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DOE OSTI2024

Assessing Customer Experience and Business Models around Price-to-Device Communication and Smart Control Pathways in CalFlexHub

California is facing three major challenges in electrical grid operation: renewable overgeneration, steep evening ramping, and growing peak demand. The state has identified dynamic retail price response as a key strategy evidenced by CPUC’s Dynamic Rates proceeding and CEC’s Load Management Standards. Furthermore, the CEC launched a $16M “California Load Flexibility Research and Deployment Hub (CalFlexHub)” administered by Berkeley Lab to accelerate price-response flexible load technologies in buildings and EV charging. There are more than 16 laboratory and field demonstration projects in CalFlexHub, each demonstrating innovative automated price-response technologies. CalFlexHub tests various pathways through which hourly price signals and triggered control commands are communicated to load-flexible devices such as smart thermostats, heat pumps, water heaters, and EVs. We identified seven unique communication and control pathways, which involve combinations of third-party cloud, device OEM’s cloud, building central gateway, and local controller in between the price server and the load-flexible devices. It is important for utilities and policy makers to understand the long-term implications of each pathway in designing future programs and creating related policies and mandates for market transformation. We propose an evaluation framework including the following aspects: ● Functionality: connectivity and uptime, resilience, and optimization; ● Customer experience: simplicity in setup, troubleshooting support, continuity, customer choice, first cost, and ongoing cost; ● Business model and scalability: advance interoperability, holistic solution, bridge unique gap, customer base, and value streams and pricing structures. In this paper, we identify emerging business models associated with each communication pathway and discuss their positive features and challenges from the above aspects.

Liu, Jingjing↗

DOE OSTI2021

Impacts of COVID-19 related stay-at-home restrictions on residential electricity use and implications for future grid stability

“Stay-at-home” orders and other health precautions enacted during the COVID-19 pandemic have led to substantial changes in residential electricity usage. Here, we conduct a case study to analyze data from 390 apartments in New York City (NYC) to examine the impacts of two key drivers of residential electricity usage: COVID-19 case-loads and the outdoor temperature. We develop a series of regression models to predict two characteristics of residential electricity usage on weekdays: The average occupied apartment’s consumption (kWh) over a 9am-5pm window and the hourly peak demand (Watt) over a 12pm-5pm window. Via a Monte Carlo simulation, we forecast the two usage characteristics under a possible scenario in which stay-at-home orders in NYC, or a similar metropolitan region, coincide with warm summer weather. Under the scenario, the 9am-5pm residential electricity usage on weekdays is predicted to be 15% – 24% higher than under prior, pre-pandemic conditions. This could lead to substantially higher utility costs for residents. Additionally, we predict that the residential hourly peak demand between 12pm and 5pm on weekdays could be 35% – 53% higher than that under pre-pandemic conditions. We conclude that the projected increase in peak demand - which might arise if stay-at-home guidelines coincided with hot weather conditions - could pose grid management challenges, especially for residential feeders. We also note that, if there is a longer lasting shift towards work and study-from-home, utilities will have to rethink load profile considerations. The applications of our predictive models to managing future smart-grid technology are also highlighted.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

DOE OSTI2020

A Privacy Preserving Model-Free Optimization and Control Framework for Demand Response from Residential Thermal Loads

We consider the problem of optimizing the cost of procuring electricity for a large collection of homes managed by a load serving entity, by pre-cooling or pre-heating the thermal inertial loads in the homes to avoid procuring power during periods of peak electricity pricing. We would like to accomplish this objective in a completely privacy-preserving and model-free manner, that is, without direct access to the state variables (temperatures or power consumption) or the dynamical models (thermal characteristics) of individual homes, while guaranteeing personal comfort constraints of the consumers. We propose a two-stage optimization and control framework to address this problem. In the first stage, we use a long short-term memory (LSTM) network to predict hourly electricity prices, based on historical pricing data and weather forecasts. Given the hourly price forecast and thermal models of the homes, the problem of designing an optimal power consumption trajectory that minimizes the total electricity procurement cost for the collection of thermal loads can be formulated as a large-scale integer program (with millions of variables) due to the on-off cyclical dynamics of such loads. We provide a simple heuristic relaxation to make this large-scale optimization problem model-free and computationally tractable. In the second stage, we translate the results of this optimization problem into distributed open-loop control laws that can be implemented at individual homes without measuring or estimating their state variables, while simultaneously ensuring consumer comfort constraints. We demonstrate the performance of this approach on a large-scale test case comprising of 500 homes in the Houston area and benchmark its performance against a direct model-based optimization and control solution.

