Zigbee Smart Energy Profile Specification

ZigBee Smart Energy Profile Specification
Document 075356r15
ZIGBEE SMART ENERGY

PROFILE SPECIFICATION
Smart Energy
Profile Specification
ZigBee Profile: 0x0109
Revision 15
ZigBee Document 075356r15

December 1, 2008 1:06 pm
Sponsored by: ZigBee Alliance
Accepted by
ZigBee Alliance Board of Directors.
Abstract
Keywords
ZigBee, Profile, AMI, Application Framework, Smart Energy.
December 1, 2008
Copyright 2008 ZigBee Standards Organization. All rights reserved.
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Document 075356r15
NOTICE OF USE AND DISCLOSURE

Copyright ZigBee Alliance, Inc. (2007-2008). All rights Reserved. The information within
this document is the property of the ZigBee Alliance and its use and disclosure are
restricted.
Elements of ZigBee Alliance specifications may be subject to third party intellectual
property rights, including without limitation, patent, copyright or trademark rights (such a
third party may or may not be a member of ZigBee). ZigBee is not responsible and shall not
be held responsible in any manner for identifying or failing to identify any or all such third
party intellectual property rights.
This document and the information contained herein are provided on an AS IS basis and
ZigBee DISCLAIMS ALL WARRANTIES EXPRESS OR IMPLIED, INCLUDING BUT NOT
LIMITED TO (A) ANY WARRANTY THAT THE USE OF THE INFORMATION HEREIN
WILL NOT INFRINGE ANY RIGHTS OF THIRD PARTIES (INCLUDING WITHOUT
LIMITATION ANY INTELLECTUAL PROPERTY RIGHTS INCLUDING PATENT,
COPYRIGHT OR TRADEMARK RIGHTS) OR (B) ANY IMPLIED WARRANTIES OF
MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, TITLE OR NONINFRINGEMENT. IN NO EVENT WILL ZIGBEE BE LIABLE FOR ANY LOSS OF
PROFITS, LOSS OF BUSINESS, LOSS OF USE OF DATA, INTERRUPTION OF
BUSINESS, OR FOR ANY OTHER DIRECT, INDIRECT, SPECIAL OR EXEMPLARY,
INCIDENTIAL, PUNITIVE OR CONSEQUENTIAL DAMAGES OF ANY KIND, IN
CONTRACT OR IN TORT, IN CONNECTION WITH THIS DOCUMENT OR THE
INFORMATION CONTAINED HEREIN, EVEN IF ADVISED OF THE POSSIBILITY OF
SUCH LOSS OR DAMAGE. All Company, brand and product names may be trademarks
that are the sole property of their respective owners.
The above notice and this paragraph must be included on all copies of this document that
are made.
ZigBee Alliance, Inc.
2400 Camino Ramon, Suite 375
San Ramon, CA 94583, USA
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Notice of Use and Disclosure
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Document 075356r15
TABLE OF CONTENTS
Notice of Use and Disclosure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i
List of Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
List of Figures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv
Participants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xvii
Document History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xix
Chapter 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Scope. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Chapter 2 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
2.1 References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
2.1.1 ZigBee Alliance Documents . . . . . . . . . . . . . . . . . . . . . . . . . 3
2.1.2 External Reference Documents . . . . . . . . . . . . . . . . . . . . . . . 4
Chapter 3 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
3.1 Conformance Levels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
3.2 ZigBee Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Chapter 4 Acronyms and Abbreviations . . . . . . . . . . . . . . . . . . . . . 7
Chapter 5 Profile Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
5.1 A ZigBee Smart Energy Network. . . . . . . . . . . . . . . . . . . . . . . . . . 9
5.2 ZigBee Stack Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
5.2.1 ZigBee Coordinator and Trust Center Recommendations. . . 12
5.3 Startup Attribute Set (SAS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
5.3.1 Startup Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
5.3.2 Join Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
5.3.3 Security Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
5.3.4 End Device Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
5.3.5 Link Status Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
5.3.6 Concentrator Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
5.3.7 APS Transport Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . 17
5.3.8 APS Fragmentation Parameters . . . . . . . . . . . . . . . . . . . . . . 17
5.3.9 Binding Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
5.4 Smart Energy Profile Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
5.4.1 Joining with Preinstalled Trust Center Link Keys. . . . . . . . . 18
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Table of Contents
5.4.2 Re-Joining a Secured Network . . . . . . . . . . . . . . . . . . . . . . . 19

5.4.2.1 Rejoining Node Operation . . . . . . . . . . . . . . . . . . . . . . 19
5.4.2.2 Trust Center Operation . . . . . . . . . . . . . . . . . . . . . . . . . 19
5.4.3 Devices Leaving the Network . . . . . . . . . . . . . . . . . . . . . . . . 20
5.4.4 Updating the Network Key . . . . . . . . . . . . . . . . . . . . . . . . . . 20
5.4.5 Updating the Link Key . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
5.4.5.1 Network Joining and Registration Diagram . . . . . . . . . 21
5.4.6 Cluster Usage of Security Keys . . . . . . . . . . . . . . . . . . . . . . . 23
5.4.7 Key Establishment Related Security Policies . . . . . . . . . . . . 23
5.4.7.1 Joining. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
5.4.7.2 Trust Center . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
5.4.7.3 During Joining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
5.4.7.4 After Joining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
5.4.8 Security Best Practices. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
5.4.8.1 Out of Band Pre-Configured Link Key Process . . . . . . 26
5.4.8.2 Managing and Initiating Registration Processes. . . . . . 56
5.5 Commissioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
5.5.1 Forming the Network (Start-up Sequence) . . . . . . . . . . . . . . 58
5.5.2 Support for Commissioning Modes . . . . . . . . . . . . . . . . . . . . 58
5.5.3 Commissioning Documentation Best Practices . . . . . . . . . . . 59
5.5.4 Commissioning Procedure for Different Network Types . . . 59
5.5.4.1 Commissioning for Neighborhood Area
Network or Sub-metering . . . . . . . . . . . . . . . . . . . . . . . . . . 59
5.5.4.2 Commissioning for Home Area Network . . . . . . . . . . . 60
5.6 Public Pricing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
5.7 Other Smart Energy Profile Requirements and Best Practices. . . . 61
5.7.1 Preferred Channel Usage . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
5.7.2 Broadcast Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
5.7.3 Frequency Agility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
5.7.4 Key Updates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
5.7.5 Mirrored Device Capacity - Service Discovery. . . . . . . . . . . 62
5.8 Coexistence and Interoperability with HA Devices . . . . . . . . . . . . 62
5.9 Device Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
5.10 ZigBee Cluster Library (ZCL) . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
5.11 Cluster List and IDs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
5.11.1 ZCL General Clusters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
5.11.1.1 ZCL Time Cluster and Time Synchronization . . . . . . 65
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Document 075356r15
Chapter 6 Device Specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67

