to evaluate feasibility and alignment. 2.5 There is collaboration with regulators and other stakeholders regarding implementation of the smart grid vision and strategy. 2 2.4 Budgets are established specifically for funding the implementation of the smart grid vision. 2.3 Operational investment is explicitly aligned to the smart grid strategy. 2.2 A common smart grid vision is accepted across the organization. 2.1 An initial smart grid strategy and a business plan are approved by management. 1.3 Discussions have been held with regulators about the organizations smart grid vision. 1 1.2 Experimental implementations of smart grid concepts are supported. 1.1 Smart grid vision is developed with a goal of operational improvement. 37 SMR detailed findings See script ANA, steps 3.2.3, 2.3.4, and 2.3.5. Include questions and that support detailed findings. Include a description of the finding followed by the supporting question(s). See the example below: An organizational strength is your relationship with your regulators and stakeholders about your smart grid vision and strategy. TIP: Copy from the excel report; paste here as a picture (use paste special command). TIP: Consider highlighting items in the question you would like to discuss. 38 Legend: Or ga ni za ti o n & St ru ct ur e 5

4 Top 10-33% Bottom 33% Top 10% Red Italics Weakness against the model 5.3 Channels are in place to harvest ideas, develop them, and regard those who help shape future advances in process, workforce competencies, and technology. See ANA script steps 3.2.3 and 3.2.4. Highlight the table 5.2 The organization is able to readily adapt to supportwith new ventures, products, and services that emerge as a result of your findings. smart grid. 1. Adjust colors in maturity level column to correspond to 5.1 The organizational structure enables collaboration withcustomers other grid stakeholders to optimize overall operationto and score. Sample these colorgrid swatches select health. correct colors as needed: 4.3 Decision making occurs at the closest point of need as a result of an efficient organizationalRGB=255:255:0 structure and the RGB=255:0:0 increased availability of information due to smart grid. 4.2 There is end-to-end grid observability that can be leveraged by internal and external stakeholders. RGB=0:128:0 4.1 Management systems and organizational structure are capable of taking advantage of theRGB=165:165:165 increased visibility and control provided through smart grid. 3 2 3.6 3.5 3.4 3.3

3.2 3.1 2.5 2.4 icons as appropriate to highlight observations in Education and training are aligned to exploit smart 2. gridPlace capabilities. comparison A matrix or overlay structure to support smart grid activities is in place.to peer community data. Leadership is consistent in communication and actions regarding smart grid. Performance and/or compensation are linked to smart grid success. Smart grid measures are incorporated into the measurement system. The smart grid vision and strategy are driving organizational change. The linking of performance and/or compensation plans to achieve smart grid milestones is in progress. Education and training to develop smart grid competencies have been identified and are available. 2.3 Most smart grid implementation and deployment teams include participants from all functions and LOBs that the deployment will impact. 2.2 The organization has aligned most operations around end-to-end processes. 2.1 A new vision for a smart grid begins to drive change and affect related priorities like addressing the need for an adequately skilled workforce in a smart grid environment. 1 1.3 Smart grid awareness efforts to inform the workforce of smart grid activities have been initiated. 1.2 Leadership has demonstrated a commitment to change the organization in support of achieving smart grid. 1.1 The organization has articulated its need to build smart grid competencies in its workforce. 39 OS detailed findings 40 Legend: Gr id O pe ra ti o ns 5 4 Top 10-33%

Bottom 33% Top 10% Red Italics Weakness against the model 5.2 System-wide, analytics-based, and automated grid decision making is in place. See ANA script steps 3.2.3 and 3.2.4. Highlight the table with your findings. 4.5 There is automated decision-making within protection schemes that is based on wide-area monitoring. 1. Adjust colors in maturity level column to correspond to 4.4 Grid operations information has been made available across functionsscore. and LOBs. customers Sample these color swatches to select correct colors as needed: 4.3 Operational forecasts are based on data gathered through smart grid. RGB=255:0:0 RGB=255:255:0 4.2 Grid operational management is based on near real-time data. 5.1 Self-healing capabilities are present. 4.1 Operational data from smart grid deployments is being used to optimize processes across the organization. RGB=0:128:0 3.6 There is automated decision-making within protection schemes. 3 RGB=165:165:165 3.5 Grid data is used by an organizations security functions. 2. Place icons as appropriate to highlight observations in 3.4 Smart meters are important grid management sensors. comparison to peer community data. 3.3 Grid operations planning is now fact-based using grid data made available by smart grid capabilities. 3.2 Control analytics have been implemented and are used to improve cross-LOB decision-making. 3.1 Smart grid information is available across systems and organizational functions. 2.4 Investment in and expansion of data communications networks in support of grid operations is underway. 2 2.3 Aside from SCADA, piloting of remote asset monitoring of key grid assets to support manual decision making is underway. 2.2 Advanced outage restoration schemes are being implemented, which resolve or reduce the magnitude of unplanned outages.

