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IEEE power & energy magazine

1540-7977/10/$26.002010 IEEE

may/june 2010

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By T. Joseph Lui, Warwick Stirling, and Henry O. Marcy

Using Demand Response with Appliances to Cut Peak Energy Use, Drive Energy Conservation, Enable Renewable Energy Sources, and Reduce Greenhouse-Gas Emissions

ENERGY GENERATION, CONSUMPTION, AND CONSERVATION ARE AT the root of many of the most pressing issues facing society today. Demand continues to rise steadily while the ability to generate and deliver energy is increasing at a much slower rate. In addition, as stated by the secretary of the U.S. Department of Energy (DOE), Steven Chu, in his Grid Week 2009 presentation, 25% of U.S. power generation and 10% of its distribution assets are associated with electricity generation required during the roughly 400 hours of annual peak-energy-use periods, which represent hundreds of billions of dollars in investments. Furthermore, in the United States, more than half of the electricity produced is wasted due to power generation and distribution inefciencies, according to 2002 Energy Flow Trends data from the DOE. Very simply, using less energy in our daily lives, making more efcient use of the energy we do produce, and reducing global greenhouse-gas emissions associated with energy generation are fundamental to our continued collective prosperity and quality of life. It is the thesis of this article that the achievement of energy conservation and, hence, global emission reductions can be signicantly accelerated by integrating smart, energy-efcient appliances into a smart electricity gridthe socalled smart grid. Smart appliances shift the paradigm for appliances: appliances are no longer merely passive devices that drive emissions but active participants in the electricity infrastructure that can be drawn upon for energy reduction, energy storage, and the optimization of the electrical grid for greater compatibility with its greenest energy-generation sources. To amplify this latter point: by providing a variable load, smart appliances connected to the smart grid are ideal complements to renewable sources of energy such as wind and solar power, which are inherently variable in supply. We further believe that given proper incentives and control over their smart products, consumers will play a key role in reducing peak demand while lowering costs for consumers and businesses and creating more environmentally friendly power generation. A key feature of the smart grid is demand response (DR). As de ned by the Association of Home Appliance Manufacturers (AHAM) in a December 2009 smart grid white paper, DR refers to a set of scenarios whereby the consumer, utility, or designated third party can reduce energy consumption during peak usage or other critical energy use periods: The North American Energy Standards Board (NAESB) has dened demand response as changes in electric use by demand-side resources from their normal consumption patterns in response to changes in the price of electricity or to incentives designed to induce lower electricity use at times of potential peak load, high cost periods, or when systems reliability is jeopardized.

Digital Object Identier 10.1109/MPE.2010.936353

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What this says is that when it is necessary to reduce peak demand to avoid the use of high-cost and high-emission power-generating resources or when the utility encounters some other issue on the electrical grid that requires the reduction of electricity demand, it can send a signal to the home so that the system will reduce its electrical load during this critical time period. This article describes the development of a system that will reliably and securely accomplish DR as part of the overarching smart grid. It makes sense to focus on residential electricity use as a primary means for enabling DR since, according to a 2009 Electric Power Research Institute (EPRI) study, residential energy use accounts for a full 38% of the total energy consumed in the United States. Home appliances; water heaters; and heating, ventilation, and air-conditioning (HVAC) systems together represent more than half of this consumption, or 21%, of the total energy used in the United States. Developing the smart grid and linking it to smart appliances and other products having DR capabilities will reliably and predictably reduce appliance electricity consumption in real time. This will create the opportunity for signicant increases in energy efciency and conservation and meaningful reductions in greenhouse-gas emissions.

Pricing must provide incentives to manage energy use

more efciently and enable consumers to save money. The way consumers engage with the smart grid is critical. Consumers must be able to choose when and how they want their smart appliances to participate in the smart grid. The offer of nancial incentivesthrough time-of-use pricing or other incentive planswill be the single biggest driver for consumers to change their energy consumption habits. The beauty of the smart appliances currently being developed is that they will empower consumers to obtain direct economic benets while also providing signicant benets to utilities and society at large (i.e., via lower investments and emissions reductions) without compromising the core performance of the products. Finally, the success of the smart grid depends on public-private partnerships and the adoption of an open, global standard for transmitting and receiving signals from a home appliance.