6.1 Common Clusters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
6.1.1 Optional Support for Clusters with Reporting Capability . . . 68
6.1.2 Manufacturer-Specific Clusters . . . . . . . . . . . . . . . . . . . . . . . 68
6.1.3 Cluster Usage Restrictions. . . . . . . . . . . . . . . . . . . . . . . . . . . 68
6.1.4 Identify Cluster Best Practices. . . . . . . . . . . . . . . . . . . . . . . . 68
6.2 Feature and Function Description. . . . . . . . . . . . . . . . . . . . . . . . . . 68
6.3 Smart Energy Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
6.3.1 Energy Service Portal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
6.3.1.1 Supported Clusters . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
6.3.1.2 Supported Features and Functions . . . . . . . . . . . . . . . . 72
6.3.2 Metering Device . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
6.3.3 In-Premise Display Device . . . . . . . . . . . . . . . . . . . . . . . . . . 73
6.3.4 Programmable Communicating Thermostat (PCT) Device. . 74
6.3.5 Load Control Device . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
6.3.6 Range Extender Device . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
6.3.7 Smart Appliance Device . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
6.3.8 Prepayment Terminal Device . . . . . . . . . . . . . . . . . . . . . . . . 77
Annex A Candidate ZCL Material for Use with This Profile. . . . . 79
A.1 New Data Types. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
A.2 Definition of New Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
A.2.1 New Time Data Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
A.2.1.1 UTCTime . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
A.2.2 New Unsigned Integer Data Type. . . . . . . . . . . . . . . . . . . . . 80
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Table of Contents
A.2.2.1 Unsigned 40 Bit Integer . . . . . . . . . . . . . . . . . . . . . . . . 80

A.2.2.2 Unsigned 48 Bit Integer . . . . . . . . . . . . . . . . . . . . . . . . 80
Annex B Inter-PAN Transmission Mechanism . . . . . . . . . . . . . . . . 81
B.1 Scope and Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
B.2 General Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
B.2.1 What Inter-PAN Transmission Does . . . . . . . . . . . . . . . . . . 81
B.3 Service Specification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
B.3.1 The INTRP-DATA.request Primitive . . . . . . . . . . . . . . . . . . 83
B.3.1.1 Semantics of the Service Primitive . . . . . . . . . . . . . . . 83
B.3.1.2 When Generated. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
B.3.1.3 Effect on Receipt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
B.3.2 The INTRP-DATA.confirm Primitive . . . . . . . . . . . . . . . . . 85
B.3.2.2 When Generated. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
B.3.3 The INTRP-DATA.indication Primitive. . . . . . . . . . . . . . . . 86
B.3.3.2 When Generated. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
B.3.4 Qualifying and Testing of Inter-Pan Messages . . . . . . . . . . . 88
B.4 Frame Formats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
B.5 Frame Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
B.5.1 Inter-PAN Transmission . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
B.5.2 Inter-PAN Reception. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
B.6 Usage Scenario. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
Annex C Key Establishment Cluster . . . . . . . . . . . . . . . . . . . . . . . . 95
C.1 Scope and Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
C.2 General Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
C.2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
C.2.2 Network Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
C.2.3 Key Establishment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
C.2.4 Symmetric Key Key Establishment . . . . . . . . . . . . . . . . . . . 97
C.2.5 Public Key Key Establishment . . . . . . . . . . . . . . . . . . . . . . . 97
C.2.6 General Exchange . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
C.2.6.1 Exchange Static and Ephemeral Data . . . . . . . . . . . . . 98
C.2.6.2 Generate Key Bitstream . . . . . . . . . . . . . . . . . . . . . . . 99
C.2.6.3 Derive MAC Key and Key Data . . . . . . . . . . . . . . . . . 99
C.2.6.4 Confirm Key Using MAC . . . . . . . . . . . . . . . . . . . . . . 99
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C.3 Cluster List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

C.3.1 Key Establishment Cluster . . . . . . . . . . . . . . . . . . . . . . . . . . 100
C.3.1.1 Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
C.3.1.2 Server . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
C.3.1.3 Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
C.4 Application Implementation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
C.4.1 Network Security for Smart Energy Networks . . . . . . . . . . . 115
C.4.2 Certificate-Based Key Establishment . . . . . . . . . . . . . . . . . . 115
C.4.2.1 Notation and Representation . . . . . . . . . . . . . . . . . . . . 116
C.4.2.2 Cryptographic Building Blocks . . . . . . . . . . . . . . . . . . 117
C.4.2.3 Certificate-Based Key-Establishment . . . . . . . . . . . . . 119
C.5 Key Establishment Test Vectors . . . . . . . . . . . . . . . . . . . . . . . . . . 123
C.5.1 Preconfigured Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
C.5.1.1 CA Public Key . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
C.5.1.2 Responder Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
C.5.1.3 Initiator Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
C.5.2 Key Establishment Messages . . . . . . . . . . . . . . . . . . . . . . . . 125
C.5.2.1 Initiate Key Establishment Request . . . . . . . . . . . . . . . 126
C.5.2.2 Initiate Key Establishment Response. . . . . . . . . . . . . . 127
C.5.2.3 Ephemeral Data Request . . . . . . . . . . . . . . . . . . . . . . . 128
C.5.2.4 Ephemeral Data Response . . . . . . . . . . . . . . . . . . . . . . 129
C.5.2.5 Confirm Key Request. . . . . . . . . . . . . . . . . . . . . . . . . . 130
C.5.2.6 Confirm Key Response . . . . . . . . . . . . . . . . . . . . . . . . 131
C.5.3 Data Transformation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
C.5.3.1 ECMQV Primitives . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
C.5.3.2 Key Derivation Function (KDF) . . . . . . . . . . . . . . . . . 133
C.5.3.3 Initiator Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
C.5.3.4 Responder Transform. . . . . . . . . . . . . . . . . . . . . . . . . . 135
Annex D Smart Energy Cluster Descriptions . . . . . . . . . . . . . . . . . 139
D.1 Annex Guidelines. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
D.1.1 Client/Server Model Information . . . . . . . . . . . . . . . . . . . . . 139
D.1.2 Interpretation of Reserved Field Values or Bitmaps. . . . . . . 139
D.2 Demand Response and Load Control Cluster . . . . . . . . . . . . . . . . 140
D.2.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
D.2.2 Server . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
D.2.2.1 Dependencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
D.2.2.2 Attributes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
D.2.2.3 Commands Generated . . . . . . . . . . . . . . . . . . . . . . . . . 141
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D.2.3 Client. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150