2.1 Distribution substation are automated and linked to some form of remote distribution automation. 1.5 Safety and security (physical and cyber) requirements are considered. 1.4 Outage and distribution management systems linked to substation automation are being explored and evaluated. 1 1.3 Proof-of-concept projects and component testing for grid monitoring and control are underway. 1.2 New sensors, switches, and communications technologies are evaluated for grid monitoring and control. 1.1 Business cases for new equipment and systems related to smart grid are approved. 41 GO detailed findings 42 Legend: W or k an d A ss et M an ag e m en t 5 Top 10-33% Bottom 33% Top 10% Red Italics Weakness against the model 5.2 Assets are leveraged to maximize utilization, including just-in-time asset retirement, based on smart grid data and systems. See ANA script steps 3.2.3 and 3.2.4. Highlight the table your findings. 5.1 The use of assets between and across supply chainwith participants is optimized with processes defined and executed across the supply chain. 1. Adjust colors in maturity level column to correspond to

customers score. color swatches to select 4.4 Service life for key grid components is managed through condition-based andSample predictivethese maintenance, and is based on correct colors as needed: real and current asset data. 4 RGB=255:0:0 RGB=255:255:0 4.3 Performance and usage of assets is optimized across the asset fleet and across asset classes. 4.2 Asset models are based on real performance and monitoring data. 4.1 A complete view of assets based on status, connectivity, andRGB=0:128:0 proximity is available to the organization. RGB=165:165:165 3.7 Modeling of asset investments for key components is underway. 3.6 Asset inventory is being tracked using automation. 2. Place icons as appropriate to highlight observations in comparison to peer community data. 3.5 An integrated view of GIS and asset monitoring is in place. 3 3.4 Integration of remote asset monitoring with mobile workforce systems, in order to automate work order creation, is underway. 3.3 Remote asset monitoring capabilities are integrated with asset management. 3.2 CBM programs for key components are in place. 3.1 Performance, trend analysis, and event audit data are available for components of the organizations systems. 2.3 An organization-wide mobile workforce strategy is in development. 2 2.2 An integrated view of GIS for asset monitoring based on location, status, and interconnectivity (nodal) has been developed. 2.1 An approach to track, inventory, and maintain event histories of assets is in development. 1

1.3 Asset and workforce management equipment and systems are being evaluated for their potential alignment to the smart grid vision. 1.2 Potential uses of remote asset monitoring are being evaluated. 1.1 Enhancements to work and asset management have been built into approved business cases. 43 WAM detailed findings 44 Legend: Te ch n ol o gy 5 4 3 2 1 Top 10-33% Bottom 33% Top 10% Red Italics Weakness against the model 5.2 The enterprise information infrastructure can automatically identify, mitigate, and recover from cyber incidents. See ANA script steps 3.2.3 and 3.2.4. Highlight the table 5.1 Autonomic computing and machine learning are implemented. with your findings. 4.6 Security strategy and tactics continually evolve based on changes in the operational environment and lessons learned. 1. Adjust colors in maturity level column to correspond to 4.5 Performance is improved through sophisticated systems that are informed by smart grid data. customers score. Sample these color swatches to select 4.4 Predictive modeling and near real-time simulation are used to optimize

support processes. correct colors as needed: 4.3 Systems have sufficient wide-area situational awareness to enable real-time monitoring and control for complex events. RGB=255:0:0 RGB=255:255:0 4.2 Business processes are optimized by leveraging the enterprise IT architecture. 4.1 Data flows end to end from customer to generation. RGB=0:128:0 RGB=165:165:165 3.6 A detailed data communication strategy and corresponding tactics that cross functions and LOBs are in place. 3.5 The organization has an advanced sensor plan. 2. Place icons are as enabled appropriate highlight observations in 3.4 The use of advanced distributed intelligence and analytical capabilities throughtosmart grid technology. comparison to peer community data. 3.3 Smart grid-specific technology has been implemented to improve cross-LOB performance. 3.2 Systems adhere to an enterprise IT architectural framework for smart grid. 3.1 Smart grid-impacted business processes are aligned with the enterprise IT architecture across LOBs. 2.7 Security is built into all smart grid initiatives from the outset. 2.6 Pilots based on connectivity to distributed IEDs are underway. 2.5 There is a data communications strategy for the grid. 2.4 A common technology evaluation and selection process is applied for all smart grid activities. 2.3 Standards are selected to support the smart grid strategy within the enterprise IT architecture. 2.2 Changes to the enterprise IT architecture that enable smart grid are being deployed. 2.1 Tactical IT investments are aligned to an enterprise IT architecture within an LOB. 1.5 There is a process to evaluate and select technologies in alignment with smart grid vision and strategies. 1.4 Opportunities are identified to use technology to improve departmental performance. 1.3 A change control process is used for applications and IT infrastructure. 1.2 Existing or proposed IT architectures have been evaluated for quality attributes that support smart grid applications. 1.1 An enterprise IT architecture exists or is under development. 45 TECH detailed findings 46 Legend:

C us to m er 5 5.5 5.4 5.3 5.2 Top 10-33% Bottom 33% Top 10% Red Italics Weakness against the model The organization plays a leadership role in industry-wide information sharing and standards development efforts for smart grid. Security and privacy for all customer data is assured. Plug-and-play, customer-based generation is supported. See ANA script steps 3.2.3 and 3.2.4. Highlight the table There is automatic outage detection at premise or device with level. your findings. 1. Adjust colors in maturity level column to correspond to customers score. Sample these color swatches to select correct colors as needed: 5.1 Customers can manage their end-to-end energy supply and usage levels. 4 3 2 1 4.7 4.6 4.5 4.4 4.3 4.2 4.1 3.9 3.8 3.7 3.6 3.5