Sivaranjani, S.↗

DOE OSTI2023

Near-Term Electricity Requirement and Emission Implications for Sustainable Aviation Fuel Production with CO 2 -to-Fuels Technologies

Aviation contributed approximately 10% of the U.S. transportation sector's greenhouse gas (GHG) emissions and about 3% of the nation's total GHG production before the coronavirus disease (COVID-19) pandemic (EPA 2022). Unlike the ground transportation sector, which can be decarbonized by using batteries and hydrogen fuel cell powertrain technologies, the technical and economic challenges of aviation electrification open the opportunity for CO 2 utilization (CO2U) using clean power sources. The U.S. government set a goal to produce 3 billion gallons per year of sustainable aviation fuels (SAF) by 2030 and scale up the production to 35 billion gallons per year by 2050 (Bioenergy Technologies Office 2022). In this report, we examine three potential locations, in California, Iowa, and Louisiana, for SAF production using two production pathways that are expected to be available by 2030. We analyze the electricity cost to satisfy 10% of the SAF production potential for the select locations. Specifically, we consider (1) retail electricity cost from the default local utility in each location; (2) physical power purchase agreement (PPA) for renewable power and battery storage hybrid systems with preset prices; (3) financial PPA from a dedicated renewable plant; and (4) estimated real-time pricing (RTP) from the wholesale power market with utility delivery adders. Retail rates are available for the three potential locations; however, the developer should negotiate with the local utility in Iowa for new tariff riders, because the load of the proposed SAF plant (1.4 GW) is significantly higher than the current industrial tariff structure requirement (200 kW). The developers are not able to claim federal credits (i.e., the Inflation Reduction Act of 2022) when sourcing electricity from local utilities. Developers could consider prioritizing physical and financial PPAs as purchase options. While physical PPAs can be imported out of state, this structure imposes availability issues as developers must locate in the same electricity grid regions. Financial PPAs do not have the same location restrictions and provide the same cost savings as physical PPAs, but financial PPAs impose financial risks in the event of system curtailment and grid interruption. RTPs are available for customers in California with flexible load and hourly load management capability; however, utilities in our studied regions in Louisiana and Iowa only offer time-of-use and curtailment programs to incentivize lower energy usage in peak hours. These utilities do not currently offer RTP programs, and the developer may need to have further negotiations with the local utilities to access RTP programs. The results show that purchased electricity prices may range from 2.6 cents/kWh to 7.1 cents/kWh for the three studied plants.