D.2.3.1 Dependencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
D.2.3.2 Client Cluster Attributes . . . . . . . . . . . . . . . . . . . . . . . 151
D.2.3.4 Commands Received . . . . . . . . . . . . . . . . . . . . . . . . . . 157
D.2.3.5 Attribute Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
D.2.4 Application Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
D.2.4.1 Load Control Rules, Server . . . . . . . . . . . . . . . . . . . . . 158
D.2.4.2 Load Control Rules, Client . . . . . . . . . . . . . . . . . . . . . 158
D.3 Simple Metering Cluster . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
D.3.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
D.3.2 Server . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
D.3.2.1 Dependencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
D.3.2.2 Attributes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
D.3.2.3 Server Commands . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
D.3.2.4 Client Commands. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
D.3.3 Simple Meter Application Guidelines . . . . . . . . . . . . . . . . . 188
D.3.3.1 Attribute Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
D.3.3.2 Fast Polling or Reporting for Monitoring
Energy Savings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
D.3.3.3 Metering Data Updates . . . . . . . . . . . . . . . . . . . . . . . . 188
D.4 Price Cluster. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
D.4.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
D.4.2 Server . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
D.4.2.1 Dependencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
D.4.2.2 Server Cluster Attributes . . . . . . . . . . . . . . . . . . . . . . . 190
D.4.3 Client. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
D.4.3.1 Dependencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
D.4.3.2 Attributes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
D.5 Messaging Cluster . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
D.5.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
D.5.2 Server . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
D.5.2.1 Dependencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
D.5.2.2 Attributes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
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D.5.3 Client. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
D.5.3.1 Dependencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
D.5.3.2 Attributes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
D.5.4 Application Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204
D.6 Smart Energy Tunneling (Complex Metering) Cluster . . . . . . . . . 205
D.7 Pre-Payment Cluster . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
Annex E Rules and Guidelines for Overlapping Events . . . . . . . . . 207
E.1 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
E.2 Rules and Guideline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
E.3 Event Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
E.3.1 Correct Overlapping Events for Different Device Classes . . 210
E.3.2 Correct Superseded Event for a Device Class. . . . . . . . . . . . 211
E.3.3 Superseding Events for Subsets of Device Classes. . . . . . . . 212
E.3.4 Ending Randomization Between Events . . . . . . . . . . . . . . . . 213
E.3.5 Start Randomization Between Events . . . . . . . . . . . . . . . . . . 214
E.3.6 Acceptable Gaps Caused by Start and Stop
Randomization of Events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
Annex F Joining Procedure Using Pre-Configured
Trust Center Link Keys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
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Document 075356r15
LIST OF TABLES
Table 1.1 Document Revision Change History . . . . . . . . . . . . . . . . . xix
Table 5.1 Startup Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Table 5.2 Join Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Table 5.3 Security Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Table 5.4 End Device Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Table 5.5 Link Status Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Table 5.6 Concentrator Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Table 5.7 APS Transport Parameters . . . . . . . . . . . . . . . . . . . . . . . . . 17
Table 5.8 APS Fragmentation Parameters . . . . . . . . . . . . . . . . . . . . . 17
Table 5.9 Binding Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Table 5.10 Security Key Assignments per Cluster . . . . . . . . . . . . . . 23
Table 5.11 Devices Specified in the Smart Energy Profile . . . . . . . . 63
Table 5.12 Clusters Used in the Smart Energy Profile . . . . . . . . . . . 65
Table 6.1 Clusters Common to All Devices . . . . . . . . . . . . . . . . . . . . 67
Table 6.2 Common Features and Functions Configuration for a
Smart Energy Device . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
Table 6.3 Clusters Supported by the Energy Service Portal . . . . . . . 71
Table 6.4 Clusters Supported by the Metering Device . . . . . . . . . . . 72
Table 6.5 Clusters Supported by the In-Premise Display Device . . . 73
Table 6.6 Clusters Supported by the PCT . . . . . . . . . . . . . . . . . . . . . 74
Table 6.7 Clusters Supported by the Load Control Device . . . . . . . . 75
Table 6.8 Clusters Supported by the Smart Appliance Device . . . . . 76
Table 6.9 Clusters Supported by the Prepayment Terminal Device . 77
Table A.1 Additional Time Cluster Data Type . . . . . . . . . . . . . . . . . 79
Table A.2 New Unsigned Integer Data Types . . . . . . . . . . . . . . . . . . 80
Table B.1 Parameters of the INTRP-DATA.request . . . . . . . . . . . . . 84
Table B.2 Parameters of the INTRP-DATA.confirm . . . . . . . . . . . . 85
Table B.3 Parameters of the INTRP-DATA.indication . . . . . . . . . . . 87
Table C.1 Clusters Specified for the Secure Communication
Functional Domain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
Table C.2 Key Establishment Attribute Sets . . . . . . . . . . . . . . . . . . . 102
Table C.4 Values of the KeyEstablishmentSuite Attribute . . . . . . . . 103
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Table C.5 Received Command IDs for the Key

