Automating Building Energy Management for Accelerated Building Decarbonization: System Architecture and the Network Layer

James Kempf, PhD, is a Senior Consultant for Kempf and Associates Consulting, a teacher of blockchain and smart contracts at the University of California Santa Cruz Extension, and a Member of the IEEE Blockchain-Enabled Transactive Energy (BCTE) Initiative. Previously, he was Senior Principal Architect at Equinix where he led the Edge Services Innovation advanced development team and oversaw the architecture of Equinix Edge Metal as a service product.

• About the Author xviiPreface xixAcknowledgments xxiiiAcronyms xxv1 Introducing Grid- interactive Efficient Buildings (GEBs) 11.1 Scope of the Building Decarbonization Problem 21.2 What Are Grid- Interactive Efficient Buildings (GEBs)? 41.3 How Do GEBs Advance the Goal of Energy Decarbonization? 51.4 Characterizing Building Loads in Commercial and Residential Buildings 61.4.1 The Three- Dimensional Load Flexibility Criteria Space 71.4.2 Types of Residential and Commercial Building Loads and How to Make Them Flexible 71.5 The Role of the BEMS 111.6 Strategies for Decarbonization and Cost Reduction 121.6.1 Strategies Based on Load Flexibility 121.6.2 Strategies Based on Utilizing Generated and Stored Renewable Energy from Onsite DERs 131.7 Building Energy Impact of Flexibility Strategies 141.8 GEBs as a Grid Resource 161.8.1 Grid Impact of Flexibility Strategies 181.9 Building Energy Efficiency Standards 201.9.1 Leadership in Energy and Environmental Design 201.9.2 Energy Star 211.10 Summary 22References 252 Architecture of Building Energy Management Systems 292.1 BEMS Functional Architecture 302.1.1 The Network 322.1.2 Sensing and Actuating Devices 382.1.3 Device Network and Device Network Gateway 382.1.4 Building Gateway 392.1.5 Application Layer Router 402.1.6 Databases 402.1.7 Algorithmic Building Energy Management Supervisory Control 412.1.8 Utility and Weather Data Scraper 422.1.9 Utility Alerts and Notifications 422.1.10 API Servers 422.1.11 BEMS Dashboard Backend 442.1.12 Frontends 442.1.13 Alerts and Notifications 462.2 BAS Generations 462.2.1 Vendor and Equipment Specific Silos 482.2.2 Integration Overlays 492.2.3 Horizontal Integration 522.3 Cybersecurity Architecture 552.3.1 Threat Modeling 552.3.2 Trust Boundaries, Threat Boundaries, and Attack Surfaces 562.3.3 The Zero- Trust Architectural Principle 572.3.4 Security Services 582.3.5 Cryptographic Operations 592.3.6 Security Technologies 622.3.7 Security Reference Architecture 642.3.8 Commissioning Security 672.4 The Convergence of OT and IT Systems 682.5 Summary 69References 703 Link–Layer Protocols 753.1 LAN and WLAN Link- Layer Protocols 763.2 IEEE 802.3 (Ethernet) 773.2.1 Ethernet Medium Access Control 773.2.2 Ethernet Frame Format 793.2.3 Ethernet Addressing 803.2.4 Ethernet over Power Line 823.3 IEEE 802.11 (Wi- Fi) 843.3.1 Wi- Fi Network Deployment Architectures 853.3.2 Wi- Fi Physical Layer 893.3.3 Wi- Fi Medium Access Control 913.3.4 Wi- Fi Frame Format 963.3.5 Wi- Fi Addressing 993.3.6 Wi- Fi Association Protocol 