02 PETROLEUM↗

DOE OSTI2025

Grid Resiliency with a 100% Renewable Microgrid

San Diego Gas & Electric Company (SDG&E) installed America’s first and largest utility-scale microgrid in Borrego Springs in 2013. The first generation Borrego Springs Microgrid utilized diesel generators to form and stabilize the microgrid island, with support from grid-scale batteries and local solar photovoltaic (PV) generation. In this project, SDG&E in partnership with National Renewable Energy Laboratory (NREL) demonstrated through modeling, simulation and utility field testing that blackstart and islanding of the microgrid can be led with 100% renewable, inverter based resources (IBRs), to help reduce community reliance on conventional generation resources. Through equipment upgrades, grid-forming island leader capability was transitioned to a battery IBR instead of the Borrego Springs Microgrid diesel generators. A new microgrid controller was integrated to the microgrid and programmed to control and manage multiple energy storage systems. Synchrophasor and other power quality data verified autonomous, high-speed response of the IBRs through blackstart, islanding, and load step testing. Results of project field evaluations provide distribution systems operators (DSO) with increased confidence that renewable, IBR can replace traditional generators to blackstart and island microgrids and rapidly establish stable island frequency with rapid changes in peak power demand. Importantly, the project validated the integration feasibility of a distributed energy resource management system (DERMS) controller that manages multiple grid-forming and grid-following IBRs, establishing a standard design interface to reduce the complexity of integrating new DERs in the future and supporting replication by the industry. As a result of learnings in this project, SDG&E has implemented the microgrid controller strategy at multiple other microgrid sites, thereby validating the replicability of the solution. Hardware-in-the-loop (HIL) simulations including power and controller HIL hardware — along with electromagnetic transient (EMT) simulations of Borrego Springs Microgrid —informed adjustments to inverter parameters and were important to characterize the performance of the IBRs in relevant operating conditions before deployment. The EMT and HIL simulations of islanding the entire community are important contributions in providing confidence in IBR performance prior to future islanding of the community in the field. High-fidelity EMT and/or HIL simulation of IBRs can de-risk field operations, and its relevance and importance as a tool is increasing as distribution grids and microgrids become more complex and dynamic with an increasing proportion of renewable generation, distributed energy storage, and two-way power and energy flows.

24 POWER TRANSMISSION AND DISTRIBUTION↗

DOE OSTI2020

Application of Intelligent Load Control to Manage Building Loads to Support Rapid Growth of Distributed Renewable Generation

Electricity utilities are faced with the mounting challenge of providing a stable supply of power to meet the growing demand while also integrating rapid growth in distributed variable renewable generation. Traditional means of balancing short- and long-term supply and demand imbalance will be expensive. Alternative approaches of using flexible loads in buildings are needed to mitigate the imbalance at a lower cost. This paper shows how the intelligent load control (ILC) process can be used to manage loads in buildings by dynamically prioritizing loads for curtailment using both quantitative and qualitative criteria. The ILC process can be deployed on low-cost computing platforms without the need for any additional sensing. ILC was first validated in a simulation environment to provide two grid service use cases: (1) managing monthly peak electricity demand and (2) managing buildings’ electricity consumption during a capacity bidding event. After being successfully tested in a simulation environment, ILC was deployed on real buildings to manage electricity consumption to provide two different use cases under different outdoor operating conditions. Both the simulation tests and the real building experiments were deployed using VOLTTRON™, a distributed sensing and control platform. The results from the tests and experiments showed that ILC was able to manage the controllable loads (heat pumps) in the building to maintain the electricity consumption at the desired level without a significant impact on occupant comfort. Overall, the results demonstrate that the ILC allows coordination of the controllable loads and provides a more intelligent means of load management than the traditional duty-cycling approach.

Kim, Woohyun↗

DOE OSTI2025

Getting brighter: Impacts of improved day-ahead solar forecasts in high-solar, high-storage electricity systems

This paper analyzes the impacts of improved day-ahead solar forecasts on costs and dispatch in the solar-rich Southeast U.S. It uses an optimized high-solar, high-storage resource portfolio in which solar generation capacity accounts for 45 % of total installed capacity (34 %–36 % of generation) and energy storage capacity (43 GW) is equivalent to 33 % of peak demand. In a base scenario, improved day-ahead solar forecasts reduce production costs by $\$87$ million per year ($\$0.13$ per MWh load, $2023$$). This level of savings is within the range or lower than earlier studies of solar forecast improvements at lower levels of solar generation (<25 % of total generation). In this study, solar expansion was accompanied by two important sources of flexibility for managing solar forecast error: energy storage and day-ahead solar curtailment. Furthermore, the analysis finds that regional coordination complements day-ahead solar forecast improvements while natural gas commitment flexibility is a substitute for forecast improvements, as the improved solar forecast leads to sub-optimal commitment of thermal units. Day-ahead solar forecast improvements reduce reserves required to manage forecast error by 30 %. Fewer reserves to manage large, infrequent solar forecast errors could be an important benefit of improved solar forecasts.