Establishment Cluster Server . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
Table C.6 Terminate Key Establishment Command Status Field . . . 106
Table C.8 Attributes of the Information Attribute Set . . . . . . . . . . . . 109
Table C.9 Values of the KeyEstablishmentSuite Attribute . . . . . . . . 109
Table C.10 Received Command IDs for the Key
Establishment Cluster Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
Table C.11 Terminate Key Establishment Command Status Field . . 113
Table C.12 Parameters Used by Methods of the CBKE Protocol . . . 120
Table D.1 Command IDs for the Demand Response and
Load Control Server . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
Table D.2 Device Class Field BitMap/Encoding . . . . . . . . . . . . . . . . 143
Table D.3 Criticality Levels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
Table D.4 Event Control Field BitMap . . . . . . . . . . . . . . . . . . . . . . . 147
Table D.5 Cancel Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
Table D.6 Cancel All Command Cancel Control Field . . . . . . . . . . . 150
Table D.7 Demand Response Client Cluster Attributes . . . . . . . . . . . 151
Table D.8 Generated Command IDs for the Demand Response
and Load Control Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
Table D.9 Event Status Field Values . . . . . . . . . . . . . . . . . . . . . . . . . 154
Table D.10 Simple Metering Attribute Sets . . . . . . . . . . . . . . . . . . . . 165
Table D.11 Reading Information Attribute Set . . . . . . . . . . . . . . . . . 166
Table D.12 TOU Information Attribute Set . . . . . . . . . . . . . . . . . . . . 168
Table D.13 Meter Status Attribute Set . . . . . . . . . . . . . . . . . . . . . . . . 170
Table D.14 Mapping of the Status Attribute . . . . . . . . . . . . . . . . . . . 170
Table D.15 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172
Table D.16 Formatting Attribute Set . . . . . . . . . . . . . . . . . . . . . . . . . 172
Table D.17 UnitofMeasure Attribute Enumerations . . . . . . . . . . . . . 173
Table D.18 MeteringDeviceType Attribute Enumerations . . . . . . . . 176
Table D.19 ESP Historical Attribute Set . . . . . . . . . . . . . . . . . . . . . . 177
Table D.20 Load Profile Configuration Attribute Set . . . . . . . . . . . . 180
Table D.21 Supply Limit Attribute Set . . . . . . . . . . . . . . . . . . . . . . . 180
Table D.22 Generated Command IDs for the Simple Metering Server 182
Table D.23 Status Field Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
Table D.24 ProfileIntervalPeriod Timeframes . . . . . . . . . . . . . . . . . . 183
Table D.25 Generated Command IDs for the Simple Metering Client 185
Table D.26 GetProfile Payload . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
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Table D.38
Table D.39
Interval Channel Values . . . . . . . . . . . . . . . . . . . . . . . . . 186

Price Server Cluster Attributes . . . . . . . . . . . . . . . . . . . . 190
Received Command IDs for the Price Cluster . . . . . . . . 190
Generated Command IDs for the Price Cluster . . . . . . . . 193
Price Tier Sub-field Enumerations . . . . . . . . . . . . . . . . . 196
Register Tier Sub-field Enumerations . . . . . . . . . . . . . . . 196
Alternate Cost Unit Enumerations . . . . . . . . . . . . . . . . . 198
Generated Command IDs for the Messaging Server . . . . 200
Display Message Command Payload . . . . . . . . . . . . . . . 200
Message Control Field Bit Map . . . . . . . . . . . . . . . . . . . 201
Cancel Message Command Payload . . . . . . . . . . . . . . . . 203
Messaging Client Commands . . . . . . . . . . . . . . . . . . . . . 204
Message Confirmation Command Payload . . . . . . . . . . . 204
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Document 075356r15
LIST OF FIGURES
Figure 5.1 Utility Private HAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Figure 5.2 Utility Private NAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Figure 5.3 Customer Private HAN . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Figure 5.4 Successful Join and Registration . . . . . . . . . . . . . . . . . . . 22
Figure 5.5 Node Communication with Other Nodes on the
Network Using APS Layer Encryption . . . . . . . . . . . . . . . . . . . . 26
Figure 5.6 Smart Energy Device Installation Code Process . . . . . . . 27
Figure 5.7 Installation Code Use with the Trust Center . . . . . . . . . . 27
Figure B.1 ZigBee Stack with Stub APS . . . . . . . . . . . . . . . . . . . . . . 82
Figure B.2 Normal ZigBee Frame . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
Figure B.3 Inter-PAN ZigBee Frame . . . . . . . . . . . . . . . . . . . . . . . . . 89
Figure B.4 Stub NWK Header Format . . . . . . . . . . . . . . . . . . . . . . . 89
Figure B.5 Format of the NWK Frame Control Field . . . . . . . . . . . . 89
Figure B.6 Stub APS Header Format . . . . . . . . . . . . . . . . . . . . . . . . . 90
Figure B.7 Format of the APS Frame Control Field . . . . . . . . . . . . . 90
Figure B.8 Inter-PAN Typical Usage . . . . . . . . . . . . . . . . . . . . . . . . 94
Figure C.1 Overview of General Exchange . . . . . . . . . . . . . . . . . . . . 98
Figure C.2 Typical Usage of the Key Establishment Cluster . . . . . . 100
Figure C.3 Key Establishment Command Exchange . . . . . . . . . . . . 101
Figure C.4 Format of the Initiate Key Establishment
Request Command Payload . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
Figure C.5 Format of the Confirm Key Request Command Payload 105
Figure C.6 Format of the Terminate Key Establishment Command
Payload . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
Figure C.7 Format of the Ephemeral Data Request
Command Payload . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
Figure C.8 Format of the Initiate Key Establishment Response
Command Payload . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
Figure C.9 Format of the Ephemeral Data Response
Command Payload . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Figure C.10 Format of the Confirm Key Response
Command Payload . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
Figure C.11 Format of the Terminate Key Establishment
Command Payload . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
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Figure C.12 Key Establishment Command Exchange . . . . . . . . . . . 126