3.4 3.3 3.2 3.1 2.6 2.5 2.4 2.3 2.2 2.1 1.4 1.3 1.2 1.1 A common customer experience has been integrated. In-home net billing programs are enabled. RGB=255:0:0 RGB=255:255:0 Automatic response to pricing signals for devices within the customers premise is supported. Residential customers participate in demand response and/or utility-managed remote load control programs. Customers have access to near real-time data on their own usage. RGB=0:128:0 RGB=165:165:165 There is outage detection and proactive notification at the circuit level. Support is provided to customers to help analyze and compare usage against all available pricing programs. 2. Place icons appropriate All customer products and services have built-standards based on security andas privacy controls. to highlight observations in comparison to peer Customer education on how to use smart grid services to curtail peak usage is provided.community data. A common experience has been implemented across two or more customer interface channels. Residential customers have on-demand access to daily usage data. There is automatic outage detection at the substation level. Demand response and/or remote load control is available to customers. A remote connect/disconnect capability is deployed. Two-way meter communication has been deployed. The organization tailors programs to customer segments. Security and privacy requirements for customer protection are specified for smart grid-related pilot projects and RFPs. The impact on the customer of new services and delivery processes is being assessed. Remote connect/disconnect is being piloted for residential customers. The organization is modeling the reliability of grid equipment. The organization has frequent (more than monthly) knowledge of residential customer usage. Pilots of remote AMI/AMR are being conducted or have been deployed.

The utility consults with public utility commissions and/or other government organizations concerning the impact on customers. A vision of the future grid is being communicated to customers. Security and privacy implications of smart grid are being investigated. Research is being conducted on how to use smart grid technologies to enhance the customers experience, benefits, and participation. 47 CUST detailed findings 48 Legend: Va lu e C ha in In te gr ati o n 5 Top 10-33% 10-30% Bottom 33% 30% Top 10% BOLD Red Italics Weakness Weakness against against the model the model 5.3 The organizations automated control and resource optimization schemes consider and support regional and/or national grid optimization. See ANA script steps 3.2.3 and 3.2.4. Highlight the table with your 5.2 Resources are adequately dispatchable and controllable so thatfindings. the organization can take advantage of granular

market options. 1. Adjust colors in maturity level column to correspond to customers score. Sample these color swatches to select 5.1 The optimization of energy assets is automated across the full value chain. correct colors as needed: 4.4 Visibility and potential control of customers large-demand appliances to balance demand and supply is available. RGB=255:0:0 RGB=255:255:0 4 3 4.3 Secure two-way communications with Home Area Networks (HANs) are available. 4.2 Portfolio optimization models that encompass available resources and real-time markets are implemented. RGB=0:128:0 RGB=165:165:165 4.1 Energy resources (including Volt/VAR, DG, and DR) are dispatchable and tradable. 3.4 Security management and monitoring processes are deployed to protect the interactions with an expanded portfolio of 2. Place icons as appropriate to highlight observations in value chain partners. comparison to peer community data. 3.3 Additional resources are available and deployed to provide substitutes for market products to support reliability or other objectives. 3.2 Customer premise energy management solutions with market and usage information are enabled. 3.1 An integrated resource plan is in place and includes new targeted resources and technologies. 2.4 Secure interactions have been piloted with an expanded portfolio of value chain partners. 2 2.3 Pilots to support a diverse resource portfolio have been conducted. 2.2 The value chain has been redefined based on its smart grid capabilities. 2.1 Support is provided for energy management systems for residential customers. 1.5 Security requirements to enable interaction with an expanded portfolio of value chain partners have been identified. 1 1.4 There is a strategy for creating and managing a diverse resource portfolio. 1.3 Energy storage options and the capabilities needed to support them are identified. 1.2 Distributed generation sources and the capabilities needed to support them are identified. 1.1 Assets and programs necessary to facilitate load management are identified. 49 VCI detailed findings 50

Legend: S oc iet al an d E nv ir o n m en tal 5 Top 10-33% Bottom 33% Top 10% Red Italics Weakness against the model 5.3 The organization is a leader in developing and promoting industry-wide resilience best practices and/or technologies for protection of the national critical infrastructure. See ANA script steps 3.2.3 and 3.2.4. Highlight the table yourthrough findings. 5.2 Customers control their energy-based environmentalwith footprints automatic optimization of their end-to-end energy supply and usage level (energy source and mix). 1. Adjust colors in maturity level column to correspond to customers score. Sample these color swatches to select 5.1 Triple bottom line goals align with local, regional, and national objectives. correct colors as needed: 4.5 The organization fulfills its critical infrastructure assurance goals for resiliency, and contributesRGB=255:255:0 to those of the region and RGB=255:0:0 the nation. 4 4.4 End-user energy usage and devices are actively managed through the utilitys network. RGB=0:128:0 4.3 Programs are in place to shave peak demand.

RGB=165:165:165 4.2 A public environmental and societal scorecard is maintained. 2. Place icons as appropriate to highlight observations in 4.1 The organization collaborates with external stakeholderscomparison to address environmental and societaldata. issues. to peer community 3.4 The organization regularly reports on the societal and environmental impacts of its smart grid programs and technologies. 3 3.3 Programs to encourage off-peak usage by customers are in place. 3.2 Segmented and tailored information that includes environmental and societal benefits and costs is available to customers. 3.1 Performance of societal and environmental programs are measured and effectiveness is demonstrated. 2.5 Increasingly granular and more frequent consumption information is available to customers. 2 2.4 Environmental proof-of-concept projects are underway that demonstrate smart grid benefits. 2.3 The organization considers a triple bottom line view when making decisions. 2.2 Energy efficiency programs for customers have been established 2.1 Smart-grid strategies and work plans address societal and environmental issues. 1.4 The smart grid vision or strategy specifies the organizations role in protecting the nations critical infrastructure. 1 1.3 Environmental compliance performance records are available for public inspection. 1.2 The environmental benefits of the smart grid vision and strategy are publicly promoted. 1.1 The smart grid strategy addresses the organizations role in societal and environmental issues. 51 SE detailed findings 52 Update with the customers name. Contents / agenda Opening remarks SGMM overview Community data Optional: Insert start times for agenda items.