14 SOLAR ENERGY↗

DOE OSTI2026

Scaling Demand Flexibility: Building on 30 Years of Energy Efficiency Success

With electricity consumption across the United States (US) and Canada anticipated to grow, energy efficiency program administrators have a key role to play in helping to ensure energy affordability and reliability in support of the broader economic systems utilities and grid support. Connected, demand side load balancing solutions, such as load shifting heating, ventilation and air conditioning (HVAC) systems and managed charging for electric vehicles (EVs), can dynamically manage energy, allowing for more volumetric electricity consumption without incurring the expense of upgraded transmission and distribution capabilities. When combined, or aggregated, many small loads can be managed to have meaningful impact on energy demand on the grid. Utilities and their partners have an opportunity to leverage decades of experience and the infrastructure needed to assess, design, implement, and measure programs to scale up the adoption of equipment with built-in load flexibility capabilities. Current efforts among a wide variety of electricity system service providers, utilities, standards agencies, regulators, national labs and private industry stakeholders aim to identify common standards, metrics, and methodologies for valuing grid services offered by demand side equipment. By combining those efforts with decades of proven energy efficiency resources, utilities are poised to effectuate a scaling up of equipment with energy management capabilities installed in homes and businesses across the US and Canada. This paper will provide an overview of how utilities are approaching this era of load growth and new peak demands across the United States and Canada. It will highlight the specific strategies that program administrators are employing to advance market transformation for grid-enabled products and devices that have the greatest potential to reduce energy use and increase load flexibility.

Grant, Peter↗

DOE OSTI2022

Economic viability of using thermal energy storage for flexible carbon capture on natural gas power plants

Fossil fuel-based power plants generate 80% of the electricity in the United States and provide a reliable generation source for both base and peak power demands. These plants are expected to adapt to changes in environmental policies that will require carbon management with carbon capture and storage (CCS) representing a possible solution. Current solvent-based CCS has a detrimental impact on a power plant's performance due to large heat loads required for carbon capture solvent regeneration. This parasitic load restricts the power plant's output and operation flexibility. Therefore, this study evaluates the feasibility of using thermal storage technologies for natural gas combined cycle (NGCC) power plants coupled with CCS to minimize the impact of solvent regeneration and enable the plant to operate at peak power output. Thermal storage can minimize the impact of CCS on the power plant by providing the heat load required for solvent regeneration during times of peak demand which will allow the plant to operate unrestricted and at full power. In total, fifteen unique thermal storage configurations were evaluated from three thermal storage categories: Brayton cycle heat pump, vapor compression heat pump, and heat recovery steam generator steam extraction for storage. The viability of these systems was determined by evaluating each configuration on thousands of real-world Locational Marginal Pricing (LMP) profiles from the New York Independent System Operator and California Independent System Operator electricity markets using a techno-economic analysis. Afterwards, results were compared to the performance of a base power plant (NGCC with CCS and no thermal storage) to determine the impact of thermal storage on power plant economics. Overall, six of the thermal storage configurations performed better than base CCS enabled power plant on between 11.5% and 38.7% of the LMP signals evaluated. The best performing configuration was a vapor compression heat pump that used flue gas as the working fluid and had both hot and cold thermal storage units. This configuration performed better than the base CCS power plant on 38.7% of the LMP profiles. The results of this study show thermal storage can mitigate the economic impact of carbon capture solvent regeneration on NGCC power plants. Discussion focuses on the impact of electricity pricing on the optimal thermal storage system, the advantages and disadvantages of the systems evaluated, and identifies limitations with the study.