Figure D.1 Demand Response/Load Control Cluster Client
Server Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
Figure D.2 Format of the Load Control Event Payload . . . . . . . . . . . 142
Figure D.3 Format of the Cancel Load Control Event Payload . . . . . 148
Figure D.4 Format of the Cancel All Load Control Events Payload . 150
Figure D.5 Format of the Report Event Status Command Payload . . 153
Figure D.6 Format of the Get Scheduled Events Command Payload 156
Figure D.7 Example of Both a Successful and an Overridden Load
Curtailment Event . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160
Figure D.8 Example of a Load Curtailment Superseded and
Another Cancelled . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
Figure D.9 Standalone ESP Model with Mains Powered
Metering Device . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
Figure D.10 Standalone ESP Model with Battery Powered
Metering Device . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
Figure D.11 ESP Model with Integrated Metering Device . . . . . . . . 164
Figure D.12 Get Profile Response Command Payload . . . . . . . . . . . 182
Figure D.13 Request Mirror Response Command Payload . . . . . . . . 187
Figure D.14 Mirror Removed Command Payload . . . . . . . . . . . . . . . 187
Figure D.15 Price Cluster Client Server Example . . . . . . . . . . . . . . . 189
Figure D.16 The Format of the Get Current Price
Command Payload . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
Figure D.17 Get Current Price Command Options Field . . . . . . . . . 191
Figure D.18 Format of the Get Scheduled Prices Command Payload 192
Figure D.19 Format of the Publish Price Command Payload . . . . . . 194
Figure D.20 Messaging Cluster Client/Server Example . . . . . . . . . . 199
Figure D.21 Client/Server Message Command Exchanges . . . . . . . . 205
Figure E.1 Smart Energy Device Class Reference Example . . . . . . . 210
Figure E.2 Correctly Overlapping Events . . . . . . . . . . . . . . . . . . . . . 211
Figure E.3 Correct Superseding of Events . . . . . . . . . . . . . . . . . . . . 212
Figure E.4 Superseded Event for a Subset of Device Classes . . . . . . 213
Figure E.5 Ending Randomization Between Events . . . . . . . . . . . . . 214
Figure E.6 Start Randomization Between Events . . . . . . . . . . . . . . . 215
Figure E.7 Acceptable Gaps with Start and Stop Randomization . . . 216
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PARTICIPANTS
Contact Information
Much of the information in this document is preliminary and subject to change.
Members of the ZigBee Working Group are encouraged to review and provide
inputs for this proposal. For document status updates, please contact:
Phil Jamieson
Philips, Cross Oak Lane,
Redhill, Surrey, RH1 5HA, UK
E-Mail: [email protected]
Phone: +44 1293 815265
Fax: +44 1293 815050
You can also submit comments using the ZigBee Alliance reflector. Its web site
address is:
www.zigbee.org
The information on this page should be removed when this document is accepted.
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xviii
Participants
Participants
The following is a list of those who were members of the ZigBee Alliance
Application Framework Working Group leadership when this document was
released:
Phil Jamieson: Chair
Don Sturek: Editor-in-chief
Drew Gislason: Secretary
When the document was released, the Smart Energy Profile Task Group
leadership was composed of the following members:
Robby Simpson: Chair
Tim Gillman: Vice Chair
Dan Lohman: Technical Editor
Matt Maupin: Program Manager
Contributions were made to this document by the following members:
Mads Westergreen
Skip Aston
Michel Veillette
Rick Bojahra
Jeff Mathews
Rob Alexander
John Buffington
Jeff Hugghins
Robert Cragie
John Cowburn
Juan Ag Martn
John Prater
Donald Hasson
Yuri Shteinman
Gary Birk
Zachary Smith
Damon Corbin
Jakob Thomsen
Wally Barnum
John Knuth
Michael G. Stuber
Don Sturek
Howard Ng
Tim Enwall
Christopher Leidigh
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Document 075356r15
DOCUMENT HISTORY
Table 1.1 shows the change history for this specification.
Table 1.1 Document Revision Change History
Revision
Version
Description
Original version.
First draft to include annexes and cluster information.
Updated to include Key Establishment Cluster Annex. Added other

minor changes within the document.
Included comments from internal Smart Energy (formerly Smart

Energy) group review. New Items: Added Power Factor in Simple
Metering cluster. Added Group support in the DR/LC cluster.
Included comments from internal Smart Energy group review

scattered throughout. A number of field and attribute adds to the
clusters.
Corrected Document Number issues, otherwise same as Revision 4.
Additional changes:
Usual grammar and spelling changes
Load Profile commands have been updated.
Added Attributes to support the latest partial LP interval.
Load Control rules for DR/LC Randomization
ESP Historical Attributes. changes in Simple Metering cluster
Changes to the Get Current Price command
Grammar, spelling, and formatting changes
PDF version of 07
First pass at comment resolution. Please refer to document

#075424r03ZB for changes.
10
Second pass at comment resolution. Please refer to document

#075424r04ZB for changes. Renamed to Smart Energy Profile.
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Document History
Table 1.1 Document Revision Change History (Continued)
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Third pass at comment resolution. Please refer to document

