Antonio Moreno-Munoz, Neomar Giacomini - Energy Smart Appliances - Applications, Methodologies, and Challenges-Wiley-IEEE Press (2023)

Energy Smart Appliances
IEEE Press
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IEEE Press Editorial Board

Sarah Spurgeon, Editor in Chief
Jón Atli Benediktsson Behzad Razavi Jeffrey Reed

Anjan Bose Jim Lyke Diomidis Spinellis
James Duncan Hai Li Adam Drobot
Amin Moeness Brian Johnson Tom Robertazzi
Desineni Subbaram Naidu Ahmet Murat Tekalp
Applications, Methodologies, and Challenges
Edited by
Antonio Moreno-Munoz
Universidad de Cordoba
Córdoba, Spain
Neomar Giacomini
Whirlpool Corporation
Benton Harbor, USA
Copyright © 2023 by The Institute of Electrical and Electronics Engineers, Inc.
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Dedicated to our ever patient, supportive, and loving families.
vii
Contents
About the Editors xv

List of Contributors xvii
Acknowledgments xxi
Introduction xxiii
Antonio Moreno-Munoz and Neomar Giacomini
1 Demand-Side Flexibility in Smart Grids 1

Antonio Moreno-Munoz and Joaquin Garrido-Zafra
1.1 The Energy Sector 1
1.2 The Power Grid 2
1.3 The Smart Grid 5
1.4 Power Grid Flexibility 6
1.4.1 The Need for Flexibility 7
1.4.2 Sources of Flexibility 8
1.4.2.1 Flexible Generation 8
1.4.2.2 Flexible Transmission and Grid Interconnection 8
1.4.2.3 Control Over VRES 9
1.4.2.4 Energy Storage Facilities 9
1.4.2.5 Demand-Side Management 9
1.4.2.6 Other Sources of Flexibility 11
1.5 Power Quality, Reliability, and Resilience 12
1.5.1 Power Quality Disturbances 13
1.5.1.1 Transients 14
1.5.1.2 Short-Duration RMS Variation 16
1.5.1.3 Long-Duration RMS Variation 17
1.5.1.4 Imbalance 17
1.5.1.5 Waveform Distortion 18
1.5.1.6 Voltage Fluctuation 19
1.5.1.7 Power Frequency Variations 19
viii Contents
1.6 Economic Implications and Issues of Poor Power Quality 20

1.7 Internet of Things 24
1.8 The Relevance of Submetering 25
1.9 Energy Smart Appliances 26
Symbols and Abbreviations 28
References 29
2 A Deep Dive into the Smart Energy Home 35

Neomar Giacomini
2.1 Smart Home Ecosystem 35
2.2 Enabling Technologies 44
2.3 Limitations 46
2.4 A Look into a Future Anchored in the Past 51
2.5 Conclusion 59
Glossary 60
References 61
3 Household Energy Demand Management 65

Esther Palomar, Ignacio Bravo, and Carlos Cruz
3.1 Introduction 65
3.2 Technical Opportunities and Challenges for DSM 67
3.2.1 Software Solutions 67
3.2.2 Hardware Platforms 69
3.2.3 Communication Infrastructures 70
3.2.4 Communication Protocols 74
3.2.5 Security Concerns 79
3.3 Pilots and Experimental Settings 82
3.4 Conclusions 82
Glossary 84
References 86
4 Demand-Side Management and Demand Response 93

Neyre Tekb𝚤y𝚤k-Ersoy
4.1 Introduction 93
4.2 Demand Response vs. Demand-Side Management 94
4.3 The Need for Demand Response/Demand-Side Management 94
4.4 DSM Strategies 95
4.4.1 Energy Efficiency/Energy Conservation 95
4.4.2 Peak Demand Clipping 96
Contents ix
4.4.3 Demand Valley Filling 96

4.4.4 Load Shifting 97
4.4.5 Flexible Load Shaping 97
4.4.6 Strategic Load Growth 97
4.5 Demand Response Programs 98
4.5.1 Types of Loads: Elastic vs. Non-elastic 98
4.5.2 General Approaches to Demand Response 98
4.5.3 Smart Pricing Models for DR 99
4.6 Smallest Communication Subsystem Enabling DSM: HAN 100
4.6.1 General Structure 100
4.6.2 Enabling Communication Technologies 101
4.7 Smart Metering 102
4.7.1 Smart Meters vs. Conventional Meters 102
4.7.2 What Should Consumers Know About the Advanced Metering
Infrastructure 104
4.8 Energy Usage Patterns of Households 104
4.9 Energy Consumption Scheduling 106
4.10 Demand Response Options for Appliances 107
4.11 Bidirectional Effects of Demand Response 108
4.11.1 Value of Demand Response for Balancing Renewable Energy
Generation 108
4.11.2 Value of Demand Response for Reducing Household Energy
Expenses 109
4.12 Consumer Objections and Wishes Related to Smart Appliances and
Demand Response 110
4.13 Costs and Benefits of Demand-Side Management 111
Glossary 114
References 114
5 Standardizing Demand-Side Management: The OpenADR

Standard and Complementary Protocols 117
Rolf Bienert
5.1 History and Creation of OpenADR 117
5.2 Re-development of OpenADR 2.0 120
5.3 How OpenADR Works 122
5.3.1 Event Service (EiEvent) 125
5.3.2 Opt Service (EiOpt) 127
5.3.3 Report Service (EiReport) 128
5.3.4 Registration Service (EiRegister) 128
5.4 Cybersecurity 130
x Contents
5.5 Other Standards and Their Interaction with OpenADR and Energy
Smart Appliances 131
5.6 Energy Market Aspects for Appliances 139
5.7 Typical DR and DSM Use Cases 140
Glossary 144
References 144
6 Energy Smart Appliances 147

Neomar Giacomini
6.2 Which Appliances? 148
6.3 Smart Energy Controller 150
6.4 Large Home Appliances 151
6.4.1 Dishwashers 151
6.4.2 Dryers 153
6.4.3 Grills and Smokers 155
6.4.4 HVAC 156
6.4.5 Microwaves 158
6.4.6 Refrigerators and Freezers 160
6.4.7 Stoves, Ovens, and Cooktops 162
6.4.8 Washing Machines 163
6.4.9 Water Heaters 165
6.5 Small Appliances 166
6.5.1 Coffee Machines, Blenders, Faucets, Food Processors, Mixers, and
Toasters 166
6.5.2 Robotic Lawn Mowers and Electric Tools 167
6.6 Monitoring 167
6.6.1 Energy Monitors, Haptics Sensors, Weather Sensors, and Others 167
6.7 Health, Comfort, and Care 168
6.7.1 Air Purifiers, Humidifiers, Health Monitors, Sleep Sensors, and
Tracking Devices 168
6.7.2 Cat Litter Robots, Pet Feeders, and Other Pet-Related Connected
Devices 169
6.7.3 Hair Dryers, Brushes, and Straighteners 169
6.7.4 Treadmills, Indoor Exercise Bike, and Other Fitness Equipment 170
6.7.5 Water Filtration Systems 170
6.8 House Automation 171
6.8.1 Blinds & Shades and Light Bulbs 171
6.8.2 Garage Door Opener 172
6.8.3 Sprinklers, Gardening Sensors, and Accent Lighting 172
Contents xi
6.8.4 Smart Power Strips and Smart Power Switches 173

6.8.5 Presence, Proximity, and Movement Sensors 173
6.8.6 Thermostats and Temperature Sensors 174
6.8.7 Vacuum Cleaners, Vacuum Robots, Mop Robots, and Power
Tools 174
6.9 Non-appliances 174
6.9.1 Electric Cars and Motorcycles 174
6.9.2 Desktop Computers 175
6.9.3 Modems and Routers 175
6.9.4 Power Banks, Uninterrupted Power Supplies 176
6.9.5 Smartphones, Tablet Computers, Smartwatches, and Video
Games 176
6.10 Entertainment 177
6.10.1 Aquariums 177
6.10.2 Audio Systems 177
6.10.3 Televisions and Streaming Receivers (Cast Feature) 178
6.10.4 Virtual Assistants (Multiple Forms) 178
6.10.5 Virtual Reality Goggles and Other Gadgets 178
6.11 Security 179
6.11.1 Alarms, Cameras, Door Locks, and Doorbell Cameras 179
6.12 Conclusion 180
Glossary 181
References 181
7 The ETSI SAREF Ontology for Smart Applications: A Long

Path of Development and Evolution 183
Raúl García-Castro, Maxime Lefrançois, María Poveda-Villalón,
and Laura Daniele
7.1 Introduction 183
7.2 IoT Ontologies for Semantic Interoperability 184
7.3 The SAREF Initiative 186
7.4 Specification and Design of the SAREF Ontology 187
7.4.1 A Modular and Versioned Suite of Ontologies 187
7.4.2 Methodology 188
7.4.3 Version Control and Editing Workflow 190
7.4.4 Automatization of Requirements and Quality Checks 190
7.4.5 Continuous Integration and Deployment 191
7.5 Overview of the SAREF Ontology 191
7.5.1 Device 193
7.5.2 Feature of Interest and Property 194
xii Contents
7.5.3 Measurement 194

7.5.4 Service, Function, Command, and State 195
7.6 The SAREF Ontology in the Smart Home Environment 196
7.6.1 Energy 198
7.6.2 Water 200
7.6.3 Building 202
7.6.4 City 204
7.6.5 Systems 206
7.7 The SAREF Ontology in Use 207
7.8 Lessons Learnt 209
7.8.1 Specification of Ontology Requirements 209
7.8.2 Stakeholder’s Workshops 210
7.8.3 Tool Support 210
7.8.4 Ontology Modularization 211
7.8.5 Ontology Patterns 212
7.9 Conclusions and Future Work 212
Acknowledgments 213
References 213
8 Scheduling of Residential Shiftable Smart Appliances by

Metaheuristic Approaches 217
Recep Çakmak
8.2 Demand Response Programs in Demand-Side Management 222
8.3 Time-Shiftable and Smart Appliances in Residences 224
8.4 Smart Metaheuristic Algorithms 226
8.4.1 BAT Algorithm 226
8.4.2 Firefly Algorithm (FFA) 228
8.4.3 Cuckoo Search Algorithm 229
8.4.4 SOS Algorithm 231
8.5 Scheduling of Time-Shiftable Appliances by Smart Metaheuristic
Algorithms 232
Glossary 238
References 238
9 Distributed Operation of an Electric Vehicle Fleet in a

Residential Area 243
Alicia Triviño, Inmaculada Casaucao, and José A. Aguado
9.2 EV Charging Stations 246
Contents xiii
9.3 EV Services 248

9.3.1 Ancillary Services 248
9.3.2 Domestic Services 248
9.4 Dispatching Strategies for EVs 249
9.4.1 Classification of EV Dispatching Strategies 251
9.5 Proposed Distributed EV Dispatching Strategy 252
9.6 Conclusions 259
Acknowledgments 260
References 260
10 Electric Vehicles as Smart Appliances for Residential Energy

Management 263
Indradip Mitra, Zakir Rather, Angshu Nath, and Sahana Lokesh
10.2 EV Charging Standards and Charging Protocols 265
10.2.1 EV Charging Standards 265
10.2.1.1 IEC 61851 265
10.2.1.2 SAE J1772 266
10.2.1.3 GB/T 20234 267
10.2.2 Charging Protocols for EV Charging 267
10.2.2.1 Type 1 AC Charger 267
10.2.2.2 Type 2 AC Charger 268
10.2.2.3 CHArge de MOve (CHAdeMO) Protocol 268
10.2.2.4 Combined Charging System (CCS) 268
10.2.2.5 Tesla Charging Protocol 268
10.3 Communication Protocols Used in EV Ecosystem 268
10.3.1 Open Charge Point Protocol 268
10.3.2 Open Automated Demand Response (OpenADR) 269
10.3.3 Open Smart Charging Protocol (OSCP) 269
10.3.4 IEEE 2030.5 269
10.3.5 ISO/IEC 15118 269
10.4 Residential EV Charging Infrastructure 270
10.4.1 Prerequisites to Installation of EV Charge Point 271
10.4.2 EV Charger Connection Requirements and Recommendations 271
10.4.2.1 United Kingdom 271
10.4.2.2 The Netherlands 272
10.4.2.3 Germany 275
10.5 Impacts of EV Charging 275
10.5.1 Impact on Electricity Distribution Network 275
10.5.1.1 Voltage Issues 276
10.5.1.2 Increase in Peak Load 278
xiv Contents
10.5.1.3 Congestion 278

10.5.1.4 Losses 278
10.6 Smart Charging for Home Charging 282
10.6.1 Type of Smart Charging 283
10.6.2 Requirements for Smart Charging 286
10.6.3 Additional Smart Charging Enablers 287
10.7 Residential Smart Energy Management 289
10.7.1 Unidirectional Smart Charging 289
10.7.2 Vehicle-to-Home/Building 292
10.7.3 Vehicle-to-Grid (V2G) 296
10.8 Conclusion 297
List of Abbreviations 297
Glossary 298
References 299
11 Induction Heating Appliances: Toward More Sustainable and

Smart Home Appliances 301
Óscar Lucía, Héctor Sarnago, Jesús Acero, and José M. Burdío
11.1 Introduction to Induction Heating 301
11.1.1 Induction Heating Fundamentals 301
11.1.2 Induction Heating History 304
11.2 Domestic Induction Heating Technology 306
11.2.1 Power Electronics 309
11.2.2 Electromagnetic Design 314
11.2.3 Digital Control 315
11.2.4 Efficiency 318
11.3 Advanced Features and Connectivity 319
11.3.1 High-Performance Power Electronics 319
11.3.2 Advanced Control 321
11.3.3 Flexible Cooking Surfaces 322
11.3.4 Connectivity 322
11.4 Conclusion and Future Challenges 325
References 326
Index 333
xv
About the Editors
Antonio Moreno-Munoz is a professor at the Department of Electronics and

Computer Engineering, Universidad de Córdoba, Spain, where he is the chair of
the Industrial Electronics and Instrumentation R&D Group. He received his PhD
and MSc degrees from UNED, Spain, in 1998 and 1992, respectively. From 1981
to 1992, he was with RENFE maintenance service, the Spanish National Railways
Company, where he received a scholarship for his university studies. Since 1992,
he has been with the University of Cordoba, where he has been the director of
its department and academic director of the Master in Distributed Renewable
Energies. His research focuses on Smart Cities, Smart Grids, Power Quality, and
Internet of energy. He has participated in 22 R&D projects and/or contracts and
has more than 200 publications on these topics.
He is currently a member of European Technology & Innovation Platforms
(ETIP) Smart Networks for Energy Transition (SNET) WG-4; WG Member of
the Spanish Railways Technological Platform (PTFE); WG Member of the IEEE
P3001.9 Recommended Practice for the Lighting of Industrial and Commercial
Facilities; a member of the Technical Committee on Smart Grids of the IEEE
Industrial Electronics Society. He has been a member of the CIGRÉ/CIRED
JWG-C4.24 committee “Power Quality and EMC Issues associated with
future electricity networks.” He has been a member of the IEC/CENELEC
TC-77/SC-77A/WG-9 committee. He has been a member of the ISO International
Organization for Standardization AEN/CTN-208/SC-77-210.
He is an evaluator of R&D&I projects for the Estonian Research Council;
the Fund for Scientific and Technological Research (FONCYT) of the National
Agency for the Promotion of Science and Technology in Argentina; the Direc-
torate General of Research, Development, and Innovation of the Ministry of
Science, Innovation, and Universities of Spain; and academic promotion at Qatar
University. He is also an evaluator for European Quality Assurance (EQA) and
DNV-GL. He is the Section Board Member of the journal Electronics published by
MDPI, an associate editor of Elsevier’s e-Prime journal, the Section Editor in Chief
xvi About the Editors
of MDPI’s Smart Cities journal, an associate editor of Electronics journal published

by MDPI, an editor of Intelligent Industrial Systems journal published by Springer
Nature Science, and an editor of Frontiers in Energy Research, Sustainable Energy
Systems, and Policies. Also, he is a guest editor of and reviewer for numerous
journals of IEEE, IET, MDPI, and Elsevier.
Neomar Giacomini is a Senior Manager for Electronics Hardware Develop-
ment at Whirlpool Corporation, USA. He is an accomplished inventor, developer,
and technology aficionado who has been in electronics for more than 20 years,
developing hardware, firmware, sensors, and user interfaces. Neomar has filed
more than 50 patents, with over 20 already granted. In his current position, he is
leading a team focused on electronics hardware development for refrigeration and
cooking home appliances. His work at Whirlpool Corporation has actualized into
component and module deployment on a global scale and across multiple home
appliance platforms. In the technology space, Neomar has faced numerous chal-
lenges while working to apply and debug electromechanical and electronic-based
systems. Through this work, he has gained an understanding of the complexity
and key points associated with the technologies involved on a very elevated scale.
In the Internet of Things space, Neomar has experience both delivering con-
nected products and also as a user with nearly 120 connected devices to experience
what a heavily connected home brings to the consumer. This experience enabled
him to speak at events such as Sensors & IoT Virtual World Week 2020, Sensors
Converge 2021, Sensors Converge 2022, and Digital Manufacturing Summit North
America 2022.
From an educational perspective, Neomar holds an Executive MBA from
Fundação Getúlio Vargas, Brazil, a Master’s of Science in Electronics, and a
Bachelor of Science in Electrical Engineering, both from the Santa Catarina State
University, Brazil.
He is also an Advisory Board Member for Sensors Converge 2022/2023,
holds a Certified Professional in Management® certification from the American
Management Association®, and is a certified Six Sigma Black Belt by Whirlpool
Corporation.
xvii
List of Contributors
Jesús Acero José M. Burdío

Department of Electronic Engineering Department of Electronic Engineering
and Communications and Communications
Instituto de Investigación en Instituto de Investigación en
Ingeniería de Aragón Ingeniería de Aragón
University of Zaragoza University of Zaragoza
Zaragoza Zaragoza
Spain Spain
José A. Aguado Recep Çakmak

Escuela de Ingenierías Industriales Samsun University
University of Málaga Department of Electrical-Electronics
Málaga Engineering
Spain Faculty of Engineering
Samsun
Rolf Bienert Turkey
OpenADR Alliance
San Ramon, CA Inmaculada Casaucao
USA Escuela de Ingenierías Industriales
University of Málaga
Ignacio Bravo Málaga
Department of Electronics Spain
University of Alcalá
Madrid
Spain
xviii List of Contributors
Carlos Cruz Sahana Lokesh

Department of Electronics Deutsche Gesellschaft für
University of Alcalá Internationale Zusammenarbeit (GIZ)
Madrid New Delhi
Spain India
Laura Daniele Óscar Lucía

TNO (Netherlands Organization for Department of Electronic Engineering
Applied Scientific Research) and Communications
The Hague Instituto de Investigación en
The Netherlands Ingeniería de Aragón
University of Zaragoza
Raúl García-Castro Zaragoza
Ontology Engineering Group Spain
Universidad Politécnica de Madrid
Madrid Indradip Mitra
Spain Deutsche Gesellschaft für
Internationale Zusammenarbeit (GIZ)
Joaquin Garrido-Zafra New Delhi
Department of Electronics and India
Computer Engineering
Universidad de Córdoba Antonio Moreno-Munoz
Córdoba Department of Electronics and
Spain Computer Engineering
Universidad de Córdoba
Neomar Giacomini Córdoba
Senior Engineering Manager for Spain
Electronics Hardware Development at
and
Whirlpool Corporation
Benton Harbor Industrial Electronics and
Michigan Instrumentation R&D Group
USA Córdoba
Spain
Maxime Lefrançois
Mines Saint-Étienne Angshu Nath
Univ. Clermont Auvergne Indian Institute of Technology Bombay
INP Clermont Auvergne Mumbai
CNRS Maharashtra
Saint-Étienne India
France
List of Contributors xix
Esther Palomar Neyre Tekb𝒊y𝒊k-Ersoy

Department of Electronics Energy Systems Engineering
University of Alcalá Faculty of Engineering
Madrid Cyprus International University
Spain Nicosia
Turkey
María Poveda-Villalón
Ontology Engineering Group Alicia Triviño
Universidad Politécnica de Madrid Escuela de Ingenierías Industriales
Madrid University of Málaga
Spain Málaga
Spain
Zakir Rather
Indian Institute of Technology Bombay
Mumbai
Maharashtra
India
Héctor Sarnago
Department of Electronic Engineering
and Communications
Instituto de Investigación en
Ingeniería de Aragón
University of Zaragoza
Zaragoza
Spain
xxi
Acknowledgments
Many people have contributed to making this book a reality. We have received
advice and support from our professional colleagues, our students, friends, and
family, and we thank them all.
We are very grateful to Elke Morice-Atkinson, the editorial manager of this book,
and Becky Cowan, our editorial assistant, as well as all the editorial staff at Wiley,
for their trust, help, and kindness.
Our great gratitude goes to the authors who have accompanied us on this
journey, without whom it would not have been possible.
xxiii
Introduction
Antonio Moreno-Munoz 1 and Neomar Giacomini 2
1
Department of Electronics and Computer Engineering, Universidad de Córdoba, Spain
2 Senior Engineering Manager for Electronics Hardware Development at Whirlpool Corporation, USA
Overview
Currently, household appliances are responsible for about two-thirds of the energy
consumed by buildings. Energy labeling of household appliances helps improve
their energy efficiency. These energy labels provide a clear and simple indication
of the energy efficiency category, making it easier for consumers to save money on
their household energy bills. A smart appliance is popularly recognized as having
some degree of electronic processing and wireless connectivity. Sometimes called
network appliances or Internet appliances, more and more appliances are incor-
porating smart features that make household tasks easier. It can be as simple as
receiving an alert if your refrigerator door is open or remotely turning off your
room’s air conditioner from your smartphone if you forget before leaving home. Or
as complex as having your dryer adjust the cycle time automatically with built-in
sensors to help you reduce your dryer’s energy use, or remotely controlling your
oven from your smartphone or through a voice assistant. With the Internet of
things sub-metering devices embedded in home appliances, it is even now pos-
sible to measure and record the overall energy consumption of the household and
then, with the result of a machine learning model, accurately predict the behavior
of individual appliances by employing this data.
Some of those appliances offer consumers novel “smart grid features” intended
to include complex demand response policies. These have been properly called
“Energy Smart Appliances” and can modulate or shift their electricity consump-
tion in response to external signals such as price information, local measurements,
or direct control commands. While we have seen the widespread success of smart
xxiv Introduction
thermostats in utility schemes, other smart energy options have seen limited
adoption. Overall, we expect smart home systems to become increasingly impor-
tant components of utilities’ residential demand-side management, customer
engagement, and decarbonization initiatives. There is therefore a need to better
establish the energy and non-energy benefits of different devices and systems,
and to identify best practices in utility programs. This book aims to provide
utilities and appliance manufacturers with new approaches to better understand
real-world performance, assess actual energy benefits, and tailor each technology
to the needs of their customers.
Brief Description of the Book Chapters

The structure of this book provides a broad and comprehensive view of the
Smart Energy appliance space. Smart Energy use started getting more attention
nearly two decades ago with the Smart Grid initiative and evolved over the years
branching into multiple areas of development that support the ecosystems under
development and deployment these days.
Chapter 1 introduces Demand-side Flexibility in Smart Grids, its importance,
concepts, relevance, and economics that drive the need for its implementation.
Demand-side management is a key concept that forms the backbone of energy
management.
A deep dive into the Smart Home follows on Chapter 2 talking about the Smart
Home current and future complexity, discussing the trends, global penetration,
energy management opportunities to be explored, technologies, and overall
required elements to achieve the intent of Demand-Side energy management.
Chapter 3 on Household energy demand management discusses commu-
nication infrastructure, protocols, and security on Household energy demand
management.
Demand-Side Management and Demand Response which are of great impor-
tance both for the electrical grids and for the consumers willing to achieve savings
are discussed in Chapter 4.
Due to the need for standardization across the industry, the OpenADR Standard
and Complementary Protocols are presented in Chapter 5, this chapter describes
a communications data model designed to facilitate sending and receiving
Demand Response signals from a utility or independent system operator to
electric customers.
Chapter 6 provides a deep dive into the Smart Home and appliances with
potential impact on Smart Energy applications and debates on each appliance
that is capable of energy collaboration.
With the necessary background on standards, trends, and appliance oppor-
tunities already presented, Chapter 7 goes into The ETSI SAREF ontology for
Introduction xxv
smart applications, an ontology focused on the smart home and smart application
domains. SAREF discusses standardized interfaces and data models to ensure
interoperability across the currently fragmented landscape of IoT technologies.
Chapter 8 introduces Scheduling of residential shiftable smart appliances by
metaheuristic approaches, by showing how metaheuristic algorithms can be
utilized in the scheduling of smart appliances operation applied to demand side
management. Prominent and modern metaheuristic algorithms are simulated for
a case and a comparison of the algorithms is discussed in terms of convergence
performance.
Electric vehicles should not be left aside, their importance in Smart Energy
Management at home is evident and for that reason Chapters 9 and 10, Dis-
tributed Operation of an Electric Vehicle Fleet in a Residential Area, and Electric
Vehicle as Smart Appliance for Residential Energy Management, respectively,
discuss multiple aspects related to charging methods, charging allocation and
other elements related to providing energy back to the house, clearly showing
how EVs are a key element for the future of energy management at home.
To close this book, a special Chapter 11 on Induction heating Appliances is
presented. The main enabling technologies in the fields of power electronics,
digital control, and magnetic component design are reviewed.
What Does the 2022 Energy Crisis Entail?

One of the main objectives of any advanced society and, in general, the responsi-
bility of states is to ensure an affordable, reliable, and secure energy supply for all
citizens. The use of different renewable energy sources (RES) has been presented
as the most successful way to achieve this goal. They were also considered clean,
compared to petroleum derivatives, because when used, they do not pollute
the atmosphere, creating few or no greenhouse gases, such as:=Carbon dioxide
(CO2 ), Methane (CH4 ), Nitrous oxide (N2 O), and other industrial gases. But there
is no mention of other types of waste. RES are usually divided into dispatchable
ones, such as geotherm, hydro or biomass, and non-dispatchable ones, such as
solar or wind. Dispatchable generation refers to sources of electricity that can
be scheduled at the request of grid operators, according to market needs. Solar
or wind energies are called intermittent or variable renewable energies (VREs)
because they vary depending on weather conditions. This is the reason for their
non-dispatchability. The solution has been to facilitate the use of more flexible
power plants when needed to balance VRE and demand. In this sense, gas-fired
power plants have been supporting the massive integration of VRE into the grid
because, although they run on fossil fuels, their emissions are much lower than
those of existing coal and other fossil fuel plants. But this can pose a geopolitical
threat: see, e.g. how the war in Ukraine has revealed Europe’s deep dependence
xxvi Introduction
on Russian gas supplies. Therefore, the energy transition agenda must be carefully
reconsidered, as the Global impact of the enormous efforts being demanded of
citizens and companies in Western countries is minimal. It should not be forgotten
that fossil fuels remain the largest contributor to electricity generation worldwide.
Currently, coal – including peat and oil shale – accounted for approximately 37%
of the global energy mix, while natural gas followed with a 24% share. In this
scenario, China leads the world with more than 5300 TWh produced each year
in coal-fired power generation. This represents 54%, followed by India with 12%
and the United States with 9% of the world’s coal-fired electricity production. In
addition, construction of new coal plants is overwhelmingly taking place in Asia,
with China accounting for 52% of the 176 GW of coal capacity under construction
in 20 countries last year. The overall figure is little changed from the 181 GW
under construction in 2020, contrary to all climate agreements.
Flexibility services can be provided not only on the supply side but also by
improving power transmission and on the demand side. The current state of
technologies and advances that allow for more active and dynamic consumer
behavior can also provide flexibility to the power system through Demand-Side
Management (DSM). DSM comprises a portfolio of measures to improve the
energy system at the side of consumption. DSM ranges from improving Energy
Efficiency (EE) by using better materials or upgraded technologies, over energy
tariffs with incentives for certain consumption patterns, what has been termed
Demand Response (DR). DR can be defined as changes in electricity use by end
customers from their normal consumption patterns in response to changes in the
price of electricity over time, or to incentive payments designed to induce lower
electricity use at times of high wholesale market prices or when system reliability
is at risk. Although the consumer DR it is less well known than the EE, it has
already proven to be a resource that the grid operator can use to provide system
reliability, stability, and ancillary services. EE includes both the investment in
high-efficiency equipment and energy conservation (EC). EC is the decision and
practice of using less energy. Both are often complementary or overlapping ways
of avoiding or reducing energy consumption. Convergence between DR and EC
can also be observed because the latter is also a behavioral issue. Also, there is
a strong link between EC and high-efficiency equipment through information
and communication technologies (ICTs), as the use of ICT to curb energy use
is relevant in terms of behavioral change interventions. But unlike EE, the
regulatory framework for harnessing the potential of DR is less developed in
most countries. In the case of DR, more disclosure and consumer education are
needed, as DR is not as well established as EE and the gains are often still rated
lower than the gains from EE. It is also true that as consumer awareness of EE
increases, EE can open the door to DR. In this sense, EE training tools could be
Introduction xxvii
redesigned to cover DR aspects as well. Synergies can be achieved by including

DR aspects in energy audits.
However, the smart home appliance sector is currently at a crossroads. While it
is expected to see impressive growth in these products, several challenges threaten
to slow down their progression. On the one hand, consumers are reluctant to
pay higher prices for first-generation smart appliances, probably because it is
unclear whether these costs justify the value, perhaps because they do not yet
understand the advantages of energy smart appliances. Although hardware prices
have reduced, especially those related to connectivity, appliance manufacturers
have encountered new technical hurdles. The most notable of these challenges
is improving interoperability across different vendors due to overall standard-
ization. Another implicit challenge is related to what value consumers receive
in exchange for joining the Demand Response initiative. Consumers will invest
time and money, share data and open their devices to be managed by a Home
Energy management System (HEMS), but in exchange of course they want cost
and process efficiency, an overall challenging equation to solve pleasing all the
consumer base. This book will also address these challenges and present the
different solutions adopted by the main players in this market.
What the Future may Bring for the Energy Smart Appliances
For the past decades, we have seen great improvements on home appliances in
terms of efficiency and feature availability. However, although connectivity seems
a common topic across many industries, the deployment of such technology on
large appliances such as water heaters, heating, ventilation, and air conditioning
(HVAC), and kitchen and laundry appliances is still in the initial stages of market
penetration and is usually available in specialty units. Statistics on that are
presented later on.
Shopping for the products listed above on any large retail store makes that evi-
dent when the consumer has few options that offer connectivity. The limitations
go even further when the consumer looks for those products in terms of energy
collaboration, compatibility with Smart Grid integration and such.
The fragmentation of IoT technologies which was, and still is, a limiting factor
when the consumer tries to integrate multiple appliances to collaborate for energy
is also an aspect discussed further on, but the future is promising! This book shows
that the standards, ontologies and technologies to enable collaboration across the
multiple domains of home appliances in terms of Smart Energy use are already
available, so it’s no longer a matter of knowledge gaps, but only time for the market
to catch up to the current state of technologies.
One important factor that is helping drive attention from a consumer perspec-
tive in regards to Smart Energy is the growth of the Electric Vehicles market, and
xxviii Introduction
also the availability and application of RESs that are becoming more affordable.
These two elements are driving consumers to question why other devices and
appliances are not yet part of this energy collaboration and therefore driving
companies and regulatory bodies to put more attention on that.
As aforementioned, the Smart Grid initiative started nearly two decades ago and
is still not at full speed, so forecasting whether Smart Energy Homes will be at a
high deployment rate anytime soon is quite elusive, but for those consumers that
want to be early adopters some options are already available.
The overall global push for clean and efficient energy use will continue to drive
this space and consumers’ buy-in will be key to push for more product availability
offering the features described in the book.
1
Demand-Side Flexibility in Smart Grids

Antonio Moreno-Munoz 1,2 and Joaquin Garrido-Zafra 1,2
1
Department of Electronics and Computer Engineering, Universidad de Córdoba, Córdoba, Spain
2
Industrial Electronics and Instrumentation R&D Group, Córdoba, Spain
1.1 The Energy Sector

In the last decades, western economies have been making decisive efforts to
promote and encourage the use of renewable energies to decarbonize the energy
system. In this sense, the commitments resulting from the last 26th Conference
Of the Parties (COP26) based on the Paris Agreement (UNFCCC 2015) are a clear
driver of this policy. In the case of the European Union (EU), for example, the
countries involved agreed upon several objectives such as increasing the ability to
adapt to the adverse impacts of extreme climate events, curbing greenhouse gas
emissions, and providing the necessary funding to support these measures. These
actions reinforce the ambition for Europe to remain a world leader also in terms
of the so-called energy transition.
This evolution is also reflected in the historical primary energy production data
collected by the statistical office of the EU, Eurostat (Energy, transport and envi-
ronment statistics – Publications Office of the EU 2020). Figure 1.1 depicts the
relative evolution (to levels of 2010) of the primary energy production by fuel
within the EU-27 during the period of 2010–2020 and a detailed distribution of
primary energy sources in 2020 as a donut chart, and trends are quite evident.
Production of primary energy within the EU was 573.8 million tons of oil equiva-
lent (TOE) in 2020, 17.5% and 7.1% lower than in 2010 and 2019, respectively (see
dashed line in Figure 1.1). The distribution in 2020 was as follows: Renewable
energies and biofuels (40.9%), nuclear (30.6%), solid fossil fuels (14.6%), natural
gas (7.2%), oil and petroleum products (3.8%), non-renewable wastes (2.4%), as
well as oil shale, oil sands, and peat products (0.5%).
In general terms, the trend in primary energy production has been downward in
recent years due to the descending trends of solid fossil fuels, natural gas, and oil
Energy Smart Appliances: Applications, Methodologies, and Challenges,
First Edition. Edited by Antonio Moreno-Munoz and Neomar Giacomini.
© 2023 The Institute of Electrical and Electronics Engineers, Inc. Published 2023 by John Wiley & Sons, Inc.
2 1 Demand-Side Flexibility in Smart Grids
Oil and petroleum

250 Total
(excluding biofuel)
Solid fossil fuels
Renewables
Peat and peat and biofuels 2020
200 products Non-renewable Oil and petroleum
Oil shale and oil sands waste (excluding biofuel) Natural gas
100% = 2010 TOE
Natural gas Nuclear heat 3.8% 7.2% Oil shale and oil sands
150 Renewables 0.4%
and biofuels Peat and peat
40.9% products
0.1%
100 Solid fossil fuels
14.6%
Non-renewable
Nuclear heat
waste
50 2.4% 30.6%
2010 2012 2014 2016 2018 2020

Year
Figure 1.1 Evolution of the primary energy production by fuel in EU-27 from 2010 to
2020, and primary energy production in 2020. Source: Adapted from Energy, transport
and environment statistics – Publications Office of the EU (2020).
petroleum products, with 16.5%, 21.1%, and 5.2% of reductions, respectively, in the
period 2019–2020. However, this decline did not exclusively take place in the last
year, the trend of these energy sources is predominantly negative since 1990 but
with minor increases. The primary energy produced by solid fossil fuels, natural
gas, and oil petroleum products was 43.0%, 62.4%, and 35.1% lower than in 2010.
By contrast, the highest growth was reported by renewable energies and
biofuels, as well as non-renewable wastes, with 3.0% and 1.6% of variation,
respectively, in 2020 (2019 as baseline). The energy production from renewable
sources has increased significantly in recent decades (IEA 2021) and accounted
for the highest share in primary energy production since 2015. Nuclear energy
also shows a downward trend over the studied decade with a decrease of 10.7%
and 20.2% in 2020 (2019 and 2010, respectively, as baseline).
Oil shale, oil sand, and peat products have had a more unstable trend over this
decade. Oil shale and oil sand with maximum of 108.0% in 2017 and minimum
of 63.1% in 2020 compared to 2010 levels. Concerning peat products, these peaks
took place in 2012 (104.7%) and 2020 (24.8%). Although both energy sources have
experienced a decrease compared to 2010 (37.0% and 75.2% of decrease, respec-
tively), the reduction during the period 2019–2020 has been quite considerable:
18.0% and 50.2%, respectively.
1.2 The Power Grid
Power systems around the world are undergoing significant changes in response
to several key drivers: The increasing availability of low-cost variable renewable
energy sources (VRES), the deployment of distributed energy resources (DER),
1.2 The Power Grid 3
175
Total Hydro and Solar and Wind
Combustible fuels Geothermal 2020
Nuclear Other
150 Combustible fuels
41.3%
100% = 2010 Twh
Other
125 0.2%
Geothermal
Hydro and Solar 0.2%
Nuclear and Wind Solar
100 24.3% 33.9% 5.3%
Wind
14.7%
75 Hydro
13.8%
2010 2012 2014 2016 2018 2020
Year
Figure 1.2 Evolution of the net electricity generation in EU-27 from 2010 to 2020, and
net electricity generation in 2020. Source: Adapted from Energy, transport and
environment statistics – Publications Office of the EU (2020).
advances in digitalization, and growing opportunities for electrification (Interna-

tional Energy Agency 2019), since electricity is playing an ever-more central role
in the lives of citizens and expected to be the energy source on which people rely
for almost all their everyday needs such as mobility, cooking, lighting, heating, or
cooling.
In terms of electricity generation, Figure 1.2 illustrates the evolution of the net
production in the decade of 2010–2020 relative to 2010 levels within the EU-27,
as well as the breakdown of the different energy sources at the end of this period
using a donut chart. Net electricity generation has remained about the same over
the studied decade, as shown by the dashed line, but there have been two notable
declines in 2014 and 2020 accounting for 95.9 and 94.1 of the 2010 levels. The
EU-27 reached 2664 TWh in 2020, 4.03% lower than in 2019 and 5.91% lower
than in 2010. Nearly a half of the generation (41.3%) was covered by combustible
fuels such as natural gas, coal, and oil, and almost a quarter (24.3%) came from
nuclear power plants. Concerning renewable energy sources, the highest share of
net electricity generation in 2020 was from wind power plants (14.7%), followed
by hydropower plants (13.8%) and solar power (5.3%). Furthermore, geothermal
and other sources accounted for 0.23% and 0.18%, respectively.
The electricity coming from combustible fuels was at historical lows in 2020. It
has followed a general downward trend since 2010, accounting for 75.8% of the
electricity generated from this source in 2010, which means a 24.23% of reduction.
The electricity from nuclear power plants shows a similar behavior and has never
returned to 2010 levels representing 79.9% of the 2010 levels. The production of
solar plants and wind turbines has reported the highest growth: From 0.82% and
4.86% of the total production in 2010 to 5.3% and 14.7%, respectively, in 2020.
However, the electricity produced by hydropower plants has remained stable
(11.3–14.4%) in this period. Furthermore, in 2020 the group of hydropower, wind,

and solar plants reached almost 170% of the 2010 production, and the electricity
generated by wind turbines has surpassed levels like those of the hydropower
plants. Geothermal and other electricity sources also illustrate a significant
growth; however, they are still a minority in the total breakdown.
In summary, the relative weight of the renewable energy sources in the EU’s
electricity portfolio has undergone strong growth in parallel with a large decrease
in the significance of combustible fuels as well as a significant decline in the
amount of nuclear energy utilization. Concretely, the renewable energy sources
of electricity have increased their importance by more than 14% points in the
period 2010–2020. By contrast, both the electricity coming from combustible fuels
and nuclear power plants registered a reduction of 10.0% and 4.3% points over the
same period.
Finally, Figure 1.3 shows the evolution of the final energy consumption by
sector in EU-27 over the previously considered period as well as a detailed
breakdown of the different sectors in 2018. The electricity available for final
consumption within the EU-27 reached 2462 TWh in 2020, practically the same
as in 2019 (−3.93%), and has experienced periods of growth and decline with
fluctuations between 95% and 100% throughout the period under analysis as can
be seen from the figure (see dashed line). The distribution of electricity consump-
tion among the different sectors in 2020 is depicted by the donut chart: Industry
(35.9%), transport (2.2%), services (27.5%), household (29.0%), and others (5.4%).
The final consumption and the consumption of the different sectors account for
94.3, 95.6, 95.2, 90.9, 97.7, and 86.0 of the 2010 levels. The highest variation in
the studied decade occurred in electricity consumption of the transport sector,
as well as in the “others” category. Moreover, it should be noted the generalized
110
Total Transport Household
Industry Services Others
2020
105 Industry
Transport 35.9%
100% = 2010 Twh
2.2%
100
95
Services
27.5% Others
5.4%
90
85 Household
2010 2012 2014 2016 2018 2020
29.0%
Year
Figure 1.3 Evolution of the final energy consumption in EU-27 from 2010 to 2020, and
final energy consumption in 2020. Source: Adapted from Energy, transport and
environment statistics – Publications Office of the EU (2020).
1.3 The Smart Grid 5
fall in most sectors in 2020 agree with the global health crisis resulting from the
COVID-19. The only sector that increased was the residential sector, probably due
to the lockdowns. The final electricity consumption decreased moderately by 5.7%
concerning the levels of 2010 as well as the electricity demanded by all sectors:
Industry (−4.4%), transport (−4.8%), services (−9.1%), household (−2.2%), others
(−13.9%), leading to the conclusion that the weight of this fall was mainly in the
services sector and others category.
1.3 The Smart Grid
The classical power system was originally built to deliver the electrical energy
generated by central power plants to the relatively nearby end-users safely and
reliably. For this purpose, the voltage level is increased up to 60–750 kV at the
source to be transmitted over high-voltage transmission lines and then is gradually
reduced to be delivered to consumers in a two-stage distribution process: First,
from substations to transformation centers at medium voltage (5–20 kV) and
finally from this point to the end-users at low-voltage (120 or 230 V in America
or Europe, respectively) (ENTSO-E Transmission System Grid Map n.d.; Mapa
del sistema eléctrico ibérico n.d.; Carr 1996). The structure of a conventional grid
can be summarized as follows: Power plants that generate the electrical power,
high-voltage transmission lines that transport the power from power plants to
power stations which then outputs medium- and low-voltage distribution lines
that interconnect individual consumers. Notice that the energy flow is thus
unidirectional from power plants to end-users. This architecture has remained
practically unaltered since its conception as it has been highly effective for decades
in covering the initial needs of providing electrical energy to end-users reliably
and safely. However, this vision of the power system is being forced to face new
conditions and more demanding requirements in both the industrial and residen-
tial sectors because of the current digital revolution as has already been mentioned
at the beginning of Section 1.2. Some of them are detailed as follows (Colak 2016):
– The increased energy demand due to population growth, increase in manu-

facturing capability all over the globe, the trend in household appliances that
traditionally used gas as a fuel and now moving electricity, and the proliferation
of new technologies such as the electric vehicle.
– The need to increase the production capacity in the current power plants as well
as the reduction of the transmission and distribution energy losses.
– The challenge of reducing the operational costs, while improving the manage-
ment of the existing transmission and distribution infrastructures.
– The rapid growth of distributed generation (DG) due to grid-connected DER

and VRES in addition to conventional power plants. These resources are mainly
solar photovoltaic (PV) panels and wind turbines.
– The need to replace equipment and deploy new technologies over existing
infrastructure. In most cases, the power devices employed in the transmission
and distribution systems are transformers, power switches, power breakers,
utility meters, and relays. These components have low reliability due to the old
technology in use. Moreover, the grid capacity for collecting information and
measurements during these stages is still quite limited today.
With the intend to overcome such challenges, the power grid has evolved and
must continue doing so. This new paradigm of the power grid has been called
Smart Grid. The European technology platform (ETP) for Smart Grids provides
the following definition in its documentation for the strategic deployment of the
European electricity networks of the future (European Technology Platform [ETP]
Smart Grids 2010): “A Smart Grid is an electricity network that can intelligently
integrate the actions of all users connected to it – generator, consumers and those
that do both – to efficiently deliver sustainable, economic and secure electricity
supplies.” This concept has also been widely discussed in the United States (US
Department of Energy: Office of Electricity 2011). Notice that now end-users take
an active role and can act as energy producers and consumers, becoming what
is known as prosumers (Dai et al. 2020). The Smart Grid could be seen as a dig-
ital upgrade of both transmission and distribution grids, in which the idea of a
one-way flow of energy and information from energy providers to end-users turns
into a complex scheme with a bidirectional flow. Moreover, aspects such as scal-
ability, maintainability, security, and interoperability between devices are central
to the Smart Grid concept (Colak et al. 2020). To this end, the Smart Grid must be
undoubtedly linked to several concepts such as the information and communica-
tion technologies (ICTs) to ensure the exhaustive coordination of stakeholders, the
use of renewable energy sources (RES), and the decentralization of them through
the DG, the deployment of smart meters or an advanced metering infrastructure
(AMI) toward the monitoring of the consumption and the creation of statistics, and
the demand-side management (DSM) to achieve a better balance between gener-
ation and consumption as will be discussed later (Cecati et al. 2010).
1.4 Power Grid Flexibility
The concept of power grid flexibility has been introduced recently by academics
and international organizations. Although a global definition has not been
reached yet, as a rule, flexibility describes the capacity of the power grid to
respond to changes in demand or supply while preserving the stability of the

system. Thus, from a technical viewpoint, flexibility is essential to address the
generation-demand imbalances; however, other aspects need to be considered.
A more complete definition is provided by the International Energy Agency
(IEA): “Flexibility is the ability of a power system to reliably and cost-effectively
manage the variability and uncertainty of demand and supply across all rele-
vant timescales, from ensuring instantaneous stability of the power system to
supporting long-term security of supply” (International Energy Agency 2019).
Notice how flexibility extends to other dimensions such as time, management,
uncertainty, and cost (Akrami et al. 2019). These points are further detailed in the
following lines:
– Time: Indicates how fast the system can be restored to a given state when
it undergoes a deviation. Control actions are often classified into short-term,
mid-term, and long-term measures.
– Management measures or control procedures are performed by the power
grid operator to deal not only with day-to-day but also with unexpected events.
These corrective actions depend directly on the time interval available to be
applied.
– Uncertainty or absence of information about future condition. The more
uncertainty in the system, the more flexibility is required for its proper
operation.
– Cost: Although the power system scheduler should always offer flexibility, this
concept implies an extra charge as the marginal cost or marginal risk is consid-
ered to serve system flexibility and, therefore, high marginal cost control actions
are required to ensure low marginal risk and vice versa. Accordingly, a level of
commitment must be found between the amount of flexibility and its associated
cost.
1.4.1 The Need for Flexibility

All power systems have a certain degree of flexibility aiming to continuously
balance the generation and consumption and ensure system stability. This
flexibility is employed to maintain the foremost power grid parameters (i.e.
voltage and frequency) within the safe range specified by several international
standards addressed later. Although variability and uncertainty have always
been considered during the power systems operation, these inherent flexibility
mechanisms have demonstrated to be insufficient to perform a successful system
regulation when dealing with the presence of large quantities of grid-connected
VRES, as is being experienced in recent years since VRES are now cheaper to
acquire for electricity generation due to the government funding and the absence
of fuel costs. These VRES refers mostly to solar, wind, or hydro resources. In this
regard, achieving an acceptable balance between generation and demand turns
out to be a major challenge due to the intermittent and variable dynamic that
characterizes these energy sources. Therefore, given these reasons, making the
power planning and operation more flexible has become a global priority to
achieve the power system transformation in response to these novel trends.
Moreover, the current context brought by the COVID-19 pandemic has revealed
that a flexible and well-functioning power system is crucial to maintaining the
operation of critical infrastructures such as those in the healthcare sector (Heffron
et al. 2021).
1.4.2 Sources of Flexibility

Regulators and system operators recognize that flexibility in all power systems
must be addressed by ensuring the following elements (Mohandes et al. 2019;
Babatunde et al. 2020; Cochran et al. 2014; Nikoobakht et al. 2019):
1.4.2.1 Flexible Generation

Flexibility is often offered by power plants with fast start-up and shut-down oper-
ation and high-power ramp capabilities. Moreover, one of the main features of
these flexible sources is an efficient operation at a lower minimum level in periods
with high penetration of VRES or even the ability to perform deep turndowns. In
this regard, it is crucial to ensure a minimum marginal cost so that these power
plants can compete in the market as a source of flexibility. Some of these con-
ventional plants include hydro plants, gas-fired, coal-fired, and fuel-fired power
plants, as well as dispatchable renewable power plants (i.e. biomass, geothermal
plants, etc.). Currently, conventional power plants are the predominant source
of flexibility in modern power systems. DG can also perform a fast response to
power mismatches to provide local flexibility by modulating their production.
1.4.2.2 Flexible Transmission and Grid Interconnection

Transmission networks are responsible for this kind of flexibility. Among other
features, transmission networks must avoid bottlenecks and have the capabil-
ity to take advantage of a wide range of resources that support achieving the
generation-demand needs. These resources include the use of smart network
technologies that better optimize the energy transmission and the interconnection
between neighboring power systems. Furthermore, grid interconnection opens the
door for electricity trade which could be highly advantageous for power systems
extended over multiple time zones. Consequently, their peak-load intervals take
place at different times, and their renewable energy sources with a strong depen-
dency on the time, such as the photovoltaic plants, also reach their maximum
production at different times. Therefore, a coordinated strategy can contribute to

smoothing out peak demand periods and making use of the energy surpluses.
1.4.2.3 Control Over VRES

Uncertainty and variability are part of the VRES’s nature and often limit the
amount of flexibility that can be provided or sometimes even contribute to the
opposite. Therefore, greater control over the use of these resources can help
alleviate the situation. A scenario with congestion of the transmission lines or
when the produced power exceeds the required power system demand may be the
best example to understand this issue. In such a case, flexibility can be offered via
the renewable generation curtailment although this action is the least preferred
choice, as it can lead to a suboptimal operation from both viewpoints: Owner’s
revenues or savings and loss of renewable energy in the absence of energy storage
facilities.
1.4.2.4 Energy Storage Facilities

The spread of storage systems throughout the power grid is undoubtedly another
source of flexibility and is especially relevant when considering a context with
high penetration of generation coming from VRES. These storage infrastructures
can help the power system to absorb the energy surpluses or inject the required
energy to solve a momentary mismatch between supply and demand. Currently,
pumped hydro energy storage accounts for the highest amount of total storage
capacity worldwide. Nevertheless, other technologies such as batteries, ultraca-
pacitors, flywheels, and compressed air are also becoming popular.
1.4.2.5 Demand-Side Management

DSM is a portfolio of measures to improve the energy system on the side of
consumption and evolved during the 1970s because of economic, political, social,
technological, and resource supply factors (Gellings 2017). The US Department
of Energy (DoE) provides the following definition of DSM (Loughran and Kulick
2004): “DSM is the planning, implementation and monitoring activities of electric
utilities that are designed to encourage consumers to modify their level and pat-
tern of electricity usage.” DSM includes both energy efficiency (EE) and demand
response (DR) measures as can be depicted in Figure 1.4. These measures range
from improving the EE by using less energy while providing the same or even
better level of service to the consumers to the implementation of DR techniques
such as the use of smart energy tariffs with incentives for certain consumption
patterns or sophisticated real-time control of DER. More specifically, EE includes
both the use of high-efficiency equipment and energy conservation strategies,
while DR is divided into explicit and implicit measures.
Demand-side
management
(DSM)
Energy Demand
efficiency (EE) response (DR)
High efficiency Energy

Explicit DR Implicit DR
equipment conservation
Figure 1.4 Classification of demand-side management measures. Source: A. Rezaee

Jordehi (2019).
Regarding the concept of DR, the US DoE (Qdr 2006) also defines it as “Changes
in electric usage by end-use customers from their normal consumption patterns in
response to changes in the price of electricity over time, or to incentive payments
designed to induce lower electricity use at the time of high wholesale market prices
or when system reliability is jeopardized.” DR has already proven to be a resource
that the energy provider can offer to improve system reliability, stability, and secu-
rity services. As shown in Figure 1.4, DR services are normally classified into two
groups attending to the mechanism used to promote the response: Explicit and
implicit DR. Explicit DR is a committed and dispatchable DR action traded on
the energy market and is usually provided by an independent aggregator, virtual
power plants (VPPs), or the energy provider. In this case, consumers receive an
incentive to change their consumption in certain scenarios such as the grid con-
gestion or balance problems among others. This is referred to as “incentive-driven”
DR. The following programs can be found within this category:
– Demand bidding/buyback programs (DBP): The utility pays an incentive

to reduce electric load when notified of a DR event day. Customers submit load
reduction bids for a DBP event, which can be called on a day-ahead or day-of
basis. For any event, the customer may elect to submit or not submit a bid.
– Direct load control (DLC): Allows the aggregator control over certain
equipment, e.g. switching-off noncritical loads or modifying devices’ setpoint
to reduce net electrical load.
– Emergency demand response programs (ERDP): Customers receive incen-
tive payments for load reductions when needed to ensure reliability.
– Interruptible/curtailable (I/C): Customers receive a discounted rate for
agreeing to reduce the load on request.
– Ancillary services market programs: Customers receive payments from a

grid operator for committing to restrict load when needed to support the opera-
tion of the electric grid (i.e. auxiliary services).
– Capacity market programs (CMP): Customers offer load curtailments as
system capacity to replace conventional generation or delivery resources.
Customers typically receive day-of notice of events and face penalties for failure
to curtail when called upon to do so. Incentives usually consist of up-front
reservation payments.
Concerning implicit DR, some of the most common DR products are sum-
marized below. Under this scheme, consumers agree to be exposed to hourly
or shorter-term tariffs in which the price of the electricity varies depending
on production costs. Therefore, consumers adapt their consumption (through
automation or personal choice) to save on the electricity bill. Implicit DR is also
known as priced-based DR.
– Time-of-use (TOU): A rate with different unit prices for usage during differ-
ent blocks of time, for a 24-hour day. Daily pricing blocks include an on-peak,
partial-peak, and off-peak price for non-holiday weekdays, the on-peak price
being the highest, and the off-peak price the lowest. These tariffs include diurnal
and seasonal variations in electricity cost but are fixed several months before. It
can be integrated within the operations planning stage.
– Real-time pricing (RTP): A retail rate in which the price fluctuates hourly
reflecting changes in the wholesale price of electricity. These are typically
known to customers on a day-ahead or hour-ahead basis.
– Critical peak pricing (CPP): Hybrid of the TOU and RTP. The basic rate struc-
ture is TOU. However, the normal peak price is replaced with a much higher
CPP event price under specified trigger conditions (e.g. when system reliabil-
ity is compromised, or supply prices are very high). It is called on the day of
economic dispatch.
Finally, Figure 1.5 describes the potential impact of DR measures on customer

service levels. The opportunities and potential depend on the existing building
and appliances infrastructure. This figure also summarizes the load commitment
timescales over which these DR schemes operate.
1.4.2.6 Other Sources of Flexibility

Other flexibility resources include ancillary services. The power grid requires
ancillary services to ensure reliability and support its main function of delivering
electrical energy to consumers. These services are employed by system operators
as a flexibility mechanism to preserve the instantaneous and continuous balance
between generation and consumption. Although most balance requirements are
6–12 months operational Day-ahead economic Day-of economic

<15 min
planning scheduling dispatch
Emergency
Capacity market
Explicit DR
programs (EDRP)
programs (CMP) / Demand bidding/
ancillary services Direct load control
buy-back programs Interruptible and (DLC)
market programs (DB) curtailable services
(ASM)
programs (I/C)
Implicit DR
Real time hourly

Time of use rates Day-ahead hourly pricing (RTP)/
(TOU) pricing (RTP) critical peak pricing
(CPP)
Figure 1.5 Demand response programs timescale. Source: Adapted from Qdr (2006).
being covered by regulation, spinning, and non-spinning ancillary services, new

ancillary technologies such as load following, frequency response reserve, or
inertia response are also proliferating.
Moreover, on a smaller scale, the utilization of electric vehicles and multi-mode
operation of combined cycle units have also been revealed as another source of
flexibility by providing a particular case of energy storage system or recovering
exhaust heat from thermal units to drive a steam turbine and generate more elec-
tricity, respectively.
1.5 Power Quality, Reliability, and Resilience

The main goal of modern power systems is to deliver the required electrical energy
to its customers as economically as possible with an acceptable level of reliability
(Billinton and Allan 2003). Nowadays, the working and social habits of modern
society have led end-users to expect the supply to be continuously available on
demand. Although a power system with high reliability is possible, a risk-free
power system is not. In this context, engineers and power system managers try
to maintain reliability as high as possible within their socioeconomic constraints.
In most countries, the electricity sector is currently a deregulated and compet-
itive environment where accurate information on system performance must be
provided to ensure adequate service to customer needs. As consequence, series
of indexes have been proposed under the concept of reliability. In the electric
power industry, reliability reflects the ability to supply electricity in the amount
demanded by users and in the time required. Specifically, reliability has to do with
total electrical interruptions (outages), that is, the complete loss of voltage. These
reliability indexes include measurements such as the number of interruptions
and how long they last, the customers affected, and the power interrupted.
There are a wide variety of indexes to measure reliability, but the most common
are SAIDI, SAIFI, and CAIDI as defined in IEEE Standard 1366 (Bollen 2003).
SAIDI (System Average Interruption Duration Index) and SAIFI (System Average
Interruption Frequency Index) values include sustained interruptions, which are
defined as outages that last at least five minutes (although this is not uniform
and may vary).
Another concept related to reliability is that of power quality (PQ), although
they are two different issues. While the simplest idea of reliability is whether
the power is available as it is needed, PQ can be defined as the degree to which
current and voltage maintain their waveforms adjusted to a perfect sine wave
with constant amplitude and frequency at a given point of the power system.
An additional requirement of the current quality is that it must be in phase with
the voltage waveform. Therefore, PQ is the combination of voltage and current
quality (IEEE 2012). As will be detailed further in Section 1.5.1, a wide variety
of electromagnetic disturbances are collected under this term and all of them
can affect a critical installation to the extent that it depends on the sensitivity
of each load.
Finally, the concept of power system resilience is currently attracting a lot of
interest. The topic has become one of the most studied characteristics in the energy
industry since Hurricane Katrina dramatically exposed the vulnerability of the
power grid in Louisiana in 2005. The frequency of extreme weather events such as
hurricanes, tsunamis, ice storms, and other natural disasters as well as man-made
cyber and physical attacks have increased in recent years and affect an increasing
number of human and environmental victims worldwide (Bhusal et al. 2020). This
term comes from the Latin root “resilire,” which means “the ability to spring back
or rebound.” Assuming that disruptive events can occur regularly, for a system,
resiliency would be the ability to anticipate, compensate, adapt, and recover from
a potentially damaging event (Gholami et al. 2018).
1.5.1 Power Quality Disturbances

The increasing number of electronic equipment connected to the power grid that
can generate electromagnetic disturbances or be affected by them has caused
the community to become interested in the classification of these disturbances
as a first step to subsequently decide on the appropriate strategy to address their
mitigation. In this regard, prestigious international organizations such as the
International Electrotechnical Commission (IEC) and the Institute of Electrical
and Electronics Engineers (IEEE) have made decisive efforts by providing relevant
standards and regulations related to PQ issues from several viewpoints. Although
this section is mainly focused on standards that address the classification of
the principal electromagnetic phenomena causing PQ disturbances within the
power system, many others intended for specifying measurement techniques or

limits for these disturbances are also included to bring a more detailed insight
and introduce the required background for the understanding of the remaining
chapters. Accordingly, the IEEE std. 1159-2019 “Recommended practice for mon-
itoring electric power quality” (“IEEE Recommended Practice for Monitoring
Electric Power Quality” 2019) has been considered as a reference and thus the
main body of this section follows its structure. This standard adopts a quantitative
approach as opposed to the qualitative one assumed by other standards. Finally,
electromagnetic phenomena and their characteristics are firstly classified in
Table 1.1 and later discussed in the following lines.
1.5.1.1 Transients
Transients give a name to a phenomenon that is undesirable and momentary and
can be classified into two categories: Impulsive and oscillatory transients depend-
ing on the waveshape of a current or voltage transient. IEEE Std. C62.41.1-2002
(IEEE 2003) deals with defining standard impulsive and oscillatory transient test
waves to test electrical equipment.
– Impulsive transients: Impulsive transients are sudden, non-power frequency
change from the nominal condition voltage, current, or both, that is unidirec-
tional in polarity. The most common cause of impulsive transients is lightning
and is often damped quickly by impedance circuit elements due to the high
frequencies involved. There can be a significant difference in the transient char-
acteristics from one location to another within the power system. Impulsive
transients are often characterized by their peak value, rise, decay, or duration
times.
– Oscillatory transients: Oscillatory transients are sudden, non-power fre-
quency change in the steady-state condition of voltage, current, or both, that
includes both positive and negative polarity values. An oscillatory transient
consists of a voltage or current whose instantaneous value changes polarity
rapidly and often decays within a fundamental-frequency cycle. The subclasses
are high, medium, and low frequency and have been chosen to coincide with
typical types of oscillatory transients within the power system. High-frequency
oscillatory transients (>500 kHz) are normally provoked by switching events
or can be the response of one point of the system to an impulsive transient.
When the frequency of the primary frequency component of an oscillatory
transient is within the range of 5–500 kHz, the category used is medium
frequency. Back-to-back capacitor energization can give rise to this electromag-
netic phenomenon. Finally, low-frequency oscillatory transients (<5 kHz and
duration between 0.3 and 50 ms) are normally found in sub-transmission and
distribution lines and can be the result of many types of events (e.g. capacitor,
ferro resonance, or transformers energization).
Table 1.1 Categories and typical characteristics of power system electromagnetic

phenomena.
Typical spectral Typical Typical voltage

Categories content duration magnitude
Transients
Impulsive
Nanoseconds 5 ns rise <50 ns
Microseconds 1 μ rise 50 ns–1 ms
Milliseconds 0.1 ms rise >1 ms
Oscillatory
Low frequency <5 kHz 0.3–50 ms 0–4 pua)
Medium frequency 5–500 kHz 20 μs 0–8 pu
High frequency 0.5–5 MHz 5 μs 0–4 pu
Short-duration RMS variations

Instantaneous
Sag 0.5–30 cycles 0.1–0.9 pu
Swell 0.5–30 cycles 1.1–1.8 pu
Momentary
Interruption 0.5 cycles – 3 s <0.1 pu
Sag 30 cycles – 3 s 0.1–0.9 pu
Swell 30 cycles – 3 s 1.1–1.4 pu
Temporary
Interruption 3 s–1 min <0.1 pu
Sag 3 s–1 min 0.1–0.9 pu
Swell 3 s–1 min 1.1–1.4 pu
Long-duration RMS variations

Sustained interruptions >1 min 0 pu
Undervoltages >1 min 0.8–0.9 pu
Overvoltages >1 min 1.1–1.2 pu
Current overload >1 min
Imbalance
Voltage Steady state 0.5–2%
Current Steady state 1–30%
Table 1.1 (Continued)
Typical spectral Typical Typical voltage

Categories content duration magnitude
Waveform distortion
DC offset Steady state 0–0.1%
Harmonics 0–9 kHz Steady state 0–20%
Interharmonics 0–9 kHz Steady state 0–2%
Notching Steady state
Noise Broadband Steady state 0–1%
Voltage fluctuations <25 Hz Intermittent 0.1–7% 0.2–2Pst b)
Power frequency variations <10 s ±0.1 Hz
a) Per unit (pu).

b) Flicker severity index as defined in IEC 61000-4-15:2010 and IEEE Std. 1453.
Source: IEEE std 1159-2019 (2019).
1.5.1.2 Short-Duration RMS Variation

These PQ disturbances are related to or usually provoked by fault conditions,
power supply of large loads with high initial currents, or intermittent loss of
connection in power conductors. It consists of a variation of the RMS value
of the voltage or current from the nominal during a time greater than 0.5 cycles
of the power frequency but less than or equal to one minute. When the affected
variable is voltage, it can be further described using a modifier indicating the
magnitude of the voltage variation (e.g. sag, swell, interruption) and possibly a
modifier indicating the duration of the variation (e.g. instantaneous, momentary,
and temporary). These modifiers regarding the voltage are detailed as follows:
– Instantaneous: A type of short-duration RMS voltage variation with a duration

between 0.5 and 30 cycles of the power frequency.
– Momentary: A type of short-duration RMS voltage variation with a duration
between 0.5 cycles of the power frequency and three seconds.
– Temporary: A type of short-duration RMS voltage variation with a duration
between three seconds and one minute.
– Interruption: It is considered a complete loss of voltage and refers to an RMS
voltage variation in which the RMS of the voltage on one or more phases falls
below 0.1 pu for a time period less than one minute. Power systems faults, equip-
ment failures, or control malfunctions can result in an interruption.
– Sag: A type of short-duration RMS voltage variation where the RMS of the volt-
age on one or more phases is within the range 0.1–0.9 pu. Voltage sags are often
related to system faults but are also provoked by large load changes when the
power consumption increases.
– Swell: A type of short-duration RMS voltage variation where the RMS of
the voltage on one or more phase wires is above 1.1 pu from durations from
0.5 cycles to one minute. Typical magnitudes are between 1.1 and 1.2 pu.
Voltage swells are much less frequent than voltage sags and can be caused
by switching off a large load, switching on a large capacitor bank, or when a
single line-to-ground fault occurs, resulting in a temporary voltage rise on the
unfaulted phases.
1.5.1.3 Long-Duration RMS Variation

These PQ disturbances represent a variation of the voltage or current RMS value
from the nominal for a time period greater than one minute. The causes are usually
the load variations on the system and system switching operations rather than sys-
tem faults. Similar to the short-duration RMS variation, it can be further described
using a modifier indicating the magnitude of the voltage variation. In this sense,
three subcategories are possible: Overvoltage, undervoltage, and sustained inter-
ruption.
– Overvoltage: An overvoltage involves an RMS increase in the voltage greater
than 1.1 pu for a period of time exceeding one minute. Typical values in power
systems are within the range 1.1–1.2 pu. Overvoltages can also be the conse-
quence of switching off a large load or of a variation in the reactive power of the
system when a large capacitor bank is connected. A wrong connection of the
transformer taps can also provoke a system overvoltage.
– Undervoltage: A system undervoltage occurs when the RMS value of either
voltage or current falls below 0.9 pu with the same time condition as system
overvoltages. Concerning the causes, undervoltages are produced by the
opposite events to overvoltages. Overloaded circuits can also give rise to system
undervoltages.
– Sustained interruptions: A sustained interruption is defined as the decrease
of the voltage to less than 10% of nominal for a period exceeding one minute.
Voltage interruptions longer than one minute are often permanent a require
manual intervention for restoration.
1.5.1.4 Imbalance
In a three-phase system, imbalance (or unbalance) is defined as the ratio of the
magnitude of the negative sequence component to the magnitude of the positive
sequence component, expressed as a percentage. This definition can be applied
for either voltage or current. The voltage imbalance is often around 5% in normal
three-phase power systems. Current imbalance can be significantly higher when
single-phase loads are present in the system.
1.5.1.5 Waveform Distortion

Waveform distortion involves a steady-state deviation from the theoretical power
frequency sinusoid mainly characterized by the spectral content of the deviation.
There are five primary types of waveform distortion under this category:
– DC offset: The existence of DC voltages or currents in an AC power system
can be the result of geomagnetic disturbances or due to the consequence of
half-wave rectification that many devices include in their electronics. The pres-
ence of DC components in AC networks can lead to an increase in transformer
saturation, among other adverse effects.
– Harmonics: Sinusoidal voltages or currents having frequencies that are inte-
ger multiple of the frequency at which the supply system is designed to operate
(termed the fundamental frequency; usually 50 or 60 Hz) are called harmonics.
Harmonics contribute to the waveform distortion in combination with the fun-
damental voltage or current and their presence is mainly due to the nonlinear
nature of devices and loads connected to the power system. Electronic-based
equipment (e.g. pulse-width modulation converters, switching power supplies,
or rectifiers) is often responsible for this harmonic distortion that is currently a
growing concern for many power system stakeholders. IEC 61000-4-7:2008 (IEC
n.d.-c) defines a harmonics measurement technique and IEC 61000-3-2:2018
(IEC n.d.-a) establishes limits for individual harmonics.
– Interharmonics: These are voltages or currents in whose spectral content,
there are frequency components that are not integer multiple of the funda-
mental frequency. Interharmonics can be found at certain frequencies or as a
wideband spectrum at any point of the network. The principal origins of this
waveform distortion are pulse-width modulated converters, cycloconverters,
static frequency converters, induction furnaces as well as arcing devices,
especially those whose control is not synchronized with the power system
frequency. Power line carrier signals can also be considered interharmonics.
Although the effects of interharmonics are not well known yet, they have
been shown to cause flicker or low-frequency torsional oscillations in motors,
among others. IEC 61000-4-7:2002 also defined the measurement technique for
interharmonics.
– Notching: Notching is a periodic voltage disturbance characterized by a
high-frequency spectral content and is caused when the current commutates
from one phase to another (momentary short circuit between two phases)
during the normal operation of power electronics converters. The severity
of the phenomenon at any point of the power system is given by the source
inductance and the isolating inductance between the converter, the magnitude
of the current, and the point being monitored. This PQ disturbance can some-
times provoke frequency or timing errors on power electronics circuits that
use zero crossings for synchronization purposes since the voltage notch can
produce additional zero crossings (e.g. Thyristor-based converters). Notching is
further described in IEEE std. 519-2014 (IEEE 519-2014 – IEEE Recommended
Practice and Requirements for Harmonic Control in Electric Power Systems

n.d.). A variant termed “voltage notching ringing” can also appear when a
system resonance results in a ringing response at each of the commutation
notches. In such a case, the disturbance can be mitigated by using harmonic
filters or capacitor banks to change the system resonance conditions.
– Noise: Noise consists of any undesirable disturbance with broadband spectral
content (typically below 200 kHz), either voltage or current, that cannot be clas-
sified as harmonic distortion or transient. In power systems, noise can be caused
by power electronics devices, control circuits, loads with solid-state rectifiers,
and arcing equipment. The magnitude of the noise does not normally exceed
1% of the voltage magnitude and can usually be mitigated by using isolation
transformers, line conditioners, filters, or proper grounding circuits.
1.5.1.6 Voltage Fluctuation

Voltage fluctuations involve systematic variations of the voltage envelope or a
series of random voltage changes, the magnitude of which are typically within
the range 0.95–1.05 pu. Voltage fluctuations can be caused by equipment that
exhibits a rapid variation of the load current magnitude or reactive power. For
further details, IEC 61000-3-3 (IEC n.d.-b) defines several voltage fluctuations,
and IEEE Std. 1453-2015 (IEEE 2015) incorporates the IEC methodology for these
measurements.
When voltage fluctuations occur in lighting systems, humans can perceive the
changes in the lamp illumination intensity, and the phenomenon is referred to
as flicker. However, both terms must not be confused. Voltage fluctuations cause
flickers. Therefore, voltage fluctuation describes the electromagnetic disturbance,
while flicker describes the impact of this on the lighting intensity.
1.5.1.7 Power Frequency Variations

Power frequency variations reflect the deviation of the power system’s fun-
damental frequency from its specified nominal value (e.g. 50 and 60 Hz). The
steady-state power system frequency is directly influenced by the rotational speed
of the generators in the power system. The frequency depends on the balance
between the capacity of the available generation and the consumption at any given
instant. Therefore, small mismatches between these variables will cause small
instantaneous frequency deviations and the magnitude and duration of these PQ
disturbances will depend on the load characteristics and the dynamics of the gen-
eration system’s response to load changes. Power frequency deviations are often
caused by faults in the bulk power transmission system, a large block of loads
being disconnected, or a large source of generation changing to islanded mode.
It should be noted that large frequency variations are rare on modern inter-
connected power systems; however, weak systems such as islanded microgrids
are more likely to report these disturbances due to their relatively low inertia and
capacity.
Concerning the limits to identify these variations, the standard EN 50160

(UNE-EN 50160:2011/A2:2020 Voltage characteristics of electricity supplied by
public electricity networks n.d.) establishes the thresholds for both interconnected
and islanded power systems with 50 Hz nominal frequency. The average value of
the frequency measured every 10 seconds must be within the range 49.5–50.5 Hz
and 47–52 Hz during 99.5% of the year and 100% of the time, respectively, for
interconnected power systems. These ranges are more relaxed for islanded power
systems: 49–51 Hz and 42.5–57.5 Hz for 95% of the week and 100% of the time.
1.6 Economic Implications and Issues of Poor Power

Quality
While it is easy to understand how unreliability can affect all customers, the
effects of poor PQ, on the other hand, are more difficult to recognize. Pure
waveform deviations can create everything from a barely noticeable annoyance
for the residential customer to a major disruption to the processes of industrial
or commercial customers. As operations based on electronic technology become
more common, high PQ requirements become more important, particularly for
mission-critical facilities.
The power system reliability literature regarding the economic consequences of
an energy supply outage and how they are calculated today represents a mature
discipline (Larsen et al. 2019). The renowned survey (Eto 2017) found that by
2015 the power outages had cost the US economy some $59 billion, an increase
of more than 68% since its previous study in 2004. Commercial and industrial
businesses account for more than 97% of these costs. Particularly, according to
MeriTalk (n.d.), 40% of global health organizations experience an unplanned
outage in the year. The average cost is $432,000 per incident, where diagnostic
imaging systems are among the main affected. To get a closer look the recently
published paper (Mendes et al. 2019) presents the direct economic impact of
power outages in inpatient and outpatient healthcare facilities across the United
States and the District of Columbia. A combination of traditional metrics has been
adopted, including the calculation of the Value of Lost Load (VoLL), achieving
the appropriate granularity.
Outages due to catastrophic events are not usually included in reported index
numbers. These include ice storms, hurricanes, earthquakes, and floods. Many
analysts agree that the per-customer economic costs of these long, severe, and
extended outages are far greater than the above and that those larger costs have
not yet been well-reported or well-estimated (Silverstein et al. 2018).
On the other hand, there are fewer surveys on the cost of poor energy quality,
and not entirely comprehensive. The largest survey was carried out in the
European Union across 16 industry sectors (Targosz and Manson 2007) and
found that the total cost of losses related to poor PQ exceeds €150 billion, where
the industry represents over 90%. The survey also identified that voltage dips and
interruptions were liable for around 55% of losses and mainly affected electronic
equipment, which is now so widespread in the industrial and service sectors. The
detailed impact of PQ disturbances facing countries is classified in Figure 1.6. It
also shows that the amount of voltage sags detected is about twice as high as long
interruptions.
In the industrial sector, the most important losses occur in manufacturers with
continuous processes. In contrast, the average number of disturbances is lower in
the service sector. These costs are probably underestimated since it is often diffi-
cult to distinguish the root cause of the electrical problems that arise in the office
environment. In addition, the survey did not include data centers, which may be
the most critical infrastructure in this sector. It should be noted that the highest
losses occur in hospitals, which, due to their idiosyncrasy, have a slightly higher
PQ cost than others within the service sector. The companies in this study invest
€297.5 million annually in mitigation solutions for various PQ issues. The results
of the survey are synthesized in Table 1.2.
Another well-known study (Sharma et al. 2018) based on information provided
by 985 US companies, concluded that for PQ disturbances other than sags, the
cost per year to the US digital economy and industrial companies is $6.7 billion.
Overall, the data suggest that while the US economy (across all business sectors)
is losing between $104 billion and $164 billion per year due to outages, PQ distur-
bances alone account for $15–24 billion per year.
A very recent paper includes the latest information on the impact of PQ issues
in the United Kingdom (Vegunta et al. 2019). This study explores the various
Short interruptions
18.8%
Voltage sags
23.6%
Long interruptions
12.5%
Others
Harmonics 10.7%
5.4%
Transients and surges

29.0%
Figure 1.6 Impact of power quality disturbances. Source: Adapted from Targosz and
Manson (2007).
Flex purchase contract
Prosumer domain Flexible asset
Prosumer
Supply contract
VTP1 VTP2 Flex
Supply
AGR BRPagr
Main meter
BRPsup SUP
Figure 1.7 Example of location of the Virtual Transfer Points. Source: the author.
Table 1.2 Average costs by type of poor PQ event from the

survey results.
PQ event Average cost (€)
Surge or transient 12,000–18,000

Long interruption 90,000
Short interruption (service sector) 18,000–36,000
Short interruption (Industry) 7,000–14,000
Voltage sag 2,000–4,000
Source: Adapted from Targosz and Manson (2007).
challenges and gaps in British electricity distribution. No specific comprehensive

and large-scale studies have been carried out in the world in recent years. The
doctoral thesis (Chan and Milanovic 2010) presents an extensive summary of all
the surveys carried out worldwide from the end of the twentieth century to the
decade 2010 and their main conclusions. The summary of direct cost per event
is presented in Table 1.3. Reported damages due to long interruptions are also
included only as a reference. The results of these surveys can still be extrapolated
to most current cases.
Table 1.3 Direct cost per voltage sag.
Financial
Section Division Activities loss Currency
Manufacturing General Large industrial and 7,694 US$

commercial (United
States)
Paper and paper Paper manufacturing 30,000 US$
products (United States)
Chemical and Chemical industry 50,000 US$
chemical products (United States)
Non-metallic mineral Glass industry (EU) 250,000 €
products
Non-metallic mineral Glass plant (United 200,000 US$
products States)
Basic metals Steelworks (EU) 350,000 €
Basic metals Steelworks (United 250,000 US$
Kingdom)
Computer, electronic Semiconductor 2,500,000 US$
and optical products (United States,
Europe, and the Far
East)
Computer, electronic, Semiconductor (EU) 3,800,000 €
and optical products
Machinery and Equipment 100,000 US$
equipment manufacturing
(United States)
Motor vehicles, Automobile industry 75,000 US$
trailers (United States)
Information and Telecommunications Telecommunications 30,000 €
communication (EU)
Information service US computer center 600,000 US$
activities (United States)
Information service Computer center 750,000 €
activities (EU)
Financial and Activities auxiliary to Credit card 250,000 US$
insurance financial services and processing (United
activities insurance activities States)
Source: Adapted from Chan and Milanovic (2010).