25 ENERGY STORAGE↗

DOE OSTI2023

Integrated system to reduce emissions from natural gas-fired reciprocating engines

Natural gas-fired reciprocating engines (NGFRE), which are naturally aspirated are used in the oil and gas industry for the production, storage, processing, and transmission of natural gas extracted from wells. These stationary, lean-burn engines exhibit increased combustion instability and higher emissions of methane (CH 4 ) and Volatile Organic Compounds (VOCs) at lower loads, resulting in restrictions on the operational envelope of such engines. Here, in this paper, some of the emission reduction technologies for NGFREs are reviewed. Also, an experimental investigation of an integrated system to reduce emissions and improve the combustion performance of an NGFRE is presented. The integrated system consists of an air management package and integrated sensors including an amperometric NOx/O 2 sensor, exhaust temperature thermocouple, pressure transducers and vibration sensors. Experiments were carried out using natural gas and natural gas/propane blends at different load steps, and combustion performance, as well as emissions, were analyzed. For natural gas fuel, the results show that the standard deviation of peak pressure and indicated thermal efficiency (ITE) improved by 67.4 psi and 4.2% respectively, at 40% load. Similarly, CH 4 and Nitrogen Oxides (NOx) emissions reduced considerably by 84% and 63% respectively. However, CO emissions increased from 8 ppm to 152 ppm. At 60% load, the ITE improved by 3.8% and the CH 4 emissions were reduced by 68%. The reduction in VOCs emissions was 63% at 40% load and 69% at 60% load. The findings of this research provide evidence of the effectiveness of the integrated air management system in improving the sustainability of NGFREs. In general, this technology can be implemented on air-assisted combustion applications to improve combustion performance and, consequently, reduce emissions.

33 ADVANCED PROPULSION SYSTEMS↗

DOE OSTI2022

Energy management system, method of controlling one or more energy storage devices and control unit for one or more power storage units

Systems, methods and apparatuses are provided for reducing peak energy demand and to smooth intermittent energy profiles from onsite variable energy sources and loads. Some embodiments use system level and device level analysis and optimization to adaptively adjust the operation of a behind the meter energy storage (BMES) to smooth out energy generation variabilities and follow a reference load signal, including at short time resolutions.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

DOE OSTI2025

Multi-Agent Hierarchical Deep Reinforcement Learning for HVAC Control With Flexible DERs

As electricity consumption in commercial and residential buildings continues to rise, reducing energy costs presents an increasing challenge. Heating, ventilating, and air-conditioning (HVAC) systems, which typically account for 40%-50% of a building's energy use, are prime targets for energy savings. Intelligent control of HVAC temperature through the exploitation of HVAC load flexibility brings significant potential to reduce energy consumption and electricity expenses. The nonlinear models of HVAC systems challenge traditional control methods, while the uncertainty introduced by HVAC load flexibility complicates distributed energy resource (DER) management using conventional optimal dispatch techniques. In response to these challenges, we propose a hierarchical multi-agent deep reinforcement learning (DRL) approach. The lower-level agents focus on balancing comfort and energy conservation, while the upper-level DRL agents optimize the use of DERs to reduce peak demand based on the control outcomes of the HVAC by the lower-level agents. Here, in the upper-level agents, we incorporate a multi-agent structure based on ensemble learning, which acts based on historical and current data without relying on precise load forecasting to address the delayed rewarding issue in DRL. This allows for the effective reduction of energy costs. The proposed method is tested using a real-world microgrid comprising 413 buildings in Southern California, and the results demonstrate that our approach can significantly reduce overall electricity bills while ensuring the comfort of consumers and residents.

24 POWER TRANSMISSION AND DISTRIBUTION↗

DOE OSTI2025

Tailoring coherent beam combined laser pulse trains for high peak and average power applications

Laser systems based on coherent beam combination (CBC) that rely on tiled pupil architecture intrinsically carry digital capabilities independently applicable to all three essential characteristics of a laser pulse: amplitude, phase and polarization. Those capabilities allow the far-field energy distribution to be flexibly tailored in real time. Operation in the femtosecond regime at high repetition rates gives access to a wide range of applications requiring both high peak and average powers. We address the task of independent peak versus average power adjustment needed for applications seeking to decouple nonlinear phenomena associated with GW peak power from the thermal load inherent to kW average power operation. The technical solutions proposed are presented in the framework of the Ecole Polytechnique XCAN CBC laser platform (61 independent channels) with an emphasis on thermal management measures implemented to ensure its nominal operation.