#075424r05ZB for changes.
Moved SE Cluster definitions into the annex D.
Significant changes in the Security related sections.
Best practice information added to more sections.
Updated Annex E covering overlapping event examples.
Corrected issues relating to the following CCBs:
CC-900 [SE] Randomizing Price Events
CC-901 [SE] Message Cluster Start Time
CC-902 [SE] New Status Field for Get Profile Response Command
CC-903 [SE] Support for Binding
CC-904 [SE] ESP Historical Consumption Attributes in Simple
Metering Server
CC-905 [SE] More Precise Event Status Enumeration for Report
Event Status Command
CC-906 [SE] Additional Description of Device Class bits 0 and 1
CC-907 [SE] Array vs. Series of Intervals for Get Profile Response
Command
CC-908 [SE] Randomization of Report Event Status Command Send
Times
CC-909 [SE] Effective Time Field of Cancel Load Control Event to
be Mandatory
CC-910 [SE] Consolidation of Joining Procedures
CC-911 [SE] Out of Bands Methods of Authentication
CC-912 [SE] Method to Make Registered Devices Listed on ESP
CC-913 [SE] Clarification of Rate Label Field of Publish Price
Command.
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PDF version of 075356r11.
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Table 1.1 Document Revision Change History (Continued)

13
Converted from Word to FrameMaker, includes all CCBs called out

in the SE Profile Errata 08119r08.
14
Final editorial changes for initial publication.
15
Corrected issues related to the following CCBs (from errata

document 084914r05):
CC-964 ZigBee Cluster Library reference doesn't contain the revision
number.
CC-965 Specification needs to clarify the service discovery process
steps prior to and after the Key Establishment process. End Devices
must also initiate the processes.
CC-966 The Identify cluster should be Optional, not mandatory.
CC-967 The Common Features and Functions table incorrectly calls
out the binding and service discovery requests as mandatory items.
CC-968 Future definitions of fields added to the end of commands
are to be treated as reserved fields.
CC-973 Addition of Greenhouse Gas (CO2) pricing information to
the Publish Price command.
CC-974 Addition of Supply Limit tracking in the Simple Metering
Cluster.
CC-980 Correct and describe CRC Algorithm used for Installation
Codes.
CC-981 Correct the Installation Codes text examples and provide
example source code for testing/using the MMO Hash Algorithm.
CC-982 Attributes CurrentPartialProfileIntervalValueDelievered
and CurrentPartialProfileIntervalValueReceived do not list default
values or mandatory/optional status.
CC-983 Attributes Power Factor, ReadingSnapShotTime,
CurrentMaxDemandDelieveredTime, and
CurrentMaxDemandReceivedTime are incorrectly replicated in
another section.
Corrected issues related to the following CCBs:
CC-984 Addition of Key Establishment test vectors.
CC-986 Addition of metering device types to the simple metering
cluster attribute MeteringDeviceType Enumeration.
CC-993 Initiate Key Establishment Request and Response Payload
Format field names need to match field names defined in Payload
Format figures.
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Chapter 1
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H A P T E R
1
CHAPTER 1INTRODUCTION
1.1 Scope
This profile defines device descriptions and standard practices for Demand
Response and Load Management Smart Energy applications needed in a Smart
Energy based residential or light commercial environment. Installation scenarios
range from a single home to an entire apartment complex. The key application
domains included in this initial version are metering, pricing and demand
response and load control applications. Other applications will be added in future
versions.
1.2 Purpose
This specification provides standard interfaces and device definitions to allow
interoperability among ZigBee devices produced by various manufacturers of
electrical equipment, meters, and Smart Energy enabling products.
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Chapter 1
Introduction
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H A P T E R
2
CHAPTER 2REFERENCES
2.1 References
The following standards and specifications contain provisions, which through
reference in this document constitute provisions of this specification. All the
standards and specifications listed are normative references. At the time of
publication, the editions indicated were valid. All standards and specifications are
subject to revision, and parties to agreements based on this specification are
encouraged to investigate the possibility of applying the most recent editions of
the standards and specifications indicated below.
2.1.1 ZigBee Alliance Documents

[B1] ZigBee Document 064321r08, The ZigBee Stack Profile, ZigBee
Architectural Sub-Committee of the TSC (TAG)
[B2] ZigBee document 075123r011, ZigBee Cluster Library Specification,
ZigBee Application Framework Working Group.
[B3] ZigBee document 064309r04, Commissioning Framework
[B4] ZigBee Document 053474r17, The ZigBee Specification, ZigBee
Technical Steering Committee (TSC)
[B5] ZigBee Document 074855r04, The ZigBee PRO Stack Profile, ZigBee
Architectural Sub-Committee of the TSC (TAG)
[B6] ZigBee Document 03084r00, ZigBee Key Establishment Proposal
Certicom
[B7] ZigBee 075297r04, Proposal for Inter-PAN Exchange of Data in ZigBee
1.
CCB 964
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Chapter 2
References
2.1.2 External Reference Documents

[B8] Institute of Electrical and Electronics Engineers, Inc., IEEE Std. 802.15.4
2003, IEEE Standard for Information Technology Telecommunications and
Information Exchange between Systems Local and Metropolitan Area
Networks Specific Requirements Part 15.4: Wireless Medium Access Control
(MAC) and Physical Layer (PHY) Specifications for Low Rate Wireless
Personal Area Networks (WPANs). New York: IEEE Press. 2003
[B9] ANSI X9.62-2005, Public Key Cryptography for the Financial Services
Industry: The Elliptic Curve Digital Signature Algorithm (ECDSA), American
Bankers Association. Available from http://www.ansi.org.
[B10] ANSI X9.63-2001, Public Key Cryptography for the Financial Services
Industry - Key Agreement and Key Transport Using Elliptic Curve
Cryptography, American Bankers Association, November 20, 2001. Available
from http://www.ansi.org.
[B11] NIST Special Publication 800-56A, Recommendation for Pair-Wise Key
Establishment Schemes Using Discrete Logarithm Cryptography (Revised),
March 2007. Available from http://csrc.nist.gov.
[B12] NIST Special Publication 800-38C, Recommendation for Block Cipher
Modes of Operation: The CCM Mode for Authentication and Confidentiality,
May 2004. Available from http://csrc.nist.gov.
[B13] FIPS Pub 197, Advanced Encryption Standard (AES), Federal
Information Processing Standards Publication 197, US Department of
Commerce/N.I.S.T, Springfield, Virginia, November 26, 2001. Available from
http://csrc.nist.gov.
[B14] FIPS Pub 198, The Keyed-Hash Message Authentication Code
(HMAC), Federal Information Processing Standards Publication 198, US
Department of Commerce/N.I.S.T., Springfield, Virginia, March 6, 2002.
Available from http://csrc.nist.gov.
[B15] Standards for Efficient Cryptography: SEC 1 (working draft) ver 1.7:
Elliptic Curve Cryptography, Certicom Research, November 13, 2006.
Available from http://www.secg.org
[B16] Standards for Efficient Cryptography: SEC 4 (draft) ver 1.1r1: Elliptic
Curve Cryptography, Certicom Research, June 9, 2006. Available from http://
www.secg.org
[B17] RFC 3280: Internet X.509 Public Key Infrastructure: Certificate and
Certificate Revocation List (CRL) Profile. IETF, April 2002. Available from
http://www.ietf.org
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H A P T E R
3
CHAPTER 3DEFINITIONS
3.1 Conformance Levels
Expected: A key word used to describe the behavior of the hardware or software
in the design models assumed by this Profile. Other hardware and software design
models may also be implemented.
May: A key word indicating a course of action permissible within the limits of the
standard (may equals is permitted).
Shall: A key word indicating mandatory requirements to be strictly followed in
order to conform to the standard; deviations from shall are prohibited (shall
equals is required to).
Should: A key word indicating that, among several possibilities, one is
recommended as particularly suitable, without mentioning or excluding others;
that a certain course of action is preferred but not necessarily required; or, that (in
the negative form) a certain course of action is deprecated but not prohibited
(should equals is recommended that).
3.2 ZigBee Definitions