Smart Grid DR System Architecture

This section describes the smart grid DR system that Whirlpool Corporation and its partners will develop and demonstrate as part of a smart grid investment grant under the American Recovery and Reinvestment Act. The description will start at a high level and then discuss in more detail each system component. We conclude by describing selected use cases. Figure 1 is a high-level representation of the smart grid DR system architecture that Whirlpool will demonstrate; it is referred to as the Whirlpool Smart Device Network (WSDN). Consumer feedback and control is highlighted at

Requirements for the Smart Grid

AHAM has outlined three primary requirements for the success of the smart grid: Consumer choice and privacy must be respected; the consumer is the decision maker. Smart grid communications standards must be open, exible, secure, and limited in number.

Computer or In-Home Display

Consumer Energy Control

Electronic Communication Module

Open Communication Protocol (OCP) Home Internet Router Smart Device Controller Smart Meter/AMI

Internet Domain WISE WhirlpoolIntegrated Service Environment

SEP 1.0 / 2.0 Smart Energy Profile Home Area Network

Smart Grid Control System Smart Meter Domain

figure 1. The WSDN architecture.

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It makes sense to focus on residential electricity use as a primary means for enabling DR since residential energy use accounts for a full 38% of the total energy consumed in the United States.
the top of the gure and represents an overarching WSDN design element. The consumer must always be in control of how appliances respond to signals from the smart grid. Figure 1 further depicts three data communications domains, including the smart meter domain, the Internet domain, and the home area network (HAN). In an April 2009 paper, the Edison Foundation notes that the smart meter domain represents the tens of millions of networked smart meters that are being deployed by utilities as part of building a so-called advanced metering infrastructure (AMI). The Internet domain is the public Internet that consumers typically access through a variety of broadband service providers. The HAN represents the connection of appliances and other smart devices in the home to one another and to both the Internet and the smart meter domains. In the case of the architecture being demonstrated by Whirlpool, the HAN will be controlled by a smart device controller (SDC) that hosts applications for monitoring, controlling, and coordinating the activities of appliances and other smart devices on the HAN. It also acts as a central gateway to both the Internet and the smart meter domains.
The Three Levels of DR on the Smart Grid

The third level of smart grid DR involves knowing the potential, and coordinating the response from, hundreds to millions of homes. Ideally, the smart grid DR prole will look just like an inverse power generator to a utility or grid operator. That is, it will be a nearly square wave in nature, having a predictable amplitude and reliable performance over time. Whirlpool Corporation envisions this level of smart grid DR will take place primarily via messaging on the Internet, as the networks making up the smart meter domain generally do not have the bandwidth or refresh rates necessary to either cause or coordinate large-scale DR actions in meaningful time frames. For example, in a 2009 Silver Springs Network white paper, it is stated that state-ofthe-art smart meter networks currently being deployed have refresh rates for pricing and energy use information on the order of one data set per hour per meter. Using the WSDN architecture, Whirlpool and its partners will be developing and demonstrating these three levels of smart grid DR for a selected set of smart appliances throughout 2010 and 2011.
Putting the Consumer in Control of DR

It is important to recognize and keep in mind the three levels of smart grid DR that must be developed and coordinated on a large scale in order to realize benets from the smart grid. At the lowest level is the response of an individual smart appliance to a smart grid control or pricing signal. This encompasses how an individual water heater, refrigerator, clothes dryer, or dishwasher responds to the smart grid. The second level of smart grid DR involves understanding the present usage of and coordinating the responses from all the smart appliances and other smart DR products (e.g., solar panels, electric vehicle supply equipment, and so on) in a given home. This is the role of the HAN. While it may always be acceptable to a consumer to stop running the smart water heater for some period of time, it may not be acceptable to also adjust the operation of the clothes washer, clothes dryer, and dishwasher at the same time. The SDC operates the HAN and hosts an in-home energy management system that manages DR coordination for all of the smart appliances in the home based on a personal energy savings prole dened by the consumer. The SDC connects to the Internet via the consumers broadband Internet connection. The SDC also connects to the homes smart meter via the ZigBee Smart Energy Public Application Prole and communications protocol.
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The requirement for consumers to control how their appliances respond to control and pricing signals from the smart grid has been discussed in numerous forums and is a primary nding in recent consumer research related to the smart grid, such as that undertaken by Litos Strategic Communication and the Continental Automated Building Association. In these reports, it has also been noted that very few people want to spend time each day understanding and coordinating how their appliances respond to control and pricing signals from the smart grid. Whirlpools smart grid demonstration system will use an in-home display and controller to combine real-time energy use feedback with simple smart grid energy savings response proles. Many have cited real-time energy use feedback as a key element in helping consumers reduce energy use, and this was also a key nding in the time-of-use pricing simulation studies Whirlpool has conducted with consumers. The smart grid energy savings proles are provided as a straightforward means for consumers to control to what degree they participate in the smart grid, based on their personal priorities, family schedules, and the energy saving incentive options offered by local utilities or demand aggregators. Essentially, these energy savings proles dene several levels of participation, from full participation to opt out and with several gradations in between. These determine the degree
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Consumers must be able to choose when and how they want their smart appliances to participate in the smart grid.
of coordination and the absolute energy savings that will be triggered when control and pricing signals are received from the smart grid. The objective is to provide consumers with simple smart grid participation options that produce maximum benets with little or no compromise in appliance performance and with no need for regular consumer interaction. The result for consumers will be a reduction in their electricity bill with virtually no effort. and the translation of this protocol to the Internet and smart meter networks via the communications module, or CM); the architecture protocol for the SDC; and the architecture protocol for a variety of Internet-based services, including smart grid DR, referred to as the Whirlpool Integrated Services Environment (WISE). Whirlpool is dening an open communication protocol (OCP) across the CM, SDC, and WISE to provide open standardsbased, secure communication links that connect smart appliances to the WISE using open and proven IP-based technologies. The OCP will be supported and made available to any smart device manufacturer to allow seamless connection of its smart devices to the WISE. This architecture provides secure, seamless ow and scaling of smart grid DR application messages and data across all levels of the system. The interface to the smart meter network, which is not depicted in Figure 2, is expected to be based on the ZigBee Smart Energy Public Application Prole, versions 1.0 and 2.0, which many utilities and smart meter manufacturers have adopted. Apart from communications within each individual appliance, the WSDN is built