1.7 Internet of Things
The concept internet of things (IoTs) was originally introduced in 1985 by the
co-founder of the first US cellular company, Peter T. Lewis, in a speech delivered
at the Congressional Black Caucus Foundation 15th Annual Legislative Weekend
in Washington, DC (Chetan Sharma Consulting n.d.). Everyday objects become
smarter by including internet connectivity and ubiquitous sensors and given
the progress of the fourth industrial revolution (or industry 4.0), these objects
will end up connected sooner or later. Although the digital transformation of
an industrial system is already a major achievement, the IoT will bring about a
revolution in society. Undoubtedly, the idea of industry 4.0 involves embracing
the IoT paradigm (Shrouf et al. 2014) which means that the network is extended
to the real world covering all kinds of daily objects. The main areas of IoT
investments include manufacturing operations, transportation, Smart Grid, smart
buildings, and, increasingly, consumer IoTs, smart home automation, and retail.
The unprecedented boom of IoT has been fueled by several market enablers:
– Decrease sensors and electronic components costs.

– Increase of Edge Computing. Centralized computing represents a limitation for
IoT since it increases the amount of data transferred and the related costs. Edge
computing allows processing exactly where and when it is required.
– Global hyperconnectivity allows processing in near real-time the information
collected by the myriad of deployed IoT sensors.
The underlying aim is not just to create data, but also to extract valuable insights
from the data generated by these devices. In this regard, communication technolo-
gies play a central role and should enable a dynamic and secure deployment of
IoT so that this large amount of generated data can be properly managed. While
challenging, the next generation of 5G and new IoT connectivity will speed up the
ability to collect data and upload it to the cloud, which means massive exploitation
of these technologies (Li et al. 2018). At the end of 2018, there were an estimated
22 billion connected IoT devices in use around the world and, this number will rise
to 38.6 billion by 2025. Moreover, forecasts suggest that by 2030 around 30 billion
of these devices will be in use worldwide, creating a web of interconnected devices
(Statista 2022).
IoT paves the way not only for the transformation of products, which can be
customized in quasi-real-time but also for service models. From an industrial point
of view, the adoption of IoT and interconnected services should be based on the
following basic design principles (Guan et al. 2017):
– Interoperability: All material and human resources within industry 4.0 should
offer the ability to be interconnected using IoT and its applications.
1.8 The Relevance of Submetering 25
– Virtualization: Buildings or industrial facilities should make use of digital

twins representing all the information collected by sensors or systems as well
as simulation models.
– Edge-computing: Objects located at the industrial facilities should have
autonomous decision-making capabilities.
– Real-time capabilities through data acquisition, analysis, and decision-
making by incorporating the required artificial intelligence.
– Service-oriented by offering an extensive portfolio of services to enable
the interaction and creation of new applications and, therefore, a higher
value-added process.
– Modularity: Systems should be as flexible and scalable as possible within the
smart industry.
The implementation of these basic principles makes tailor-made manufacturing
production possible, as well as automatic diagnosis, adjustment, and optimization
of the process, and what is more, this is also essential to support workers in their
activities and improve their working conditions (Jeschke et al. 2017).
1.8 The Relevance of Submetering

Successful approaches to demand flexibility require very different capabilities than
those needed for the traditional energy supply business, such as the following:
– Adopt human-centered design to understand the consumer and involve them
in flexibility plans.
– Understand in-depth and predict customer energy usage patterns.
– Manage and orchestrate massive data from large and diverse customer groups.
So, first, we are compelled to highlight the importance of detailed energy
metering. Submetering, as opposed to bulk metering, involves measuring the
energy consumption of individual units or appliances in a building complex. Sub-
meters provide crucial information for a more granular measurement of energy
consumption data. Unfortunately, submetering remains limited due to the costs of
meters and the technical complexity of their installation, operation, and disaggre-
gation. The study (Zhai and Salazar 2020) clearly shows that each additional level
of metering correlates to increased energy savings, so the energy management
system (EMS) should integrate submetering at the system and equipment level.
Moreover, if the next generation of EMS included data-driven analytics and
machine learning, it would unlock hidden benefits such as accurate energy
control and error detection on utility bills. Ability to record actual electricity
usage. Comparison of the usage of similar appliances over time. Ability to identify
equipment running off-schedule, to avoid energy waste. Early access to equipment
health and maintenance issues. Examples from the United States have achieved
savings of up to 17%, with a payback of less than one year (Green Alliance 2020).
But not only is power consumption submetering relevant. The importance of
reliable, high-quality electric power continues to grow as the ongoing digitaliza-
tion of our societies expands and deepens. Electronics equipment can be both a
source and a victim of poor PQ. In the US industrial and digital companies are col-
lectively losing each year $45.7 billion due to outages, and another $6.7 billion due
to PQ disturbances. Of course, these costs change with the length of the outage, but
even the short ones are costly as they may imply that the systems need to be reset
to come back online. What is more, DER may lead to PQ problems and operational
limit violations in the power system when their penetration exceeds a particu-
lar value, called hosting capacity (HC). DR can be employed to manage Hosting
Capacity, under PQ constraints. The detailed and continuous measurement of PQ
indicators can contribute to a more accurate “dynamic hosting capacity” assess-
ment (Palacios-Garcia et al. 2017).
Finally, as part of the separation of supply flexibility, submetering is necessary
to isolate the controllable loads that can be used for demand response from the
other loads at the Prosumer site. In addition, a Prosumer can be managed by more
than one Aggregator (AGR) at the same time, if the aggregators operate a mutually
exclusive set of resources. As depicted in Figure 1.7, one possible way to do this is
to introduce what has been called Virtual Transfer Points (VTPs) (de Heer 2015)
for controllable assets by installing accounting submeters. So that by subtracting
this load from the main meter, the remaining residential load can be found. In any
case, submetering will serve the following purposes (Flamm et al. 2017): To better
quantify the activated flexibility as a basis for the transfer of energy, to allocate the
flexibility activated by each resource and to the appropriate aggregator, and to bet-
ter quantify the performance of the prosumer toward the aggregator and supplier
(SUP), to better quantify the performance of the aggregator toward the customer
of the flexibility: Transmission system operator (TSO), distribution system opera-
tor (DSO), or balance responsible parties (BRPs). Although requiring a submeter
in the residential segment may jeopardize the business case, technological devel-
opments around the IoT are expected to largely remove investment barriers.
1.9 Energy Smart Appliances

Equipment and systems that can be used as potential demand flexibility assets
can be found in all residential environments. Recently the term Grid-Interactive
Efficient Buildings (GEB) has been coined (Neukomm et al. 2019). This can be
seen from two points of view: As an individual building and as part of the power
grid. First, these are energy-efficient buildings that incorporate both passive and
active strategies. Passive design measures include building orientation, contin-

uous insulation, and energy-efficient windows. While active strategies typically
consist of heating and cooling systems, use of occupancy sensors and controls to
optimize energy use, intelligent lighting, and solar photovoltaic technology. Or, in
the commercial sector, an EMS. But the feature that makes it unique is its ability to
interface with the local grid system, functioning as a demand flexibility resource.
Building managers are always looking for the latest energy efficiency technolo-
gies to flatten their consumption curve. However, complimentary use of energy
resources, such as energy storage and dynamic load management, may be the best
option for this type of building. Let us focus on the role of the appliances we can
find inside this building.
Popularly, Smart Appliances (SA) are recognized for having some electronic
processing capability and wireless connectivity. For example, smart washing
machines can independently regulate the detergent to be used depending on
the weight of the load and the type of fabric. They can also automatically send
alerts when the detergent runs out. However, in the energy field, within the
framework of Smart Grids, the term “smart” refers to those capable of modulating
their electricity demand in response to signal requests from the electrical system.
Thus, incorporating different DR strategies: Would materialize into load-shifting
strategies, which shift their operating period from peak to off-peak hours, or
load-modulation strategies, which directly reduce or avoid energy use during
peak hours. The Energy Smart Appliances (ESA) covered include cold and wet
appliances; heating, ventilation, and air conditioning units (HVAC); battery
storage; and smart electric vehicle charge points. But to unlock the full potential
of ESA, designers and manufacturers must first address critical issues for effective
DR as the following:
– Cybersecurity: The prevention of unauthorized access to ESA by third parties.
– Data privacy: The secure storage of personal data on the device or any control-
ling part.
– Interoperability: The ability of ESA to work seamlessly across any DR service
operated by any system player.
– Power quality: The prevention of grid disturbances caused by the incorrect or
simultaneous operation of ESA.
During the last few years, different IoT PQ sensors have been developed to
be embedded in individual appliances. One of these versions is an advanced
Grid-interactive Appliance Controller (Garrido-Zafra et al. 2022). It works as a
Direct Load Controller as well as a PQ monitor with a wide range of alarms.
Status information, configuration, PQ data, and even diagnostic data from the
appliances can be recorded while in operation and transferred to the cloud for
machine learning processing.
Symbols and Abbreviations

AC alternating current
AMI advance metering infrastructure
BRP balancing responsible party
CAIDI customer’s average interruption duration index
CMP capacity market programs
COP conference of the parties
CPP critical peak pricing
DBP Demand bidding/buyback programs
DC direct current
DER distributed energy resources
DG distributed generation
DLC direct load control
DoE Department of Energy
DR demand response
DSM demand-side management
DSO distribution system operator
EE energy efficiency
EMS energy management system
ERDP emergency demand response programs
ETP European Technology Platform
EU European Union
EV electric vehicle
GEB grid-interactive efficient buildings
GIAC grid-interactive appliance controller
HC hosting capacity
HVAC heating, ventilation, and air conditioning
ICT information and communication technologies
IEA International Energy Agency
IEC International Electrotechnical Commission
IEEE Institute of Electric and Electronic Engineers
IoT internet of things
PQ power quality
PV photovoltaic
RES renewable energy sources
RTP real-time pricing
SA smart appliance
SAIDI system average interruption duration index
SAIFI system average interruption frequency index
TOE tons of oil equivalent
References 29
TOU time of use

TSO transmission system operator
VoLL value of lost load
VPP virtual power plants
VRES variable renewable energy resources
VTP virtual transfer points
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35
A Deep Dive into the Smart Energy Home

Neomar Giacomini
Senior Engineering Manager for Electronics Hardware Development at Whirlpool Corporation,
Benton Harbor, Michigan, USA
2.1 Smart Home Ecosystem

The time has come to think, and most importantly experience, our houses as a
cohesive integrated ecosystem of devices that work together to make our lives eas-
ier. It is also time to see houses becoming part of a digital ecosystem that extends
far beyond the traditional home, both from an energy perspective and other living
needs such as faster communications enabling a multitude of services, data access,
command, and control.
From a Smart Energy perspective, this integration has started with the pub-
lication of the Energy Independence and Security Act of 2007 (Congress.gov
2007), where the first official definition of Smart Grid was presented. Since then,
a variety of studies and products became available in the areas of Smart Energy,
Smart Cities, Smart Buildings and Electric Vehicles (EVs).
As for in-house, since Amazon Echo was launched on 6 November 2014 (Welch
2014) and subsequently Google Home was announced on 4 November 2016 (Chen
2016), the market has seen significant expansion in their use to enable consumers
to build Smart Home ecosystems.
This book is timewise related to the COVID-19 pandemic, formally classified
as such by the WHO (World Health Organization) on 11 March 2020 (UN 2020),
which has quarantined millions of people in their homes and with the easiness of
online shopping, the work-from-home period and other factors, the expansion in
the Smart Homes adoption became inevitable.
Traditionally speaking for the pre-pandemic and pandemic timeframe, the def-
inition of a Smart Home is somewhat simplistic. Figure 2.1 shows a diagram of
a Smart Home comprised of a house with internet access, a smart thermostat, a
connected camera, connected light bulbs, an Intelligent Virtual Assistant (IVA)

36 2 A Deep Dive into the Smart Energy Home
Figure 2.1 Traditional

smart home in the year
of 2020. Source: Neomar
Giacomini (co-author).
70
to play music and enable basic commands such as alarms and timers. That is a
reasonable visualization of what a Smart Home is considered in this timeframe.
This scenario, although simplistic, is not limited by current device’s capabilities
as of 2022, but instead by the consumers’ limited knowledge and desire to live
connected.
As briefly aforementioned, this scenario started changing drastically in recent
years. With the pandemic lockdown, consumers started to get informed, to hear
more from their inner circle on the benefits of certain connected devices, and to
understand more about their capabilities and advanced functions.
Users of Smart Devices that on early states of adoption were just using their
Virtual Assistants to play music and set timers, have taken the time to learn how
to interconnect the Smart Home ecosystem to additional devices, learned how to
create connected functional recipes through services such as IFTTT (If This Than
That), and also became familiar with new gadgets and the benefits, whether minor
or major, these devices can provide.
The growth in the adoption of Smart Homes worldwide will reach nearly
50% from mid-2022 to the end of 2025 according to the Statista Inc. study
(Lasquety-Reyes 2021) shown in Figure 2.2. And it is worth noting this is related
to the number of houses, not the number of devices. The forecasted amount of
478.22 million households represents a penetration rate forecast in the world
Number of Smart Homes forecast in the World until 2025

500 478.22
Number of households in million
450 411.26
400
353.18
350
302.97
300 259.89
250 222.90
191.25
200 164.54
141.91
150
100
2017 2018 2019 2020 2021 2022 2023 2024 2025
Figure 2.2 Number of Smart Homes forecast in the World from 2017 to 2025 (in
millions). Source: Adapted from Lasquety-Reyes (2021)/https://www.statista.com/
forecasts/887613/number-of-smart-homes-in-the-smart-home-market-in-the-world
last accessed 18 November 2022.
Smart Home penetration rate forecast in the World from 2017 to 2025
25.0%
Household penetration rate in percent
22.5% 21.1%
20.0% 18.4%
17.5% 16.0%
15.0% 14.0%
12.2%
12.5% 10.6%
9.3%
10.0% 8.1%
7.1%
7.5%
5.0%
2017 2018 2019 2020 2021 2022 2023 2024 2025
Figure 2.3 Smart Home penetration rate forecast in the World from 2017 to 2025.
Source: Adapted from Statista (2021a)/https://www.statista.com/forecasts/887636/
penetration-rate-of-smart-homes-in-the-world/ last accessed 18 November 2022.
reaching 21.09% in 2025 (Statista 2021a). Figure 2.3 shows the details on that
forecast. These statistics do not consider devices whose primary function is not
the automation or remote control of household equipment, e.g. smartphones and
tablets. Similarly, devices that relate to household connection and remote control
only to a limited extent, such as smart TVs, are not included either.
Table 2.1 Number of Internet of Things (IoT) connected devices worldwide

from 2019 to 2030.
Number of Internet of Things connected devices worldwide from

2019 to 2030, by use case (in millions)
Connected White Environmental

vehicles goods monitoring HVACb) Lighting
2019 355 6 36 48 109

2020a) 408 8 40 56 131
2021a) 499 12 49 72 181
2022a) 604 18 60 91 237
2023a) 724 29 75 112 311
2024a) 853 48 92 136 407
2025a) 991 76 115 163 530
2026a) 1130 113 144 195 683
2027a) 1270 164 180 232 871
2028a) 1411 232 224 275 1096
2029a) 1551 323 278 325 1358
2030a) 1684 441 345 381 1651
Projected growth 179% 2295% 473% 317% 597%
from 2022 to 2030
a) Forecast.
b) HVAC (Heating, Ventilation, and Air Conditioning).
Source: Adapted from Statista (2020).
Along with the growth in the number of Smart Homes, the number of Internet of
Things (IoT) devices worldwide will also increase significantly. A few examples of
the projected growth of IoT devices related to the Smart Energy Homes (SEH) topic
are shown in Table 2.1. This table is a subset and adaptation of a study published
by Statista Inc. (Vailshery 2020).
Worth stating that this table includes Connected Vehicles which are counted
outside many of the Smart Home statistics since not all Connected Vehicles are
EV. EVs are important in the scope of this book due to the energy collaboration
aspects with the Smart House.
Besides the growing number of IoT devices, there are key enabling technologies
around smart homes that are building the ecosystems to a point where one device
can interact with many, and vice versa. These technologies and their penetration
into the Smart Homes are enabling heavy adopters to reach over a hundred devices
under a collaborative Smart Home ecosystem.
Technologies like Wi-FiTM , Bluetooth, Zigbee, and many networking protocols
applied to these devices, are being implemented so that centralized control via the
ecosystem management is possible, therefore also enabling cross-device collabo-

ration. The collaboration is not entirely seamless as of 2022, but significant efforts
by manufacturers and alliances to reach seamless integration are taking place and
will be discussed later.
By no means does 100 devices in a single Smart Home, as aforementioned, are all
important or even relevant to the Smart Energy Homes discussion, but it is worth
depicting what a heavy connected house looks like in the year 2022. This is impor-
tant to elaborate on the Smart Home scenario and expand the possibilities one can
find while thinking on the different devices and their possible link to smart energy
use cases. A new set of eyes with a different background is key for breakthroughs
in any line of science.
From a simple Virtual Assistant, all to way to a robotic cat litter box, cameras,
home appliances, smart beds, energy monitors, connected faucets, door locks,
garage door openers, meat smokers, thermostats, and many other devices. It does
not look like there is a limit to the creativity technology companies are showing to
design connected devices around the traditional home use cases. Figure 2.4 depicts
a scenario with nearly 120 devices, and although some of the icons may look not
from this era in terms of connectivity, they are. All these possibilities are either
already available in the market or announced during major technology shows.
If a Smart Home owner in the year 2022 takes the time to count device by device
available in his or her house, this count will go near 20 connected devices very
easily. Six connected light bulbs, two assistants, four cameras, two televisions, a
thermostat, an alarm system, two computers, one tablet, and two smartphones
linked to the ecosystem get to a total of 21 devices already. This is an exercise
the author strongly recommends, take your time and start listing your connected
devices, every other day you will find another device you forgot to list. Please note
that the request is to list all the connected devices, not just IoT devices, more on
that later.
On a personal note, as of May 2022, the author of this chapter currently lives in
a house with 102 connected devices, with very good coverage of what is shown in
Figure 2.4. No connected t-shirts, shoes, and other apparel around yet though.
Important to state that a personal computer is connected, but not by definition
a traditional IoT device, same for smartphones and tablets. One can argue a Smart
TV is connected, but it is not a sensor or actuator in order to fit in the IoT definition.
The relevance of this short debate is to assure the discussion around Smart Homes
does not get limited or misguided by assuming this is only about IoT devices.
It is of common agreement in the technical community around this topic that
IoT relates to a network of devices that are embedded with sensors and other tech-
nologies to enable connection and exchange of data over the internet. Although
this is an important aspect of Smart Energy systems, it is not a limiting boundary
to what can be achieved on a Smart Energy Home with regular connected devices
contributing to the Smart Home ecosystem as well.
Figure 2.4 Diagram of what a heavily connected Smart Home looks like in the year of 2022. Source: Neomar Giacomini (co-author).
Any connected resource in the Smart Home can provide data to enable Smart
Energy use cases. For a short example, a computer is not an IoT device, but it is
connected and is able to provide the Smart Home with information on the user’s
location, like the customer presence in the office for instance by detecting the user
is active in the computer, which may be useful to trigger a given Smart Energy
use case at that moment. Or smartphones that just by being present in the Wi-Fi
network at a given moment can provide a reasonable count of number of people
in the house.
To foster the imagination around potential use cases, and to provide a better
understanding of connected/IoT devices currently available and/or applied to
Smart Homes in the year 2022, a list is provided in Table 2.2.
Table 2.2 List of connected devices available for Smart Homes in the year of 2022.
Connected devices commonly found at, or available for Smart Homes in the year of
2022. Includes both connected and IoT devices
Aquariums Health monitors Smoke and gas sensors

Air purifiers Heaters Sound sensors
Alarms Humidifiers Stoves, ovens, and cooktops
Assistant robots HVAC Streaming receivers (Cast feature)
Audio systems Indoor exercise bike Tablet computers
Bed frames Kitchen small appliances Televisions
Blinds and shades Leakage detection sensors Thermostats and thermometers
Cameras Light bulbs Toasters
Cars Microwaves Toys
Cat litter robots Smartphones Tracking devices
Coffee machines Modems and routers Treadmills
Desktop computers Mop robots Uninterrupted power supplies
Dishwashers Pet feeders Vacuum cleaners
Door locks Pillows Vacuum robots
Doorbell cameras Power banks Video games
Dryers Power strips Virtual assistants (multiple forms)
Energy monitors Power tools Virtual reality goggles
Faucets Refrigerators Washing machines
Garage door opener Robotic lawn mowers Water detection sensors
Gardening sensors Sleep sensors Water filtration systems
Grills and smokers Smart power switches Weather sensors
Haptics sensors Smart watches
Source: Neomar Giacomini (co-author).

The list provided is comprehensive but should not be considered absolute as

this is an evolving market. Although at first look it may be perceived containing
random connected devices irrelevant from the Smart Energy Home perspective,
further reflection on each device can provide interesting insights.
The aquarium, for instance, is basically a large mass of water that has its temper-
ature affected both by heaters and ambient temperature, and impacts the humidity
of the house, therefore impacting air conditioning, ice formation in the air condi-
tioner evaporator unit, and so on. An interesting fact, depending on the size of
the aquarium, heating, air flow, and shape is that it will lose significant amount
of water per day due to evaporation. No reliable scientific references were found
to cite on this topic, but information collected from multiple discussion forums
showed cases where water loss went from 1, all the way to 15 l/day depending on
aquarium size. The author of this chapter experienced a water loss of 7 l/day on a
280 l aquarium, which is a significant amount of water that may end up in the air
conditioner evaporator unit and impact performance.
Based on this example, it is strongly recommended to reflect on every device
available and its impact on the house in terms of energy or any other data points
they can provide. Also, the aquarium could be present in the house but not be
connected to the internet, therefore unknown to a smart energy system. But since
it is connected and that information is available, what can be done with it? That is
an interesting point to debate and expand as a system is designed.
To provide a view of the current ownership of such devices in a US Smart
Home, Figure 2.5 is provided. This chart shows the results of an online survey
performed in early 2021 by Statista Inc. (2021d) with 3792 respondents between
18 and 64 years of age. This data does not provide direct basis for understanding
the deployed volume, but instead the percentages and spread of Smart Home
devices as an effect of consumer budget and preferences.
The device at the top of the list is the Smart TV, and in the context of Smart
Energy Homes that is not a major enabler for use cases. The list follows with
speakers, streaming devices and find the first potential candidate for the Smart
Energy context at the fifth position, Smart Bulbs at 20%, then connected ther-
mostats at 17%, smart plugs at 14%, and those plugs may be in use with a lamp,
heater, Christmas tree lighting, who knows.
The importance of this data is in the fact that the devices considered as a
foundation for Smart Energy use cases have considerably low adoption according
to that 2021 research. Large appliances for instance are still below 10%, showing
consumers are still at a slow adoption rate on critical items for Smart Energy
Home use cases.
In relation specifically to Smart Appliances, the Smart Home Report 2021
publication from Statista (2021c) shows that the country with the highest Smart
Appliance adoption rate is South Korea at 15.7%, Australia at 10%, and the United
States at 7.4%. The data for the United States shows slight variation from Figure 2.5
due to data aggregation and sampling, but still with less than 2% deviation.
Ownership rate of smart home devices in the United States 2021.

Which smart home devices does your household own?
Smart TVs 81%
Smart speakers with an integrated

37%
virtual assistant
Streaming devices (e.g., Amazon Fire
TV stick, and Google Chromecast) 25%
Bluetooth speakers without a virtual

22%
assistant
Smart bulbs 20%
Smart security cameras 18%
Connected thermostats 17%
Smart plugs 14%
Other 13%
Smart locks 11%

Entertainment (e.g., Bluetooth speakers,
10%
Smart TVs, and streaming devices)
Connected detectors for hazard
10%
prevention (e.g., smoke or flood)
Vacuum and mowing robots 9%

Big smart appliances (e.g., refrigerator
9%
and washing machine)
Small smart appliances (e.g., coffee
8%
machines and microwaves)
Gateways or hubs 8%
Connected window and door sensors or
shadowing devices 5%
Smart radiator or AC controls 5%
0% 20% 40% 60% 80% 100%
Figure 2.5 Ownership rate of Smart Home devices in the United States 2021. Which
Smart Home devices does your household own? Source: Adapted from Statista
(2021c)/https://www.statista.com/statistics/1253083/consumer-adoption-concerns-
smart-home-technologies-in-the-united-states/ last accessed 18 November 2022.
With an understanding of connected devices vs. IoT devices, a broad grasp on the
types of devices comprising and/or available for a Smart Home, and the insight on
how important it is to deep dive on any type of connected device that can become
a source of information either directly or indirectly, it is time to deep dive on the
definitions, uses, benefits and restrictions of enabling technologies in this space.
2.2 Enabling Technologies

In this session, a short list of technologies currently available in the Smart Home
scenario will be provided and briefly explained. The focus is here in on giving the
macro information, benefits, and challenges associated with their use.
➢ Wi-Fi, without a doubt this is currently the most disseminated wireless com-
munication technology for Smart Homes. It is based on the IEEE 802.11 family
of standards and is available in all connected devices such as laptops, tablets,
and smartphones, and in the Smart Home scenario is still the go to technology
most companies are using to launch new IoT products. Although this state-
ment is true, Wi-Fi is losing ground to other technologies due to power con-
sumptions and other limitations.
Wi-Fi is currently broadly available in 2.4 and 5 GHz, with the newest gen-
eration Wi-Fi 6E also operating at 6 GHz. Due to the cost of the advanced
versions, 2.4 GHz is still the preferred path for many IoT device manufactur-
ers. This is an important aspect of this scenario as there is a significant larger
number of devices in the 2.4 GHz band than the others.
Although taken as granted that most Wi-Fi routers would allow up to nearly
250+ devices to connect, an assumption from unaware association to Ethernet
capabilities, that is not necessarily the case. Many Wi-Fi router vendors limit
the maximum number of devices allowed to connect to 16, 32, or 64 devices.
Newer models are in-fact advertising they enable up to 200 devices as an addi-
tional benefit of their product. That limitation was mostly due to memory costs
and consumers historically not necessarily requiring large amounts of devices
connected at the same time, and the newer devices able to connect more than
200 devices are currently costing well over a $1000.
This limitation is one of the main headaches most consumers going heavy
connected encounter. Their current Wi-Fi routers are limited to a somewhat
small number of concurrent devices, and unexpected behaviors will happen
when reaching the limit until additional network capability is added. Unex-
pected behaviors such as random disconnection, lag in responsiveness are the
most common effects.
Considering the year 2022 as a baseline, Wi-Fi in Smart Home devices is
being broadly used on most types of devices. Applications with difficult access
2.2 Enabling Technologies 45
to a power outlet, however, such as door locks, window blinds, and some light
bulb ecosystems are tending to use other technologies such as Zigbee and
Z-Wave, but in number of devices, Wi-Fi is still at a much larger position. Addi-
tional information about Wi-Fi can be found in the Wi-Fi Alliance® website at
https://www.wi-fi.org.
➢ Bluetooth® is a short-range wireless technology that in the Smart Home sce-
nario is currently used mostly for Wi-Fi provisioning, computer peripherals,
fitness devices, and audio systems. It operates in the 2.4 GHz band and its appli-
cation is limited since it requires a gateway to reach the internet and cloud
applications. Fitness scale for instance connects to a Smartphone and uses its
internet connection to update a cloud database. Additional information about
Bluetooth can be found in the Bluetooth Special Interest Group website at
https://www.bluetooth.com.
➢ Zigbee is a low-power mesh network used for low data rate applications. Since
Zigbee has a defined maximum data rate of 250 kbps, it is suitable for sensing,
command, and control. Light switches, motion sensors, smart locks, certain
lighting, and home sensing applications are common using this technology.
Zigbee has applications in 2.4 GHz, but also 915 MHz in North America, and
868 MHz in Europe. A big advantage of this technology is its ability to support
more than 65,000 devices on the same network with up to 30 hops, making
it also well suitable for industrial applications. Additional information about
Zigbee can be found in the Connectivity Standards Alliance (CSA) website at
https://csa-iot.org/all-solutions/zigbee.
➢ Z-Wave is a sub 1 GHz mesh network that operates in similar fashion to Zigbee,
resulting in one of the common question marks for consumers: Which one
to get, Zigbee or Z-Wave? The main difference from Zigbee is the number of
nodes and speed, this one is limited to 232 nodes, and a maximum data rate of
100 kbps. The number of hops is also much lower, four in this case. Z-Wave is
commonly used for window blinds, smoke and gas detectors, smart locks, light-
ing controls, and so on. Z-Wave its well suited for home applications since the
limit of 232 nodes would cover most command-and-control application needs.
Additional information about Z-Wave can be found in the Z-Wave Alliance
website at https://z-wavealliance.org.
➢ Thread is a low-power mesh networking technology focused on IoT, it
uses 6LowPAN (IPv6 over Low-Power Wireless Personal Area Network) and
competes with both Zigbee and Z-Wave. Thread is limited to 250 kbps in the
2.4 GHz band and is currently backed by over 60 sponsors and contributors,
and due to the large effort to create a seamless connectivity standard that
would work for all partners, in contrast to Zigbee and Z-Wave, Thread was
developed to be independent of proprietary gateways like those that do exist
for Zigbee and Z-Wave. One major benefit is that a Smart House already
having one Thread enabled Wi-Fi border router, allows the user to buy devices
from whichever preferred provider without the need to add more proprietary
hubs. You only add additional border routers if the network became physically
too large and you need faster reach to the internet with less data hops, or for
network reliability to avoid depending on a single link to the outside world.
Thread networks are limited to 32 routers and 511 End Devices per router
(OpenThread 2022). Additional information about Thread can be found on
the Thread Group website at https://www.threadgroup.org.
➢ Matter, in contrast to the previous technologies, is not a physical wireless
networking technology, but instead an application framework standard with
Internet Protocol (IP) as its backbone. Its aim is to unify the best of the smart
home technologies into a single application framework to make it easier for
manufacturers to create products that will work with a variety of ecosystems
and voice assistants (Kennis 2021). The cross-collaboration between different
ecosystems such as Amazon Alexa, Apple Homekit, and Google Assistant to
name a few, is not entirely seamless as of 2022, but significant effort on “mat-
ter” will enable future products to display the “matter” certification logo to
reinforce its compatibility with multiple Smart Home ecosystems. Currently
while purchasing devices customers need to be cautious to verify if the product
is compatible with their needs and smart home ecosystem, which quite often
may not be the case. Matter has launched over both Wi-Fi for high-bandwidth
use cases like cameras and Thread for low-power, low-bandwidth devices.
2.3 Limitations
As of 2022, through the application of aforementioned technologies, Smart Homes
have reached a sufficient level of maturity to start enabling Smart Home Energy
systems, but still presenting limitations to any uninformed user that decides to
implement the ecosystem by itself.
Unfortunately, the technologies have evolved significantly but presenting seg-
mentation and limitations that make any larger smart home ecosystem contain
a multitude of configurations and fine-tuning to be done. To depict this issue,
a brief list of limitations faced during the implementation of Smart Homes is
provided.
➢ Smart Home Ecosystems cross compatibility, as briefly mentioned while
discussing “matter,” is currently still an issue in the market. Consumers still
need to be cautious during the purchase process to assure compatibility with
pre-installed devices. Different vendors also approach the link to the ecosys-
tem in different ways, some allowing direct integration with all functions
available, others having the full set of features only available through a mobile
application and basic ones through the integrated ecosystem, and others
2.3 Limitations 47
even offering solutions where the connected features are only available via
smartphones.
➢ Wi-Fi Routers are another source of frustration for many users. The currently
installed base of routers in consumers’ homes have aged to some extent, with
routers that are 5, even 10 years old in some cases. Such routers were designed
in an era where the Wi-Fi network had to support a handful of connected
devices, and for cost and complexity reasons many of these routers were
designed with limitations on the maximum number of connections. Whether
that maximum number is 16 or 32 devices, as soon as the user reaches those
barriers the network will misbehave, and the latest added device will be the
one to blame, while actually, the router is the cause of the issue.
➢ Multiple networks seem to be a solution for the router’s maximum number
of devices limitation. At first, the simple addition of another low-cost router
and creation of a secondary Wi-Fi appears to solve the problem. However,
many mobile applications and direct device connection solutions require
device–device or device–mobile direct connection under the same Wi-Fi
network. In other words, investing on expensive routers capable of hundreds
of devices may be required.
➢ Signal congestion, although not a common issue, is definitely a concern,
especially when a Smart Home is re-establishing itself after a power loss for
instance. As the modem used to reach the internet provider takes significant
more time than most smart devices in the house take to be ready for the ser-
vice, all devices will start seeking connection through other networks, or even
set themselves on pairing mode for reconfiguration. A consumer that is not
well-versed in the wireless networking space will likely get confused through
this process. Close proximity to high power repeaters or too many nearby net-
works is also an issue, quite common in neighborhoods where residences are
close to each other, apartment buildings, and so on.
➢ Construction techniques have not changed over recent years, and the current
approach is not a problem. But unfortunately, homeowners rarely know what
is inside the walls. This is an important factor as installation points for routers,
repeaters, and devices should avoid areas with materials that can cause sig-
nal degradation and other sources of noise. Some examples of issues are large
televisions installed on an adjacent room right behind a wireless router, there-
fore blocking direct signal propagation to other devices; Wireless repeaters or
devices installed by a wall with metal air ducts running inside of it, also degrad-
ing signal quality.
➢ Credentials and provisioning to get a Smart Home Ecosystem configured
are a nuisance as of 2022. Setting up a Smart House running the ecosystem
of one single vendor (i.e. Google Home, Amazon Alexa, etc.), and having over
100 devices from a couple of dozen different manufacturers over Wi-Fi is a
challenge. This scenario is realistic as of 2022 and very similar to the personal
use case the author experienced in his personal Smart Home experiment. The
consumer is required to download the ecosystem mobile application to start the
process, download also a couple of dozen apps one for each manufacturer, and
provide Wi-Fi network provisioning including password and other details to all
100 devices, in most cases individually. After that, a tedious process to link each
device to the ecosystem central application and configure room placement,
access control, and other details is also required. On top of this complexity,
the configuration process for all these vendors varies significantly, but fortu-
nately, the efforts around matter as a standard to solve these challenges are
already becoming a reality confirmed by multiple vendors pledging adoption
of the new standard during the 2022 Consumer Electronics Show (CES).
➢ Privacy and security are still concerns of many users. Whether to install a
thermostat that knows if you are at home, or a camera that provides not just
presence but audio and visuals of the house, consumers express all different
levels of concern while joining the Smart Home trend. This is a limiting factor
as it slows the adoption of IoT technologies that would help drive Smart Energy
Homes use cases.
A study from the Continental Automated Buildings Association published
by Statista Inc. (CABA 2021) and presented in Figure 2.6, shows statistics on
the concerns that affect the United States consumer adoption of smart home
technologies. Personal Information concerns are at 36%.
➢ Debugging issues in Smart Homes is a challenge as tools and applications
are not yet centralized and easy at hand. Statistics on device activity, data
usage, speed, network addresses, and other useful debugging information
are scattered across a multitude of tools, and likely for safety reasons behind
multiple different passwords. Even the lack of a log regarding when each
device was added, using what credentials, to which network, what app it uses,
and how it was linked and configured is an issue, as it is rarely available.
Also, when physical issues arise such as poor signal propagation, excess
noise, spectrum congestion due to apartment complexes and other factors,
measurement equipment such as spectrum analyzers will be required and a
regular consumer will not have access to one.
➢ Power and internet dependency is another concern, especially regarding
security systems and access control. Certain commands like a request to close
the window shades, even those being battery operated, may not get to the
devices if there is a power outage and the internet modem and wireless routers
are inoperative. That could be an issue for a user during vacation and using
automatic control recipes to simulate presence in the house.
Very short-term power interruption off an entire house can also cause incon-
venient situations. Many lighting systems as of 2022 still face issues when the
power goes off and back on quickly, as that is the same behavior of a user flip-
ping a light switch off and on, which will turn the lights on. This example is
recently being solved by some vendors by coordinating data across all light
2.3 Limitations 49
Smart home technology concerns that affect consumer

adoption in the United states in 2021
High set-up cost 43%

High management and
42%
maintenance costs
Too complicated to install and use 38%
Not sure how they use my
personal information 36%
Cannot manually control the
32%
product
Too frequent updates to pay for 31%
Lack of technical support 28%
Apps not updated frequently 20%

Cannot connect to other devices
19%
in the home
Not designed well for elderly
18%
people and users with disabilities
0% 10% 20% 30% 40% 50%
Figure 2.6 Smart home technology concerns that affect consumer adoption in the
United States in 2021. Source: Adapted from CABA (2021)/https://www.statista.com/
statistics/1253083/consumer-adoption-concerns-smart-home-technologies-in-the-
united-states/ last accessed 18 November 2022.
bulbs in the house, but it shows how the consumer may confuse a quick power
outrage with unauthorized access for instance. The author experienced such
situation when a short power outage during the night turned on nearly 40
lights in the house. After a few seconds of confusion, a beep coming from a
home appliance gave away that the reason was a power interruption, not some
unauthorized access. Scary moment waking up to all of that trying to figure
out who was invading the house, well, it was just technology.
One important point, however, is that most conventional devices that
depend on power would not be available to the consumer anyway whether the
device is connected or not. Garage door openers, camera systems, thermostats,
lighting, and others would be inoperative on their non-connected versions
the same.
Unfortunately, this book cannot accommodate providing statistics for all
countries, but to provide a better idea on power disruption and how that may
affect different consumers a brief example for the United States is provided.
The US Energy Information Administration (EIA) has collected and pub-
lished interesting data on how many average hours of power interruption each
consumer experiences in the United States per year (Hoff and Lindstrom 2021),
Figure 2.7 shows this information from the year 2013 up to 2020.
Average duration of total annual electric power interruptions,

United States (2013–2020), hours per consumer
9
8
7
6 With
major
5
events
4 Without
3 major
2 events
1
0
2013 2014 2015 2016 2017 2018 2019 2020
Figure 2.7 Average duration of total annual electric power interruptions, United States
(2013–2020), hours per consumer. Source: Hoff and Lindstrom (2021)/Public Domain.
Another aspect that is very relevant to this scenario is the overall availability
and reliability of your energy provider. The same study from EIA (Hoff and
Lindstrom 2021) also shows the average number of interruptions per state vs.
the total duration of the interruptions in 2020 per state in the United States.
This data is plotted in Figure 2.8 and is worth noting that the United States
has eight states that had more than 15 hours of accumulated interruptions.
Average total annual electric power interruption duration and frequency

per customer, by US state (2020)
4
Maine
Louisiana
Number of interruptions
3
Mississippi
Alabama
Oklahoma
2
Connecticut
New Jersey
Iowa
1 U.S. average
More hours without power in 2020

0
0 5 10 15 20 25 30 35 40 45 50 55 60 65
Total duration of annual interruptions, hours
Figure 2.8 Average total annual electric power interruption duration and frequency per
customer, by US state (2020). Source: Adapted from Hoff and Lindstrom (2021).
2.4 A Look into a Future Anchored in the Past

A lot has happened since the Energy Independence and Security Act of 2007
formally structured the Smart Grid’s needs in a way that the overall industry could
collaborate on a common ground, it triggered significant improvements in energy
management and demand response, therefore enabling broader initiatives like
Smart Cities to get implemented. With the release of Amazon Echo in 2014 and
Google Home in 2016, Smart Homes were finally made broadly available for con-
sumers to experiment with and the deployment of the additional infrastructure
needed for Smart Energy Homes finally started.
Important to remember that both in-house and out-of-the-house infrastructure
are required for advanced Smart Energy Home use cases. It is a must therefore
for research to consider both inside and outside the house to understand where
the future is taking us. This chapter has focused on Smart Homes and referred to
outside-home factors such as the energy grid as a source of energy, but the Smart
Energy Home scenario also considers local power generation through Solar Power
and other means, and also how EVs will play an important role. EVs are discussed
in more detail later, having Chapters 9 and 10 focused on this topic.
The statistics showed that even with the storyline extending for more than
15 years regarding Smart Grid and 8 years for Smart Home assistants, the accep-
tance and implementation are still quite low, and scattered in terms of types of
devices and combinations thereof. Scattered in the sense that research cannot
assume all Smart Homes are, or will be, enabling complex Smart Energy imple-
mentations anytime soon. A home with smart energy meter is not necessarily a
Smart Energy Home; A home with a Smart Thermostat does not necessarily have
Smart Appliances; A Smart Home that has just one smart light bulb cannot be
compared to another with 40, and so on.
Smart thermostats are around a little longer than Smart Home Assistants. The
Nest Learning Thermostat launched in October 2011 (Hu 2011) and is a prominent
example. Even this technology is over 10 years old, according to the Smart Home
Report 2021 – Energy Management from Statista (2021b), Smart Thermostats are
present in less than 3% of global Smart Homes, not to confuse with the 17% specific
to the United States installed base.
Ideally, to enable a comprehensive Smart Energy Home scenario where energy
providers and consumers cooperatively flatten and reduce the demand in the most
cost and energy-efficient way benefiting both sides of the equation, it would be
required that manufacturers, governments, cities, and consumers build a some-
what utopic scenario given the current deployment.
Utopic by making an analogy to the automobile that was first invented and
perfected in Germany and France in the late 1800s (Onion et al. 2018), but still
these days has not reached, or become financially accessible, to all consumers
worldwide. It is also an industry that had not agreed and converged to a single
fuel source, to mention a few, gasoline, ethanol, electricity, diesel, propane, nat-
ural gas, biodiesel, and hydrogen now also showing up as a possible future. This
reference for comparison is quite a stretch, but it shows how difficult it is to scale
up initiatives that cross borders both commercially and geographically.
The Smart Home forecast presented in Figure 2.3 indicates a penetration rate
forecast in the world reaching 21.09% in 2025, indicating that the years ahead
will just scratch the surface in terms of installed base of smart thermostats, smart
appliances, smart lightbulbs, and other devices needed to drive holistic Smart
Energy Home, or even city-wide Smart Energy ecosystems. One should not expect
complex city-wide Smart Energy uses cases including Smart Energy Homes to be
broadly deployed anytime soon. Smart cities will indeed enable that in a select few
cities at a time. But the coordination of Energy Availability, Demand Response,
and inter-appliance collaboration extending beyond the house in a seamless way
to optimize consumption and flatten the demand is a long way ahead in terms of
high-volume deployment.
Before presenting more statistics and projections, let us depict an ideal Smart
Energy Home scenario.
➢ A multitude of Smart Homes is connected to a smart grid and able to cooperate

for energy cost and demand optimization.
➢ A smart energy grid provides energy and data related to cost and availability.
Including historical data, current status, and forecasts. Also capable of receiv-
ing back into the grid energy produced by individual houses.
➢ The Smart Homes having smart energy meters capable of receiving and inter-
preting incoming energy data.
➢ Smart Homes having Energy Management System, acting as a central control
to manage energy use cases within the house. (e.g., Demand Control, energy
allocation, priority requests, etc.)
➢ Smart Homes have broadband internet access.
➢ Smart Homes have a Home Area Network (HAN) to enable connectivity to all
devices.
➢ Smart Homes have a Smart Home Ecosystem capable of interoperability across
all its devices.
➢ Said Ecosystem has self-healing capabilities to recover from power outages and
other adversities.
➢ Smart Homes have means for energy storage (e.g. battery banks).
➢ Smart Homes potentially have local power generation (e.g. Solar panels).
➢ Smart Homes have bidirectional power capability (e.g. for regular consump-
tion, to store and provide locally generated energy back to the grid).
➢ Consumers have an EV capable of bidirectional energy flow. Either charging

at home or bringing energy back home as needed and acceptable based on
customer’s transportation and energy needs.
➢ Smart Homes’ internal network (e.g. wired or wireless) and Energy Manage-
ment System have means to provide device–device connectivity and coordina-
tion even in case the internet is not available. In other words, the system is
robust against internet and cloud systems being unavailable.
➢ Smart Homes have HVAC systems controlled via smart thermostat and are
capable of thermal energy recovery, storage, or repurposing (e.g. laundry dryer
warm air repurposed for other applications).
➢ Smart Homes have home appliances with demand coordination capability,
therefore enabling cycles delay, concurrent activation avoidance, etc. (e.g.
avoid motors starting at the same time for washer and dryer, avoiding refriger-
ator compressor starting up at the same time the dishwasher heater is active).
Said appliances also have a multitude of sensors to provide data to Energy
Management System, such as user’s presence, home temperature and other
variables.
➢ Smart Homes have entertainment systems capable of cooperating with the
Smart Energy House to aggressively optimize energy savings based on house
and user behavior. (e.g., Smart Home detects user left the living room to go
to the kitchen, therefore just listening to the TV, not watching it, and the TV
display backlight brightness can be set to zero.).
➢ Smart Homes have devices to improve natural light and thermal usage, such
as connected blinds, smart air vents, and so on.
A visual representation of this scenario is shown in Figure 2.9. As one can realize
through this figure and description provided, there is a long way to go to develop
Smart Cities with infrastructure and Smart houses as advanced as that.
Although this list may sound like news to professionals starting into the Smart
Energy Home research and development, a good part of it is not. A portion of this
list is already known since Title XIII – Smart Grid Sec. 1301–1308, Statement of
Policy on Modernization of Electricity Grid was published by the Department of
Energy (DoE) Office of Electricity in 2011 (DoE 2011).
The Smart Grid initiative in the US dates back more than 10 years and has
documented most elements required for full Smart Energy Home operation
and automation. However, since the Smart Grid initiative started driving the
installation of Smart Energy Meters, or Advanced Metering Infrastructure (AMI)
as referred by the DoE, it has succeeded, but partially.
The smart meters deployed in the field today in the United States use two-way
communication, but data itself flows just one way, from the home to the energy
provider. Data regarding demand, price, system capacity, etc., is not shared back
SMART ENERGY HOME (1)
Energy
Energy Smart Energy Solar
management
provider meter+ storage generation
system
Electric Internet
EV charging Modem
vehicle provider
Home Area Network (HAN)

(Wireless router)
Entertainment Lighting HVAC Security
Computers, Smart Natural

smartphones, Safety resources
appliances
etc. devices
SMART ENERGY HOME (N)
Energy
Smart Energy Solar
management
meter+ storage generation
system
Electric Internet
EV charging Modem
vehicle provider
Home Area Network (HAN)

(Wireless router)
Entertainment Lighting HVAC Security
Computers, Smart Natural

smartphones, Safety resources
appliances
etc. devices
Figure 2.9 Smart Energy Home ecosystem showing extended scenario. Source: Neomar
Giacomini (co-author) (2022).
to the house through the meter directly, therefore the house cannot rely on it as
a source of data for energy use cases, but there are other solutions for that. These
meters can also receive commands to disconnect or reconnect service of a unit in
case of lack of payment for instance.
The solution for the lack of direct data sharing from the smart meter to the house
is by closing the loop with the energy provider using the internet. The energy
provider captures data from all relevant Smart Meters, compile such data to create
the relevant indicators for each area, and makes this data available in the cloud,
where through regular internet access and Application Programming Interfaces

(API) the Smart Energy Homes can get the data and make operational decisions.
The US Energy Information Administration publishes every year the Electric
Power Annual report (EIA 2021b) containing a great amount of information.
Although being focused only on the US territory, this data is presented to
exemplify that Smart Energy Homes initiatives are heavily dependent on the
infrastructure available outside the house, which is not yet fully deployed yet.
Figure 2.10 shows the data provided regarding metering penetration by technol-
ogy type in the United States. As of 2020, 65% of the US households were equipped
with smart meters. The trend in the past five years is an increase of 4–5% per year.
While looking at this data, it is also important to consider whether that 65% is
evenly spread across residential neighborhoods, cities and states, or unevenly scat-
tered providing no statistically significant coverage for certain areas to consider
energy collaboration at the moment.
Figure 2.11 shows the percentage of Smart Meters in residential units per state in
the United States, this data is from the 2020 Annual Electric Power Industry Report
from the U.S.A. Energy Information Administration (2021a). Washington, DC is at
100% coverage through smart meters but relates to just about 300,000 units, while
New York with 7,253,485 units is at just 13% coverage, but adds up to nearly a
million units.
Metering penetration by technology type in the United States

70% 65%
61%
57%
60% 52%
47%
50% 43%
39% 41%
40%
30%
20%
10%
0%
2013 2014 2015 2016 2017 2018 2019 2020
Advanced Metering Infrastructure (AMI)

Automated Meter Reading (AMR)
Standard (non-AMR/AMI)
Figure 2.10 Metering penetration by technology type in the United States. Source: EIA
(2021a).
% AMI per state (Residential)
AZ TX TN NV DC
100% DE MD OR IL
WY SD WI VT
WA SC NC AK
80% NE
KY CA AL KS MI PA
MT
VA FL OK GA ME
60% NY CT ID MS
MA IN LA AR
40% MO
RI WV CO IA
20% ND OH
NH MN
NM
0% NJ HI UT
Figure 2.11 Percentage of Advanced Metering Infrastructure (AMI) per state as of

December 2020. Source: EIA (2021a).
This breakdown intends to reinforce that the space of inference for new Smart
Energy Home initiatives must be focused on where efforts are coming from all
fronts including energy providers, industry, government, and consumers. Planned
Smart Cities are a great example of that.
Moving inside the house, the first important pieces to analyze the maturity and
penetration ratio are the Energy Management System and Energy Storage.
As of 2022 the Energy Management Systems are in majority available only in
houses with local generation, solar being the main option for consumers opting for
that feature. Such controllers are also in majority capable of bidirectional power
exchange, meaning they have the capability to receive energy and/or provide it
back to the grid.
Such bidirectional approach is a feature also published in Title XIII – Smart
Grid Sec. 1301–1308, Statement of Policy on Modernization of Electricity Grid was
published by the Department of Energy Office of Electricity in 2011 (DoE 2011),
where it reads “The ability to develop, store, send and receive digital information
concerning electricity use, costs, prices, time of use, nature of use, storage, or other
information relevant to device, grid, or utility operations to or from a computer
or other control device,” but note it mentions bidirectional data as well which
currently is quite limited on what the house receives from the grid. The same pub-
lication also mentions EVs in this context of storage as well, “Deployment and inte-
gration of advanced electricity storage and peak-shaving technologies, including
plug-in electric and hybrid electric vehicles, and thermal storage air conditioning.”
Unfortunately, there is still one issue impacting the deployment of technologies
like solar panels, which if solved would drive broader availability of storage banks
and controllers. Currently, the appeal for the consumer is still more on ecological
than financial terms. Even in the United States after a decade of Smart Grid push
and multiple financial incentives for Solar Energy implementation, only a few
locations in the country result in a profitable investment for the consumers (Rogers
et al. 2019).
On top of that, the residential energy storage attachment rate is very low (e.g.
battery backup for the home), in the United States only 8.1% of the residential
units with solar panels in 2020 had energy storage means (Barbose et al. 2021).
The same study also shows that the average US residential solar installation is
6.5 kW, but it can vary widely from roughly 4–10 kW. The importance of this data,
regarding any installation whether in the Unted States or any other country, is
that incentives for the addition of energy storage should be increased, otherwise
solar-powered homes will only be able to collaborate in terms of energy during
daytime when generating in excess, and the installed capacity planned per unit
will likely be specific to its power needs. The result at best would be the unit
working on a direct revenue or credit basis (e.g. provide energy during daytime to
recollect at nighttime, or get discount on a future date), but not storing energy to
support the grid during high demand including nighttime, or emergencies.
From Energy Management System perspective, the current units are focused on
energy management at house level only. However, data availability to enable Smart
Energy use cases across all energy-related devices and appliances inside the house
is still a major gap across the industry.
The development of devices capable of full interoperability depends on vendors
collaborating to standardize data, open interfaces and use cases, both at Energy
Management System level and appliances inside the house. This scenario will
require all vendors to open information to a certain extent to assure that energy
consumption, production and management in a structured manner can be done
across the entire Smart Energy Home and beyond, such as in the case of a
smart city.
To enable that level of interoperability, the European Telecommunications Stan-
dards Institute (ETSI) and European Standards Organization (ESO) that supports
the timely development, ratification, and testing of globally applicable standards
for Information and Communication Technologies (ICT), has developed the Smart
Applications REFerence (SAREF).
The SAREF ontology is a shared model of consensus that facilitates the match-
ing of existing assets in the smart applications domain and has its own dedicated
chapter in this book. Chapter 7 refers to the SAREF ontology and its relationship
with existing IoT ontologies focusing on the Smart Home and Smart Appliances
domains.
Although initiatives such as SAREF provide a great foundation for vendors to
build products enabling energy cooperation, without regulatory efforts requiring
its implementation to be mandatory the deployment of a common language

between all devices will continue at the slow pace we currently see in the market.
Not to speculate and diverge from data and facts too much, but from a rewards
perspective the famous question “What is in it for me?” is key in this scenario.
Will a comprehensive Smart Energy implementation pay back to consumers and
vendors enough to justify the development funding, asset costs, risks, and other
factors? The benefit is clear to the energy providers, energy grid, and overall future
of reliable energy, but at the end of the day it will be either mandated by regula-
tions, or the business case will have to be attractive to all parties, otherwise, this
scenario will not become a reality. Just picture the scenario of a consumer having
to invest thousands of dollars in the current date and having a 5–12 years payoff to
equip a Smart Energy Home with solar panels (Warren 2022), but unable to even
be sure if the family will still reside in that specific house after that period? The
wide range for the payoff period is due to the differences in solar exposure, local
energy cost, system size, type, having energy storage is available or not, and so on.
In January 2022 according to research from Pew Research Center with over
10,000 respondents (Tyson et al. 2022), the share of homeowners who have con-
sidered installing solar panels within the last 12 months in the United States was
39%, with only 8% already having it installed.
With all that in mind, one can wonder whether the technical solutions will con-
verge to enable a full implementation and deployment in 5, 10, or even 15 years
from now. Such prediction is difficult to make in face of constrains that show up
along this process.
One example of a constrain that recently showed up in the United States is the
newest version of the Net Energy Metering (NEM) program in California. The state
has been a successful example in recent years with incentives to get consumers
installing solar power, but the new NEM 3.0 is raising big concerns.
Net metering in its standard approach pays back one-for-one for energy deliv-
ered back to the grid from residential solar panels, but that changed in 2016 when
NEM 2.0 was introduced. Homeowners started receiving two cents less per kWh
delivered back to the grid. The newest version of the NEM program may cut the
one-for-one to a half-to-one, or even more, making the investment in solar panels
even less attractive. The California NEM 3.0 rulemaking process can be followed
through the California Public Utilities Commission website (CPUC 2022).
Given this scenario, at the same time the technical community craves for
regulatory efforts to enforce adoption of common protocols and practices to
enable Smart Energy homes, the willingness from a consumer’s perspective to
adopt it, and invest considerable budget in it, is being challenged.
Knowing that other major initiatives such as Smart Grid are already taking more
than a decade to become a reality with a large footprint, especially when consider-
ing global deployment, if one had to predict when fully equipped self-managed
2.5 Conclusion 59
Smart Energy Homes will be implemented at scale globally, it should not be a

reality is less than 10 years. Hopefully, given the increasing global energy chal-
lenges and increase in EVs deployment, the push for fully integrated Smart Energy
Homes will increase.
2.5 Conclusion
These are exciting times, the technologies needed both in terms of hardware and
software are out there and just need to converge to speak a common language in
order to enable a promising home energy management future.
Incentives that provide financial benefits and reliable energy to the consumer,
and result in commercial advantage to vendors will be key to drive momentum on
the Smart Energy Homes space. Whether this is driven through regulatory efforts,
governmental funding programs or any other front, that is not really a concern as
long as it happens.
The digitalization that is happening all around the globe, increase in the volume
of EVs, and connected home appliances even still operating isolated from Energy
Management System will continue building the foundation needed for the energy
scenario depicted in this chapter. A great advantage of many of these appliances,
even still operating isolated from Energy Management System is that many of
them have over-the-air (OTA) software update capability, which means these
devices may not be compliant with a common language to enable interoperability
today, such as the SAREF ontology described on Chapter 7, but they can still
receive OTA updates pushed through the internet by the vendor and enable such
functionalities.
Aside from the regular appliances included in Table 2.2, the biggest challenge
seems to be in the Energy Management System. This device will require
self-adapting capabilities to understand each different household, build a reason-
able model and database of their capabilities and be able to interact with the energy
grid controllers even with the houses not containing the same device types, quanti-
ties, features, and energy capabilities. The need to be capable to analyze the house
digitally enabled devices and build its digital twin will be a challenging task, but
necessary. As IBM defines, “A digital twin is a virtual representation of an object or
system that spans its lifecycle, is updated from real-time data, and uses simulation,
machine learning and reasoning to help decision-making” (IBM 2022).
In summary, the next decade will be a waiting game for the consumers, and a
push–pull in the technology community to find the right middle ground where
everyone operates with competitive advantage in this scenario, but sooner or
later it will come to reality, and with the right push a 10-year timeframe seems
reasonable.