Attribute: A data entity which represents a physical quantity or state. This data is
communicated to other devices using commands.
Cluster: A container for one or more attributes and/or messages in a command
structure.
Cluster identifier: A reference to the unique enumeration of clusters within a
specific application profile. The cluster identifier is a 16-bit number unique within
the scope of the application profile and identifies a specific cluster. Cluster
identifiers are designated as inputs or outputs in the simple descriptor for use in
creating a binding table.
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Chapter 3
Definitions
Device: A description of a specific device within an application profile. For

example, the light sensor device description is a member of the home automation
application profile. The device description also has a unique identifier that is
exchanged as part of the discovery process.
Node: Same as a unit.
Product: A product is a unit that is intended to be marketed. It implements
application profiles that may be a combination of private, published, and standard.
Service discovery: The ability of a device to locate services of interest.
Unit: A unit consists of one or more physical objects (e.g., switch, controller, etc.)
and their corresponding application profile(s) that share a single 802.15.4 radio.
Each unit has a unique 64-bit IEEE address.
ZigBee coordinator: An IEEE 802.15.4-2003 PAN coordinator.
ZigBee end device: an IEEE 802.15.4-2003 RFD or FFD participating in a
ZigBee network, which is neither the ZigBee coordinator nor a ZigBee router.
ZigBee router: an IEEE 802.15.4-2003 FFD participating in a ZigBee network,
which is not the ZigBee coordinator but may act as an IEEE 802.15.4-2003
coordinator within its personal operating space, that is capable of routing
messages between devices and supporting associations.
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Document 075356r15
H A P T E R
4
CHAPTER 4ACRONYMS AND ABBREVIATIONS
AES
Advanced Encryption Standard
AMI
Advanced Metering Infrastructure or Advanced Metering Initiative
BPL
Broadband over Power Lines
CA
Certificate Authority
CBKE
Certificate-based Key Establishment
CT
Commissioning Tool
ECDSA
Elliptic Curve Digital Signature Algorithm
ECMQV
Elliptic Curve Menezes-Qu-Vanstone
EMS
Energy Management System
EPID
Extended PAN Identifier
ESP
Energy Service Portal
EUI64
Extended Universal Identifier-64
GPRS
General Packet Radio Service
HA
Home Automation
HAN
Home Area Network
IHD
In-Home Display
IVR
Interactive Voice Response
MAC
Medium Access Control (referring to protocol stack sublayer)
MAC
Message Authentication Code (referring to cryptographic

operation)
MRD
Market Requirements Document
NAN
Neighborhood Area Network
PAN
Personal Area Network
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Chapter 4
Acronyms and Abbreviations
PKKE
Public Key Key Establishment
PCT
Programmable Communicating Thermostat
PID
PAN Identifier
RFD
Reduced Functionality Device
SAS
Startup Attribute Set
SE
Smart Energy
SKKE
Symmetric Key Key Exchange
TC
Trust Center
TOU
Time of Use
UKE
Unprotected Key Establishment
UTF-8
8-bit Unicode Transformation Format Unicode Transformation