Duration guidelines are: Opening remarks - 15 min. SGMM overview - 25 min. Community data - 15 min SGMM scores - 1 hr 30 min. Aspirations - 3 hr. Wrap up and next steps - 10 min. s SGMM Survey scores and observations Overall findings Community comparisons Findings by domain s Smart Grid aspirations Wrap up and next steps 53 Aspiration Setting Tool St ra te gy , M g m t, & R eg ul at or y See script ASPIRATIONS WS, step 4.4. If any characteristics were marked in red, italics in detailed 5.3 New business model opportunities emerge as a result of smartmake grid capabilities arehere implemented. findings, them red,and italic as well.

5 5.2 Smart grid business activities provide sufficient financial to enable continued in smart Note:resources If you copy the table frominvestment a previous slide,grid ensure you sustainment and expansion. can type in the blank column. If youve used symbols to mark characteristics e.g. s = stretch, 5.1 Smart grid strategy capitalizes on smart grid as a foundation for=the new services and product offerings. y = yes, n no,introduction etc, then of include a legend when you send the updated slides back. 4.3 Smart grid strategy is shared and revised collaboratively with external stakeholders. 4 4.2 Smart grid is a core competency throughout the organization. 4.1 Smart grid vision and strategy drive the organizations strategy and direction. 3.4 Required authorizations for smart grid investments have been secured. 3 3.3 Smart grid leaders with explicit authority across functions and lines of business are designated to ensure effective implementation of the smart grid strategy. 3.2 A smart grid governance model is established. 3.1 The smart grid vision, strategy, and business case are incorporated into the vision and strategy. 2.6 There is support and funding for conducting proof-of-concept projects to evaluate feasibility and alignment. 2.5 There is collaboration with regulators and other stakeholders regarding implementation of the smart grid vision and strategy. 2 2.4 Budgets are established specifically for funding the implementation of the smart grid vision.

2.3 Operational investment is explicitly aligned to the smart grid strategy. 2.2 A common smart grid vision is accepted across the organization. 2.1 An initial smart grid strategy and a business plan are approved by management. 1.3 Discussions have been held with regulators about the organizations smart grid vision. 1 1.2 Experimental implementations of smart grid concepts are supported. 1.1 Smart grid vision is developed with a goal of operational improvement. 54 St ra te gy , M g m t, & R eg ul at or y Aspiration Setting Tool Update with customer data. 1. Color level bar to indicate customers score. Sample these color swatches to select correct colors as needed: 5 What motivates this aspiration? RGB=255:0:0 4 3 2 RGB=0:128:0

RGB=255:255:0 RGB=165:165:165 2. Place Current and Aspiration arrow at current level 3. During (OR AFTER) the findings workshop, move the Aspiration arrow up to point to the Aspiration that has been selected. 4. During to (ORachieve AFTER) thethis findings workshop, document the What actions must happen aspiration? motivations, what must happen, and obstacles sections based on the discussion from the findings workshop. Aspiration Aspiration Current Current 1 0 What obstacles must be overcome to achieve this aspiration? 55 Aspiration Setting Tool Or ga ni za ti o n & St

ru ct ur e 5 4 See script ASPIRATIONS WS, step 4.4. If any characteristics were marked in red, italics in detailed 5.3 Channels are in place to harvest ideas, develop them, and regard those who help shape future advances in process, findings, make them red, italic here as well. workforce competencies, and technology. Note: If you copy the table from a previous slide, ensure you 5.2 The organization is able to readily adapt to support new ventures, products, and services that emerge as a result of can type in the blank column. smart grid. If youve used symbols to mark characteristics e.g. s = stretch, 5.1 The organizational structure enables collaboration with other grid stakeholders to optimize overall grid operation and y = yes, n = no, etc, then include a legend when you send the health. updated slides back. 4.3 Decision making occurs at the closest point of need as a result of an efficient organizational structure and the increased availability of information due to smart grid. 4.2 There is end-to-end grid observability that can be leveraged by internal and external stakeholders. 4.1 Management systems and organizational structure are capable of taking advantage of the increased visibility and control provided through smart grid. 3 2 3.6 3.5 3.4 3.3 3.2 3.1 2.5 2.4 Education and training are aligned to exploit smart grid capabilities. A matrix or overlay structure to support smart grid activities is in place. Leadership is consistent in communication and actions regarding smart grid. Performance and/or compensation are linked to smart grid success. Smart grid measures are incorporated into the measurement system. The smart grid vision and strategy are driving organizational change.