47 OTHER INSTRUMENTATION↗

DOE OSTI2024

Salt Hydrate Eutectic Thermal Energy Storage for Building Thermal Regulation (Final Technical Report)

Thermal energy storage is anticipated to play an important role in developing the power grid of the future - a power grid that meets increasing demands of users, is resistant to disruptions, but also allows for greater penetration of renewable resources. Specifically, thermal energy storage materials can be integrated into HVAC systems and building envelopes, where they can be used to shift power demands for building climate control from periods of peak demand to periods of low demand. Phase change materials (PCMs) are compelling as low-cost, high energy density thermal energy storage materials for building thermal management. However, there is a lack of high performance low-cost PCMs within the specific temperature ranges which would most effectively allow for power load shifting. Inorganic salt hydrates represent a promising class of PCMs, but their inherent limitations cause them to be currently unavailable for reliable building applications. The overarching goals of this research effort are to: 1) Discover low-cost, high volumetric density salt hydrate eutectic PCMs to store low-quality heat (10 to 40 °C); 2) Introduce a high thermal conductivity matrix to reduce the time constant for energy storage to ~0.1 to 1 hr, incorporate nucleation catalysts to decrease undercooling, and utilize microencapsulation and shape stabilization approaches, minimizing moisture loss/gain, mitigating phase separation, and maintaining stable melting behavior over the lifetime of the compounds; 3) Evaluate the impact these systems have on peak load shifting, and the potential for overall energy savings under different climatic scenarios and building configurations. These goals will be achieved by an integrated research program consisting of six cohesive research subtasks: 1) Materials discovery of eutectic salt hydrate PCMs by using computationally predicted thermodynamic equilibria, coupled with high-throughput experimental validation, 2) Rapid experimental screening of nucleation catalysts identified through robust computational databases, 3) Embedding salt hydrate PCM into a low cost and scalable high conductivity matrix, 4) Microencapsulation of salt hydrate microspheres using hybrid inorganic-polymer microencapsulation approach, 5) Shape stabilization by thermoreversible salt hydrate salogels, and 6) Analysis of end-use using thermal simulations, and characterization of mock-up energy storage finished components.

25 ENERGY STORAGE↗

DOE OSTI2025

Dual-season thermal energy storage-integrated heat pump system for load shifting: experiments, modeling and nationwide analysis

Here, this paper proposes and validates a dual-season thermal energy storage-integrated heat pump (TES-HP) system that shifts building electric load in both cooling and heating modes using a single phase-change TES. The design uses the TES as a heat sink for the condenser in summer and a heat source for the evaporator in winter, thereby reducing on-peak electric demand while ensuring compatible with existing air-distribution systems. A 14-kW TES-HP prototype with six operating modes and novel refrigerant charge management strategies was experimentally tested under varied conditions. Subsequently, data-driven polynomial performance curves were developed and validated against experiments, then coupled with a phase change material (PCM) model and a calibrated building model within a rule-based controller. Single-day case studies demonstrated effective on-peak demand reduction while maintaining thermal comfort. During cooling, hourly power was lowered by up to 1.5 kW; in heating, average hourly power decreased from over 3.5 kW to 1.8 kW, compared to an HP-only system, achieving 64.5 % load shifting, and the need for resistance heating was eliminated. Seasonal simulations showed typical on-peak electricity savings of 25–35 % in cooling and 40–65 % in heating, with the largest benefits on the hottest and coldest days. Extended response-surface analysis and nationwide mapping quantified load shifting as functions of ambient and TES temperatures, revealing a seasonal trade-off in TES phase-change temperature. These results demonstrate the TES-HP system as a practical and scalable solution for grid-interactive buildings that reduces on-peak demand and electricity use while maintaining thermal comfort and enhancing grid flexibility and reliability.