Smart Device Networking to Enable Smart Grid DR

As shown in Figure 1, the WSDN consists of three distinct networking domainsthe HAN, the Internet, and the smart meter network. The system is designed to provide seamless connectivity and security across each of these network domains. The HAN and Internet are described in terms of the ubiquitous TCP/IP architecture protocol layers depicted on the far left side of Figure 2. From left to right in the rest of Figure 2 is the protocol stack for each individual appliance (i.e., both the proprietary protocol within the appliance

TCP/IP Architecture Protocol Layers Appliance

WSDN Architecture Protocol Layers CM SDC WISE

OCP Object Model Common Profile, Plus Custom Profile XMPP Appliance-Controlling Protocol Appliance-Controlling Protocol

Application Layer


XML SASL Turn Stunt

OCP Stack

XML SASL Turn Stunt

OCP Stack


OCP Stack



Host-to-Host Transport Layer Internet Layer


TCP IP Broadband Internet

Network Interface Layer


Broadband Connection to Internet



figure 2. Protocol architectures for each of the networks in the WSDN.

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on open networking standards, protocols, and applications. Dishwasher Energy Consumption Profile Figure 2 provokes several obserMain Wash. Heater Is Final Rinse. Heater vations. Starting at the left with indi1,400 on o for Approx. 5 min on Approx. 1520 min vidual appliances, the operation and Heated Dry. 1,200 Heater Is On 1,000 interface to these appliances will 800 continue to be handled with propriHeater Heater On Heater On 600 On etary protocols and algorithms. This 400 is essentially where each manufac200 turer differentiates the performance 0 0:00 0:08 0:16 0:25 0:33 0:41 0:49 0:58 1:06 1:14 1:23 1:31 1:39 1:48 1:56 and user experience associated with Time (hh:mm) each appliance. Whirlpool expects the interface from the HAN to each of the individual appliance DR figure 3. Energy use profile during the operation of a typical U.S. residential actions will become standard at the dishwasher. CM, so that appliances from multiple manufacturers will seamlessly interoperate and perform appliances that regularly consumes signicant amounts of as part of the smart grid. For interfacing each appliance to the energy. How these DR algorithms modify the operation of SDC so that communications can be established with both the the machine is critical to achieving consumer acceptance and smart meter and the Internet, Wi-Fi (IEEE Standard 802.11) delivering DR energy savings and societal benets. Creating is used (for demonstration purposes) as the physical layer of consumer-relevant DR algorithms depends on detailed knowlthe CM. But CMs may ultimately come in multiple varieties edge of machine performance. Figure 3 shows energy use or with multiple physical layer capabilities embedded in them during a typical operating cycle for a household dishwasher. Table 1 provides a summary of a number of relevant energy (e.g., power line carrier, ZigBee, cellular, and so on). The WSDN SDC will support Wi-Fi, ZigBee, power use statistics, and Figure 4 provides data from a 2008 National line carrier (PLC), and broadband Internet network interface layers. The Wi-Fi will form the HAN with the smart 0.12 appliances; the ZigBee and PLC will connect with the smart meter and the broadband Internet to the consumers Internet 0.1 connection. The SDC will be responsible for managing the 0.08 consumers smart grid energy savings proles, for coordinating the smart grid DR of all the smart appliances and other 0.06 DR products in the home, for communicating the current 0.04 price of energy as loaded into the smart meter by the utility, and for communicating via the Internet with the WISE in 0.02 order to provide real-time energy use and DR energy-saving potential information to the utility or demand aggregator. 0