The linking of performance and/or compensation plans to achieve smart grid milestones is in progress. Education and training to develop smart grid competencies have been identified and are available. 2.3 Most smart grid implementation and deployment teams include participants from all functions and LOBs that the deployment will impact. 2.2 The organization has aligned most operations around end-to-end processes. 2.1 A new vision for a smart grid begins to drive change and affect related priorities like addressing the need for an adequately skilled workforce in a smart grid environment. 1 1.3 Smart grid awareness efforts to inform the workforce of smart grid activities have been initiated. 1.2 Leadership has demonstrated a commitment to change the organization in support of achieving smart grid. 1.1 The organization has articulated its need to build smart grid competencies in its workforce. 56 Or ga ni za ti o n & St ru ct ur e Aspiration Setting Tool Update with customer data. 1. Color level bar to indicate customers score. Sample these color swatches to select correct colors as needed: 5 What motivates this aspiration? RGB=255:0:0 4 3 2

Aspiration Aspiration Current Current RGB=0:128:0 RGB=255:255:0 RGB=165:165:165 2. Place Current and Aspiration arrow at current level 3. During (OR AFTER) the findings workshop, move the Aspiration arrow up to point to the Aspiration that has been selected. 4. Duringto (OR AFTER) the findings workshop, document the What action must happen achieve this aspiration? motivations, what must happen, and obstacles sections based on the discussion from the findings workshop. 1 0 What obstacles must be overcome to achieve this aspiration? 57 Aspiration Setting Tool Gr id O pe ra

ti o ns 5 4 See script ASPIRATIONS WS, step 4.4. If any characteristics were marked in red, italics in detailed 5.2 System-wide, analytics-based, and automated grid decision making is in place. findings, make them red, italic here as well. 5.1 Self-healing capabilities are present. Note: If you copy the table from a previous slide, ensure you can type in the blank column. 4.5 There is automated decision-making within protection schemes that is based on wide-area monitoring. If youve used symbols to mark characteristics e.g. s = stretch, 4.4 Grid operations information has been made available and LOBs. y =across yes, functions n = no, etc, then include a legend when you send the updated slides back. 4.3 Operational forecasts are based on data gathered through smart grid. 4.2 Grid operational management is based on near real-time data. 4.1 Operational data from smart grid deployments is being used to optimize processes across the organization. 3.6 There is automated decision-making within protection schemes. 3.5 Grid data is used by an organizations security functions. 3 3.4 Smart meters are important grid management sensors. 3.3 Grid operations planning is now fact-based using grid data made available by smart grid capabilities. 3.2 Control analytics have been implemented and are used to improve cross-LOB decision-making. 3.1 Smart grid information is available across systems and organizational functions. 2 2.4 Investment in and expansion of data communications networks in support of grid operations is underway. 2.3 Aside from SCADA, piloting of remote asset monitoring of key grid assets to support manual decision making is underway. 2.2 Advanced outage restoration schemes are being implemented, which resolve or reduce the magnitude of unplanned outages. 2.1 Distribution substation are automated and linked to some form of remote distribution automation.

1.5 Safety and security (physical and cyber) requirements are considered. 1.4 Outage and distribution management systems linked to substation automation are being explored and evaluated. 1 1.3 Proof-of-concept projects and component testing for grid monitoring and control are underway. 1.2 New sensors, switches, and communications technologies are evaluated for grid monitoring and control. 1.1 Business cases for new equipment and systems related to smart grid are approved. 58 Gr id O pe ra ti o ns Aspiration Setting Tool Update with customer data. 1. Color level bar to indicate customers score. Sample these color swatches to select correct colors as needed: 5 What motivates this aspiration? RGB=255:0:0 4 3 2 Aspiration Aspiration Current Current RGB=0:128:0 RGB=255:255:0 RGB=165:165:165

2. Place Current and Aspiration arrow at current level 3. During (OR AFTER) the findings workshop, move the Aspiration arrow up to point to the Aspiration that has been selected. 4. Duringto (OR AFTER) the findings workshop, document the What actions must happen achieve this aspiration? motivations, what must happen, and obstacles sections based on the discussion from the findings workshop. 1 0 What obstacles must be overcome to achieve this aspiration? 59 Aspiration Setting Tool W or k an d A ss et M an ag e m en t

5 4 See script ASPIRATIONS WS, step 4.4. If any characteristics were marked in red, italics in detailed 5.2 Assets are leveraged to maximize utilization, including just-in-time asset retirement, based smart grid data and findings, make them red, italic hereonas well. systems. Note: If you copy the table from a previous slide, ensure you 5.1 The use of assets between and across supply chaincan participants is optimized with processes defined and executed type in the blank column. across the supply chain. If youve used symbols to mark characteristics e.g. s = stretch, y = yes, n = no, etc,and then includemaintenance, a legend when send 4.4 Service life for key grid components is managed through condition-based predictive and isyou based on the real and current asset data. updated slides back. 4.3 Performance and usage of assets is optimized across the asset fleet and across asset classes. 4.2 Asset models are based on real performance and monitoring data. 4.1 A complete view of assets based on status, connectivity, and proximity is available to the organization. 3.7 Modeling of asset investments for key components is underway. 3.6 Asset inventory is being tracked using automation.