1013.4 WPAN Link- Layer Protocols 1053.5 Ieee 802.15.4 1053.5.1 802.15.4 Network Architecture 1063.5.2 802.15.4 Physical Layer 1083.5.3 802.15.4 Medium Access Control 1093.5.4 802.15.4 Frame Format 1133.5.5 802.15.4 Addressing 1163.6 Bluetooth Low Energy 1173.6.1 BLE Stack Architecture 1183.6.2 BLE Network Architecture 1193.6.3 BLE Physical Layer 1203.6.4 BLE Medium Access Control 1213.6.5 BLE Frame Format 1233.6.6 BLE Addressing 1253.6.7 Establishing a Connection in BLE 1253.7 LoRa and LoRaWAN 1273.7.1 LoRaWAN Stack Architecture 1283.7.2 LoRaWAN Network Architecture and Network Node Types 1293.7.3 LoRaWAN Physical Layer 1313.7.4 LoRaWAN MAC Layer and Device Node Types 1323.8 Cellular IoT Link- Layer Protocols 1333.8.1 LTE Cat m 1343.8.2 NB- IoT 1353.9 Selecting Link- Layer Technologies for a BEMS Network 1363.9.1 Selecting a Device Network 1363.9.2 Selecting a Building Backhaul LAN Technology 1373.9.3 Selecting a WAN Technology 1383.10 Summary 139References 1404 The IP Stack 1454.1 The IP Network Layer 1474.1.1 IP Routing Overview 1474.1.2 Internet Network Architecture 1494.1.3 ICMP, ARP, and Neighbor Discovery 1504.2 IPv 4 1514.2.1 IPv4 Packet Header 1524.2.2 IPv4 Addressing 1544.3 IPv 6 1594.3.1 IPv6 Header 1604.3.2 IPv6 Addressing 1614.4 6LoWPAN 1684.4.1 6LoWPAN Network Architecture 1694.4.2 6LoWPAN Header 1704.4.3 6LoWPAN Addressing 1714.4.4 6LoWPAN Header Compression 1724.4.5 6LoWPAN Packet Fragmentation and Reassembly 1734.4.6 6LoWPAN Node Configuration 1744.4.7 6LoWPAN Mesh Routing 1774.4.8 6LoWPAN Mesh Router Configuration 1794.5 Transport Layer 1814.5.1 Transport Layer Ports 1814.6 Udp 1824.6.1 UDP Header 1834.6.2 Quic 1844.7 Transmission Control Protocol 1844.7.1 TCP Header 1854.7.2 Procedures for Establishing and Breaking a Connection 1884.7.3 Congestion Control Mechanisms 1914.8 Application Layer Protocols 1914.9 Dns 1924.9.1 DNS Names 1934.9.2 DNS Architecture 1944.9.3 DNS Packet Format 1964.9.4 Name Resolution with DNS 1994.10 Dhcp 2004.10.1 DHCP Message Types 2024.10.2 DHCP Packet Format 2034.10.3 Node Configuration Using DHCP 2054.11 Open- Source Tools for Monitoring BEMS IP Networks 2084.11.1 Packet Tracing with Wireshark 2084.12 Summary 209References 2105 Link Layer and IP Stack Protocol Security 2175.1 Threats to Link Layer and IP Stack Protocols 2185.2 Link Layer Security Protocols 2195.3 EAP and RADIUS Protocols 2215.3.1 EAP Network Architecture 2215.3.2 EAP Protocol 2225.3.3 RADIUS Protocol 2245.3.4 Generic EAP/RADIUS Authentication Protocol 2265.4 Ethernet Security 2285.4.1 802.1X Network Architecture 2295.4.2 EAPOL Protocol 2305.5 Wi- Fi Security 2325.5.1 The Robust Security Network Architecture 2335.5.2 Overview of the Security Association Setup Process 2345.5.3 Authentication Algorithm Selection and Parameter Configuration 2355.5.4 Identity Authentication, Access Control, and Pairwise Master Key Derivation 2385.5.5 The Four- Way Handshake 2425.5.6 Group Key Provisioning 2455.5.7 Commissioning Security Overview 2465.6 802.15.4 WPAN Security 2475.6.1 Security Fields in the 802.15.4 Packet 2485.6.2 Auxiliary Security Header 