Individual Appliances as Part of a Smart Grid DR System

A key aspect of creating a DR capability is developing consumer-relevant DR algorithms for each of the major home

Hour of Day

figure 4. Time of use and percent of total U.S. power consumption profile for U.S. dishwashers (source: NREL).

table 1. Summary of DR opportunities related to shifting peak electricity use during the operation of major home appliances. Average Power During Cycle (W) 3,000 800 89 Percent of Peak Energy Use Shift Moving from Max to Min Consumption (%) 97 80 97

Appliance Type Electric clothes dryer Dishwasher Refrigerator

Total Energy Consumed in Cycle (kWh) 3.0 1.4 2.1

Cycle Time (hour) 0.75 1.75 24

Peak Energy in Cycle (W) 6,000 1,180 574

Minimum Energy in Cycle (W) 200 240 20

Load-Shedding Period Without Adverse Consumer Impact (min) 2060 6090 4060

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dishwasher use will dramatically reduce peak energy consumption. From a DR algorithm perspec7.0 6.0 tive, in addition to the opportu5.0 nity for complete deferral of the 4.0 Heater Off, Heater On entire operating cycle, there are 3.0 Tumble On 2.0 also signicant power reduction 1.0 opportunities available during the 0.0 0:00 0:05 0:10 0:15 0:20 0:25 0:30 0:35 cycle by delaying the nal rinse Time (hh:mm) and/or delayingor perhaps even eliminatingthe heated drying figure 5. Energy use profile for a typical U.S. electric clothes dryer. portion of the cycle. Eliminating the heated drying cycle results in a reduction of the absolute amount of energy consumed as well as a time-shifted consumptiona double win. 0.1 Figures 5 and 6, along with Figures 7 and 8 and Table 1, 0.08 provide similar energy and time of use data for residential clothes dryers and refrigerators. As shown in Figures 5 and 0.06 6, electric clothes dryers offer very signicant opportunities for shifting peak electricity use, because the difference in 0.04 electricity use between heating the air the clothes are tumbling in and just running the motor to tumble the clothes is 0.02 well over 5 kW. The typical time of use for clothes dryers in 0 the United States is spread more evenly throughout the day 1 3 5 7 9 11 13 15 17 19 21 23 than is the case for dishwashers, with the peak occurring Hour of Day at about 10 a.m., thereby providing more opportunities for DR participation. From a consumer performance perspecfigure 6. Time of use and percent of total energy used by tive, clothes dryer cycle times and energy consumption are U.S. clothes dryers (source: NREL). nearly linearly related, indicating that some amount of heater on-off cycling upon receiving a DR signal will not dramatically affect drying performance but will lengthen the total Renewable Energy Laboratory (NREL) technical report on operating cycle by an amount slightly less than the total time typical usage curves for the U.S. market. the heater is shut off. Periodically turning the dryer heater From these data it can be seen that the residential dish- on and off and thereby lengthening the operating time has washer is an ideal DR appliance because its energy consump- an additional benet: it reduces total clothes dryer energy tion can be totally deferred by delaying the operation of the consumption by making better use of residual heat. machine to a later time in the evening without causing signiWith respect to refrigerators, Figures 7 and 8 and Table 1 cant inconvenience to the consumer. Dishwasher usage in the show that there are some opportunities to shift peak electricity United States spikes in the early evening soon after dinner use by moving the defrost and ice-making cycles to off-peak and often coincides with peak electricity demand. Making times. In general, however, the overall DR opportunity for consumers aware of this and incentivizing them to delay their refrigerators is much less than for other household appliances.
Dryer Energy Consumption Profile


Wattage (kW)

Possible Energy Consumption Pattern over a 24-h Period 700 600 500 400 300 200 100 0

Energy Management and the WISE

Compressor on Cycle (Door Openings = Longer Cycles)

Wattage (Watts)

574.7 Pulse Defrost Cycle

Ice-Making 386.7




Time (hh:mm)

figure 7. Electricity use profile for a typical U.S. refrigerator.