6LowPAN IPv6 over Low-Power Wireless Personal Area Network
AMI Advanced Metering Infrastructure
API Application Programming Interfaces
CABA Continental Automated Buildings Association
CSA Connectivity Standards Alliance
DoE Department of Energy
EIA Energy Information Administration
ESO European Standards Organization
ETSI European Telecommunications Standards Institute
EV Electrical Vehicles
HAN Home Area Network
HVAC Heating, Ventilation, and Air Conditioning
ICT Information and Communication Technologies
IFTTT If This Than That
IoT Internet of Things
IVA Intelligent Virtual Assistant
OTA Over-the-air
SAREF Smart Applications REFerence
WHO World Health Organization
Glossary
Communication technologies Electronics apparatus that enable different
devices to exchange information.
Connected devices Products (end-user devices) that use communication
technologies to maintain a link to an online service or another product.
Credentials Username and password to enable access to a service.
Congestion In communication technologies it relates to a moment in time
when more data is flowing through a communication channel than it is
capable of handling, therefore causing delays.
Debugging Action of monitoring data and actions to identify possible issues.
Ecosystem The macro scenario is created while all parts of a system and
multiple systems are in place operating and cooperating.
Home Area Network The communications infrastructure of a house,
popularly usually expressed as “the house WiFiTM .”
Internet of Things The interconnection via the internet of devices enabling
them to send and receive data.
References 61
Mesh A mesh network is a network in which devices (nodes) are linked

together and branch further using each other as communication bridges.
Metering The act of measuring energy used by a house.
Ontology A set of concepts and categories that shows their properties and
relations.
Penetration rate A percentage that indicates the deployment of technology in a
given region.
Provisioning The process through which a communications technology accepts
a new device in the network and assigns an address, access type, and other
information.
Smart Home A home which contains an IoT ecosystem.
Smart Energy Grid A Energy grid with enhanced capabilities in terms of
energy measurement, distribution, and communication with the end users.
Standard A formal agreement in the industry to enable multiple companies to
design towards the same set of requirements.
Virtual assistant A device/service that enables users to request/assign tasks
from devices in the Smart Home Ecosystem.
Wireless Related to communication technologies that use over-the-air
communication means.
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65
Household Energy Demand Management

Esther Palomar, Ignacio Bravo, and Carlos Cruz ∗
Department of Electronics, University of Alcalá, 28871, Madrid, Spain
After reading this chapter you should be able to:

● Understand the demand-side management (DSM) umbrella term for the current
energy efficiency of the demand side.
● Identify the technical components and applications related to the organization
and management of energy demand at home.
● Understand the key elements for the development of demand response (DR)
programs to address energy efficiency challenges.
3.1 Introduction
Energy efficiency is emerging as a key element in tackling climate change and

reducing our carbon footprint (Iralde et al., 2021). Towards the transition to a
more sustainable energy-efficient reality, government, research institutions, and
industry are orchestrating a number of measures that could inspire consumers’
lifestyle choices such as, for instance, the use of hybrid/electric vehicles, food
from sustainable agriculture and/or energy-efficient household’s tools and appli-
ances. Public financial and funding instruments are also providing programmed
support, e.g. equipment retrofitting, building insulation, or renewable generation
for self-consumption that can contribute to significantly mitigate greenhouse
emissions and foster energy communities (Caramizaru and Uihlein, 2020; Gruber
et al., 2021). Moreover, smart appliances and other connected devices are raising
*Corresponding author email: [email protected]

66 3 Household Energy Demand Management
expectations for the potential of Information and Communication Technologies

(ICTs) in deploying Demand-Side Management (DSM) and Demand Response
(DR) programs to reduce demand peaks and induce a behavioral change in
consumers (Wilhite et al., 2000).
DSM and DR are considered as reference tools for encouraging reductions
in energy use and resource optimization (Hu et al., 2013; Rajasekhar et al.,
2019; Chen et al., 2021). Due to technology advancement of smart grids such as
intelligent energy management systems (EMSs), Advanced metering infrastruc-
ture (AMI), and information technologies compatible with smart grids, power
system operators in several developed countries have adopted DR strategies and
developed a variety of technical instruments (Waseem et al., 2020; Sezgen et al.,
2007; Siano, 2014; Pfeifer et al., 2018). For instance, Waseem et al. (2020) present
an exhaustive analysis of the methods and strategies for air conditioners’ load
control and the implications of implementing DR programs over their total energy
utilization in residential buildings. Simulated results revealed obvious effects in
load control during peak demand hours at several locations, e.g. reducing about
9% of the total peak demand under certain situations in Australia and United
States where a price reward strategy is deployed and customers are provided with
smart devices to control ACs events and usage hours.
Technology has a significant role to play in providing an effective market frame-
work for consumer engagement in DR programs. When deploying price-based
strategies (also known as indirect load control), consumers have to shift their
‘controllable’ loads (swimming pool pump, electric water heater, dishwasher,
clothes washer, dryer, AC, and electric vehicle) to off-peak periods for the
reduction of electricity bill, while it also provides a reduction in peak demand
of the total system (Vivekananthan et al., 2014). Therefore, customers must have
access to simple methods of forecasting prices. To encounter this challenge,
technology can have a role in facilitating an efficient response to DR signals. From
the perspective of consumers, this can be achieved by i) providing information
about the use of electricity at a particular point in time, ii) providing information
about the cost/price of electricity at a particular point in time, and iii) assisting
consumers to respond to price signals (or any other type of event). For the latter,
home automation technologies together with Home Energy Management Systems
(HEMS) help consumers to assess the information and make an informed deci-
sion, i.e. load curtailment, load shifting, and fuel substitution. Such automation
can be undertaken based on the preferences of consumers, while it avoids the
need for constant decision-making by consumers (Sezgen et al., 2007).
This chapter overviews the current landscape of the technical characteristics of
the home automation environment that allow consumers to engage in DSM and
DR programs and systems. The focus is on describing the main communication
infrastructures and protocols as well as the software and hardware platforms used
for different smart grid and Internet-of-Things (IoT) applications at household

level. Cost-effectiveness, compatibility, scalability, security, configuration, and
lightweight design properties are reviewed within the most relevant demonstra-
ble pilots and marketable solutions deploying DSM and DR programs. Energy
preservation and its benefits from both individual and aggregated approaches
to DSM are also analyzed among the clean energy initiatives (Abi Ghanem and
Crosbie, 2021).
3.2 Technical Opportunities and Challenges for DSM

Under the IoT umbrella concept, research and development conducted on smart
homes have raised a variety of opportunities to increase energy efficiency at
home by extending the network assets as a cyber-physical smart system and
IoT-enabled sensor data (Li et al., 2011). Appliances and user devices can be
accessed, managed, and controlled by autonomous hardware platforms according
to a day-ahead schedule or by receiving commands from anywhere in the world.
Moreover, web-based and mobile-based technologies have gained their impor-
tance in this cutting-edge technology as enablers of user-friendly applications
(Lobaccaro et al., 2016).
Indeed, smart appliances and connected devices are increasingly offering bene-
fits in terms of energy and bill savings. However, to find a single application that
helps consumers to configure, manage, and monitor all these devices and so their
information is not an easy task (Dusparic et al., 2017). One of the main challenges
relates to the number of different standards and communication protocols that
are being used for device and sensor communication. Scalability is also at stake
(Plantevin et al., 2017). This section outlines the advances on software, hardware,
and communication networks to counter these challenges.
3.2.1 Software Solutions

Consumer electronic device control, energy management, and efficiency home
automation have become a reality through a number of industry and research
projects, solutions and services proposed (Han and Lim, 2010). Consumers
nowadays are capable of obtaining real-time appliance-specific breakdown of
energy consumption by deploying sensors (e.g. smart plugs) that monitor the
consumption of each appliance. Though deploying such a sensing infrastructure
could be costly and not that easy to configure in some cases (Li et al., 2018), the
home energy management system market size is experiencing healthy growth
and a broad market of technologies and services that consumers use to better
manage and control their home energy consumption and production is emerging
as suitable for any budget (Mahmoudi et al., 2017).
Appliance load monitoring (ALM) and remote control are popular services
within HEM that provide adaptive information and applications to consumers
anywhere anytime using different devices. For instance, consumers can obtain
and visualize appliance-specific energy consumption statistics that can further
be used to devise load scheduling strategies for optimal energy utilization (Zoha
et al., 2012). There are two major approaches to ALM, namely intrusive load
monitoring (ILM) and non-intrusive load monitoring (NILM). ILM method is
more accurate in measuring appliance-specific energy consumption compared
with NILM since it requires one or more sensors per appliance, whereas NILM
requires only a single meter per house or a building that is to be monitored.
High costs and multiple sensor configurations, installation complexity as well
as the large-scale smart meter deployments worldwide favored the use of NILM,
especially for the case of large-scale deployments. However, the complex task of
energy disaggregation is then needed to estimate the energy consumed by every
individual appliance in a house from a single energy measurement device like a
smart meter (Tabatabaei et al., 2016).
The emergence of low-cost platforms has fostered the proliferation of smart
home energy controllers and application programming interface (API) (Mhanna
et al., 2016). Smart energy controllers or HEMS are the technologies that can
respond to altered conditions independently with minimum human intervention.
HEMS can shift or curtail the demand in response to the electricity price and/or
according to the resident comfort to optimize the electricity consumption at peak
hours.
Home energy controllers can be developed through open source and locally
hosted platforms such as Mozilla WebThings (Stark et al., 2020) or OpenHAB
(Parocha and Macabebe, 2019) amongst others. For instance, Home Assistant
(Ali et al., 2020) offers reliable, secure, and flexible HEMS on a dedicated board
to control and monitor home devices through an app. The system shows at a
glance how much it is consuming, producing and where this energy is going.
Automation rules can be triggered by a variety of events such as when a specific
message is received on given Message Queuing Telemetry Transport (MQTT1 )
topic. This feature is particularly interesting when participating in automated DR
(Jia et al., 2018; Jahić et al., 2021) where an automation DR server facilitates the
consumer response to a certain strategy like the real-time price, the proximity to
periods of high demand, or the availability of supply from local renewables. In
fact, scheduling optimization in HEMS is an NP-hard problem involving a large
number of variables and constraints, i.e. the arbitrary dynamics of renewable
energy, consumer demand, consumer behavior, and electricity price.
1 MQTT is a popular IoT messaging protocol, offering publish-subscribe, one-to-many

messaging mechanisms across standard Internet connections (see Section 3.2.3).
Automated DR strategies and algorithms have been mostly addressed by

machine learning and optimization scheduling techniques including artificial
neural network (ANN) control, fuzzy logic (FL) control, control by genetic
algorithms (GAs), and other evolutionary methods discussed in Logenthiran et al.
(2012) amongst other meta-heuristics such as particle swarm optimization (PSO),
linear optimization and/or Markov decision process (MDP) (Tan et al., 2020). The
optimized schedule is devoted to set an optimal policy of the set of appliances to
be controlled according to a given objective, e.g. bill reduction so minimizing the
total cost of energy consumption at the consumer’s house. Laboratory testbeds
and living-lab pilots have demonstrated that usage awareness and scheduling
optimization alone have the potential to reduce consumption by 15% in private
households (Cabras et al., 2015).
Aggregation algorithms emerged aiming at ensuring the optimal utilization of
energy resources and the stability of the system (Cruz et al., 2019). Andruszkiewicz
et al. (2021) proving that large residential consumers aggregated by tariff incen-
tives may have a significant impact on the power system’s load. The roles and
business models that are taken on by aggregators are quite varied, e.g. the energy
provider, retailer, or the balance responsible party. Generally, the aggregator
represents the energy-sharing coordinator of various technological components
in the energy community aiming at balancing generation and load as well as
at optimizing some goal like minimal price or maximal self-consumption. This
is often done with the help of demand-side management, day-ahead operating
scheduling, and/or flexibility transaction (Good and Mancarella, 2017).
Scalability and interoperability issues are trying to be solved through technical
specifications in consensus and, for instance, the Smart Appliance REFerence
ontology (SAREF) (Daniele et al., 2015) that seeks semantic interoperability
of smart devices. Most of the aforementioned application-layer APIs allow IoT
service developments and assist in embedding the system nodes with minimal
effort as well as hiding network-layer functions (Koshizuka and Sakamura, 2010).
Dealing with scalability, they have adopted the ubiquitous ID (uID) architecture
that defines a semantic knowledge back-end database providing a unique iden-
tifier (called ucode) that is separate from network addresses. Unlike network
addresses, ucodes are assured to be always unique, static, and never reused, all
of which are necessary for the knowledge data using them to remain useful even
after the network topology and connected object change.
3.2.2 Hardware Platforms

The aforementioned strategies or algorithms may lose efficacy in real projects
due to the interdependence and interplay between the cyber system and phys-
ical system (Jia et al., 2018). Many smart devices such as smart meters, smart
appliances, and smart plugs have been used to support smart buildings so as to
assist homeowners to control the electrical appliances remotely from their smart
phone and make better decisions about energy consumption (Ahmed et al., 2015).
In addition to controllable appliances, plug-in hybrid electric vehicle (PHEV)
technologies will expectedly penetrate into smart homes because of their environ-
mental advantages. Apart from real-time monitoring of controllable loads, these
devices can offer sufficiently advanced electronics on-board to support automated
DR systems such as load scheduling and instantaneous load interruption (Raste-
gar et al., 2016). For example, washing machines, dishwashers, electric vehicle
(EV) charging, electric storage heating, and AC systems among others, are loads
that could be intelligently scheduled to stagger instantaneous load through the day
Jahić et al. (2021).
Proposed HEMS architectures locate a central unit as a primary piece of
hardware for the HEMS acting as the central point for all the communications
and data transmission between energy management devices, the consumer, and
household appliances (Solomita et al., 2004). In 2006, Whirlpool corporation’s
HEM controller (Ghent, 2006) could manage the energy usage in home-based
devices which received information regarding the off-peak time slots for the
day. Current research and developments are applying cost-efficient platforms for
HEMS implementations paying special attention to cost-effectiveness, compati-
bility, and versatility (Saleem et al., 2019). Table 3.1 compiles a state-of-the-art on
these developments. For instance, the emergence of inexpensive microcontrollers
such as Arduino (2021) has also enabled the implementation of low-cost energy
services so as to generate energy demand profiles and predictive pattern (Amer
et al., 2015). Similarly, current models of the Raspberry Pi (Qureshi et al., 2017)
are integrating communication protocols of interest in the smart home such
as Bluetooth, WiFiTM and Zigbee (Baraka et al., 2013). The BeagleBone Black
(Skeledzija et al., 2014) is another open-source hardware platform dedicated for
devices’ control and the Libelium Waspmote (Quintana-Suárez et al., 2017) that
has built-in sensor monitors to develop remote monitoring system.
3.2.3 Communication Infrastructures

A number of architectures for HEMS have been conceptualized, designed, and
built upon various networking and communication protocols along with specific
hardware implementation (Mahapatra and Nayyar, 2019). Proposed architectures
are generally divided into two environments, i.e. home and the outside world,
which communicate through an access point, gateway, or home energy controller.
This gateway, which is one of the critical components of the HEMS, is regarded
as a middleware between the cloud layer and the sensor layer. It reports the data
acquired from sensors to the cloud while delivering commands generated by the
Table 3.1 Hardware platforms (a benchmark study – May 2022).
Communication Operating Power

Hardware Features transceivers system consumption Strengths/weakness
Raspberry Pi 3 1.2 GHz Quad Core 4 USB, Wi-Fi, Raspbian 1.8 W Open-source platform;
BCM2837 64bit CPU Bluetooth, optional Ubuntu Use Python or C++;
1GB ZigBee and Z-Wave Windows 10
Arduino 32 MHz Micro WiFi, Bluetooth, Processing-based 0.2W Open-source platform
controller ZigBee, GSM hardware/software;
based on ATmega2560 High flexibility.
32 kB Appliances compatibility
BeagleBone 720 MHz 1 USB port, PLC, Angstrom Linux 1W Open-source platform
MR Cortex-A8 Bluetooth, Ethernet similar to Raspberry;
processor
Easy setting up.
512 MB
RADXA ROCK Pi 4 is a WiFi, Bluetooth 5.0, Linux 2.3 W Open-source platform;
Rockchip USB Port, GbE LAN High flexibility.
RK3399 based SBC
Libelium 14.7 MHz 1USB, 802.15.4/ZigBee Linux 2W High flexibility;
Waspmote ATmega1281 LoRaWAN,WiFi PRO Starter kit:200;
28 kB GSM/GPRS,4G modules ZigBee,WiFi and
LoRaWAN support
(Continued)
Communication Operating Power

Hardware Features transceivers system consumption Strengths/weakness
Xilinx Spartan 16 Mb SPI flash Ethernet, USB port Linux 2W SH, Deep Learning,
memory, Autonomous System
100 MHz
PYNQ Embedded systems Bluetooth, Ethernet, Linux 2.3 W IoT hardware
Xilinx USB port development in Python
Zynq Systems on Chips
(SoCs)
Control4Home Control4Home owners Bluetooth, WiFi Licensed – Operation with
Automation enjoy personalized Z-Wave and ZigBee Internet connection;
smart living Not user installation
experiences
Nexia Smart home Z-Wave Licensed – No knowledge of
automation system installation required/
Only Z-Wave support;
Low compatibility
LG smart Control key features on WiFi Licensed – No knowledge of
appliance LG smart appliances installation required/
from your smartphone Only for LG appliances
cloud layer to actuators (Jia et al., 2018). Gateway, smart sockets, and sensors,
which are physically connected to the smart appliances, support appliance-based
metering, and direct load control. Besides, the consumer’s household can be con-
trolled from anywhere and at any time by a smartphone.
Within the Home Area Network (HAN), ZigBee and IEEE 802.15 Wireless
Personal Area Network (WPAN) are generally adopted as communication
methods for the smart appliances integration and data transmission (Andreadou
et al., 2016). For instance, ZigBee (Bilgin and Gungor, 2012) offers an adequate
communication range up to 100 m with a low data rate (up to 250 kbps) and a
low power consumption. Z-Wave (Mahmood et al., 2015) is used for short-range
communication due to the low communication latency in small data packets.
Others like Bluetooth, WiFi, and 6LoWPAN (Leithon et al., 2020) are also widely
used in HEMS over short distances (Collotta and Pau, 2015). By contrast, Power
Line Communications (PLC) are commonly applied to wired smart meters for
remote monitoring and load disaggregation.
For prosumers, the energy generation of solar and/or wind power system can
be monitored through a renewable energy gateway (Zafar et al., 2018). The solar
power system generally comprises solar panels, PLC modems, a solar inverter, and
a Renewable Energy Gateway (REG). A PLC modem is deployed on the back side of
each photovoltaic (PV) module. PLC modems have both sensing and communica-
tion capability. They measure the voltage, current, and temperature of the attached
PV module and communicate with the REG through the DC power line. The solar
inverter converts DC power to AC power; it also monitors accumulated energy and
transient power and reports it to the gateway. The wind power system comprises
a similar architecture. This renewable energy gateway transfers the gathered data
to the home energy controller through Ethernet in most cases. Furthermore, the
REG has both wired and wireless communication capabilities. The home energy
controller analyses the data and produces the energy and power generation profile
(Han et al., 2014).
Some architectures include aggregation logic into the neighbourhood area
network (NAN), which collects data from multiple local HANs’ gateways and
sends it to a data concentrator. In some cases, Thread, a low-power IPv6-based
mesh networking technology for IoT, provides security and reduces complexity
within the NAN environment. This technology uses 6LoWPAN under the IEEE
802.15.4 wireless protocol (Aradindh et al., 2017). The use of fiber optics is also
justified when a high data transmission rate is required (Shakerighadi et al.,
2018). Cellular networks such as 5G/4G LTE wireless service can also be used for
higher performance and speed, as well as a lower latency (Huang et al., 2012).
For instance, cellular network standards based on WiMaxTM and GSM are
suitable for the Wide Area Network (WAN), which connects to the service or
utility provider (Saleem et al., 2019). GSM is a low-cost communication system
with an excellent signal quality that is also implemented between several home
energy controllers. Low Power Wide Area Network (LPWAN) and 5G protocols
demonstrate high speed and responsiveness, and operate in various licensed and
unlicensed frequency bands, though their application to IoT communications
remain slow and other technologies seem more promising at present when several
devices are involved. For example, long range (LoRa) LPWAN meets most of the
IoT challenges and applications (Han et al., 2015). Table 3.2 highlights the main
characteristics of the examined technologies and includes recommendations on
the most appropriate areas of application.
3.2.4 Communication Protocols

Current communication architectures within the smart home could design the
device interaction through (i) user datagram protocol (UDP) sockets, where there
is no connection between client and server; (ii) MQTT (Light, 2017), which is
created to connect devices that allow data encryption; and/or (iii) Constrained
application protocol (CoAP) (CoAP, 2020) over Datagram Transport Layer Secu-
rity (DTLS), which guarantees the confidentiality and integrity of the content for
the data transmission. Simulated experiments such as in Venckauskas et al. (2019)
and Chen and Kunz (2016) have studied and compared these protocols and others
according to the restrictions given by the application and transport layer require-
ments (see Figure 3.1). Relevant conclusions are as follows:
● UDP Sockets: Each clientserver application operates on a channel communi-
cation based on UDP over the IEEE 802.11 standard. The channel descriptor,
i.e. socket, indicates the communication protocol deployed, the socket network
address, the local and remote IP network address, and the port number. Each
client-server application is therefore uniquely identified. Figure 3.2 illustrates
the interaction of clientserver communication. It is not necessary to establish
or release the connection under UDP, since the data is directly sent indicating
(within the data structure) the destination address.
● MQTT: Widely used among IoT devices due to its high portability and reduced
consumption in terms of memory and power, MQTT protocol also assures
secure communication with Transport Layer Security (TLS) on the port 8883. It
implements a publish/subscribe communication mechanism for one-to-many
data transmission as shown in Figure 3.3 and can establish three different
levels of quality of service (QoS): Level 0 sends the message at most once
following the message distribution flow and does not check if the message
reaches its destination; level 1 sends the message at least once and guaran-
tees that the message is received, but causes inconsistencies to the server
if the message is delivered more than once; and level 2 sends the message
exactly once.
Table 3.2 Communication infrastructures (benchmark study – May 2022).
Max. Power Transmission Application Encryption/

Technology Standard data rate Frequency band consumption range Strengths areas authentication
Bluetooth IEEE802.15.1 24 Mbps (v3.0) 2.4 GHz Low 10 m typical Small networks HAN Challenge
Security, speed response
Easy access scheme/
CRC32
Flexibility
WiFi EEE802.11x 11,54 to 2.4 GHz Very high Up to 100 m Popular in HAN HAN 4-Way
300 Mbps 5 GHz Speed, flexibility handshake/
outdoor CRC32
Z-Wave 802.11 100Kbps 2.4GHz Low 30 m indoor; No interferences HAN, NAN AES128/32bit
868.42 MHz 100 m home I.D
(EU) outdoor
ZigBee IEEEE802.15.4 256 Kbps 2.4 GHz Very low 10–100 m Low cost HAN,NAN ENC-MIC-128
Low consume Encrypted
Flexible key/CRC16
topology
LPWAN SigFox 0.3 to 50 kbit/s 915 MHz Low 10 km in Low power NAN,WAN Symmetric key
LoRaWAN per channel open space Low cost cryptography/
NB-IoT AES 128b
(Continued)
Max. Power Transmission Application Encryption/

Technology Standard data rate Frequency band consumption range Strengths areas authentication
6LoWPAN IEEEE802.15.4 250 Kbps 2.4 GHz Low Up to 200 m Low energy use HAN, NAN Symmetric key
cryptography/
AES 128b
GSM/GPRS ETSI GSM 14.4 Kbps 935 MHz Low Several Km Low cost HAN, NAN 64 bit A5/1
EN 301349 (GSM) Europe Signal quality WAN encryption/
EN 301347 114 Kbps 1800 MHz Session key
(GPRS) generation
WLAN IEEE 802.11 150 Mbps 2.4 GHz Low 250m Robustness HAN, WAN WEP, WPA,
Europe WPA2/Open,
Shared EAP
5G 5G Tech Tracker 20 Gbps 3400-3800 MHz Very Low 46 m indoor; High speed HAN, WAN Symmetric key
awarding trial 92m outdoor Low latency encryp-
licenses (EU) tion/Mobility
management
entity
3G/4G UMTS 14.4 Mbps 450,800 MHz Low Up to 100 m Fast Data HAN,WAN CDMA2000
1.9 GHz Transfer /Authentica-
tion and Key
Agreement
Custom
Application HTTP/S MQTT CoAP
protocol
Transport TCP UDP
Network IP
WiFi - IEEE 802.11x - 2.4 GHz - 867 Mbps - Up to 100 m
Bluetooth - IEEE 802.15.1 - 2.4 GHz - 24 Mbps (v3.0) - 10 m
Link Zigbee - IEEE 802.15.4 - 868.42 MHz - 250 Kbps - 30 m
Zwave - 802.11 - 2.4 GHz and 868.42 MHz (EU) - 30 m
Figure 3.1 Protocols for IoT systems, adapted from Cruz et al. (2020).
Server Client
socket ( ) Socket creation and association

socket ( ) Socket
bind ( ) creation
DATA sendto ( )
recvfrom ( ) Data
UDP (802.11) transmission
blocked until blocked until
data is received data is received
processing of Socket
received data socket ( ) creation and
association
socket ( )
DATA vector
CONFIRMATION recvfrom ( )
sendto ( )
UDP (802.11)
exit succes
Figure 3.2 UDP communication clientserver, adapted from Cruz et al. (2020).
● CoAP: Specially designed for Machine-to-Machine (M2M) applications such

as smart energy and building automation, and IoT environments (devices
and networks with limitations, e.g. low power, and/or low data rate), the
communication is based on UDP for reducing the communication cost, and its
request/reply packet structure is made very compact to be used on low-power
lossy networks like 6LoWPAN over IEEE 802.15.4 (Yashiro et al., 2013). It
is based on the Representational state transfer (REST) model: Servers make
resources available under a Uniform Resource Locator (URL), and clients
access these resources using web transfer methods. It also provides strong
Client Server
SYN
[SYN,ACK]
TCP connection
establishment ACK
CONNECT COMMAND
ACK
CONNECT ACK
PUBLISH
PUBLISH('QoS1)
TCP connection PUBACK

& DATA publish
PUBLISH('QoS2)
PUBREC
PUBREL
PUBCOMP
DISCONNECT REQUEST
ACK
TCP connection [FIN,ACK]
establishment
Figure 3.3 MQTT Handshake communication clientserver, adapted from Cruz et al.
(2020).
security over DTLS: CoAP’s default choice of DTLS parameters is equivalent

to 3072-bit RSA keys. In particular, the implementation can be performed by
DTLS v1.2 under FreeCoAP, a C-library developed for GNU/Linux devices
using GnuTLS. Figure 3.4 illustrates a DTLS session procedure where both,
client and server, are equipped with certificates and private keys. Experiments
(Martí et al., 2019; Iglesias-Urkia et al., 2017; Kothmayr et al., 2013) show
performance efficiency and interoperability as key advantages of CoAP in
comparison with other protocols such as MQTT.
Further empirical analysis of these communication protocols on a DR pilot is
described in Section 3.3.
Client Server
Listening
ClientHello
HelloVerifyRequest
ClientHello
ServerHello
Certificate
Cipher suite:
TLS_ECDHE_ECDSA_AES_128_GCM_SHA256
DTLS handshake
Certificate request
Server Key Exchange
ServerHelloDone
Certificate
Cipher suite
Certificate Validated
Client Key Exchange
ChangeCipherSpec
Finished
ChangeCipherSpec
Finished
Application Data
Figure 3.4 CoAP DTLS Handshake communication clientserver, adapted from Cruz et al.
(2020).
3.2.5 Security Concerns

HEMS and DR systems are becoming part of the critical infrastructure for electric
power since they can be often seen as virtual generators (Mohan and Mashima,
2014). The two-way communication capability of the smart grid and the recent
cloud-based energy management services (Chen and Chang, 2015, 2016) are
enabling command-response exchange between DR servers, aggregators and
home energy controllers through the Internet. For instance, some cloud-based
deployments take advantages of big data analytics for energy that can be leveraged
for improving the performance of DR programs.
However, the 3-domain architectures for energy management that count on
aggregators include additional security concerns in terms of data and communi-
cation protection as well as critical assets protection. On one hand, DR clients
or home energy controllers interact with the physical electric equipment to
shed load or to programmatically alter their loads. Legitimate2 HAN devices are
2 A HAN device is considered as legitimate if the digital certificate provided by the HAN device
is signed by a trusted certification authority. The digital certificate of the HAN device needs to be
stored in a tamper-resistant hardware to ensure its integrity.
non-malicious devices equipped with sufficient functions for energy services and
well-tested for interoperability with energy controllers, and service providers
(Tanaka et al., 2012). On the other hand, electric utilities provide their cus-
tomers with metering data, pricing information, and demand response signals
as commercial energy services through their smart meters or dedicated APIs.
Communication channels between these assets should therefore comply with
cybersecurity frameworks for critical infrastructures such as NIST (Tibbals and
Dolezilek, 2006) and domain-specific standards like OpenADR 2.0 (OpenADR
Alliance, 2013).
Most of these security specifications and standards for DR communications
require TLS with client authentication. This mechanism is an effective solution
for communications security even when the deployments migrate to cloud. The
use of Extensible Markup Language (XML) Signatures are also proposed for
non-repudiation as an optional measure, which is an effective solution. More-
over, in non-cloud deployments, cyber vulnerability assessment would require
evaluation of the deployment infrastructure of the DR provider, but migration
into cloud changes the attack surface of the DR system, which requires the
reconsideration of requirements for deployment of intrusion detection systems,
network monitors, etc. The protection of electronic access points and security
perimeters becomes the responsibility of the cloud provider.
Different types of attacks and/or risks (Park et al., 2019; Hennebert and Santos,
2014) could be mounted to assess the degree of the data, system, and communica-
tion security and privacy within the HEMS under the relevant security properties,
i.e. availability, confidentiality, and integrity, as follows:
1. Eavesdropping attacks: The adversary tries to intercept packets, to find

credentials (client IDs, usernames, or passwords), and to connect to the
server in case these credentials are found. The server manages to block all
anonymous connections using authentication mechanisms. When DTLS/TLS
is implemented, an attacker does not listen to the transmitted messages.
Message reply attacks are also prevented as the attacker is not able to replay
the session with the previously exchanged information.
2. Message modification attacks: The adversary tries to generate packets as
to raise errors on the server that affect the hardware platform performance.
A secure channel prevents the modification of messages. The attacker exploits
the attack, e.g., by sending manipulated preferences to the server or can also
delete some of the exchanged messages if sufficient control over the network
infrastructure is achieved.
3. Spoofing attacks: Messages exchanged between trusted peers are safe from
spoofing if they are encrypted by authenticated public keys. Therefore, the
attacker cannot complete a correct authentication.
4. Attacks against the public key authentication process: DTLS/TLS suites

are negotiated between server and client and both exchange information that
allows them to agree on the same secret key. For example, with RSA, the client
uses the server’s public key, obtained from the public key certificate, to encrypt
the secret key information. The client sends the encrypted secret key informa-
tion to the server. Only the server can decrypt this message because the server’s
private key is required for this decryption. Data transmission is then encrypted
in Galois/Counter Mode (GCM) mode. The design of Mac – then – Encrypt is
applied to authenticate the Elliptic Curve Digital Signature Algorithm (ECDSA)
key exchange to prevent attacks.
5. Ensuring data integrity: Any modification to DTLS/TLS messages can be
detected.
6. Spoofing of IDs: The so-called IP spoofing is a technique in which TCP/IP or
UDP/IP data packets are sent with a spoofed sender address. TLS/DTLS add a
cookie sent by the server as protection against spoofing. This mechanism forces
the attacker/client to be able to receive the cookie.
7. Brute-force attacks: The adversary tries to break the password-based authen-
tication by creating a list of words and attempts to guess valid credentials by
brute force. In order to prevent password cracking, passwords and default user
accounts should be disabled. Additionally, the secure communications proto-
col SSH must be secured by allowing the access to machines with authorized
secure shell (SSH) keys only.
8. Denial of service attacks: The TLS stateless cookie is a protection against
possible denial of service (DoS) attacks. This mechanism does not provide any
defence against DoS attacks from valid IP addresses.
In case of a private server hosted in-house, the entry point for the adversary is
limited to the open network ports. However, on the cloud, physical isolation of the
hardware is not always guaranteed, whereas some functionality or resource could
be shared with other tenants. Data provided by HEMS offers more rich information
making it possible to identify consumers’ usage habits and socio-economic status,
appliances/devices, energy sources, and automation routines, which may not be
available with other electricity meters. As a result, it provides a larger surface area
for privacy invasions than data from other smart home systems and devices. Data
has to be protected against other tenants, external entities, and a cloud service
provider. While implementing data encryption and access control may address the
first two, privacy protection against cloud service providers would require one step
further. Ideally, data has to be encrypted even when it is processed on memory
(Ramokapane et al., 2022). It is important therefore to help and provide consumers
with an understanding of what data is collected by HEMS and how they can share
data without the risk of unwanted disclosures and/or processing.
3.3 Pilots and Experimental Settings

DR technology and demand flexibility is a market still under development. Some
key elements for the development of DR programs are: (i) definition of indepen-
dent aggregators, (ii) participation in DR and (iii) implementation of DR. Portugal,
Spain, Italy or Croatia have neither yet actively setup a DR policy nor yet adjusted
their structures to allow demand-side resources to participate in the markets. The
process of defining the role of an independent aggregator have not been started.
On the contrary, Denmark, Germany, Austria, Finland, or Sweden have enabled
DR through the energy retailer. They offer their demand-side solutions as a pack-
age with their electricity bill. Pilot implementations such as in Belgium (Dahulst
et al., 2015), Shanghai (Zhang et al., 2016), or the Netherlands (Gercek et al., 2019)
have measured the smart meters flexibility, the feedback of household electricity
consumption, pattern recognition, and the effectiveness of price incentives. The
study in Belgium comprised a total of 418 programmable appliances across 186
households. Their results showed the positive effects of incentive payments in
participants offering flexibility every 40 hours. Studies (Stamminger and Anstett,
2013) in Germany focus their results on different households to monitor consump-
tion where customers are exposed to price modification over a period of two years.
Moreover, Kobus et al. (2015) found a consumption reduction in 77 households
by controlling appliances operation (e.g. washing machines) that could reduce
peak-time consumption (an average of 48% reduction if compared to other control
groups with non-smart appliances).
All these pilots and testbeds are of great importance to validate and encourage
the final introduction and acceptance of HEMS technology at our homes. Reliable
internal communication and proper interoperability of smart appliances are very
important issues to be addressed for future large-scale deployment.
3.4 Conclusions
This chapter has outlined the technologies that can be feasibly utilized to
support the adoption of demand-side management tools and demand response
programs at the domestic level reviewing the technical components (hard-
ware platforms, software tools, and communication networks) related to the
organization and management of energy demand at home. The analysis of the
relevant literature on Internet-of-things and cyber-physical systems application
in the smart home has determined promising system and network architectures
for an efficient, cost-effective, and secure deployment of automated demand
response systems, which in general comprised three domains and roles: the home
area network and energy controller, the service provider or aggregation server
at the neighborhood/district, and the utility. For instance, data transmission

between appliances has been reviewed and tested over the current marketable
solutions, i.e. ZigBee (features low data rate and power consumption), Z-Wave
(used for short-range communication due to its low latency of small data packet
communication in scalable environments), and WiFi (which has a high data rate
and long range). Protocols such as 3G/5G or LPWAN represent the best strategy
to configure the connection between the most promising DR service provider
business models and the local energy service substations. Pilots also evidence
the suitability of cost-effective platforms such as Raspberry Pi boards for demand
and consumption control and monitoring at home. Security and privacy are also
validated on a series of network configuration scenarios as to envision the security
challenges to consider when migrating a DR system model into the cloud.

AC air conditioning
AC power alternating current power
AMI advanced metering infrastructure
ALM appliance load monitoring
ANN artificial neural network
CoAP constrained application protocol
DC power direct current power
DoS denial of service
DTLS Datagram Transport Layer Security
DR demand response
EV electric vehicle
FL fuzzy logic
GA genetic algorithm
HAN home area network
HEMS home energy management system
HTTPS hypertext transfer protocol secure
ICT information and communication technology
ILM intrusive load monitoring
IoT Internet of Things
IP internet protocol
M2M machine-to-machine
MQTT Message Queuing Telemetry Transport
NAN neighborhood area network
NILM Non-intrusive load monitoring

PLC Power line communications
PHEV Plug-in hybrid electric vehicle
PSO Particle swarm optimization
PUBACK MQTT Publish acknowledgement
PUBREC MQTT Publish Received
PUBREL MQTT Publish Release
PUBCOMP MQTT Publish Complete
QoS quality of service
SAREF Smart Appliance Reference Ontology
SSH Secure SHell
SYN/ACK synchronization and confirmation TCP messages
SoC systems on chips
TLS transport layer security
TCP transmission control protocol
uID ubiquitous ID
UDP User Datagram Protocol
WAM wide area network
WPAN wireless personal area network
XML extensible markup language
6LoWPAN IPv6 Low Power Wide Area Network
Glossary
Keep track and create a list with all important term definitions that must be added
to the Glossary. This will be included in the final version of the manuscript (end
of the book) and each author is responsible for your own list.
Advanced metering infrastructure Integrated system of smart meters, data

management systems, and communication networks that enable two-way
communication between the utilities and the customers.
Appliance load monitoring Process for analyzing changes in the voltage and
current going into a house and deducing what appliances are used in the
house as well as their individual energy consumption.
Automated demand response Strategy that expands electricity consumers’
energy management capabilities by participating in Demand Response
programs using automated electric controls and management strategies.
Constrained application protocol Specialized Internet application protocol for
constrained devices, as defined in RFC 7252.
Glossary 85
Consumer flexibility Capacity of consuming electricity without having a loss of

comfort or utility.
Datagram transport layer security Communications protocol providing security
to datagram-based applications by allowing them to communicate in a way
designed RFC 4347 to prevent eavesdropping, tampering, or message forgery.
Day-ahead schedule Daily programming schedule corresponding to the day after
the deadline date for the reception of bids for the session.
Demand aggregation Key efficiency lever leading to higher buying power for the
participants resulting in higher discounts and cost savings.
Demand response Change in the power consumption of an electric utility
customer to better match the demand for power with the supply.
Demand response signal A signal sent by the local utility, Independent System
Operator (ISO), or designated curtailment service provider or aggregator, to a
customer, indicating a price or a request to modify electricity consumption, for
a limited time period.
Demand side management Strategy used by electricity utilities to control
demand by encouraging consumers to modify their level and pattern of
electricity usage.
Energy community A wide range of collective energy actions that involve
citizens’ participation in the energy system.
Energy disaggregation The problem of separating an aggregate energy signal
into the consumption of individual appliances in a household.
Energy efficiency The use of less energy to perform the same task or produce the
same result.
Home energy management system A combination of its hard- and software
components that work together to efficiently manage the energy usage of a
home.
Internet-of-things The network of physical objects – “things” – that are
embedded with sensors, software, and other technologies for the purpose of
connecting and exchanging data with other devices and systems over the
internet.
Load curtailment The deliberate reduction in output below what could have
been produced in order to balance energy supply and demand or due to
transmission constraints.
Load shifting A load management technique that aims to move demand from
peak hours to off-peak hours of the day.
Machine-to-machine Direct communication between devices using any
communications channel, including wired and wireless.
Message Queuing Telemetry Transport A lightweight, publish-subscribe,
machine-to-machine network protocol.
Neighborhood area network An offshoot of Wi-Fi hotspots and wireless local

area networks (WLAN), which enable users to connect to the Internet quickly
and at very little expense.
Optimization algorithm A procedure, which is executed iteratively by comparing
various solutions until an optimum or a satisfactory solution is found.
Prosumer Someone that both produces and consumes energy.
Smart appliance An appliance becomes a smart appliance when it is connected
to a central system and able to be programmed or controlled remotely or
operate autonomously, based on input from sensors detecting things like
temperature, light levels, or activity.
Smart grid An electricity supply network that uses digital communications
technology to detect and react to local changes in usage.
Smart meter An electronic device that records information such as consumption
of electric energy, voltage levels, current, and power factor.
Wide area network A collection of local area networks (LANs) or other networks
that communicate with one another.
Wireless local area networks A wireless computer network that links two or
more devices using wireless communication to form a local area network
(LAN) within a limited area such as a home, school, computer laboratory,
campus, or office building.
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93
Demand-Side Management and Demand Response

Neyre Tekb𝚤y𝚤k-Ersoy
Energy Systems Engineering, Faculty of Engineering, Cyprus International University, Nicosia,
North Cyprus via Mersin 10, Turkey
4.1 Introduction
Due to the continuous increase in world’s population, and the adoption of the
energy-intensive lifestyle, global electricity consumption has increased dramati-
cally in the last few decades. As seen in Figure 4.1, this increase is a cumulative
effect of the rise in electricity demand in almost all sectors. Figure 4.1 has been
constructed by using the data provided by the International Energy Agency, IEA
(2021); based on IEA data from: https://www.iea.org/data-and-statistics/charts/
world-electricity-final-consumption-by-sector-1974-2019. All rights reserved; as
modified by Neyre Tekb𝚤y𝚤k-Ersoy.
Usually, supply is designed to meet the general demand requirements of an area
by using historical data. However, adding too much capacity in order to guar-
antee a quality of service increases expenses for utility companies. On the other
hand, insufficient capacity may cause supply failures which may result in a sig-
nificant amount of reduction in consumer satisfaction due to blackouts. As there
should always be a balance between demand and supply, the aim should be obtain-
ing a properly sized capacity that will supply reliable power at low rates (Butler
2019). Any extra investment that will be done due to increased demand, will need
to be reflected to the customers’ energy bills. In order to provide a balance, it is
important to understand what is contributing to the energy demand, and if pos-
sible to vary the demand according to the available resources. This can be done
via Demand Response (DR) and DSM (Demand Side Management). As DSM/DR
strategies are very important both for the electrical grids and for the consumers
willing to achieve savings, this book chapter will be devoted to these two concepts.
The book chapter will also help the readers to have an insight into the in-home
systems and requirements for DSM.
94 4 Demand-Side Management and Demand Response
25,000
Electricity final consumption
20,000
by sector (TWh)
15,000
10,000
5000
0
1979 1999 2019
Others Commercial and Residential Transport Industry
public services
Figure 4.1 World electricity final consumption by sector between 1979 and 2019.
Source: IEA (2021). Based on IEA data from: https://www.iea.org/data-and-statistics/
charts/world-electricity-final-consumption-by-sector-1974-2019. All rights reserved; as
modified by Neyre Tekb𝚤y𝚤k-Ersoy.
4.2 Demand Response vs. Demand-Side Management

Although the concepts of DR and DSM are often used interchangeably, they are
not the same. DR is about altering the energy demand in response to the available
energy supply by financially incentivizing users to make short-term reductions
in energy demand. On the other hand, DSM covers any program that encourages
the end user to be more energy efficient (Fadlullah and Kato 2015). It considers
the planning, implementation, and monitoring of utility activities that are
designed to affect the use of electricity. DSM includes both DR and longer-term
or permanent energy efficiency measures such as building automation upgrades,
lighting retrofits, and Heating, Ventilation and Air Conditioning (HVAC) related
improvements. Therefore, DR is just a tool for DSM, and it offers direct economic
benefits. Indeed, (Milligan 2015) supports this claim by stating that it is cheaper to
pay load to turn off (DR) for the 89 problem hours (1%) than to increase spinning
reserve for 8760 hours/year.
4.3 The Need for Demand Response/Demand-Side

Management
DSM, and more specifically DR programs are needed both for the utility compa-
nies and for the consumers. The utility companies need DSM strategies to optimize
the management of the power grid. This way they can make sure that the energy
consumption takes place at those times that are better for the energy producers and
for the power grid. In traditional power grids, the balance is obtained by adjusting
the supply and demand, by using forecasting, scheduling, and large-scale inter-
connections (Boudec 2019). However, especially in the last decades, the concerns
about greenhouse gas emissions and depletion of fossil fuels have increased. This
resulted in a shift toward renewables. But, renewables are stochastic, which means
that the variability of the resource (such as wind speed, solar irradiation, etc.) has
to be considered. This variability requires the grid to be more flexible and to have
increased amount of regulation. DR can be used in providing that flexibility.
For example, in summer, there is more AC usage, and therefore energy con-
sumption increases. When there is high amount of solar energy production,
this may not be a problem. However, in the afternoon, solar energy generation
decreases, but the peak consumption may still be there. Therefore, in order
to prevent the blackouts, either expensive peak plants should be used or the
peak has to be moved with the utilization of pricing signals. If the electricity
price is arranged in a way that it is more expensive at peak times, then, some
of the demand will be automatically shifted to another time on the same day
(consumers will choose to consume energy at cheaper times), lowering the energy
consumption at peak time and avoiding blackouts and brownouts. This is also
beneficial for the consumers, as they will not be experiencing problems due to
lack of electricity. However, this is not the only reason that the DR is needed for
the consumers. In DR, the consumers are actively involved in grid operations,
because they can adjust their electricity consumption during peak hours and in
turn, they may benefit through financial incentives.
DR is also a critical component of the smart grid (a modernized electricity
transmission and distribution network that includes two-way communication
systems that deliver real-time information and enable the near-instantaneous
balance of supply and demand). In conventional power grids, consumers are
passive, meaning that they cannot monitor or participate in controlling their
adjustable devices intelligently. However, in smart grids, consumers are more
involved in many aspects of the grid. Alotaibi et al. (2020) claim that DR will
have a vital role in shaping the future power grid, communication infrastructure,
storage technologies, and distributed generation.
4.4 DSM Strategies
4.4.1 Energy Efficiency/Energy Conservation

Utilities aim to maximize the resources they have, and usually, energy efficiency
is the first choice as it is the cheapest option. At this stage, it should be noted
that energy efficiency and energy conservation are different concepts. In energy
efficiency, less energy is used to provide the same service. For example, a 100 W
incandescent light bulb can be replaced with an 18 W Light Emitting Diode (LED)
light bulb, and the same amount of light can be obtained. This would decrease
energy consumption by more than 80%. More examples could be listed such as
choosing refrigerators, washing machines, etc., based on their energy efficiency
classes in order to reach further energy savings. The good side of energy efficiency
is that the consumers do not need to change their behavior. In energy conservation,
however, the consumers should change their behavior to save energy. Examples
would be changing the thermostat settings to need less AC and turning off the
lights when leaving the room, etc. Energy efficiency aims to decrease the load at all
times (not only during the peak). This way, more cumulative savings are expected
to be achieved.
4.4.2 Peak Demand Clipping

The power grid must maintain power balance at all times. However, during some
hours of the day, the load is much larger than the average. This period is called
the peak period, or peak hours. The load at those hours (the peak load) should
also be matched by the utility, in order to prevent a blackout. However, at those
times, the transmission is highly congested and basically, they need peakers
(expensive power plants as they are operated only during over-consumption
hours) to generate power.
Peak clipping aims at reducing the peak loads. It is usually used in case of
insufficient power capacity on the generation side. Sometimes, high incremental
costs in electricity production can also make peak clipping preferable. Peak
clipping can be achieved by direct or indirect reduction of the power consumption
of customers during peak hours. This can be done by means of price signals or
control signals. Through price signals, higher energy price, or rate, is applied
during the peak hours so that users will prefer not to use electricity during that
period. Another way is to automatically control the devices, by sending control
signals to reduce the peak. In such a case, the load is directly controlled to reduce
the stress of demand during the peak period, but this affects the satisfaction
and/or comfort level of the consumers.
4.4.3 Demand Valley Filling

In valley filling, the aim is to increase the power demand of consumers in time peri-
ods where long-run incremental costs are less than the average electricity price.
Increasing the demand in those times helps the related authority to avoid startup
costs and ramping costs (Logan 2020). Examples of valley filling include; designing
buildings with thermal storage facilities (space heating, water heating, etc.) which
can generate demand during off-peak period, and benefit from special electricity
rates favoring load increase during off-peak hours. This way the consumers are
encouraged to switch on their water heating appliances during off-peak hours.
4.4.4 Load Shifting

Load shifting is a part of DR, and it can be referred as the combination of peak
clipping and valley filling. The main difference between load shifting and peak
clipping is that during load shifting, overall average energy consumption stays the
same. In load shifting, the main goal is to shift the power demand of the consumers
from the peak period to the off-peak period. Postponing an industrial process to
another time would serve as a nice example.
According to GridBeyond (2019), shifting the load to another time causes greater
returns due to DR participation. It also provides more energy cost savings when
compared to the loss of production. The main question here is “when,” rather than
“how much.” Load shifting can be obtained by using energy storage systems or by
means of pricing policies. Mostly, the latter one is preferred. Such a pricing policy
encourages customers to defer non-critical loads such as operating a dishwasher,
washing machine, or clothes drier to off-peak hours.
4.4.5 Flexible Load Shaping

Flexible load shaping refers to more flexible and more complex modifications of
the power demand patterns of the consumers. It is actually the combination of
peak clipping, valley filling, and load shifting. Although flexible load shaping is
more complicated for the system operators in terms of planning and operation, it
allows more elasticity depending on the consumers’ needs.
In this scheme, the related electricity authority decides which load pattern has
to be applied. The required load pattern may be shaped based on specific targets
or limits during different times of the day. Reducing demand by using this scheme
allows grid operators to interrupt loads, with consequent changes in the quality of
the service and reliability (Domínguez-Garabitos et al. 2022).
4.4.6 Strategic Load Growth

Strategic load growth aims at increasing the power consumption of consumers
following economic development policies. It is not a part of DR, but a part of
DSM. Strategic load growth is actually the opposite of energy efficiency. It may
be hard to understand why the government is supporting to increase the load.
However, electric cars pose a direct motivation for such a support. Some countries
may want to increase the use of electric cars and the time spent on charging the
cars. This way, the consumers would avoid using petroleum-derived products,
such as gasoline. This will be beneficial for the environment and it will help those
countries to reach their emission reduction targets.
4.5 Demand Response Programs

4.5.1 Types of Loads: Elastic vs. Non-elastic
The main idea of DR is to control the consumer side of the problem, which is
mainly about the load. There are two types of loads that are important for DR;
elastic loads and non-elastic loads (Boudec 2019). Non-elastic loads cannot be
controlled (by utilities) without causing service disruption for the consumers.
Examples of such loads are; lighting, TV, hair dryer, etc. When the consumer
wants to use these loads, they should be able to use them as they are needed at
specific times. For example, lights are used mostly in the evening. TV and hair
dryer are usually used based on request, and therefore delaying them would not
be preferable. Elastic loads, on the other hand, are the loads that can be controlled
or delayed. Elastic loads can react to the signals coming from a smart grid. They
can be controlled by the utility/smart grid within a predetermined range (within
some customer-defined interval and by considering minimum comfort level)
to achieve overall load balancing. The general idea is to shift elastic loads from
high-demand (peak) period to low-demand (off-peak) period. Examples can be
listed as; washing machines, dishwashers, air conditioners (AC), freezers, etc.
For example, if a consumer switches off his/her AC for 15–20 minutes that would
most probably do not disturb the consumer. However, it can help to relieve the
stress on the grid.
4.5.2 General Approaches to Demand Response

There are two general approaches to DR; direct load control (DLC) and indirect
load control (ILC). In DLC, the utility has remote access to some loads of the con-
sumers, such as; AC, water heater, etc. The utility can remotely turn on or off the
load whenever needed. This is done by using relays on the consumer side, or a
digital command in case of connected smart equipment. For example, the util-
ity may interrupt the consumer’s heating systems or other systems by using those
approaches. In such a case, the service may be guaranteed by the utility for a cer-
tain amount of time (e.g. 10 hours/day). However, DLC programs require special
equipment and maintenance. Moreover, DLC programs are mainly preferred in
the residential sector as the industrial sector needs more predictability.
Indirect load control is an alternative to DLC. This concept is based on
informing the consumers about the price changes so that they would naturally
4.5 Demand Response Programs 99
try to avoid the higher price hours, rather than controlling their load directly
(Mohsenian-Rad 2012). This is a successful mechanism in terms of reducing
the peak load. Usually, there are two peaks throughout the day; morning peak
and evening peak. According to Boudec (2019), variable prices can be offered
on those periods. For example; if the average price of electricity is 8 cents/kWh,
it can be set to a factor higher than this price. This does not prevent the cus-
tomers from using electricity during those hours, but it will encourage them.
More detailed information about different types of pricing can be found in
Section 4.5.3.
4.5.3 Smart Pricing Models for DR

DR requires price-based programs that offer different electricity prices at different
times. Based on pricing information, the consumers are expected to use less elec-
tricity during the times that electricity prices are high. This would automatically
reduce the demand at peak hours. However, the main focus may not always be
on the peak hours. In some situations, the total energy consumption during some
time can also be an issue of interest. In such cases, different pricing mechanisms
or models are needed. Deng et al. (2015) categorized smart pricing models into
four categories; Time of Use (TOU) pricing, Critical Peak Pricing (CPP), Real-Time
Pricing (RTP), and Inclining Block Rate (IBR).
In TOU, when utility customers consume energy at different time intervals
of the day, they pay different electricity prices. TOU may also change from one
season to another, depending on the application preferred by the electricity
authority. Typically, a day is divided into three or more intervals (on-peak,
mid-peak, off-peak, etc.). The on-peak period is usually the most expensive one,
to serve the purpose of shifting the demand to other hours. TOU pricing usually
keeps unchanged for a long period of time and it is announced far in advance.
Critical peak pricing is the same as TOU, except for those times when the grid
reliability is jeopardized. In such times, the normal peak price is replaced by a
pre-specified higher price to reduce the energy demand faster. The main goal of
CPP is to provide a balance between demand and supply. Therefore, it is employed
only for a limited number of hours per year.
In real-time pricing, which is also known as dynamic pricing, the electricity
price changes every hour (or more often). RTP is usually announced either one
hour or one day before it is applied. According to Deng et al. (2015), RTP is consid-
ered to be one of the most economic and efficient price-based programs. Finally,
inclining block rate mechanism constitutes a two-level electricity rate structure
(lower and higher blocks), such that the more electricity is used by a consumer,
the higher the electricity price becomes per kWh. Electricity price changes are
triggered by exceeding the pre-defined thresholds (set for the user’s electricity
consumption over a time period). IBR helps to reduce the peak-to-average ratio
(PAR) of the power grid. It is desirable to have PAR close to 1.
DR can also be applied for reactive power by utilizing customized pricing/
incentive mechanisms. It has been reported by Shigenobu et al. (2017) that
providing incentive to consumers based on the reactive power consumption
can improve the voltage profile of the power system. That study investigates the
technical impacts of customer-side real and reactive power flow management
using DR incentive strategy in the smart grid system. Similarly, Valinejad et al.
(2020) consider both the active and the reactive DR and provide a new DR based
on the power factor. Their study proposes a two-stage model for DSM considering
polynomial and induction motor loads. According to the results of Valinejad
et al. (2020), the proposed method can successfully reach an optimal trade-off
between four objectives; peak demand, customer costs, voltage security, and
power losses.
4.6 Smallest Communication Subsystem Enabling

DSM: HAN
Home Area Network (HAN) is a very important part of the DSM, as it makes
in-home communication possible. It is also known as Building Area Network
(BAN). It is the smallest sub-system (the consumer-related network) in the
hierarchical chain of smart grid, and it allows proactive involvement of the
consumers and power users. HAN facilitates the connection of smart devices to
the smart meters or controllers to implement energy management techniques,
by allowing communication with other load-control devices. It also offers the
consumer an interface to interact with the market.
4.6.1 General Structure

HAN consists of smart devices with sensors and actuators, a smart meter, a net-
work router, and in-home display for energy management system (EMS) (Niyato
et al. 2011). EMS is used for monitoring and controlling various electrical appli-
ances. HAN has capability to get connected to outer world by Neighborhood Area
Network (NAN) interactions. The general components of a HAN can be seen in
Figure 4.2.
HAN’s may use different portals/gateways, such as smart meters, HAN devices,
or Utility Smart Network Access Port (U-SNAP). According to Rajawat (2019), in
case of using smart meter as a gateway, NAN connects to the smart meter, and
the smart meter connects to HAN. However, once installed the smart meter is not
replaced for a long time, such option is not future-proof. When a HAN device is
4.6 Smallest Communication Subsystem Enabling DSM: HAN 101
• Light • Refrigerator
• Temperature • Washing machine
• Motion, etc. • AC
• Other smart appliances
• Electric vehicle, etc.
Smart
Sensors/ Appliances/
Actuators Electric
Vehicles
HAN Gateway
(Connection to Communication
NAN)
• Smart meter • WifiTM

• Thermostat, etc. • Bluetooth
• Zigbee
• Z-Wave, etc.
Figure 4.2 General components of a home area network. Source: Neyre Tekbiyik-Ersoy.
to be used as a gateway, a thermostat can be a good choice. In such a case, the

HAN devices and the smart meter do not have to be located close to each other
(they can be considerably far apart). However, when the meter serves as a gate-
way, in-home HAN devices should be located close to the meter due to connectivity
issues. Another option is using U-SNAP. The U-SNAP standard provides interop-
erability between devices regardless of the communications technology and the
appliance type. Thus, it creates both the ability to support any device on any net-
work and to easily upgrade or change communications in the field by replacing
the module.
4.6.2 Enabling Communication Technologies

HANs usually utilize short-range wireless technologies such as; Wi-FiTM ,
Bluetooth, ZigBee, and Z-Wave. But it may also encompass wired technologies
such as; PLC (Power Line Communication) and Ethernet. The data rate is one
of the essential criteria to be taken into account when selecting the appropri-
ate communication technology. The maximum theoretical data rates of the
above-mentioned wireless technologies are 2–600 Mbps for Wi-Fi, 721 kbps for
Bluetooth, 250 kbps for Zigbee, and 40 kbps for Z-Wave (Rajawat 2019).
While the data rate differs from one technology to another, the coverage range is
another essential factor to be considered. According to Niyato et al. (2011), Blue-
tooth has the lowest coverage range at 10 m, whereas the indoor range of Wi-Fi and
Zigbee is approximately 70 m. Among these technologies, the ones allowing the
maximum and the minimum number of nodes are Zigbee (with more than 64,000)
and Bluetooth (with 8) respectively (Niyato et al. 2011). More detailed comparison
of these technologies can be found in Niyato et al. (2011).
Wired technologies usually have higher data ranges. PLC (HomePlug) can reach
up to 14–200 Mbps, whereas the maximum theoretical range of Ethernet is 10 Gbps
(Rajawat 2019). Although Ethernet is faster, PLC has a higher coverage range of
up to 200 m. However, wired technologies have the disadvantage of needing wire
installations for setting up connections.
4.7 Smart Metering
4.7.1 Smart Meters vs. Conventional Meters

The most common types of meters are accumulation meter, interval meter, and
smart meter. Accumulation meter is the oldest and most common type of meter.
These meters record the total amount of energy used over a period of time, usually
about a month. Due to lack of knowledge about the consumer’s daily or hourly
energy consumption patterns, accumulation meters enforce flat electricity rates.
Also, for such meters, a meter reader must visit the property and physically read
the meter, in order to determine the energy consumption and the bill amount. The
physical meter reading is needed also for interval meters. However, in contrast to
accumulation meters, interval meters can record energy use over short intervals,
usually every 30 minutes. This makes interval meters advantageous over accumu-
lation meters, as they can measure when and how much energy is used. This way,
the utility company can offer prices and deals based on the time the consumer uses
power.
Smart meters are the most advanced meters, as they can record when the con-
sumer uses electricity as well as how much is used. Smart meters allow wireless
communication between the energy provider and the meter. With this commu-
nication, connecting or disconnecting the electricity, reducing controllable loads
or feeding electricity back into the grid from a renewable energy system, becomes
much cheaper and easier. Smart meter also increases the amount of information
that the consumer can access about his/her energy consumption. There are
several differences between conventional meters and the smart meters. Some
of these differences are listed in Table 4.1. In order to construct Table 4.1, the
measure, recording, and communication-related information have been retrieved
4.7 Smart Metering 103
Table 4.1 Comparison of smart meter to conventional meter.
Criteria Conventional meter Smart meter
Measure Electricity consumption can be Electricity consumption can be

measured over a billing period measured at short intervals
(typically one or more months) (typically hourly or more
frequently)
Recording Meter reading is manual. An Meter reading is automatic. Meters
employee of the distribution send the data to the distribution
company should visit the companies through a wireless
premises to record the data network
Billing accuracy When the meter is behind the Smart meters record and send
locked doors or inaccessible by real-time data. Hence, the
the employee responsible for accuracy of the bill is higher
reading the meter, estimations
may need to be made causing
inaccurate bills
Time Sending the employee to the Sending data automatically via
consumer’s house is network is very time-efficient
time-consuming
Communication No communication capability Two-way communication
capability between distribution
companies and the meters
Privacy No privacy issues Privacy concerns arise as the data
readings are transmitted over
wireless channels, and the energy
provider has too much information
about the energy consumption
patterns of the consumer
Source: Adapted from Office of the Auditor General of Ontario (2014).
from Office of the Auditor General of Ontario (2014), while billing accuracy, time,
and privacy details have been added for this book chapter.
As seen in Table 4.1, the smart meter is able to record more detailed information
and send that information to the utility company more frequently. However, data
recorded by smart meters must be detailed. Therefore, it may indirectly indicate
what individual appliances a consumer is using at what time. This becomes possi-
ble via power usage to personal activity mapping. However, there are solutions to
such privacy problems, such as; having local renewable energy (RE) generation,
having a battery, etc. This way, the meter reading would be different. For example,
as renewable power generation, such as solar power and wind power, has a strong
dependence on weather conditions, the changes reflected in the meter readings
could simply be due to reduced sunshine because of a cloud or shadow, or low/high
wind speed observed for some time. This way, the consumers’ personal activities
cannot be linked to power usage (Bunder 2020).
4.7.2 What Should Consumers Know About the Advanced Metering

Infrastructure
Advanced Metering Infrastructure (AMI) system supports two-way and real-time
communication between utility companies and consumers. AMI includes a sys-
tem that collects time-differentiated energy usage from meters. Hence, it is capa-
ble of providing information that enables utilities to provide DR products. AMI
allows pricing based on total consumption, TOU pricing, critical peak pricing, and
real-time pricing (King 2004). With AMI, the customers can obtain feedback via
monthly bill, and can obtain detailed reports via Web or in-home displays. By using
these data, consumers can choose to turn off energy-intensive appliances or they
may shift the usage of some appliances to the off-peak period to provide energy
and bill savings. Detailed data can also be used for personal electricity demand
and bill prediction. Hence, AMI allows more consumer interaction.
In conventional power grid operating without AMI, power outages should be
reported by customers, most of the time via phone calls. Otherwise, the utility
company may not be aware of the problem. In these systems, the related elec-
tricity authority cannot respond to the outage until a customer calls them and
warns them.
However, AMI infrastructure allows sending automatic notifications. There is
an online notification system and the smart meter (the key component of AMI
structure) notifies the related electricity authority automatically. Without AMI,
most of the time, they do not know exactly where the outage is. So, a team needs
to be sent to the area to check different lines and detect the exact location/source
of the outage. But, this requires a lot of time and resources. Because of that, the
energy expenses of the related electricity authority increase and this results in
increased electricity prices, and hence consumer bills. AMI infrastructure with
smart meters can detect where the outage is. Whenever it happens, the utility com-
pany is directly informed, and they can send the service trucks immediately to the
area. This reduces the overall outage time, minimizes the interruptions to the daily
routines of the consumers, and increases their comfort level.
4.8 Energy Usage Patterns of Households

DSM is about the management of consumption of loads, and in DR the users
are financially incentivized to modify their consumption. Hence, the key to both
DSM and DR is the electricity consumption profile of the consumers. With the
4.8 Energy Usage Patterns of Households 105
emergence of smart meters and various technological devices, it became possible

to obtain the hourly electricity consumption patterns of the consumers. These
patterns can be used in designing better DSM and DR strategies. According
to Logan (2020), the first two steps in DSM implementation are to conduct
an end-user demand forecast, and to perform research on demand market
(determining end-use patterns, and potential barriers), respectively. According
to the data provided by the International Energy Agency (IEA 2021) (Based on
IEA data from: https://www.iea.org/data-and-statistics/charts/world-electricity-
final-consumption-by-sector-1974-2019. All rights reserved; as modified by Neyre
Tekb𝚤y𝚤k-Ersoy.) in 2019, the residential sector constituted approximately 26.6%
of the world electricity final consumption. That indicates households constitute a
considerable part of the end-use demand. Therefore, it is important to understand
the energy usage patterns of households.
Among appliances available in households, the water heaters usually have
high energy consumption, due to their high power rating. Usually, during the
weekdays, water heating demand increases in the evening. However, this pattern
may change during the weekends, as the house occupancy and the schedule
changes significantly. Another device consuming a significant amount of energy
is AC. Unlike water heaters, the ACs are usually operational in the afternoon in
summer (in Northern Hemisphere) when the outside temperature is high and
the building needs to be cooled. In winter (in Northern Hemisphere) however,
AC usage can vary dramatically depending on user preferences and weather
conditions. The other three obvious characteristics belong to the oven/stove, the
tumble dryer, and the dishwasher. Oven usage can contribute to the peak in the
morning (or before noon time) and in the afternoon around dinner time. This
is due to the meal requirements of the people living in the house. Similar to
the oven, tumble dryer causes routine peaks. This is because of the consumers’
lifestyles. According to Timpe (2009), tumble dryer can be used before the noon
time by those people who use the washing machine early in the morning (before
going to work or school). However, most of the time, tumble dryer is used in
the evening hours. When people come back from work, they wash their clothes
and then, they want to dry them. Around the same time, the dishwasher also
becomes active, usually after dinner. When people finish their meals, they load the
dishwasher.
However, it should be noted that these patterns may change throughout the
seasons. For example, in hot seasons, people may prefer to dry their clothes
outside (or simply in a place inside their house) rather than using the tumble
dryer, to reduce their energy bills. Moreover, in some countries with mild climates
(where the temperatures are not so high or low throughout the year), people may
have much less AC usage, as there would be less need to cool or heat their houses.
Similarly, in some developed countries where many insulated houses exist,
AC usage would decrease due to reduced heat losses. When different climates are
considered, it is also important to note those regions that temperatures change
significantly during the day. In those regions, people may enjoy comfortable
temperatures during the day, while in the evening when the temperatures drop
significantly, the heating demand increases. Or contrary to this scenario, warm
temperatures during the night can be followed by very hot temperatures during
the day, increasing the cooling demand within the day.
Such patterns like the ones explained above should be investigated in those
countries planning to apply DSM and DR strategies. Because they actually show
what time of the day is the most appropriate to use load management options with
smart appliances. However, in performing this load management, the shiftable
and non-shiftable appliances should also be considered. There are some appli-
ances that cannot be typically shifted. For example, when the consumer wants
a hot meal around the noon time, DSM will not be able to act on that appliance.
But there are some appliances that can easily be shifted, like washing machines.
4.9 Energy Consumption Scheduling

DR is heavily based on electricity prices and the consumers’ reaction to these
prices. The success of DR depends on many factors. One of the most important
is informing consumers about the price changes, especially in indirect load con-
trol. The users can be informed via utility website, email, text message, automated
voice call, a mobile app, an in-home display, indicators in the user interface and
the smart meter. However, sometimes the consumers cannot properly react to
smart pricing mechanisms. This can be due to the fact that there is too much
information to follow, especially when more than one smart pricing mechanism
is adopted at the same time. The solution can be the use of automated energy con-
sumption scheduling (ECS), which can be a part of a smart meter or a separate
device.
Usually, the consumer wants to minimize the energy cost, and the utility aims to
manage the available energy with maximum profit. Therefore, the primary aim of
ECS is to achieve these objectives and provide a balance between users’ needs and
the utility’s requirements. ECS is based on optimization. The idea is to find the best
operation schedule for the appliances in such a way that specific objectives will
be achieved. In doing so, the constraints, which may change from one scenario,
region, or user to another, are also considered. The main question is how the ECS
should schedule the load based on the given price values. Mohsenian-Rad (2012)
provides the general structure of an ECS problem as follows:
● Objective function (minimizing electricity cost)
– The electricity cost (for a scheduling period) is calculated by considering the
price of electricity and the energy consumption of each appliance (washing
machine, dishwasher, etc.) in each time slot.
4.10 Demand Response Options for Appliances 107
– The scheduling period considered by Mohsenian-Rad is 24 hours, and each

time slot corresponds to one hour.
– The price for each time slot may change based on the smart pricing mecha-
nism (TOU, RTP, etc.) adopted in the country of application.
● Constraints
– The total energy consumption of an appliance between the defined beginning
and ending times should be equal to the total energy needed for the operation
of that appliance.
⚬ The acceptable earliest beginning time (𝛼 x ) and the latest ending time (𝛽 x )
for appliance x are stated so that the scheduling of that appliance is done
between 𝛼 x and 𝛽 x .
– The energy consumption of appliance x in a time slot which is not between
𝛼 x and 𝛽 x , should be zero.
⚬ Appliance should not be operational during the times not preferred by the
consumer.
– The energy consumption of an appliance in any time slot cannot be less than
the minimum power level stated for that appliance and cannot be greater
than the maximum power level stated for that appliance
– The total energy consumption, due to various appliances operating at the
same time, cannot exceed the predefined limit.
⚬ In some cases, the total hourly load may need to be limited (mostly due to
grid constraints, or the rules of the utility company). This constraint is used
to model that scenario.
The stated problem formulation is very beneficial in terms of understanding the
requirements of ECS. However, there are many studies considering various types
of objectives, such as minimizing different types of costs, minimizing PAR, min-
imizing the peak load, maximizing user comfort, etc. Some studies also consider
multiple objective functions and perform multi-objective optimization. The con-
straints also vary widely depending on the scenario considered for the study. Some
studies in literature incorporate renewable energy or electric vehicles into ECS, as
some households have solar or wind energy system installations and some utilize
electric vehicles. However, the constraints are not limited to these. In some studies,
the authors consider different scenarios in which some appliances need to oper-
ate after some other appliances (such as dryer being operated after the washing
machine). This can also be arranged differently as some appliances may need to
be operated at the same time (for example, TV and decoder).
4.10 Demand Response Options for Appliances

Section 4.9 has revealed the key characteristics of determining optimal appliance
scheduling by shifting some appliances and changing energy consumption
patterns. However, what kind of options do we have for shifting the appliances?
For how long an appliance can be shifted or interrupted? Timpe (2009) provided
the results of a study giving very valuable information about smart timing of
appliances and the interruption of the appliance schedule.
Let’s consider shifting the time of operation of a washing machine or a dryer.
People do not want their clothes to wait in the washing machine and stay wet
for a long time. According to Timpe, people typically prefer a delay of less than
three hours and maximum of nine hours for the washing machine and the dryer.
The dishwashers, on the other hand, can typically be shifted for 6 hours, but this
can be elongated until 12 hours. They may start their dishwasher in the morning
before they leave the house, and then, when they come back from work in the
evening, they can take the dishes out of the dishwasher.
An option to shifting the appliances can be interrupting the appliance cycles. In
doing that, the technical constraints and the constraints from consumers should
also be considered. For example, washing machines typically have hot cycles. In
some cases, it may not be beneficial to allow the water to cool down and then try to
heat it again. According to Timpe, the typical accepted interruption for the wash-
ing machine is about 10 minutes. Exceeding this duration may cause the water to
cool down to such a point that re-heating would need more energy than it would
require if the appliance was not interrupted. But, the dryer, on the other hand, can
keep the heat for a longer time and can be interrupted for up to 30 minutes. The
suggested interruption cycles for the dishwasher and other appliances are about
10 and 15 minutes respectively.
4.11 Bidirectional Effects of Demand Response

Most of the DR applications were based on load shifting, mainly moving the load
from the peak times to the off-peak times. However, recently it has become more
about flexible load shaping. This is basically arranging the demand in a way that
the renewable energy generation (such as wind and solar) would be balanced.
Hence, DR is important in balancing renewable energy generation.
4.11.1 Value of Demand Response for Balancing Renewable Energy

Generation
The most important problems about renewables are their intermittency and
uncertainty. This may cause the energy generation to be lower than expected
sometimes, while at other times it may be more than the predicted amount.
This uncertainty is reflected in the grid as an imbalance between demand and
supply. For example, solar energy production increases around the noon time,
however, most of the people are either at work or at school, etc., around that time.
4.11 Bidirectional Effects of Demand Response 109
This causes a reduction in residential energy demand. Similarly, when the wind
speed considerably increases, causing wind turbines to produce more power, the
generation increases. But this increase may not be in parallel with the demand at
that time. Similarly, during the nighttime, solar panels cannot produce electricity,
but the demand still exists. In all of these cases, as the demand cannot keep
up with the pace of the increase/decrease in renewable energy generation, this
causes an imbalance in the system.
Flexible load shaping can be used to maintain the balance between demand
and supply, by simply increasing the demand when there is more generation
and decreasing the demand when the production is insufficient. However, that is
not the only way that DR helps the renewables and serves the purposes of using
renewable energy. Without or with the low utilization level of DR; when the
wind speed increases, some wind turbines may need to be shut down in order
to preserve the demand–supply balance. However, this causes underutilization
of those wind turbines, both technically and financially. In order to prevent such
cases, DR can be used.
As DR balances the short-term variability caused by renewable energy, it also
allows integrating more installed renewable energy capacity and diversifying the
types of utilized renewable energy resources. When more renewable energy can
be integrated into the system, more renewable energy support policies can be
enacted (as one of the most important issues regarding high levels of renewable
energy integration [mainly demand–supply imbalance] will be considerably
resolved). Increase in the number and quality of renewable energy support
policies are also expected to increase the interest and therefore the investment in
renewable energy. This way, the costs related to renewable energy technologies
are expected to reduce, which will also cause an increasing attention to renewable
energy. This way, the countries with renewable energy targets can reach their
targets comparably easier.
However, in order for DR to efficiently perform the balancing task, the con-
sumers should effectively participate in the adopted DR options. If the announced
pricing policies are not clear (or hard to follow), or the consumers are not willing
to participate, the imbalances may continue. Hence, the consumers have a very
important role in DR.
4.11.2 Value of Demand Response for Reducing Household Energy

Expenses
DR enables the customers to track and adjust their energy usage in order to
avoid costly peak demand charges and reduce their overall energy expenses.
As seen from the ECS-related section provided earlier, the main goal of most
of the optimization problems, designed for ECS, is to minimize the cost, or the
electricity bill. This optimization helps the consumers in reducing their energy
expenses by simply shifting the time period that they use some appliances. Most
of the time, this scheduling is done by taking into account the comfort require-
ments of the customer, and the technical constraints about the grid and energy
generation.
Especially TOU tariffs are an important enabler of DR as they incentivize the
customers to shift their electricity use from high-demand periods to low-demand
periods. Hence, the customer saves from energy expenses, and the power system
benefits from this action.
4.12 Consumer Objections and Wishes Related

to Smart Appliances and Demand Response
Consumers have a very important role in DR. The success of a DR program
depends on a sufficient level of consumer participation. Hence, it is important
to understand the factors that motivate or demotivate participation. Sloot et al.
(2022) investigated potential motivations that underlie consumers’ participation
in DR programs. The authors report that they have conducted a nationally
representative online questionnaire study among a commercial panel of German
consumers. It was found in the study that both environmental and financial
beliefs underlie participation. An interesting result of the study is that the
participation was found to be generally higher when participation was described
as voluntary compared to mandatory. According to the study, consumers tend
to accept and participate in quota schemes when they perceive both environ-
mental and personal benefits and low costs and risks of participating. They
are also likely to participate when they feel that they are able to be flexible in
their energy use.
Another study investigating the acceptance of DR noted (Tantau et al. 2021)
that there is a need to improve communication between consumers and energy
providers. It aims to determine the acceptance level of DR and its implementation
due to the collaboration with an aggregator on the consumer side. The results of
the study indicate that there is a willingness potential to implement DR programs
with aggregators as intermediaries between energy providers and the consumers
of electricity. The same study also reports that 81% of subjects said that they would
like to participate in DR programs to contribute to the reduction of CO2 emissions
and of global warming. However, it should be noted that the results of the study
are limited to three countries; Serbia, Hungary, and Romania.
Timpe (2009) provided the results of an intensive consumer research utilizing
questionnaires, focus groups, and phone interviews, in terms of consumer objec-
tions/concerns and wishes. The consumers were concerned about the additional
4.13 Costs and Benefits of Demand-Side Management 111
cost of smart appliances. They also did not like the idea of utility company to
control if their appliances (such as washing machines or dishwashers) are running
or not. They wanted to be able to override any automatic function or external
control. The results also showed that there were doubts about the maturity level
of the technology and skepticism about the ecological benefits that it would
offer. In addition to these, concerns about health and safety issues were also
reported. An appliance that is controlled automatically should deliver the service
safely. Similarly, the operation of refrigerators or freezers should be kept within
normal operating conditions for the intended functions.
Consumers also had some wishes related to DR. According to Timpe, these
wishes are as follows: The consumers would like to have economic incentives for
buying smart appliances. Enhanced safety functions are also required, such as
being informed by the system in case if there is overloading on any appliance, the
water is stopped in case if there is any water leakage, automatic detection of any
technical faults, etc. In addition to these, any extra comfort and support given to
the consumers will make DR more attractive, and therefore, it will increase the
success of the DR programs.
At this stage, it should be noted that awareness is another important issue. There
may be some people who are not aware of DR-related applications or even what
DR is. Consumers will not participate in any program that they are not aware of, or
do not have enough knowledge about. Hence, education and outreach are needed.
The consumers should be informed about DSM, DR, smart appliances, and their
contributions. This can be done via organizing informative seminars about smart
appliances, DSM and DR, or adopting green labels so that the consumers can learn
the life-cycle cost of the appliances they use. Doing so would focus on how much
the appliance costs during its lifetime rather than focusing on how much they
spend for buying the appliance. In order to plan these seminars or trainings, first,
the awareness level of the country should be determined. This can be done by using
consumer surveys or questionnaires. Children should also be educated about the
need for energy savings and benefits both for themselves and for the country.
4.13 Costs and Benefits of Demand-Side Management

Logan (2020) claims that as more variable renewable energy generation (such as
wind, solar, etc.) will become available, DSM will also need to support the manage-
ment of distributed energy resources and the related flexibility needs. For instance,
when the energy production from renewables is lower, there will be more need for
thermal, nuclear, or other sources-based power generation in order to ensure the
stability of the power grid. With DSM, high levels of flexibility can be achieved
which in turn can prevent using additional energy sources for flexibility.
Logan states that energy efficiency programs, which constitute a part of DSM,
provide more energy savings when compared to DR, but it is also noted that energy
efficiency does not help the peak demand as much as DR. Logan also shows that,
between 2014 and 2017, the highest energy savings in the United States have been
achieved in 2017, as almost 30 TWh. When this amount is compared to the total
demand of 4000 TWh, it does not seem to be high. However, it should be noted
that energy efficiency offers cumulative savings. Hence, a high amount of energy
savings can be achieved in the long term as energy efficiency may help avoid trans-
mission and generation-related investments. However, it does not help the peak
load considerably. DR, on the other hand, is very effective at saving peak demand
but has very modest impacts on energy saving overall. Logan also states that in
2017, approximately 12 GW peak demand was saved through DR. Although when
compared to 700 GW (the national peak load) it may not seem to be a considerable
amount, it may still reduce the need for peaker power plants. Actually, DSM can
be considered as the cheapest option to achieve a better demand profile.
Sajip (2018) reports that grid operators from around the world are creating DSM
incentive programs as an alternative to expensive grid upgrades. For example,
instead of adding a distribution capacity of 10 MW in an urban region, they prefer
to lower down the peak demand by an equal amount. By using DSM, the costs of
energy generation can be reduced, which may prevent an increase in electricity
prices that should be paid by the consumers. The overall benefits of DSM can be
summarized as follows:
It reduces:
● peak demand (due to DR, which is a part of DSM)
● investments related to new infrastructure
● fossil fuel and water usage (as the need for thermal and nuclear power genera-
tion decreases)
● emissions, pollution, and health-related effects (as the usage of fossil fuels
decreases).
It improves:
● grid flexibility and reliability
● overall operation of electricity markets
● the competitiveness of providers due to lower energy costs
● distribution network’s efficiency.
As it can be inferred from the provided information, demand-side management
offers serious benefits. However, similar to every technological advancement,
DSM comes with costs. Ladwig (2021) divided the costs of DSM into two groups;
initialization costs and activation costs. These costs depend on several factors, such
as economic situation, utilization of production, and consumer behavior.
Initialization costs consist of investment-related costs (investments related to

the infrastructure of measurement, control, and communication technologies)
and yearly fixed costs (related to the operation of these technologies). Activa-
tion costs, on the other hand, occur immediately when the electricity demand
increases or decreases, as they are related to the activation of power plants.
Activation costs mainly differ from one DSM category to another one (such as
load shedding, load shifting, etc.). In difference to that, investment costs strongly
vary among different sectors. The installation and the activation cost comparisons
(with competing flexibility options) of DSM are presented in Ladwig (2021).
According to the results of the study, load-shedding-related applications have
the highest activation costs. The study also reveals that the activation costs of
conventional power plants are considerably lower than the ones of load shedding.
With regards to initialization costs, however, the cost of conventional power plants
is considerably higher when compared to load shedding. Therefore, according
to Ladwig, committing to load-shedding applications is only cost-efficient from
a system perspective, when the generation capacity from power plants is not
enough to fulfill the energy demand. For the detailed cost analysis of DSM, the
reader is referred to Ladwig (2021).