2485.6.3 Calculation of the Frame Payload Field in Secured Frames 2505.6.4 Bluetooth Low Energy Security 2515.6.5 BLE Security Modes and Levels 2515.6.6 Pairing and Bonding Procedure 2535.6.7 Legacy Pairing Method 2555.6.8 Pairing Exchange Payload Format 2565.6.9 Confidentiality and Integrity Protection 2595.6.10 Secure Connections Method 2595.6.11 Access Control and Privacy 2625.7 Public Key Certificates and the Public Key Infrastructure 2635.7.1 X.509 Certificates 2645.7.2 Public Key Infrastructure (PKI) 2655.8 IP Stack Security Protocols 2665.9 Ike 2675.9.1 Overview of the IKEv2 Protocol 2675.9.2 IKEv2 Header 2685.9.3 IKEv2 Payload Elements 2695.9.4 Example IKEv2 Protocol Exchange 2725.10 IPSec 2755.10.1 IPSec Reference Architecture 2765.10.2 Authentication Header (AH) 2795.10.3 Encapsulating Security Payload (ESP) 2815.11 Tls 2845.11.1 TLS Overview 2855.11.2 TLS Record Protocol Messages 2865.11.3 TLS Handshake Protocol Messages 2875.11.4 Example TLS 1.3 Handshake Protocol Exchange 2895.12 Virtual Private Networks 2915.12.1 Open Source Tools for Deploying VPNs 2935.12.2 Open Source IPsec VPNs 2935.12.3 Open- Source Layer 3 VPNs 2945.13 Summary 296References 2976 Building Automation Stack for Large Commercial and Public Buildings 3036.1 Introduction to the BACnet Protocol 3046.2 The BACnet Stack Architecture 3056.3 BACnet Link Layers 3066.4 Ms/ Tp 3076.4.1 MS/ TP Medium Access Control 3086.4.2 MS/ TP Frame Format 3086.4.3 MS/ TP Addressing 3096.4.4 MS/ TP Frame Types 3096.4.5 Bootstrapping the MS/ TP Link Layer 3116.5 UDP/IPv4 Virtual Link Layer 3136.5.1 UDP/IPv4 BVLL “Frame” Format 3146.5.2 UDP/IPv4 BVLL Addressing 3146.5.3 BBMD Internal Data Structures for Broadcast Control and Foreign Device Registration 3186.5.4 UDP/IPv4 BVLC Message Types 3196.5.5 UDP/IPv4 BVLL Broadcast Example 3216.6 BACnet Network Layer 3236.6.1 BACnet Network Layer Header Format 3236.6.2 BACnet Network Layer Addressing and Routing 3246.6.3 Header Control field 3266.6.4 Network Layer Management Message Types 3266.6.5 Transmitting and Receiving Packets on BACnet Networks 3316.6.6 Discovering a Router to a Remote Link 3366.7 BACnet Application Layer 3376.7.1 BACnet Objects and Object Types 3376.7.2 Properties 3386.7.3 Primitive, Collection, Enumeration, Sequence, and Choice Datatypes 3426.7.4 Basic BACnet Object Types 3456.7.5 Object Types Useful for BEMS Implementations 3496.7.6 BACnet Event and Alarm Handling 3606.7.7 BACnet Services 3676.7.8 Protocol Implementation Conformance Statement (PICS) 3736.8 BACnet Security 3746.9 BACnet Interoperability 3786.10 Other Protocols for Large Commercial and Public Building Automation 3806.11 Summary 382References 3847 Building Automation Stacks for Residential and Small Commercial Buildings 3897.1 Bluetooth Low Energy Application Layer 3927.1.1 GAP and GATT Roles 3937.1.2 UUIDs for Identifying Attributes 3947.1.3 Att 3947.1.4 Gatt 3967.1.5 GATT Profiles, Services, and Characteristics for Energy Management Applications 4027.2 Zigbee 4077.2.1 Zigbee Network Architecture 4087.2.2 Zigbee Network Layer 4127.2.3 Zigbee Security 4177.2.4 