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This section provides an overview of how the network will be used to provide energy management services to consumers and utilities. In applying the WSDN to the smart grid and energy management, there will be a variety of functional services available. These will include a number of historical energy use and real-time databases; a variety of generic customer interaction
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22 :4 1 12 :0 13 5 :2 1 14 :4 3 16 :0 17 4 :2 5 18 :4 8 20 :0 7 21 :2 8 22 :4 8 10
















The smart grid DR system described here will deliver significant benefits for consumers, utilities, and society at large.
services, such as subscriber management and authentication, authorization, and accounting (AAA); business application modules such as an energy management server (EMS); an interface to third-party applications; and infrastructure (e.g., an interface to the utility back-end systems and interfaces to the consumer). Some of these will be off-the-shelf, Webbased functional blocks; others will be developed as part of the smart grid demonstration program. Figure 9 provides a visual depiction of these functional blocks and some of the instances that may be found within them for the smart grid energy management application.

0.06 0.05 Percentage 0.04 0.03 0.02 0.01 0 1 4 7 10 13 16 19 22 Hour of Day

Specific Smart Grid Energy Management Use Cases for the WISE
With the system functional blocks dened, we can now look at specic examples of using the WISE for performing aspects

figure 8. Time of use and percent of total energy used by U.S. refrigerators (source: NREL).

DBMS for Data-Warehouse

DBMS for Transactions

Billing and Accounting Database

Historical Consumption Data

Historical Device Status Data

Device Profiles


Subscriber Profiles

Application Related Data

Content Source Interface

AAA Subscriber Management Server Billing and Accounting Server

Account Management

Business Application Modules Device Management Service

Network Management Server

Network-Level Energy-Management Server Demand-Response Application

Utility Backend Interface

CCP Device Management Server

Web Server

Utility Accounting, Billing, Clearing Interface

End User Interface Modules

figure 9. The functional blocks for the WISE that will be used to provide energy management services for the smart grid.
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By the end of 2011, Whirlpool will be on track to deliver at least 1 million smart appliances to the U.S. market capable of responding to DR signals.
of residential energy management with the smart grid. We will examine how a consumer will interact with the WISE to dene a smart energy prole and thereby control how the home responds to signals from the smart grid. We will also discuss how a utility will interact with the smart grid in order to reduce the amount of power required by the grid in real time.
Consumer Interaction with the Smart Grid Using a Smart Phone

Consider the actions that occur when a consumer wants to alter his or her smart energy prole to control how appliances respond to energy management and pricing signals from the smart grid. In this case, the consumer will perform this task using a Web-enabled cellular telephone or smart phone. The process will be as follows: 1) The consumer downloads the WSDN user application and installs it on a smart phone. 2) The consumer launches the WSDN management app on the smart phone. The app automatically connects to the WISEs Web server (an end-user interface module, shown in Figure 9).

3) The consumer enters an ID and password to log on. Data are passed from the smart phone to the subscriber management server (SMS) through the Web server. 4) The SMS authenticates the user-entered data (ID and password) against a subscriber prole database. 5) If authentication is successful, the SMS retrieves the consumers authorization data (i.e., a smart energy prole). 6) The SMS builds a front-page smart energy prole based on the consumers authorized services. 7) The SMS forwards the front-page content to the Web server. 8) The Web server formats the page and forwards it to the consumers smart phone. 9) The consumer modies elds in the smart energy prole and submits the modication. 10) The data updates are forwarded to the SMS via the Web server. 11) The SMS validates the received data and modies the consumers prole in the subscriber prole database accordingly.

Device Energy Management

WISE Energy Management

S-MIME Encrypts the Actual Data Sent by the Application over Encrypted Connection

OCP Messaging and Media Interface XMPP XML Turn/Stunt TCP IP SASL TLS Bus

OCP Messaging and Media Interface XMPP SASL TLS OCP Transport Bus may/june 2010

SASL Authenticates the Connection and Authorize Users over the Encrypted Connection

