IEC 62746-10-1:2018

IEC 62746-10-1 ®
Edition 1.0 2018-11
INTERNATIONAL
STANDARD
colour
inside
Systems interface between customer energy management system and the power
management system –
Part 10-1: Open automated demand response

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IEC 62746-10-1 ®
Edition 1.0 2018-11
INTERNATIONAL
STANDARD
colour
inside
Systems interface between customer energy management system and the

power management system –
Part 10-1: Open automated demand response

INTERNATIONAL
ELECTROTECHNICAL
COMMISSION
ICS 33.200 ISBN 978-2-8322-6228-3

– 2 – IEC 62746-10-1:2018 © IEC 2018
CONTENTS
FOREWORD . 5
INTRODUCTION . 7
1 Scope . 9
2 Normative references . 9
3 Terms, definitions and abbreviated terms . 10
3.1 Terms and definitions . 10
3.2 Abbreviated terms . 11
4 Overview . 12
4.1 General . 12
4.2 Node and device types . 13
4.3 IEC 62746-10-1 services . 14
4.4 Assumptions . 15
5 IEC 62746-10-1 features. 15
5.1 General . 15
5.2 Supported services . 15
5.3 Report Only VENs . 15
5.4 Transport mechanism . 15
5.5 Security . 15
6 Services and data model extensions . 15
6.1 Event service . 15
6.1.1 Event interactions . 15
6.1.2 oadrEvent mechanism . 19
6.2 Report service . 23
6.2.1 General . 23
6.2.2 Core reporting operations . 25
6.3 Registration service . 30
6.3.1 Service operations . 30
6.3.2 Registration information . 33
6.4 Opt service . 34
6.4.1 Service operations . 34
6.4.2 Detail requirements . 35
6.5 Poll service . 36
6.6 Application error codes . 39
7 Transport protocol . 40
7.1 General . 40
7.2 Simple HTTP . 40
7.2.1 General . 40
7.2.2 PUSH and PULL implementation . 40
7.2.3 Service endpoint URIs . 41
7.2.4 HTTP methods . 41
7.2.5 Failure conditions . 41
7.2.6 HTTP response codes . 41
7.2.7 Message timeouts . 42
7.2.8 Message retry/quiesce behaviour . 42
7.2.9 PULL timing . 42
7.2.10 HTTP headers . 43

7.3 Transport-specific security . 44
7.3.1 General . 44
7.3.2 TLS client certificate . 44
7.4 XMPP . 44
7.4.1 General . 44
7.4.2 Exchange model implementation . 44
7.4.3 Service endpoints . 44
7.4.4 Service execution . 45
7.4.5 Implementation of XMPP features . 45
7.4.6 Security considerations . 48
8 Cyber security . 49
8.1 General . 49
8.2 Architecture and certificate types . 49
8.3 Certificate authorities . 50
8.4 Certificate revocation . 50
8.5 TLS and cipher suites . 50
8.6 System registration process . 50
8.6.1 General . 50
8.6.2 Certificate fingerprints . 50
8.7 Implementing XML signatures for message payloads . 51
8.7.1 XML signature . 51
8.7.2 Components of XML signatures . 51
8.7.3 Creating XML signatures . 52
8.7.4 Verifying XML signatures . 53
9 Conformance . 53
9.1 Conformance statement . 53
9.2 Conformance rules . 53
9.2.1 EiEvent . 53
9.2.2 EiEvent – Additional 2.0b conformance rules . 61
9.2.3 EiOpt . 63
9.2.4 EiReport . 65
9.2.5 EiRegisterParty . 71
9.2.6 General conformance rules . 73
9.3 Cardinality . 76
Annex A (normative) Detailed report description . 77
Annex B (normative) Profile extensions. 78
B.1 Overview. 78
B.2 Report extension . 78
B.3 Event extension . 78
B.4 Other extensions . 78
Annex C (normative) oadrPoll scenarios . 79
C.1 Overview. 79
C.2 Scenarios . 79
Annex D (normative) Definition of VEN, VTN, resource, and party . 81
Annex E (normative) IEC 62746-10-1 Schema . 82
Bibliography . 206