3.5 An integrated view of GIS and asset monitoring is in place. 3 3.4 Integration of remote asset monitoring with mobile workforce systems, in order to automate work order creation, is underway. 3.3 Remote asset monitoring capabilities are integrated with asset management. 3.2 CBM programs for key components are in place. 3.1 Performance, trend analysis, and event audit data are available for components of the organizations systems. 2.3 An organization-wide mobile workforce strategy is in development. 2 2.2 An integrated view of GIS for asset monitoring based on location, status, and interconnectivity (nodal) has been developed. 2.1 An approach to track, inventory, and maintain event histories of assets is in development. 1 1.3 Asset and workforce management equipment and systems are being evaluated for their potential alignment to the smart grid vision. 1.2 Potential uses of remote asset monitoring are being evaluated. 1.1 Enhancements to work and asset management have been built into approved business cases. 60 W or k an d A ss et M an ag e m en t Aspiration Setting Tool Update with customer data. 1. Color level bar to indicate customers score. Sample these color swatches to select correct colors as needed: 5 What motivates this aspiration?

RGB=255:0:0 4 3 2 Aspiration Aspiration Current Current RGB=0:128:0 RGB=255:255:0 RGB=165:165:165 2. Place Current and Aspiration arrow at current level 3. During (OR AFTER) the findings workshop, move the Aspiration arrow up to point to the Aspiration that has been selected. 4. During (OR AFTER) the this findings workshop, document the What actions must happen to achieve aspiration? motivations, what must happen, and obstacles sections based on the discussion from the findings workshop. 1 0 What obstacles must be overcome to achieve this aspiration?

61 Aspiration Setting Tool Te ch n ol o gy 5 4 3 2 1 See script ASPIRATIONS WS, step 4.4. If any characteristics were marked in red, italics in detailed 5.2 The enterprise information infrastructure can automatically identify, mitigate, and recover from cyber incidents. findings, make them red, italic here as well. 5.1 Autonomic computing and machine learning are implemented. Note: If you copy the table from a previous slide, ensure you can type in the blank column. 4.6 Security strategy and tactics continually evolve based on changes in the operational environment and lessons learned. If youve used symbols to mark characteristics e.g. s = stretch, 4.5 Performance is improved through sophisticated systems that are informed by smart grid data. y = yes, n = no, etc, then include a legend when you send the 4.4 Predictive modeling and near real-time simulation areupdated used to optimize slides support back. processes. 4.3 Systems have sufficient wide-area situational awareness to enable real-time monitoring and control for complex events. 4.2 Business processes are optimized by leveraging the enterprise IT architecture. 4.1 Data flows end to end from customer to generation. 3.6 A detailed data communication strategy and corresponding tactics that cross functions and LOBs are in place. 3.5 The organization has an advanced sensor plan. 3.4 The use of advanced distributed intelligence and analytical capabilities are enabled through smart grid technology. 3.3 Smart grid-specific technology has been implemented to improve cross-LOB performance. 3.2 Systems adhere to an enterprise IT architectural framework for smart grid. 3.1 Smart grid-impacted business processes are aligned with the enterprise IT architecture across LOBs. 2.7 Security is built into all smart grid initiatives from the outset. 2.6 Pilots based on connectivity to distributed IEDs are underway. 2.5 There is a data communications strategy for the grid. 2.4 A common technology evaluation and selection process is applied for all smart grid activities. 2.3 Standards are selected to support the smart grid strategy within the enterprise IT architecture.

2.2 Changes to the enterprise IT architecture that enable smart grid are being deployed. 2.1 Tactical IT investments are aligned to an enterprise IT architecture within an LOB. 1.5 There is a process to evaluate and select technologies in alignment with smart grid vision and strategies. 1.4 Opportunities are identified to use technology to improve departmental performance. 1.3 A change control process is used for applications and IT infrastructure. 1.2 Existing or proposed IT architectures have been evaluated for quality attributes that support smart grid applications. 1.1 An enterprise IT architecture exists or is under development. 62 Te ch n ol o gy Aspiration Setting Tool Update with customer data. 1. Color level bar to indicate customers score. Sample these color swatches to select correct colors as needed: 5 What motivates this aspiration? RGB=255:0:0 4 3 2 Aspiration Aspiration Current Current RGB=0:128:0 RGB=255:255:0 RGB=165:165:165 2. Place Current and Aspiration arrow at current level 3. During (OR AFTER) the findings workshop, move the Aspiration arrow up to point to the Aspiration that has been

selected. 4. During to (ORachieve AFTER) thethis findings workshop, document the What actions must happen aspiration? motivations, what must happen, and obstacles sections based on the discussion from the findings workshop. 1 0 What obstacles must be overcome to achieve this aspiration? 63 Aspiration Setting Tool C us to m er 5 5.5 5.4 5.3 5.2 See script ASPIRATIONS WS, step 4.4. If any characteristics weredevelopment marked inefforts red, for italics detailed

The organization plays a leadership role in industry-wide information sharing and standards smartin grid. findings, make them red, italic here as well. Security and privacy for all customer data is assured. Plug-and-play, customer-based generation is supported. Note: If you copy the table from a previous slide, ensure you There is automatic outage detection at premise or device can level.type in the blank column. If youve used symbols to mark characteristics e.g. s = stretch, 5.1 Customers can manage their end-to-end energy supply and usage levels. y = yes, n = no, etc, then include a legend when you send the 4 3 2 1 4.7 4.6 4.5 4.4 4.3 4.2 4.1 3.9 3.8 3.7 3.6 3.5 3.4 3.3 3.2 3.1 2.6 2.5 2.4 2.3