AC air conditioner
AMI advanced metering infrastructure
BAN building area network
DLC direct load control
DR demand response
ECS energy consumption scheduling
HVAC heating, ventilation, and air conditioning
IBR inclining block rate
IEA International Energy Agency
ILC indirect load control
LED light emitting diode
NAN neighborhood area network
PAR peak-to-average ratio
PLC power line communication
RE renewable energy

TOU time of use
U-SNAP Utility Smart Network Access Port
𝛼x earliest beginning time for appliance x
𝛽x latest ending time for appliance x
Glossary
Bluetooth A short-range wireless technology used for exchanging data between
mobile and fixed devices.
Fossil fuel A generic term for hydrocarbon-containing non-renewable energy
sources such as coal, natural gas, and oil.
Grid flexibility The capability of a power system to preserve balance between
power supply and demand during uncertainty.
Objective function The equation that needs to be minimized/maximized in an
optimization problem.
Off-peak period The period of the day with the lowest total power demand.
Peak to average ratio The ratio between peak demand and average demand of
the power system.
Peak period The period of the day with the highest total power demand.
PLC A technology that utilizes the existing electric power lines as a
communication medium.
Wi-Fi A widely used wireless technology operating in the 2.4 GHz/5 GHz bands.
Zigbee A short-range, low-data rate, energy-efficient wireless protocol.
Z-Wave A short-range, low-data-rate wireless standard designed for home
control automation.
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117
Standardizing Demand-Side Management: The OpenADR

Standard and Complementary Protocols
Rolf Bienert
OpenADR Alliance, 111 Deerwoord Road, Suite 200, San Ramon, CA 94583, USA
5.1 History and Creation of OpenADR
The beginning of Demand Response (DR) and Demand-Side Management (DSM)

goes back several decades to the first interruptible tariffs for large commercial
and industrial customers. Utility operators would contact a customer to change
power consumption on-site. At that time, demand response was primarily used
to provide Energy (MWh) and/or Capacity (MW) when wholesale prices were
unusually high, or when there were capacity shortages due to atypical consumer
demand.
The way these early programs were implemented was rather simple in principle.
Utilities would seek out customers with large energy consumption to onboard
in order to minimize the number of participants while maximizing the possible
curtailments. Most of the resources had no or little automation and any reduction
in consumption had to be started and managed manually by a facility manager.
During the onboarding, experts would evaluate the facilities together with the
resident staff to determine the best possible response when a DR event was called
out. Often, manual checklists were created for the operator on-site to create a
more predictable response to a request. Note that these manual mechanisms
at customer facilities are still around to this day. Factories for instance cannot
be expected to automatically change their electricity load without any human
intervention and approval.
Once the onboarding was completed, the customer was added to the DR
Program of the respective area and provider. Utility staff would then call or
later page a primary customer contact to manually change power consumption
on-site with no immediate feedback in the utility control room. As the number
of participants increased, the program operators had to get creative with the
118 5 Standardizing Demand-Side Management: The OpenADR Standard and Complementary Protocols
notification mechanisms. A pager was already an easier way to contact more

participants at once but not all customers would be interested in and attentive to
a pager at that time. Telephone and fax were still the preferred methods early on,
so the initial automation was focused on speeding up these methods. Automated
dialing systems with recorded messages were installed to simplify the process and
to keep the personnel need in check. Fun fact: Some of these automated dialing
systems were still in place in recent years.
While the implementation of these communication mechanisms was rather
simple from a technology standpoint, it was certainly not future-proof. The main
issues can be summarized in three categories.
No feedback: While personal phone calls would at least provide a “message
received” feedback, there was no way to tell how much energy consumption
was really curtailed after an event was called. The use of one-way pagers and
dialing machines even eliminated that initial feedback. It was also almost
impossible to review the change in power consumption after the fact without
Advanced Metering Infrastructure (AMI) and Smart Meters. Basically, the
utilities had to rely on readings in their substations, overall power consumption
on the grid, and data based on previous experiences. This might have been
enough in these early days, but it would not be sustainable over time.
Scalability: There is a limited number of larger consumers that can be controlled
using these manual processes. Even with dialing machines, fax machines, and
pagers, the number of people you can reach during a limited time period is
finite and not very large. Remember, at this time residential and small-medium
businesses had very little automation and connectivity beyond the phone line.
Onboarding was different for every customer and required significant effort.
No harmonization: Every utility essentially built its own program with different
parameters and objectives. While this is in principle not a bad thing, it also
meant that suppliers and integrators would customize solutions as needed
which created higher costs and long implementation timelines despite the
relatively low amount of technology involved.
Then the 2000/2001 energy crisis hit California and other Western States, and
things changed. Due to market manipulations, mainly by service companies that
provided capacity resources, California ran into supply shortages and increased
energy prices – up to 800% in the year 2000. Rolling blackouts circulated around
the state to make up for the shortages which affected businesses and private enti-
ties alike. Due to capped retail electricity prices, Pacific Gas & Electric Company
had to declare bankruptcy and Southern California Edison only just escaped the
same fate. The crisis is estimated to have caused $40–45 billion in losses.
Preliminary research from a California Public Utility Commission (CPUC)
analysis of the blackouts determined that, as stated by the CPUC Deputy
5.1 History and Creation of OpenADR 119
Executive Director for Energy and Climate Policy Edward Randolph, even the
still small amount of available DR “contributed quite a bit to grid support,” and,
“This is the first event in many years that required sustained demand response.
The analysis of its performance will inform future decision-making.” More
emphatically, Gridworks Executive Director and former CPUC Energy Advisor
Matthew Tisdale said that “If California had already seriously embraced flexible
demand response, it would not have even come close to blackouts.”1
Therefore, after the crisis was contained, the California Energy Commission
(CEC) identified the need for a better, faster, and more scalable communication
mechanism for demand response. In particular, to eliminate the need for rolling
blackouts and instead replace them with targeted and automated DR events.
The CEC’s Public Interest Energy Research (PIER) program created a General
Funding Opportunity (GFO) to entice companies to become creative and offer
solutions to the state of California. The Demand Response Research Center
(DRRC – https://buildings.lbl.gov/demand-response) which is managed by
Lawrence Berkeley National Laboratory (LBNL) and the company Akuacom
(later Honeywell) took on the project and worked with the California Investor
Owned Utilities (IOUs – Southern California Edison – SCE, San Diego Gas
& Electric – SDG&E and Pacific Gas and Electric – PG&E) to create the first
standard for demand response communications – OpenADR 1.0. LBNL describes
the standard as “a communications data model designed to facilitate sending and
receiving DR signals from a utility or independent system operator to electric
customers. The intention of the data model is to interact with the building and
industrial control systems that are pre-programmed to take action based on a DR
signal, enabling a demand response event to be fully automated, with no manual
intervention. The OpenADR specification is a highly flexible infrastructure design
to facilitate common information exchange between a utility or Independent
System Operator (ISO) and their end-use participants. The concept of an open
specification is intended to allow anyone to implement the signaling systems,
providing the automation server or the automation clients.”
OpenADR 1.0 offered an implementable way to quickly and effectively com-
municate between a management server at the utility (often referred to as a
DRAS – Demand Response Access Server – a term later trademarked by Honey-
well) and a client device at the energy customer facility end, often also referred
to as the resource side. Implementation started between 2005 and 2006. The
standard was however focused on existing or newly implemented DR programs
in California and was also limited to Akuacom/Honeywell and their partner
companies.
1 https://www.utilitydive.com/news/demand-response-failed-california-20-years-ago-the-
states-recent-outages/584878
5.2 Re-development of OpenADR 2.0
As the Smart Grid efforts increased after 2005, more emphasis was put on
interoperability and the creation of common standards. The Smart Grid Interop-
erability Panel (SGIP) was tasked by the US National Institute of Standards and
Technology (NIST) to oversee standardization of the Smart Grid. SGIP collected
use cases and market requirements from different utilities, areas, and interest
groups to add to a framework for a demand response standard. With OpenADR
1.0 functionality as its basis, the task of creating this new framework was given
to the OASIS Energy Interoperation Technical Committee (EITC). The EITC
used the work of both the OASIS Energy Market Information Exchange (EMIX)
and the OASIS Web Services Calendar (WS-Calendar) to create the basis for a
common DR data exchange model. This standard, the Energy Interoperation
(EI), was however not meant to be used by manufacturers to build interoperable
products. It lacked (perhaps on purpose) specific implementation requirements,
security, and transport protocol features.
In parallel to the EITC work on the Energy Interoperation, several stakehold-
ers – both utilities and manufacturers – discussed the need for more specific brand-
ing and interoperability to make this standard successful. It was concluded that a
new industry initiative was needed to put all of this in place and the OpenADR
Alliance2 was formed in late 2010.
The Alliance’s goals were simple –
● Create implementable specification profiles based on the Energy Interoperation
services descriptions.
● Create a testing and certification program to validate products and reduce the
need for implementation testing.
● Create a broader ecosystem of companies that can provide interoperable
solutions to utilities and customers alike (Figures 5.1 and 5.2).
Figure 5.1 OpenADR

Alliance logo.
Source: OpenADR
Alliance.
Figure 5.2 The seal of

compliance to OpenADR
2.0. Source: OpenADR
Alliance.
2 www.openadr.org, https://www.openadr.org/overview
5.2 Re-development of OpenADR 2.0 121
The Alliance made quick progress and derived two profile specifications from
the OASIS Energy Interoperation – OpenADR 2.0A and OpenADR 2.0B Profile
Specification – as well as a standardized test tool between the years of 2011 and
2013. Trials with the new OpenADR 2.0 standards started soon after and were
generally very successful. The following defining features were identified for the
standard.
● Continuous, secure, and reliable: Provides continuous, secure, and reliable
two-way communications infrastructures where the endpoints at the end-use
site receive and acknowledge the receipt of DR signals from the energy service
providers.
● Translation: Translates DR event information to continuous Internet signals to
facilitate DR automation. These signals are designed to interoperate with energy
management and control systems, lighting, or other end-use controls.
● Automation: Receipt of the external signal is designed to initiate automation
through the use of pre-programmed demand response strategies determined and
controlled by the end-use participant.
● Opt-out: Provides opt-out or override function to any participants for a DR event
if the event comes at a time when changes in end-use services are not desirable.
● Complete data model: Describes a rich data model and architecture to
communicate price, reliability, and other DR activation signals.
● Scalable architecture: Provides scalable communications architecture to
different forms of DR programs, end-use buildings, and dynamic pricing.
● Open standards: Open standards-based technology such as Internet Protocol
(IP) and web services form the basis of the communications model.
The benefits of the framework were laid out by the stakeholders as well.
● Open specification: Provides standardized DR communications and signaling
infrastructure using open, non-proprietary, industry-approved data models that
can be implemented for both dynamic prices and DR emergency or reliability
events.
● Flexibility: Provides open communications interfaces and protocols that are
flexible, platform-independent, interoperable, and transparent to end-to-end
technologies and software systems.
● Innovation and interoperability: Encourages open innovation and interop-
erability, and allows controls and communications within a facility or enterprise
to build on existing strategies to reduce technology operation and maintenance
costs, stranded assets, and obsolesce in technology.
● Ease of integration: Facilitates integration of common Energy Manage-
ment and Control Systems (EMCS), centralized lighting, and other end-use
devices that can receive Internet signals (such as the Extensible Markup
Language – XML).
● Supports a wide range of information complexity: Can express the infor-

mation in the DR signals in a variety of ways to allow for systems ranging from
simple end devices (e.g. thermostats) to sophisticated intermediaries (e.g. aggre-
gators) to receive the DR information that is best suited for its operations.
● Remote access: Facilitates opt-out or override functions for participants to
manage standardized DR-related operation modes to DR strategies and control
systems.
Today, the OpenADR Alliance has over 170 corporate members and over
250 certified solutions. It represents the largest specialized ecosystem in the
demand response arena. Implementations now reach beyond California to many
US states as well as countries in the Asia-Pacific Economic Cooperation (APEC)
and European regions. Regulations in Japan and the UK now also prescribe
OpenADR as mandatory.
Also around 2005, the ZigBee Alliance developed the Smart Energy Profile (SEP)
1.0 and later on 1.x. The initial rollouts of Smart Meters using ZigBee modules
toward the home were thought to be extremely suitable to control many appliances
and other consumers in the building. It was envisioned to create a ZigBee network
within the house that would connect appliances to be controlled and also to make
the customer aware of the current energy price. To accomplish the latter, the idea of
in-home displays was developed. The displays worked either like a traffic light with
different colors for different prices, or they would provide actual prices. Several
of the early Smart Appliance manufacturers also looked at the possibility to add
this networking capability but it was not clear how the system would be used.
Furthermore, it became a concern that if appliances are controlled through the
Smart Meter network, any issues with said appliances might be taken back to the
utilities that operate the system. This combined with connectivity issues in bigger
dwellings and potential delays in the communication from utility to meters caused
this idea to not be realized.
In 2018, the OpenADR 2.0b Profile Specification was also published as
IEC62746-10-13 and became an international standard.
5.3 How OpenADR Works

In essence, OpenADR is a web services-based message exchange protocol. It is
fully bi-directional although not all functions are symmetrical – with other words,
some signal elements are meant to travel primarily one way. Two actors are being
used in an OpenADR exchange. The Virtual Top Note (VTN) is generally located at
the utility side, and the Virtual End Node (VEN) is part of the demand side control
system.
3 https://webstore.iec.ch/publication/26267
The VTN is the interface point of a larger system installed at the utility or
an aggregator. There are several companies that build these Demand Response
Management Servers (DRMS), Demand Side Management System (DSMS), or
Distributed Energy Resources Management System (DERMS). Typically, these
management servers integrate information elements from the utility control
network to manage the downstream resources more effectively when and where
they are needed. They can be integrated into the IT structure of the utility or
cloud-based as software as a service (SAAS).
The VEN is the logical counterpart of the VTN. It represents a web services client
and is in general the recipient of most on the information elements. There are
however some services with information flowing from the VEN to the VTN. We
will discuss these later. The VEN can appear in different forms. Early on these were
almost always onsite, so in a gateway or even directly in a control system. However,
lately, the trend of cloud-based control and Internet of Things (IoT) has shifted the
OpenADR endpoint away from the resource into these cloud controllers. The VEN
does not have to be the actual energy-consuming device or system. In fact, in most
implementations, the VEN is rather a type of gateway between the internet and
the devices (Figure 5.3).
In most cases, the VTN will communicate with the VEN using already exist-
ing internet connections. Broadband to building or generally through the cloud
controller. In rarer cases, dedicated internet connections can be established using
Demand Response
OpenADR 2.0
Service Providers (VTN)
Aggregated
loads
Information (VEN/VTN)
Operators
System
OpenADR 2.0
Secure internet
Site Site
Site
A (VEN) B (VEN) Site
Site E (VEN)
C (VEN)
OpenADR 2.0 D (VEN)
Figure 5.3 A relationship diagram between the parts of the system. Source: OpenADR
Alliance.
cellular modems or other similar pathways. This can address connectivity con-
cerns for high-value resources, or simply connect systems that are out of reach of
typical internet connectivity. Examples of the latter would be irrigation pumps in
fields or Electric Vehicle (EV) charging stations on parking lots.
OpenADR currently comes in two flavors, OpenADR 2.0a and 2.0b. The two
profile specifications vary in feature content although the overall mechanisms
are identical. OpenADR 2.0a could be considered a reduced function set. It was
originally created to be used in resource-constraint devices like appliances, ther-
mostats, and similar systems. The OpenADR Alliance working group assumed
that these endpoints did not have extensive processing capabilities and could
therefore not cope with large messages and extensive instructions. OpenADR
2.0a is limited to so-called simple signals, in which the signal content can only
include discrete numbers from 0 to 3. These numbers could be associated with
either prices or energy curtailment requests. Both associations needed to be
pre-defined by a contract. An early program in California for instance defined the
curtailment levels as follows: 0 – normal operation; 1 – medium shed; 2 – high
shed; 3 – emergency.
OpenADR 2.0b in contrast includes all services, signals, and message contents,
more about this later. Needless to say, with the increasing computing capabilities
and cloud control trends, all recently certified OpenADR products use the 2.0b
profile (Figure 5.4).
As already mentioned, OpenADR is a web services-based message exchange
protocol. For the layman, it can be envisioned as a web browser (VEN) and
website hosting server (VTN) combination. The VEN frequently polls the VTN
by sending a data update request to the server Upon receiving this message, a
security exchange is started and the VEN and VTN connect. Now the information
elements in XML format will flow from the VTN to the VEN and the VEN
confirms receipt and acts on the messages. Of course, it should be noted in this
Figure 5.4 The relationship of the OpenADR

Energy Interoperation 1.0 profiles and OASIS Energy Interoperation 1.0.
Source: OpenADR Alliance.
OpenADR 2.0b
OpenADR 2.0a
EiEventPull
VTN VEN
oadrPoll is periodically sent from the
VEN to the VEN. The VTN may reply
with an oadrDistributeEvent
oadrPoll containing new or modified events.
For one-time requests,
oadrDistributeEvent oadrRequestEvent is used instead of
oadrPoll.
Periodic poll
If a response is required, the VEN

oadrCreatedEvent responds to the event with an
oadrCreatedEvent payload with its
oadrResponse optln and optOut state and may
subsequently change its state with
another oadrCreatedEvent or with an
oadrCreateOpt.
Figure 5.5 The Typical OpenADR Exchange Pattern. Source: OpenADR Alliance.
example that we are talking about machine-to-machine communication and not

a graphical interface for the user (Figure 5.5).
The OpenADR services that are included in the 2.0b profile are the Event Ser-
vice, the Opt Service, the Report Service, and the Registration Service.
5.3.1 Event Service (EiEvent)

So-called Events are the primary services in OpenADR. They can be envisioned
to be very similar to a calendar invitation that you might receive through an
email platform or other scheduling application. In fact, the XML schema for the
OpenADR event service used the OASIS “WS-calender” structure in an effort to
integrate existing internet functions instead of reinventing the mechanisms. An
OpenADR event has a start time and an end time – or a duration. Within this
timeframe, a large variety of signals and different time intervals can be incor-
porated into the information elements. It could be envisioned as a multi-track
agenda within the event if one wanted to visualize this. Most common signal
types are price and energy-related messages. It should be noted that from a
technical perspective there are no limits as far as the event timing is concerned. It
could start “immediately,” essentially having a start time identical to the creation
time, or it could be hours, days, or weeks ahead. Consequently, an event must
have at least one-time interval with one signal. However, as already mentioned,
it could have multiple intervals with changing values for signal types or different
signals altogether. As an example, an event could be scheduled from 8 : 00 to
12 : 00. Within this timeframe could be for instance four one-hour time intervals
with different energy prices for each of them. At the same time, there could be
two intervals with different curtailment levels included. Appliances may also be
faced with different signals. Most likely an appliance controller will simply ask
for power cycling, however, if dynamic pricing becomes more prevalent then the
consumer may need to be able to react to prices as well. In other words, one may
set up a pool pump to run only up to a pre-selected price or a washing machine
may delay the start until the energy price drops again (Figure 5.6).
The VEN can respond to an event by opting in or opting out of participation. At
any time before or during the event the customer will still be able to reverse any
decision made.
It is worth noting here that OpenADR is generally not considered to be a con-
trol and command protocol. The signals are not meant to directly switch off devices
or change settings. Rather, the OpenADR signals are meant to inform and moti-
vate customer systems to participate in a way that is either predefined or based
on some processing logic in the controllers. Controlling the devices downstream
from the controller is typically accomplished with other existing building control
protocols. Anything from ZigBee-related standards (CSA – Connectivity Standards
Randomization
Notification time
Rampup Duration Recovery
Event Event
start end
Time
Far state Near state Active state Completed state
Pending
Signal #1
Interval 1 Interval 2
Signal #2
1 1 2 2
Figure 5.6 The structure of a typical OpenADR Event. Source: OpenADR Alliance.
Separation point
Renewables
– Operator remains – Customer in charge DER
indemnified of their equipment
– Controls via information – Innovation
Storage
and motivation opportunities
– Security intact ...
OpenADR
VTN
DR/DER controller
DERMS
EV chargers
OpenADR battery
ISO/Utility/Operator
OpenADR OpenADR
directly to VEN Smart
resource communities
Resource control with OpenADR, IEEE 2030.5, OCPP, etc.
Figure 5.7 The typical information flow of the OpenADR signal. Source: OpenADR
Alliance.
Alliance4 ), EEBUS,5 etc., for residential applications over BACnet6 /LonMark7 in

commercial buildings, to more specialized standards like OCPP8 (Open Charge
Point Protocol) for EV chargers and CTA-20459 (EcoPort10 ) for direct appliance
connections.
The fact that OpenADR does not directly control devices also enables utilities
to stay at arm’s length from the customer equipment and therefore avoids the
assumption of responsibility for failures at the customer equipment. The Ope-
nADR link in this case provides a demarcation point between the two entities and
also for cybersecurity (Figure 5.7).
5.3.2 Opt Service (EiOpt)

A less-used service in OpenADR, the Opt functionality enables resources to
announce their availability ahead of time. We will likely see more usage for
these services when more storage applications are available. In essence, the
resource – through the VEN – can provide a schedule of available participation to
the VTN. This will likely not affect appliances.
4 www.csa-iot.org
5 www.eebus.org
6 www.bacnet.org
7 www.lonmark.org
8 www.openchargealliance.org
9 https://shop.cta.tech/products/modular-communications-interface-for-energy-management
10 https://www.openadr.org/ecoport
5.3.3 Report Service (EiReport)

This service is a feedback mechanism from the VEN to the VTN. The OpenADR
specification defines a set of mandatory reports. However, any custom assembly of
data is possible within a program. Of course, not all resources can provide specific
data. Imagine an older appliance being asked about its recent energy consumption
history. However, the VEN is required to be able to form report messages even if
no data is available.
In the initial exchange, the VTN sends a so-called metadata report to the VEN.
This represents a template for what the VEN is supposed to provide back to the top
node. After that, the VEN will provide the requested information at the specified
time intervals back to the server. Often this is used to simply inquire about the
status of resources, but it may also include more specific data.
5.3.4 Registration Service (EiRegister)

This is a low-level service that allows the VTN and the VEN to exchange capabil-
ity and connection information when they first connect. It does not include any
higher-level functions for demand response.
At the time of this writing, the OpenADR Alliance is reviewing future services
and functions needed to address upcoming market needs. The proposed features
can be categorized as follows.
● enhancements to existing OpenADR usage models
● extend OpenADR to support new use cases
● improve Infrastructure
● other.
OpenADR uses two transport protocols, Simple Hypertext Transfer Protocol
(HTTP) (simplified REST interface) and Extensible Messaging and Presence
Protocol (XMPP). The former is a typical web services mechanism used by web-
sites and many other systems. It generally established a connection upon request,
for instance, if the VEN is polling the VTN. The VTN can also push messages to the
VEN but this may encounter problems with local firewalls that will block external
commands from reaching the endpoints. Each time a connection is established,
the VTN and VEN will also need to go through the cybersecurity authentication
process, more details in the Cybersecurity session presented shortly.
XMPP is an open communication protocol designed for instant messaging
and other applications that need constant connectivity. The advantage of this
mechanism is that the connection between the VTN and the VEN is always open.
You can compare this to any online chat tool you may use in daily life, or the
so-called tickers on websites that keep updating automatically as long as the web-
site is active, a communication heartbeat. This enables very fast response times to
. 5.3 How OpenADR Works 129
requests made by the VTN. The idea here is that customers and professionals in
the space will eventually see DSM and flexibility programs that allow for almost
instant demand response to help the grid balance fluctuations due to renewable
energy resources as well as capacity-related variations. XMPP is not widely used
at this time. Not only due to the fact that most programs do not require extremely
fast response times but also because the VEN implementations are must faster
and resource-rich than initially expected (cloud-based vs. gateway and so on).
Before discussing how OpenADR products can be tested and certified, it may
be useful to talk about why the use of standards, testing, and certification makes
sense for an industry and also for manufacturers. You may or may not be aware
that we are surrounded by standardized products that make our daily life possible.
We do not even have to reach for our mobile phones but simply look at a nut and
bolt combination. If the nut has a different diameter or thread, it will simply not
fit the bolt, no matter how similar it may appear to be. Therefore, the hardware
industry has long ago standardized the sizing so that different manufacturers
can build the individual components independently and still maintain interop-
erability. However, the manufacturing process is obviously not perfect. There are
variations – tolerances – in the tools that make the components, the materials,
and the finishes. These tolerances need to be defined in a way that the greatest
positive deviation from the nominal specification will still fit the greatest negative
deviation from the same nominal specification. Aside from the fit, the materials
also need to have a defined strength in order to fulfill their intended purpose when
used. As you can see, there is a variety of parameters that need to be maintained
and tested before even a simple bolt can be put on shelfs in the hardware store. The
same is true for any other system of components that are meant to interoperate.
This simple example can also be used to better understand the advantages of
using standards in many areas. Here are the basic ideas:
● A consumer has a problem to solve and has a variety of products to choose from.
It will not matter where one purchases the components, together or individually,
because they will fit together.
● The consumer does not need to re-invent anything. The products are available,
so it is much quicker and more affordable to purchase them instead of creating
new components.
● Manufacturers in turn can specialize in specific components to maximize their
expertise in that area. They know that these components will fit into the system
later.
● If one vendor goes out of business, consumers can simply buy a replacement
component from another vendor without having to change the overall system.
In OpenADR, for systems or components to be listed as certified products,
devices need to go through a testing and certification process managed by the
OpenADR Alliance. The group partnered with a test tool company early in the
process to create one reference test tool. This tool is a software implementation
that simulates either the VTN or the VEN, exchanges and verifies messages, and
eventually creates a verdict of pass or fail for each test case. The test cases in turn
follow the specific conformance statements in the specification. The test tool can
be obtained from the OpenADR Alliance,11 and an identical tool is used at the
approved test houses.
Once a manufacturer has implemented the protocol, they go through the testing
at one of the test houses. The passing test report along with some other docu-
mentation is then sent to the alliance for review, certification, and listing on the
designated certified products page.
5.4 Cybersecurity
Being a web services interface protocol, OpenADR is primarily interested in and

required to secure the transport layer link from the VTN to the VEN system.
Similar to the communication between an internet browser and for instance
your bank, it needs to be ensured that both sides are in fact exchanging messages
with the correct and real counterpart that they are intending to connect to. An
additional layer of security included in the OpenADR specification lets the user
encode the actual messages that are being transported. An XML wrapper is being
used to ensure that the message that was sent is also the message that is being
received. This mechanism is not widely used at this time but could be deployed to
avoid any instances of repudiation, with other words any involved party claiming
that the message did not contain what the other party claims.
OpenADR uses transport layer security – TLS 1.212 – as its main security
mechanism. After the initial reviews by the US NIST (Smart Grid Interoperability
Panel – SGIP), it was determined that the best approach is having server and
client-side cybersecurity certificates. Additionally, the security reviewers required
that the certificates have to be unique to OpenADR. To accomplish that, the
OpenADR Alliance partnered with a third party to create a certificate policy
and to establish an OpenADR specific Certificate Authority (CA). Using an
existing provider, separate roots were created that correspond with the OpenADR
requirements and are simultaneously unique to OpenADR products. In order to
obtain these certificates, manufacturers need to be compliant with the OpenADR
specification and demonstrate this during the product certification process. This
ensures that the basic security functions have been implemented correctly and
11 https://www.openadr.org/openadr-test-tool
12 https://www.rfc-editor.org/rfc/rfc5246.html
5.5 Other Standards and Their Interaction with OpenADR and Energy Smart Appliances 131
will for instance reject incorrect security certificates among other tests. It should
be noted that using the OpenADR-specific certificates – while strongly recom-
mended for interoperability – is up to the final implementers of the technologies,
usually utility companies. Some program operators may choose to use their own
CA and certificates to have better control of the endpoints; others may even lower
the requirements. This is outside the scope of the OpenADR Alliance.
Later reviews by the International Electrotechnical Commission (IEC) security
working group also found this approach acceptable.
OpenADR allows for two types of certificates, Elliptic Curve Cryptography
(ECC) and Rivest–Shamir–Adleman (RSA) types. The VTN (server) serves as
the center of interoperability and needs to implement both certificate types.
Please note that this is also true for all other optional features – the server must
implement all of them and the client (VEN) can pick and choose between some
available options. The used Cipher Suites are:
● ECC: TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA256
● RSA: TLS_RSA_WITH_AES_128_CBC_SHA256.
When the connection between the VTN and the VEN is established, the systems
exchange the required keys and create a secure tunnel.
5.5 Other Standards and Their Interaction

with OpenADR and Energy Smart Appliances
As mentioned before, OpenADR generally stays away from direct load control.
Therefore, it is ideally positioned to be combined with other in-building control
systems. There are many standards that have gained market share including the
ZigBee ecosystem (now CSA), Z-Wave,13 EEBUS, IEEE 2030.5,14 OCPP, and many
more. In a typical architecture, OpenADR is used to convey informational and
motivational messages from the utility to a gateway layer. This endpoint could
be in a cloud-based control system or in a physical device on the demand side.
Irrespective of where the endpoint is located, the OpenADR signal will have to
be evaluated by the system logic so that the best possible actions can be applied
to accommodate the requests. In most cases, these are pre-programmed scenar-
ios and offer companies an opportunity to prove value-adding innovation to their
products. Aside from these building automation protocols, there is one additional
standard that provides appliance manufacturers a different avenue to connect with
the Smart Grid. Therefore, we want to take a closer look at this in the context of
the chapter – CTA2045 (EcoPort).
13 www.z-wave.com
14 https://standards.ieee.org/ieee/2030.5/5897
In the 2000s there was an influx of radio standards competing for the residential
building automation space. The uncertainty about which of these standards would
be prevalent in the future caused a lot of manufacturers to sit back and wait in
order to avoid unnecessary expenditures and potentially failed targets. A thermo-
stat company (RTA – Radio Thermostat Company of America) eventually brought
up the idea of having plug-in modules that would provide different types of radio
communications while using one very basic connection to the thermostat itself.
The modules were approximately 6 cm by 6 cm by 1 cm big and could be slotted
into the side of the thermostats. A blade of pins would connect to the internal func-
tions and convey simple commands like changing the temperature or turning the
system off and on. Different radio technologies were available in different modules
and the homeowner could decide which is needed and exchange them if another
technology became relevant (Figure 5.8).
The idea was soon extended to gateways which would include several slots for
modules in order to be flexible and able to accommodate several technologies at
the same time.
The concept initially gained a lot of interest and several companies banded
together to form the USNAP Alliance, a non-profit organization “bringing
together utilities, utility equipment manufacturers, and customer equipment
manufacturers to develop and promote a modular communications interface
(MCI) to enable customer equipment participation in energy management and
demand response.” However, with ever-improving technology, multiband radio
chips, and cheaper implementations, the initial idea about different radio types
in the modules alone did not make USNAP a relevant technology and the alliance
was stagnant for a while.
In the late 2000s, the Electric Power Research Institute (EPRI) also worked on a
related project with the intention to connect larger appliances. The same modular
Figure 5.8 USNAP add-on

module. Source: Amazon.com, Inc.,
https://www.amazon.com/Radio-
Thermostat-Z-Wave-Module-RTZW-
01/dp/B00IA8ROSK.
concept was applied but the module was larger and could be securely mounted
on washing machines, dryers, water heaters, pool pumps, and so on. The module
also used line Alternating Current (AC) voltage as opposed to the Direct Current
(DC) low voltage used by the original USNAP plug-ins. It was assumed that many
of these larger appliances would not necessarily have easy access to DC circuit
voltages. The stakeholders then decided that it would make sense to combine
the two efforts into one standard. After some research and discussions, the two
specifications were handed over to the Consumer Technology Association (CTA;
formerly Consumer Electronics Association – CEA), and a project committee with
working groups were formed to harmonize the standard. The new framework
and standard were called CTA-2045 – The Modular Communications Interface
for Energy Management.
This standard provided a solution to the problem of ever-changing connectivity
and control technologies by defining the MCI enabling any product to connect
to any type of demand response system (at the time summarized with “Advanced
Meter Reading [AMI], Smart Energy Profile [SEP], OpenADR”), and/or home or
building network. The concept was to be the same as previously in USNAP – to
encourage manufacturers to build an MCI into their products that can accept a
simple communications module. Consumers and program managers are then
free to select whatever communication solution works best for their particular
environment.
The technical concept was also kept simple. Utilizing the RS-48515 and Serial
Peripheral Interface (SPI) supported by most silicon chips at the time, the MCI
protocol is capable of simply passing through standard protocols including
Internet Protocol (IP), OpenADR, and SEP from the communications module to
the end-device. Network security is supported through the selected transport pro-
tocol, such as Wi-Fi, ZigBee, HomePlug,16 Z-Wave, LonWorks,17 etc., in addition
to network or application layer security. The passthrough concept however has
not gained large-scale support to date.
The simplified communications messaging supported by the MCI standard
became more popular and supports direct load control, Time of Use (ToU) rates,
Critical Peak Pricing (CPP), Real time Pricing (RTP), peak time rebates, all
kinds of block rates, and a range of ancillary services. The functionality of the
removable modules can be tailored by utilities or other load-managing entities
to provide support for the unique needs in a given region or service territory,
without impacting the end devices.
15 https://en.wikipedia.org/wiki/RS-485
16 https://en.wikipedia.org/wiki/HomePlug
17 www.lonmark.org
The standard defines the two components as universal communication mod-

ules (UMC) and Smart Grid Devices (SGD – usual appliances of any kind)
(Figures 5.9–5.11).
Upon completion of the standard in the mid to late 2010s, there was still
not a lot of uptake for the technology. Manufacturers generally liked the idea
and even joined a further development project with EPRI which created more
implementation definitions and a test setup that could evaluate the UCM and
SGD implementations. However, there were still no utility requirements that
forced appliance vendors to enable any type of grid connectivity. Therefore, most
companies chose to not invest in any technology. Around the same time the
CTA-2045 standard was created, Portland General Electric, the utility company in
Portland, Oregon, USA, observed an increase in heat pump water heater (HPWH)
availability and sales. The water heaters – while efficient in general – represented
an increased electricity usage. Discussions around how to manage this increase
started and the MCI standard was assumed to be part of the solution. It still took
a long time to define solutions and it was not until the 2020s that Washington
State became the first area to prescribe CTA-2045 as a mandatory component of
new heat pump water heaters. The requirements have since been refined and will
enter into effect in the 2022/2023 time frame.
Figure 5.9 An AC Modular

Communications Interface use case.
Figure 5.10 Example of a Home Energy Manager that supports DC Modular

Communications Interface.
Universal Smart Grid Device

Communication (SGD)
Module
(UCM) e.g. EV
Any Appliance
communication A/C Socket HVAC
system or interface thermostat
D/C H2O heater
type solar
pools
e.g. AMI e.g. SEP etc.
HAN, LAN OpenADR
cellular, FM ClimateTalk Protocol
Pager, etc. etc. pass-through App layer
or Link layer
Transport and application PHY layer RS485 (Line voltage)
Basic DR App SPI (Low voltage)
layer agnostic
Figure 5.11 Block Diagram of the MCI (Socket Interface is defined in CTA-2045).
During the discussions about these requirements, the contributors realized

that there was no testing and certification program established for the CTA-2045
standard. The document itself included a variety of functions and models but
this was not enough to build consistently interoperable products without defin-
ing the specifics of what is needed to effectively control HPWHs. NEEA, the
Northwest Energy Efficiency Alliance, took on the task of creating a test tool
and defining the test plan for the relevant communication modules and smart
grid devices. NEEA, however, is not an organization that typically manages
technology programs, so they approached the OpenADR Alliance to see if there
is willingness to host the CTA-2045 (by now there is a version CTA-2045-B)
testing and certification program. Since the MCI standards are a logical exten-
sion of OpenADR inside the building, the alliance agreed to add this program
under their umbrella using the same certification process used for OpenADR
products.
Aside from creating the test tool, test plan, and other relevant documentation,
the task group also discussed additional branding for the CTA-2045 standard.
While the term was reasonably well-known in the industry, it did not seem very
intuitive and user-friendly. Many other successful standards have gone through
this process successfully. For instance, many readers will not know what IEEE
802.11 is but will certainly have heard of Wi-Fi, the brand name for the profiled
and tested IEEE 802.11 series of standards.
After a few months of discussions and the involvement of a branding consultant,
the marketing name EcoPort was created and is shown in Figure 5.12.
EcoPort is designated for devices, both the modules and the appliances, that
have passed the testing and conform to the requirements set forth by the reg-
ulations. At the time of this writing, the first group of manufacturers is work-
ing on the initial implementations. They are expected to be available in the third
quarter of 2022.
EcoPort will enable water heater and other appliance manufacturers to
create universally usable smart grid ready devices which should not need to
be customized for different markets. The customization to different utilities,
technologies, and environments will happen by selecting different modules to
plug into the SGDs.
Another standard worth describing in more detail in the context of appliances
is a lesser-known European control specification – EEBUS.
Similar to the OpenADR Alliance, the EEBUS initiative is a non-profit orga-
nization, based in Germany, with international members from the automotive,
Figure 5.12 CTA-2045 brand name.

heating, ventilation, air conditioning, white goods, PV, energy storage, as well
as energy management sector. On behalf of the industry, EEBUS describes the
communication interface, meaning the application, data model, and transport
protocol, to allow for the interconnection between energy management relevant
devices as well as corresponding control systems. To arrive at a standardized
communication interface, EEBUS is active in several national, European as well
as international standardization bodies.
Effective communication between different stakeholders in the building
requires more than just standardized data exchange. The communicating parties
must also be aligned with respect to content and communication flow process
via the same use case applications. By “communication interface” we therefore
refer to the combination of the data model and transport protocol required for the
data exchange as well as relevant use case descriptions. Such a communication
interface to be successful and future-proof must fulfill several key requirements.
● Technical standardization: EEBUS standardizes the communication inter-

face at and behind the grid connection point to allow for the development of
energy-related and manufacturer-specific business models that are compliant
with physical limits at the grid connection and thus ensure stable grid operation.
● Easy installation: Plug and play on the premises: EEBUS provides an auto-
mated plug-and-play mechanism without the need for specialists’ costly config-
uration tools to integrate devices into an eco-system. This will lead to a broader
acceptance for energy-optimized setups.
● Holistic application: EEBUS enables a holistic application by its use case
specifications employing the domain unspecific data model SPINE (Smart
Premises Interoperable Neutral-Message Exchange). Irrespective of device type
or stakeholder role, it is the generic data model allowing for a broad range of use
cases. Furthermore, information symmetry is implicitly guaranteed – there is no
single point of information and control: any device can exchange energy-related
data via its implemented use case(s), irrespective of the underlying system
architecture.
● Dynamic flexibility: The EEBUS data model SPINE has been designed from
the very beginning to allow for a maximum degree of flexibility. Its modular
and flexible design is a prerequisite for consensus building among the various
stakeholders.
● Reliability: Even the technologically most advanced and economically most
feasible solutions must be reliable when it comes to grid-relevant implemen-
tations. EEBUS ensures reliability with respect to its SPINE data model in the
following manner: use cases depending on a reliable connection implement
a fail-safe/watchdog mechanism – if the communication behind the grid
connection fails, the heartbeat mechanism of the EEBUS ensures that the
devices operate in a fail-safe mode and return to a normal operation as soon as

the communication is re-established.
● Security compliance for critical infrastructure: In principle, any transport
protocol can be used for transmission of the EEBUS SPINE data: EEBUS mem-
bers have deliberately chosen an IP approach and developed the Smart Home
Internet Protocol (SHIP) transport protocol18 to be best-in-class with respect to
cybersecurity and energy networking inside buildings.
For finding and networking devices, EEBUS applies Multicast Domain Name
System (mDNS)/Domain Name System – Service Discovery (DNS-SD) while
secure communication is enabled through the Transport Layer Security commu-
nication standards Via SHIP EEBUS has implemented remote certificate update
procedures that can be applied during ongoing device operation without requir-
ing user interaction.
Finally, a trust level mechanism allows to pre-configure which other devices
shall be trustfully interconnected via public key acceptance procedure.
● Broad support: The data structure serves as a basis for the use cases that
select and combine required elements in a modular principle: it is then these
use cases that are agreed upon and standardized in domain-specific as well as
cross-domain working groups of the EEBUS initiative.
Figure 5.13 presents a diagram of the EEBUS application.
Grid interaction
Gateway EMS
Meter
EEBUS communication
EMS Energy Management System
© EEBUS 2022
Figure 5.13 EEBUS overview. Source: EEBUS Initiative.
18 https://www.eebus.org/media-downloads/#specifications
5.6 Energy Market Aspects for Appliances 139
5.6 Energy Market Aspects for Appliances

For the most part, appliances are small energy consumers when looking at
the overall capacity of the energy grid. However, the great number of devices
represents an interesting resource for utilities. Of course, we should not forget to
mention non-traditional appliances like pool pumps, car chargers, and even the
aforementioned electrical water heaters. These loads can add up quickly. Overall
trends to electrification – exchanging traditional fossil fuel-powered systems
with electric-powered integrations – are only adding to the need to better control
the demand side. As discussed before, early utility ideas included direct control
of many home appliances, but these ideas were discarded quickly for various
reasons. Future programs for general appliances will more likely focus on two
ideas. Price communication and energy requests. The United States sees a push
for more flexible pricing structures. Dynamic prices that can vary during the
day depending on transmission rates, renewable energy availability, and overall
consumption could become reality sooner rather than later. Some utilities are also
experimenting with so-called spot prices. Similar to online product retailers, the
price will depend on the availability and location of the customer and could adjust
up and down during the day. Preset gateway functions could then manage the
customer devices without any input from the owner based on the current price.
For instance, if the energy price is low, precool the refrigerator and freezer, heat
the water in the water heater to a higher temperature, or run the pool pump at full
speed to achieve the necessary filtering. When the price increases, dial back these
appliances and delay washing machine or dishwasher cycles. The overall trend to
achieve IoT could help with this automation process. However, to date, there are
only a few vendors that provide solutions that integrate multi-vendor scenarios.
Many appliance manufacturers already have or are working on external control
systems. Typically, a cloud-based controller will connect via a smartphone and
add back to the appliance. Adding grid connectivity to the cloud would be the
obvious next step. The OpenADR interface for instance can be easily integrated
into existing web services environments. Appliance manufacturers can now shine
by thinking outside the box and providing customers with a certain level of intel-
ligence. However, of course, we are facing a chicken-or-the-egg scenario in which
utilities may not know yet what appliances may be capable of participating and
in turn, the manufacturers will not know yet what the utilities want. Ultimately it
will come down to partnerships between some members of each group to define
the applicable programs.
Aside from dynamic pricing, appliances may also see requests to simply reduce
or increase power consumption. It will then be up to the control system to find
the best approach to shifting energy usage. Also taking the opportunity to empha-
size that we are not talking about energy efficiency here but rather the better
timing of energy usage. Many common appliances will of course not be able to
easily increase their usage. But similar to the price response, they can for instance
pre-heat or pre-cool, charge more or less, and so on.
Another interesting aspect that is often cited when it comes to the smart grid is
customer privacy. Consumers are concerned about the possibility that the utility
can use smart meter data to extract behavioral patterns. The operators would then
be able to tell when customers are usually home based on the energy use profile
from the demand over time.
While it is certainly possible to analyze smart meter data to some extent, it would
however be a large effort to derive any conclusions from this. A smartphone might
be an easier choice for advertisers and other interested parties. Demand response
systems in fact obscure the data even more by shifting the consumption to dif-
ferent times of the day. In addition, using a technology like OpenADR will also
remove the appliance one step from the utility control, and the privacy is further
increased.
5.7 Typical DR and DSM Use Cases

There are over 100 known DSM programs in place today globally.19 Most of them
are in the USA but other countries are starting to engage the customers now as
well. Many of them are derived from the notion of peak consumption reduction
(peak shaving). In general, most of these programs can be categorized as follows.
● Critical Peak Pricing: Price structure designed to encourage reduced
consumption during periods of high wholesale market prices or system contin-
gencies by imposing a pre-specified high rate or price for a limited number of
days or hours.
● Capacity Bidding Program: A program which allows a demand resource in
retail and wholesale markets to offer load reductions at a price, or to identify
how much load it is willing to curtail at a specific price.
● Thermostat Program/Direct Load Control: A demand response activity by
which the program sponsor remotely controls a customer’s electrical equipment
(e.g. air conditioner) on short notice. These programs are primarily offered to
residential or small commercial customers.
● Fast DR Dispatch/Ancillary Services Program: A demand response
program that provides incentive payments to customers for load response
during an Emergency Demand Response Event. An abnormal system condition
(e.g. system constraints and local capacity constraints) that requires automatic
19 https://www.dret-ca.com/wp-content/uploads/2022/05/OpenADR-Deployments-Survey-
Report_Final-11-22-2022-v2.pdf
5.7 Typical DR and DSM Use Cases 141
or immediate manual action to prevent or limit the failure of transmission

facilities or generation supply that could adversely affect the reliability of the
Bulk Electric System. These types of programs may sometimes be referred to as
“Ancillary Services.”
● Electric Vehicle (EV) DR Program: A demand response activity by which
the cost of charging electric vehicles is modified to cause consumers to shift
consumption patterns.
● Distributed Energy Resources (DER) DR Program: A demand response
activity utilized to smooth the integration of distributed energy resources into
the smart grid.
Few of these programs addressed appliances specifically. Rather, they focused

on HVAC systems or aggregation of different energy-consuming devices in homes
or small to medium offices. It should be emphasized again that residential
consumers voiced out multiple times they do not want to constantly check their
energy consumption, rates, grid status, and so on. There is a need for solutions
that make this simple for the homeowner by providing a good collection of
presets and decision-making help. Also, the ability of the consumer to override
an event needs to be maintained. Just imagine you have a party starting and your
dishwasher declines to run or you leave to work in the morning and your electric
vehicle is only 10% charged.
There are by the way also large capacity demand response programs for com-
mercial and industrial installations available. Often factories use a combination
of automated responses and human-guided actions to fulfill the requests from the
utilities or aggregators.
Here are some examples of typical programs.
The Sacramento Municipal Utility District (SMUD) in California has been run-
ning a CPP program for a long time. The installed equipment was pre-programmed
to respond to price signals and the rate and/or price structure is designed to
encourage reduced consumption. The California Public Utility Commission
(PUC) was adopting CPP programs for residential and commercial customers.
The program used the simple signals from OpenADR 2.0a with levels ranging
from 1 to 3 and multiple prices in single events. The program is intended to
support price-responsive demand for wholesale and retail prices.
Figure 5.14 shows an example of the flexible rate applied by the SMUD over the
summer time in (year).
Another example is the Southern California Edison “Bring Your Own Ther-
mostat” (BYOT) program. Customers were encouraged to choose from a variety
of products to install in their homes. The program averaged a load reduction of
750 W per customer.
Figure 5.15 shows the SCE BYOT overall ecosystem.
Small business summer solutions rate

price per kWh
57.15¢
CRITICAL
EVENTS
(12 days)
Standard GSN rate: 11.27¢
13.11¢
(16% higher)
9.87¢ 9.87¢
8.52¢ (12% lower) weekdays (12% lower) 8.52¢
(24% lower) only (24% lower)
Midnight Noon 4 pm 7 pm 10 pm Midnight
Figure 5.14 Sacramento Municipal Utility District summer rates. Source: SMUD.
Third party Home automation

server gateway
Calls DR Controls
event
Multiple
OpenADR 2.0 Wi-Fi devices
(To/from SCE) Router
SCE VTN
Thermostat
WWW Controls
Wi-Fi HVAC
Router system
Proprietary
internet
(To/from server to Thermostat
thermostats/gateway) Controls
Wi-Fi
Router HVAC
system
Figure 5.15 SCE Bring Your Own Thermostat ecosystem. Source: OpenADR Alliance.
Aside from these residential and small/medium business DSM programs the
industry has seen a number of other areas that quickly became interesting. Some
of these programs are worth mentioning here including specific industry use cases.
● Hybrid Renewables and Storage: Swell Energy is working to augment Hawai-
ian Electric’s energy supply by absorbing excess wind energy when needed and
providing 24/7 fast response to balance the grids. Once complete, the project will
supply 25 MW of solar power and 80 MW of battery capacity to Hawaii electric’s
needs.
● Electric Vehicle Charging – Chargepoint: the EV-managed charging com-
pany, is partnering with German utilities including Vattenfall and Stromnetz
Hamburg to deploy a network of EV charging locations that allow customers
to participate in demand response programs. OpenADR protocol services
employed in this process include Registration – EiRegisterParty is used to
identify entities such as Charging Point Operators and other parties; this is
necessary before an actor can interact with other parties – and the OpenADR
Event/EiEvent are central event functions and information models that are
used to reduce load. This service is used to activate a demand response.
It should be noted that there are already many other managed EV charg-
ing programs up and running. However, this program is one of the first in
Europe.
● Battery Storage: Consolidated Edison acted to make dispatch OpenADR-ready
and OpenADR-friendly. In order to better integrate energy storage resources,
Consolidated Edison was looking, in particular, to leverage the OpenADR
Report Service for purposes of battery telemetry.

DER Distributed Energy Resources
DR Demand Response
DRRC Demand Response Research Center
EI Energy Interoperation
HTTP Hypertext Transfer Protocol
IRC ISO/RTO Council
LBNL Lawrence Berkeley National Laboratory
OASIS Organization of Structured Information Standards
OCPP Open Charge Point Protocol
OpenADR Open Automated Demand Response
PICS Protocol Implementation Conformance Statement
TC Technical Committee
VEN virtual end node

VTN virtual top node
XMPP XML Messaging and Presence Protocol
Glossary
The OpenADR Alliance The OpenADR Alliance is comprised of industry
stakeholders that are interested in fostering the deployment of low-cost price-
and reliability-based demand response communication protocol by facilitating
and accelerating the development and adoption of OpenADR standards and
compliance with those standards. These include de facto standards based on
specifications published by LBNL in April 2009, as well as Smart Grid-related
standards emerging from OASIS, UCAIug, NAESB, and IRC.
OpenADR 2.0 Profile Specification The OpenADR 2.0a, or b Profile
Specifications provide specific implementation-related information in order to
build an OpenADR-enabled device or system. Developers shall use the Profile
Specification in conjunction with the schemas, sample payloads, PICS, and
test plans.
OASIS Energy Interoperation (EI) Energy Interoperation standard describes
information and communication model to coordinate energy supply,
transmission, distribution, and use, including power and ancillary services,
between any two parties, such as energy suppliers and customers, markets and
service providers, in any of the domains defined in the Smart Grid. The EI 1.0
standard was used as a basis for OpenADR 2.0 Profile Specification.
Demand Response A mechanism to manage customer load demand in
response to supply conditions, such as prices or availability signals.
References
BACnet, Information about the BACnet organization and the standard, 2023, (online) -
www.bacnet.org.
Connectivity Standards Alliance, General information about CSA, 2022, (online) -
https://csa-iot.org/.
Consumer Technology Association, Modular Communications Interface for Energy
Management (ANSI/CTA-2045-B), 2021 - https://shop.cta.tech/collections/
standards/products/https-cdn-cta-tech-cta-media-media-ansi-cta-2045-b-final-
2022-pdf.
EEBUS, Information about the EEBUS ecosystem, 2022, (online) - www.eebus.org.
References 145
LonMark International, Information about the LonMark organization and the

standard, 2021, (online) - www.lonmark.org.
OpenADR Alliance, Overview of the EcoPort brand, 2022, (online) - https://www
.openadr.org/ecoport.
OpenADR Alliance, Overview of the OpenADR Standard, 2018, (online) - https://www
.openadr.org/overview.
OpenADR Alliance, The OpenADR Test Tool, 2022, (online) - https://www.openadr
.org/openadr-test-tool.
Open Charge Alliance, Information about the OCPP organization and the standard,
2021 - www.openchargealliance.org.
Southern California Edison, OpenADR Deployments Survey, 2021, (online) - https://
www.dret-ca.com/wp-content/uploads/2022/05/OpenADR-Deployments-Survey-
Report_Final-11-22-2022-v2.pdf.
UtilityDive, Demand response failed California 20 years ago; the state’s recent outages
may have redeemed it, 2020, (online) - https://www.utilitydive.com/news/demand-
response-failed-california-20-years-ago-the-states-recent-outages/584878/.
147

Neomar Giacomini
Senior Engineering Manager for Electronics Hardware Development at Whirlpool Corporation,
Benton Harbor, Michigan, USA
6.1 Energy Smart Appliances
This chapter will present a debate on each appliance that is capable of energy
collaboration and are present in current households, or available in the market
for purchase. As the reader will notice many of these use cases are not available
in current appliances, not for the lack of hardware and software technologies
availability, but instead due to the lack of overall appliance market migration to
a more collaborative energy ecosystem as depicted in Chapter 2.
“An appliance is a device or piece of equipment designed to perform a specific
task, typically a domestic one” (LEXICO 2022), so traditionally speaking most
consumers will relate specifically to Large Home Appliances (LHA) such as refrig-
erators, washer, and dryers. However, appliances go beyond that including HVAC
(Heating, Ventilation, and Air Conditioning) and others.
Arguably, with the definition presented for appliances, the list can even include
any other device that performs a specific task at home. Some houses use the garage
door opener more than the water heating system during the summer, for instance,
making that garage door opener an important task executer for the consumer. In
another example through comparison, a washing machine cleans clothes and is a
large home appliance, but at the same time, the vacuum and mop robots currently
available in the market will clean the house daily. Going further, houses that are
using lawncare robots are benefiting significantly from the reduction of labor these
devices take from the homeowner.
This is an important debate not just from an energy perspective, but also in
regard to how users will adapt, consider and reclassify these new devices in the
incoming years.

148 6 Energy Smart Appliances
That said, this chapter will include Large Appliances, Small Appliances and
also other electronic/electrical devices capable of Energy Collaboration, even on a
small scale.
6.2 Which Appliances?

As the title inquires, a major aspect of this session is to list and classify all devices
capable of some sort of energy collaboration. It is important to look at a compre-
hensive list because some devices are easy to forget when looking just at house
operation and maintenance.
Take a hair dryer as an example, a small portable device that in some homes
depending on the size of the family is used multiple times a day and run between
800 and 1900 W usually used for about 10–15 minutes. It sounds insignificant to
the Smart Energy Home scene, but that is nearly 2000 W of power added to the
energy consumption that may already be at its peak at that given moment.
Examples like this show the importance of looking into all devices and dis-
cussing whether they can, join the collaborative Smart Energy Home scenario and
support the efforts to flatten the demand.
To set the stage for the discussion, Table 6.1 presents a list of devices that are
energy-dependent and can be connected. It also includes some devices that are
currently not connected (e.g. hair dryers) but may play an important role in energy
collaboration and demand peak avoidance.
This table is meant to provide a moment of reflection regarding most, if not
everything, that consumers have in their houses consuming energy. Some devices
like Large Home Appliances are obvious players in the energy consumption and
often the target of energy consumption-related studies, but when the intention is
not to dive on the absolute energy consumption, but instead on energy collabora-
tion aspect, any device should be seen as a potential collaborator.
The remainder of the chapter will explore these devices looking at their use and
how energy-dependent tasks can potentially be shifted in time to support flatten-
ing the demand. There is no intention to deep dive into algorithm development or
even hardware design. But instead, the intention is to explore how critical loads
within these devices can be controlled shifting priority across all that is taking
place in the household to minimize peaks in the demand, sometimes directly or
indirectly by suggesting to the consumer to opt for a delay.
It’s important to mention the block diagram figures presented in this chapter
intentionally omit minor elements like sensors, switches, and others, therefore
focusing only on macro elements related to considerable Smart Energy Home
use cases. These figures by no means intend to show functional block diagrams.
Special attention as well to the presence of a connectivity module in the diagrams,
6.2 Which Appliances? 149
Table 6.1 List of appliances and other connected devices available in 2022.
Large home appliances Health, comfort and care Non-appliances
Dishwashers Air purifiers Electric vehicle (EV) cars

and motorcycles
Dryers Bed frames Desktop computers
Grills and smokers Cat litter robots Modems and routers
HVAC Hair dryers, brushes, and Power banks
straighteners
Microwaves Health monitors Power tools
Refrigerators and freezers Humidifiers Smartwatches
Stoves, ovens, and cooktops Indoor exercise bike Smartphones
Washing machines Sleep sensors Tablet computers
Water heating Tracking devices Uninterrupted power
supplies
Treadmills Video games
Small appliances Water filtration systems
Coffee machines Entertainment
Blenders House automation Aquariums
Faucets Blinds and shades Audio systems
Food processors Garage door opener Streaming receivers
(cast feature)
Mixers Gardening sensors Televisions
Robotic lawn mowers Light bulbs Virtual assistants
(multiple forms)
Toasters Mop robots Virtual reality goggles
Pet feeders
Monitoring Power strips Security
Energy monitors Smart power switches Alarms
Haptics sensors Presence, proximity, and Cameras
Movement sensors
Leakage detection sensors Thermostats and temperature Door locks
sensors
Smoke and gas sensors Vacuum cleaners Doorbell cameras
Water detection sensors Vacuum robots
Weather sensors

current appliances in the market may or may not have connectivity, so that aspect
is not to be taken as granted. Even those that are already connected, to this day, are
not enabling comprehensive Smart Energy use cases, so the examples presented
in this chapter are forward-looking.
The use cases described long this chapter may relate not just directly to devices,
but to the user and actions taking place in the house, in any of such cases user con-
sent to access activity trackers, motion sensors, or any other data input involving
the user, should be requested.
6.3 Smart Energy Controller
The chapter presents potential Smart Energy use cases on the variety of devices
shown in Table 6.1, that discussion will repeatedly refer to a Smart Energy
controller. Figure 6.1 depicts the many features that may be involved in the
Smart energy controller

(Home energy management system) Actions
Smart grid
data
Data
Algorithms and Models
Use cases Use cases

Digital twin(s) history
database
Solar power
Refrigerator Device Artificial Machine generation
profiling intelligence learning data
User
preferences Restrictions Predictions
HVAC Sensors
Devices database
Device types Features Usage history

and count
Water Loads and Sensors and

heater ... Dishwasher
characteristics characteristics
Security Lighting Smart energy Dryer

Washer monitor
Figure 6.1 Smart Energy Controller block diagram. Source: Neomar Giacomini
(co-author).
construction of a Smart Energy Controller. This device is also known in the

literature as Home Energy Management System (HEMS).
Important to note this is not necessarily an independent device, it can also be
a logical implementation within a Smart Assistant for instance. Either way, the
fact is that a centralized control able to coordinate all energy aspects of the house
and its devices is necessary due to the multitude of vendors, variety of devices and
capabilities to generate Smart Energy use cases.
The use cases will refer to the Smart Energy Controller as a decision maker,
the entity able to gather information from all possible sources across the house
whether they are sensors or devices notifying energy consumption, prioritize the
requests, generate energy demand optimal scheduling, and communicate back to
all devices on the agreed plan of execution, doing so in a transparent manner not
impacting the resident’s lifestyle.
6.4 Large Home Appliances
6.4.1 Dishwashers
Present in about 64% of American homes (Statista 2021), dishwashers are key
home appliances for many homeowners. The ownership rate of dishwashers in
2021 in selected countries is shown in Figure 6.2.
Dishwashers
90%
100%
72%
80% 64%
60%
40% 21%
20%
0%
Brazil
Sweden
Spain
Japan
United Kingdom
Canada
France
South Africa
Russia
South Korea
India
Argentina
United States
China (Mainland)
Mexico
Turkey
Germany
Italy
Figure 6.2 Ownership rate of major household appliances in selected countries 2021.
Source: Adapted from Statista (2021).
These appliances are mainly composed of components to enable water intake

and water disposal, water jets powered by a water pump, and a heating system
to heat up the water. Additional elements, such as a human–machine interface
(HMI), and sensors for temperature and water turbidity are also present in many
models.
In terms of energy, dishwasher’s key aspect is the water heating, and the energy
consumption is directly impacted by the volume of water utilized in the cycle, tem-
perature of the water received from the water intake, and the target temperature
for the wash cycle. The heating process for the water is in general provided by a
Calrod heater with power rating of 800, 1200, 1800, or even higher depending on
the manufacturer and capacity.
Dishwashers are a critical appliance, however for the household, but they are not
like an oven that the consumer must run at a specific given time to prepare a meal
because it’s about time for the family dinner. In some instances, the dishwasher
can potentially have its cycle start delayed, given user approval for that of course.
For an energy perspective along with water heating, other main aspects of a dish-
washer are the water valve for intake, water pump for disposal, and the water pump
used to drive the water jets. These four elements comprise the subset that will build
the macro energy profile of a dishwasher and are shown in Figure 6.3.
To support flattening the energy demand from a household there are two main
aspects that involve dishwashers.
Dishwasher
Power Electronic User

outlet control interface
Home
Connectivity area
module network
Water Water pump

intake Water valve (water jets)
(hot)
Water pump Heater

Drain (water disposal)
Figure 6.3 Dishwasher macro elements for smart energy applications. Source: Neomar
The first one and more obvious is to provide the ability to the consumer to enable
cycle start delay. In this case, a dishwasher that is connected to the Smart Energy
Home ecosystem would collaborate with the smart energy controller discussed in
Chapter 2 to identify the most cost and demand-efficient time to run the cycle.
It is of course a critical feature that users should have easy access to
enable/disable because certain dishwashing cycles may be critical to run
on-time to enable dishes to be ready for the next meal. This is a feature likely to
be used for dinner time for instance since the dishes have the entire nighttime to
be washed.
And that does not mean a pre-wash cannot be executed right on-time of loading,
but at least the major dishwashing and drying cycles can potentially be delayed.
Delaying the cycle would shift the energy consumed by the water valve, water
pumps, and heater to a different, energy-optimal time.
The second aspect to consider is the intake water temperature. Depending on
the house water blueprint, presence or not of a circulation water pump and other
factors such as season and city water temperature, the initial water temperature at
the start of the cycle may differ significantly from house-to-house, or day-to-day.
This factor will impact the amount of energy delivered by the heater to reach the
target dishwashing temperature.
Also, simple factors like the consumer using hot water in the kitchen faucet
before starting a dishwashing cycle would enable the unit to intake hot water from
the start, instead of loading a good amount of cold water before starting to receive
warm water.
One solution to avoid intaking cold water is, in houses where the dishwasher
is connected to a heater water line, is to have the dishwashing collaborating with
the water system of the house and activating as needed a heated water circulation
pump. That would make sure the water available in the inlet at the beginning of
the cycle is already pre-heated, therefore saving energy at the appliance level.
This feature is meaningful because water heating systems may use solar heating,
or other sources of energy such as natural gas that may be cheaper, or at least
mitigate electrical energy consumption, therefore supporting the grid.
With these two aspects of demand shifting and intake water temperature man-
agement, the dishwasher can be integrated into the Smart Energy Home ecosystem
and start providing benefits to reduce energy consumption and shifting demand.
6.4.2 Dryers
Another large appliance present in many houses that goes along the same lines
as the dishwashers, in some instances the drying cycle is critical to the consumer
and must be executed on time, in other moments it can be delayed for some time
to accommodate demand management.
A consumer-accessible configuration to enable/disable such a feature must be

available to accommodate that need.
In the market today consumers can opt to buy multiple types of dryers such as
Air Vented which are based on heaters and spell out hot humid air usually ducted
to the exterior of the house. Condensing dryers are also based on heaters, Heat
Pump dryers that use a heat-pump cooling/heating system based on a compres-
sor and refrigerant gas, and also Hybrid Heat Pump dryers that combine an extra
heater to the regular Heat Pump models to speed up the cycle time (Whirlpool
Canada 2017).
The approach to drying on all these variants is different, and although they
may differ significantly in terms of absolute energy consumption, having the Heat
Pump models a much lower use, for instance, in terms of electronics loads activa-
tion and the need to have them all running during a cycle is similar.
The vented and condensing models need the drum motor and heaters turned
on, or cycling, during the operation process. On the heat pump models the drum
motor and compressor also be turned, or cycling, during the operation process.
That said, dryers can have a significant impact on the total instant energy
demand of the house by delaying their entire cycle, or potentially running a
portion of it, stopping, and returning to operation after a given critical energy
event in the house has passed. Drying cycles are different from cooking cycles, for
instance, where a pause in the process would potentially ruin the food. The fact
that the process is about removing water from clothes, it has more flexibility on
how it can be delayed or paused.
The event of pausing a cycle can bring benefits to the energy demand manage-
ment in case another critical load in the house needs to be in use. Picture a scenario
where a house is already close to its energy demand limit, a limit due to grid over-
load, or a limit to avoid crossing the levels that would take the tariffs to a higher
rate, pausing a drying cycle to run another appliance/load may avoid crossing such
level.
Let us look at a vented dryer, Figure 6.4 shows the macro elements relevant to
a connected electric vented dryer in a Smart Energy Home scenario. These mod-
els are available in the market with heaters in the range of kilowatts, 5400 W for
instance.
One example of a situation with a beneficial pause in the operation would be
the case the consumer decides to use a 1500 W microwave to make popcorn while
the dryer is running, and the energy demand for the house is already high. The
dryer could, without a noticeable difference in the performance, turn off the heat-
ing element and therefore releasing 5400 W of the current energy demand for the
house, while even still maintaining the motor in operation. The popcorn cycle
would run for a couple of minutes and after the microwave operation is ceased
the dryer heater could return to its normal state. That action would avoid adding
Vented dryer
Power outlet Electronic User

control interface
Home
Connectivity area
module network
Air intake
(cold)
Heater Drum/exhaust
motor
Air exhaust
(hot/humid)
Figure 6.4 Typical Electric Vented Dryer macro elements for smart energy applications.
Source: Neomar Giacomini.
up the power consumption of both appliances without a significant, and notice-

able, impact to the consumer. The reason the pause would have a low impact to
the consumer relies on the fact that a two minutes microwave operation may be
negligible in time compared to a typical 60-minute drying cycle.
Maintaining or not the motor in operation is a design decision since models
having the exhaust feature coupled to the same motor as the drum (via belt
for instance) would keep cold air circulating during the pause, cooling down
the clothes. Therefore, decoupling these features in two separate motors, or
turning off a single motor completely would be a tradeoff decision for the
engineering team.
Such energy cooperation across these and other appliances described in this
chapter will require cooperation between the appliances, the Smart Energy Home
ecosystem and the energy controller to enable and/or support the exchange of
information across the appliances, therefore enabling proper decision-making.
A similar approach may be considered for the heat-pump models, or even for
the extra heater in the hybrid ones.
This chapter is focused on the electric aspects of these appliances, but further
consideration on how the hot air exhaust from a vented air dryer could be
repurposed to support HVAC systems. These possibilities can be considered
under thermal-focused studies.
6.4.3 Grills and Smokers

Grills and smokers same as dryers can be found based on many different fuel
sources. Electric, gas, charcoal, hardwood, and so on.
For the context at hand, the electric ones are commonly found from 1500 to
8500 W. Although this is a considerable power this is an appliance used in food
preparation and at specific times critical to the user.
That being the case reducing power, delaying or pausing operation would impact
the expected performance and cause customer dissatisfaction. For that reason, no
viable use case was identified.
6.4.4 HVAC
HVAC have a major presence across the globe. The need for such appliance, or
appliances, depends heavily on the climate of the country. HVAC comes in many
formats. In the U.S.A. many installations are comprised of a furnace that integrates
heating and ventilation plus an external unit for cooling. In other countries or
areas without significative winter temperature drop, households are equipped just
with an air conditioner that may be a wall unit installed through a unit installation
window, or a split unit with an internal and an external unit.
On the opposite side, houses in cold climate tend to have only a furnace and
ventilation, and on top of that many houses across the globe are equipped with
ventilation systems, whether in the form of ceiling fans, stand-up fans, and other
variants.
Vendors also offer units with all HVAC features all-in-one such as the packaged
HVACs.
Cooling units these days are quite straightforward on the use of compressors and
refrigerant gas-based units. Heating on the other hand comes in many forms, elec-
tric, gas, and hydronic based on steam or water in the modern implementations.
In short words, the HVAC space is crowded with different options that con-
sumers may pick from.
Before debating on possible solutions, it is worth pointing back to Chapter 2
where the need to have a Smart Energy Controller and Smart Energy Home ecosys-
tem capable of collaboration across all these devices to map what type of HVAC
was mentioned, features, and existing loads for advanced energy use cases should
be identified to build an energy model for the house including all its devices, a
digital twin.
Thermal feeling regarding environment comfort is a must for the users, typical
settings for the temperature while using a Smart Thermostat is about 3–5∘ F. It is a
small range but allows the opportunity to use it for Smart Energy use cases.
Figure 6.5 shows a standard HVAC split system macro elements for smart energy
applications.
To provide a baseline in terms of power in use on such systems, a 240 m2 home
in Michigan, USA, typically requires an air conditioner with a 3 ton1 nominal
1 One ton equals 12,000 BtuH cooling capacity.