Figure 1 – Possible relationships of VTN and VEN . 14

– 4 – IEC 62746-10-1:2018 © IEC 2018
Figure 2 – EiEvent PUSH pattern . 16
Figure 3 – EiEvent PULL pattern . 17
Figure 4 – Time intervals of an event . 19
Figure 5 – Report type . 24
Figure 6 – Interaction diagram: Register reporting capabilities . 26
Figure 7 – Interaction diagram: Request reports . 27
Figure 8 – Interaction diagram: Send reports . 29
Figure 9 – Interaction diagram: Cancel reports. 30
Figure 10 – Interaction diagram: Query registration . 31
Figure 11 – Interaction diagram: Create registration . 31
Figure 12 – Interaction diagram: Request reregistration . 32
Figure 13 – Interaction diagram: Cancel registration . 32
Figure 14 – Interaction diagram: Create opt . 35
Figure 15 – Interaction diagram: Cancel opt . 35
Figure 16 – Interaction diagram: oadrPoll (nothing in queue) . 37
Figure 17 – Interaction diagram: oadrPoll (oadrDistributeEvent reply) . 38
Figure 18 – Interaction diagram: oadrPoll (oadrCreateReport reply) . 38
Figure 19 – Interaction diagram: oadrPoll (request reregistration reply) . 39
Figure 20 – XML signature example . 52

Table 1 – IEC 62746-10-1 services support . 13
Table 2 – Signals . 21
Table 3 – EiRegisterParty payloads . 30
Table 4 – VEN information in oadrCreatePartyRegistration payload . 33
Table 5 – VTN information oadrCreatedPartyRegistration payload . 34
Table 6 – EiOpt payloads . 34
Table 7 – Conformance rules . 54
Table 8 – Additional conformance rules . 61
Table 9 – EiOpt conformance rules . 63
Table 10 – EiReport conformance rules . 65
Table 11 – EiRegisterParty conformance rules . 71
Table 12 – General conformance rules. 73
Table 13 – Cardinalities . 76

INTERNATIONAL ELECTROTECHNICAL COMMISSION
____________
SYSTEMS INTERFACE BETWEEN CUSTOMER ENERGY
MANAGEMENT SYSTEM AND THE POWER MANAGEMENT SYSTEM –

Part 10-1: Open automated demand response

FOREWORD
1) The International Electrotechnical Commission (IEC) is a worldwide organization for standardization comprising
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9) Attention is drawn to the possibility that some of the elements of this IEC Publication may be the subject of
patent rights. IEC shall not be held responsible for identifying any or all such patent rights.
International Standard IEC 62746-10-1 has been prepared by IEC project committee 118:
Smart grid user interface.
The text of this International Standard is based on the following documents:
CDV Report on voting
118/91/CDV 118/96B/RVC
Full information on the voting for the approval of this International Standard can be found in
the report on voting indicated in the above table.
This document has been drafted in accordance with the ISO/IEC Directives, Part 2.

– 6 – IEC 62746-10-1:2018 © IEC 2018
A list of all parts in the IEC 62746 series, published under the general title Systems interface
between customer energy management system and the power management system, can be
found on the IEC website.
The committee has decided that the contents of this document will remain unchanged until the
stability date indicated on the IEC website under "http://webstore.iec.ch" in the data related to
the specific document. At this date, the document will be
• reconfirmed,
• withdrawn,
• replaced by a revised edition, or
• amended.
A bilingual version of this publication may be issued at a later date.

IMPORTANT – The 'colour inside' logo on the cover page of this publication indicates
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INTRODUCTION
Development of the demand response (DR) market has resulted in a transition from manual
DR to OpenADR (this document) in automated DR programs. DR is defined as an action taken
to reduce electricity demand in response to price, monetary incentives, or utility directives so
as to maintain reliable electric service or avoid high electricity prices. This document was
developed to support common auto-DR programs and energy policy objectives to move
toward dynamic markets to improve the economics and reliability of the electricity grid. The
recent developments have expanded the use of this document to meet diverse market needs,
such as ancillary services, dynamic prices, intermittent renewable resources, supplement
grid-scale storage, electric vehicles, and load as generation. For example, with real-time price
information, an automated client within the customer facility can be designed to continuously
monitor these prices and translate this information into continuous automated control and
response strategies.
This document's communication has the following defining features:
• Continuous, secure, and reliable – Provides continuous, secure, and reliable two-way
communications 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 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.
This document is a communications data model, along with transport and security
mechanisms, which facilitate information exchange between two end-points: the electricity
service provider or DR program operator, and a customer-side resource. It is not a protocol
that specifies "bit-structures" as some communications protocols do, but instead relies upon
existing open standards such as Extensible Markup Language (XML) and internet protocol (IP)
as the framework for exchanging DR signals. In some references, the term "system,"
"technology," or "service" is used to refer to the features of this document.
IEC 62746-10-1 is designed to facilitate automation of DR actions at the customer location,
whether it involves electric load decreases, load increases, or load shifting for various
demand response markets. Many emergency or reliability DR events occur at specific times
when the electricity grid is strained. The communications are designed to coordinate such
signals with facility control systems (commercial, industrial, and residential). This document is
also designed to provide continuous dynamic price signals, such as hourly, day-ahead, or
day-of real-time pricing. With such price information, an automated client can be configured to
continuously monitor these prices and translate this information into continuous automated
control and response within a facility. Several reports present the history of this document and
the involved research. This document covers the signalling data models for price and
reliability signals to both wholesale and retail markets, and can act as a complementary
standard to a CIM-based grid control system.