2.2 2.1 1.4 1.3 1.2 1.1 A common customer experience has been integrated. updated slides back. In-home net billing programs are enabled. Automatic response to pricing signals for devices within the customers premise is supported. Residential customers participate in demand response and/or utility-managed remote load control programs. Customers have access to near real-time data on their own usage. There is outage detection and proactive notification at the circuit level. Support is provided to customers to help analyze and compare usage against all available pricing programs. All customer products and services have built-standards based on security and privacy controls. Customer education on how to use smart grid services to curtail peak usage is provided. A common experience has been implemented across two or more customer interface channels. Residential customers have on-demand access to daily usage data. There is automatic outage detection at the substation level. Demand response and/or remote load control is available to customers. A remote connect/disconnect capability is deployed. Two-way meter communication has been deployed. The organization tailors programs to customer segments. Security and privacy requirements for customer protection are specified for smart grid-related pilot projects and RFPs. The impact on the customer of new services and delivery processes is being assessed. Remote connect/disconnect is being piloted for residential customers. The organization is modeling the reliability of grid equipment. The organization has frequent (more than monthly) knowledge of residential customer usage. Pilots of remote AMI/AMR are being conducted or have been deployed. The utility consults with public utility commissions and/or other government organizations concerning the impact on customers. A vision of the future grid is being communicated to customers. Security and privacy implications of smart grid are being investigated. Research is being conducted on how to use smart grid technologies to enhance the customers experience, benefits, and participation. 64 C us to m er Aspiration Setting Tool Update with customer data. 1. Color level bar to indicate customers score. Sample these color swatches to select correct colors as needed: 5 What motivates this aspiration?

RGB=255:0:0 4 3 2 Aspiration Aspiration Current Current RGB=0:128:0 RGB=255:255:0 RGB=165:165:165 2. Place Current and Aspiration arrow at current level 3. During (OR AFTER) the findings workshop, move the Aspiration arrow up to point to the Aspiration that has been selected. During (OR the findings workshop, document the What actions must 4.happen toAFTER) achieve this aspiration? motivations, what must happen, and obstacles sections based on the discussion from the findings workshop. 1 0 What obstacles must be overcome to achieve this aspiration?

65 Aspiration Setting Tool Va lu e C ha in In te gr ati o n 5 4 See script ASPIRATIONS WS, step 4.4. If any characteristics were marked in red, italics in detailed 5.3 The organizations automated control and resourcefindings, optimization schemes andhere support regional and/or make them consider red, italic as well. national grid optimization. Note: If you copy the table from a previous slide, ensure you 5.2 Resources are adequately dispatchable and controllable so that the blank organization can take advantage of granular can type in the column. market options. If youve used symbols to mark characteristics e.g. s = stretch, y = yes, n =value no, chain. etc, then include a legend when you send the

5.1 The optimization of energy assets is automated across the full updated slides back. 4.4 Visibility and potential control of customers large-demand appliances to balance demand and supply is available. 4.3 Secure two-way communications with Home Area Networks (HANs) are available. 4.2 Portfolio optimization models that encompass available resources and real-time markets are implemented. 4.1 Energy resources (including Volt/VAR, DG, and DR) are dispatchable and tradable. 3.4 Security management and monitoring processes are deployed to protect the interactions with an expanded portfolio of value chain partners. 3 3.3 Additional resources are available and deployed to provide substitutes for market products to support reliability or other objectives. 3.2 Customer premise energy management solutions with market and usage information are enabled. 3.1 An integrated resource plan is in place and includes new targeted resources and technologies. 2.4 Secure interactions have been piloted with an expanded portfolio of value chain partners. 2 2.3 Pilots to support a diverse resource portfolio have been conducted. 2.2 The value chain has been redefined based on its smart grid capabilities. 2.1 Support is provided for energy management systems for residential customers. 1.5 Security requirements to enable interaction with an expanded portfolio of value chain partners have been identified. 1 1.4 There is a strategy for creating and managing a diverse resource portfolio. 1.3 Energy storage options and the capabilities needed to support them are identified. 1.2 Distributed generation sources and the capabilities needed to support them are identified. 1.1 Assets and programs necessary to facilitate load management are identified. 66 Va lu e C ha in In te gr ati o n Aspiration Setting Tool Update with customer data.

1. Color level bar to indicate customers score. Sample these color swatches to select correct colors as needed: 5 What motivates this aspiration? RGB=255:0:0 4 3 2 Aspiration Aspiration Current Current RGB=0:128:0 RGB=255:255:0 RGB=165:165:165 2. Place Current and Aspiration arrow at current level 3. During (OR AFTER) the findings workshop, move the Aspiration arrow up to point to the Aspiration that has been selected. 4. During (OR AFTER) the this findings workshop, document the What actions must happen to achieve aspiration? motivations, what must happen, and obstacles sections based on the discussion from the findings workshop. 1 0

What obstacles must be overcome to achieve this aspiration? 67 Aspiration Setting Tool S oc iet al an d E nv ir o n m en tal 5 4 See script ASPIRATIONS WS, step 4.4. If any characteristics were marked in red, italics in detailed 5.3 The organization is a leader in developing and promoting industry-wide resilience practices and/or findings, make them red,best italic here as well.technologies for protection of the national critical infrastructure. Note: If you copy the table from a previous slide, ensure you 5.2 Customers control their energy-based environmentalcan footprints through automatic optimization of their end-to-end energy