Split system HVAC (internal)
Electronic User
Power control interface
Home
Connectivity area
module network
Air intake
Heater
(gas and Blower Evaporator
electric) fan
Exhaust
Split sytem HVAC (condensing unit)
Power
Fan Compressor Condenser
Figure 6.5 Standard HVAC Split System macro elements for smart energy applications.
capacity. Such units contain a compressor and fan that operate at the same time,
including also the ventilation fan, combined this group may surpass 2500 W of
instantaneous power consumption.
The furnace for a similar application will have a heating capacity of 60,000
BUTH, aside from the thermal aspect that will not be covered, electrically
speaking these units run at about 1100 W due to the circulation fan, the major
electrical load present in the unit.
These loads will by the nature of HVAC systems already cycle according to the
thermostat needs.
Based on the characteristics described, the options on HVACs rely on pausing a
cycle, cutting it short, or delaying its activation. Pausing for an acceptable period or
cutting the cycle short may be done without impacting the expected temperature
range. Delaying the start of a cycle may result in the temperature of the house going
slightly lower or higher than the settings, so in that case user approval through
settings may be required. The ECO mode available in certain smart thermostats
benefit from additional temperature range, especially while the consumer is away
from home.
Pausing or cutting a cycle short must be considered cautiously, depending on
how the algorithm uses this feature it may result in an increase in the number
of times motors (e.g. compressor, fan, etc.) start up, and this process is known
to use additional energy due to system inertia. The trade-off between support-
ing peak demand and accepting potential energy consumption due to additional
motor starts should be evaluated in detail based on components characteristics
and system design.
Due to these multiple factors involved it is not recommended to consider inter-
fering with HVACs cycling unless there is a considerable need. Having in mind a
scenario where the house is already at peak demand and the user is about to make
popcorn using a microwave, interfering with an HVAC to accommodate for such
a short (e.g. two minutes) cycle will be unreasonable.
What could be done, however, is to shift fuel sources in case that option is avail-
able. A furnace able to run both gas and electric may shift to gas to free up electrical
energy for another appliance.
Considering the options described above it is clear that delaying the HVAC start
is the simplest option and required less coordination across appliances. Predictive
algorithms, however, may help expand to additional use cases, including antici-
pation of the cycle. Appliances such as microwaves, electric ovens, and induction
cooktops are likely to be used around mealtimes like lunch and dinner.
A predictive algorithm capable of identifying user patterns and feeding this data
into the Smart Energy Home model would enable HVAC and other systems to
anticipate energy needs to free up demand for a given incoming predicted energy
consumption. A sample case would be the predictive algorithm having identified
the user usually starts preparing a meal at 11:30 a.m. and crossing that information
with the house temperature cycling behavior could anticipate a cooling/heating
cycle.
6.4.5 Microwaves
In 2022 in the United States 84% of households had a microwave (Statista 2022a),
refrigerator came in second with 83% and 74% for washing machines. This food
preparation appliance uses 2.4 GHz electromagnetic waves to heat food items and
became popular due to the easiness of use and time required to heat up or prepare
a meal.
Different models are rated at a cooking power of 750, 1000, and 1500 W, with
certain units reaching even 2200 W. Microwaves in general are comprised of a Mag-
netron which is typically the main load in this appliance, a turntable motor, lamp,
door switch, user interface, control board, and in combo models also Broil and
Convect heaters and a convection fan. The power in combo units can of course
reach much higher levels.
Microwaves are available as countertop appliances, built-in as single and combo
units paired with wall ovens, and as microwave, hood combos to be installed over
the cooktop area. Any of these variants are currently available in the market with
the aforementioned features/loads.
A typical high-end unit with all the described cooking features as of 2022
utilizes a convection heater of 1400 W, microwave cooking power of 1000 W, and a
grill heater of 1300 W. Combining these with the turntable motor and convection
fan units may reach considerable power depending on the selected cooking cycle.
It’s also worth noting modern driving technology also offers Magnetron activa-
tion through inverter technology instead of the traditional transformer-based
approach, enabling further power control.
As mentioned in Section 6.4, cooking appliances are not simple to interfere with
their operation, the cooking item being prepared requires a set step of actions
including given temperatures and timing to reach the desired outcome. The appli-
ance, or even the user, needs to be cautious while pausing, delaying, or cutting
short the appliance operation risking not achieving the desired look, flavor, or tex-
ture expected from the cooking process.
Figure 6.6 shows a microwave with broil and convect features macro elements
for smart energy applications.
The use of this type of appliance, similar to stoves, cooktops, and ovens that will
be discussed in a further session is based on the user’s on-time needs. Meaning
that a consumer would not set a food item for preparation and be able to wait for
that process to start at a later moment. That is not an expected user behavior.
Microwave

Home
Connectivity area
module network
Inverter/transformer
Turntable motor
Magnetron
Cavity lighting Broil heater
Convection fan Convect heater
Figure 6.6 Microwave with broil and convect features macro elements for smart energy
applications. Source: Neomar Giacomini (co-author).
That said, the energy management of cooking devices is in essence an in-product

aspect to be dealt with during design. Smart Energy Home use cases may use
cooking appliances to trigger load shifting in other devices, but not the other way
around, or at least in a minimalistic way.
For cooking appliances Smart Energy use cases, users’ approval and participa-
tion may be required. Alerts showing the user that using a given cooking appliance
at that moment will result in peak or over demand may be an interesting approach
to shift behavior and drive the adoption of another food preparation method at that
time. Like using a gas stove for instance.
Cooking appliances therefore present more opportunities for triggering Smart
Energy use cases in other appliances than the other way around. Smaller loads
like cavity lighting may present an easy opportunity for control; however, these
are not major loads in the system.
6.4.6 Refrigerators and Freezers

Food preservation appliances such as refrigerators and freezers are basically
a must in modern society. In 2022, a unit sale of refrigerators is surpassing
200 million units and freezers 45 million units, a year globally (Statista 2022b).
These appliances vary in capacity and complexity, and the connected models still
represent a small portion of the installed base.
Refrigerators and Freezers are very similar in terms of operation, mostly based
on the coolant gas’ compressing and expansion thermal characteristics. The prin-
ciple of operation involves a closed loop of coolant gas, a compressor, evaporator,
condenser, and expansion valve. Multiple auxiliary components such as fans, air
dampers, sensors, electronic control, and user interface are also part of the sys-
tem. The major difference between refrigerators and freezers is in the insulation
material, control scheme, and esthetics.
To avoid external condensation, characteristic of surfaces that get too cold and
reach the dew point bringing air humidity to condensate on it, it is very common to
find these appliances also using heaters underneath the external surfaces accessi-
ble to the user. Additional features such as icemakers, water dispensers, and others
also contribute to power consumption.
Figure 6.7 shows the refrigerator macro elements for smart energy applications.
It’s important to emphasize these sub-components are not present in all types of
refrigerators. Cold plate, frost-free, dual, or even triple evaporator units will differ
on the types and number of subcomponents.
Refrigerators and freezers are food preservation appliances, therefore the tem-
perature ranges are critical for the proper function of the appliances. That means
Smart Energy use cases must never influence the operation taking them out of
regular operation conditions pre-established by the vendor.
Refrigerator

Home
Connectivity area
module network
Condenser Evaporator
Compressor Condensation Evaporator

heater heater
Cavity
lighting Water valve Icemaker
Fan Air damper (Others)
Figure 6.7 Refrigerator macro elements for smart energy applications. Source: Neomar
Additional features such as cavity lighting or water dispensing are on-time

functionalities that are activated with the user’s presence and therefore cannot be
anticipated, delayed, or even paused.
That brings us to extra cooling and thermal storage use cases. With proper
collaboration with the Smart Energy Ecosystem, these units may increase their
cooling cycles to store extra cold before higher energy demand takes place across
the house. This is an option, especially for freezers. Whether the appliance is a
freezer only, or a combo unit, the freezer compartment can be taken at even lower
temperatures, demand requiring, and last longer before the next cycle starts. The
refrigerator compartment has a limitation as temperatures too close to 0 C will
cause frosting and compromise food storage performance.
Future applications may even consider thermal storage to take place overnight
using high latent heat chemicals. A low-temperature thermal bank would be able
to store energy during low energy demand periods of the day and deliver it back
to the system as needed.
Other functions may also benefit from a predictive algorithm capable of
identifying user patterns. Feeding this data into the Smart Energy Home model
would enable the refrigerator to identify whether icemaking for instance could
be done only during nighttime, minimizing energy consumption during higher
demand times of the day.
6.4.7 Stoves, Ovens, and Cooktops

Another group of core appliances broadly used consists of stoves, ovens, and cook-
tops. The main function of these is to support food preparation through processes
such as boiling, frying, baking, broiling, and so on.
Like the microwave, these food preparation large appliances are mostly used
shortly before meals takes place. The cooking process time for regular meals is not
extensive, but for special preparations such as a large turkey, it may take hours.
Due to the food preparation-related nature of these appliances’, delaying the
cooking process is not an option, and so it is not to pause or cut the process short
before completing the intended function.
Interfering with the cooking process, same as mentioned for microwaves, would
risk not achieving the desired look, flavor, or texture expected from the cooking
process.
Figure 6.8 shows oven macro elements for smart energy applications. Stoves and
cooktops differ from this block diagram, but since no use cases specific to the inter-
nal components of those appliances will be discussed, the block diagrams will be
omitted.
In regards to Smart Energy use cases there is not much the Smart Energy Ecosys-
tem can do to interfere with cooking appliances, so the option in this case is to
understand the loads and their power to make decisions on how to trigger demand
shift in other devices in the house.
Typical bake and grill heaters can be found in these appliances ranging from 3
to 4 kW, convect heaters usually lower than that around 1 kW, and convection fans
around 150 W. Other loads present in such ovens are not that significant to smart
energy use cases.
Oven
Home
Connectivity area
module network
Convect
Bake heater Grill heater heater
Cavity Convection
Bake heater lighting fan
Figure 6.8 Oven macro elements for smart energy applications. Source: Neomar
The cooking table on electric stoves and cooktops also have considerable loads
ranging from 100 W warm zones up to over 3 kW on large. Induction cooktops
have a dedicated session in Chapter 11.
With the understanding of these loads and properly designing the appliance
control algorithms to interface with the Smart Energy Home and Smart Energy
Controller, provide quantitative data on the power each feature will use and
events that are starting, other appliances that allow flexibility to free up demand,
if necessary, will be able to take action.
6.4.8 Washing Machines

Another laundry appliance is present in many homes, after 2020 the annual global
volume sold surpassed 160 million units and continues to grow (Statista 2022b).
Washing machines come in many formats, top-loader vertical axis, top-loader
horizontal axis, front-loader, combos with drying functionality integrated, and so
on. Although they differ in design, the loads existing in the system are quite similar.
The simplest electromechanical models, due to the lack of advanced electronics,
will not be discussed as they are less likely to become connected in the future. The
mid and high-end models will be the target of the analysis.
These models typically have a combination of the following components, or a
subset of, an intake water valves, sensors, a motor, water pumps for circulation
and drain functions, heater(s), door switch, door lock, a control unit, user inter-
face, and other supporting components. Once again worth noting, not all these
elements are crucial for Smart Energy use cases.
Figure 6.9 shows the washing machine macro elements for smart energy
applications.
In terms of Smart Energy use cases, anticipating, delaying or pausing the wash-
ing machine operation are actions to be considered, this is possible depending on
the stage of the washing cycle and also for not being related to food preparation,
which was shown as a limiting factor for Smart Energy use cases in cooking
appliances.
The main loads in this system are heaters and the motor itself. Typical water
heaters are in the range of 900–2000 W, and the motor varies significantly due to
motor type with models in the USA driving up to 1000 W on inverter-based models
during the ramp-up of the spin cycle. Washing machine capacity, washing cycle
stage (e.g. agitation compared to water removal spin), and so on also impact the
power consumption. A drain pump for instance would be in the range of 50–70 W.
Important to note that all these power values are a reference to the instanta-
neous individual power measured while loads are activated. No considerations
are being made on energy consumption itself in kilowatts-hour (kWh). Reason
being that for instant demand it’s more important the momentary state of the
Washing machine

Home
Connectivity area
Water module network
intake
(hot)
Blower fan Dry heater
Water Cavity
intake lighting Heater Water valves
(cold)
Drain pump Recirculation

pump Door lock
Drain
Softener Detergent
pump pump Drum motor
Figure 6.9 Washing machine macro elements for smart energy applications. Source:
Neomar Giacomini (co-author).
loads and their power, than the average energy consumption over time. Energy
consumption is of course very important, but the focus of this chapter is to discuss
demand-shifting opportunities, not to judge the energy consumption required to
perform the intended function of any of these appliances.
Along the many times, the user will utilize this appliance, there will be instances
where the operation will be on-time, for example when a quick wash is required.
In those cases, the process will be straightforward starting at moment zero and
running the cycle as usual.
In other circumstances, with user permission, the washing machine can be set
in Smart Energy mode and follow recommendations from the Smart Energy Home
ecosystem and Smart Energy Controller.
Simply delaying a wash cycle is a straightforward implementation, clothing
items will still be usually dry, and assuming no major contaminants are present
the cycle of operation could be delayed for hours. Conditions where this approach
would not be optimal would be the presence of clothing items with extreme
cleaning needs, such as soiled linen. Soiled linen means fabric that is dirtied from
blood, saliva, and vomit for instance.
Anticipating is a bit odd at first but washing machines with a delay function set
by the user to perform a wash overnight, let us say 3:00 a.m. for the sake of this
discussion could, based on guidance from the Smart Energy Controller anticipate
the cycle to 1:00 a.m. to support demand needs and pricing.
Washing machines can also afford pausing the cycle with minimal energy waste
depending on the step of the process. Pausing during water heating is possible,
but the water would lose thermal energy, impacting efficiency. Pausing during the
spin process would drive the need for a new acceleration from zero speed, also
impacting efficiency. However, pausing between phases for a reasonable amount
of time is an approach that can be taken without energy impact. Pausing between
pre-wash and wash cycles, wash and rinse, rinse and spin, these wash process
phase transitions will still have the clothing items wet, they will lose thermal
energy which in case of a hot wash is not ideal, but at least the macro water
volume would have been drained. So reasonable accommodation of a pause can
be evaluated during the design and efficiency portions of the project and made
available to the Smart Energy Home Smart Energy Controller for collaboration.
6.4.9 Water Heaters

Very typical in cold locations, water heaters also come in many forms. Solar, gas,
electric in-line, and electric are the most common.
The opportunities for different water heaters systems in terms of Smart Energy
use cases vary especially whether they have hot water storage capability or not.
An inline water heater for instance can be turned on and off, but if the consumer
decides to take a shower the Energy Controller cannot take any action to just turn
off the heater, that would be unreasonable. That said, for this session, an electric
tank-based water heater will be taken as an example.
These water heaters, due to tank capacity, will vary in heating power needs.
A typical 190 l tank comes with two 4500 W heaters, an upper and a lower in regard
to positioning within the tank.
These heaters typically operate in an alternating state. As water is used the
upper heater acts first and based on the control operation will stop and activate
the lower heater, cycling as needed one at a time. Note that this example shows an
electronic water heater, not necessarily a regular thermostat-based unit. Reason is
that a connected water heater able to participate in Smart Energy use cases would
require connectivity, therefore a higher-end unit with additional electronics is
applicable.
Figure 6.10 presents an electric tank-based water heater macro elements for
smart energy applications.
The opportunities for water heaters are like those discussed in other appliances,
delay, anticipate, and pause. A Smart Home Ecosystem and Smart Energy
Controller capable of mapping the Water Heater loads and the user’s behavior is
key to enable all three cases.
Knowing the user’s behavior and knowing hot water is never consumed during
certain periods of time (e.g. from 12:00 p.m. to 6:00 a.m.), the water heater could
Water heater

supply control interface
Home
Connectivity area
module network
Upper heater Lower heater
Figure 6.10 Electric tank-based water heater macro elements for smart energy
applications. Source: Neomar Giacomini.
avoid keeping the target temperature during this period, therefore recovering just
near the time of use.
Delaying is also an interesting option for a couple of reasons, if the usual thermal
load spent at a certain time of the day is known (e.g. equivalent to one shower),
the Water Heater may delay the temperature recovery due to the fact the user will
be out of home all day for instance.
Triggering a pause in the Water Heater operation is also possible. If the tempera-
ture in the tank is within an acceptable range but another appliance calls for extra
demand, the heating can be paused and restarted later on.
An interesting aspect of the delay case is that there are no additional/unexpected
thermal losses other than the regular system losses. Pausing a washing machine
or dishwasher during operation would cause the water to cool down and lose per-
formance, but on a heater, the losses will be the same as during regular operation.
That said, electric water heaters allow great flexibility for Smart Energy use
cases, and considering user acceptance to stretch the settings for a wider range
can bring even further benefits.
6.5 Small Appliances

6.5.1 Coffee Machines, Blenders, Faucets, Food Processors, Mixers,
and Toasters
Small appliances in general have very random applications. Identifying their spe-
cific time of use may be a challenge for the Smart Energy Controller. These devices
also come with considerable power.
Espresso coffee machines with a heater over 100 W, toasters also at or over
1500 W, portable heaters reaching 2500 W, and so on.
6.6 Monitoring 167
The demand-shifting-related use cases end up being very restricted, especially

due to the fact the use of Small Appliances is usually at the time of need. The user
will start the expresso maker because the preparation of a coffee will follow right
after, the toaster will follow the same on-time usage needs, and so on.
6.5.2 Robotic Lawn Mowers and Electric Tools

A revolution in lawn care, these robots are still entering the market at a consid-
erably high price but are gaining adoption among technology aficionados. These
robots are battery based and are currently capable of mowing from 500 m2 up to
over 2000 m2 .
Larger models use for example a 20 V, 6.0 Ah battery, which is charged as the
unit returns to it is base and for that reason, the energy use case both for lawncare
robots, vacuum robots, mop robots, and others must be specific to the charging
phase.
Even if the charging takes place over a period of time with a reasonably low
instantaneous power usage, use cases related to delaying the charge for late night
while energy demand may be at minimum, will contribute to the overall grid
demand. A single smaller load may look insignificant to the grid but combining
millions of robots recharging outside high-demand hours will bring reasonable
benefits.
With this benefit in mind, charging stations for these autonomous service robots
must consider a future where re-charging is based on low-demand hours.
6.6 Monitoring
6.6.1 Energy Monitors, Haptics Sensors, Weather Sensors, and Others
Monitoring in general is not an energy-consuming task. Sensors and minor
processing may even be done using batteries, even in connected applications.
In the market today devices that are even WiFiTM but do not need bidirectional
communication can be found in battery-powered versions.
Devices targeted for monitoring, which are basically executing data collection,
do not have any meaningful loads to be on the receiving end of energy use case
actions, but they do provide valuable data and insight on how the overall Smart
Energy Home can adapt, predict and act on other loads.
The energy monitors added by the consumer in addition to the Smart Energy
Meter can provide valuable information per circuit, or even per load. Advanced
energy monitors based on Machine Learning allow device detection, historical
usage and trends, bill tracking, and goal-setting (Sense 2022). Device detection
in this case is a key feature as it allows the energy monitor to support the creation
of a digital twin of the Smart Energy Home.
Haptic, movement, presence, and proximity sensors can provide valuable data
related to the number of people in the house, which dependencies are in use,
whether people are active or not, and so on. These are valuable information to
enable advanced HVAC control, lighting, blinds, and other features that will
enable energy gains. Simply knowing the users are not home and, with user
consent, close the window blinds to minimize heat intake through the windows
will in the long run make a difference.
Along the same line, connecting to weather services or having an external
weather sensor allows HVAC and other systems to consider data input such as
humidity of the intake air and its temperature on the expected performance of
the air conditioning (e.g. how long will it take to reduce the temperature by x
degrees.)
6.7 Health, Comfort, and Care

6.7.1 Air Purifiers, Humidifiers, Health Monitors, Sleep Sensors,
and Tracking Devices
These devices may play a crucial role for the user, especially if in use due to any
existing health condition. That said, no Smart Energy use case should act on them,
but instead, learn from them to act on other devices.
Air purifiers may provide data on air quality, temperature, humidity, CO2, and
other factors, which can then be fed to the HVAC control algorithm, cleaning
robots, smart vents, etc. The use case may not be energy optimal but the focus
on the comfort and health must be a priority.
Humidifiers could anticipate the target humidity to the HVAC control algorithm
and therefore work together, and more efficiently, to balance both temperature
and humidity targets. Knowing about the presence of a humidifier and how much
water will be injected into the house can even help the HVAC estimate ice forma-
tion in the evaporator coils, estimate efficiency, etc.
Tracking devices, sleep sensors and also smart bed frames, are a source of data
related to user presence and activity. The Smart Energy Home, with consent of
the user, may use information from these devices to identify location, activity,
rest time, and profile the behavior and daily routine in order to optimize energy
use. Knowing that a user wakes up consistently at 4:00 a.m. can drive different
energy use cases from another user that wakes up at 8:00 a.m. An example
of a different adaptation is related to the tank-based electric water heater.
For the user waking up at 4:00 a.m., the heating may start to recover at 3:00 a.m.,
6.7 Health, Comfort, and Care 169
one hour before. For the user waking up at 8:00 a.m., the heating may start at 6:00
a.m., two hours before as 7:00 a.m. may be a known peak demand time previously
identified and that the system should avoid.
6.7.2 Cat Litter Robots, Pet Feeders, and Other Pet-Related

Connected Devices
Most of these small devices focused on pets, besides being low energy, are intended
to increase the well-being of the furry friends.
Similar to health and comfort for humans, these devices should be considered as
data sources only. Simply detecting a connected pet-related element in the Smart
Home Ecosystems is enough to drive certain use cases. Additional data related to
the pet activity also carries value to the algorithms.
Detecting a pet-related device, or pet activity, for instance, will inform the HVAC
to avoid getting out of the preset temperature range. Detecting acclivity may also
drive actions on smart vents to assure all rooms in use are properly ventilated and
so on.
6.7.3 Hair Dryers, Brushes, and Straighteners

This group is another set of devices that present a meaningful load to the system.
Hair dryers range from 500 W to as high as 3600 W, and hair dryer brushes use
between 800 and 1300 W, with 1000 W being the most common.
Although most of these devices are not connected and are unlikely to be in the
future at least in scale, a Smart Energy monitor capable of identifying random
loads in the system can learn and support system-level adaptations. One sample
use case around these devices relates to a user having a shower and overall user
preparation to get ready for the day.
Picture a scenario where the user just finished a shower and will use these
hair-related devices such as a hair dryer and straightener. The water heater tank
may have dropped in temperature and is ready to start the temperature recovery
process. As discussed previously a typical water heater will activate a 4500 W
heater, and the user is about to add another 2500 W on top of that due to the use
of a 2500 W hair dryer, and after that process continue for some time with around
300 W for a hair straightener.
Even not having direct connectivity to the hair-related devices, a Smart Energy
monitor that already identified the use of such loads (through electrical current
usage patterns measured at the electrical distribution box) as occurring right after a
shower (identified by the temperature drop in the water heater tank), would enable
the Smart Energy Home Smart Energy Controller to signal to the heater to delay
the start of the heater to initiate just after the use of the hair devices has ceased.
It may sound like a stretch use case, but the technology involved already exists, it
is just not ready in terms of logical collaboration via a Smart Energy Home ecosys-
tem. The benefit of the case described would result in avoiding having a peak of
around 7 kW by spreading it as 2.5 kW for the hair dryer, followed by 300 W for the
straightener and then 4.5 kW for the water heater.
6.7.4 Treadmills, Indoor Exercise Bike, and Other Fitness Equipment

Fitness equipment is a class of devices that many consumers found crucial for their
exercising habits during the pandemic. Multiple models with connectivity reached
the market with features such as connected exercising statistics, ability to present
streamed audio-visual content to the user, link to health tracking apps, and so on.
Treadmill motors for instance range from 1 to 3.5 HP, therefore resulting in
around 700–2400 W. Other fitness devices present smaller loads, but the use case
presented in this session would apply, in general, to most fitness equipment.
A treadmill itself has information on the exercise routine based on a
user-selected preset or manual configuration, and with the connectivity feature
available it enables the treadmill to cooperate with the Smart Energy Controller
to notify of the power and duration that will be in effect. The Smart Energy
Controller, same as described in previous use cases, can delay, pause or take other
actions through devices that are part of the Smart Energy Home ecosystem to free
up demand during the exercise routine.
This example would require the treadmill, or any other fitness equipment, to be
designed enabling energy cooperation.
6.7.5 Water Filtration Systems

Water filtration systems are evolving significantly in the recent years in terms of
electronics. With the concerns and awareness raised during the COVID-19 pan-
demic, and the option to add sterilization and sensing, consumers started to opt
to bring these additional features to their homes. Although connectivity is not a
broadly deployed feature in this type of device, consumers can already find prod-
ucts in this class with interesting features.
Constant water flow alerts to detect leaks, remote shut-off, peak flow rate, and
daily water usage are a few of the features available in the market.
Smart water filtration systems may be powered with electricity, but the bulk of
the mechanical actuation is performed directly by the water pressure present in
the city supply. This aspect therefore prevents the Smart Energy Controller from
having loads to actuate on and implement demand-shifting actions on the unit.
However, the data from peak flow rate and daily water usage are data points
that can serve as input to the water heating system and other appliances, but
mainly to be fed into the Smart Energy Home digital twin. The total daily con-
sumption was either used in showers which likely went through heating, or in
the kitchen for cooking purposes, the dishwasher, washing machine, and so on.
In other words, crossing the daily water usage with the history of appliances acti-
vated each day will, in a reasonable timeframe, result in a comprehensive water
use profile for each appliance/application, whether it requires heating, cooling, or
any other action.
Although this is a water use profile and not an energy use profile, the data can
be used in predictions for each day of the week in regards to anticipating water
heating needs.
6.8 House Automation
6.8.1 Blinds & Shades and Light Bulbs

Window covers and decorations are available in many forms and shapes. Smart
window blinds and shades, however, are commonly found in the form of motor-
ized rollers with fabric or corrugated materials that be moved up and down by the
use of integrated and motorized string actuators.
Versions that are both batteries based or directly connected to a power supply
are available in the market. Independently of the type, the energy consumption is
significantly low.
The benefits of Smart Blinds & Shades, besides privacy, comfort and decoration,
relate to environmental effects of allowing sunlight to get through the windows.
Receiving sunlight through the windows impacts both lighting and temperature,
therefore making these devices suitable for Smart Energy Home applications.
As described in this chapter, a Smart Energy Home ecosystem that has a com-
prehensive Digital Twin would allow the Smart Energy Controller to gather sensor
data from all available sources, understand user behavior and current actions,
evaluate the loads available for actuation and their effect on the system and its
energy consumption, and putting all that together make educated decisions to
optimize demand and energy use.
This quick recap was provided as a base for comparison to the following use
cases.
The Smart Energy Controller, knowing the day of the week, knowing the
traditional user behavior for that day, knowing the local weather through online
services, and correlates that data to on-time sensors data such as movement,
presence, a wake-up signal from a connected bed, and so on, is able to coordinate
lighting where needed and if needed.
Lights may be set at 100% brightness, or 50%, and the windows blinds may
be activated to open, or if it’s a sunny day identified through the online weather
services data the lights may be set to be completely off with window blinds open
and potentially providing enough light to provide the expected user comfort.
Additional cases where window blinds are automatically closed when the user
leaves the house, reopen upon arrival, and others to support, even if in a minimal-
istic way, Heating or Air Conditioning are possible.
In very elaborate scenarios the Smart Energy Controller could even consider
the geographical orientation of the house and actuate on window blinds as the
sun moves along the day.
Although some of these use cases sound extreme and not necessarily providing
large gains on instant power and overall energy efficiency, they are being provided
to instigate further reflection on the power of having comprehensive data related
to devices, sensors, the house structure, location and orientation, online services,
and others.
6.8.2 Garage Door Opener

Besides being an important safety-related aspect of the house, the garage door
allows the intake of external air, which in houses with a garage temperature control
will play an important role in how much hot or cold air will be taken in.
In locations with extreme weather conditions, even a short amount of time may
result in taking/losing thermal load that will impact HVAC operation.
Keeping the door open is not an option without user consent, but assuring the
door closes as soon as possible for instance will make a difference in thermal load
exchange.
6.8.3 Sprinklers, Gardening Sensors, and Accent Lighting

Gardening in terms of sprinklers, humidity sensors, and accent lighting is very
common in some countries. Sprinklers water flow is traditionally provided by
the city water supply pressure, therefore using electricity only for water valve
solenoids and the controller, which are not a considerable load to the system.
Other loads used in landscaping such as accent lighting will vary per project,
however, and those being related to user comfort and visual appeal may not
directly participate in Smart Energy use cases.
It is possible, however, that landscaping accent lighting presents a significant
load, but the perceived impact from a user’s perspective in case the Smart Energy
Controller acts on them may result in user dissatisfaction. Features in the house
that are intendedly added by the user to increase visual comfort need to be
addressed carefully.
Gardening sensors, however, and information related to the state of the sprin-
klers may be useful to certain use cases. The HVAC will be informed the intake
air will be cooler than the moment before, that the humidity of such intake will be
higher, and so on. Even the overall temperature outside the house may be impacted
while sprinklers are active.
Another interesting aspect of sprinklers is the pressure drop they may apply to
the house water supply. The usual recovery time of a water heater and its behavior
may change. An interesting aspect related to this combination may be in case of
an inline water heater that usually operates for let’s say five minutes for a quick
heated shower, and in case of a concomitant operation along with the sprinklers
will provide the user a lower pressure shower that may result in an increase of the
shower time, let us say to seven minutes or so. Or the time it may take to fill up a
bathtub the same.
On an inline water heater with proper temperature control and modulation the
total energy spent may be similar in both cases, but the time the heating unit will
be active will increase, therefore potentially delaying other loads from getting acti-
vated in other use cases. These other loads may be in the queue of the Smart Energy
Controller waiting for their authorization to be activated, avoiding peak demand.
6.8.4 Smart Power Strips and Smart Power Switches

Along with light bulbs, smart power strip and smart power switches were part of
the initial phase of IoT deployment consumers had easy access to. Commonly used
to drive and automate lighting, heating, Christmas trees, bedside lamps, fans, and
other devices. Some of these smart power strips and power switches also include
the capability to measure energy consumption.
A Smart Energy Meter capable of device characterization, through coordination
with the Smart Energy Home ecosystem, may even be able to identify the loads in
use in these IoT energy delivery devices.
Identifying that a smart power switch is connected to a bedside lamp enables
the Smart Energy Controller to automatically turn it off once the user has slept for
instance. Identifying the load as a fan on a room the user has left may also enable
the Smart Energy controller to turn it off.
Given user acceptance for such use cases, the Smart Energy controller would be
able to reduce, even if on a low scale, the loads active in the house.
6.8.5 Presence, Proximity, and Movement Sensors

Sensors in general that provide input regarding user behavior, number of users in
the house, pets, and any other moving device are of great importance to a Smart
Energy Controller. With user consent to use such data, the Smart Energy Con-
troller is enabled to build a comprehensive Smart Energy Home digital twin to
build a broader set of smart energy use cases.
By identifying whether the house is having a party in progress, or that it is unat-

tended during work hours, for instance, these inputs may drive actions on HVAC,
cleaning robots, window blinds, and others even with the benefit of not impacting
the user comfort. User preference settings may request the Smart Energy Home
to show minimal automation when users are in place. Not everyone will enjoy the
feeling of living in the future when a house takes action automatically at any time.
6.8.6 Thermostats and Temperature Sensors

Present in most homes in the United States and many other countries, thermostats
are key to assume thermal comfort in the house. These devices along with temper-
ature sensors distributed in the house provide valuable information for the HVAC
control, but also provide information for Smart Energy use cases related to window
blinds, fans, smart vents, and other environment-related devices.
One important aspect of smart thermostats is that most, to not say all of them,
in the market today take actions based on their own control algorithms, therefore
not relying on data and suggestions provided by a Smart Energy Controller.
Like most devices described in this chapter, Smart Thermostats will have to
evolve to be part of these advanced use cases.
6.8.7 Vacuum Cleaners, Vacuum Robots, Mop Robots, and Power

Tools
House tasks-related robots such as vacuum, mopping, and even handheld devices
like vacuum cleaners and power tools rely mostly on batteries. These devices
whether their use occurs automatically or with user intervention, once the task is
completed, they are set back to the charging station.
As described in the Robotic lawn mower session, with proper coordination along
with the Smart Energy Controller a decision can be made to charge on-time or to
delay for a moment later in the day. This coordination needs to consider usage
habits and user consent as a device such as a power tool may be required for use
sooner than usual.
6.9 Non-appliances
6.9.1 Electric Cars and Motorcycles

Electric cars and motorcycles, considering user transportation needs, may be a
viable options for Smart Energy use cases.
Consider a scenario where a user sets the minimum required to charge for the
electric vehicle to be 50% at all times.
The car coming back to the house at 95% battery during peak demand could
enable a use case where energy flows back into the house, and the electric card is
6.9 Non-appliances 175
recharged later that day during lower demand hours, still respecting the minimum
50% charge of course. Newer electric vehicles launched in 2022 are starting to offer
the bidirectional capability (Woody 2022).
Or another situation where the car returns at 10% battery still during peak
demand hours, and the Smart Energy Controller is able to delay other loads to
focus on charging the vehicle back to the minimum expected 50%, then stop the
charge and restart later on when the peak demand has ceased.
These and many other use cases are possible to consider the fact these vehicles
will be capable of acting as energy storage and energy transportation units.
Considering the vehicle as an energy transportation unit applies to situations
where the vehicle was charged outside the house and return energy to the house
or the grid when back to the garage. Or vice versa when the car leaves the house
at 100% and is re-plugged somewhere else and can support peak demand during
the day, in an industrial zone for instance while sitting still in the parking lot.
Given the importance of Electric Vehicles in this scenario, the book has two
Chapters 9 and 10 dedicated to the topic.
6.9.2 Desktop Computers

Computers in general are not major loads in a home scenario, even advanced gam-
ing computers run much below 500 W. At rest, these machines will indeed have
stand-by consumption but that is a topic not being addressed in this chapter.
Acting on a computer as a load is not a straightforward operation as there may
be complex tasks running and it would be unviable to the Smart Energy Controller
to deep dive into that aspect, and the possibility to shut off the computer or set it
for hibernation is already a common automatic feature current Operating Systems
support.
That said, with proper software tools interacting with the Smart Energy Con-
troller, computers can become a source of user presence and activity. A single flag,
given user acceptance to do so, provided by the computer to the Smart Energy
controller to state a given room is in use and the user is present and can drive
advanced HVAC, lighting, and other use cases.
Picture the scenario of a house with a single resident and a mapped behavior
or spending working hours mostly in a room designated as an office. The Smart
Energy Controller would be able to drive Smart Energy use cases across the rest of
the house most of the time.
6.9.3 Modems and Routers

Smart home networking devices maintain the infrastructure needed for all other
devices to collaborate in the use cases under discussion. They are definitely not to
be considered as a load in any way, and also do not provide any sensing data.
However, these devices will have important information related to devices that
may not be part of the Smart Energy ecosystem.
A smart television that is connected to WiFi but is not necessarily added to the
Smart Home ecosystem will be listed in the router’s active device list, and so any
other device in similar setup condition.
The reason this may be an important data point is that the simple increase or
decrease in bandwidth use from that device may provide important statistics on
what is happening in the house. A significant drop in bandwidth usage will be
characteristic of nighttime or the absence of residents.
The list of active devices in the router could also be provided, with user consent,
to the Smart Energy Controller to enable the identification and presence of the
resident’s phone in the house, therefore an indication of presence that can drive
the importance of HVAC, water heating, window blinds, and other use cases.
6.9.4 Power Banks, Uninterrupted Power Supplies

A whole house power bank, a feature that has become available in recent years
due to the popularization of solar panels and electric vehicles, adds interesting
use cases to the smart energy home scenario. The availability of power storage
whether at a macro house scale through a power bank, or minor through dis-
tributed Uninterrupted Power Supplies (UPSs) offers flexibility to prevent peak
demand from reaching the grid.
Currently, UPSs that are for home use on single devices like computers are
usually specified from 750 VA to 2 kVA and are not bidirectional in regard to the
Alternate Current (AC) input, but future products could add this feature.
In a scenario where the house is reaching peak demand, these power banks and
UPSs which are usually backups for power outage events may be able to act as
short-term energy sources. A 2 kVA unit could supply half of its capacity for a short
time as a contribution to reduce overall demand for instance.
Based on user settings, such as a minimum 50% capacity while in normal oper-
ation, the extra 50% flexible capacity can add interesting use cases to the portfolio.
6.9.5 Smartphones, Tablet Computers, Smartwatches, and Video

Games
Another set of consumer electronics that besides the charging time had little to
offer in terms of actions as loads to the Smart Energy System. Video games are
in this group but of course, are available in both battery and direct AC-powered
versions.
These battery-operated devices have already evolved in terms of charging
methods, recent launches are already coming with features for a quick charge
during the day, or slow charging while sitting in a charging station overnight.
6.10 Entertainment 177
That said, and due to the low power associated with these devices, their
contribution can be focused on the data input to the Smart Energy Controller
directly, or via other devices.
The simple presence of a Smartphone in the house may indicate the resident
is at home, multiple Smartphones detected by the router may indicate the entire
family is at home, and so on. With user consent even the calendar maintained on
a smartphone could allow the house to anticipate or delay energy use cases.
In case of a party event at the house, the refrigerator could trigger extra
icemaking ahead of time, the HVAC could anticipate or get ready to provide extra
cooling, the water heater could potentially increase water temperature a couple
of degrees, and so on. Although all these examples sound just like extra energy
use, properly coordinating them on time can reduce significantly the occurrence
of a high-demand situation.
With a smartphone being such a personal item that rarely leaves the user’s
possession, future use cases considering it as a central source of data will be of
great benefit to the Smart Energy ecosystem.
6.10 Entertainment
6.10.1 Aquariums
Aquariums, terrariums, and other ecosystems that are pet-related should be
excluded from the list of loads available for energy use cases. Many of these pets
are sensitive to any changes in the environment making such use cases a risk.
However, knowing these pet ecosystems are in the house, or even in a specific
room, enables the Smart Energy Controller to Live, don’t do anything.
6.10.2 Audio Systems

A piece of equipment audio enthusiasts may put considerable investment on.
Depending on the system may range in the thousands of watts at maximum
power. Such high-power conditions are unlikely to apply to day-to-day use and be
focused on special occasions.
The sound volume implies in more or less power in the system, but if Smart
Energy use cases act on it the user experience will be compromised. So it is not a
viable option to act on.
That said, audio system may instead be a source of information related to user
presence depending on the room in the sound is active, or the content it is being
used to play, whether pure audio or audio from a movie which would imply even
more the user is at that room and so on.
Although acting in the volume/power is not a reasonable approach, potentially

turning it off completely in case the resident leaves the house can be an option.
6.10.3 Televisions and Streaming Receivers (Cast Feature)

Televisions are available all around the globe, even multiples per home on many
occasions. Being an entertainment device similar to audio systems, acting on the
image and sound may compromise the user experience.
Decisions on Smart Energy use cases related to televisions should ideally be
based on presence sensing. There would be no impact to customer experience for
instance if the display brightness were taken down even to zero while the user
leaves to room for whatever reason. Keeping the sound on would keep the user
experience as if the television was still on.
Other energy use cases are also already native to many of these devices and can
be triggered by the user such as the sleep function. However, today’s implemen-
tation is based on user activation, what about the smart bed sensors triggering a
television shut off when sleep is detected?
6.10.4 Virtual Assistants (Multiple Forms)

Virtual Assistants are from a user’s perspective the center of a Smart Home.
Throughout this chapter, a lot was discussed about the Smart Energy Controller,
which may or may not be integrated into the same device along with the Virtual
Assistant features.
One way or another, even if the Smart Energy controller which is the center of all
Smart Energy use cases described in this chapter is on a separate device, the user
will likely always keep referencing to the Virtual Assistant as the central device of
the Smart Energy Home. This view is important to consider as the adoption of Vir-
tual Assistants is already taking place, but to convince consumers a new separate
device will be required may not be appealing, so integrated versions may be the
solution, especially as it refers mostly to software implementation and algorithms.
Virtual assistants are available in many forms and shapes, also from different
vendors for their respective Smart Home Ecosystems. Figure 6.11 shows typical
blocks that comprise an relatively advanced Virtual Assistant.
6.10.5 Virtual Reality Goggles and Other Gadgets

Virtual reality (VR) is a growing technology boosted by the video gaming industry
and metaverse2 implementations. These devices are wearables that do not have
2 An immersive virtual world enabled by the use of virtual reality (VR) and augmented reality
(AR) headsets.
6.11 Security 179
Virtual assistant
Power Internal power
supply User interface
distribution
Home
Connectivity area
module network
Processor Memory Microphone
Touchscreen Additional Ambient

display connectivity Light Sensor
modules
Speakers Camera Others
Accelerometer Movement
sensor
Figure 6.11 Virtual Assistant block diagram. Source: Neomar Giacomini (co-author).
any significative loads to be driven on Smart Energy uses cases. However, they do
have sensors and their mere use can be used as data for Smart Energy use cases.
A user profile linked to the Smart Energy Controller by itself would provide
valuable information on the frequency and duration of VR goggles usage. During
those times lighting in unused rooms can be turned off, the lighting in the
occupied room during the VR session may have the brightness toned down,
window blinds can be controlled accordingly, and so on. In summary, the user
immersion into the virtual environment may allow considerable time the Smart
Energy House can use to drive feasible use cases.
6.11 Security
6.11.1 Alarms, Cameras, Door Locks, and Doorbell Cameras
Like all other devices that include sensors, security systems are a valuable source
of data. Cameras, door locks, and others enable the Smart Energy Controller to
identify events across the house.
The resident’s arrival at home through its car being identified by a driveway or
garage camera, a window being opened and potentially left open, a backyard cam-
era showing that users left the house but not the property, a door camera providing
a count on the number of individuals at home and so on so forth.
These inputs may drive Smart Energy uses cases related to HVAC, smart vents,
lighting, water heating, and others.
6.12 Conclusion
A holistic discussion on appliances in general was presented in this chapter, the

traditional understanding of an appliance was also extended considering all other
connected devices that are able to participate in Smart Energy use cases along with
Large Appliances such as kitchen appliances, laundry, HVAC, and others.
The possibilities for use cases presented showed that deep diving into an
input/output analysis across all devices in a one-to-many and many-to-one
can result in a significantly large amount of possibilities in terms of energy
management.
A central decision-making entity described as the Smart Energy Controller was
introduced and linked through all the use cases, showing its importance and need
to fully implement this scenario.
The technologies required for the implementations described are known, but
not yet put together in such a comprehensive manner, it will take time and collabo-
rative effort across impacted industries to reach the fully automated state described
in this chapter. As mentioned in Chapter 2, to enable this level of interoperability
a shared model of consensus that facilitates the matching of existing assets in
the smart applications domain is needed, and Chapter 7 will discuss the Smart
Applications REFerence Ontology (SAREF) and its relationship with existing IoT
ontologies focusing on the Smart Home and Smart Appliances domains.

AR augmented reality
HEMS HOME ENERGY MANAGEMENT SYSTEM
HMI human machine interface
HVAC heating, ventilation and air conditioning
SAREF smart applications reference ontology
VR virtual reality
References 181
Glossary
Augmented Reality A technology that superimposes a computer-generated
image over the real world creating a composition with added value either
cosmetic or with additional data.
Appliance A device designed to perform a domestic task.
Device An apparatus for a particular purpose, usually mechanical or electronic
equipment.
Load A device or element used to execute a particular action, in this context
related to the use of electrical energy. Any load is meant to be an element that
consumes considerable electrical energy.
Sensor A device which detects or measures a physical property.
Smart Energy Related to the use of energy in a coordinated way across devices
and providers usually by means of additional data sharing/connectivity means.
Virtual Reality A computer-generated three-dimensional environment that
can be interacted with in a perceived physical way by a person using virtual
reality goggles and controllers.
References
LEXICO (2022). APPLIANCE English Definition and Meaning | Lexico.com.

https://www.lexico.com/en/definition/appliance (accessed 6 January 2023).
Sense (2022). Welcome to Sense. sense.com/ (accessed 6 January 2023).
Statista (2021). Household ownership rate of major appliances in selected countries
worldwide in 2021. https://www.statista.com/statistics/1117972/major-appliances-
ownership-selected-countries/ (accessed 6 January 2023).
Statista (2022a). Household appliances ownership in the U.S. in 2022. https://www
.statista.com/forecasts/997158/household-appliances-ownership-in-the-us
(accessed 6 January 2003).
Statista (2022b). Major Appliances. https://www.statista.com/outlook/cmo/
household-appliances/major-appliances/worldwide (accessed 6 January 2023).
Whirlpool Canada (2017). Learn about Whirlpool® Heat Pump Dryer Technology.
https://www.youtube.com/watch?v=5wmFoWOujZ8 (accessed 6 January 2023).
Woody, T. (2022). How Ford’s Electric Pickup Can Power Your House for 10 Days.
https://www.bloomberg.com/news/articles/2022-05-31/how-the-ford-f-150-can-
be-a-backup-home-generator?cmpid=BBD060122_TECH&utm_medium=email&
utm_source=newsletter&utm_term=220601&utm_campaign=tech (accessed
6 January 2023).
183
The ETSI SAREF Ontology for Smart Applications: A Long

Path of Development and Evolution
Raúl García-Castro 1 , Maxime Lefrançois 2 , María Poveda-Villalón 1 , and
Laura Daniele 3
1
Ontology Engineering Group, Universidad Politécnica de Madrid, Madrid, Spain
2 Mines Saint-Étienne, Univ. Clermont Auvergne, INP Clermont Auvergne, CNRS, Saint-Étienne, France
3
TNO, Netherlands Organization for Applied Scientific Research, The Hague, The Netherlands
7.1 Introduction
Building smart applications in the Internet of Things (IoT) field requires inter-
changing and using information from others whether people or machines but
also being able to understand such information unambiguously. To address this
issue, the European Telecommunications Standards Institute (ETSI) Technical
Committee (TC) on Machine-to-Machine, SmartM2M, leads the Smart Applica-
tions REFerence ontology (SAREF) initiative with the goal of bringing a common
understanding among cross-domain heterogeneous systems.
IoT fragmentation is one of the main threats to the adoption of IoT technologies
on a large scale. To overcome this, the current fragmented landscape of IoT
technologies requires standardized interfaces and data models to ensure interop-
erability. In this scenario, one of the main challenges to ensure interoperability
is having a set of standard data models that enable interchanging not only
information but also the meaning of such information to avoid misinterpretations
between senders and receivers.
To cope with this, the European Commission has promoted the SAREF ontology
in collaboration with ETSI SmartM2M TC since 2014 with the goal of providing
and maintaining a common data model over time to ensure interoperability.
The SAREF ontology is a reference data model enriched with formal semantics,
intended to enable interoperability between solutions from different providers and
among various activity sectors in the IoT, thus contributing to the development of

184 7 The ETSI SAREF Ontology for Smart Applications: A Long Path of Development and Evolution
the global digital market. Over time, SAREF has evolved into a suite of ontologies
that includes a general-purpose ontology (i.e. SAREF core, which is currently
in its third release), 11 extensions, and an ontology pattern. It further defines a
clear workflow for development and versioning and provides a portal to its user
community for documentation and collaborative development. Several experts
have made great efforts in the past years (2014–2022) to document the extensive
work of SAREF in technical reports and specifications, scientific papers, project
deliverables, websites, etc., but this information is often perceived by stakeholders
as scattered and not easy to find. This book chapter provides stakeholders
with the opportunity to find this information in one single place, including a
historical overview of the SAREF activities since its first release, a description
of the main SAREF concepts that are relevant for the smart home environment
(from SAREF, SAREF4ENER, SAREF4BLDG, SAREF4WATR, SAREF4CITY,
and SAREF4SYST), a clarification of the mechanism for version control and the
automatic tool support for the ontology developers. Everything according to the
best practises for ontology standardization adopted in ETSI SmartM2M TC.
The rest of this chapter is organized as follows. Section 7.2 presents the need
for a standard ontology that can serve as an umbrella to represent contextual
and multisectorial IoT-related data and will review the most relevant existing
IoT ontologies. Section 7.3 introduces the SAREF initiative with a brief history of
the SAREF ontology, promoted by the European Commission and the European
Telecommunications Standards Institute (ETSI), from its initial conception to its
current third version and 11 extensions. Section 7.4 describes the main ontology
requirements followed when developing the SAREF ontology, as well as the
design patterns implemented in the ontology and the main design decisions and
lessons learnt during development. Section 7.5 provides an overview of the SAREF
ontology and its main classes and properties. Section 7.6 describes how the SAREF
ontology and its extensions can be applied to smart appliances and the smart
home environment. To do so, it will describe the main extensions that are relevant
for this environment: those for the energy, water, building, and smart city domains
and the extension to represent systems. Section 7.7 presents examples of the use
of the SAREF ontology focussing on the environment of smart homes. Section 7.8
discusses some lessons learnt from the development and evangelization of SAREF
to the industry. Section 7.9 concludes the chapter and discusses future work.
7.2 IoT Ontologies for Semantic Interoperability

One of the cornerstones to making the IoT a reality is the interoperability between
heterogeneous services and actors. Such heterogeneity appears at different levels,
for example at the protocol level for connectivity, temporal validity or update
7.2 IoT Ontologies for Semantic Interoperability 185
of data, data storage, language, etc. Focussing on data interoperability, different

levels of interoperability should be addressed: transport (how data are accessed),
syntactic (how data are expressed), and semantic (how data are modeled).
Ontologies play a key role in addressing and allowing semantic interoperability
in many heterogeneous data scenarios, including IoT. For this reason, a number
of ontologies have been developed.
Hundreds of ontologies for IoT and related domains are listed in ontology
repositories such as the LOV4IoT1 catalogue (Gyrard et al., 2016), which registers
and classifies IoT ontologies considering a wide number of domains such as
transport, healthcare, energy agriculture, city, weather, etc. Another ontology
registry in which IoT ontologies can be found is Linked Open Vocabularies2 (LOV)
(Vandenbussche et al., 2017), a general-purpose ontology index. The ontology
landscape maintained by the Alliance for the Internet of Things Innovation
(AIOTI)3 provides a more focused overview of the main IoT ontologies structured
by their domain of interest, taking into account aspects such as sustainability
(i.e. who is maintaining it) and technology readiness level (i.e. how mature it is).
One of the main ontologies developed in the context of IoT is the Semantic
Sensor Network (SSN) ontology developed by the first joint working group of
the Open Geospatial Consortium (OGC) and the World Wide Web Consortium
(W3C) on Spatial Data on the Web. SSN4 was released in 2017 and is composed of
the SSN module5 and a module called SOSA6 (Sensor, Observation, Sampler, and
Actuator), among others. The SOSA module replaces the SSO pattern (Stimulus
Sensor Observation Pattern) and could be used in isolation in a lightweight fash-
ion. The main components of the SOSA module are “sensors and observations,”
“samplings and samples” and “actuators and actuations.” SSN augments SOSA
with additional terms and a stronger axiomatization.
Another relevant ontology in the IoT domain is the oneM2M base ontol-
ogy (ETSI, 2016; oneM2M, 2018), created to provide the definition of the
concepts, relations, and restrictions needed to allow the semantic discovery
of entities in oneM2M systems. The objective of oneM2M for this ontology
is to provide syntactic and semantic interoperability between oneM2M sys-
tems and external systems that could derive new ontologies based on the
oneM2M base model. The oneM2M ontology focusses on the description of
oneM2M:Thing which is specialized as oneM2M:Device. For devices, their
1 http://lov4iot.appspot.com
2 https://lov.linkeddata.es
3 https://aioti.eu/aioti-ontology-landscape-report
4 https://www.w3.org/TR/vocab-ssn/
5 http://www.w3.org/ns/ssn
6 http://www.w3.org/ns/sosa
functions (oneM2M:Function) and services (oneM2M:Service) are modeled.

Services are linked to the operations (oneM2M:Operation) they provide, which
can expose commands (oneM2M:Command).
Finally, the Web of Things ontology could be mentioned in relation to IoT
ontologies based on the Web of Things (WoT) Thing Description7 , developed
under the W3C WoT working group activities. The core vocabulary of the Thing
Description includes the representation of interaction affordances in addition to
the metadata needed to represent the abstraction of physical or virtual entities,
called Things. The interaction affordances are classified into Properties (used
for sensing and controlling parameters by exposing internal state of the thing),
Actions (used to invoke physical processes and set the internal state of the thing
not exposed as properties), and Events (used to describe the event sources that
asynchronously push messages).
7.3 The SAREF Initiative
SAREF originated from a standardization initiative launched by the European

Commission in collaboration with ETSI in 2013, when more than forty percent
of the total energy consumption in the European Union used to be produced by
the residential and tertiary sector, of which a large part were residential houses.
Appliances, which are inherent in the building ecosystem, were considered
among the culprits of this high energy consumption. Therefore, the European
Commission (EC) identified an immediate need for the market to optimize energy
use by managing and controlling appliances at the system level. In particular,
industry and the EC raised the need for standardized interfaces and a common
data model to ensure interoperability and overcome market fragmentation. The
development of a reference ontology was targeted as the main interoperability
enabler for appliances relevant for energy efficiency, and ETSI was accepted
to cover the communication aspect and provide the necessary standardization
process support. As a result, after a comprehensive consultation with stakeholders
to address clear market needs, the EC financially supported a study (SMART
2013/01077) to create a reference ontology for smart appliances (Daniele et al.,
2015b). The study was carried out from January 2014 to April 2015 in close
collaboration with smart appliance manufacturers, and the resulting ontology,
SAREF, was standardized by ETSI in November 2015 (TS 103 264 v1.1.1).
In 2016, ETSI TC SmartM2M requested a Specialist Task Force (STF) to
provide input on the evolution of SAREF and create possible extensions in
relevant domains of interest. STF 513 was established and developed the first
7 https://www.w3.org/TR/wot-thing-description/
7.4 Specification and Design of the SAREF Ontology 187
three extensions for SAREF in the energy, environment, and building domains,
resulting in SAREF4ENER (TS 103 410-1), SAREF4ENVI (TS 103 410-2) and
SAREF4BLDG (TS 103 410-3). STF 513 also developed a second version of SAREF,
taking into account feedback received from industry stakeholders since its first
release in April 2015. As a result, a new version of SAREF was published in March
2017 (TS 103 264 V2.1.1).
In 2017, the first SAREF-based proof-of-concept solution was demonstrated and
implemented on existing commercial products in the energy domain, as part of a
second study launched by the EC to ensure interoperability to enable Demand Side
Flexibility (SMART 2016/0082) (Daniele and Strabbing, 2018).
A new series of initiatives promoted by ETSI and the EC followed in recent years
(e.g. STF 534, STF566, and STF578) in which more extensions have been created
for additional domains such as smart cities, agriculture, industry and manufactur-
ing, automotive, eHealth, wearables, and smart lifts, making SAREF a modular
framework that comprises SAREF as generic core ontology (TS 103 264 V3.1.1),
11 domain specific extensions (TS 103 410, parts 1-11) and an ontology pattern
for systems, connections, and connection points (TS 103 548). The SAREF frame-
work is maintained and evolved under the umbrella of ETSI by an ecosystem of
experts from various research organizations, universities, and industry in Europe
who collaborate successfully with each other. One of the latest supported initia-
tives is the development of an open portal for the SAREF community and industry
stakeholders, so that they can also directly contribute to the evolution of SAREF8 .
SAREF is currently adopted in a considerable number of European projects that
provide applications of semantic interoperability solutions in various domains and
are encouraged to contribute with their results and findings to the standardization
and evolution process in the ETSI SmartM2M TC.
7.4 Specification and Design of the SAREF Ontology
The general development framework for the SAREF ontology and its extensions
(generally referred to as SAREF projects) is specified in the ETSI TS 103 673 tech-
nical specification (ETSI, 2020k), and is hosted on the public ETSI Forge portal
https://saref.etsi.org/sources/.
7.4.1 A Modular and Versioned Suite of Ontologies

As illustrated in Figure 7.1, the SAREF suite of ontologies is composed of ontolo-
gies that define generic patterns such as SAREF4SYST (ETSI, 2020g) (detailed in
8 https://saref.etsi.org/
eHealth / Ageing Well

Indus. & Manuf.
SAREF4EHAW
SAREF4WEAR
SAREF4WATR
SAREF4AUTO
SAREF4INMA
SAREF4BLDG
SAREF4ENER
SAREF4AGRI
SAREF4ENVI
SAREF4CITY
SAREF4LIFT
Environment
Automotive
Smart Lifts
Smart City
Wearables
Argrifood
Building
Energy
Water
SAREF-core
Pattern for
features of Pattern for
Pattern for
SAREF4SYST interest and functions and
measurements
properties commands
Figure 7.1 The SAREF suite of ontologies with its different modules.
Section 7.6.5), a core ontology SAREF Core (ETSI, 2020j) illustrated in Figure 7.4
(detailed in Section 7.5), and different extensions developed for distinct vertical
domains: SAREF4ENER for energy (ETSI, 2020e), SAREF4ENVI for environment
(ETSI, 2020f), SAREF4BLDG for smart buildings (ETSI, 2020f), SAREF4CITY for
smart cities, SAREF4INMA for manufacturing, SAREF4AGRI for agriculture,
SAREF4AUTO for automotive (ETSI, 2020a), SAREF4EHAW for health (ETSI,
2020d), SAREF4WEAR for wearables (ETSI, 2020i), SAREF4WATR for water
management (ETSI, 2020h), and SAREF4LIFT for smart lifts (ETSI, 2021).
As SAREF is specified in the ETSI technical documents, it uses Semantic Ver-
sioning. Each module of the ontology has a distinct version composed of three
numbers: a MAJOR, a Minor, and a patch. The increase in MAJOR indicates a
break in backward compatibility. The increment in Minor indicates the addition
of features. The increment in the patch indicates the correction of a bug.
7.4.2 Methodology
In general, the development of SAREF ontologies follows the Linked Open
Terms (LOT) methodology (Poveda-Villalón et al., 2022), which adopts a V-model
approach with conditional feedback in some development stages. More specifi-
cally, the SAREF development framework defines the different workflows to be
followed for new SAREF project versions, SAREF project version development,
and SAREF project release. The following roles are defined:
Steering Board member A Steering Board member belongs to the group of

persons in charge of steering the development of SAREF, including the SAREF
7.4 Specification and Design of the SAREF Ontology 189
core and SAREF extensions, community participation, and the underlying

infrastructure.
Technical Board member A Technical Board member belongs to the group of
persons in charge of maintaining the SAREF public forge and the SAREF public
portal.
Project leader A project leader is the person in charge of the SAREF project who
performs project management tasks.
Ontology developer An ontology developer is a member of the ontology
development team who has a great understanding of ontology development
and the rights to modify the ontology and interact in the development cycle.
Ontology developers create and modify the different development artifacts,
provide new requirements to the ontology, and validate whether they are
satisfied or not when implemented, and have decision rights about what
contributions can be included in the ontology.
Contributor A contributor is a person who is knowledgeable about the ontology
domain and who proposes contributions.
Ontology user An ontology user is someone interested in any of the SAREF
projects or in proposing a new SAREF project.
Different workflows are established for the creation of an ontology version, the
development of an ontology version, and the publication of a project (ETSI, 2020k,
Clauses 6.1, 7.1, 8.1). For example, Figure 7.2 illustrates the workflow for the
development of project versions that supports the development of SAREF project
versions from the SAREF community of users. SAREF project versions may be new
versions of SAREF core, new versions of existing SAREF extensions, or initial ver-
sions (V1.1.1) of new SAREF extensions. The SAREF project version development
workflow is formulated around the use of issues in the corresponding SAREF
project issue tracker on the ETSI public forge. This enables us not only to have a
single point of interaction for development but also to keep track of the develop-
ment activity and discussions. Any update in a SAREF project version should be
made through a change request, which is posted as an issue in the corresponding
repository of the ETSI public forge and assigned an issue number. This includes
change requests related to new ontology requirements, defects, or improvements
in the ontology specification, in the ontology tests, ontology examples, or ontology
documentation. Any contributor can create a new change request or review and
discuss existing change requests. Ontology developers should review change
requests, propose, and review implementations of accepted change requests. The
Steering Board should review change requests. The Project leader is responsible
for ensuring that the change requests are approved by SmartM2M and that the
implementations of the change requests satisfy the requested change.
Change request
is submitted
Change request
is clear
Submitted
Implementation
Change request is clear
Approved
is not clear Implementation
Needs starts
Change request Implementation
is updated is not clear implementation
Needs Work
Implementation
clarification in progress
is clear
after discussion
is dismissed ends
Needs
discussion
Implementation
Propose closing
available
Implementation Implementation
is dismissed is not approved

Closed
is closed is approved
Figure 7.2 The SAREF project version development workflow (adapted from ETSI
(2020k), ©ETSI 2020, all rights reserved).
7.4.3 Version Control and Editing Workflow

The sources of the SAREF ontologies are hosted on the public ETSI Forge portal
(https://saref.etsi.org/sources/), with four different types of branches: issue-x
branches to work on an issue, develop-vx.y.z branches to work on a version,
prerelease-vx.y.z branches to work on the final validation of the ontol-
ogy, and release-vx.y.z branches for published versions. Protection rules are
defined to prevent ontology developers from directly pushing their changes to
development-vx.y.z branches or from directly accepting merge requests in
prerelease-vx.y.z branches.
There are two main practises to identify software versions with git: version tags
and release branches. The development of SAREF ontologies uses this second
approach, which allows documentation or examples to continue evolving even
when an ontology version is published.
7.4.4 Automatization of Requirements and Quality Checks

The requirements for every SAREF ontology project are listed in a specific CSV
document with three columns: an identifier, a category, and a requirement
expressed as an assertion or a competency question (ETSI, 2020k, Clause 9).
These requirements are then assessed with the Themis tool (Fernández-Izquierdo
and García-Castro, 2019).
A set of rules that a SAREF ontology repository must comply with is also
defined in the ETSI TS 103 673 technical specification (ETSI, 2020k, Clause 9).
The SAREF Pipeline application allows each of these rules to be evaluated
with severity level: (a) structure of the repository directory, (b) presence of a
defined license file, (c) specification of the ontology requirements, (d) presence
of a well-formed file /saref4[a-z]{4}.ttl/, (e) declaration of predefined
prefixes, (f) presence of an ontology declaration, with a series Internationalized
Resource Identifier (IRI) and a version IRI conforming to the naming of the git
branch (ex: develop-v2.1.1), (g) possible imports of other SAREF ontologies
by their version IRI, (h) presence of creators and contributors, (i) naming conven-
tion for classes, properties, instances, (j) presence of metadata for each term, (k)
the ontology must be in the OWL 2 DL profile, (l) the ontology must be consistent,
(m) each class must be satisfiable, (n) no pitfall must be detected by the OOPS!
scanner (Poveda-Villalón et al., 2014), (m) presence of tests, (o) presence and
quality of examples, and (p) existence of external terms used.
Some of these tests use SHACL shapes (Knublauch and Kontokostas, 2017),
others use OWLAPI functionalities after cloning the necessary repositories.
The message folder of the application gives a global view of all the errors that
can be identified9 . The SAREF Pipeline can be used with a graphical interface
(Figure 7.3a) or a command line (Figure 7.3b). The error report is formatted as
markdown, allowing one to quickly open an issue to collaboratively deal with
problems (Figure 7.3c). Finally, the application generates different serializations
for ontologies and examples, and an HTML documentation inspired by LODE
and rewritten with SPARQL-Generate (Lefrançois et al., 2017). See, for example,
https://saref.etsi.org/core or https://saref.etsi.org/core/Command.
7.4.5 Continuous Integration and Deployment

We configured Gitlab CI/CD in each SAREF ontology repository to run the SAREF
pipeline differently depending on the type of branch where a commit is pushed
(issue, develop, pre-release, release), and finally automatically pushes the output
files to the SAREF documentation portal https://saref.etsi.org/. Figure 7.3d
illustrates the automatic execution of the SAREF pipelines.
7.5 Overview of the SAREF Ontology

Figure 7.4 shows an overview of the main classes of SAREF and their relationships.
Then a detailed explanation of each class is presented.
9 https://labs.etsi.org/rep/saref/saref-pipeline/-/tree/master/src/main/resources/messages
(a) (b)
(c) (d)
Figure 7.3 The SAREF pipeline checks the compliance of a SAREF project with respect to
the ETSI TS 103 673 technical specification (ETSI, 2020k, Clause 9), and generates the
public portal. (a) Running the SAREF pipeline with the graphical interface https://saref
.etsi.org/sources/saref-pipeline/, (b) Running the SAREF pipeline from the command line
https://saref.etsi.org/sources/saref-pipeline/, (c) The output of the SAREF pipeline is
formatted in markdown and can be used to create an issue, and (d) Overview of the
integration and continuous deployment pipeline: Snapshot, Staging, Manual release.
Source: https://saref.etsi.org/sources/saref4ehaw/-/pipelines.
7.5.1 Device
SAREF focuses on the concept of device, which is defined as “a tangible object
designed to perform a particular task in households, public buildings, or offices.
To accomplish this task, the device performs one or more functions.” Examples of
devices are a light switch, a temperature sensor, an energy meter and a washing
machine. A washing machine is designed to wash (task) and to accomplish this
task it performs a start and stop function. The saref:Device class and its properties
are shown in Figure 7.4.
A saref:Device can have some properties that uniquely characterize it, namely its
model and manufacturer (saref:hasModel and saref:hasManufacturer properties,
respectively).
SAREF is conceived in a modular way in order to allow the definition of any
device from predefined building blocks, based on the function(s) that it performs.
Therefore, a saref:Device has at least one function (saref:hasFunction min 1
saref:Function) and can be used for (saref:isUsedFor property) the purpose of
offering a commodity, such as saref:Water or saref:Gas. It can also measure
properties such as saref:Temperature, saref:Energy, and saref:Smoke. Moreover, a
device may consist of other devices (saref:consistsOf property).
The device types that can be represented are actuators (e.g. a saref:Switch that
can be further specialized in saref:LightSwitch and saref:DoorSwitch), sensors
saref:hasMeasurement
saref:FeatureOfInterest
saref:isMeasurementOf
saref:hasProperty saref:isPropertyOf
saref:relatesToProperty
saref:Property
saref:relatesToMeasurement
saref:isMeasuredByDevice saref:measuresProperty
saref:isControlledByDevice saref:controlsProperty
saref:isAccomplishedBy saref:measurementMadeBy
saref:Task saref:Device saref:Measurement
saref:makesMeasurement
saref:isMeasuredIn
saref:offers
saref:Service saref:State saref:UnitOfMeasure
saref:isOfferedBy saref:hasState
saref:represents saref:actsUpon
saref:hasFunction
saref:hasCommand
saref:Function saref:Command
saref:isCommandOf
Figure 7.4 Overview of the SAREF ontology (adapted from ETSI (2020j), ©ETSI 2020, all
rights reserved).
(e.g. a saref:SmokeSensor and saref:TemperatureSensor), meters, and appliances.