– 8 – IEC 62746-10-1:2018 © IEC 2018
This document provides the following benefits:
• Open specification – Provides a standardized DR communications and signalling
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 interoperability, 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
obsolescence in technology.
• Ease of integration – Facilitates integration of common energy management and control
systems (EMCS), centralised lighting, and other end-use devices that can receive internet
signals (such as XML).
• Supports a wide range of information complexity – Can express the information 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. aggregators) to receive the DR
information that is best suited for its operations.
This document's purpose is to manage the growing demand for demand-side flexibility – the
ability to modify the load profile of the consumers over time. This low-cost communications
infrastructure is used to improve the reliability, repeatability, robustness, and cost-
effectiveness of DR.
This technology has been field tested for over a decade and deployed in a number of DR
programs worldwide. While the scope of this document focuses on signals for DR events and
prices, significant supporting research work has been done to study DR strategies and
techniques to automate DR within facilities. This document interacts with facility control
systems that are pre-programmed to take action based on a DR signal, enabling a response
to a DR event or a price to be fully automated, with no manual intervention.

SYSTEMS INTERFACE BETWEEN CUSTOMER ENERGY
MANAGEMENT SYSTEM AND THE POWER MANAGEMENT SYSTEM –

Part 10-1: Open automated demand response

1 Scope
This part of IEC 62746-10, OpenADR 2.0 (this document), specifies a minimal data model and
services for demand response (DR), pricing, and distributed energy resource (DER)
communications. This document can be leveraged to manage customer energy resources,
including load, generation, and storage, via signals provided by grid and/or market operators.
These resources can be identified and managed as individual resources with specific
capabilities, or as virtual resources with an aggregated set of capabilities.
This document specifies how to implement a two-way signaling system to facilitate information
exchange between electricity service providers, aggregators, and end users. The DR
signalling system is described in terms of servers (virtual top nodes or VTNs), which publish
information to automated clients (virtual end nodes, or VENs), which in turn subscribe to the
information.
This document provides application-level service communication that can be used to
incentivise a response from a customer-owned DER. Price and DR signals over the internet
allow indirect control of customer-owned devices that otherwise would not be available.
This document's services are independent of transport mechanisms. For the purposes of
interoperability, this document provides basic transport mechanisms and their relevant
interaction patterns to address different stakeholder needs. In addition, this document
specifies cyber security mechanisms required for data confidentiality, integrity, authentication
and message-level security, in order to provide non-repudiation and mitigation of cyber
security risks.
The services make no assumption of specific DR electric load control strategies that can be
used within a DR resource or of any market-specific contractual or business agreements
between electricity service providers and their customers.
This document provides a clear set of mandatory and optional attributes within each of the
services to meet broader interoperability, testing and certification requirements. All necessary
XML schema are included in Annex E.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their
content constitutes requirements of this document. For dated references, only the edition
cited applies. For undated references, the latest edition of the referenced document (including
any amendments) applies.
ISO 8601, Data elements and interchange formats – Information interchange –
Representation of dates and times
INTERNET ENGINEERING TASK FORCE (IETF). RFC 2616: Hypertext Transfer Protocol –
HTTP/1.1 [online]. Edited by R. Fielding et al. June 1999 [viewed 2018-08-02]. available at:
http://www.ietf.org/rfc/rfc2616.txt