Zigbee Application Layer and Application Support Sublayer 4197.2.5 Zigbee Device Object 4237.2.6 Zigbee Device Profile Clusters 4247.2.7 Zigbee Cluster Library 4257.2.8 Demand Response and Load Control (DLRC) Cluster 4297.2.9 Example DRLC Cluster Event Message Exchange Scenarios 4397.2.10 Smart Energy Profile 4437.2.11 Interoperability Specifications 4437.3 Matter 4467.3.1 Thread 4497.3.2 Matter Network Architecture 4517.3.3 Matter Stack 4537.3.4 Matter Data Model 4547.3.5 Matter Fabrics and Nodes 4567.3.6 Device Type Classification 4577.3.7 Matter Interaction Model 4577.3.8 Groups and Paths 4587.3.9 Security 4597.3.10 Device On- boarding 4597.3.11 Matter Utility Clusters 4627.3.12 Matter Energy Management Clusters 4627.4 Other Smart Home Protocols 4667.5 Summary 467References 4688 Application Protocols, APIs, and Architectures 4738.1 What Is an API? 4748.1.1 REST and RPC 4758.2 Application Architectures 4788.2.1 Client–Server Architecture 4788.2.2 Event- Based Architecture 4798.3 API Data Representation and Protocols 4808.3.1 URIs, URNs, and URLs 4818.3.2 HTTP and REST APIs 4838.3.3 Mqtt 4888.3.4 Other Message Bus Protocols for Event- Based Systems 4968.3.5 Data Representation Languages 4978.4 API Standards 5018.4.1 An Example Application 5028.4.2 OpenAPI 5038.4.3 AsyncAPI 5168.5 Other API Definition Frameworks 5238.6 Zero Trust Security for APIs and Application Protocols 5248.6.1 VPNs 5248.6.2 Mutual TLS 5258.6.3 Application Protocol Identity and Access Management 5268.6.4 IAM Frameworks 5328.6.5 Specifying IAM in OpenAPI and AsyncAPI Definitions 5408.7 Summary 544References 5459 Managing DERs and the Utility Connection 5519.1 DERs and Building- Integrated Microgrids 5539.2 Modbus 5549.2.1 Modbus TCP Message Format 5559.2.2 Modbus Data Model 5579.2.3 Modbus Function Codes and Message Types 5589.2.4 Modbus Message Type Examples 5599.3 SunSpec Modbus Profile 5629.3.1 SunSpec Modbus Network Architecture 5629.3.2 SunSpec Device Information Model Structure 5639.3.3 Device Model Elements 5639.3.4 SunSpec Device Information Model Stack 5689.3.5 Model Encodings 5699.3.6 Modbus Mapping 5709.4 Other DER Communication Protocols 5719.5 DER Manufacturer APIs 5729.5.1 Enphase Enlighten API 5739.5.2 Registering for a Developer Account and Obtaining IAM Credentials 5749.5.3 Base URL and Request Header Format 5759.5.4 Monitoring API 5759.5.5 Commissioning API 5829.5.6 Other Manufacturer Device Control APIs 5839.6 The Utility Connection 5849.7 OpenADR 5859.7.1 OpenADR 3.0 Architecture 5879.7.2 OpenADR 3.0 API 5919.7.3 OpenADR 3.0 URL Format 5919.7.4 OpenADR 3.0 Transport Layer Security and IAM 5939.7.5 Creating a Subscription to an Energy Service Provider’s Program and Receiving Events 5959.8 Ieee 2030.5 6019.8.1 SunSpec Common Smart Inverter Profile (CSIP) 6039.8.2 Protocol Overview 6059.9 Other Protocols for Communicating Between the Utility and Flexible Loads/DERs 6089.9.1 Ansi/cta 2045 6089.9.2 Dnp 3 6099.10 Controlling Energy Use Based Directly on Reported Grid Marginal Carbon Emissions 6109.10.1 California MIDAS Server 6129.11 Summary 616References 617Index 623