Grid-interactive buildings↗

DOE OSTI2021

InterSpec v. 1.0.8

SAND2021-4823 O InterSpec decodes and displays gamma radiation data from a variety of handheld, laboratory, and fixed installation detector types. Once loaded, InterSpec provides a means to interactively analyze the data via a peak-based methodology. InterSpec assists with isotope identification and determines the source strength and shielding characteristics of the measured item. Sandia National Laboratories is a multimission laboratory managed and operated by National Technology & Engineering Solutions of Sandia, LLC, a wholly owned subsidiary of Honeywell International Inc., for the U.S. Department of Energy’s National Nuclear Security Administration under contract DE-NA0003525.

Johnson, William↗

DOE OSTI2021

InterSpec v. 1.0.9

Johnson, William↗

DOE OSTI2020

Austin Sustainable and Holistic Integration of Energy Storage and Solar PV [Austin SHINES]. Final Report, Version 2

The Austin SHINES project and solution is a software management platform, for an electric grid with a high penetration of dispersed photovoltaic (PV) solar generation sites, which maintains the traditional power quality and reliability associated with grid service. This project developed and deployed the platform as a Distributed Energy Resource Management System (DERMS), engaging multiple advanced controls, to evaluate operation and optimization of a fleet of diverse DER assets, installed at several locations among Austin Energy’s customers and distribution system. The project also produced a methodology to create a replicable DERMS template, adaptable to other regions and market structures. Last, Austin SHINES aimed to demonstrate the solution’s methodology would enable the DER grid ecosystem to serve load at a technical cost (System Levelized Cost of Electricity, or System LCOE) of less than the U.S. Department of Energy SHINES program metric of $0.14/kWh, in a defined boundary, while enabling a high penetration of distributed PV. Research was categorized in 6 reports (Final Deliverables = FD) listed below, with titles and descriptions indicating which area of understanding was investigated: FD-1: System Levelized Cost of Electricity (System LCOE) Methodology The creation and use of the System LCOE to Serve Load metric that encompasses the holistic, system-level costs and benefits of all resources, and enables them to be evaluated based on their ability to support an efficient and low-cost integrated grid ecosystem. FD-2: Software Platform Product Description The creation of new DER control methodologies deployable within a utility-grade software platform that enable DER's to maximize their benefit within a grid, that is capable of serving load enabling a high penetration of distributed PV generation. FD-3: Optimal Design Methodology Optimal design methodologies for individual DER installations that enable utilities to determine the optimal combinations and sizing for individual DER sites. FD-4: Austin SHINES Ownership and Operation Models for DER System Performance A comparison of multiple DER aggregation and ownership methodologies including direct utility control, third-party aggregator, and autonomous. FD-5: Economic Modeling & Optimization A comparison of multiple DER technology mixes and configurations within the distribution system, providing insight into an optimal blend of technologies that best enable the distribution system to serve load at the lowest cost at high penetrations of solar. FD-6: Fielded Assets Deployed DER assets within the Austin Energy SHINES circuits. Austin SHINES provided an opening for state-of-the-art technology products to be deployed, providing a rich opportunity for improving how each of the products perform as stand-alone products, and in concert with other complementary products. The Austin SHINES project comprised of two key metrics for System LCOE: SystemLCOE_SHINES<$0.14/kWh Modeled ΔSystemLCOE_SHINES/ΔSystemLCOE_Base≥20% at same solar penetration The System LCOE calculation uses the costs of the utility-owned infrastructure as it exists today, the cost of the DERs that exist in the system today, and the cost of the purchase of energy from ERCOT wholesale markets over the course of the calendar year. All costs are on an annualized basis. The capital and operating costs are derived from the rate case, which produces a yearly cost. The net cost of energy and services imported to the system is integrated over the test year, as is the load served and solar penetration. The first metric was easily achieved by every scenario considered. The goal was set when the Department of Energy’s SHINES Funding Opportunity Announcement was written in 2015 and was a more difficult target at the time. Due mostly