type in the blank column. supply and usage level (energy source and mix). If youve used symbols to mark characteristics e.g. s = stretch, = yes, objectives. n = no, etc, then include a legend when you send the 5.1 Triple bottom line goals align with local, regional, andy national updated slides back. 4.5 The organization fulfills its critical infrastructure assurance goals for resiliency, and contributes to those of the region and the nation. 4.4 End-user energy usage and devices are actively managed through the utilitys network. 4.3 Programs are in place to shave peak demand. 4.2 A public environmental and societal scorecard is maintained. 4.1 The organization collaborates with external stakeholders to address environmental and societal issues. 3.4 The organization regularly reports on the societal and environmental impacts of its smart grid programs and technologies. 3 3.3 Programs to encourage off-peak usage by customers are in place. 3.2 Segmented and tailored information that includes environmental and societal benefits and costs is available to customers. 3.1 Performance of societal and environmental programs are measured and effectiveness is demonstrated. 2.5 Increasingly granular and more frequent consumption information is available to customers. 2 2.4 Environmental proof-of-concept projects are underway that demonstrate smart grid benefits. 2.3 The organization considers a triple bottom line view when making decisions. 2.2 Energy efficiency programs for customers have been established 2.1 Smart-grid strategies and work plans address societal and environmental issues. 1.4 The smart grid vision or strategy specifies the organizations role in protecting the nations critical infrastructure. 1 1.3 Environmental compliance performance records are available for public inspection. 1.2 The environmental benefits of the smart grid vision and strategy are publicly promoted. 1.1 The smart grid strategy addresses the organizations role in societal and environmental issues. 68 S oc iet al an d E

nv ir o n m en tal Aspiration Setting Tool Update with customer data. 1. Color level bar to indicate customers score. Sample these color swatches to select correct colors as needed: 5 What motivates this aspiration? RGB=255:0:0 4 3 2 Aspiration Aspiration Current Current RGB=0:128:0 RGB=255:255:0 RGB=165:165:165 2. Place Current and Aspiration arrow at current level 3. During (OR AFTER) the findings workshop, move the Aspiration arrow up to point to the Aspiration that has been selected. During (OR the findings workshop, document the What actions must 4. happen toAFTER)

achieve this aspiration? motivations, what must happen, and obstacles sections based on the discussion from the findings workshop. 1 0 What obstacles must be overcome to achieve this aspiration? 69 Prior to the workshop: 1. Move the green dots to the appropriate level to represent the current profile for the customer. Change the ? in each dot to the maturity rating. SGMM aspirations 2. Move the gold dots to one level higher than the green, but do not change the ? 3. Place customer name in the designated places 4. Change in -year to the aspiration horizon that has been agreed 5. OPTIONAL: Add another profile (in a different color) to show the result of the customers previous survey. During the workshop: Move the gold dots to the aspired levels and replace the ? in each dot with the appropriate value. -year aspirations ?? ?? ?? ?? ?? ?? ??

?? ?? ?? ?? ?? ?? ?? ?? ?? today 70 Update with the customers name. Contents / agenda Opening remarks SGMM overview Peer community data Optional: Insert start times for agenda items. Duration guidelines are: Opening remarks - 15 min. SGMM overview - 25 min. Peer community data- 15 SGMM scores - 1 hr 30 min. Aspirations - 3 hr. Wrap up and next steps - 10 min. s SGMM Survey scores and observations Overall findings Community comparisons Findings by domain s Smart Grid aspirations Wrap up and next steps 71 Navigation process

Next A five-step process lead by a certified SGMM Navigator 1. Preparations are complete, first four Compass survey sections are completed 2. Survey Workshop: stakeholders from utility complete the Compass survey as a team, discussions occur to develop consensus on responses 3. Navigator analyzes results and prepares findings 4. Aspirations Workshop: Compass survey results and findings are presented and discussed; aspirations for planning horizon are agreed through consensus discussions 5. Actions are planned and documentation is completed to conclude the process 72 Update with next steps Next steps This Aspirations workshop presentation will be updated with todays results 73 Contact information Insert contact information; delete placeholders as needed

www.sei.cmu.edu/smartgrid 74 Notices Copyright 2018 Carnegie Mellon University. All rights reserved. This material is based upon work funded and supported by the Department of Defense under Contract No. FA8721-05-C-0003 with Carnegie Mellon University for the operation of the Software Engineering Institute, a federally funded research and development center. Any opinions, findings and conclusions or recommendations expressed in this material are those of the author(s) and do not necessarily reflect the views of the United States Department of Defense. NO WARRANTY. THIS MATERIAL IS FURNISHED ON AN AS-IS BASIS WITH NO WARRANTIES OF ANY KIND, EITHER EXPRESSED OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, WARRANTY OF FITNESS FOR PURPOSE OR MERCHANTABILITY, ANY WARRANTY WITH RESPECT TO FREEDOM FROM PATENT, TRADEMARK, OR COPYRIGHT INFRINGEMENT, OR THIRD PARTY INTELLECTUAL PROPERTY RIGHTS. [Distribution Statement A] This material has been approved for public release and unlimited distribution. The United States Government has Unlimited Rights in this material as defined by DFARS 252.227-7013. The text and illustrations in this material are licensed by Carnegie Mellon University under a Creative Commons Attribution 4.0 International License. The Creative Commons license does not extend to logos, trade marks, or service marks of Carnegie Mellon University. 75 SGMM Navigation Process BACK UP SLIDES 76 Color chart Green Utility as-is R=4, G=129, B=60 Gold Utility to-be R=231, G=172, B=67 Blue Full Community R=64, G=108, B=187 Orange Peer Community R=222, G=102, B=33 77

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