Note that there are more types of devices, sensors, and actuators that can be
defined to extend SAREF (the device types in Figure 4 represent only some
examples that explain the rationale behind SAREF). A description of these types
of device is presented in the next clause, in combination with the function they
perform. Examples of devices for specific domains are defined in the SAREF
extensions.
7.5.2 Feature of Interest and Property

Features of Interest (FOIs) are of high relevance for the IoT domain, including
also subdomains such as smart cities and smart agriculture. For example, when
generating KPIs as city indicators, such indicators might be related to a given FOI
in the city. Additionally, FOIs may have one or more properties to be observed;
for example, one can measure the average speed or the CO2 level of a road, the
moisture level, or the type of soil of a crop.
SAREF borrows the modeling pattern from the SOSA/SSN ontology, with
classes saref:FeatureOfInterest: “any real-world entity from which a property
is measured” and saref:Property: “a quality of a feature of interest that can be
measured; an aspect of a feature of interest that is intrinsic to and cannot exist
without the feature”. A FOI can be linked to its properties using the property
saref:hasProperty.
7.5.3 Measurement
The classes saref:Measurement, saref:Property, and saref:UnitOfMeasure allow
relating different measurements from a given device for different proper-
ties measured in different units, i.e. the saref:Measurement class describes
a measurement of a physical quantity (using the saref:hasValue property)
for a given saref:Property and according to a given saref:UnitOfMeasure. In
this way, it is possible to differentiate between properties and measurements
made for such properties and to store measurements for a concrete property
in different units of measurement. Furthermore, a timestamp can be added
(using the saref:hasTimestamp property) to identify when the measurement
applies to the property, which can be used for single measurements or for
series of measurements (e.g. measurement streams). Figure 7.4 shows that a
saref:Device can measure or control a saref:Property (which may be from a
saref:FeatureOfInterest), which in turn relates to a saref:Measurement, which in
turn is measured in a given saref:UnitOfMeasure. Note that it is also possible to
follow the inverse direction in which a saref:Device makes a measurement in a
certain unit of measure (using the saref:makesMeasurement property), and this
measurement can be related to a saref:Property (using the saref:relatesToProperty

property). A saref:FeatureOfInterest represents any entity of the real world from
which a saref:Property is measured.
As an example, the saref:Power and saref:Energy classes can be related to
a certain measurement value (using the saref:hasValue property), which is
measured in a certain unit of measure, e.g. kilowatt for power (saref:PowerUnit)
and kilowatt_Hour for energy (saref:EnergyUnit). Analogously, the saref:Price
class can be related to a certain measurement value that is measured using a
certain saref:Currency, which is a subclass of the saref:UnitOfMeasure class.
Further examples of how to define units of measure can be found in the different
SAREF extensions.
The saref:Time class allows one to specify the concept of time in terms of tempo-
ral entities (i.e. instants or intervals) according to the existing W3C Time ontology
to avoid defining this concept from scratch.
7.5.4 Service, Function, Command, and State

Figure 7.4 shows that a device offers a service (the saref:Service class), which is a
representation of a function in a network that makes this function discoverable,
registerable, and remotely controllable by other devices in the network. A service
shall represent at least one function (saref:represents min 1 saref:Function) and is
offered by at least one device that wants (a certain set of) its function(s) to be dis-
coverable, registerable, and remotely controllable by other devices in the network
(saref:isOfferedBy min 1 saref:Device). Multiple devices can offer the same service.
A service shall specify the device that is offering the service and the function(s)
to be represented. For example, a light switch can offer the service of remotely
switching lights in a home through mobile phone devices that are connected to
the local network (saref:SwitchOnService class). This “remote switching” service
represents the saref:OnOffFunction previously described. Note that the concept of
service is further elaborated in the oneM2M Base Ontology, to which the reader
is referred in order to model the details of a service that are out of the scope of
SAREF.
A function is represented in SAREF with the saref:Function class and is defined
as ”the functionality necessary to accomplish the task for which a device is
designed”. Examples of functions are saref:ActuatingFunction, which allows
transmitting data to actuators; saref:SensingFunction, which allows transmitting
data from sensors; saref:MeteringFunction, which allows obtaining data from
meters; and saref:EventFunction, which allows contacting other devices.
A saref:Function shall have at least one command associated with it
(saref:has-Command min 1 saref:Command). Furthermore, a command can
act on a state (saref:actsUpon relation) to represent that the consequence of a
command can be a change in the state of a device. Note that a command may act
upon a state, but it does not necessarily need to act upon a state. For example,
saref:OnCommand acts on saref:OnOffState, but saref:GetCommand does not act
on any state, since it only gives a directive to retrieve a certain value.
Depending on the function(s) it performs, a device can be found in a corre-
sponding saref:State. For example, a switch can be in saref:OnOffState, which is
also specialized in saref:OnState and saref:OffState. A light switch can be found
in saref:OnOffState on which saref:OnCommand and saref:OffCommand will act.
Note that SAREF is not restricted to binary states such as saref:OnOffState, but
allows us to also define n-ary states (see the saref:MultiLevelState class).
7.6 The SAREF Ontology in the Smart Home

Environment
This section describes how the SAREF ontology and its extensions can be applied
to smart appliances and the smart home environment. To do so, it will describe
the main extensions that are relevant for this environment: those for the energy,
water, building, and smart city domains and the extension to represent systems.
As Figure 7.5 presents, the SAREF ontology includes a set of generic classes
that can be used in smart homes to represent features of interest, measurements,
devices, and their profiles. From these and depending on the aspects of interest,
terms from one or multiple extensions can be reused.
The SAREF4ENER extension allows one to represent information on the power
profile of any device. It specializes the Device and Profile classes of SAREF to allow
us to include further energy-related information.
The SAREF4WATR extension enables representing information related to
the water domain; not only at the device level through water devices (such as
water meters) but also at the infrastructure level by describing water assets and
infrastructures. The systems underlying these assets and infrastructures can be
described in detail using the SAREF4SYST extension.
With the SAREF4BLDG extension, devices (and other building objects) can be
included in the context of a particular building. The extension also allows us to
represent the topology of a building through its building spaces.
Finally, the SAREF4CITY extension extends the context of features of interest,
devices, and their measurements to the smart city. To do so, new spatial features
are defined, such as facilities and administrative areas, and city objects can also be
represented in them.
This last extension also adds the possibility of representing key performance
indicators. In this way, performance measurements and their assessments can be
defined for features of interest at any level.
s4city:KeyPerformanceIndicator
geosp:Feature saref:Measurement saref:FeatureOfInterest
s4bldg:Building s4bldg:BuildingSpace s4bldg:PhysicalObject s4city:Facility s4city:AdministrativeArea s4city:CityObject
s4syst:System
s4bldg:BuildingObject saref:Device
s4watr:WaterAsset s4watr:WaterInfrastructure
saref:Profile
s4bldg:BuildingDevice s4ener:Device s4watr:WaterDevice
s4ener:PowerProfile
Figure 7.5 Main SAREF classes that are relevant for the smart home environment.
7.6.1 Energy
SAREF4ENER is the first extension of SAREF that was created in 2016 in
collaboration with industry associations EEBus10 and Energy@Home11 to allow
interconnection of their different data models (Daniele et al., 2016). SAREF4ENER
is based on EN50631 by CLC TC59 WG7 (EEbus SPINE). SAREF4ENER focusses
on demand response scenarios, in which customers can offer flexibility to the
smart grid to manage their smart home devices by means of a Home Energy
Manager System (HEMS). The HEMS is a logical function for optimizing energy
consumption and/or production that can reside either in the cloud or in a home
gateway. Moreover, the smart grid can influence the quantity or patterns of use of
the energy consumed by customers when energy-supply systems are constrained,
e.g. during peak hours. These scenarios involve use cases such as smart energy
management of appliances in certain modes and preferred times using power pro-
files to optimize energy efficiency and accommodate the customers preferences;
monitoring and control of the start and status of appliances; reaction to special
requests from the smart grid, for example, incentives to consume more or less
depending on current energy availability, or emergency situations that require
temporary reduction of power consumption.
Figure 7.6 shows the main classes of SAREF4ENER that represent the concepts
of “power profile,” “power sequence,” “alternative,” and “slot” that a device uses
to communicate its energy flexibility to the HEMS according to the preferences
and needs of the consumer.
A s4ener:Device is a subclass of a saref:Device, that is, it inherits the properties
of the more general saref:Device and extends it with additional properties that
are specific to SAREF4ENER. A s4ener:PowerProfile inherits the properties of
the more general saref:Profile, extending it with additional properties that are
specific to SAREF4ENER. A power profile is a way to model curves of power
and energy over time, which also provides definitions for the modeling of power
scheduling, including alternative plans. With a power profile, a device exposes
the power sequences that are potentially relevant for the HEMS, for example, a
washing machine that wants to communicate its expected energy consumption
for a certain day. An alternative group is a collection of power sequences for
a certain power profile. For example, the above-mentioned washing machine
can offer two alternative plans, a “cheapest” alternative in which the HEMS
should try to minimize the user’s energy bill and a “greenest” alternative in
which the HEMS should try to optimize the configuration to maximize the
10 http://www.eebus.org/en
11 http://www.energy-home.it
saref:Profile
saref:consistsOf saref:Profile
saref:hasPrice saref:Price
saref:Device
saref:hasTime saref:Time
saref:hasProfile
saref:isAbout (saref:Commodity or saref: Property)
s4ener:belongsTo
s4ener:PowerProfile
s4ener:Device s4ener:belongsTo s4ener:Device (exactly 1 s4ener:Device) saref:consistsOf
saref:consistsOf s4ener:AlternativesGroup (min 0
s4ener:AlternativesGroup) s4ener:AlternativesGroup
s4ener:exposes s4ener:alternativesCount integer (1..1)
s4ener:nodeRemoteControllable boolean (1..1) s4ener:belongsTo s4ener:PowerProfile (exactly 1 s4ener:PowerProfile)
s4ener:supportsReselection boolean (1..1) saref:consistsOf s4ener:PowerSequence (min 1 s4ener:PowerSequence)
s4ener:supportsSingleSlotSchedulingOnly boolean (1..1) s4ener:alternativesGroupID unsignedInt (1..1)
s4ener:totalSequencesCountMax unsignedInt (1..1)
s4ener:belongsTo
s4ener:PowerSequence
saref:hasDescription string (0..1)
saref:consistsOf s4ener:Slot (min 1 s4ener:Slot)
saref:hasPrice s4ener:ResumeCostEstimated (max 1 s4ener:ResumeCostEstimated)
saref:hasState s4ener:PowerSequenceState (min 1 s4ener:PowerSequenceState)
saref:hasTime min 1 s4ener:StartTime
saref:hasTime max 1 s4ener:EndTime saref:consistsOf
saref:hasTime max 1 s4ener:EarliestStartTime
saref:hasTime max 1 s4ener:LatestEndTime
saref:hasTime max 1 s4ener:ActiveDurationMin
saref:hasTime max 1 s4ener:ActiveDurationMax
saref:hasTime max 1 s4ener:ActiveDurationSumMax
saref:hasTime max 1 s4ener:ActiveDurationSumMin
s4ener:belongsTo
saref:hasTime max 1 s4ener:PauseDurationMax
saref:hasTime max 1 s4ener:PauseDurationMin
saref:hasTime max 1 s4ener:RemainingSlotTime
saref:hasTime max 1 s4ener:ElapsedSlotTime saref:consistsOf
s4ener:belongsTo s4ener:AlternativesGroup (exactly 1 s4ener:AlternativesGroup)
saref:Property s4ener:hasEnergy s4ener:ResumeEnergyEstimated (max 1 s4ener:Slot
s4sener:ResumeEnergyEstimated) s4ener:belongsTo s4ener:PowerSequence (exactly 1
s4ener:activeRepetitionNumber unsignedInt (0..1) s4ener:PowerSequence)
s4ener:activeSlotNumber unsignedInt (0..1) s4ener:hasEnergyValueType s4ener:Energy
s4ener:cheapest boolean (0..1) s4ener:hasPowerValueType s4enerPower
s4ener:greenest boolean (0..1) s4ener:hasValueType (min 1 s4ener:Energy or
saref:Energy s4ener:isPausable boolean (0..1) s4ener:Power)
s4ener:isStoppable boolean (0..1) saref:hasTime max 1 s4ener:StartTime
s4ener:maxCyclesPerDay unsignedInt (0..1) saref:hasTime max 1 s4ener:EndTime
s4ener:repetitionsTotal unsignedInt (0..1) saref:hasTime max 1 s4ener:EarliestStartTime
s4ener:sequenceID unsignedInt (1..1) saref:hasTime max 1 s4ener:LatestEndTime
s4ener:sequenceRemoteControllable boolean (1..1) saref:hasTime max 1 s4ener:MaxDuration
s4ener:taskIdentifier unsignedInt (0..) saref:hasTime max 1 s4ener:MinDuration
s4ener:valueSource {“measuredValue”, “calculated Value”, “empirical Value”} min 1 saref:hasTime max 1 s4ener:DefaultDuration
saref:hasTime max 1 s4ener:DurationUncertainty
saref:Power saref:hasTime max 1
s4ener:hasEnergyValueType s4ener:RemainingPauseTimes4ener:optionalSlot
s4ener:Energy
boolean (0..1)
s4ener:slotActivated boolean (0..1)
s4ener:slotNumber unsignedInt (1..1)
s4ener:Power s4ener:hasPowerValueType
saref:hasDescription string (0..1)
Figure 7.6 Main classes of SAREF4ENER (adapted from ETSI (2020e), ©ETSI 2020, all rights reserved).
availability of renewable energy. An alternative consists of one or more power

sequences (s4ener:PowerSequence class). A power sequence is the specification
of a task, such as washing or drying, according to user preferences and/or the
manufacturer’s settings for a certain device. For example, in the “cheapest”
alternative mentioned above, the washing machine can ask to allocate two
power sequences during the night, while for the “greenest” alternative, it can
ask to allocate one power sequence in the morning and one in the afternoon.
Of these power sequences, one is allocated for the washing task and cannot
be stopped once it started, while the other power sequence is allocated for the
tumble drying task and has the flexibility to be paused by the HEMS as long as it
finishes within a specified latest end time. A power sequence consists of one or
more slots (s4ener:Slot class) that represent different phases of consumption (or
production) and their values. In the power sequence allocated for washing, for
example, various slots can represent the consumption during the different phases
of washing, such as heating the water, washing, and rinsing.
7.6.2 Water
SAREF4WATR (ETSI, 2020h) is the extension of SAREF that provides a common
core of general terms for water data orientated to the IoTs. These core terms can be
extended to particular water subdomains, for example, to water supply. Figure 7.7
presents the main terms related to water of the SAREF4WATR extension.
The extension specializes devices for the water domain and includes a particular
type of water device, a water meter, based on the European M-Bus standard (CEN,
2017a). It also allows for the representation of the tariff that is applied to a water
meter, according to the CEN TR 17167:2018 (CEN, 2017b).
The extension also covers a non-exhaustive set of measurable properties that are
of interest for this domain: properties of water meters, properties of water flows
(based on the European M-Bus standard (CEN, 2017a)), water properties (based
on the classification proposed by the World Health Organization (World Health
Organization, 2017) and on different EC directives on the quality of drinking water
(EC, 1998), bathing water (EC, 2006a), and groundwater (EC, 2006b)) and environ-
mental properties that affect water and the infrastructures that use it.
Water assets and water infrastructures related to different types of water can
also be defined. To represent the topology of a water infrastructure or its assets,
the GeoSPARQL ontology (Open Geospatial Consortium, 2012) has been reused
and, by reusing the SAREF4SYST ontology, the different subsystems of a water
infrastructure can be defined. In SAREF4WATR, key performance indicators
(KPIs) are intended to be defined for water infrastructures. However, KPIs can
also be defined for other features of interest.
s4syst:System saref:FeatureOfInterest
geosp:Feature
s4syst:hasSubSystem
saref:Device s4watr:WaterAsset s4watr:WaterInfrastructure
s4watr:isIntendedFor s4watr:isDesignedFor
saref:Actuator saref:Sensor
s4watr:WaterUse s4watr:Water
saref:hasProperty
saref:Meter s4watr:WaterDevice
saref:measuresProperty
saref:Property
s4watr:WaterMeter
s4watr:appliesTo
s4watr:Tariff s4watr:WaterFlowProperty s4watr:WaterProperty
saref:hasProperty
s4watr:WaterMeterProperty s4watr:EnvironmentalProperty
Figure 7.7 Water-related terms of SAREF4WATR (adapted from ETSI (2020h), ©ETSI 2020, all rights reserved).
7.6.3 Building
This section provides an overview of the SAREF4BLDG ontology (ETSI, 2020b),
which represents the SAREF extension dedicated to model-building devices
based on the International Organization for Standardization (ISO) standard data
model Industry Foundation Classes (IFC) (ISO, 2013). The main goal of the
SAREF4BLDG ontology is to allow the representation of some IFC features by
means of web technologies in combination with SAREF, focussing on the devices,
including appliances, described in IFC; and on the location of such devices in
buildings.
An overview of the main classes and properties defined in SAREF4BLDG is
shown in Figure 7.8.
To reuse the geo ontology modeling for locations, the classes s4bldg:Building,
s4bldg:BuildingSpace, and s4bldg:PhysicalObject are represented as subclasses
of the class geo:SpatialThing. The s4bldg:Building and s4bldg:BuildingSpace
classes are linked to each other through the properties s4bldg:hasSpace and
s4bldg:isSpaceOf; which are inverse properties between them. These properties
could also be used to define subspaces of a s4bldg:BuildingSpace.
Building spaces can contain physical objects that could represent any type of
object or sensors as depicted in Figure 7.8. The property that links the building
with the objects is s4bldg:contains.
Finally, the class representing building devices, namely s4bldg:BuildingDevice,
is defined as a subclass of both saref:Device and s4bldg:BuildingObject. The
device hierarchy extracted from IFC is represented as different subclasses of
s4bldg:BuildingDevice and is represented in Figures 7.9a and 7.9b. This hierarchy
geo:location geo:SpatialThing geo:location
hasSpace contains
<<owl:inverseOf>> <<owl:inverseOf>>
Building isSpaceOf BuildingSpace isContainedIn PhysicalObject
hasSpace
BuildingObject saref:Device
isSpaceOf
BuildingDevice
Figure 7.8 Overview of SAREF4BLDG (adapted from ETSI (2020b), ©ETSI 2020, all rights
reserved).
saref:Device
DistributionFlowDevice
BuildingObject
BuildingDevice
DistributionDevice EnergyConversionDevice FlowController FlowTreatmentDevice
AirToAirHeatR Damper
DistributionControlDevice DuctSilencer
ecovery
ElectricTime FlowStorageDevice
Actuator saref:Actuator Filter
Boiler Control
ElectricFlow Interceptor
Alarm Burner
FlowMeter StorageDevice
Controller Chiller
ProtectiveDevice Tank
Coil SwitchingDevice
ProtectiveDeviceTrippingUnit
FlowTerminal
Condenser
Flowinstrument Valve
AudioVisual
CooledBeam Appliance
Sensor saref:Sensor
CoolingTower
Communication
UnitaryControlElement FlowMovingDevice Appliance
ElectricGenerator
DistributionFlowDevice Compressor Electric
ElectricMotor
Appliance
EnergyConversionDevice Fan
Engine
FireSuppression
Pump
FlowController EvaporativeCooler Terminal
FlowMovingDevice Evaporator Lamp
FlowStorageDevice HeatExchanger MedicalDevice
Humidifier Outlet
FlowTerminal
SanitaryTerminal
SolarDevice
FlowTreatmentDevice
SpaceHeater
Transformer
ShadingDevice
TubeBundle
TransportElement
VibrationIsolator
Figure 7.9 Device hierarchy in SAREF4BLDG. (a) Hierarchy of s4bldg:BuildingObject and (b) Hierarchy of s4bldg:DistributionFlowDevice.
Source: Adapted from ETSI (2020b), ©ETSI 2020, all rights reserved.
represents the devices defined in IFC reproducing the classification defined in

the standard, for example, grouping the devices in s4bldg:DistributionDevice,
s4bldg:ShadindDevice, s4bldg:TransportElement, and s4bldg:VibrationIsolator
and their inner classifications. More details on the selection of IFC concepts
and the ontology development process to build SAREF4BLDG are described in
Poveda-Villalón and García-Castro (2018).
7.6.4 City
The SAREF4CITY ontology (ETSI, 2020c) aims to extend SAREF in order to
create a general framework for representing smart city data in the IoT domain
by identifying the main components. For doing so, different resources have been
investigated during the definition of the ontology, for example, ontologies defined
by the Open Geospatial Consortium, IoT platforms as FIWARE, European projects
and initiatives as the ISA2 program, or the Spanish Federation of Municipalities
and Provinces catalogue of vocabularies.
An overview of the SAREF4CITY ontology is shown in Figure 7.10. As can be
observed, the main areas represented are as follows: Topology, Administrative
Area, City Object, Event, Measurement, Key Performance Indicator, and Public
Service.
The topology domain has been represented by reusing the main geographical
ontologies, GeoSPARQL and the W3C vocabulary WGS84. The administrative area
domain is linked to the topology domain by extending the concept of geosp:Feature
with s4city:AdministrativeArea and its subclasses representing cities, countries,
districts, and neighborhoods.
The model to represent city objects also relies on the GeoSPARQL topology
pattern that allows the connection of city objects with the city or with the
parts in which they are located by using the properties geosp:sfContains and
geosp:sfWithin inherited from the geosp:SpatialObject class.
Events are modeled by the class s4city:Event that is linked to the agent who
organizes them through the property s4city:organizedBy. The facilities in which
the events can take place are indicated by the property s4city:takesPlaceAtFacility.
The time in which it takes place is represented by the class time:TemporalEntity
reused from the W3C Time ontology, and it is indicated by the property
s4city:takesPlaceAtTime.
Conceptualization of KPIs involves two main concepts, namely s4city:
KeyPerformanceIndicator and s4city:KeyPerformanceIndicatorAssessment.
This distinction is motivated by the need to decouple the definition of a KPI
in general terms, for example, the mean air pollution per week, and a particular
value of such a KPI, for example, the mean value of air pollution last week in Paris.
The relationship between a specific assessment of a KPI (s4city:KeyPerformance
geosp:sfContains
geosp:sfWithin geosp:SpatialObject geo:location
saref:isPropertyOf saref:isControlledByDevice
saref:Property
saref:controlsProperty
geosp:Feature geosp:hasGeometry geosp:Geometry
saref:measuresProperty
geo:Point
<<owl:inverseOf>> saref:relatesTo saref:isMeasuredBy saref:Device s4city:takesPlaceAtFacility
Device s4city:Facility
Measurement
saref:hasDescription:: rdfs:Literal
saref:hasManufacturer:: rdfs:Literal
s4city:AdministrativeArea
sarefy:has saref:hasModel:: rdfs:Literal cpsv:PublicService
Property
saref:relatesTo s4city:City
s4city:involves
Property saref:Actuator
cpsv:physicallyA Facility
saref:FeatureOfInterest s4city:Country
<<owl:inverseOf>> vailableAt
saref:Sensor
saref:makes s4city:District
Measurement s4city:PublicService
saref:has
saref:measurement saref:hasName:: rdfs:Literal
Feature s4city:Neighbourhood
MadeBy saref:hasDescripton:: rdfs:Literal
OfInterest
saref:Measurement
saref:hasTimestamp:: xsd:dateTime s4city:CityObject
saref:hasValue:: s4city:isAvailableIn
s4city:isDerivedFrom
s4city:refersTo Language
<<owl:inverseOf>>
Feature
<<owl:inverseOf>>
saref:isMeasuredIn dcterms:LinguisticS
s4city:isAssessedBy cpsv:uses ystem
saref:isFeature cpsv:provides
foaf:Agent
OfInterestOf saref:UnitOfMeasure saref:isMeasuredIn
s4city:assesses s4city:Agent s4city:isSub

s4city:KeyPerformanceIndicator s4city:organizedBy
s4city:isKPIOf Assessment EventOf
foaf:Person
s4city:KeyPerformanceIndicator s4city:quanti esKPI saref:hasName:: rdfs:Literal
s4city:hasKPI saref:hasDescripton:: rdfs:Literal s4city:Event
saref:hasName:: rdfs:Literal org:Organization
saref:hasDescripton:: rdfs:Literal saref:hasValue:: saref:hasName:: rdfs:Literal
s4city:hasLastUpdateDate :: xsd:datetime
s4city:hasCalculation s4city:hasCreationDate :: xsd:datetime
s4city:refersToTime s4city:PublicAdministration
Period s4city:hasExpirationDate :: xsd:datetime
s4city:hasAccesibility
time:TemporalDuration time:TemporalEntity
s4city:takesPlaceAtTime
time:Instant time:Interval owl:Thing
Figure 7.10 Overview of SAREF4CITY (adapted from ETSI (2020c), ©ETSI 2020, all rights reserved).
IndicatorAssessment) and the general KPI definition (s4city:KeyPerformance

Indicator) can be established by means of the property s4city:quantifiesKPI.
The property s4city:isKPIOf allows linking from a s4city:KeyPerformance
Indicator to the measured saref:FeatureOfInterest. The calculation period of
s4city:KeyPerformanceIndicator is provided by the s4city:hasCalculationPeriod
property. Some attributes are attached to KPIs, such as their name (using
the property s4city:hasName) and a natural language description (s4city:has
Description).
Finally, the SAREF4CITY ontology allows representing public services
(s4city:PublicService) by extending the reused concept cpsv:PublicService defined
in the Public Service vocabulary provided by the ISA vocabularies European
initiative. Services can also be linked to the facilities involved by the property
s4city:involvesFacility and it is possible to indicate in which administrative
area it is provided using the reused property cpsv:physicallyAvailableAt. It is
possible to indicate that an agent (s4city:Agent) provides (cpsv:provides) or
uses (cpsv:uses) public services and the language in which they are available
(s4city:isAvailableInLanguage). The name and description in natural lan-
guage of public services are represented by the attributes s4city:hasName and
s4city:hasDescription, respectively.
7.6.5 Systems
The SAREF4SYST ontology (ETSI, 2020g), shown in Figure 7.11 and inspired by
SEAS (Lefrançois, 2017), is the first ontology pattern incorporated into SAREF.
hasSubSystem
<<transitive>>
subSystemOf
<<transitive>>
<<inverseOf>>
=1
connectedTo connectionPointOf
<<symmetric>>
System <<inverseOf>> ConnectionPoint
connectsAt
connectedThrough connectsSystemThrough
connectsSystem connectsSystemAt
<<inverseOf>> <<inverseOf>>
Connection
Figure 7.11 Overview of the SAREF4SYST ontology pattern (adapted from ETSI (2020g),
©ETSI 2020, all rights reserved).
7.7 The SAREF Ontology in Use 207
It defines an ontology model that can be instantiated for different domains.

SAREF4SYST defines systems, connections between systems, and connection
points to which systems can be connected. These basic concepts can be used
generically to define the topology of entities of interest and can be specialized
for multiple domains. For example, to describe areas within a building (systems)
that share a boundary (connections). The properties of systems are usually state
variables (e.g. agent population, temperature), while properties of connections are
usually flows (e.g. heat flow). SAREF4SYST has two main goals: on the one hand,
to extend SAREF with the ability to represent the general topology of systems
and how they are connected or interact, and, on the other hand, to illustrate how
ontology patterns can help ensure a homogeneous structure of the overall SAREF
ontology and speed up extension development.
7.7 The SAREF Ontology in Use

As a result of significant standardization efforts such as SAREF, the IoT industry
perceives the impact that ontologies can have to enable the missing interoper-
ability. However, most industrial practitioners are not familiar with semantic
technology or have an incentive to adopt it, as they believe the learning curve is too
steep. Information on ontologies appears to them abstract and scattered over the
Web, and thus not easily applicable. The goal of this section is to provide examples
of existing SAREF-based implementations in the smart home environment as a
support for practitioners to understand in which practical settings the ontologies
presented in this chapter can be applied.
The first example is based on a scenario of the Dutch pilot of the H2020 Inter-
Connect project12 within a household in which smart appliances from different
vendors (i.e. Bosch, Siemens, Miele, and Whirlpool) interact with an energy
manager in the cloud that takes care of optimizing the energy consumption
and production of all home appliances depending on the time of the day, the
user preferences, and possible incentives from the grid. In particular, we focus
on the specific interaction between smart appliances from Bosch, Siemens or
Miele, which are equipped with EEBUS SPINE-IoT communication defined in
the EN50631 standard, with an energy manager that makes use of the so-called
S2 interface according to the EN50491-12-2 standard. The energy manager is an
implementation of the TNO Reflex platform, which organizes the demand and
supply of energy, as a tool for aggregation and scheduling of energy flexibility.
Smart appliances and energy managers expose their data to a semantic inter-
operability layer in the format of the SAREF and SAREF4ENER ontologies.
12 https://interconnectproject.eu/wp-content/uploads/2021/03/Interconnect_Netherlands_
Residencial_EnglishVersion.pdf
Therefore, SAREF and SAREF4ENER are used as the common language to allow
seamless communication in the smart home and enable optimization of energy
consumption and production of the home. As an example of a storyline that
uses this infrastructure, household owners load their laundry into a washing
machine (i.e. an iQ700 Siemens device in the example under consideration)
and specify their preference by selecting the latest end time when the laundry
needs to be ready. Setting this preference can be done by the user directly using
the washing machine display or through the Siemens app available for the
mobile phone. The washing machine, which communicates with the energy
manager using SAREF and SAREF4ENER, sends the new user demand (in
the form of a s4ener:AlternativesGroup that belongs to the washing machine
s4ener:PowerProfile), which is received by the Reflex Energy Manager that adapts
the plan based on the updated conditions. The Energy Manager is the one who
finally decides when the washing machine should start and updates the new start
time by sending it to the washing machine.
The second example is based on a SAREF-based implementation in the context
of the Greek pilot of the H2020 InterConnect project13 in which residential
buildings are transformed into smart homes with energy meters and sensors
installed in the houses. Several companies are involved: GRIDNET, an SME ICT
company responsible for transforming 50 homes into smarthomes with smart
meters and sensors connected to an IoT gateway and company’s cloud services;
COSMOTE, a Telco Provider responsible for transforming additional 50 homes
to smarthomes with smart meters and sensors connected with an IoT Gateway
and companys cloud services; and HERON, a retailer responsible for equipping
200 houses with smart meters and collection of consumption data within the
companys cloud services. In addition, AUEB is an academic partner responsible
for developing a mobile app that building residents can use to monitor their
house consumption and interact with the various services offered by the Greek
pilot. This example of SAREF in action focusses on how the four different
service providers (i.e. GRIDNET, COSMOTE, HERON, and AUEB) leverage
SAREF and its extensions as a common data model to exchange information.
GRIDNET has installed Qubino energy meters that communicate wirelessly with
Z-Wave technology with an IoT gateway that runs the open-source framework
openHAB. COSMOTE uses AEOTEC energy meters with Z-Wave technology that
communicate with an IoT gateway that runs the open-source framework Home
Assistant. HERON takes advantage of the Wi-fi network of the user to connect
directly to Shelly energy meters. An AUEB-developed IoT app presents residents
with their energy consumption information regardless of the specific IoT solution
13 https://interconnectproject.eu/wp-content/uploads/2021/03/Interconnect_Greece-Geral_
EN-1.pdf
the house has been equipped with (i.e. GRIDNET, COSMOTE, or HERON).
The bridging technology for the communication is SAREF, SAREF4BLDG, and
SAREF4ENER. As an example of storyline, the user logs into the app and after
authentication the app requests historical consumption data, for example, about
the last week. A response is generated and forwarded to the mobile app, which
is then presented in the user dashboard. The user experience remains the same
while using different service providers behind the scenes.
7.8 Lessons Learnt

This section provides some lessons learnt from a long path of development and
evolution of the ETSI SAREF ontology for smart applications.
7.8.1 Specification of Ontology Requirements

The ETSI approach for the development of SAREF has been applied in a con-
strained setting due to the fact that the ETSI STF SAREF projects are usually
focused efforts that aim at reaching concrete results in rather short time, com-
pared to European research projects with a typical duration of 3–4 years. As an
example, the STF projects carried out in the past years to extend SAREF (e.g. STF
513, STF 534, STF 566, STF 602), in the ontological requirement specification
step, have considered an average of three use cases per SAREF extension, as this
was sufficient to generate a variety of significant requirements (e.g. an average
of 60 competency questions per extension) and, at the same time, keep focus
on the scope of the ontology and pace in the ontology development process.
On the other hand, it was also necessary to apply the process in larger settings, for
example, 112 use cases, 66 services, 166 APIs, and 864 parameters were analyzed
in the InterConnect project to enrich the current SAREF suite of ontologies with
additional concepts to accommodate new use cases in the smart home and energy
domains. In these types of large-scale settings, an initial information overload is
unavoidable. For example, this resulted in 350+ requirements in InterConnect,
after an initial analysis based on the most relevant use cases and services. How-
ever, we could observe that eventually the situation stabilized, i.e. the addition
of more use cases did not result anymore in new requirements. Therefore, we
learnt that use cases are a useful input to drive the ontology development taking
into account concrete needs of the industry and that a limited number of use
cases (i.e., 3+ use cases) helps to keep focus and pace, yet, guaranteeing a suitable
semantic coverage. However, new concepts may be needed to accommodate new
use cases, and the addition of use cases eventually will reach an optimum in
which no new concepts will be anymore added to the ontologies, but will provide
useful support to validate the already existing concepts.
7.8.2 Stakeholder’s Workshops

Since the beginning of SAREF development in 2014, ETSI ontology experts have
used to conduct stakeholder workshops in person for the development of SAREF
and its extensions with a large number of stakeholders (i.e. 60+ stakeholders).
Face-to-face interaction with stakeholders proved to be an extremely successful
aspect, especially in increasing the understanding and acceptance of the resulting
ontologies (Daniele et al., 2015a). In order to make these workshops manageable
and productive, we adopted the best practise to divide the participants into differ-
ent (small) groups and work in parallel, drawing ontology concepts and relations
on a whiteboard. Due to the COVID-19 pandemic in 2019–2021, it has no longer
been possible to gather stakeholders in person and ontology workshops had to
be conducted entirely online. From this experience we learnt that i) an online
workshop helps to involve a larger number of stakeholders compared to the more
limited number reachable in a meeting in person, and ii) it is still possible collect
ontology requirements (smaller sessions, break-out rooms, etc.), although in a
less effective manner compared with face-to-face interaction (results of one day
face-to-face are comparable to three days of online workshops). In conclusion, we
observe that the desired goals for the SAREF development can also be reached
online, but this affects the pace (slower) and the resources (higher) invested to
achieve the result compared to the face-to-face setting used in the past.
7.8.3 Tool Support

The development of ontologies with close and active participation of stakeholders
is essential and, at the same time, challenging. The learning curve of semantic
technology and ontologies for industrial practitioners is steep, as it requires a
paradigm shift for traditional software developers, who are not used to thinking
in terms of semantics and triples. Moreover, stakeholders often do not have the
time nor the incentive to browse through lengthy ontology specifications, and as a
consequence, they rather rely on direct consultancy of the (ETSI SAREF) semantic
experts, which are a minority compared to the vast majority of traditional software
developers, and this is not sustainable. We therefore learnt that it is essential to
improve training and communication material that can be reused by the semantic
experts across and beyond specific projects, as basis to speed up the adoption
of the technology. Moreover, tool support is needed in the near future, starting
from visualization tools for nonexperts to quickly browse ontologies and become
familiar with them, to intuitive user interfaces that help the same nonexpert
users select and focus on only a few parts of interest of the ontologies, especially
when they are faced with the challenge of combining different subparts of an
extensive framework of ontologies such as SAREF and its extensions (e.g. parts
of SAREF, SAREF4ENER, SAREF4BLDG, SAREF4WATR, and SAREF4CITY

that are relevant for the smart home environment, as shown in Figure 7.5).
Finally, we also learnt that despite the efforts in ETSI for the creation of the
user-friendly SAREF portal with the collection of all related technical reports
and specifications, it is unclear for the majority of stakeholders how to actively
participate to the development and standardize new contributions to SAREF. This
chapter serves as an initial tool for stakeholders to find, all in one place, not only
the information to become familiar with SAREF and its extensions but also the
ETSI workflow for the SAREF projects in order to clarify to stakeholders how they
contribute to the further development and standardization of these ontologies.
7.8.4 Ontology Modularization

Two design choices are recurrent in ontology networks: (i) the definition of names-
paces for each module, and (ii) the choice of the module in which a term is defined.
Choosing a distinct namespace for each module makes it easy to identify from
which module a term originates. It also simplifies the publication of ontologies in
accordance with the good practise of making a description of each term accessible
to its IRI (hash IRIs can be used). However, this approach presents three problems.
First, it is sometimes difficult for a user of these ontologies to remember
what the namespace is for each concept. We have, for example, a variety of
subclasses of saref:Property spread over the namespaces of the different exten-
sions, depending on where we needed to define them first: saref:Temperature,
saref:Humidity, saref:Power, s4ener:PowerMax, s4ener:PowerStandardDeviation,
s4inma:Size, saref:Light, s4envi:LightProperty and the following instances of
saref:Property: s4envi:Frequency, s4wear:SoundLevel, s4wear:Temperature,
s4wear:BatteryRemainingTime, s4watr:Conductivity. An alternative approach
would have been to use a single namespace and slash “/” IRIs, and implement
redirects from the IRI of each term to the document that describes the ontology
where it is defined.
Second, experience shows that it can be relevant to move a term from one
module to another. For example, SAREF4CITY V1.1.1 introduced the concept of
s4city:FeatureOfInterest, and it was decided during the development of SAREF
Core V3.1.1 that this concept should be moved into the core ontology. Therefore,
it is now identified by saref:FeatureOfInterest, and the SAREF4CITY implemen-
tations had to be modified. This problem would not have arisen if an approach
based on a unique namespace and slash IRIs had been adopted.
Finally, what the list of classes and instances of saref:Property shows is that even
within the SAREF developer community, the modeling and naming choices are
sometimes varied. Therefore, it would seem important to us to rebase the devel-
opment of SAREF on ontology patterns to harmonize its development.
7.8.5 Ontology Patterns

One of the deliverables of the ETSI STF 556 project is the technical report
TR 103 549 entitled “Consolidation of SAREF and its industrial user community,
based on the experience of the EUREKA ITEA 12004 SEAS project”. This report
identifies the implicitly existing patterns in SAREF and that formalization could be
appropriate to achieve a consolidated version of the SAREF ontology (ETSI, 2019).
For example, in SAREF Core V2.1.1, measurement, actuation, and metering
functions are function types. Usually, a function (e.g. saref:StartStopFunction)
has one or more commands to trigger it (e.g. for saref:StartStopFunction, it should
be either a saref:StartCommand or a saref:StopCommand). Some commands act
on certain states (saref:StartStopCommand acts on a certain saref:StartStopState).
It would be advisable, for example, to make sure that all subclasses of the
saref:Command class are described in the same way. For example, some sub-
classes of saref:Command had generic instances, associated with no real action.
SAREF also had a command saref:PauseCommand, which was not associated
with any function.
Patterns can be instantiated with elements taken in orthogonal dimensions.
For example, SAREF4ENER defines s4ener:EnergyStandardDeviation, s4ener:
EnergyMax, s4ener:EnergyMin, s4ener:EnergyExpected, s4ener:PowerMax,
s4ener:PowerMin, s4ener:PowerExpected, s4ener:PowerStandardDeviation.
Manually managing the addition of, for example, a new aggregate type Average
involves creating many additional properties, such as s4ener:EnergyAverage,
s4ener:PowerAverage. A partial solution to this problem is to decouple the
dimensions. In the example above, we will specify the property type and the
aggregate type.
7.9 Conclusions and Future Work
This chapter provided an overview of how the ETSI SAREF ontology is designed
and can be used for smart applications in smart home environments. The design
rationale and development framework of SAREF, together with the level of
support from the European Commission and ETSI, make it a good candidate for
designing interoperable cross-vertical common data spaces with a focus on IoT
applications.
SAREF illustrates how the development of an ontology can transition from
focused short-term projects mainly involving researchers to large-scale research
and development projects with large industrial stakeholders. The SAREF
development framework and workflow as specified in ETSI TS 103 673 (ETSI,
2020k), the SAREF pipeline and the public SAREF portal enable SAREF
References 213
developers to accelerate the development of SAREF and its extensions, as well as

the SAREF user community to actively contribute to development. Other keys to
SAREF success include participation of stakeholders in regular workshops, good
tool support for its development, and the adoption of design best practises includ-
ing modularization, versioning, and ontology patterns for improved homogeneity.
Acknowledgments
Part of the development of the SAREF suite of ontologies has been funded by
European Commission SMART 2013/01077 and 2016/0082 studies; the European
Telecommunications Standards Institute Specialist Task Forces 513, 534, 556, 566,
578, and 602; the Horizon 2020 European project InterConnect grant agreement
857237; and the French project ANR-19-CE23-0012-04 CoSWoT. The authors
would also like to thank Josef Baumeister (BSH), Jorrit Nutma (TNO), and
Donatos Stavropoulos (GRIDNET) for the examples of SAREF in use from the
Dutch and Greek pilots of InterConnect.
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217
Scheduling of Residential Shiftable Smart Appliances by

Metaheuristic Approaches
Recep Çakmak
Samsun University, Department of Electrical-Electronics Engineering, Faculty of Engineering, Samsun,
Turkey
8.1 Introduction
The demand for electrical energy is increasing day by day with the increasing
population, urbanization, and the use of electrically powered devices. The energy
grid utilities are struggling to provide a balance between demand and supply. On
the other hand, the electrical grid which has been installed almost 100 years ago,
so it needs a rehabilitation and digitally controlled infrastructure. Although the
installation of new power (P) plants and the renewal of the network infrastruc-
ture require large investment, the fact that keeping consumers without electricity
for one hour after a collapse that may occur in the electricity network due to any
malfunction in the existing electricity system causes serious economic losses. In
other words, there is a need for financial resources to generate electricity to pre-
vent financial losses that will arise if the existing system is interrupted for any
reason. Therefore, it is necessary to ensure the reliability and sustainability of the
existing energy grid, as well as the necessity to renew the existing electrical infras-
tructure and to install new power plants and distributed local energy generation.
Meeting the increasing demand and ensuring the stable operation of the network
are two important challenges of today’s energy grids. Environmentally friendly
power sources such as wind, solar, and tidal are preferred for distributed genera-
tion. However, these sources provide variable and intermittent power output. For
this reason, the electrical grid management paradigm has changed from “supply
follows demand” to “demand follows supply” by evolving smart grids.
In smart grid studies, demand-side management (DSM) has a significant impor-
tance since DSM contributes to compensating the peak demand which influences
the reliability and robustness of energy grids. Furthermore, DSM is effective tool

218 8 Scheduling of Residential Shiftable Smart Appliances by Metaheuristic Approaches
since managing the demand provides a flexible source to complement variable

and intermittent renewable power generation. DSM provides grid efficiency and
robustness of the grid by compensating peak demand and managing the demand
with proper use of renewable power generation. Accordingly, utility companies
execute DSM which include demand response (DR), energy efficiency (EE), and
conservation programs. The US Department of Energy (DoE) has defined demand
response as a tariff or program which provides changes in electricity consumption
profiles of the customers via price of electricity or incentive payments (QDR
2006). DSM has been defined and classified into six major types as to daily and
seasonal electricity demand by Gellings (1985). Figure 8.1 illustrates these six
major DSM objectives (Gellings 1985). In this sense, it can be said that DSM
P(t)
t
P(t) P(t)
Valley filling
t t
Strategic load
Flexible load
growth
Demand-side shape
management
P(t) (DSM)
P(t)
P: Power
t: Time
t t
P(t)
Strategic
Load shifting
conservation
t
Peak clipping
Figure 8.1 Six major DSM objectives proposed by Gellings (1985). Source: Adapted from
Gellings (1985).
strives to ensure a smooth and efficient operation of electrical power systems

through demand response programs (Bayod-Rújula 2009; Pina et al. 2012).
Demand response (DR), EE, and spinning reserve (SR) are main schemes
DSM can utilize. A demand response strategy is a tariff or program which aims
to shape power consumption of the customers through incentive payments
and/or electrical tariff plans. DR programs can be categorized as price-based and
incentive-based programs which include different approaches (Shafie-khah et al.
2016).
DSM and DR studies have been reviewed in some respects such as in terms
of utilized optimization strategies (Mariano-Hernández et al. 2021; Javaid et al.
2017), impacts to electrical power systems (Jabir et al. 2018) and also compared
according to their performances (Alwan and Abdelwahed 2019). DR programs can
be subjected to various classifications according to the arguments and purposes
used in the management of consumer loads. In the detailed literature review by
Vardakas et al. (2015), DR is classified as follows:
● Price-based DR or incentive-based DR, according to the way it affects the
customer behavior.
● Task-based DR or energy management-based DR, according to the decision
variable based on load management.
● Centralized DR or distributed DR, in terms of the control of the loads.
The residential time-shiftable loads have great demand response potential
and the utilization of residential demand response programs provides efficiency
on the electrical grid. For example, in Europe, according to the survey results, if
households agree to have their washing machine or dishwasher operated flexibly
by an energy manager 5 MW for washing machines and 10 MW for dishwashers,
are available as a flexible load on the grid (Stamminger and Schmitz 2017).
Another example from the literature presents that flexibility potential for 100
households is 11.45, 9.28, and 16.7 kW for cloth washing machines, dryers, and
dishwashers, respectively (Degefa et al. 2018). If this flexible load can be managed
within the scope of demand response, the efficiency of the grid can be improved.
As a remarkable example, load Losses in the United Kingdom in the low voltage
network (Electricity North West [ENW]) constitute 44% of the total losses in the
electricity network, and 63% of these low voltage losses are losses related to the
consumption profile. The copper losses which are proportional to the square
of the current are decreased when peak consumption is reduced. Hence spread
across a longer period of the demand through demand curve flatting means that
lower losses. Such that, in the event that 10% of the peak consumption in the
distribution network in the UK is postponed for four hours, the losses can be
reduced by 4 GWh per year (Shaw et al. 2009). So, demand response programs in
the residential area have a great importance for the grid management and grid
efficiency. The potential of residential demand response can be realized by emerg-
ing smart homes. However, if smart time-shiftable appliances are not controlled
and scheduled via energy manager, rebound effect may occur which means new
peaks happen. For this reason, one of the aims of demand response program
which is the peak load reduction through load shifting cannot be achieved
(Degefa et al. 2018).
Smart homes which include smart appliances are foreseen to drive major
changes in human behavior. The smart homes and smart appliances not only
bring great changes to people’s behaviors but also create an opportunity to actu-
alize the aforementioned demand response by managing the power consumption
profile over a given period of time. The time-shiftable and controllable smart
appliances have a great potential to mitigate peak-to-valley power demand gaps
in the distribution grids. Also, the smart appliances can improve flexibility of
the distribution grids and can decrease the household electricity costs. A smart
appliance can be defined as follows. A device which is programmable, con-
nectable to other devices, controllable, and operable autonomously which means
programmable itself via artificial intelligence, based on the user preferences and
input related to energy price, temperature, lighting conditions, and so on can be
defined as the smart appliance. Utility of the smart appliances is emerging as a
result of the Internet of Things (IoT) which enables the creation of a system of
connected devices that communicate with each other and form an intelligent
network to share information through various communication protocols. Essen-
tially, it is foreseen that every smart appliance of the smart home will also be an
IoT device in future. By the way, it is noted that it doesn’t mean by default that
they interoperate. However, in terms of smart grids, the smart appliances are the
enablers for demand response programs through their connection and control
interface. It will enable not only the residential users which have a smart home
to monitor and control any home appliances remotely but also provide a flexible
load control opportunity to the grid operators, especially at the distribution
grid level.
Smart appliances and IoT devices in households require standardization for
them. The European Telecommunications Standards Institute (ETSI) standard-
ized the Smart Applications Reference (SAREF) which is the core model to con-
nect the smart appliances from all domains (SAREF 2022). The intention of SAREF
is to enable the link of information coming from different smart appliances, based
on different standards instead of replacing the existing standards. So, combined
with appropriate software applications, SAREF ontology enables smart appliances
in a home to become interoperable even if manufactured by different vendors, as
long as all comply to the SAREF ontology. SAREF ontology aims to create a model
which provides a consensus to enable matching of existing smart applications
domains. Thus, SAREF ontology defines a standard for a domain providing

separation and recombination of different parts of the ontology as to specific
necessities. This standardization is constituted based on following four essences:
● Reuse and alignment
● Modularity
● Extensibility
● Maintainability
Reuse and alignment refer to adjust and rework of concepts and relationship in
the existing devices and platforms. The separation and recombination of different
parts of the ontology are provided by its modularity principle. The extensibility of
the ontology enables the further improvements and advancements. The maintain-
ability principle of SAREF ontology expedites the defect detection and identifica-
tion, new requirement accommodation, and management through the changes in
parts of SAREF.
Emerging smart appliances with the application of the SAREF ontology and
deployment of IoT technologies enable to use time-shiftable smart appliances in
demand response programs to realize DSM. The demand response provides the
consumers’ appropriate response without compromising the comfort to achieve a
desired energy demand profile. So, the consumers may save on energy costs and
the energy grid achieves technical and economic benefits. However, the manage-
ment of the demand must be applied by avoiding a rebound effect. The reason for
the rebound effect is that when the peak demand shifts to off-peak demand peri-
ods thanks to demand response, may create another peak. Thus, requests of the
consumers and objectives of the grid utilities must be aggregated and prioritized
in an optimal manner, so the scheduling of smart appliances is an optimization
problem. Basically, an optimization problem is related to finding the best solution
or solution set from all feasible solutions through the consideration of all available
constraints. In the literature, there are many studies which use metaheuristic
algorithms in DSM. However, most of these studies are focused on the scheduling
of the loads for single house. This chapter introduces how metaheuristic algo-
rithms can be utilized in the scheduling of smart appliances applied to DSM. To
provide a good understanding of such approach, prominent and modern meta-
heuristic algorithms are simulated for a case. The effects of the scheduling and a
comparison of the algorithms are discussed in terms of convergence performance.
This chapter is organized as follows. First, demand response programs in DSM
have been introduced. Then power consumption profiles and usage patterns of
the time-shiftable and smart appliances are presented. After that prominent smart
metaheuristic algorithms are introduced. Finally, scheduling of time-shiftable
smart appliances by smart heuristic algorithms is elaborated and results are
presented.
8.2 Demand Response Programs in Demand-Side

Management
DSM as an important aspect of the smart grids promises to increase reliability and
stability of the grid by shifting demand from the peak period to the low consump-
tion period and therefore reducing the peak demand. DSM programs contain two
main operations which are demand shifting by demand response programs and
EE by energy conservation programs. Although DSM has two concepts which are
EE and demand response, it should be noted that demand response has undeni-
able benefits in providing EE in distribution grids. The peak load reduction and
demand shifting are important for the distribution grid because energy losses are
proportional to the square of the current. So, peak load reduction by means of the
DSM will improve the efficiency of the grid. There are many potential benefits,
which are technical, economic, environmental, and social, through the DSM in
the electrical power systems (Jabir et al. 2018).
While DSM aims to reduce consumption and emissions at the demand level,
demand response is a subset of DSM which includes non-permanent and
short-term load manipulation actions to recast the consumption behavior of the
end user. Demand response is defined as “the changes in electric usage by end-use
consumers from their normal consumption patterns in response to changes in
the price of electricity over time, or to incentivize payments designed to induce
lower electricity use at times of high wholesale prices or when system reliability
is jeopardized” (QDR 2006).
Smart appliances and smart building concepts provide an opportunity to apply a
DSM scheme which is one of the distribution side features of the smart grids. If the
comfort of the consumers is not compromised, the consumers give an appropriate
response to the demand response programs. So, not only consumers’ electricity
consumption bills are decreased but also the flexibility and controllability of the
consumption provide many benefits to the grid (Prusty et al. 2022).
Demand response programs can be categorized into two main categories which
are price-based and incentives-based programs (Albadi and El-Saadany 2007;
Shafie-khah et al. 2016). Figure 8.2 shows these demand response programs.
These programs survived to get one or more DSM objectives which are described
in Figure 8.1. Direct load control gives the distribution system operator (DSO)
direct control of the appliances such as central air conditioner is remotely
cycled using a switch on the compressor (Hledik and Lee 2021). Interruptible
rates create a contract that is limited sheds such that one party to renege on
its obligation to provide electricity to the other party a certain number of times
over a certain period of time. So, some loads served under interruptible provides
ancillary services to the market. Interruptible tariffs provide a discounted price to
consumers who agree to interrupt their electric consumption when required as
requested by the utility to solve supply shortage or instantaneously in response
8.2 Demand Response Programs in Demand-Side Management 223
Demand response programs
Price-based programs Incentive-based programs
• Emergency demand response programs

• Time of use
• Interruptible rates
• Real time pricing
• Direct load control
• Critical peak pricing
• Capacity market programs
• Extreme day pricing
• Demand bidding programs
• Extreme day critical peak pricing
• Ancillary services
Figure 8.2 Price-based and incentive-based demand response programs. Source: Albadi
and El-Saadany (2007) and Shafie-khah et al. (2016).
to a system emergency (Zarnikau 2008; Palensky and Dietrich 2011). On the

other hand, emergency demand response programs send the emergency signal
to the consumers to get a response such that consumers are paid incentives for
their measured load reductions during emergency conditions. Demand bidding
programs are also named as buyback programs in which consumers can execute
a bidding in electricity wholesale market to reduce consumption. The consumers
can get the capacity payment according to their agreement which provides direct
load curtailment. The consumers can execute load reduction in the intraday
energy market in ancillary services (Contreras et al. 2016).
In price-based demand response programs, consumers can respond to the price
structure with changes in energy use, reducing their electricity bills if they adjust
the timing of their electricity usage to take advantage of lower-priced periods
and avoid consuming when prices are higher. Time-of-use pricing (TOU) offers
prices that vary by time period such that they are higher in peak consumption
periods and lower in low consumption periods. Real-time pricing (RTP) applies
the featured prices day ahead or hour-ahead. These featured prices vary hourly or
in 30 minutes intervals. Critical peak pricing (CPP) is combined with TOU pricing
and it constitutes price layers that are very high for a few critical hours such as
15 days of the year. Extreme day pricing (EDP) is very similar to critical peak pric-
ing except that in EDP higher prices execute for all hours of the critical day. While
critical peak pricing is announced a day before or the day of the critical peak price,
the timing of EDP is unknown until the day ahead. Extreme day critical peak pric-
ing is a combination of EDP and critical peak pricing such that it creates the critical
peak hours on the extreme days. However, there is no TOU on the other days.
Both incentives-based and price-based demand response programs can be uti-
lized for specific loads or all loads. Also, these demand response programs can
be applied as distributed or centralized. The application scheme of the demand

response programs determines the smart grid application scheme. The DSO or
utility company sends price signals to the smart homes, then the smart energy con-
troller (SEC) of the smart homes schedules and operates the time-shiftable smart
appliances in a traditional price-based demand response scheme. On the other
hand, this centralized scheme can lead to rebound effects. So, another approach
is the decentralized demand response scheme (Ramchurn et al. 2011). Both cen-
tralized and decentralized demand response schemes have an optimization prob-
lem to schedule the time-shiftable smart appliances as per price or grid objectives
and consumer preferences. Consumption of residential sector has reached 25%
of the overall electrical consumption in Europe in 2020, and it is foreseen that
the consumption rate of the residential sector will reach 29% of the overall energy
consumption by 2050 (Bintoudi et al. 2021). It is estimated that the potential of con-
trollable load through smart appliances economically viable in the EU is 40 GW.
It means that the shift of this load from peak times to other periods may reduce
peak generation in the EU by 10% (Serrenho and Bertoldi 2019). On the energy
aspect of smart appliances, these have the capability to receive, interpret, and act
on a signal received from an energy provider and adjust its operation according to
the settings chosen by the energy consumer. In this context, energy smart appli-
ances support demand-side flexibility such that they can modulate or shift their
electricity consumption in response to external signals such as price information,
local measurements, or direct control commands.
8.3 Time-Shiftable and Smart Appliances

in Residences
The residential appliances which are utilized in demand response programs
can be classified into three categories power-shiftable appliances, time-shiftable
appliances, and deferrable appliances. Air conditioners and electric water heaters
are examples of power-shiftable appliances which can adjust the working
power continuously within the predefined range. The operation time of the
time-shiftable smart appliances can be shifted in demand response programs
through the SEC. Washing machines, dishwashers, and tumble dryers can be
considered time-shiftable appliances. Electrical vehicles are in the deferrable
appliances categories. The deferrable aspect means that the power consumption
can be stopped when the grid load is high and consumer’s deferrable load is
available to stop and then continue when the grid overall demand is back to low
or normal levels (Li et al. 2022).
Figure 8.3 shows representative operating cycles in minute resolution for mod-
ern efficient appliances which are cloth washing machine, dishwashing machine,
8.3 Time-Shiftable and Smart Appliances in Residences 225
2
Dish washing machine
1.5
kW
0.5
0
0 20 40 60 80 100
Time (min)
2
Cloth washing machine
1.5
kW
0.5
0
0 20 40 60 80
Time (min)
2
Cloth dryer machine
1.5
kW
0.5
0
0 20 40 60 80 100 120
Time (min)
Figure 8.3 Representative operating cycles for dishwashing machine, cloth washing
machine, and cloth dryer machine. Source: Degefa et al. (2018)/Reproduced from IEEE.
and cloth dryer machine (Degefa et al. 2018). These appliances are also known as
wet appliances, and these have great potential for demand response in terms of
demand flexibility (Schofield et al. 2014; Stamminger and Schmitz 2017). Recent
public survey study (Çakmak and Altaş 2020) which was done in Turkey shows
that these appliances mostly operated in peak consumption times. For example,
47% of the people who attended the public survey expressed that they use the
washing machine between 18:01 and 23:59. This time period is the peak consump-
tion period in the grid. Another example from the same public survey is 66% of
the respondents express that they use the dishwasher between 18:01 and 23:59.
So, these appliances can be utilized in demand response programs through the
scheduling. Another example from Europe reports that washing machines and
dishwashers of the residential users have 5 and 10 MW flexible load potential,
respectively, if 10% of one million household agree to give control of these appli-
ances (Stamminger and Schmitz 2017).
In order to utilize the potential of time-shiftable loads such as dishwashers and
washing machines these appliances must be designed with a standard. One of the
attempts to standardize this is the SAREF (Smart Applications Reference) to pro-
vide controllability, manageability, and monitorability. SAREF mainly focuses on
the concept of the device which is designed to do a particular task. For instance,
a cloth washing machine has two tasks which are the start and stop functions.
SAREF has many classes which are function, command, state, service, profile, and
measurement, so that they have relationships with each other (ETSI 2022).
A semantic interoperability in the energy smart appliances which are from
different manufacturers can be provided by the SAREF ontology through
energy-related information and SEC (Verbeke et al. 2020). This can be applicable
by smart machine-to-machine communication thanks to the energy domain
(ETSI 2020) and building domain (ETSI 2017) SAREF extensions.
8.4 Smart Metaheuristic Algorithms

Smart metaheuristic algorithms are inspired by nature and are utilized in many
areas such as engineering optimization and mathematical problem-solving.
This chapter will be elaborately introducing the foremost smart metaheuristic
algorithms and their DSM study examples.
Figure 8.4 shows nature-inspired computing techniques in artificial intelligence.
8.4.1 BAT Algorithm

BAT algorithm which inspires echolocation actions of microbats, with varying
pulse rates of emission and loudness was invented in 2010 by Xin-She Yang
Machine
Multi-agent learning
systems
BAT Firefly
Particle algorithm algorithm
swarm
optimization Artificial neural
networks
Nature inspired
Symbiotic computing
organism
search
Artificial bee
algorithm
colony
Cuckoo
algorithm
search
algorithm
Artificial intelligence
Figure 8.4 Nature-inspired computing techniques in artificial intelligence. Source:
Recep Çakmak (co-author).
(2010c). The BAT algorithm is a metaheuristic algorithm, and it is able to find

global optimum points by idealizing the echolocation behavior of the bats. BAT
algorithm has been used in various studies in the literature such as transport
network design problems (Srivastava and Sahana 2019) and controlling of coal
gasifiers for optimal response (Kotteeswaran and Sivakumar 2013). Furthermore,
BAT algorithm has been utilized in DSM studies recently (Sheng and Gu 2019;
Viknesh and Manikandan 2018; Farooqi et al. 2018; Latif et al. 2018).
While xi indicates a solution candidate for the problem which will be solved by
the BAT algorithm and vi indicates velocity, new solutions, and new velocities are
calculated by the following equations for the tth iteration (Yang 2010b).
fi = fmin + (fmax − fmin )𝛽 (8.1)

( )
vti = vt−1
i + xit − x∗ fi (8.2)
xit = xit−1 + vti (8.3)
where 𝛽 is a random number generator in [0–1] range. x* is the current best

solution and it is stored for comparison among all the n bats. A new solution for
each bat is created by random walk after selection of current best solution among
the local bests as follows:
xnew = xold + 𝛼 At (8.4)
where 𝛼 is a random number 𝛼 ∈ [−1 1], while At is the average loudness of all
the bats for the tth iteration. Additional information and enhanced versions of
the original BAT algorithm and their utilization examples could be procured from
Yang and He (2013). The BAT algorithm could be represented by the following
pseudocode.
Define objective function f(x), x=(x 1 ,…x d )T
Initialize the bat population x i (i=1,2,…,n) and v i
Initialize frequencies f i , pulse rates r i and the loudness Ai
while (t<maximum iteration number)
Generate new solutions by adjusting frequency
Update velocities and locations
if(rand>r i )
Select a solution among the best solutions
Generate a local solution around the selected best solution
end if
Generate a new solution by flying randomly
if((rand<Ai ) & f(x i ) <f(x*))
Accept the new solutions
Increase r i and reduce Ai
end if
Rank the bats and find the current best x*
end while
In application of BAT algorithm to schedule the residential shiftable smart appli-

ances, the searched best solutions are the optimal starting time of these appliances.
While n is the population of the BAT, which is searching for the optimal solutions,
d is the dimension of the problem. In the scheduling of residential shiftable smart
appliance problem, d represents the number of consumers’ scheduled appliances.
8.4.2 Firefly Algorithm (FFA)

Most of fireflies create short flashes in rhythmic form and their flashes are unique
to each species. These light flashes are generated via a chemical bioluminescence
process, and used for communication, hunting, and warning their enemies. The
Firefly algorithm (FFA) was inspired by behaviors of firefly insects and the algo-
rithm was developed and formulated as follows by Xin-She Yang (2009, 2010a,
2010b).
A light intensity I(r) which is a function of r distance from the light source I s
can be calculated by following equation:
Is
I(r) = (8.5)
r2
The light is absorbed in the environment according to absorption coefficient
𝛾(𝛾 ∈ [o, ∞)), and this can be formulated as follows in Gaussian form:
2
B(r) = B0 e−𝛾r (8.6)
where B(r) = B0 is the attractiveness of a firefly at r distance and B0 will be zero at
zero distance (r = 0).
The distance between ith and jth fireflies can be notated as r ij and it calculated
based on Euclidean form as follows:
√
rij = ||Xi − Xj || = (xi − xj )2 − (yi − yj )2 (8.7)
The action of ith firefly to another one (jth firefly) which is the brighter firefly
can be formulated as follows (Yang 2014a):
2
( )
xit+1 = xit + B0 e−𝛾rij xit − xjt + 𝛼 ∈ ti (8.8)
where t is the iteration number, the second term simulates the attraction, and as
mentioned above, B0 will be zero at zero distance (r = 0). The third term of Eq. (8.8)
is due to randomization and this randomization can be provided by a Gaussian
distribution function or Levy flight randomization functions (Yang 2009, 2010a).
The FFA algorithm could be represented by following pseudocode (Yang 2010a):
Objective function f(x), x=(x 1 ,x 2 ,…,x d )T
Generate an initial population of n fireflies x i (i=1,2,…,n)
Light intensity Ii at x i is determined by f(x i )
Define light absorption coefficient γ
while (t<maximum iteration number)
for i=1:n
for j=1:n
if(Ii <Ij )
Move firefly i towards j
end if
Vary attractiveness with distance r via Equation (8.6)
Calculate new solutions and update light intensity
end for j
end for i
Rank the fireflies and find the current global best x*
end while
FFA algorithm is utilized for DSM in the literature by Ishaq et al. (2017)
and Debbarma et al. (2020). In application of FFA algorithm to schedule the
residential shiftable smart appliances, the searched best solutions are the optimal
starting time of these appliances. While n is the population of the fireflies, which
are searching for the optimal solutions, d is the dimension of the problem. In
the scheduling of residential shiftable smart appliance problem, d represents the
number of consumers’ scheduled appliances.
8.4.3 Cuckoo Search Algorithm

Some species of Cuckoo birds have aggressive reproduction strategy which is fasci-
nating. These cuckoo birds lay their eggs in communal nests and these eggs hatch
before the eggs of the host nests. After hatching the baby cuckoos remove the eggs
from the host nest. So, these Cuckoo species reproduce as brood parasitism. How-
ever, if a host bird notices the cuckoo’s eggs, they either throw off these alien eggs
or abandon the nest to make a new one. Brood parasitism behavior of cuckoo birds
was imitated in computation form and Cuckoo Search (CS) algorithm was intro-
duced by Xin She Yang and Suash Deb (2009). After discovering the CS algorithm
it was upgraded by adopting Lévy Flight (Pavlyukevich 2007) which is an efficient
random walk procedure. Key mathematical equations which are utilized in the CS
algorithm are presented as follows (Yang 2014b).
The algorithm utilizes a balanced combination between local and global search-
ing by means of random walk-through controlling of the pa parameter which is a
fraction of worse nests that are abandoned and then new ones are built. The local
searching is implemented by following equation:
( )
xit+1 = xit + 𝛼s ⊗ H(pa − ∈) ⊗ xjt − xkt (8.9)
where xjt and xkt are two different solutions which are selected randomly. H indi-
cates the Heaviside function which generates a random number ∈ from a uniform
distribution and s is the step size. After implementation of the local search, Levy
flights are utilized in the global search portion of the algorithm. In global ran-
dom walk by Lévy flights, the new position of a solution member is calculated as
follows:
xit+1 = xit + 𝛼L(s, 𝜆) (8.10)
where 𝜆 is the Lévy exponent and it is found that 𝜆 = 1.5 and 𝛼 = 0.01 provide
sufficient results for most of the problems (Yang 2014b). The basic steps of the
Cuckoo Search algorithm can be summarized by following pseudocode (Long et al.
2014).
Generate an initial population of n host nests x i (i=1,2,…,n)
while (t<maximum iteration number) or (stop criteria)
choose a cuckoo randomly
Generate a solution by means of Levy flight function as follows:
xit+1 = xit + 𝛼L (s, 𝜆)
Calculate objective function to evaluate the solution quality
Choose a nest among n (say, j) randomly
if(f i <f j )
Replace j by the new solution i
end
A fraction (pa ) of worse nests are abandoned
Build new nests it means new) solutions by follows equation
( ) (
xit+1 = xit + 𝛼s ⊗ H pa − ∈ ⊗ xjt − xkt
Keep best solution
Rank the solutions and find the current best
Update iteration (t= t+1)
end while
Cuckoo Search algorithm has been utilized in the literature by Khalid et al.
(2017), Aslam et al. (2017), and Cakmak and Altas (2016) for load schedul-
ing/shifting in DSM and home energy management application in demand
response. In application of Cuckoo Search algorithm to schedule the residential
shiftable smart appliances, the searched best solutions are the optimal starting
time of these appliances. While n is the population of the fireflies, which are
searching the optimal solutions, d is the dimension of the problem. In the
scheduling of residential shiftable smart appliance problem, d represents the
number of consumers’ scheduled appliances.
8.4.4 SOS Algorithm

Symbiotic Organisms Search (SOS) algorithm is a nature-inspired philoso-
phy which mimics the interactive behavior among organisms in nature. This
algorithm represents three symbiotic relationships which are mutualism, com-
mensalism, and parasitism. These relationships are formularized as mutualism
phase, commensalism phase, and parasitism phase. The algorithm strives to get
optimum solution through performing these phases under a population number,
iteration number, and other constraints. The computation phases are described
below (Cheng and Prayogo 2014).
In the mutualism phase, it is mimicked that the organisms engage in a mutu-
alistic relationship with the goal of increasing mutual survival advantage in
the ecosystem. New candidate solutions for X i and X j are calculated based on
following equations:
Xi new = Xi + rand (0,1) ∗ (Xbest − Mutual Vector∗ BF1 ) (8.11)
Xj new = Xj + rand (0,1) ∗ (Xbest − Mutual Vector∗ BF2 ) (8.12)

Xi + Xj
Mutual Vector = (8.13)
2
The commensalism phase computation is described such that organism X i is
updated only if its new fitness is better than its pre-interaction fitness:
Xi new = Xi + rand (−1,1) ∗ (Xbest − Xj ) (8.14)
In the parasitism phase, a parasite vector is created in the search space by

duplicating organism X i , then it is modified by randomly selected dimensions.
In order to provide a host to parasite vector X j is selected randomly from the
ecosystem. The aim of the parasite vector is to replace X j in the ecosystem. The
fitness function is measured for the host-vector and parasite vector, then it is
evaluated. If the parasite vector has a better fitness value, it will kill organism X j
and gets its position in the ecosystem or vice versa.
SOS algorithm can be presented by following pseudocode (Verma et al. 2017):

Generate an initial population of n host nests x i (i=1,2,…,n)
while (t<maximum iteration number) or (stop criteria)
for i = 1: n
Find the best organism X best in the ecosystem
Perform the Mutualism Phase
Randomly select one organism X j such that X j ≠ X i
Implement Equation (8.11) and (8.12)
If objective function value of the modified organisms
better than previous then update the ecosystem.
Perform the Commensalism Phase
Implement Equation (8.14)
better than previous then update the ecosystem
Perform the Parasitism Phase
Generate a parasite vector from X i
better than previous then update the ecosystem
end for
The golobal best solution is the optimal solution
end while
SOS algorithm has been applied in the literature for DSM and demand response
programs-based load scheduling applications by Mukherjee (2018), Çakmak and
Altaş (2017), Nasir et al. (2021), and Chatterjee et al. (2020). In application of
the SOS algorithm to schedule the residential shiftable smart appliances, the
searched best solutions are the optimal starting time of these appliances. While n
is the population of the fireflies, which are searching for the optimal solutions, d
is the dimension of the problem. In the scheduling of residential shiftable smart
appliance problem, d represents the number of consumers’ scheduled appliances.
8.5 Scheduling of Time-Shiftable Appliances by Smart

Metaheuristic Algorithms
The time-shiftable appliances can be scheduled in two ways. One of them is the
scheduling and operation of them through the SEC. Another way is scheduling
them optimally thanks to the distributed DSM units. Whatever the approach is,
the algorithm needs two things for optimal scheduling. In the SEC-based schedul-
ing approach and distributed DSM the constraints are determined and submitted
to the SEC by consumer. These constraints are maximum and minimum starting
times of the shiftable appliances. The SECs optimally schedule the time-shiftable
appliances based on energy price signal and the constraints of the consumer.
8.5 Scheduling of Time-Shiftable Appliances by Smart Metaheuristic Algorithms 233
Similarly, in the distributed DSM approach, maximum and minimum starting

times of the shiftable appliances are sent to the DSO. The DSO aggregates all
consumer’s requests which include maximum and minimum starting times of
the shiftable appliances, and schedules all requests as to grid objectives which
can be peak-to-average ratio (PAR), minimum loss, etc.
In recent days, peak load reduction or reducing the PAR is important for the
power systems by DSM reduce to need highly polluting peaker power plants and
to decrease losses. However, more important point is to provide match between
renewable generation and demand at peak generation times that occurred by
distributed renewable-based power plants. Thus, scheduling of time-shiftable
appliances which provide demand flexibility is critical to the emerging smart
grids. Especially in high PV penetration neighborhood areas, the distributed
DSM can be more useful to provide matching generation and consumption in the
area. It should be noted that in the distributed DSM approach the requests of the
consumers are aggregated in specific time periods such as every five minutes for
instance. Figures 8.5 and 8.6 illustrate both scheduling mechanisms.
The scheduling of smart shiftable appliances can be performed in day-ahead
request aggregation or daily dynamic request aggregation. In the day-ahead
request aggregation, the consumers send their flexible requests of time-shiftable
appliances to the DSO. Then the DSO schedules optimally as to grid objective
and the consumers’ requests which are the constraints of the optimization. In
day-ahead scheduling, there is a wide scheduling horizon compared to the daily
scheduling mechanism. Figure 8.7 shows the mechanism of both daily and
day-ahead scheduling.
Price signal which is sent by distribution system operator

(DSO) or utility company
Smart energy Smart energy

Controller-1 controller-n
Request and
information
Request and
information
Smart
Information
Smart
Information
and control
and control
appliances appliances
Figure 8.5 Smart appliance scheduling via centralized pricing and SEC. Source: Recep
Çakmak (co-author).
Incentive or price signal which is sent by distribution

System operator (DSO) or utility company
Control and Control and

information gateway-1 information gateway-n
Request and
information
Request and
information
Information
Smart Smart
Information
and control
and control
appliances appliances
Figure 8.6 Smart appliance scheduling via distributed demand-side management.