OCP Transport

TLS Provides a Secured, Encrypted Connection at the Transport Layer

Turn/Stunt TCP IP

Broadband Internet




figure 10. The three layers of security provided within the WSDN architecture.
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From the perspective of an individual household, time-of-use pricing will enable significant energy bill savings.
12) The SMS builds a notication message targeted to the consumers SDC and sends it to the open communications protocol (OCP) device management server. 13) The OCP device management server keeps a mapping table of its registered devices and subscriber IDs. It nds the target SDC, encapsulates the notication message in the OCP protocol, and forwards the notication message to the SDC.
Utility-Scale Energy Management Using the Smart Grid The end user device statuses are up-to-date in WISE. The process is as follows. Note that each message between an app server and the SDC in each home will go through the OCP device management server. 1) The utility detects a heavy load on its grid and sends a load-shed request to WISE. The request should specify the number of watts needed and the time and duration and provide a list of geographical areas (e.g., ZIP codes). 2) The utility back-end interface module forwards the request to the EMS. 3) The EMS runs through an algorithm, estimates the potential load shed for the requested geographic areas, and generates a list of energy-curtailment commands targeted to particular qualied users. The algorithm is based on several factors including, for example, the real-time status of all devices in the

The following is an example of how a utility may interact with the WISE to cause DR actions across hundreds to millions of homes located within its smart grid. There are two preconditions: The utilitys back-end interface is up for contracted utilities to connect.

table 2. Summary of cyber security risks and mitigation plans. Scenario Description (Threat or Vulnerability) Back-End Server Threats The back-end server is compromised through DoS attacks. High DoS attacks are mitigated by implementing proven approaches, such as restricting concurrent connections and the connection rate from clients, and by using encryption key and certificate control in the end-point devices. Since the proposed architecture is based on a distributedcomputing model, any single point of failure will not affect the whole environment. The intelligence distributed on the SDCs will continue working by means of the energy management schedule and built-in algorithms. When the lost connections are restored, the whole system will be returned to normal. The dual linkage between the consumers and the servers (through the Internet domain and the smart meter domain) gives the smart grid control an opportunity to compare energy usage reports received through the Internet domain with data from the smart energy control. Whenever suspicious patterns are detected, the appliance will be isolated and a report will be sent to the consumer. Once again, since the proposed architecture is based on a distributed-computing model, any single point of failure will not affect the whole environment. Since the consumers interactive device does not connect directly to the other two control domains (the smart meter domain and the Internet domain), the threat will be localized and the impact to the system will be minimal.
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Impact to System

Mitigation Plan

Internet Domain Threats The network link between the back-end server and user is compromised. Moderate

HAN Threats Home appliances are controlled by illegitimate sources. Low

Smart Meter Domain Threats The interface to the utility grid through the smart meter network is compromised. Consumer Energy Control Threats The consumers interactive device is compromised. Low Moderate

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8) 9)


geographical areas, user consumption preferences, and historical data. The EMS sends the estimated load shed to the utility. The utility sends back its go-ahead with the estimated load shed. The EMS initiates the command distribution process by sending out the energy-curtailment commands to all targeted SDCs, using multicast. Each SDC receives the energy-curtailment command and executes it with the appliances under its management (this is determined by the smart energy prole that the consumer has set up). Each appliance, upon completion of the energycurtailment cycle, reports the energy saved back to the SDC. The SDC sends the command completion message back to the EMS. The EMS, whenever it receives a completion message from an end-user device, will update the subscribers database with the energy-saving data, for verication and accounting purposes. The EMS, after receiving completion messages from all targeted devices or after a predened period of time, summarizes the total energy saved and sends this information to the utility.

Security Using WISE and the Smart Grid

Cyber security is a critical element in the development and deployment of a viable smart grid. The proposed architecture employs proven security technology in a multitiered

approach to secure each step in the communication and control process, from the HAN across the Internet domain and smart meter domain to the smart grid control. These open security frameworks and protocols encrypt and transport data and messages while protecting connections from tampering, theft, and malicious activity. Additionally, this security framework allows conguration of various security levels for different areas of the network, different applications, and different types of data on a real-time basis. Since these technologies have already been proven in the public sphere, they provide unbreakable security today and the exibility to adapt to emerging threats in the future. The security objectives are to provide: Condentiality: to ensure that information is not disclosed unless authorized Integrity: to verify that data sent between the appliance and utility cannot be altered or destroyed Availability: to ensure that the smart grid system is always available and the system data are safe (the smart grid system is also protected from denial-of-service, or DoS, attacks and viruses that could potentially bring the system down or delete les) Privacy: to ensure that each participating family or individual maintains control over personal data. The security design approach has incorporated the following elements: Openness: The security protocols and methods are constantly tested, analyzed, and improved in the real world by the wider security community. This security approach can evolve as new threats emerge.