to rapidly declining costs for DERs and the significant decrease in the Electric Reliability Council of Texas (ERCOT) energy market prices, which results in lower net cost of energy purchases, the System LCOE is well below this target for all scenarios considered. A fleet of DERs can assume different mixtures, each of which serves the load at a different LCOE. The optimal mixture of DERs serves load at the smallest System LCOE. The second metric (hereinafter %delta metric) asks that the holistic DERMS controls reduce the incremental cost above the baseline of going to a high solar penetration future by at least 20% as compared to the case of a DER deployment with no sophisticated controls (autonomous). Many comparison sets were created throughout this project. Physical technology was installed for informing utility engineering and testing several types of operational control schemes, through the DERMS. The types of operational control which were compared for valuation of the System LCOE Metric were: Holistic control = using the full suite of the DERMS platform to decide and optimize how/why the systems operate depending on weather, market, and reliability signal input. Autonomous control = a local mode at the asset site, wherein a schedule operates the asset, with visibility into performance only No control = the baseline for comparing value against the other two types of control The types of ownership control included: Direct Utility control = the utility dispatches a signal to each asset Third-Party Aggregator = a third party aggregates a fleet of assets and the utility dispatches one signal for all Autonomous = a local mode is set for operation at the asset site, wherein a schedule operates the asset, with visibility into performance only The types of control methodologies deployable within a utility-grade software platform included: Utility Peak Load Reduction = Lower transmission cost obligation Day-Ahead Energy Arbitrage = Realize economic value through price differential Real-Time Price Dispatch = Realize economic value from real-time price spikes Voltage support = Reduce losses and increase solar generation Distribution Congestion Management = Increase local grid reliability Demand Charge Reduction = Lower customer bills and realize system benefit The fielded assets deployed for the project were: Utility Scale Kingsbery Energy Storage System: 1.5 MW / 3 MWh Li-Ion battery storage Mueller Energy Storage System: 1.75 MW / 3.2 MWh Li-Ion battery storage, 7 Energy Storage Units (250 kW each) La Loma Community Solar: 2.6 MW Commercial Scale Aggregated storage installations at 3 sites, with existing solar (300+ kW): One 18 kW / 36 kWh Li-Ion battery storage Two 72 kW / 144 kWh Li-Ion battery storage Residential Scale Aggregated storage installations: -Six stationary battery storage systems (10 kWh each) at homes with existing solar -One Electric Vehicle installed as Vehicle-to-Grid (V2G) Utility-Controlled Solar via Smart Inverters at 12 homes Autonomously-Controlled Smart Inverters at 6 homes Over the course of the project, Austin SHINES undertook installing more than 3 MW of distributed battery energy storage, smart PV inverters, a DER control platform, and other enabling technologies utilizing customer and utility locations and aggregation models. All of these resources were to be integrated and optimized at the utility level. DER assets and control methodologies were designed to achieve a credible pathway to a System LCOE for energy delivered to load of $0.14//kWh or less by 2020, while maximizing distributed solar generation and maintaining acceptable standards of power quality. The project also established a template for other regions to follow, to maximize the adoption of distributed solar PV in support of an economic and efficient grid. In total, the Austin SHINES project added value to the DER subject area in each layer of integration. From utility, to commercial to residential scales, the sheer hierarchy of communication and coordination was a significant accomplishment in addition to learnings from what these communications revealed was unique to each. Economically, the most effective method demonstrated was the criticality of planning phases. Contingencies and multiple projection scenarios helped guide the project to deploy optimal design as close as feasible, in real world conditions. The project and reports will serve public benefit by outlining specific areas of DER strategy and installation where many stakeholders and needs can be addressed with improved efficiency. Overall, communities and utilities should use the results to guide the increasing options available for powering the grid with DER, renewables, and carbon considerate energy.

14 SOLAR ENERGY↗