Source: Recep Çakmak (co-author).
Start
Aggregate the
requests
t1,i: lower bound of ith time shiftable appliance

tu,i: upper bound of ith time shiftable appliance
Estimated
consumption Optimally schedule according to the objective of grid
for the operator and constraints (lower and upper bounds of
scheduling time shiftable loads)
time horizon
No
Has the optimization algorithm reached the

maximum iteration or minimum objective
function?
No
Yes
Has the request collection
Yes
timeframe expired?
Activate the appliances at the
optimum times which are
calculated by the metaheuristic
optimization algorithm
Figure 8.7 Request aggregating and scheduling mechanism. Source: Recep Çakmak
(co-author).
8.5 Scheduling of Time-Shiftable Appliances by Smart Metaheuristic Algorithms 235
In this chapter, it is assumed that there are 150 consumers in a neighborhood

area and there is a DSO to schedule time-shiftable appliances. The consumers’
time-shiftable appliances are washing machines, dishwashers, and tumble dryers
of which the consumption profile is presented in Figure 8.3. It is also assumed that
these three appliances are rated all at the same power in each home. It is postu-
lated that the DSO applies a price signal to this neighborhood, and the consumers
submit the flexible time range for their time-shiftable appliances. The flexible time
range is adopted from Çakmak and Altaş (2017). It is assumed that in each sim-
ulation the consumers manipulated day ahead price/incentive signal, then they
determine flexible time ranges for their time-shiftable appliances, and each day
every consumer uses each time-shiftable appliance once. Both before and after
demand response conditions are simulated in this study and obtained results are
presented.
The objective function for optimization is utilized in this study as multiplying
the average power of the time-shiftable appliances and day ahead time of use price
signal. The aim of the smart metaheuristic optimization algorithms is to minimize
the objective function. So, both consumers’ electricity bills can be reduced, and
consumption curve can be manipulated as to DSO objectives which are as far
as possible to decrease peak demand and to flatten demand curve. The rates of
price signal for day times are created as follows: 0.4US$/kWh for 06:00–09:00,
0.3US$/kWh for 09:00–12:00, 0.2US$/kWh for 12:00–15:00, 0.4US$/kWh for
15:00–18:00, 0.6US$/kWh for 18:00–21:00, 0.4US$/kWh for 21:00–24:00 and
0.2US$/kWh for 00:00–06:00.
The parameters of utilized algorithms and results are given in Table 8.1. In each
algorithm, it is aimed to find optimum starting time for the time-shiftable appli-
ances. So, the solution space is searched by the algorithms. According to parame-
ters of the algorithms which are given in Table 8.1, the obtained minimum fitness
values are ranked by BAT, Firefly, Cuckoo Search, and SOS. The minimum fitness
function is obtained by SOS algorithm. So, it can be said that SOS algorithm is the
best algorithm in terms of computation efficiency for this use case. Also, it should
be noted that SOS algorithm required minimum parameter which changes the
algorithm’s performance. One of the disadvantages of metaheuristic algorithms is
that they need at least one parameter which affects their performance and should
be determined attentively (Yalçin et al. 2020). Thus, SOS algorithm is the best algo-
rithm for time-shiftable load scheduling problem tested in this example in terms of
minimum parameter requirements and getting minimum fitness function value.
The scheduled and unscheduled cases comparison is presented in Figure 8.8
showing the SOS algorithm results, and it’s obvious that the scheduling of
time-shiftable appliances decreased peak load and increased the PAR.
Table 8.1 The parameters of utilized algorithms and obtained results.
Obtained minimum
Algorithm Parameters fitness function value
BAT Population size: 20 243,790

A = 0.2
r = 0.2
Iteration: 2,000
Firefly Population of fireflies: 243,249
𝛼: 0.5
𝛾: 1
Iterations: 2,000
Cuckoo search Number of nests: 20 242,260
pa = 0.25
Iterations: 2,000
SOS Number of organisms: 20 214,660
Iterations: 2,000
Source: Recep Çakmak (co-author).
Scheduled
Unscheduled
450
350
consumption (kW)
Aggregated power
250
150
50
07 10 13 16 19 22 01 04 07
Time (h)
Figure 8.8 Aggregated consumption curves when smart appliances are scheduled and
unscheduled. Source: Recep Çakmak (co-author).
The scheduled and unscheduled cases comparison is presented in Figure 8.8.

These results were obtained by the SOS algorithm. It is obvious that the schedul-
ing of time-shiftable appliances decreases peak load and the PAR. Peak load
reduction has been obtained by 36.3%. Moreover, due to the peak load reduction
and demand curve flattening thanks to the scheduling the power losses in the
distribution lines have been decreased by 45.2%. So, energy losses along the day
would procure that the energy provider lost less energy on the lines after the
peak was reduced. These results accentuate the importance of scheduling of
time-shiftable energy smart appliances through demand response programs.
Scheduling of smart appliances by metaheuristic approaches would provide not
only peak load reduction but also decrease energy losses of the distribution com-
pany. Thus, energy-smart appliances and their scheduling have great importance
for emerging smart grids in future. Also, optimal scheduling of these appliances
can be performed by smart metaheuristic algorithms. Different metaheuristic
algorithms which are not use in this study can be applied and compared to each
other for future studies.

A the average loudness of all the Bats in BAT algorithm
d dimension of the problem which represents the number of consumers’
scheduled appliances
n population size (solution search set) in the nature-inspired algorithms
I a function of r distance from the light source in Firefly algorithm
r represents a distance from the light source in Firefly algorithm
pa a fraction of worse nests that are abandoned in Cuckoo Search algorithm
s step size in Cuckoo Search algorithm
H heaviside function which generates a random number in Cuckoo Search
algorithm
𝛼 step scale coefficient in a random number generator
𝜆 Lévy exponent in Cuckoo Search algorithm
𝛾 light absorption coefficient in Firefly algorithm
xi solution candidate which represents optimal starting time of the
scheduled appliance
CS Cuckoo search
DR demand response
DoE The United States Department of Energy
EE energy efficiency
EDP extreme day pricing
ETSI The European Telecommunications Standards Institute
FFA Firefly algorithm
P power
PAR peak-to-average ratio
SR spinning reserve
SAREF smart applications reference
SEC smart energy controller
SOS symbiotic organisms search
TOU time-of-use pricing
Glossary
Metaheuristic Advanced heuristic algorithms which can search for optimal
points without knowing the problem.
Optimization A solution procedure which aims to find the optimal solutions to
the objective function under constraints.
Ontology An explicit specification of a conceptualization.
Smart Energy Controller A controller which manages energy smart
appliances according to consumer requests, price/incentive signals from the
electricity utility, past, current, and future energy usage thanks to artificial
intelligence techniques.
Distribution System Operator An entity responsible for distributing and
managing energy from the generation to the end users.
Control and Information Gateway A device which controls household
appliances, measures the consumption, and provides bi-directional
communication between consumer and electric utility.
Time-shiftable appliance A household appliance whose operating time can be
shiftable.
Demand Response Changing of electricity consumption profile of consumers
through price or incentive.
Demand-Side Management Modification of consumer demand level and
profile through various strategies such as price, financial incentives, and
education.
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243
Distributed Operation of an Electric Vehicle Fleet in a

Residential Area
Alicia Triviño, Inmaculada Casaucao, and José A. Aguado ∗
Escuela de Ingenierías Industriales, University of Málaga, 29071, Málaga, Spain
9.1 Introduction
The interest for renewable energy sources is gaining popularity. Three main
reasons explain this fact. First, they offer nondependency with fuel-based energy
sources, which is a relevant limitation for geopolitical reasons. Second, society
is more conscious about the risks that pollution causes on the health and the
consequences it has on the climate change. Third, in some cases, these sources
can be accessed locally with affordable facilities so their installations offer an
attractive solution to reduce the electricity bills.
Power grids are facing new challenges due to the inclusion of more renewable
energy sources. Moreover, they also have to deal with an increment on the
consumption, which is expected to concentrate in urban sites as 65% of the pop-
ulation is foreseen to live in cities by 2050. One of the consumers of this energy
will be electric vehicles (EVs). Government and public institutions are fostering
the use of EV as a sustainable mode of transportation. The estimated fleet of EVs
is forecast as 145 million for 2030 (International Energy Agency, 2017).
Thus, serving all the EVs will increase the electricity demand. According to
Gryparis et al. (2020), and following a linear regression model, electricity demand
will increase by 15.98% in the European Union countries by 2050, assuming
an increase in electricity production of 90 million MWh during the period
2030–2050. The problem is even more serious if we consider that most people
follow a similar behavior as they charge their EVs at home once they are back
from work, and this happens at a narrow interval for most people. If not correctly
managed, providing energy to these elements will require a large investment on
* Corresponding Author: Alicia Triviño; [email protected]

244 9 Distributed Operation of an Electric Vehicle Fleet in a Residential Area
electrical infrastructure to cope with the energy demand. In addition, phenomena

such as line overloading in both primary and secondary distribution systems,
transformers overloading, line losses, voltage drops, voltage unbalances, and
power quality worsening will take place more frequently (Faddel et al., 2018).
However, EVs are a flexible load so their charging can be scheduled when it is
more convenient for the power grid, given the consumers’ need is met. In this
way, they can also constitute as an important asset for the electrical grids to cope
with the uncertainty and intermittency of renewable energy sources.
It will be essential to abandon the Plug and Charge strategy (i.e., the EV is
charged as soon as the vehicle is plugged into the wall) and to equip EVs with
smart and autonomous charging systems to decide when to perform this task.
The use of EVs as controllable loads could report significant advantages to the
grid such as balancing balance the load by shaving peak, filling valley according
to the grid demand, perform frequency or voltage regulation and even reduce the
total harmonic distortion.
The design for these scheduling algorithms should be particularly tailored for
home scenarios, as most vehicles will be charged at households (Dudek, 2021).
On-site renewable energy sources and limited electric installations are some key
features that must be taken into account. Other parameters such as the users pref-
erences, their behavior, or the electricity prices are also of interest.
In the near future, the use of EVs will not be restricted to mere controllable
loads but they will also participate in the grid as energy providers. Since EVs are
averagely parked for almost 22 hours a day, their batteries can be a valuable asset
for delivering energy when required. V2X (vehicle-to-everything) stands out for
this new paradigm. Four of the main cases are represented in Figure 9.1. The most
V2V V2H
Vehicle-to-vehicle Vehicle-to-home
Vehicle-to-grid Vehicle-to-load
V2G V2L
Figure 9.1 V2X interactions.

widespread case is Vehicle to Grid (V2G), where the electrical energy stored
in the car’s batteries is fed into the grid. In vehicle-to-vehicle (V2V) structure
(Sousa et al., 2018), there is an exchange of power between EVs, so that if one
of the vehicles does not have access to a charging station, it can extract energy
from another nearby vehicle. On the other hand, vehicle-to-home (V2H) is a
structure that enables the transmission of power from the EV battery to the
home for consumption. Finally, the vehicle-to-load (V2L) mode of operation
should be mentioned. In this case, energy stored in EV batteries can be used
to power domestic devices and appliances directly, without using the electrical
distribution of the house. It should be noted that all four operating modes work in
bi-directional mode, where the power flow can be transmitted in both directions.
EVs are said to be prosumers (producers or consumers). With this dual role, we
can differentiate four types of charging, as illustrated in Figure 9.2. When Plug-in
and Charging mode is taking place, the EV starts charging at the moment it is
plugged-in. In Delayed Charging mode, in contrast to the first one, the EV starts
charging a specific time after being plugged-in. Both modes perform charging at
constant power and without interruptions. If the charging power is variable over
time, being adjusted by a control algorithm according to external requirements and
conditions, such as the price of electricity, the charging mode used is Smart Charg-
ing. Similarly, if in addition to the aforementioned, the EV can transfer its energy
stored in the battery in such a way that it serves to alleviate the demand for power
from the grid by energy-demanding devices, in this case, it refers to V2X charging.
In this chapter, we review the main techniques to control the charge and
discharging of EVs. The algorithms to decide about when to do these tasks are
called the dispatching strategies. We proceed with two approaches. First, as
individual entities, we will study how the EVs can be managed to get electrical
benefits at home. Second, we will explain how aggregators can control a set of
EVs in different homes to increase the potential ways to participate in services of
the electrical market.
Plug-in and Charging Smart Charging
Delayed Charging V2X
Figure 9.2 Charging modes.

The rest of the chapter is structured as follows. In Section 9.2, we review the
types of charging stations. The focus in this section is on to those that can be
installed at homes. In Section 9.3, services that the EVs can provide to the grid
and to the home energy management are described. This study is performed for
charging and discharging operations. Section 9.4 includes a review about the main
strategies proposed for the control of a fleet of EVs, especially those applied for
a domestic scenario. Section 9.5 explains two distributed dispatching algorithms
for the charging and discharging operations of a set of EVs in a residential area.
Finally, Section 9.6 presents the main conclusion of this chapter.
9.2 EV Charging Stations
According to Society of Automotive Engineers (SAE) Standard J1772v (SAE

International, 2012), three different EV charging levels are defined:
● Level 1. It allows charging via a 120 V AC (alternating current) plug, which is

equivalent to a typical household plug. Therefore, installing any special electri-
cal equipment beforehand is not necessary for charging the vehicle.
● Level 2. A 240 V and 40 A AC plug is used to charge devices.
● Level 3. In this level, a DC (direct current) technology called CHAdeMO is used
to implement the charging process. 480 V is the output voltage.
International Electrotechnical Commission (IEC) provides a different classifi-

cation of EV battery charging techniques in its standard 61851 (IEC 61851-1:2017,
2017). The Commission names four modes in particular:
● Mode 1. The charge in this mode is performed at a maximum voltage of 250 V

and a maximum current of 16 A, limiting the power to 3.7 kW. This connection
can be supported by a typical household socket. It should not be used for pro-
longed periods of time due to overheating.
● Mode 2. In a similar way to mode 1, mode 2 is supported by a conventional plug,
but with the inclusion of a protection system. The purpose of this protection is
to verify the charging and discharging power, as well as to provide a commu-
nication scheme. The maximum current value allowed in this mode is 32 A. In
mode 2, the connection to the grid is made via a Schuko type connector, while
in the vehicle is usually a Mennekes connector.
● Mode 3. Compared to the previous modes, mode 3 requires a specific installation
connected to the grid. This installation is called a Wallbox, which incorporates
protection and control functionalities, as well as communication between the
EV and the charging station. This technique is suitable for installation in smart
grids.
9.2 EV Charging Stations 247
● Mode 4. Similarly to mode 3, mode 4 systems incorporate control and protection

mechanisms, however, they include a Wallbox that converts AC into DC, which
will be the method in which the vehicle is charged. These types of chargers are
recommended for fast charging, with a maximum current of 400 A and a power
limit of 240 kW. Due to the main characteristics of these chargers, they become
a very expensive solution.
If the EV to be charged at home is conventional in terms of battery characteristics
and charging power, mode 2 can be used. However, although it does not require
a special installation, the charging speed would be slow and the charging power
is limited to approximately 3.7 kW. However, in a domestic context, mode 3 is the
most commonly used method for charging EVs. With the implementation of this
mode, the EV is connected to the AC grid by means of equipment exclusively ded-
icated to charging the EV. Moreover, in this type of installation, the homeowner
will know in advance the vehicle model that will be charged in the installation, so
the charging point will supply the appropriate cable, adapted to the vehicle.
Another aspect to consider when describing a charger is identifying where
the energy comes from. According to this criterion, we can define three types of
chargers:
● Grid-connected, which only receives energy from the main power system.
● Off-grid, which is connected to a self-powered home so that the energy
is extracted from renewable energy resources captured by the domestic
installation. Energy storage systems are required in the installation.
● Hybrid. The home is connected to the grid but it also gets energy from renewable
energy sources. A control system will decide from where the energy should be
extracted according to criteria such as energy cost, environmental impact, or
user’s preferences.
In the commercial sector, there are numerous solutions available. For
grid-connected type, the Wallbox brand can be highlighted, as they offer chargers
with a charging capacity from 7 kW up to 22 kW, such as the Wallbox Pulsar
Plus model. In the same way, and with the same power range, Circutor or Orbis
manufacturers offer a different alternative with their model Circutor eNEXT and
orbis Viaris Uni, respectively. Circutor develops one of its sectors on domestic
charging solution, as well as EVBOX with its model EVBOX Elvi and Simon with
Simon plug and drive.
Wireless charging is gaining attention recently as an EV domestic charger
(Triviño-Cabrera et al., 2020). It is a mature technology now that avoid risks
associated with the physical connections plugged versions have higher voltages
and current present in the cables. For the execution of the dispatching strategies,
wireless charging allows the participation of EVs without any manual interven-
tion. Using this method, it is expected that the availability of EVs to perform some
services increase due to the possibility of offering automated scheduling without

the need of ensuring that the EV is plugged in. Wireless charging will provide
more efficient energy management at homes.
The most mature implementation of wireless chargers for EVs relies on
magnetic-resonant technology including commercial devices for domestic sta-
tions as WiTricity, Qualcomm Halo, or Plugless Power. It has to be noted that
wireless chargers must adapt their electronics and control to provide V2X services
(Triviño et al., 2021).
9.3 EV Services
As previously explained, EVs will be an active asset, which may provide services
to the grid or to improve the energy management at home. Next, we will review
how the EVs can contribute to these two sectors.
9.3.1 Ancillary Services

EVs are identified as valuable assets for the provision of several grid services.
Among them, the following stand out:
● Frequency regulation (Peng et al., 2017), by the injection or consumption of
active power to/from the grid.
● Voltage support. The conventional way to alleviate local voltage issues in distri-
bution networks is by means of forcing the injection or consumption of reactive
power. There are research available demonstrating that charging stations can be
modified to provide reactive power.
● Reducing current harmonics. The battery chargers are operated as variable
impedance, which works as an appropriate filtering for the reduction of
harmonics.
9.3.2 Domestic Services

Providing power grids with advanced algorithms and control is an established
trend which also will be present at home. Individual homes or buildings are
expected to count on smart home energy management systems, which will
execute effective load management (not only for traditional domestic appliances
but also for EVs and Energy storage systems) while accommodating renewable
energy sources (Hou et al., 2019).
One of the main applications for which V2H is becoming widespread is the use of
the EV as battery storage inside the home (Tuttle et al., 2013). Typically, this appli-
cation is found in smart homes, where renewable power generation is available,
such as solar panels, wind turbines, etc. All the energy produced by the renewable
source can be used directly for consumption or, in case of power overproduction,
it can be stored in batteries. In a home with an integrated V2H system, this energy
excess can be stored in the battery of the EV. In this system, in the event of low
energy availability from the renewable source due to external agents, such as unfa-
vorable weather conditions, or a demand that exceeds the power produced by the
smart home’s generation system, the power can be extracted from the EV’s own
battery and be fed back into the house for consumption. Moreover, energy can be
stored during the hours when the price of electricity is cheaper, so that the energy
stored in the vehicle’s battery can be used during the hours when the price of elec-
tricity is high.
By using the battery of the EV as a power source, the energy stored can be used
to power different devices or specific applications within the home. For example,
control algorithms can be designed where all the energy from the EV is used to
power the heating and cooling system of the home. Similarly, the energy stored
in the EV can be used for household electrical applications when electricity prices
are high. These applications can be for lighting, as well as for supplying appliances
such as dishwashers, microwaves, or televisions. It must be taken into account
that in order for the EV battery to supply the power demanded by the devices or
applications, a control algorithm must be designed and implemented to regulate
the operation of the system.
On the other hand, and as can be deduced from the above information, the
fact that the battery of the EV can be used as a power source, allows one of its
applications within the V2H to be a backup system, as long as a minimum charge
according to the user’s minimum transportation needs. Therefore, in the event of
a general or local power outage or power failure, the EV can serve as a source of
electricity (Kosinka et al., 2020).
9.4 Dispatching Strategies for EVs

Smart home energy management system (HEMS) is an essential component of
the future homes to make a more efficient use of energy. Basically, it analyzes
the domestic assets and the energy demands to decide how and when the power
is going to be consumed or delivered. Figure 9.3 illustrates the interaction of the
HEMS with other components at home.
The decisions of the HEMS could attend to several goals, but the most popular
ones are reducing the electricity bills, accommodating renewable energy sources
or having a self-sufficient house.
However, the use of renewable energy, introduces variability into the system
due to their fluctuating nature, as they are dependent on external factors, such
HEMS
Figure 9.3 Home Energy Management System (HEMS).
as weather conditions, making them unpredictable sources. Thus, there is one

parameter in energy systems that play an important role: energy flexibility.
According to the International Energy Association, Power system flexibility is the
ability of a power system to reliably and cost-effectively manage the variability
and uncertainty of demand and supply across all relevant timescales (IEA, 2018).
In the household, there are devices that can promote energy flexibility, such as
washing machines or dishwashers, as their activation can be shifted to different
times, depending on the system’s requirements.
In general, HEMS systems are governed by algorithms that perform the actions
automatically. These algorithms can be of different types, as well as focused
on different priority objectives, such as cost minimization, renewable energy
utilization, adjustments in the degradation model of storage systems, etc.
There are proposals where different algorithms are designed for a HEMS.
Forootani et al. (2022) proposed an advanced satisfaction-based HEMS using
deep reinforcement learning (DRL). The main objective of that approach is
to reduce the electricity cost and user dissatisfaction, by determining ahead
of time the 24-hour energy consumption of each home appliance. A different
approach is described in Song et al. (2022), where it is proposed a multi-objective
optimization model focused on satisfying users’ need, by developing an algorithm
that considers running costs, satisfaction index and peak-valley balance index.
The work in Tantawy et al. (2022) develops a HEMS, including photovoltaic
sources and battery storage units (BSU) and controlling the electrical loads with
four different algorithms: genetic algorithm (GA), particle swarm optimization
(PSO), whale optimization algorithm (GA), and sine cosine algorithm (SCA).
9.4.1 Classification of EV Dispatching Strategies

The way in which the EV exchanges power with the grid is normally performed by
an element that transmits the setpoint to the EVs connected to the system. The set-
point consists of the power that the EV has to consume or produce. This element
can be directly a grid operator (Figure 9.4a), as suggested in Datta et al. (2018)
or an aggregator (Figure 9.4b), which acts as an intermediary between the power
grid and EVs, as proposed in Mohiti et al. (2019). In general, the tendency is to opt
Control & management

command
EV and its battery state
information
Grid
Operator
(a)
Charging/discharging
control signal
...
Aggregator
...
GRID
EV battery
information and
departure time
(b)
Figure 9.4 Grid-controlled and aggregator methods. (a) Grid-controlled system.

(b) System with aggregator.
for the second option. Thus, an aggregator can manage charging and discharg-
ing in three different ways: centralized, decentralized, and hierarchical control
structures (Aghajan-Eshkevari et al., 2022).
Under the centralized setting, the aggregator, after aggregating the information
and charging requirements of each one of the EVs in the feeder under manage-
ment, determines the charging and discharging parameters of each of them at
each instant of time, taking into account the grid operation point and following
an objective function. That is, the aggregator aims for the best global operation
from a centralized position. In this case, the EV owner does not have control of
the vehicle’s charge. One of the disadvantages of this system is the possible failure
of the system in the event of an optimization problem without a global solution,
so it would be advisable to install a backup system. Likewise, it is worth noting
that centralized approaches do not have a high scalability, since the difficulty of
solving the problem increases with the number of vehicles in the system.
In a decentralized setting, it is vehicle owners who decide whether the vehicle
will be charged or not, mainly on the basis of electricity price criteria. In other
words, each charging station resolves its own charging and discharging opti-
mization problem, and individual information is shared among others to achieve
overall system balance. The aggregator or system operator can contribute with
price strategies, as well as proposing shifting loads from peak to off-peak hours in
order to reduce costs.
Finally, the hierarchical control structure combines features of centralized
method and decentralized method. In this case, control is divided into two levels.
On the first level, there is a central controller that has control over the aggregators,
while on the second level there are aggregators that control a group of EVs. The
problem with this method is that a failure in the central controller would affect
the entire system. For this reason, there are other variants of this structure in
which the central controller is eliminated, and the aggregators communicate with
each other without the need for all the information to end up at a centralized
controller. In this way, if one of the aggregators fails, only the group of EVs
controlled by that aggregator would be affected, and not the rest.
9.5 Proposed Distributed EV Dispatching Strategy

In this section, we propose two generic decentralized EV dispatching algorithms
for a residential area. In this area, it is expected that a disperse number of EVs
will be present, each one in different homes. In every residence, the HEMS will be
responsible for controlling the energy flow inside the home, that is, it will control
when to make use of the grid connection or when benefit from the energy extracted
from its own renewable sources.
To increase the benefits the controlled charging of EVs will bring, they can be
grouped into an aggregator. With the proposed algorithms, it is aimed to show how
the aggregators work for two main scenarios: (i) a set of EVs to be charged but
there are electrical restrictions and (ii) a set of EVs coordinated to provide energy
to the grid.
In the first scenario, the aggregator will consider the power restriction of the
area in which the EVs under control are. Specifically, it is assumed that all the
electrical installations in the houses are connected to the distribution network by
means of a single central transformer. The maximum power that the transformer
can provide is Ptrans . Running several estimations of the domestic loads, we can
conclude that only a percentage of this maximum power can be assigned to the
EVs. This percentage is time-dependent. Thus, we define Ptot as the maximum
power that the transformer can support for the charging of the EVs. Figure 9.5
illustrates the scenario we consider.
It is necessary to define at which power each EV will be charged. This type of
operation requires the modeling of the EV’s owners satisfaction i when charging
at a power level pi with the following term u:
Pimax
ui = ln(pi + 1) (9.1)
SoCi
where Pimax represents the power of the home charger and SoCi is the State of
Charge of the EV i. With this Equation, we want to model that chargers with higher
power are expected to be used with greater power flows too. In addition, if the SoC
Load
Estimation
Electrical connection
Maximum
Aggregator power Data connection
Ptrans
Ptot Ptot Ptot Ptot
P1max P2max P3max PNmax

SoC1 SoC3
...
SoC2 SoCN
λi λi λi
Figure 9.5 Basic scenario tested for the distributed management of EV charging.
is low, the EV has a higher demand for charging sooner. It is also assumed there
are N vehicles.
The objective function of the general problem is:
∑
N
max ui (9.2)
i=1
subject to
∑
N
pi < Ptot (9.3)
i=1
With this objective function, the assignation of the charging power is based on
maximizing the satisfaction of all EV’s users. We can define the Lagrangian func-
tion of the previous problem as:
(N )
∑
 = u i + 𝜆i pi − P tot
(9.4)
i=1
The optimality condition for the Lagrangian is

Pimax
pi = ( ) + 𝜆i = 0 (9.5)
SoCi pi + 1
Thus, the values for 𝜆 are:
( )
SoCi pi + 1
𝜆i = − (9.6)
Pimax
The proposal fits in the group of distributed dispatching. With an iterative
algorithm, it is possible to converge to a valid solution. In this case, the solution
is considered as valid when an equilibrium is reached. For such formulation, the
equilibrium conditions require that all Lagrange multipliers are the same, that is,
𝜆 1 = 𝜆2 = · · · = 𝜆 N (9.7)
The proposed algorithm has the following phases:
● Phase 1: Initialization.
It starts by assigning the maximum power supported by each domestic charger
to its corresponding EV, that is:
pi = Pimax ∀i ∈ {1, N} (9.8)
Then, every 𝜆i must be updated according to Equation 9.6.
● Phase 2: Checking the power limits
With the power assignation, it is verified if the maximum power of the trans-
former has been exceeded, by calculating 𝛿p :
∑
N
𝛿p = pi − Ptot (9.9)
i=1
If 𝛿p is positive, it means that the power has been exceeded and a new power
assignation must be performed. If 𝛿p is negative, it means that the power has
not been exceeded. The ideal situation would be:
𝜖p < 𝛿p < 0 (9.10)
● Phase 3: Lambda update

As the equilibrium point is reached when all 𝜆i are the same, their values are
updated according to the difference between these values. In particular,
∑
N
( )
Dif fi = 𝜆j − 𝜆 i (9.11)
j=1
For this operation, the EVs need to exchange their 𝜆i . It is important to note
that this data contains private information such as the SoC or the features of the
domestic charger. In this way, the algorithm can work in a distributed way while
preserving private information.
The update of 𝜆 considers two main conditions. First, it will use the deviations
of the previous values for this variable for all the EVs in the same group, as
the target is to reach equilibrium. Second, it will also use the potential mar-
gin to modify the powers assigned considering the power limits imposed by the
transformer.
Dif fi
𝜆i = 𝜆i + − 0.09 ∗ 𝛿p (9.12)
N
Once each EV has computed its 𝜆i , they can determine the consequent pi with
Equation 9.6, so that:
Pimax
pi = − −1 (9.13)
SoCi ∗ 𝜆i
● Phase 4: Verifying the equilibrium conditions
If Dif fi < 𝜖𝜆 , then the power assignation has been performed successfully and
the algorithm ends. If not, the EVs will return to Phase 2.
The algorithm was tested with an aggregator controlling 5 EVs in a residential

area. Each domestic charger has a different maximum charger power and their
EVs are with a different SoC. The transformer has a maximum 10 kW assigned to
the charge of the EVs. The data of the results are summarized in Table 9.1 and also
include the final power at which the EVs will be charged and their 𝜆i .
As can be observed, all the EVs get the same value for 𝜆i . This is the equilib-
rium condition to decide when to finish the iterative algorithm. The number of
iterations to reach this point is 10, as represented in Figure 9.6.
The algorithm can also be adapted for V2G operations. In this new formulation,
the aggregator decides to provide Pobj to the grid, and it will be extracted from the
Table 9.1 Data for the distributed algorithm for the

charging management of domestic EVs.
EV1 EV2 EV3 EV4 EV5
Pimax [kW] 3.7 3.7 11 7 3.7

SoCi 0.5 0.8 0.9 0.4 0.6
𝜆i 3.19 3.19 3.19 3.19 3.19
pi [kW] 1.3 0.44 2.82 4.47 0.93
5
EV1
4.8 EV2
EV3
4.6 EV4
EV5
4.4
4.2
λi
4
3.8
3.6
3.4
3.2
0 2 4 6 8 10 12 14 16 18
Number of iterations
Figure 9.6 𝜆i values for every iteration for the distributed charging algorithm.
set of EVs it is managing. The aggregator informs the EVs about this goal and the
EVs will decide the power that each one delivers in a distributed way. Figure 9.7
illustrates the problem to be solved.
Each user must determine their interest to participate in the V2G transaction.
This interest is modeled by variable ui :
Pimax
ui = ln(pi + 1) (9.14)
penaltyi
where penaltyi represents the domestic costs for an EV to participate in the
V2G service. If the EV is part of the V2G service, it cannot provide domes-
tic services, which may be of interest as well. This parameter is a number
between 0 and 1.
Load
Estimation
Electrical connection
Aggregator Data connection
Pobj Pobj Pobj Pobj
P1max P2max P3max PNmax

Cost1 Cost2 Cost3 CostN
λi λi λi
Figure 9.7 Scenario with home PV and storage tested for the distributed management
of V2G operation.
The goal of the algorithm is to maximize the benefits for all the EV users. It
is possible to formulate a similar problem to the one expressed in Equation 9.2,
where the restriction is:
∑
N
pi < Pobj (9.15)
i=1
In a similar way to the previous formulation, we could proceed with the defini-
tion of the Lagrangian function and an analogous resolution. Reaching the equi-
librium point means that the iterative algorithm has achieved a valid solution. The
equilibrium is also associated with equivalent values for the Lagrangian multipli-
ers. The algorithm for the distributed V2G is defined with the following phases:
● Phase 1: Informing about the V2G service

The aggregator decides that the fleet is going to contribute to the V2G services
with a discharge of Pobj W. It sends this command to all the EVs it is managing.
● Phase 2: Initialization phase
Each EV computes their own penalty function (penaltyi ) to participate in this
operation for the next interval. This computation may be based on the prediction
of the home consumption, the current charge of the home electrical storage, the
estimation of the future use of the EV as a domestic service or the irradiation that
the PV (Photovoltaic) panels are receiving, among other factors. It is important
to note that the penalty function is a dynamic value.
The Lagrangian multiplier associated with this penalty function is:

( )
penaltyi pi + 1
𝜆i = − (9.16)
Pimax
● Phase 3: Lambda update

The EV transmits its Lagrangian multiplier to the other EVs in the fleet. Based
on the received data, it can assume. Then, Dif fi , as in Equation 9.11 is calculated.
If the difference is low, the algorithm ends and the power assignation is assumed
to be the final one. If not, the 𝜆 values are updated as in Equation 9.12 where 𝛿p
reflects how far the current power assignation is from the power demanded by
the objective function, that is:
∑
N
𝛿p = pi − Pobj (9.17)
i=1
After the update of the 𝜆 values, each EV changes its assigned power as:
Pimax
pi = − −1 (9.18)
penaltyi ∗ 𝜆i
This second algorithm has been tested for the configuration summarized in
Table 9.2 to offer a total power of 10 kW.
As can be observed, the algorithm is correctly executed. The total power
provided by the EVs is 9.99 kW, which is close to the objective power set by the
aggregator. In Figure 9.8, we can see how the 𝜆i values have been updated for
every iteration, reaching to a common constant of 4.69. Only 6 simulations are
necessary to reach the equilibrium point, which makes this algorithm appropriate
for the scenario considered.
Table 9.2 Data for the distributed algorithm for the discharging
management of domestic EVs.
EV1 EV2 EV3 EV4 EV5
Pimax [kW] 3.7 3.7 11 7 3.7

penaltyi 0.4 0.3 0.5 0.4 0.4
𝜆i 4.69 4.69 4.69 4.69 4.69
pi [kW] 0.97 1.63 3.69 2.73 0.97
9.6 Conclusions 259
5.8
EV1
5.6 EV2
EV3
5.4 EV4
EV5
5.2
5
4.8
λi
4.6
4.4
4.2
4
3.8
0 2 4 6 8 10 12 14 16 18 20
Number of iterations
Figure 9.8 𝜆i values for every iteration for the distributed discharging algorithm.
9.6 Conclusions
This chapter has presented a review of existing charging stations types that can
be installed at homes. Services to the distribution grid and home energy services
provided by EV were also presented.
It was proposed two (single and V2G) decentralized optimal charging strategies
for an EV aggregator in the context of residential applications. The goal of both
strategies is to obtain the maximum optimal energy management of the EVs
controlled by an aggregator. Each EV defines its interest to participate in the
charging and discharging processes. For the charging, the SoC and the electrical
features of the domestic chargers are considered to optimize schedule for each
EV while satisfying maximum power limits. Alternatively, the V2G operation
establishes the convenience for contributing to the objective power based on
the expected home demands, the capacity for extracting renewable energy or by
the SoC. On this aspect, it was formulated the control problem as an optimiza-
tion problem consisting of a convex objective function subject to linear local
constraints.
A novel algorithm was proposed to address a decentralized solution which
solves the problem iteratively by sending control signals (Lagrange multipliers)
to each subproblem and receive their decision variables to update the control
signals. The decentralized algorithm allows all EV chargers to update their
charging/discharging actions in parallel with no extra communications among
involved chargers.
The simulation results confirm that the both proposed strategies are computa-
tionally efficient and convergence to the global optimum.
Acknowledgments
This work was supported in part by the Spanish Ministerio de Ciencia e Innovacion
(MICINN) project PID2019-110531-RA-I00 from the “Proyectos de I+D+i - RTI
Tipo A” program. This work was also partially supported by Junta de Andalucia
(Spain) Project Ref: P20 01164.
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263
10
Electric Vehicles as Smart Appliances for Residential

Energy Management
Indradip Mitra 1 , Zakir Rather 2 , Angshu Nath 2 , and Sahana Lokesh 1
1
Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ), New Delhi, India
2 Indian Institute of Technology Bombay, Powai, Mumbai, Maharashtra, India
10.1 Introduction
In order to address the climatic issues, transition of transportation sector from

conventional fuel-based vehicles to electric vehicles (EVs) is being experienced
across the world, with ambitious targets of EV penetration set by different
countries/regions. One of the critical emergence due to transition to EVs is the
shifting of vehicle refueling from commercial spaces to the user residence. It
has been observed that EV users prefer to charge their vehicles at home due to
convenience and low cost of charging, provided they have adequate parking and
charging infrastructure. The US Department of Energy claims that 80% of EV
charging is done at home (Blonsky et al. 2021).
As distribution feeders are generally sized based on the residential loads, so
inclusion of EV charging which can effectively double the power requirement of
each household, would also lead to significant stress on the distribution system
(Cazzola et al. 2018). Therefore, for secure and stable EV integration, determining
the hosting capacity of the distribution feeders should consider all the critical con-
straints, such as thermal limit of the distribution lines, transformers, etc., voltage
profile and power quality issues, distribution losses, and protection aspects. Cur-
rently, from the distribution operator’s perspective, EVs are largely an unknown
type of load, with potential variations both spatially and temporally. The differ-
ent types of technical impacts of EV integration on the distribution network are
summarized in Figure 10.1.
While EV charging load introduces different challenges in residential energy
management and power demand, grid operation, and management, the con-
trollable nature of EV loads also provides opportunity to help mitigate such

264 10 Electric Vehicles as Smart Appliances for Residential Energy Management
Impacts
Increase Increase in Increased Deteriorating Reduced

Voltage
in peak congestion power power quality reliability
issues
load losses
Voltage
Voltage Phase Voltage Harmonics
flicker
stability imbalance sag
Impact on sizing Impact on
of neutral electrical
conductor machines
Figure 10.1 Impact of high EV charging load on the distribution network. Source: Rather
et al. (2021a)/NITI Aayog/CC BY-SA 2.5 IN.
Primary
application Charge EV batteries to commute
• Vehicle-to-grid (V2G)
• Vehicle-to-building (V2B)
V2X • Vehicle-to-home (V2H)
• Vehicle-to-load (V2L)
• Vehicle-to-vehicle (V2V)
EV chargers
• Congestion management
• Local voltage support
DSO/private user
• Behind-the-meter optimization
Secondary • Help in load levelling
application
• Frequency regulation
• Inertial support
Ancillary
• Primary/secondary frequency reserve
services
• Voltage control services
• Black-start service
• Increase utilization of RE sources

RE integration • Act as residential storage to increase
utilization of rooftop PV for residential users
• Enhanced RE integration
Figure 10.2 Applications of EV charger. Source: Rather et al. (2021a)/NITI Aayog/CC

BY-SA 2.5 IN.
challenges. The charging power of EVs can be controlled or their time of charging
can be altered, either by molding the user’s behavior or using smart charging
technologies.
The potential applications that can be provided by EV charging infrastructure
are summarized in Figure 10.2. In this chapter, the different applications and
usability of EVs as smart residential loads would be explored.
10.2 EV Charging Standards and Charging Protocols
EV charging standards are regulated by different regulatory bodies around the

world. Institute of Electrical and Electronics Engineers (IEEEs), International
Organisation for Standards (ISO), International Electrotechnical Commission
(IEC), and Society of Automotive Engineers (SAEs) are leading regulatory bodies
that provide standards for every entity in the EV ecosystem. These standards
cover the complete spectrum of design and construction of EV charging stations,
safety considerations, communications as well as testing. A brief description of
the standards is provided in Section 2.1.
10.2.1 EV Charging Standards

10.2.1.1 IEC 61851
IEC 61851 covers conductive alternating current (AC) and direct current (C) charg-
ing for on-board and off-board charging up to 1000 V AC and 1500 V DC (IEC
2017). It covers mechanical, electrical, communication, and performance require-
ments of electric vehicle supply equipment1 (EVSE) including different charac-
teristics and operating modes, connection specifications between EV and EVSE
and safety requirements (Rather et al. 2021a). This standard classifies EVSE into
four different charging modes as described in Figure 10.3. Besides difference in
allowable voltage and current levels, the modes of charging are predominantly cat-
egorized based on the protection, controllability, and type of connection between
the EV and EVSE.
● In mode 1, the EV is directly connected to a standard electrical outlet without

any supplementary pilot wire or auxiliary contacts, or any form of overcurrent
or thermal protection.
● In mode 2, the EV is connected to a standard electrical outlet through an In Cable
Control Box (ICCB) which enables some level of controllability of EV charging.
● In mode 3, charging the EV is charged through an EVSE which is permanently
connected to the AC supply network. It has extended controllability and protec-
tion functionalities.
● In mode 4, charging is similar to mode 3 in that here too the EV is charged
through an EVSE permanently connected to the grid, however here the EVSE
converts the AC input from the mains to DC and feeds the DC output to the EV.
1 The EVSE is a physical interface that enables the EV to be connected to the electrical mains.
Depending on the level of sophistication of the EVSE, there are different protection and control
equipments embedded within an EVSE, that enables a controlled charging of the EV.
AC
AC AC
MODE 1
AC
AC AC
ICC
B
MODE 2
EVSE
AC
AC AC
MODE 3
EVSE
AC DC
DC
MODE 4
Figure 10.3 Modes of charging as defined by IEC 61851. Source: Angshu Nath based on
details from IEC 61851 (IEC 2017).
10.2.1.2 SAE J1772

This standard also provides the specification of AC and DC chargers, but while the
IEC 61851 is more prevalent in Europe, the SAE J1772 has been widely adopted
across the United States and Japan (Rather et al. 2021a). The standard covers the
details on control pilot pin,2 its working, and the signal flow for controlling the
2 The control pilot is used for communication between the EVSE and the EV.
Table 10.1 Charging levels as defined in SAEJ1772.
SAE Standard
Parameter Level 1 Level 2 Level 3
Voltage (V) 120 240 200–600

Current (A) 16 80 400
Power (kW) 1.92 19.2 240
Source: Rather et al. (2021a)/NITI Aayog/CC BY-SA 2.5 IN.
EV charging. This standard also provides information on charging levels based on

current and voltage levels as given in Table 10.1.
10.2.1.3 GB/T 20234

The Guobaio (GB/T) standard, issued by the Standardization Administration of
China, contains guidelines for plug, socket, and connector for EV conductive
charging (Rather et al. 2021a). Followed mostly in China, this standard also
provides testing methods and specifications for conductive charging up to 690 V
AC, 250 A, and 1000 V DC, 400 A (ChineseStandard.net 2016).
Some other relevant standards related to EV charging are provided in Table 10.2.
10.2.2 Charging Protocols for EV Charging

10.2.2.1 Type 1 AC Charger
Developed using the SAE J1772 and the IEC 62196 standard, type 1 charger is used
for AC charging of EVs, predominantly in USA and Japan.
Table 10.2 Other relevant standards on EV charging.
Standard Details
SAE J1773 Specifies the requirements for inductive charging

IEC 61980 Defines the practices for wireless transfer of power from the
charging plates to the EV for supply rating up to 1000 V for AC and
1500 V for DC
IEC 60364 Applicable for safety and protection of EV and EV charging
IEEE 1547 It provides requirements and information about the operation,
safety, and testing of interconnected Distributed Energy Resources
(DER) with the electrical grid up to 10 MVAR at the point of
common coupling

10.2.2.2 Type 2 AC Charger

Also referred to as Mennekes, type 2 AC charger is also used for AC charging of
EVs, mostly within Europe. It is the official charging plug within the European
Union since 2013. It has since been adopted as the recommended connector in
some countries outside of Europe, including New Zealand.
10.2.2.3 CHArge de MOve (CHAdeMO) Protocol

CHArge de MOve (CHAdeMO) provides DC charging for EVs that ensures seam-
less communication between charging point and vehicle. It is currently the only
charging protocol that allows for bi-directional charging capability.
10.2.2.4 Combined Charging System (CCS)

Combined charging system (CCS) protocol is used for DC charging of EVs. Based
on interoperability with either type 1 charger or type 2 charger, the CCS charger
is either classified as a CCS1 or a CCS2 charger. CCS1 is a combination of type
1/SAE J1772 and DC ports, whereas CCS2 is a combination of type 2/Mennekes
and DC port. These two CCS connectors follow SAE J1772, IEC 62196 protocols
for charging purposes. These connectors are country-specific, which means that
North America, Central America, Taiwan, and Korea use the CCS1 connector
whereas CCS2 is used in Europe, South America, Arabia, Australia, and some
other countries.
10.2.2.5 Tesla Charging Protocol

Unlike other vehicle original equipment manufacturers (OEMs), Tesla has devel-
oped its own proprietary charging protocol for charging their vehicles. It is not
openly available for adaptation by other OEMs. Tesla has also developed a Super-
charger, that allows for fast charging of its vehicles.
10.3 Communication Protocols Used in EV Ecosystem

Besides standards on EV charging, utilization of EVs for smart charging needs
a well-developed communication infrastructure. Different communication proto-
cols in the EV ecosystem have been described below.
10.3.1 Open Charge Point Protocol

Open Charge Point Protocol (OCPP) is a vendor independent open-source protocol
between the EVSE and the Charge Point Operator (CPO)/Charging Management
System (CMS). It provides a common language for communication between the
EVSE and the CMS/CPO. Any charger that is OCPP compliant can be configured
10.3 Communication Protocols Used in EV Ecosystem 269
so as to run any OCPP-compliant software. It exchanges “transaction event” con-

taining the start of a transaction, the stop of a transaction, meters values, and status
notification. OCPP 2.0 supports ISO 15118 with added features of plug and charge
and smart charging (Rather et al. 2021a).
10.3.2 Open Automated Demand Response (OpenADR)

Open automated demand response (OpenADR) enables smart charging features
to the EVs. It enables an open and interoperable solution for demand response
by communicating different price signals, resource capacity availability, demands
from the distribution network operator, load demands from the client, etc. (Ope-
nADR Alliance n.d.). This communication link connects the distribution system
operator (DSO) with the energy management system and generally works on Zig-
bee and Home Area Network (HAN) (Rather et al. 2021a).
10.3.3 Open Smart Charging Protocol (OSCP)

Open smart charging protocol (OSCP) communicates predicted capacity of the
network to supply the system whereas clients indicate their charge requirements
to the central system. The communication link is established between the CPO,
eMobility service provider (eMSP), and the DSO. OSCP is used for smart charging
by communicating capacity, managing the grid, and handling the capacity budget
(Rather et al. 2021a).
10.3.4 IEEE 2030.5

This is an Internet Protocol (IP) based adoption of Smart Energy Application
Profile 2.0/SEP2 which provides a smart grid solution via internet-connected
devices (Rather et al. 2021a). This standard is originated at Zigbee smart Energy
Protocol V1 and became the IEEE standard in 2013. It provides load control,
meter data exchange, exchanging tariff information, energy flow reservation, and
management of distributed energy resources (DERs) functionalities.
10.3.5 ISO/IEC 15118

One of the critical communication standards used today in the EV ecosystem,
this standard provides high-level communication between EV and EVSE as com-
pared to IEC 61851. It defines the requirements for smart charging, metering, and
billing for wireless charging. It is provided by the collaborative work of ISO and
IEC for providing general requirements and uses cases for conductive and wire-
less high-level communication between EV and supply equipment (Neaimeh and
Table 10.3 Smart charging and communication protocols and the supporting roles.
Charge
Smart charging protocols point – CMS EVSE – EV
Protocol OSCP Open ADR IEEE 2030.5 OCPP ISO/IEC 15118
Version 1.0 1.1 2 1.6 —

Smart charging ✓ ✓ ✓ ✓ ✓
Roaming — — — ✓ —
Reservation of charge point — — — ✓ ✓
Registration handling — ✓ ✓ — —
Controls charge point — — — ✓ —
Grid management ✓ ✓ ✓ ✓ —
EV charging — — — — ✓
Billing and transactions — — — ✓ —
Authorization of charging — — — ✓ ✓
Andersen 2020). Additional roles of ISO/IEC 15118 series are, to provide network
and application protocol requirements, physical and data link layer requirements
for high-level communication between EVSE (Rather et al. 2021a).
The open-source protocols for EV smart environment have four major function-
alities
● smart charging,
● roaming,
● communication between the central system and charge point, and
● communication between EV and charge point.
For achieving the above-mentioned major functionalities of the EV smart envi-
ronment, different protocols are implemented to address the same functionality.
Various protocols for achieving the same functionality have some typical over-
lapping roles. The number of protocols for specific functions with their roles is
mentioned in Table 10.3.
10.4 Residential EV Charging Infrastructure

Compared to other loads in the residence, an EV charging load may be several
magnitudes higher. Individual loads in a modern residence are typically rated less
than 5 kW. Even cumulative residential loads are typically in the range of 1–7 kW
depending on the size of the residence (Chuan and Ukil 2015). Comparatively, a
single four-wheeler EV charger can draw 3–22 kW, varying from model to model.
So, integration of EV charging into the building network is critical and needs
proper planning. Most distribution networks around the world have employed a
very hands-on attitude for integration of EV chargers into the network mandating
strict regulations and permissions.
10.4.1 Prerequisites to Installation of EV Charge Point

Prior to installation of a charge point in the residence, the user in consultation
with a competent authority should check for the following,
● Permission for supply: Although not an issue for homeowners with
single-family dwelling residences, for people residing in multi-unit dwellings,
prior to installation of a charge point should get the necessary permissions
from the relevant property managers. Besides permission from the property
managers, the EV users would also need to get the approvals for installation of
EV chargers from their local energy provider.
● Adequacy of supply: Depending on the capacity of the existing supply and
the connected loads to the property, the competent authority should determine
whether there is sufficient margin for addition of an EV charge point, with or
without a CMS. If the supply is inadequate, the potential solutions include,
⚬ Installing a lower-capacity charger
⚬ Implementing load management strategies, either controlled automatically
or through manual control
⚬ Upgrading the capacity of the power connection to the property
● Existing earthing arrangements: Another critical information that needs to
be checked is the existing earthing circuit in the residence. This information
would feed into determining the earthing arrangement needed for the charging
unit.
10.4.2 EV Charger Connection Requirements and Recommendations

As EV loads are typically of much higher capacity compared to traditional residen-
tial loads, integration of EV charging to the residential circuit is typically much
more complicated than simply plug-and-play. Interconnection of EV charging
infrastructure is regulated by the respective distribution network operators, and
most of them have specific protocols and procedures.
10.4.2.1 United Kingdom

In the United Kingdom, to install an EV charger at home, the EV user needs
to consult one of the charge point installers3 who makes an assessment of
3 A list of approved charge point installers is maintained by the UK Office for Zero Emission
Vehicles, https://assets.publishing.service.gov.uk/government/uploads/system/uploads/
attachment_data/file/1089450/residential-installer-authorisations-log.csv/preview.
the property to determine whether it has the available power capacity to

accommodate an EV charging load (Rather et al. 2021b). The installer will
also check the premises and if there is a power source close to vehicle parking
space. This information is then sent to the grid operator who cross-checks if the
distribution network can accommodate the increase in demand.
In case of vehicle-to-grid (V2G) connection, the following protocols are needed
in the United Kingdom (MacLeon and Cox 2018).
● From the point of view of the electricity network, an EV exporting power is

a generator connected in parallel to the network. For the generator to be con-
nected it has to meet a set of technical requirements.
● In the UK, all distribution network operators are required to comply with the
GB Distribution Code, which is maintained by the Distribution Code Review
Panel and approved by Ofgem. Engineering Recommendation (EREC) G98 and
EREC G99 are applicable for all new installations.
● EREC G99 underlines the connection procedure for connecting micro-
generation to LV network, where the aggregated power is less than 50 or 17 kW
per phase.
● EREC G98/1 updates the connection requirements of fully type-tested
micro-generators (up to and including 16 A per phase) to the LV network. It
also covers the connection procedures of multiple micro-generators in a close
geographical location.
● EREC G99/1 covers the connection of generating units having an extended
range than micro-generators.
10.4.2.2 The Netherlands

Liander, which is one of the largest Distribution network operators in the Nether-
lands, has the following procedure for installation of private EV chargers for its
residents (Liander 2021),
● The customer has to first contact a specialized company to provide the charging
station.
● These companies will first analyze the current contracted load and capacity
of the residential distribution panel and determine if the existing electrical
connection needs to be upgraded.
● To upgrade the electrical connection, the customer has to pay Liander the nec-
essary upgrade fee.
● After the necessary upgradation to the electrical connection, the specialized
company will install the EV charger.
In case of bidirectional chargers, the requirements for connection are how-

ever more stringent. ElaadNL which is acknowledged innovation center for
smart charging initiated by the Dutch grid operators has laid out a set of
draft requirements for connection of EV chargers with bidirectional charging
capabilities.
● The CPO which has bidirectional chargers installed should report the location
of the vehicle-to-everything (V2X) chargers to the local DSO via the platform
Energieleveren (www.energieleveren.nl/). This site maintains a registry of all
distributed generations installed in the Dutch grid.
● The standards for connection to the distribution grid that needs to be followed
for bidirectional chargers are
⚬ NEN-EN 50549-1:2019: Requirements for generating plants to be connected
in parallel with distribution networks – Part 1: Connection to an LV distribu-
tion network – Generating plants up to and including type B
⚬ VDE-AR-N 4105: Power Generating Plants in the Low Voltage Grid
● The EVSE should have proper physical signs that it is capable of bidirectional
charging.
● The charging should be controllable via a central system.
● The V2X system must be equipped with means to automatically disconnect from
the grid during power outage (anti-islanding).
● DSO requirements
⚬ For production units below 800 W
◾ The power factor in the transfer point of a connection may be between 0.9
capacitive and 0.9 inductive
◾ Protection for undervoltage that responds within two seconds at 80% of
nominal voltage
◾ Protection of overvoltage that responds within two seconds at 110% of over-
voltage
◾ A protection for frequency variation that responds within two seconds at
frequencies outside of 48–51 Hz.
⚬ Others (>800 W)
◾ The production unit is able to stay connected to the grid and in operation
within the following bands
● In the frequency band of 47.5–48.5 Hz during 30 minutes
● In the frequency band of 48.5–49 Hz during 30 minutes
● In the frequency band of 49–51 Hz for unlimited duration
● In the frequency band of 51–51.5 Hz during 30 minutes
◾ The unit should be able to activate frequency response in which

● The frequency threshold value is adjustable between 50.2 and 50.5 Hz
● The droop is adjustable between 4% and 12%
● The default setting of droop is 5%

◾ The electricity production unit may reduce its active power at a frequency
of 49.5 Hz with a gradient of 10% of the maximum capacity at 50 Hz per
frequency drop of 1 Hz.
◾ The production unit should be able to resynchronize to the grid if
● The voltage is between 0.9 and 1.1 pu
● The frequency is between 49.9 and 50.1 Hz
● The minimum time the voltage and frequency are in between the values
mentioned is 60 seconds.
◾ A production unit with maximum capacity higher than 11 kW connected
to the LV grid should be at least equipped with
● A measuring device for the current
● A signaling function whether the electricity production unit is connected
in parallel to the grid.

◾ The protection should be
● A protection for undervoltage that responds within two seconds at 0.8 pu
voltage and within 0.2 seconds at 0.7 pu voltage

● A protection for overvoltage that responds within two seconds at 1.1 pu
voltage
● A maximum current/time protection
● A protection for frequency variation that responds within two seconds at
frequencies outside of 47.5–51.5 Hz.
Table 10.4 General requirements.
Requirements for the vehicle ISO 17409: safety requirements for connection
side charging interface to an external electric power supply
Requirements for charging IEC 61851-1: general requirements of electric
infrastructure and charging vehicle conductive charging system
interface IEC 62196-1: general requirements for
connectors for EV charging
IEC 60364-7-722: installation of low voltage
systems requirements for the power supply of
electric vehicles
Electromagnetic IEC 61851-21-1: electromagnetic compatibility
compatibility requirements for on-board charging devices
for electric vehicles in order to establish a
conductive connection to an AC or DC power
supply
IEC 61851-21-2: electromagnetic compatibility
requirements for off-board charging systems
for EV
Source: German National Platform for Electric Mobility (NPE) (2017).

Table 10.5 Standards for charging interface.
Wired charging IEC 61851-1, IEC 61851-23, IEC 62196-1, IEC 62196-2, IEC 62196-3,
ISO 17409: Combined Charging System (CCS) for AC and DC
charging
IEC 625752: mode 2 charging cable including IC-RCD safety device
Wireless charging IEC 61980: infrastructure requirements
IEC 61980-2: charge controller, positioning of vehicles
ISO 15118-1, ISO 15118-2, ISO 15118-8, IEC-61980-2:
communication for wireless charging
ISO 19363: safety requirements and charge controller requirements
for vehicle side charging interface
Communication ISO 15118: communication interface between vehicle and charging
infrastructure and also for wireless charging
ISO 15118-3: requirements for the physical layers and data link
layers for wired communication
ISO 15118-8: requirements for the physical and data link layers for
wireless communication
ISO 15118-2: requirements for grid and application protocols for V2G
Source: German National Platform for Electric Mobility (NPE) (2017).
10.4.2.3 Germany
In Germany, installation of private charging points has the following require-
ments,
● There is an obligation for all users to register their charging unit with their
network operator.
● Each connection point must have its own residual current device (RCD)
● EV chargers connected to the German low-voltage grid have to comply with
VDE-AR-N 4100 standard.
Germany has also released a roadmap of standards and specifications, which
includes standards for EV charging interface (both wired and wireless) and infor-
mation and communication technology (Rather et al. 2021b) (German National
Platform for Electric Mobility (NPE) 2017) (Tables 10.4 and 10.5).
10.5 Impacts of EV Charging
10.5.1 Impact on Electricity Distribution Network

The energy requirement of an EV which determines the charging behavior of the
user varies from user to user based on the average distance traveled. Moreover,
depending on the travel schedule, the time of charging requirement will vary.
Though EV users can potentially save on energy expenses if the EV charging is pri-
marily done during off-peak demand hours (time of use [ToU] tariffs), it may not
always be feasible for the user due to their travel requirements. So, the challenges
related to EV charging on the network stem from primarily two different reasons,
● The temporal variability of EV charging: As the EV load is a new type of
load for the grid operator, it is difficult to accurately forecast the charging load.
The difficulty is further amplified due to the different travel behavioral patterns
of EV users. Also, the charging load demand is different for residential chargers
and public charging stations. Therefore, depending on whether the distribution
network has a public charging station, the daily load curve would change.
● Charging characteristics of the EV: With the continuous development of
high energy density batteries, the charging power of the batteries has also
steadily been increasing. However, the actual charging power of the EV is
dependent on other factors too, such as AC/DC charging,4 the State of Charge
(SoC) level of the battery, the rated charging capacity of the EV on-board
charger (if AC charging), the rated charging capacity of the EVSE.
Due to the above-mentioned factors, the resulting impact on the distribution net-
work due to the addition of EV loads is presented here.
10.5.1.1 Voltage Issues

High penetration of EVs can potentially lower the voltages at the distribution net-
work, resulting in imbalance in the three phases of the network or even leading to
voltage instability. Some of the main voltage-related issues are listed here.
Voltage Sag Distribution networks, generally due to the high resistance to induc-
tance (R/X) ratios of the distribution lines, are more susceptible to voltage sags due
to high power drawn which may even breach the nominal voltage operating zones.
As EV charging entails a higher power demand compared to other residential
loads, high penetration of EV will significantly increase the power demand in low
voltage grids, which can potentially lead to undervoltage issues. In addition to this,
EV charging may coincide with other loads in the system, as EV users are likely to
charge their vehicles in the evening period when they return to their homes. This
coincidence between EV charging period with the peak demand period may fur-
ther aggravate the voltage sag issue. As given in Eq. (10.1), as the current flowing
4 Even though the vehicle may have DC charging capability, the charger that the EV is
connected to may be an AC charger. So, having an EV with DC charging capability does not
guarantee that charging would always be DC and vice-versa. Also, as AC and DC charging
would both have different charging power in the same EV, so by charging the EV in either mode
would add a different amount of load in the network.
through the feeder increases due to higher load demand, the receiving end voltage
Vr is lowered from the sending end voltage Vs due to voltage drop in the impedance
of the feeder:
Vr = Vs − IXl (10.1)
Voltage Stability Issues The relation between active power and voltage of a bus is
represented by the power-voltage curve as shown in Figure 10.4. It signifies the
voltage change with increasing active power. Based on the line resistance and
reactance, each bus has a critical voltage that corresponds to the maximum active
power that can be drawn from the bus, and any further increase in load at the
bus will lead to voltage collapse. The ratio of change in voltage due to change in
active power drawn from the bus is termed as Voltage Sensitivity Factor (VSF) (Deb
et al. 2018). A high VSF means that even for small changes in active power drawn,
there is a large drop in voltage at the bus and vice versa. Therefore, systems that
are operating at high VSF regions are more susceptible to reach instability. With
the addition of higher amount of loads into the system would move the normal
operating point of the feeder toward higher VSF, without any additional reactive
power support.
Phase Imbalance Unique to India, the 2 and 3 W EV sector has seen a massive
growth and is expected to dominate national sales. However, these 2 and 3 W are
generally charged using single-phase chargers. If these chargers are not uniformly
Stable region
V
Vcritical
Unstable region
Pmax
P
Figure 10.4 Typical power vs. voltage curve. Source: Deb et al. (2018)/MDPI/CC BY 4.0.
distributed among the phases of a distribution feeder, it may lead to unbalanced

phase voltages and current loading. Unbalanced operation of the network results
in higher losses in the network, voltage issues and is detrimental to overall system
health. For example, if power demand in one phase is higher than the other two
phases, there will be voltage drop in the phase with high demand, while potentially
leading to overvoltage in other two phases, due to shifting of the neutral point in
a three-phase four-wire distribution system (Weckx and Driesen 2015).
10.5.1.2 Increase in Peak Load

Uncontrolled and noncoordinated EV charging could increase the peak load on
the grid if the time of charging of the vehicles coincides with the existing peak
demand of the feeder. If a larger share of EV users start charging their EVs dur-
ing peak demand periods, it would lead to significant burden in the distribution
system, which could contribute to feeder congestion, potential overloading of the
transmission system, and distribution network assets like transformers, cables, etc.
This extra load would also lead to increase in generation and may also increase
the electricity price (Klettke et al. 2018). It could also stress the system with the
increased requirement of ramp limits.
10.5.1.3 Congestion
Since coincidence of EV charging with the network peak load, may further stress
the system, the increased EV load can result in overloading of different assets of
the distribution network, such as distribution transformers, cables, fuses, etc. Such
overloading can significantly reduce the lifespan of this equipment, while simul-
taneously reducing the efficiency of the energy transmission system.
10.5.1.4 Losses
Power losses in the distribution network generally refer to the I 2 R losses of the
overhead lines/underground cables. Therefore, total power loss in the system is
given by
∑ ∑
Pt = Pi = Ii2 Ri (10.2)
where Pi is the loss of each line, I i is the current flowing through each line, and Ri
is the resistance of each line. So, with added current flowing through the lines due
to the extra EV charging load, the loss in the system also increases making the sup-
ply of power less efficient. Besides, unbalanced loading can lead to uneven losses
among the three phases. The amount of losses in the system increases particularly
during peak periods.
Case Study: Impact of EV Charging on an Ideal Distribution Feeder The following case
study has been carried out to determine the impact of EV charging on an ideal
distribution feeder. As shown in Figure 10.5, the distribution feeder has a voltage
External grid EV Charging station DC battery
– + ~ + –
=
EV
10 kV – + Potential EV charging station
Terminal 1
Transformer
0.2 MVA 10/0.4 kV
0.4 kV EV consumes active power of 3.3 kW

Terminal 2
EV 26 EV 24 EV 22 EV 20 EV 18 EV 16 EV 14 EV 12 EV 10 EV 8 EV 6 EV 4 EV 2
– + – + – + – + – + – + – + – + – + – + – + – + – +
EV 27 EV 25 EV 23 EV 21 EV 19 EV 17 EV 15 EV 13 EV 11 EV 9 EV 7 EV 5 EV 3 EV 1
– + – + – + – + – + – + – + – + – + – + – + – + – + – +
L1 L3 L4 L6 L8 L 10 L 11 L 13 L 15 L 17 L 19 L 21 L 23 L 25 L 26
L2 L5 L7 L9 L 12 L 14 L 16 L 18 L 20 L 22 L 24 L 27
ND 1 ND 4 ND 7 ND 10 ND 13 ND 17
Figure 10.5 Distribution feeder. Source: Rather et al. (2021a)/NITI Aayog/CC BY-SA 2.5 IN.
12 Active power (kW) Reactive power (kVAr)
10
8
Power
0
L1
L2
L3
L4
L5
L6
L7
L8
L9
L 10
L 11
L 12
L 13
L 14
L 15
L 16
L 17
L 18
L 19
L 20
L 21
L 22
L 23
L 24
L 25
L 26
L 27
Loads
Figure 10.6 Static loads in the feeder. Source: Rather et al. (2021a)/NITI Aayog/CC
BY-SA 2.5 IN.
level of 0.4 kV and is connected to the external grid through a 0.2 MVA 10/0.4 kV
transformer. There are 27 different residences along the feeder with each residence
having an EV. The active and reactive power drawn by the connected loads of the
feeder have been given in Figure 10.6. All the EVs are considered to have a battery
of 24 kWh. The residential charging option has been assumed to be a three-phase
11 kW AC charger.
Using the above-mentioned assumptions, the impact on the feeder voltage, host-
ing capacity, and power losses have been analyzed under different EV charging
load levels.
To monitor the impact of EV penetration on the distribution feeder, the feeder
voltage has been measured at different nodes along the length of the feeder. The
location of these nodes has been shown in Figure 10.7, which shows the variation
of voltages at the different nodes of the feeder when the number of EVs charging
simultaneously have been increased from 0 to 27. When no EVs were charging
the voltage at the start of the feeder (ND 1) had the highest voltage level at around
1.008 pu and the voltage at the rear end of the feeder (ND 17) had the lowest voltage
level at 0.98 pu. The voltage along the entire feeder length went further down as
the number of EVs charging simultaneously was increased, with a higher drop in
voltage seen for ND 17 than for ND 1.
Next, the impact of voltage at ND 17 is monitored, for two different EV con-
nection orders under different penetration levels. In the first case, the EVs are
connected from the rear end of the feeder, i.e., the first EV is connected to the final
node in the feeder (ND 17), the second EV is connected to the penultimate node
(ND 16) and so on and the final EV is connected to the starting node of the feeder
(ND 1). In the second case, the EVs are connected from the start of the feeder, i.e.
1.050 ND 1 ND 4 ND 7 ND 10 ND 13 ND 17
1.025
1.000
Voltage (p.u.)
0.975
0.950
0.925
0.900
0 3 6 9 12 15 18 21 24 27
EV penetration (number of EVs)
Figure 10.7 Feeder voltage at different nodes under different EV penetration levels.
the first EV is connected to ND 1, the second EV is connected to ND 2, and so on

until the final EV is connected to the final node. For both cases, the voltage at ND
17 is monitored to check if there is any difference in feeder voltage if the order of
EV loading is altered.
As seen in Figure 10.8, if no EV is connected then the voltage at ND 17 is the
same for both cases. But as the number of EVs increases, the voltage is worse for
1.050 Case 1: End of feeder
Case 2: Start of feeder

1.025
1.000
Voltage (p.u.)
0.975
0.950
0.925
0.900
0 3 6 9 12 15 18 21 24 27
Figure 10.8 Voltages at ND 17 for different levels of EV penetration. Source: Rather

et al. (2021a)/NITI Aayog/CC BY-SA 2.5 IN.
20 Case1: End of Feeder Case2: Start of Feeder

18
Active power losses (kW)
16
14
12
10
8
6
4
2
0
0 3 6 9 12 15 18 21 24 27
Figure 10.9 Total active power losses for different penetration levels of EVs. Source:
Rather et al. (2021a)/NITI Aayog/CC BY-SA 2.5 IN.
case 1, where the EVs are connected from the end of the feeder than for case 2. This
is because, when the EVs are connected from the end of the feeder, the current
drawn flows through the entire length of the feeder, which increases the voltage
drop across the feeder. If the EVs are connected from the start of the feeder, then
no EV charging current flows through the feeder, due to which the voltage drop is
reduced.
The active power losses due to increasing EV penetration in the feeder have been
shown in Figure 10.9. Here, the active power loss is more for cases where the EV
loading is done for the tail end of the feeder which can be attributed to the increase
in the length of line, i.e. higher resistance, that the current has to flow through,
which increases the I 2 R losses.
10.6 Smart Charging for Home Charging
Also referred to as dumb charging, in uncontrolled charging, the EVs start charg-
ing as soon as the user plugs-in their EVs to the charger. However, in smart charg-
ing, EV charging is controlled, either by controlling the charging power or shifting
the time of charging. The scheduling of charging is done with consideration of resi-
dential load demand, energy cost, grid parameters/constraints as well as the needs
of the EV owner. Since smart charging involves controlling the charging based
on external parameters, it requires observability and communication between the
different entities. The different stakeholders/entities generally involved in smart

charging include,
● EV user
● Distribution system operator (DSO)
● Charging management system (CMS)
● Aggregator
Of the different stakeholders, the CMS schedules the charging based on the
objectives of the EV user’s transportation needs, DSO requirements, and cost
savings maximization for the EV user. A standardized communication infras-
tructure establishes the necessary communication requirements for reliable
information flow between the different involved entities and devices, while the
smart meter ensures that the financial aspect of employing smart charging is
properly accounted for.
The objective of smart charging varies according to stakeholders and their
requirements. Minimization of charging cost, maximization of user’s travel
requirements, and load leveling are the common objectives from EV owner’s
perspective. Overall system cost minimization, demand response, maximiza-
tion of renewable energy (RE) utilization, and providing grid support services
are the major objectives of the system operator. Smart charging is performed
using different strategies which are the combination of information flow and
decision-making ability between aggregator and EV owner.
The benefits of smart EV charging for a residence include, but are not limited to,
● Deferring of maximum contract demand for the household, thereby saving in
capacity upgradation cost.
● Minimization of EV charging cost
● Maximization of use of local energy generation resources
● Cost savings by participating in demand response and ancillary services for the
grid if used as Unidirectional controlled charging (V1G).
● Addition revenue opportunities by participating in demand response and ancil-
lary services for the grid if used as Bidirectional controlled (V2G) charging
10.6.1 Type of Smart Charging