– 10 – IEC 62746-10-1:2018 © IEC 2018
INTERNET ENGINEERING TASK FORCE (IETF). RFC 3986: Uniform Resource Identifier
(URI): Generic Syntax [online]. Edited by T. Berners-Lee et al. January 2005 [viewed 2018-
08-02]. available at:
http://www.ietf.org/rfc/rfc3986.txt
INTERNET ENGINEERING TASK FORCE (IETF). RFC 5246: The Transport Layer Security
(TLS) Protocol Version 1.2 [online]. Edited by T. Dierks et al. August 2008 [viewed 2018-08-
02]. available at
https://tools.ietf.org/html/rfc5246
INTERNET ENGINEERING TASK FORCE (IETF). RFC 6120: Extensible Messaging and
Presence Protocol (XMPP): Core [online]. Edited by P. Saint-Andre. March 2011 [viewed
2018-08-02]. available at:
http://www.ietf.org/rfc/rfc6120.txt
INTERNET ENGINEERING TASK FORCE (IETF). RFC 6121: Extensible Messaging and
Presence Protocol (XMPP): Instant Messaging and Presence [online]. Edited by P. Saint-
Andre. March 2011 [viewed 2018-08-02]. available at:
http://www.ietf.org/rfc/rfc6121.txt
XMPP Standards Foundation. XEP-0030: Service Discovery [online]. Edited by J. Hildebrand
et al. October 2017 [viewed 2018-08-02]. available at:
http://xmpp.org/extensions/xep-0030.html
3 Terms, definitions and abbreviated terms
3.1 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following
addresses:
• IEC Electropedia: available at http://www.electropedia.org/
• ISO Online browsing platform: available at http://www.iso.org/obp
3.1.1
OpenADR 2.0
specification that provides the basis for this document
3.1.2
PUSH and PULL operations
mode of operation by which this document can be used in either PULL mode (VEN pulling
information from VTN) or in a PUSH mode (VTN pushing information to the VEN)
Note 1 to entry: The XMPP transport uses a PUSH model, although VENs can still make requests of the VTN,
excluding the use of oadrPoll.
3.1.3
simple HTTP
HTTP implementation that uses HTTP POST over TLS to propagate payloads
3.1.4
virtual end node
VEN
technical role assumed by an actor where the actor is a consumer and/or producer of
messages that are defined by this document

Note 1 to entry: A virtual end node (VEN) can be associated with zero or more resources. A VEN can receive
messages pushed from a VTN or send requests or events to a VTN. A VEN may communicate with multiple VTNs,
where each VTN is part of a different communication domain.
[SOURCE: IEC TS 62746-3:2015, 3.1.15, modified – Note 2 to entry has been omitted.]
3.1.5
virtual top node
VTN
technical role assumed by an actor that is assuming responsibility for the coordination of
VENs within a communication domain
Note 1 to entry: This is a special case of a VEN, where a virtual top node (VTN) is effectively a parent of many
VENs with the responsibility for coordination of those VENs. A VTN is responsible for pushing to or receiving
messages from many VENs. A market operator, grid operator or aggregator are examples of actors which will
typically implement a VTN interface.
[SOURCE: IEC TS 62746-3:2015, 3.1.17, modified – Note 2 to entry has been omitted.]
3.1.6
resource
demand-side commodity that is associated with a load profile
3.1.7
party
entity that enters into some sort of business relationship or contract
Note 1 to entry: A more detailed definition can be found in Annex D.
3.1.8
RSA
public-key crypto system placed into the public domain by RSA Data Security, Inc.
3.2 Abbreviated terms
CA certificate authority
DER distributed energy resources
DR Demand Response
ECC elliptic curve cryptography
EI energy interoperation
HTTP Hypertext Transfer Protocol
ISO independent systems operator
JID jabber identifier
OpenADR Open Automated Demand Response
PICS protocol implementation conformance statement
PKI public key infrastructure
SASL Simple Authentication and Security Layer
SOAP Simple Object Access Protocol
TLS Transport Layer Security
UCAIug Utilities Communications Architecture International Users Group
VEN virtual end node
VTN virtual top node
XML Extensible Markup Language
XMPP XML Messaging and Presence Protocol