table 3. Expected savings for an individual household, based on the number of loads for which an electric clothes dryer participates in a DR program by shifting use to a time having a lower electricity cost.
Price Reduction of Off-Peak Power $ 20 Number of Dryer Cycles Shifted 40 60 80 100 120 140 160 180 200 220 $ $ $ $ $ $ $ $ $ $ $ 0.09 4.68 9.36 14.04 18.72 23.40 28.08 32.76 37.44 42.12 46.80 51.48 $ $ $ $ $ $ $ $ $ $ $ $ 0.12 6.24 12.48 18.72 24.96 31.20 37.44 43.68 49.92 56.16 62.40 68.64 $ $ $ $ $ $ $ $ $ $ $ $ 0.15 7.80 15.60 23.40 31.20 39.00 46.80 54.60 62.40 70.20 78.00 85.80 $ $ $ $ $ $ $ $ $ $ $ $ 0.18 9.36 18.72 28.08 37.44 46.80 56.16 65.52 74.88 84.24 93.60 102.96 $ $ $ $ $ $ $ $ $ $ $ $ 0.30 15.60 31.20 46.80 62.40 78.00 93.60 109.20 124.80 140.40 156.00 171.60 $ $ $ $ $ $ $ $ $ $ $ $ 0.70 36.40 72.80 109.20 145.60 182.00 218.40 254.80 291.20 327.60 364.00 400.40


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Utilities also can expect signicant benets from using methods are in use every day, proving to consumers a smart gridbased DR system that systematically controls and utilities that their systems, appliances, and private energy reduction across millions of homes at a time in a data are secure. coordinated fashion. These benets include: Modular architecture: Changes to one feature do automatic energy reduction without any inconvenience to consumers not affect the rest of the system. For example, updates precise control of appliance power usage on a network to the WISE do not affect security processes (such as levela powerful facility for sharing the load among authentication and encryption). Improvements to the participating consumers security protocols can be implemented without affect a clear, real-time view of the aggregated demand-side ing the functionality or performance of the smart grid. Standards-based architecture: The security archienergy-saving potential on the network that enables: tecture builds on existing technologies that have been the prediction of required supply proven in the real world. the setting of time-of-use and dynamic energy The security architecture is built using the Extensible pricing the ability to minimize the need for purchasing spinMessaging and Presence Protocol (XMPP), a framework ning reserves, thereby lowering costs and signicantly that leverages numerous existing security technologies to reducing carbon emissions lock, encrypt, and authorize each component and link in the ability to delay the point at which additional genthe system. By applying multiple levels of protection, this eration capacity must be built. solution provides security greater than that used by nancial All of these are signicant new capabilities that will give transactions, e-commerce, and other mission-critical tasks utilities a level of understanding and control over their operperformed on the Internet today. Under this security architecture, the security for ations that Whirlpool expects will lead to further efciencies the communication between the HAN and the SDC is and savings. Finally, having estimates for the range of time that peak achieved through three layers: the Transport Layer Security (TLS), the Simple Authentication and Security Layer energy use could be delayed without incurring unaccept(SASL) protocols, and Secure/Multipurpose Internet Mail able consequences for the consumer (shown in Table 1) Extensions (S/MIME). Figure 10 illustrates this multilay- and also the amount of peak energy use that can potenered architecture and the steps involved in each of the tially be shifted provides insight into the benets that can be obtained on a macro or societal scale. By simply three layers. These multilevel security measures cover a wide array of converting the numbers in Table 1 to peak energy savings identiable and potential security vulnerabilities. Our secu- potential per one million smart appliances of each type, rity solution not only protects assets in the proposed WSDN we can estimate the total peak energy savings potential. architecture but will also help protect the smart grid itself. The results for these calculations and their extrapolation to Table 2 summarizes the different cyber security risks and their associated mitigatable 4. Economic benefits associated with 1 million smart tion plans.
appliances of each type participating in a DR program.