Depending on the level of control over the charging power, smart charging can be
categorized into different types as given in Table 10.6 and Figure 10.10.
The utilization of ToU tariffs is a passive smart charging methodology. Here, the
EV charging is not directly controlled by the CMS/home energy management sys-
tem, instead, the EV users are incentivized to adapt their charging behavior, by
charging their vehicles during off-peak periods during which the price of electric-
ity is generally lower. In dynamic pricing, the price signals have higher temporal
Table 10.6 Different types of smart charging.
Control over
Description charging power Possible uses Maturity Examples
Basic control On/off ● Grid congestion Partial ● My Electric

management market Avenue
● Voltage Support deployment commercial pilot
● RE integration in the United
● Demand Kingdom
response
Unidirectional Increase and ● Grid congestion Partial ● Charging of EVs
controlled decrease in management, market controlled based
(V1G) real-time the ● RE integration, deployment on availability of
rate of charging ● Voltage Support, green energy by
based on ● Demand Jedlix,
external control Response, Netherlands
signals or ● Ancillary service ● Electric Nation
time-based smart charging
tariffs commercial trial
in the United
Kingdom
● AgileOctopus
dynamic
half-hourly tariff
in the United
Kingdom (beta
product)
Bidirectional Reaction to grid ● Grid congestion Partial ● Commercial pilot
V2G conditions or management, market in Denmark for
response to ● RE integration, deployment use of V2G
control signal ● Voltage support, services in
from the energy ● Demand providing
management response, frequency
system or ● Ancillary service regulation service
time-based ● Blue Bird Electric
tariffs Buses used V2G
technology to
earn revenue by
energy arbitrage
in Illinois, USA
● V2H
Bidirectional Integration of Partial ●
V2X bidirectional Behind-the-meter market functionality is

(V2H/V2B) charging and optimization deployment being provided
home/building ● Micro-grid by select EV
energy optimization models released
management (or soon to be
systems released) by Ford,
GMC, Porche
Smart charging strategies
Price
Topology Location Ownership Methodology Objective
mechanism
Centralized Home Private Public Deterministic Heuristic Game theory AI/ML Time of use Charging cost
minimization
Commercial Mixed integer Rolling horizon Non-

Decentralized Workplace Home heuristic Supervised Real time
public spaces programming cooperative
algorithm Demand
(malls, bus response
depots, etc.)
Commercial Convex Sequential Critical peak
Distributed Workplace Cooperative Unsupervised
buildings optimization quadratic pricing
programming Voltage
Commercial Highway Quadratic regulation
Hierarchical Bus depots corridors Peak rebate
building programming Genetic
algorithm
Dynamic Maximization of
Local Highways RE utilization
programming
Particle swarm
optimization
Ancillary
support services
Artificial
immune system
Power loss
reduction
Figure 10.10 Classification of smart charging strategies. Source: Adapted from Rather et al. (2022).
resolutions (15 minutes/30 minutes/1 hour, etc.) which enable finer control over
the selection of the optimal charging period.
In basic control, there is no fine control over the charging power of the EV,
instead depending on the loading of the distribution transformers/unwanted
grid operation parameters/total load of the household, the charging of the
vehicles can be either switched on/off. This control is automated by a centralized
CMS.
In unidirectional controlled (V1G) charging, the charging power is increased/
decreased depending on different grid conditions based on the communication
signal from the CMS. Bidirectional vehicle-to-grid (V2G) and grid-to-vehicle (G2V)
are similar to V1G, however here, apart from controlling the charging power con-
sumption, power can be even fed back to the grid. However, implementation of
V2G is restricted to only EV models and EV chargers that are capable of providing
bidirectional charging capability. Similar to V2G, vehicle-to-load/building/home
(V2X) can be utilized for behind-the-meter optimization as well as optimization
of small micro-grid.
10.6.2 Requirements for Smart Charging

To enable smart charging there are technical and regulatory requirements as well
as definition of the roles of the different players involved.
On the technical front, smart charging requires chargers with smart charging
capability that are able to regulate the charging power based on some signals from
the CMS, which needs a well-developed communication infrastructure (hardware
infrastructure as well as well-defined interoperable communication protocols).
There is also a need for smart meters for accurate billing of energy consumption.
From the regulatory perspective, there also needs to be adequate regulations
that help enable smart charging.5 These regulations include both technical
as well as commercial market regulations. The technical regulations need to
specify the minimum functionalities needed in the charging points prior to their
installation. The commercial regulations need to specify the specific electric
market products and services that can be provided by the EVs and their payment
structure. These products may include demand response services, ancillary
services, etc.
Further, there need to be fiscal incentives so that the users participating in smart
charging are properly remunerated (by minimization of charging costs in case of
unidirectional charging). The different requirements for smart charging are given
in Table 10.7.
5 The Government of UK published an electric vehicle smart charge points regulation on 3

February 2022, mandating that all private charge points sold in the UK sold after 30 June 2022,
would need to comply with smart charging functionality as mentioned in the regulation.
Table 10.7 Requirements to enable residential smart charging.
Technical Hardware Private smart charging points

requirements Smart meters
Smart grid infrastructure for grid observability
Software An energy management software that runs the
algorithm to implement smart charging by taking
real time inputs from the EVs, residential load,
tariff, and the grid condition (for more details
please refer to Chapter 6)
Information and Interoperable communication protocols for
communication communication across different entities. For
technology (ICT) example, OpenADR (Chapter 5)
Interoperable standards for communications
including hardware requirements
Regulatory Electricity market EVs through aggregators should be allowed to
requirements participate in the electricity market
Create fiscal incentives to incentivize smart
charging (lower charging cost for unidirectional
smart charging and revenue earning for
bidirectional smart charging)
Distribution system Time-based EV tariff needs to be promoted.
Stakeholders State institutions Create sponsored projects to kickstart smart
roles charging
Help in financing the projects
E-mobility market Incentivize customers to participate in smart
charging programs through different schemes
Make smart chargers easily accessible to EV users
10.6.3 Additional Smart Charging Enablers

Apart from the requirements mentioned in Section 6.2, there are some additional
enablers for smart charging as given below:
1. Consumer behavior: The success of Smart charging will be determined by the
interest of EV consumers to participate in smart charging solutions. This may
vary among EV users, as some users can be technology enthusiasts willing to
try and test new technologies, while a portion of the users may be skeptical of
participating in smart charging either due to range anxiety, cybersecurity con-
cerns, or for economic reasons. The active participation of users will be possible
if there are incentives for the users to participate in smart charging.
2. Big data and artificial intelligence: Smart charging is a data-intensive
service, where large amounts of data from the entire fleet of EVs and the
measurements from the distribution network need to be properly analyzed so

that the accurate state of the system may be painted in real-time. The service
also needs to consider the complexity of electricity markets and participate
in these markets based on the current state of the system. Big data analytics
will thus play a significant role in the proper management of smart charging
solutions. Along the same lines, artificial intelligence tools will become neces-
sary for complex decision-making considering a myriad of objective functions
and constraints. Digitalization will play a key role in the optimization between
transport services and grid services. Data analytics will enable matching the
mobility demand with the power supply and load patterns and further help
determine optimal charging point locations.
In the electrical network, the generation of electricity has to be equal to the

load demand for each instant. However, integration of stochastic generation
resources have introduced variability in the energy generation. Similarly, the
introduction of EV which are comparatively high power loads en masse will
create stochasticity in the loads. The stochasticity of generation and loads
necessitates the use of tools that can identify underlying trends and patterns
to help reduce such stochasticity. Artificial intelligence and machine learning
can significantly help in this regard, as these can help study the charging
behavior of users and help make better predictions on the expected load
pattern.
For example in the case study presented in Section 5.1, AI/ML can be used to
determine the charging pattern of the EVs by studying the user behavior, the
time of day, and other relevant parameters. The CMS can use the expected
charging profile of the different EVs in the network to create an optimized
charging schedule that minimizes the grid impact without severely affecting
the grid. If a CMS is deployed to manage the charging of the EVs in the par-
ticular feeder and the CMS is based on an AI-based algorithm, then over time,
the CMS would be able to predict the expected load at different nodes in
the feeder by learning about the consumers charging behavior, i.e. the load
profile at the different nodes (Node_ID). Also, the algorithm would identify
the impact of loading at different nodes on the voltage profile of the feeder.
Thus, the CMS can then negotiate with the EV charger to control the charging
such that the impact on the grid is minimized without drastically hampering
the user’s needs. If the same CMS is then used for another feeder with differ-
ent load and network characteristics, the AI-based CMS would automatically
adapt to the new feeder. This reduces the need for developing custom smart
charging algorithms for different feeders even if the network characteristics
have changed.
3. Blockchain technology: Blockchain is an open, distributed, digital ledger that

can record transactions between two parties. As more and more EVs are enter-
ing the market, the transactions between the different stakeholders have seen
a sharp rise, with increasing quantities of data being part of these transactions.
Using blockchain technology can facilitate smart charging and V2G by connect-
ing different parties and facilitating monetary transactions between aggregators
and customers through open-source standards, replacing the propriety stan-
dards of today (IRENA 2019).
10.7 Residential Smart Energy Management
EV charging is a power-intensive application and the addition of EV charging can

effectively double the power drawn by the household. For a residential user with
a fixed contracted demand, the maximum demand due to addition of EV charger
can breach this limit. In this scenario, the user is required to upgrade their connec-
tion, which would further increase the cost of installation of chargers. However,
if a smart energy controller (SEC) is utilized the user can potentially save on the
electrical connection upgradation requirement. This is just one example of how
a residential energy management system can benefit the user. Depending on the
application, smart charging in residences can be categorized into three broader
categories,
● Unidirectional Smart Charging (V1G)

● Vehicle to Home/Building (V2H/B)
● Vehicle to Grid (V2G).
10.7.1 Unidirectional Smart Charging

In unidirectional smart charging (V1G) the charging of the EV vehicle is controlled
based on some external parameters. Here energy only flows from the grid to the
vehicle and not the other way around. V1G can be further categorized into,
● Tariff-based V1G (Passive control)

● Coordinated V1G (Active control)
Tariff-based V1G is dependent on the availability of a time-based tariff such as

time of day (ToD), time of use (ToU), real-time pricing for the customers. If the
local distribution utility/energy retailer facilitates the user with such tariffs (either
specific for EV charging or for the overall residential load), the user can manually
control the charging of EV during periods of low price, so that the overall cost
of EV charging is reduced. A smart meter is however necessary to enable logging
Energy
from grid Distribution board EVSE
Sub-
meter
Tariff
WAN Smart (time-based)
connection meter
Communication Energy measurement Energy flow
Figure 10.11 Architecture for time-based V1G (the sub-meter is optional based on the
tariff structure). Source: Angshu Nath (co-author).
of energy usage with time (PG&E n.d.). In addition, a sub-meter would also be
needed if the energy logging of the EV is to be done separately.6
The architecture for deploying time-based V1G in a residence is given in
Figure 10.11. The charging of the EV is controlled by the user, based on the tariff,
and the information on the energy consumption is relayed to the energy retailer
through the smart meter.
Different energy retailers and distribution utilities are at different stages of

provision of time-based EV tariffs to their user base. For example, Pacific Gas &
Electric in California provides two different ToU-based tariffs, one specifically
for EV charging and the other for the residential load along with EV charging
(PG&E n.d.). Octopus Energy in the UK in addition to ToD tariffs also provides
a dynamic real-time tariff with half-hourly pricing (Agile Octopus n.d.).
In Coordinated V1G, the charging of EV is controlled by an active load manage-

ment device depending on different factors/applications such as
1. To restrict the total demand of the residential property: In this scenario,
the SEC monitors and controls the operation of different smart devices in the
property to restrict the total power drawn by the residence to its contracted
demand. The SEC switches off low-priority devices, while keeping high-priority
devices on. The user retains control over adjusting high and low-priority loads.
The architecture to utilize this application is given in Figure 10.12. To achieve
this mode 2, mode 3, or mode 4 EVSE is required.
2. To minimize the cost of charging: In this application, the primary goal is
to minimize the cost of charging by shifting the EV charging to off-peak peri-
ods when the electricity tariff is lower. The integration of the smart meter with
6 A separate sub-meter is needed if a special EV tariff is being used.

Smart devices
Device #1
Device #2
Energy from
grid Distribution board EVSE
Sub-
meter
WAN Smart SEC

connection meter
Figure 10.12 Architecture for demand limited V1G (the requirement of sub-meter and
the presence of other smart devices is optional). Source: Angshu Nath (co-author).
Energy from
Sub-
meter
WAN Smart SEC

connection meter
Figure 10.13 Architecture for minimization of cost of charging using V1G (the
requirement of sub-meter is optional). Source: Angshu Nath (co-author).
the SEC allows the SEC to automatically respond to the time-based tariffs and
schedule the EV charging accordingly. However, the user also needs to provide
relevant inputs to the SEC on when the user expects to use their vehicle, as oth-
erwise the vehicle may not be fully charged when the vehicle is plugged-out for
usage. The architecture for this application is provided in Figure 10.13.
3. To maximize the use of local renewable generation: In this application,
the user wants to maximize the utilization of local energy generation sources
such as rooftop solar PV, wind generators, bio-gas plants, etc. This would reduce
the user’s dependency on the grid supply thereby helping in reducing the elec-
tricity bill of the residence. The architecture for this application is provided in
Figure 10.14. Here, RE is prioritized to be used over grid supply and the opti-
mum use is during peak periods, when tariffs are typically higher.
Energy Generation of
storage on-site renewable
(optional) energy
Energy TO
and FROM Distribution board EVSE
grid
Sub-
meter
WAN Smart SEC
connection meter
Figure 10.14 Architecture for optimization of local generation for self-use (the
requirement of sub-meter and energy storage is optional). Source: Angshu Nath
(co-author).
The above three applications need not be mutually exclusive of each other.
The architectures can be tweaked to serve one or more of the applications
simultaneously.
10.7.2 Vehicle-to-Home/Building
Vehicle-to-home (V2H) and vehicle-to-building (V2B) utilize the bidirectional
charging capability of EVs to provide different advanced functionalities to the EV
user. However, it is to be noted that these applications are only possible when
both the EV and the EVSE are capable of bidirectional charging. Here, the EV
can be used as a storage unit to feed power back to the house/building based on
different use cases. The different use cases for V2H/V2B are
● To use the vehicle as storage and avoid consumption during peak periods.
● To increase the utilization of local energy generation.
● For power use beyond the contractual demand of the residence.
● To power an overall off-grid system (islanded operation).
Utilization of V2H/B can be considered as an extension of V1G as now in addi-

tion to just controlling the charging power of the vehicle, power can be also fed
back from the V2H/B. This increases the amount of flexibility that can be provided
by the EV.
The architecture for the utilization of V2H to avoid consumption during peak
hours is provided in Figure 10.15. This architecture allows the EV to act as energy
storage unit, it charges during periods of low tariff for subsequent consumption
Energy TO
and FROM EV
Energy from
Sub-
meter
WAN Smart SEC

connection meter
Figure 10.15 Architecture for using V2H/V2B to avoid consumption during peak periods.
Source: Angshu Nath (co-author).
within the property when the tariff is much higher. Here the EV can also be used
as a transporter of energy, i.e. the EV is charged at a different location at lower
tariffs and then used to run the appliances at another location with higher tar-
iffs. However, this architecture requires the integration of a sophisticated energy
management tool to balance the needs of the EV and the property. The same archi-
tecture can also be extended to connect more loads than the contracted demand of
the property. Here, the grid supply is utilized to power the loads up to the con-
tracted demand, and the remaining loads are powered by the EV. Also, as the
property is being powered by both the grid supply and the EV, so the EV should
have the functionality to operate in parallel to the grid supply.
Figure 10.16 provides the architecture for using EVs for increased utilization of
local energy generation. Similar to the architecture provided in Figure 10.14, the
SEC monitors the generation of local energy and utilizes the EV battery as a storage
unit to store this energy and use it for self-consumption or sell the energy at higher
tariffs and earn revenue.
Using V2H/B it is also possible to provide backup power to the residence when
there is no power available from the grid. Also referred to as islanded operation,
this situation may arise due to,
● A power cut in the system.

● Designed as off-grid system.
The architecture and connection diagram for using the vehicle as a storage unit
to power the residence during islanded operation are given in Figures 10.17 and
10.18, respectively. As shown in Figure 10.17, in the absence of supply from the
grid, the SEC utilizes the energy stored in the EV and the generation from the
on-site energy resource to supply power to the loads. In Figure 10.18, two sepa-
rate circuits can be observed, one powered by the grid supply and the other by the
(Optional) energy
Energy
TO and Distribution board EVSE
FROM grid
Sub-
meter
WAN Smart SEC

connection meter
Figure 10.16 Architecture for using V2H/V2B for maximization of local energy
generation usage. Source: Angshu Nath (co-author).
(Optional) energy
Import
electricity Distribution board EVSE
from grid
Sub-
meter
WAN Smart SEC

connection meter
Figure 10.17 Architecture for using V2H/V2B in islanded mode. Source: Angshu Nath
(co-author).
vehicle (with/without additional local stationary storage unit). If the grid is avail-
able, the grid powers the entire residence. However, if there is a power cut, i.e. the
grid supply is no longer available, the backup isolator which is normally closed is
automatically opened by the SEC. This isolates the circuit powered by the vehicle
from the mains. This is mandatory as otherwise, the vehicle would try to power
the entire energy grid.
Main switch Main switch MCB MCB
MCB MCB
Low priority Supply to High priority

loads Back-up isolator and from loads
(normally closed) EVSE
RCD
Control signal
Live wire SEC

Energy
Supply side storage
isolator controller
RCD
Grid supply EVSE with

Neutral wire V2H/V2B
Earth
Live wire Neutral wire Earth wire Communication
Figure 10.18 Schematic while using vehicle as storage. Source: Angshu Nath (co-author).
Although not widespread V2H/B capable EV and EVSE models are com-
mercially available in the market today. This could change in the future as
prominent vehicle OEMs have aims to provide these services to their new EV
models. Some of the EV models that have V2H capability include the Nissan
Leaf, Ford F-150® Lightning, and the Mitsubishi Outlander plug-in hybrid
electric vehicle (PHEV).
10.7.3 Vehicle-to-Grid (V2G)

In V2G application, the vehicle is connected to the grid as a distributed energy
resource is feeding energy back into the grid. V2G is one of the most advanced
application of EVs and can be utilized to,
● Increase revenue earned by the EV user, by selling energy during peak
periods.
● Providing grid support services such as congestion management and voltage
support.
● Provision of grid ancillary services such as frequency support, ramping support,
black start support, etc.
The architecture for V2G application has been provided in Figure 10.19. Here,
mode 4 EV charging is utilized to export power from the vehicle via the property
mains to the grid beyond the point of common coupling. This requires sophisti-
cated smart metering and energy management integration. Further, the response
needs to be type tested in accordance with the rules and regulations of the net-
work operator. Licensing arrangements to export power would also be required
from the network operator. Prior to utilization of V2G, it is also recommended to
have certified protection schemes for bidirectional power flow to the grid in place.
Energy TO and
Distribution board EVSE
FROM grid
Sub-
meter
WAN Smart SEC
connection meter
Commuication from
DSO/TSO/aggregator
Figure 10.19 Architecture for V2G application of EV. Source: Angshu Nath (co-author).
List of Abbreviations 297
10.8 Conclusion
Although the electrification of transportation is still in the early stages of market
transformation, it has the potential to significantly reduce emissions both from
the transportation and the energy sector. While public charging infrastructure is
important for the mass market adoption of EVs, private residential EV charging
infrastructure is equally crucial for the EV charging economy and usability. Dif-
ferent energy network operators around the globe have developed regulations for
the smooth integration of residential chargers into the electrical network. In this
chapter, different topologies and architectures for different use cases of residential
smart EV charging were explored. Utilization of these architectures can provide a
range of benefits to the EV user, ranging from lower cost of charging, and increased
RE utilization to providing demand response services to the grid. Although not
yet standardized across the globe, a coordinated approach towards making poli-
cies and regulations requiring the adoption of smart charging in EVs will act as
a key enabler for seamless adoption of EVs and effective management of EV and
conventional load of residential customers.
List of Abbreviations
CCS combined charging system
CHAdeMO CHArge de MOve
CMS charging management system
CPO charge point operator
DC direct current
DER distributed energy resources
EREC engineering recommendations
EV electric vehicle
EVSE electric vehicle supply equipment
G2V grid-to-vehicle
ICCB in cable control box
IEC International Electrotechnical Commission
IEEE Institute of Electrical and Electronics Engineer
IP Internet Protocol
ISO International Organisation for Standards
MCB miniature circuit breaker
OCPP open charge point protocol
OEM original equipment manufacturer
OpenADR open automated demand response

OSCP open smart charging protocol
PHEV plug-in hybrid electric vehicle
RCD residual current device
SAE Society of Automotive Engineers
SEC smart energy controller
SoC state of charge
ToD time of day
ToU time of use
V1G unidirectional controlled charging
V2B vehicle-to-building
V2G vehicle-to-grid (bidirectional controlled charging)
V2H vehicle-to-home
V2X vehicle-to-everything
Glossary
Ancillary services There are a wide range of additional services/functions
beyond the usual generation and transmission operations that aid the
continuous flow of power from generators to consumers. These are essential in
maintaining the load-generation balance, stability, and security of the grid and
constitute several services that provide frequency support, voltage support,
and black-start support to the grid.
Charging management system Charging Management System schedules the
EV charging among the EV chargers it is connected to, based on predefined
objectives. They can be either embedded in a physical device or a cloud-based
platform.
Contracted demand It is the demand (in kW/kVA) agreed between the
consumer and the utility engaged in providing electricity.
Electricity market The electricity market is an entity that enables the trading
of electricity between energy generators and energy consumers
EVSE Electric Vehicle Supply Equipment (EVSE) also known as charging
station/charging dock is a device connected to the electrical network and
supplies electrical energy to the electric vehicle for charging purposes.
Grid observability A node or a substation in the grid is termed to be fully
observable if the voltage and the current flows across the node are known
through appropriate measurements. Consequently, a particular electricity grid
is said to be completely observable if all its constituent substations are
observable through direct or indirect measurements, e.g. through PMUs
installed on a selected set of nodes.
MCB Miniature Circuit Breaker (MCB) is an electrical safety device that is
designed to protect electrical circuits from damage caused by overcurrent or
short circuits.
References 299
Off-peak demand hours The hours in a day during which the load in the
network is typically the lowest are called off-peak demand hours.
Peak demand hours The hours in a day during which the load in the network
is typically the highest are called peak demand hours.
Ramp limits In power system, ramp limits refer to the change in active power
requirement per unit of time to maintain system stability.
Range anxiety It is the EV user’s concern that the battery in the electric vehicle
will drain out prior to the user reaching their destination.
RCD A residual current device (RCD) is an electrical device designed to provide
protection against leakage current. The RCD detects imbalance of the
electrical flow and provides protection against earth faults.
Smart meter A smart meter is an electronic device that records information on
the energy usage of the property and communicates the information to the
consumer as well as the local electricity retailer.
State of charge This is the amount of energy currently stored in the battery
expressed in terms of percentage of the rated energy capacity of the battery.
Sub-meter A sub-meter allows a user to separately meter and bill an individual
or group of loads. In electric vehicle context, if the electricity tariff for energy
use for EV charging is different from the general load, a sub-meter for the EV
would be required for its billing.
Temporal variability It refers to variability in time.
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301
11
Induction Heating Appliances: Toward More Sustainable

and Smart Home Appliances
Óscar Lucía, Héctor Sarnago, Jesús Acero, and José M. Burdío
University of Zaragoza, Department of Electronic Engineering and Communications. Instituto de
Investigación en Ingeniería de Aragón, I3A, Zaragoza, Spain
Induction heating is nowadays the preferred heating technology in many areas

due to its advantages in terms of efficiency, safety, and process quality. This is
especially true in the domestic area, where it enables the design of more efficient,
faster, safer, and more intelligent home appliances when compared with their
counterparts based on resistive or gas technologies. In the current socio-economic
context, induction heating technology provides a clear path for electrification in
the residential area, leading to a reduced carbon footprint and a more sustainable
development.
11.1 Introduction to Induction Heating
11.1.1 Induction Heating Fundamentals

IH is a contactless heating method based on applying an alternating magnetic field
to the induction target to be heated (Figure 11.1) (Lucía et al. 2014; Davies 1990).
Under these conditions, the induction target, depending on its physical proper-
ties, heats up by means of two physical phenomena: Eddy or Foucault currents
and magnetic hysteresis. This induction target can be any surface to be heated
and, in the case of domestic induction heating, the pan/pot is the IH target.
It can be considered one of the earliest and most extended forms of wireless
power transfer.

302 11 Induction Heating Appliances: Toward More Sustainable and Smart Home Appliances
Figure 11.1 Induction heating

fundamentals. Source: Guillen
Coil (2022).
AC source B
I
I
IH target
Induction heating has been applied to many areas, from industrial applications,
which were the seed for the success of this technology, to domestic applications
later and, finally, biomedical applications. In all these areas, IH excels due to some
fundamental benefits of this technology:
– Process quality: The contactless nature of IH makes the heating method less
invasive than other technologies, avoiding cross-contamination and leading to
more repeatable and higher-quality processes.
– Safety: The heating is directly created at the induction target, avoiding or
minimizing heating in surrounding areas. Besides, no flammable fossil-fuel-
based materials are used.
– Efficiency: IH directly heats the induction target, avoiding energy waste due
to energy loss to the ambient or surrounding materials. Besides, advances in
power electronics and electromagnetic design have made possible highly effi-
cient power conversion, enabling the design of highly efficient IH systems.
These benefits make induction heating a key technology in the current path
toward decarbonization through process electrification due to its benefits in terms
of efficiency and the lack of direct fossil fuel usage (Clairand et al. 2019).
Although the origins of induction heating were linked to industrial applica-
tions, its benefits have allowed this technology to be introduced in millions of
homes in the form of induction heating cookers (Figure 11.2). The benefits of
this technology have allowed to outperform other heating technologies in some
essential areas such as:
– Fast heating: High-power converters and inductors allow fast heating outper-
forming classical resistive cookers and reaching the same heating times as the
gas best performers.
– Efficiency: Directly heating the pot minimizes the energy loss to the ambient
and surrounding materials, maximizing efficiency, and reducing heating times.
– Safety and cleanliness: Significantly lower temperature surface avoids burns
and accidents and significantly simplifies cleaning the cooking surface.
11.1 Introduction to Induction Heating 303
Figure 11.2 Domestic induction heating appliance: a technology enabler toward

decarbonization through electrification. Source: Pérez-Tarragona et al. (2021)/from IEEE.
– Accurate control: Advanced control techniques allow for a more accurate

cooking by precisely controlling the delivered power or even the target temper-
ature. Optimized electromagnetic design leads to optimum heat distribution,
and advanced computing capabilities enable further safety measures and
improved appliance performance.
IH cookers have become one of the most energy-smart appliances due to their
capabilities for high-efficiency power conversion and computing, which open the
door for further developments and integrations. In terms of sustainability, IH has
been pointed out as a paradigmatic example of the benefits of electrification in
the domestic area. It outperforms in terms of heating efficiency to other classical
heating methods such as resistive heating or gas, providing an environmentally
friendly alternative and it has been recognized as a main player in an electrified
future (Mai et al. 2018). As a significant achievement, the ENERGY STAR®
Emerging Technology Award (ETA) has recognized residential induction cooking
tops for the ETA 2021–2022 (Star 2021).
11.1.2 Induction Heating History

Since the origins of induction heating, the key enabling technologies and IH
applications have evolved to map the current state of the art (Mühlbauer 2008).
Figure 11.3 shows a summary of some of the important events in IH enabling
technologies and domestic induction heating milestones (Lucía et al. 2018a, 2019,
2022).
The first references to domestic induction heating are patents from Mitchell
(1892) and Berry (1909) where several domestic IH devices were proposed based
on magnets and planar coils (Kennedy 1909). However, none of them were
commercialized at that time. After that, most of the IH developments were
focused on industrial applications, but enabling technologies were advancing,
shaping a future for domestic applications. In 1949, induction heating was already
highlighted as a promising technique in engineering for appliances (Scott 1949).
It is especially important in the 1950s–1980s time frame, where several key
technologies for domestic IH were developed, including power semiconductors,
digital control techniques, and vitroceramic glass (Stookey 1958). It was especially
remarkable in the year 1979, when insulated gate bipolar transistor (IGBT)
technology (Baliga 1996, 2008) was invented, making a revolution in power
electronics due to its reliability and reduced cost. This advance, together with
other technologies, will make possible in subsequent years the popularization of
mass-production IH appliances.
In the following years, all the required enabling technologies experienced
major advances. Digital control devices expanded to many different applications,
enabling the commercial expansion and the availability of inexpensive and
powerful devices. Resonant power conversion techniques were also developed,
enabling high-efficiency and high-power density converters to be designed. At
the same time, finite-element-analysis tools were also well-established, enabling
efficient design of electromagnetic systems, IH being one of them.
Last but not least, advanced user interface systems were developed, enabling
smarter and simpler interaction with the user. These advances made possible the
arrival during the 1990s of the first mass-production commercial units, being pro-
duced by companies in Europe and Japan.
Since then, IH popularized, and as a result of the commercial success, different
new technologies and applications were developed. Digital control advancements
enabled the design of smarter appliances, including not only timers but also
temperature control and simple automatic cooking schemes. Power electronic
advancements also enabled the use of far more efficient IGBT technology, as
well as the research on the use of more efficient wide-bandgap (WBG) devices
(Sarnago et al. 2015a). With these improvements, flexible cooking surfaces were
targeted, developing a range of multi-coil appliances providing superior user
Pre-history History Future
Enabling technologies
Vitroceramic cristal Commercial
(1959) Resonant FEA digital IPT HF power
Digital power electromagnetic controllers applications conversion • Cost-effective WBG
SCR control conversion tools devices
(2000) (2010) (2010)
(1956) (1970s) (1980s) (1980s) • HF magnetic materials
Electrical revolution Mercury-arc Marx Power Power Capacitive SiC SBD SiC HV GaN • Advanced Digital control
(1880s) valves generator diode MOSFET IGBT DSP FPGA controls Diodes Transistors devices • High efficiency topologies
(1902) (1924) (1950) (1970) (1979) (1983) (1985) (1995) (2001) (2010) (2014) • Electrification incentives
1900 1950 1980 2000 202X

First IH IH furnace Hardening Solid-state High Efficiency Domestic IH Temperature Flexible cooking • Advanced flexibility
CAD IH systems Advanced materials
EM induction furnace (Elwell 1911) (1930s) Generators High Frequency expansion control surfaces • All-metal
(1980s) processing
(Faraday 1831) (Kjellin 1891) (SCRs) Generators (2000) (2015) (2010s) • Ventilation-integratd IH
(1990s)
EM theory (1960s) (1980s) • Smart Home–IoT
HF IH (spark
(Maxwell 1864) gen.) All-metal induction Advanced multi- Expansion to other • Wireless Power Transfer
Commecrial appliances: oven, • Under-worktop IH
(Northrup- heating domain simulation
First domestic IH domestic IH ironing, tools. • More appliances
Ribaud 1916) (1989) (2000)
(Mitchell 1892) (1975) • Advanced UI
Domestic induction heating milestones
Figure 11.3 Induction heating history: main enabling technologies and technological development milestones. Source: Sarnago et al.
(2019b)/from IEEE.
performance. Also, all-metal induction heating (Tanaka 1989) was popularized

by Japanese brands in 2002. This also enabled the expansion of IH to other home
applications, such as ovens, ironing stations, or water heaters.
Nowadays, IH technology has become a leading technology in the domestic
market. According to the market research made by Grand View Research
(GVR 2021), the global induction cooktops market size was valued at USD
18,667.8 million in 2020 and it is expected to grow at a compound annual growth
rate (CAGR) of 8.5% from 2021 to 2028. Its penetration is especially relevant in
the household segment, and this technology is dominated by the built-in product
with a 62.1% market share in 2020.
This book chapter is organized as follows. Chapter 11.2 details the main domes-
tic induction heating technology aspects, including the main power conversion
blocks, electromagnetic design, and applied digital control techniques. Section
11.2 details the main advanced features and connectivity aspects included in mod-
ern induction heating appliances. Finally, Section 11.3 reviews the future chal-
lenges for domestic induction technology and summarizes the conclusions of this
chapter.
11.2 Domestic Induction Heating Technology

Domestic induction heating has been popularized due to the benefits inherent
to the IH technology and the special advantages for cooking applications. Its
most successful implementation form is built-in appliances, although there are
also free-standing appliances and countertop applications. Figure 11.4 shows
a built-in induction heating appliance highlighting the main building blocks.
Pot Vitroceramic
glass
Control
module
Ferrites
Power
converter
Shielding
Cooling
systems Coil
Figure 11.4 Built-in domestic induction heating appliances. Source: Authors (2022).
Power electronics are usually located at the bottom together with the cooling
system. Thermal design is a critical point since the operating temperature can
be above 100 ∘ C and cooling possibilities are constrained due to geometrical
factors and the presence of other nearby elements such as ovens and cabinets.
The induction coil is placed above the electronics using typically an aluminum
shielding plus ferrite to improve the coupling with the pot and to avoid any
interference with the electronics. Finally, a vitroceramic glass is placed between
the inductor and the pot to provide mechanical support and esthetics. Depending
on the implementation, a thermal and/or electrical isolator is also placed to
improve safety and performance. The interaction with the user is made through
the user interface. Nowadays, advancements in user interface technologies have
made it possible to implement a wide range of human-machine interfaces (HMIs)
ranging from simple capacitive buttons to advanced thin film transistor (TFT)
capacitive touchscreens. As it will be later discussed, these HMIs also include the
possibility of adding connectivity for remote use and programming.
IH appliances rely on the use of many electronic technologies as key enabling
technologies to build up what is considered one of the most advanced home appli-
ances. Among the involved technologies, three of them are considered the key
enablers and will be discussed in this chapter: power electronics, electromagnetic
design, and digital control.
Figure 11.5 shows the block diagram of the main elements of an induction
heating cooker. Input power is taken from the mains, typically up to 3.6 kW per
Current
Digital User Voltage

control interface
Mains EMC Rectifier Inverter Inductor

filter stage system
fmains = 50–60 Hz DC-link fIH = 20–100 kHz
Figure 11.5 Induction heating appliance power conversion block diagram. Source: Lucía
et al. (2022).
phase. After that, an Electromagnetic Compatibility (EMC) filter is used to comply

with the EMC standards. The main power conversion structure is composed of an
indirect alternating current (AC)–AC converter. As a first step, a high-ripple direct
current (DC)-link bus voltage is generated using a non-controlled full-bridge diode
rectifier and a low-capacitance capacitive filter. This provides a cost-effective way
to ensure unity power factor without the need for an additional power factor
correction (PFC) stage. After that, an amplitude-modulated DC-link is used by the
inverter to generate the medium-frequency voltage to supply the induction coil.
Typically, the operating frequency ranges from 20 kHz, to avoid audible noise, up
to 100 kHz, to minimize switching losses. All these converters are controlled by
a digital control scheme which ensures efficient and proper operation of the IH
appliances.
The aim of the previously described power conversion architecture is to achieve
an efficient power conversion that ensures fast and safe heating with the highest
efficiency. Figure 11.6 summarizes the typical power flow in an induction heating
appliance (Lucía et al. 2022), from the input power Pin to the power delivered to
the actual load, Ph . Power losses can be classified as internal power losses, due to
the induction heating appliance itself, and external, due to the cookware. Internal
power losses include power loss in the rectifier, PRect , in the inverter, PInv , and in the
induction coil, PInd . At this point, it is important to note that the coil losses are not
only due to its design but also to the cookware because its materials and geometry
may affect the system’s performance. Not all the power transmitted to the pot, PRF ,
PB
Rectifier Inverter Inductor

stage stage stage PGlass Ph PAir
PRect PInv PInd PRF
Mains
Pin
Figure 11.6 Typical power flow in an induction heating appliance. Source: Lucía et al.
(2022).
is effectively used to heat, Ph . Part of it is lost to the ambient through the cooking
surface, PGlass , through the pot walls, Pair , and through evaporation, PB .
In order to optimize the overall appliance efficiency, the internal power losses
must be optimized. Sections 11.2.1–11.2.4 will cover the main enabling technolo-
gies used to optimize the converter operation: power electronics, electromagnetic
design, and digital control.
11.2.1 Power Electronics

As previously mentioned, the inverter is the main building block of the power
conversion architecture inside induction heating appliances. It must provide the
medium frequency current to the coil to generate the required magnetic field.
From an electrical point of view, the induction load is usually modeled as a series
connection of an inductor and a resistor, Rl -LR (Acero et al. 2013). Assuming
this equivalent load, a useful parameter is the load quality factor, defined as
Q = 𝜔LR /Rl , where 𝜔 is the excitation angular frequency. This model is usually
valid for a given operation point, and it will be used in this chapter to detail the
power electronic converter operation. However, it is important to keep in mind
that these parameters vary with the excitation frequency, the temperature, the
geometry of both inductor and cookware, and, in general, the coupling between
the material to be heated and the coil. From the point of view of the inverters,
two main technologies are used: single-switch quasi-resonant inverters and
half/full-bridge resonant inverters. The former is used in the low-power range,
i.e. typically below 2 kW, whereas the latter is used for higher-power appliances
up to 4.4 kW per coil.
Single-switch quasi-resonant inverters are cost-effective topologies derived
from the class-E inverter that enable efficient and cost-effective implementations
of induction heating appliances (Wang et al. 1998; Sarnago et al. 2014a, 2018;
Omori and Nakaoka 1989). Figure 11.7 shows implementation examples of the
IH-load IH-load
+ RL Lr + Ldc RL Lr
Sm Sm
VS VS
Cr Cr
– –
(a) (b)
Figure 11.7 Single-switch quasi-resonant inverters for induction heating applications:

(a) ZVS implementation and (b) ZCS implementation. Source: Authors (2022).
Zero Voltage Switching (ZVS) and Zero Current Switching (ZCS) configurations,
both using an added resonant capacitor Cr . Usually, the ZVS configuration is
preferred because a filtering inductor Ldc is not needed.
Both single-switch topologies achieve a quasi-resonant operation, i.e. depend-
ing on the status of the switching transistor, a resonant tank is formed by the
inductor-load system, Rl , Lr , and the resonant capacitor Cr . This operation ensures
high efficiency and cost-effective implementation. However, its main limitations
are derived from the difficulty to achieve soft-switching conditions and the high
voltage in the switching device. The first limitation severely constraints the imple-
mentation of multi-load systems due to highly variable switching frequencies,
control constraints, and audible noise. The second limitation, switching device
voltage, limits the operation range because the voltage in the power device, which
is the sum of the bus voltage, V s , plus the inductor voltage, can easily exceed
the device ratings. Figure 11.8 shows a summary of the main waveforms of the
single-switch quasi-resonant ZVS inverter and its normalized switching device
Pn
1
0.9
0.8
Q=3
Q=6
0.7
Q=9 Maximum Output
0.6
Q = 12 power
0.5
0.4 ZVDS
0.3
0.2
0.1
Vn 0 D
15 13.5 12 10.5 9 7.5 6 4.5 3 1.5 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
10
20
30
io
isw 40
vsw 50
60
70
D·Tn 80
Tn 90
100
Tn
Figure 11.8 Operation areas of a ZVS single-switch quasi-resonant inverter for domestic
induction heating. Source: Sarnago et al. (2014a).
+ +
SA SA SC
IH-load IH-load
VS VS
SB RL Lr SB RL Lr Cr SD
Cr
– –
(a) (b)
Figure 11.9 Half-bridge (a) and full-bridge (b) series resonant inverters. Source: Authors
(2022).
voltage and power as a function of the control parameters, duty cycle (D), and
period (T n ), for different quality factor (Q) loads (Sarnago et al. 2014a). From
this figure, higher output power rapidly leads to high voltage in the switching
power device. For this reason, these topologies are often limited to single-inductor
structures with output power below 2.2 kW using 1200 V IGBT technology.
When higher output power is required, the full/half-bridge topologies are often
preferred (see Figure 11.9) (Sarnago et al. 2015b). These topologies are formed of
two or four devices and are used to deliver up to 4.4 kW using IGBT technology
(Fernández et al. 2020). The preferred implementation is the series resonant
inverter, where a resonant capacitor Cr is placed in series with the inductor-load
system, R√ l , Lr . Under these conditions, the resonant frequency is defined as
f0 = 1∕2𝜋 Lr Cr .
One of the main advantages of these topologies is easy control and high
efficiency (Lucía et al. 2010b). As it is shown in Figure 11.10, the output power
curve vs. the switching frequency is continuous and predictable over a wide
range. Typically, operation above the resonant frequency f 0 , is preferred because
ZVS soft switching is achieved during the turn-on transition. Consequently, a
monotonous power curve is obtained and power control in variable-load systems
becomes easier. Nowadays, the half-bridge series resonant inverter is considered
Figure 11.10 Output power, Po vo vo

P o , vs. switching frequency,
f sw , in a series resonant io io
inverter. In frequencies
below the resonant
frequency, f 0 , ZCS is
achieved, whereas in
frequencies higher than the
resonant frequency ZVS is
achieved. Source: Authors Capacitive load Inductive load
(2022).
f0 fsw
Converter #1 IH-Load #1 Converter Mux. IH-Load #1 Converter IH-Load #1
Converter #2 IH-Load #2 IH-Load #2 IH-Load #2
Converter #n IH-Load #n IH-Load #n IH-Load #n
(a) (b) (c)
Figure 11.11 Multiple-output induction heating architectures: (a) single-inverter

single-coil, (b) relay-multiplexed, and (c) multiple-output full-solid-state configurations.
Source: Sarnago et al. (2019b)/from IEEE.
to have the best balance between cost and performance, and it is the selected
power conversion topology by most manufacturers.
Finally, there are certain applications that require specific power electronic con-
verters to meet the required performance. Among these, there are two remarkable
cases: multi-load inverters for flexible cooking zones and high-power/current
conversion stages with PFC.
The first group of specific applications includes multiple-output inverters for
flexible cooking zones (Lucía et al. 2013). These appliances, as it will be later
discussed, feature large cooking areas where the user can place any pot, with
any shape, anywhere. To power such structures, multi-output power converters
are needed. Nowadays, different strategies are used (Figure 11.11), including
using expensive single-inverter single-coil configurations (i), relay-multiplexed
structures (ii), and multiple-output full-solid-state converters (iii).
Nowadays, the most popular configurations are the single-inverter single-coil
structures for appliances below 12 induction coils, and the relay-multiplexed struc-
tures when more than 20 coils are present. However, recent research lines have
also proposed the use of multi-output inverters (Lucía et al. 2010a, 2011) that
enable power in an efficient and cost-effective way with a set of inductors with
a single inverter. Figure 11.12 shows an example of a series-resonant ZVS matrix
inverter (Sarnago et al. 2019a, 2019b) that enables to power a flexible IH cooking
appliance with a significant reduction in the number of required switching power
devices.
The second group of application-specific power converters is related to
high-performance applications where high power or high-performance heating is
required. Nowadays, all-metal heating is a design trend where heating cookware
made from highly conductive materials such as aluminum or copper is desired
(Li et al. 2021; Huang et al. 2021). To achieve this, several strategies have been
proposed from higher voltage topologies (Figure 11.13) to new modulation
strategies.
Vb Vb Vb
SH,1 SH,2 SH,N

GND GND GND
Vb Vb Vb
IH-load #1,1 IH-load #2,1 IH-load #N,1
Vb
GND GND GND
SL,1 Vb Vb Vb
IH-load #1,2 IH-load #2,2 IH-load #N,2

GND
Vb
GND GND GND
SL,2
GND
Vb Vb Vb
IH-load #1,M IH-load #2,M IH-load #N,M
Vb
GND GND GND
SL,M
GND
Figure 11.12 ZVS series resonant matrix inverter that enables to power multi-coil induction heating appliances with a significant
reduction in the number of required power devices. Source: Sarnago et al. (2019b)/IEEE/CC BY 4.0.
iSH
+
DR,H SH +
vSH Cr,H
vs Ls Req Leq
is io −
vb
+ vLs − + Cb
SH
DR,L v SL
−
− Cr,L
iSL
Figure 11.13 Direct AC–AC boost series resonant inverter that achieves higher
efficiency and performance due to the increased bus voltage. Source: Sarnago et al.
(2014c)/from IEEE.
Besides, when higher power or higher performance is required, PFC is con-

sidered, following the power flow shown in Figure 11.14. This implementation
achieves high power factor while enabling the design of industrial induction
heating cookers with output powers higher than 11 kW.
11.2.2 Electromagnetic Design

The second key technology powering modern IH appliances is electromagnetic
design applied to the induction coil and auxiliary elements. Figure 11.15 shows
a representative example of the structure of an induction heating coil system,
including aluminum shielding, flux concentrators made of ferrite, the coil itself,
and the vitroceramic glass that provides both electrical isolation for the user and
a structural surface.
IH appliances can be seen as wireless power transfer applications where the
induction coil acts as the primary side or emitter and the pot is the secondary
side or receiver. Usually, frequencies between 20 and 100 kHz are applied. At
the beginning of IH technology, solid strand magnet wire was used due to the
reduced cost and the limited performance requirements in terms of output power
or performance. However, with the advance of technology, higher output powers
and efficiency levels were required. Since single-strand wires were limited by
skin effect that led to high power loss, foil-based inductors were used to improve
thermal performance. However, increasing currents and frequencies required
higher performance, leading to the use of Litz wire, i.e. multi-stranded wire
optimized for high frequency (HF) operation (Lucía et al. 2022).
Nowadays, Litz wire has become an industry standard to achieve high-
performance and high-efficiency appliances (Acero et al. 2006). These designs
are optimized to minimize both conduction losses and proximity losses, due to
induction heating in the coil itself, to ensure an efficient operation. Design using
finite element analysis (Kim et al. 2016; Aoyama et al. 2021; Carretero et al. 2011;
AC (50−60 Hz) DC AC (20−150 kHz)
Mains PFC rectifier IH inverter IH loads

3 phases 3 phases 4 outputs 11 kW
4 wires 2 wires 2n wires

3 × 230 V + N 1 × 750 V n × 375 V
50 Hz DC 20 – 150 kHz
vb vjn
va vc vb
ij
ib
(a)
Cf,1
L1 Cb +
iL,1 Lf,1 vac,1 i1
Sh,3 Sh,2 Sh,1 Cf,2 Sh,0

iL,2 L2 Lf,2 vac,2 i2 v0 L0
vb
Cf,3
iL,3 L3 Lf,3 vac,3 i3 Cb
S1,3 S1,2 S1,1 S1,0 −
(b)
Figure 11.14 Three-phase series resonant inverter with power factor correction stage
that enables the design of high-power induction heating cookers for industrial and
professional applications for multi-load systems (waveforms for j-load shown).
Source: Pérez-Tarragona et al. (2022)/from John Wiley & Sons.
Acero et al. 2011) enables to optimize its performance from three different points
of view: electromagnetic operation, electrical operation of the induction coil and
inverter, and thermal distribution in the pot to be heated (Figure 11.16).
11.2.3 Digital Control

Finally, digital control is the third key technology that enables the design of safe,
accurate, and high-performance appliances. Modern control architectures (Lucía
Isolator
Pot Inductor
Ferrites
Vitroceramic glass
Shielding
Figure 11.15 Structure of an induction heating coil system. Source: Lucía et al.
(2014)/from IEEE.
ηind
Litz (ns↑)
Tapes or foils Litz (ns↓)
Single strand
magnet wire
Cost
Low-frequency range Medium/high frequency
Low power Medium/high power
Figure 11.16 Inductor wire evolution: efficiency vs. cost. Source: Authors (2022).
et al. 2018b) include the use of field-programmable gate array (FPGA) devices
for research and prototype purposes (Navarro et al. 2012), and microcontrollers,
digital signal processors (DSPs) and/or application-specific integrated circuits
(ASICs).
The digital control architecture of an induction heating appliance (Figure 11.17)
performs three key functions classified according to the application and frequency
ranges: monitors and controls the modulation of the power converter (kHz range);
applies control strategies to achieve the desired performance in terms of output
power, temperature, etc. (Hz) range; and serves as user interface (Jiménez et al.
2013, 2014a, 2014b).
Given these highly differentiated tasks, a wide range of control architectures
can be used. Figure 11.17 shows an example where a fast-response ASIC is used
for measuring and control the power converter modulation (Jimenez et al. 2014,
2014c; Pérez-Tarragona 2020), whereas the high-level control algorithms for
output power or advanced features are performed in a low-cost microcontroller.
vac Req,n
Leq,n
Power electronics
Voltage Current – +
Drivers
sensors sensors
Digital PWM
Measurements
Power
ASIC computation
Control algorithm
Temperature
μC control
Control logic block

Power electronic converter
Figure 11.17 Digital control architecture of an induction heating appliance. Source:

Pérez-Tarragona (2020)/Universidad de Zaragoza Servicio de Publicaciones.
Additionally, an external user interface is used to interact using different tactile

and visual technologies.
In order to achieve the required performance and safe operation, many different
elements must be implemented in the control architecture, from induction load
monitoring and identification techniques, to new output power measurement
for high-frequency resonant converters. Besides, new modulation strategies
enable higher performance, higher efficiency, and/or reduced electromagnetic
emissions (Villa et al. 2022; Lucía et al. 2009; Guillén et al. 2022); and new control
algorithms enable faster and better performance (Lucia et al. 2020, 2021). As it can
be seen in the later efficiency analysis, these modulation strategies and control
algorithms can have a great impact on the overall efficiency of the induction
heating appliance. Typically, square wave (SW) or asymmetrical duty cycle (ADC)
modulations are applied. However, certain applications required applying pulse
density modulation (PDM) (Guillén et al. 2021) or discontinuous modulations
(DMs) in the low power range to increase efficiency. Finally, these modulations are
also used to improve power factor and harmonic content at the appliance input.
Last but not least, given the high sensing and computation capabilities of IH
appliance electronics, a wide range of advanced features are possible to implement.
These include, but are not limited, the inverter control optimization to maximize
output power, temperature control (Paesa et al. 2009), or audible noise reduction
(Guillen et al. 2021). Also, they provide enhanced means for connectivity, opening
the design window for future developments as it will be later discussed.
11.2.4 Efficiency
The main aim of the previously discussed power conversion architectures is
to achieve a high-efficiency power conversion when transforming the mains
input power (50/60 Hz) to the medium frequency voltage applied to the inductor
(20–100 kHz). Table 11.1 shows a summary of the efficiency achieved by the
Table 11.1 Efficiency comparison.
Topology/modulation 𝜼̂ (%)
Half-bridge/SW (Lucía et al. 2009) 95.0

Half-bridge/ADC (Lucía et al. 2010b) 96.0
Half-bridge/PWM + PDM (Ahmed 2011) 94.5
Class D-DE HB/SW (Sarnago et al. 2013) 95.3
Multi-MOSFET HB/SW (Sarnago et al. 2014d) 98.3
Direct AC–AC boost/ADC (Sarnago et al. 2014c) 99.0
AC–AC full ZCS/HF-PDM (Sarnago et al. 2014b) 97.2
Direct AC–AC class-E/P1N0 (Sarnago et al. 2014a) 95.0
AC–AC class-E/P1N0+P1N1 (Sarnago et al. 2014a) 96.1
SR multi-inverter/SW (Lucía et al. 2010a) 95.8
SR multi-inverter/HF-PDM (Lucía et al. 2013) 97.8
Twin half-bridge/HF-R (Mishima et al. 2014) 96.5
Full-bridge/AVC (Burdío et al. 2004) 96.0
Full-bridge/AVCo (Barragán et al. 2005) 96.0
PFC + HB/CCM + DCM (Kawaguchi et al. 2010) 94.5
Source: Lucía et al. (2022).

main combinations of topologies and control strategies (Lucía et al. 2022). From
this table, it can be seen that conventional topologies and control strategies, i.e.
half-bridge with SW or ADC control strategies, achieve efficiencies well above
95%. Only when an additional PFC stage is added, the efficiency drops slightly
below 95%. In some cases, when either more complex topologies with boosting
capabilities or wide bandgap devices are used, efficiencies are significantly
increased and can reach levels close to 99%. It is important to note that these
values reflect only the efficiency of the inverter, not the coil due to the difficult
measurement and that the rectifier stage is not included in all topologies.
As a conclusion, it can be seen that induction heating technologies are sustained
by key enabling technologies in the power electronics, electromagnetic design,
and digital control areas that enable to obtain high-efficiency systems. This pro-
vides a clear path toward decarbonization through the electrification of household
appliances.
11.3 Advanced Features and Connectivity

Section 11.2 has covered the key enabling technologies of induction heating and
their state-of-the-art in the market and scientific sphere nowadays. This section
covers advanced topics enabling high-performing appliances, some of them
already in development or in early market deployment.
11.3.1 High-Performance Power Electronics

Power electronics determine in a great manner the final performance and
efficiency of IH appliances. In this context, IH designers are always in pursue of
high-performance power electronic converters. In the last decade, WBG devices
have arisen as a powerful tool to implement high-performance converters (She
et al. 2017). Their advantages in terms of blocking voltage and high switching
speeds make them perfect candidates for implementing IH appliances. Both sili-
con carbide (SiC) and gallium nitride (GaN) exhibit excellent properties that make
them suitable for high-voltage high-power implementations and high-frequency
designs, respectively. Figure 11.18 shows an example of the on-state voltage
(a) and efficiency of several WBG technologies operating in induction heating
appliances (Sarnago et al. 2015a). From this figure, it can be seen that there is
great room for improvement with the introduction of WBG technology.
Whereas the cost and some performance issues on WBG have been a great
barrier to their introduction in domestic induction appliances, in the last years
there have been profound technical and industrial changes that have opened
new opportunities for their introduction. On the one hand, GaN technology has
120
BJT IGBT (Si) JFET nON MOSFET
100
On-state current (A)
80
60
JFET nOFF
40
20 Tj = 25 ºC
Tj = 125 ºC
0
0 2 4 6 8 10 12
On-state voltage (V)
100%
BJT MOSFET JFET-nON JFET-nOFF
98%
Measured efficiency
96%
94%
Tj = 25 ºC
Si IGBT Tj = 125 ºC
92%
0 500 1000 1500 2000 2500
Output power (W)
Figure 11.18 Some silicon carbide power devices applied to domestic induction
heating: (a) measured on-state voltage and (b) measured efficiency vs. output power.
Source: Sarnago et al. (2015a).
evolved toward higher voltage devices. These devices, which were once limited
to the sub 200 V range, are now designed in the 650 V range, being suitable for
mains-connected applications. SiC has greatly evolved by introducing trench
technology and, more importantly, production costs have dramatically decreased
due to both the improvement of industrial processes with bigger wafers and
volume increase due to the fast development of renewable energy and electric
vehicle markets.
11.3.2 Advanced Control

IH appliances have one of the most advanced control architectures that can be
found in our homes. Whereas basic control strategies deal with inverter operation
using classical linear control techniques and power control, there are advanced
features that can be included.
Regarding modulation strategies, modern IH appliances feature advanced
modulation techniques that allow obtaining improved efficiency, electromagnetic
emissions, or the capability to heat highly conductive materials in so-called
all-metal heating (Han et al. 2018; Millán et al. 2011). Besides, classical linear
control techniques are evolving toward the use of more advanced non-linear
control. Among these techniques, model predictive control has risen as a
powerful tool that can include advanced constraints in the control design to
optimize both electrical and user performance (Lucia et al. 2017, 2019, 2021).
One of the main challenges of these controllers are their implementation in
the appliance-embedded control architecture. Recently, artificial intelligence
(AI) implementations based on using deep neural networks (DNNs) have been
proposed to obtain a high-performance and cost-effective control implementation
(Figure 11.19).
Finally, higher-level control algorithms provide advanced features for the user
compared with classical power-control algorithms. One of the most promising
control techniques is temperature control. Considering the target of these
appliances is cooking performance, temperature control makes more sense than
power controls to achieve the desired culinary targets. For this reason, modern IH
appliances feature temperature control systems that may rely either on in-product
or off-product temperature sensors (Franco et al. 2012).
Offline Controller
controller design deployment
Training scenarios Performance evaluation Optimization and Verification
Offline NMPC DNN C-coded VHDL

solver training DNN code
io, vo, Po fsw, D W, b High Level Synthesis
Figure 11.19 Deep neural network implementation workflow for a model predictive
controller for IH. Source: Lucia et al. (2021)/IEEE.
11.3.3 Flexible Cooking Surfaces

Flexible cooking surfaces intend to provide the user with a much more adaptable
cooking area with additional freedom degrees (Millán et al. 2010). These appli-
ances can be implemented either using concentric windings that adapt to different
pot sizes (Figure 11.20) or using multiple coil systems (Figure 11.21). Nowadays,
these appliances have gained great attention from consumers and the so-called
flexible heating zones have become a priority.
In order to achieve this advanced feature, significant technological chal-
lenges must be addressed in the areas of inductor design and partial coupling
(Figure 11.21b), multiple-output converter design (Forest et al. 2000, 2007; Lucía
et al. 2010a, 2011, 2012), and load-pot identification (Sarnago et al. 2016) and the
associated control algorithms. This represents one of the most promising research
areas for high-end IH appliances.
11.3.4 Connectivity
One of the main benefits of the advanced control architecture of modern IH
appliances is the possibility of connecting with internal and external systems
to share information and provide advanced user performance (Lawton 1997;
Nakakita et al. 2003). Connectivity in appliances can be classified into internal
connectivity, external connectivity, and power connectivity.
Internal connectivity refers to communications inside the appliance ecosystem.
These communications have evolved from simple diagnostics systems for moni-
toring and repairing purposes, to more advanced communications to interact with
other elements in the kitchen. The most common examples are communications
with sensors for temperature control, which may be embedded in smart pots or
attached inside or outside as an external sensor, or communication with the hood
Figure 11.20 Flexible induction heating appliance using concentric windings. Source:
Pérez-Tarragona et al. (2018)/from IEEE.
(a)
IH load
Cooking Surface
Coil
Flux concentrator
Shielding
Covered area
(b)
Figure 11.21 Flexible induction heating appliance using multiple coils: (a) general
structure and (b) partial coupling challenge. Source: (a) Sarnago et al. (2019b)/from IEEE.
to synchronize air extraction with the cooking process. These elements may use
proprietary communication protocols or, more recently, standard protocols such
as Bluetooth low energy (BLE).
External connectivity refers to the possibility to include communications
with elements external to the appliance ecosystem. In the current context of
the Internet of Things (IoTs) era, this includes remote communications, usually
via WiFiTM , with external servers for more complex monitoring and control
tasks. This includes controlling the appliance remotely, monitoring its main
parameters, and transferring cooking recipes, among others. These tasks can be
done using user-friendly apps for mobile phones or computers. In addition to this,
more advanced integrations include integrating IH appliances in popular home
voice-controlled platforms such as Amazon Alexa, Google Assistant, and others.
Another important aspect of external connectivity is the added capability to

interact with Smart Energy Home (SHE) Smart Energy Controllers (SECs) as
introduced in Chapter 6 for advanced energy use cases. To reduce peak demand in
the household this external connectivity enables the IH appliance to publish
to the SEC that a cooking process is about to start, therefore enabling the SEC to
consider temporarily turning off other major loads not critical at that moment.
One example would be to stop the water heating process and re-enabling it after
cooking has finished. This would of course depend on the current temperature of
the water in the water heater, but it is a possibility to consider. Other actions could
be stopping air conditioner in case the temperature, even not yet at target temper-
ature, is already at acceptable levels, or publishing a signal to avoid the dishwasher
or dryer to start for a given period, unless absolutely critical to the consumer.
An important aspect to enable external connectivity in an efficient and broadly
accepted manner is to assure the IH appliance is compliant with a common lan-
guage in terms of command, control, and data publishing to the SEC. As presented
in Chapter 7, the ETSI SAREF Ontology is an interesting solution for that.
Finally, a new recent form of connectivity is referred to as power connectivity.
This takes advantage of the inherent wireless power transfer capability of IH
appliances to serve as a general wireless power transfer platform (Kim et al. 2020).
In this context, IH appliances will power wirelessly virtually any element capable
of receiving energy wirelessly such as other appliances or consumer electronics.
This is an area of great interest where a new standard, Ki standard (Figure 11.22;
Consortium 2019), is being developed following the previous steps of the Qi
standard oriented to lower power levels.
Figure 11.22 Wireless power transfer using IH appliances. Source: Authors (2022).
11.4 Conclusion and Future Challenges

This chapter has presented the main benefits and technologies behind induction
heating appliances. These devices are among the most technologically advanced
appliances and provide a clear path toward decarbonization through the electri-
fication of one of the most energy-consuming processes, i.e. heating in cooking
processes.
Domestic IH relies on some key enabling technologies to sustain its high per-
formance and efficiency: power electronics, electromagnetic design, and digital
control. These provide useful tools to implement high-performance systems
and, at the same time, create significant technological challenges to implement
future higher efficiency and higher performance systems, and cost-effective
implementations.
Among the future features and challenges discussed, connectivity arises as one
of the most relevant ones due to its key relevance for the user and the current
household ecosystem. Connectivity will play a key role to provide additional
features and performance for the user, and to optimize electrical energy usage
in residential areas. Features such as integration in smart ecosystems, advanced
sensors, and smart cooking will be possible in the future with smarter connected
appliances. Moreover, the development of new wireless power transfer standards
will enable a completely new set of applications with still to unveil new features
for the user.

ADC asymmetrical duty cycle modulation
AI artificial intelligence
ASIC application specific integrated circuit
BLE bluetooth low energy
DC direct current
DNN deep neural networks
DSP digital signal processor
EMC electromagnetic compatibility
FPGA field programmable gate array
f sw switching frequency
GaN gallium nitride
HF high frequency
IGBT insulated gate bipolar transistor
IH induction heating
io output current
Po mean output power
SiC silicon carbide
SW square wave modulation
vo output voltage
WBG wide bandgap
ZCS zero current switching
ZVS zero voltage switching
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333
Index
a communication infrastructure 66,

aggregator 10, 26, 69, 79, 82, 110, 123, 70–74, 95, 268, 283, 286
141, 245, 251–253, 255–259, 283, conclusions 22, 74, 82–83, 140,
289 212–213, 259–260, 306
alarms, cameras, door locks & doorbell connected devices 36, 38, 39, 41, 42, 44,
cameras 179–180 47, 60, 65, 67, 149, 169, 180, 220
ancillary services 11, 12, 133, 140, 141, constrained application protocol 74
222, 223, 248, 283, 286, 296, 298 consumer 100, 154
audio systems 45, 177–178 credentials 47–48, 60, 80, 81
automated demand response 82, 269 Cuckoo Search algorithm pages
229–231
b
BAT algorithm 226–228 d
blinds & shades and light bulbs Datagram Transport Layer Security 74
171–172 debugging 48
Bluetooth 38, 45, 70, 73, 101, 102, 323 decentralized setting 252
demand aggregation 85
c demand flexibility 25–27, 82, 226, 233
case study and results 278–282 demand response 9, 12, 26, 51, 52, 66,
cat litter robots, pet feeders, and other 80, 82, 93–113, 117, 119–123, 128,
pet-related connected devices 129, 132, 141, 143, 198, 218–224,
169 226, 231, 232, 235, 237
centralized setting 252 demand side management 9–10, 66,
charging levels 246, 267 69, 82, 93–113, 117–143, 217,
charging modes 245, 265 222–224
coffee machines, blenders, faucets, food desktop computers 175
processors, mixers, and toasters direct load control 10, 27, 66, 73, 98,
166–167 106, 131, 133, 140, 222

334 Index
dishwashers 70, 98, 108, 111, 151–153, health, comfort, and care 168–171
219, 224, 226, 235, 249, 250 heating, ventilation, and air conditioning
distributed energy resources 2, 111, (HVAC) 27, 147
123, 141, 269, 296 hierarchical control 252
distributed EV dispatching strategy home area network (HAN) 52, 73, 82,
252–259 100, 101, 269
domestic services 248–249, 256, 257 home energy management 59, 231, 246
dryers 133, 147, 148, 153–155, 169–170, home energy management system
219, 224, 235 (HEMS) 67, 151, 248–250, 283
house automation 171–174
e hybrid 11, 56, 65, 70, 143, 154, 155, 247
electric cars and motorcycles 174–175
electricity 3–12, 20, 25, 56, 66, 275–282 i
electric power interruption 50 indirect load control 66, 98, 106
energy consumption scheduling (ECS) intelligent virtual assistant 35
106–107 Internet of Things (IoT) 24–25, 38, 67,
energy disaggregation 68 82, 123, 183, 185, 220, 323
energy efficiency 9, 27, 67, 94–97, 112, IoT security 24–25, 38, 67, 82, 123, 183,
136, 139, 172, 186, 198, 218 185, 220, 323
energy monitors, haptics sensors,
weather sensors, and others l
167–168 large home appliances 147, 148,
energy smart appliances 26–27, 151–166
131–138, 147–180, 224, 226, 237, load control 66, 73, 100, 220, 269
303 load shifting 27, 66, 97, 108, 113, 160,
EV services 248–249 220
experimental settings 82
m
f Matter 46, 48, 129
firefly algorithm 228–229 Message Queuing Telemetry Transport
flexible load shaping 97, 108, 109 68
microwaves 158–160, 162, 249
g Modems & Routers 175–176
garage door opener 39, 49, 147, 172
grid connection 6, 7, 247 n
grills & smokers 155–156 Net Energy Metering (NEM) 58
h o
hair dryers, brushes, and straighteners off grid 247, 292, 293
169–170 off-peak 11, 27, 66, 70, 96–99, 104, 108,
hardware platform 66, 67, 69–70, 80, 82 221, 252, 276, 283
Index 335
p smartphones, tablet computers,

peak clipping 96, 97 smartwatches, and video games
peak load 8, 96, 99, 107, 112, 220, 222, 176–177
233, 235–237, 278 smart power strips & smart power
peak-to-average ratio (PAR) 100, 233 switches 173
power banks, uninterrupted power sprinklers, gardening sensors, and accent
supplies 176 lighting 172–173
power quality 12–23, 244, 263 stoves ovens and cooktops 162–163
presence proximity and movement strategic load growth 97–98
sensors 173–174 Symbiotic Organisms Search (SOS)
privacy 48, 80, 81, 83, 103, 140, 171 algorithm 231–232
provisioning 45, 47–48, 61
t
r Televisions & Streaming receivers (Cast
robotic lawn mowers 167, 174
feature) 178
thermostats & temperature sensors 174
s
thread 45–46, 73, 129
scheduling mechanism 233, 234
Time-of-Use (TOU) 11, 223
security 6, 7, 10, 48, 67, 73, 79–81, 83,
time-shiftable appliances 220, 224–226,
100, 120, 124, 130, 131, 133, 138,
232–237
179–180
treadmills, indoor exercise bike, and
smart appliances 26–27, 110–111,
other fitness equipment 170
131–138, 147–180, 224, 226, 237,
303
Smart Applications REFerence (SAREF)
v
vacuum cleaners, vacuum robots, mop
57, 183–213, 226
smart devices 36, 47, 66, 69, 100, 290 robots, and power tools 174
smart energy controller (SEC) 68, valley filling 96–97
150–151, 153, 156, 163, 164, 166, variable renewable energy sources 2
170–180, 224, 289, 324 vehicle to everything (VX) 244, 273
smart grid 1–27, 35, 51, 57, 58, 66, 67, vehicle to home (VH) 245, 292–296
79, 95, 98, 100, 120, 130, 134, 136, vehicle to load (VL) 245, 286
140 vehicle to vehicle (VV) 245
smart home ecosystems 35–44, 46, 169, virtual assistants 36, 178
178 virtual reality goggles 178–179
smart homes 35–44, 46, 169, 178
smart metaheuristic algorithms 221, w
226–237 washing machines 27, 70, 82, 96, 98,
smart meter 6, 53–55, 68, 73, 80, 82, 106, 108, 111, 133, 163–165, 219,
100–106, 122, 140, 208, 283, 286, 224, 226, 235, 250
290, 296, 299 water filtration systems 170–171
336 Index
water heaters 105, 133, 134, 139, z

165–166, 224, 306 Zigbee 38, 45, 70, 73, 83, 101, 102, 122,
Wi-FiTM 38, 101 126, 131, 133, 269
wireless personal area network 45, 73 Z-Wave 45, 73, 83, 101, 131, 133, 208
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Energy Smart Appliances

IEEE Press Editorial Board

Jón Atli Benediktsson Behzad Razavi Jeffrey Reed

Applications, Methodologies, and Challenges

Published by John Wiley & Sons, Inc., Hoboken, New Jersey.

Library of Congress Cataloging-in-Publication Data Applied for:

Hardback ISBN: 9781119899426

Cover Design: Wiley

Set in 9.5/12.5pt STIXTwoText by Straive, Chennai, India

About the Editors xv

1 Demand-Side Flexibility in Smart Grids 1

1.6 Economic Implications and Issues of Poor Power Quality 20

2 A Deep Dive into the Smart Energy Home 35

3 Household Energy Demand Management 65

4 Demand-Side Management and Demand Response 93

4.4.3 Demand Valley Filling 96

5 Standardizing Demand-Side Management: The OpenADR

6 Energy Smart Appliances 147

6.8.4 Smart Power Strips and Smart Power Switches 173

7 The ETSI SAREF Ontology for Smart Applications: A Long

7.5.3 Measurement 194

8 Scheduling of Residential Shiftable Smart Appliances by

9 Distributed Operation of an Electric Vehicle Fleet in a

9.3 EV Services 248

10 Electric Vehicles as Smart Appliances for Residential Energy

10.5.1.3 Congestion 278

11 Induction Heating Appliances: Toward More Sustainable and

About the Editors

Antonio Moreno-Munoz is a professor at the Department of Electronics and

of MDPI’s Smart Cities journal, an associate editor of Electronics journal published

Jesús Acero José M. Burdío

José A. Aguado Recep Çakmak

Carlos Cruz Sahana Lokesh

Laura Daniele Óscar Lucía

Esther Palomar Neyre Tekb𝒊y𝒊k-Ersoy

Brief Description of the Book Chapters

What Does the 2022 Energy Crisis Entail?

redesigned to cover DR aspects as well. Synergies can be achieved by including

Demand-Side Flexibility in Smart Grids

1.1 The Energy Sector

Oil and petroleum

2010 2012 2014 2016 2018 2020

1.2 The Power Grid

advances in digitalization, and growing opportunities for electrification (Interna-

(11.3–14.4%) in this period. Furthermore, in 2020 the group of hydropower, wind,

1.3 The Smart Grid

– The increased energy demand due to population growth, increase in manu-

– The rapid growth of distributed generation (DG) due to grid-connected DER

1.4 Power Grid Flexibility

respond to changes in demand or supply while preserving the stability of the

1.4.1 The Need for Flexibility

1.4.2 Sources of Flexibility

1.4.2.1 Flexible Generation

1.4.2.2 Flexible Transmission and Grid Interconnection

production at different times. Therefore, a coordinated strategy can contribute to

1.4.2.3 Control Over VRES

1.4.2.4 Energy Storage Facilities

1.4.2.5 Demand-Side Management

High efficiency Energy