– 12 – IEC 62746-10-1:2018 © IEC 2018
4 Overview
4.1 General
Clause 4 gives an overview of the message exchanges, the roles, and actors supported within
this document. It contains the following elements that are used to develop test and
certification frameworks for smart grid and customer system interoperability:
a) a set of data models that describe information communicated in message payloads;
b) a set of services for performing various functions and operations for the exchange of the
data models;
c) a set of transport mechanisms for implementing the services. The transport mechanisms
rely upon standard-based IP communications, such as HTTP and XML messaging and
presence protocol (XMPP);
d) a set of security mechanisms for securing each of the transport mechanisms;
e) a set of XML schemas (see Annex E).
Integration of IEC 62746-10-1 systems within the IEC's standards framework is done with a
CIM adapter that may be produced in accordance with the methodology described in
IEC 62746-10-3. Message exchanges in this document support services for communicating
information about demand response events. Networks of nodes shall be able to query for
active or pending events, register themselves, schedule events, and send reports. The nodes
shall also be able to refine and update previously sent information. For instance, a node
reporting DR events to nodes downstream shall be able to cancel a previously scheduled
event if this becomes necessary.
Nodes in these networks are divided into two groups: nodes that publish and transmit
information about events to other nodes (e.g. utilities), and nodes that receive the
communications and then respond to that information (e.g. end users). The upstream nodes
that publish information about upcoming events are called virtual top nodes (VTNs); the
downstream nodes that receive this information are called virtual end nodes (VENs).
These nodes may communicate using a variety of protocols. They may communicate using
HTTP in either PUSH mode (where the VTN initiates communication) or in a PULL mode (the
VEN requests information from the VTN to begin a series of message exchanges). The
VTNs/VENs may also communicate over other transport mechanisms, such as XML
messaging and presence protocol (XMPP).
This document supports end devices with a varying degree of capabilities. However, for
interoperability, all protocol capabilities are mandatory.
IEC 62746-10-1 specifies the following services:
1) Register: Registration identifies entities in advance of interactions with other parties in
various roles such as VEN and VTN.
2) Event: The core DR event functions and information models for price-responsive DR. This
service is used to call for performance under a transaction. The service parameters and
event information distinguish different types of events: reliability events, emergency
events, price events, regulation events and possibly other types in the future.
3) Report: The report service enables feedback to the server in order to provide periodic or
one-time information on the state of a resource.
4) Opt: Overrides the EiAvail and addresses short-term changes in availability to create and
communicate opt-in and opt-out schedules from the VEN to the VTN.
Table 1 outlines the mandatory and optional implementation of this document.

Table 1 – IEC 62746-10-1 services support

VTN VEN
Full (Energy
Reporting only)
Services and Functions
Support
EiEvent
Full Profile M M NA
EiOpt
Full Profile M M NA
EiReport
Full Profile M M* M*
EiRegisterParty
Full Profile M M M
Transport Protocols
Simple HTTP M O-1 O-1
XMPP M O-1 O-1
Security Levels
Standard M M M
High O O O
M Mandatory NA Not available
O Optional * Optional features available
O-1 Optional, but at least one option shall be
supported
4.2 Node and device types
For any interaction between actors using this document to communicate, one actor is
designated the virtual top node and the remainder are the virtual end nodes. All
communications are between a VTN and one or more VENs. There is no peer-to-peer
communication in this document, i.e. VTNs do not communicate directly with other VTNs, and,
likewise, VENs do not communicate directly with other VENs.
The VTN generally acts as the server, providing information to the VEN, which responds to
the information. For instance, a VTN would be the entity to announce a DR event; then, VENs
hear about DR events and respond. The response can be to reduce power to some devices.
The response could also be to propagate the signal further downstream to other VENs. In this
case, the VEN would become the VTN for the new interaction (e.g. the aggregator in Figure 1).
For the purpose of device development, the manufacturer should always test the interface
between a VTN and a VEN, where either node can be the device under test. Intelligence built
into the systems not related to the message exchange is not part of this document.

– 14 – IEC 62746-10-1:2018 © IEC 2018
The authoritative requirements for implementation of VENs and VTNs are defined in the
schema and the conformance rules. Narrative descriptions in later clauses separate from the
conformance rules provide context and implementation examples, but do not contain the full
breadth of implementation requirements. Therefore, it is strongly recommended that
implementers thoroughly understand all the conformance rules prior to coding.
Although within any interaction, one actor is designated the VTN and the remainder are VENs
(moreover, most interactions have exactly one VTN and one VEN), sets of actors can be
arranged in any hierarchy, by allowing actors to act as VENs for some interactions and VTNs
for others.
Demand response
service providers (VTN)
Aggregated
Information Loads
(VEN/VTN)
Operators system
OpenADR 2.0
Secure Internet
Site Site
Site
Site
A (VEN) B (VEN)
E (VEN)
Site
C (VEN)
D (VEN)
OpenADR 2.0
IEC
Figure 1 – Possible relationships of VTN and VEN
As illustrated in Figure 1, any combination of VTN and VEN is possible through a
utility/ISO (service provider or server) to sites (customers). Also, as shown above, systems
can function as a VEN to a VTN in a higher layer of the hierarchy and as a VTN to
subordinate VENs. In either of these architectural scenarios, an operation can be initiated by
the VTN to a VEN (PUSH pattern) or a VEN can request it from a VTN (PULL pattern). The
exchanged events in either direction can be independent from each other and this document
does not define how the nodes react to the information. In nodes that support both the VTN
and VEN interfaces (e.g. aggregators), there are no specifications or constraints on how
...