Real-world security: The security protocols and

The smart grid DR system described here will deliver signicant benets for consumers, utilities, and society at large. From the perspective of an individual household, time-of-use pricing will enable signicant energy bill savings. Table 3 provides an example of the savings a consumer can expect to realize from participating in DR programs with an electric clothes dryer. The average U.S. consumer completes approximately 300 loads of laundry per year. If a consumer defers 50% of these loads to times when there are lower electricity costs, the individual can expect to save from US$40 to more than US$200 per year, depending on the price of electricity price from the local utility.
may/june 2010

Impact of Moving 1 Million Appliances from On Peak to Off Peak Appliance Category Peak Load Equivalents of Capital Cost Savings Shifted per Million 500 MW of Constructing Appliances Coal Plants Coal Plant*

Dishwasher 1,200 MW


$ 4.20 billion


500 MW


$ 1.75 billion

Electric Dryer

5,500 MW


$ 19.25 billion

*Source: Capital cost of coal power: $3,500/kWSynapse Energy Economics: Coal Power Plan Construction Costs, July 2008
2009 Whirlpool Corporation. All rights reserved. UPA Smart Energy Conference 2009

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services/news/doe-secretary-chu-smartgrid-20090921 (2009, Mar.). Measurement & verification for demand response programs. Association Environmental ImpactReduction in CO2 Emissions of Edison Illuminating Companies Load Equivalent Percent of Peak Annual Appliance Research Committee White Paper p. 8. Number of Car Demand Move to Reduction In Category Off Peak Hours CO2 Emitted1 Years of Emission2 [Online]. Available: http://www.naesb. org/pdf4/dsmee_group2_040909w5.pdf Electric Power Research Institute. (2009, Dishwasher 80% 49.5 Mil Lb 4,200 Jan.). Assessment of achievable potential from energy efficiency and demand response programs in the US (20102030) [Online]. Refrigerator 95% 6.8 Mil Lb 560 Available: public/000000000001018363.pdf Electric Association of Home Appliance Man80% 52.1Mil Lb 4,300 Dryer ufacturers. (2009, Dec.). Smart grid white 1 Reduction in emissions from off-peak consumption: 209 lb CO / MWHreGrid paperThe home appliance industrys 2 principles & requirements for achieving 2007 summary, Dec 2008 2 Annual emissions of a personal car: 5.46 metric tons CO / vehicle / yr: a widely accepted smart grid [Online]. 2 US EPA; Feb 2009 Available: 2009 Whirlpool Corporation. All rights reserved. UPA Smart Energy Conference 2009 GetDocumentAction/i/44191 S. Uckun, Integrating renewable energy into the power grid, in Proc. Sustainable Urban Management Workshop, Mountain View, CA: NASA Ames Research Center, Jan. capital cost savings based on reduced need for new power 910, 2009. generating capacity are presented in Table 4. Similar studies for residential electric hot water heaterssuch as that R. Vaswani and E. Dresselhuys. (2009). Implementing undertaken in 2009 by the Peak Load Associationhave the right network for the smart grid: Critical infrastructure indicated that the consumer-acceptable DR potential for determines long-term strategy. Silver Springs Networks water heaters can be at least as high as that for electric [Online]. Available: clothes dryers. SSN_whitepaper_UtilityProject.pdf Further estimating the greenhouse-gas emissions reducLitos Strategic Communication. The smart grid: An tion potential offered by shifting peak electricity use for introduction [Online]. US Department of Energy, p. 20. the same set of appliances provides the picture presented in Available: Table 5. These relatively simple analyses indicate that the DOE_SG_Book_Single_Pages(1).pdf electricity economic savings and greenhouse-gas emission Continental Automated Buildings Association State of reductions that can be obtained by using the smart grid and the Connected Home Market Survey 2008 [Online]. Availthe new capabilities it offers consumers and utilities for able: shifting peak energy demand are very signicant. ashx?DocId=32664 Whirlpool and its partners are committed to making R. Herndon, Building America research benchmark the smart grid a reality. By the end of 2011, Whirlpool definition, Nat. Renewable Energy Lab., Tech. Rep. NREL/ will be on track to deliver at least 1 million smart appli- TP-550-44816, Dec. 2008. ances to the U.S. market capable of responding to DR sigR. F. Troutfetter. (2009). Market potential for water heatnals. Whirlpool and other companies also are working to er demand management. Peak Load Management Associamake smart water heaters and smart thermostats available tion [Online]. Available: within a similar time frame. As long as the requirements WaterHeaterDemandManagement.pdf for smart grid success put forward by AHAM are adhered to and implemented, society can expect to start reaping large-scale benets from the smart grid within the next Biographies T. Joseph Lui is the global director of connectivity for several years. Whirlpool. For Further Reading Warwick Stirling is the global director of energy and S. Reedy. (2009, Sept. 21). Grid week: DOE Secretary Chu sustainability for Whrlpool. on fighting consumer smart-grid resistance [Telephony Henry O. Marcy is the vice president of global technolp&e Online]. Available: ogy for Whirlpool.
table 5. Environmental benefits associated with 1 million smart appliances of each type participating in a DR program.
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may/june 2010

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