Format
ZCL
ZigBee Cluster Library
ZDP
ZigBee Device Profile
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H A P T E R
5
CHAPTER 5PROFILE DESCRIPTION
5.1 A ZigBee Smart Energy Network
The Smart Energy market requires two types of ZigBee networks for metering and
energy management. These include neighborhood area networks for meters, using
ZigBee for sub-metering within a home or apartment, and using ZigBee to
communicate to devices within the home. Different installations and utility
preferences will result in different network topologies and operation and this
profile must allow for these differences. However, each of these networks will
operate using the same Basic Principles to ensure interoperability.
Because of the type of data and control within the Smart Energy network,
application security is a key requirement. The application will use link keys which
are optional in the ZigBee and ZigBee Pro stack profiles but are required within a
Smart Energy network. The Trust Center and all devices on the Smart Energy
network must support the installation and use of these keys as described in the
security section.
Other devices within a home may also be capable of receiving public pricing
information and messages from the metering network. These devices may not
have or need all the capabilities required to join a Smart Energy network.
Mechanisms are provided to publish public pricing data and messages to these
devices without requiring they join the Smart Energy network. These mechanisms
are described in the sections describing both the public pricing and message
exchanges.
Metering networks are primarily installed by specialized service personnel, but
other devices in the network may be added by home owners, or home automation
professionals who may not have any ZigBee expertise. Installation concepts must
be easy and uniform across Smart Energy device manufacturers.
Smart Energy networks could include both ZigBee 2007 and ZigBee 2007 Pro
nodes. It is recommended the majority of the nodes in the network should be
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Chapter 5
Profile Description
based on one stack profile or the other to get consistent performance. ZigBee
Smart Energy certified products must be based upon a ZigBee Compliant
Platform (ZCP). If the Smart Energy profile resides in conjunction with a private
profile, the product should be ZigBee Manufacturer Specific Profile (MSP)
certified and must be Smart Energy ZCP certified. This additional certification
provides a reassurance that the underlying stack is behaving properly and the
application is not abusive to the network.
Smart Energy networks will not interact with a consumer ZigBee Home Area
Network unless a device is used to perform an application level bridge between
the two profiles or the HA devices satisfy the Smart Energy profile security
requirements. This is due to the higher security requirements on the Smart Energy
network that are not required on a Home network. However, it is expected that
Home Automation devices that are extended to include the Smart Energy profile
can still operate in a home network.
The ZigBee Smart Energy Network makes possible networks such as the
following:
Utility Private HAN
Customer
Utility
Cu
Non-ZigBee
Link to Uitility
sto
me
g
Usa
ea
P
nd
S
rice
ign
als
Shared
In Home Display
Control
AMI Server
Message
Energy Service
Portal
Load Control
Device
Figure 5.1
Utility Private HAN
Utility Private HAN might include an in-home display, or a load control device
working in conjunction with energy service portal, but it would not include any
customer controlled devices.
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Utility Private NAN
Customer
Utility
AMI
ata
ID
AM
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Link to Uitility
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Data
Energy Service
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Energy Service
Portal
AMI
Data
Energy Service
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AMI Server
AMI Data
Energy Service
Portal
Figure 5.2
Energy Service
Portal
Utility Private NAN
Utility Private ZigBee network might also be used as a NAN, where ZigBee
provided the primary communications for a Smart Energy deployment.
Customer Private HAN with ESP
Customer
Utility
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Link to Uitility
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rice S
ignals
Energy Service
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Control Me
Home Energy
Management Console
Figure 5.3
ssages
Smart
Appliance
Customer Private HAN
ESP provided by utility, but limited to the role of information provider (Usage and
Pricing) into a customer HAN that utilizes an Energy Management Console for
conveying or controlling local devices. An example is controlling a smart
appliance based upon a pricing signal.
5.2 ZigBee Stack Profile

Products that conform to this specification shall use stack profile number 0x01 or
profile 0x02, as defined in [B1] [B5]. In addition to the requirements specified in
[B1], the following requirements are mandatory for this application profile.
Support for Application link keys is required.
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Chapter 5
Profile Description
Fragmentation is required. Please refer to 5.3.8 regarding fragmentation sizes

and parameter settings.
In their normal operating state, ZigBee end devices shall poll no more
frequently than once every 7.5 seconds except where this specification
indicates otherwise for a particular device description, or under the following
conditions.
ZigBee end devices may operate with a higher polling rate during
commissioning, network maintenance, alarm states, and for short periods

after transmitting a message to allow for acknowledgements and or
responses to be received quickly, but they must return to the standard rate
indicated previously during normal operation.
It is recommended that ZigBee end devices poll much less frequently than
once per 7.5 seconds, especially when the device normally only
communicates due to user interaction. To further clarify, except for one
condition in the Simple Metering cluster (refer to DD.3.3), all cluster
interactions that read or write attributes, or cause command exchanges
should limit transactions to once every 30 seconds.
5.2.1 ZigBee Coordinator and Trust Center

Recommendations
In a Smart Energy based HAN network the ESP should act as the coordinator
and trust center of the network.
In a Smart Energy based NAN the backhaul point is likely to be the coordinator
and trust center.
5.3 Startup Attribute Set (SAS)

In order to insure interoperability, all ZigBee Smart Energy devices shall
implement compatible Startup Attribute Sets (SAS) as defined in this
specification. This does not mean that the set must be modifiable through a
commissioning cluster, but that the device must internally implement these stack
settings to insure compatibility and consistent user experience. The startup set
parameters described by the commissioning cluster in [B3] provide a good basis
to specify a Smart Energy start up set.
Because Smart Energy Devices are likely to be preconfigured at a warehouse and
installed by a technician, a specific start up set values may be established by a
particular utility or service area and these startup set values used in place of these
below for installation. The startup set values that would be expected to be set by
the installer are noted below.
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5.3.1 Startup Parameters

The startup parameters and their default values are listed in Table 5.1.
Table 5.1 Startup Parameters
Parameter
Value
Short Address
0xFFFF or installer specified.
E PANiD
0x0000000000000000 or installer
specified.
PAN ID
0xFFFF or installer specified.
Channel Mask
All channels in frequency band.
Protocol Version
0x02 (ZigBee and later)
Stack Profile
1 (ZigBee) or 2 (ZigBee PRO)
Startup Control
2 (two) if un-commissioned, so it
will join network by association
when join command is indicated.
Comment
If needed, the power transmitted by

the device on channel 26 can be
lowered to comply with FCC
regulations.
0 (zero) if commissioned. Indicates

that the device should consider itself
a part of the network indicated by the
ExtendedPANId attribute. In this
case it will not perform any explicit
join or rejoin operation.
Trust Center
Address
Master Key
0x0000000000000000 or installer
specified.
Please note: Identifying or

establishing the Trust Center as a
device other than the Coordinator is
an optional stack profile feature.
Since this is an implementation
specific issue, installation tools and
setting address is managed by the
Smart Energy vendors.
Not used, high security is not used in
this profile.
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Table 5.1 Startup Parameters (Continued)

Link Key
0x000000000000000000000000000
00001 if the Key Establishment
Cluster is being used to install a link
key
Installer provided if using
preconfigured link keys
Network Key
0x000000000000000000000000000
00001 if no pre-installed key present
Use Insecure
Join
0x00 (False)
flag that disables the use of insecure

join as a fallback case at startup time
5.3.2 Join Parameters

The join parameters and their default values are listed in Table 5.2.
Table 5.2 Join Parameters
Parameter
ScanAttempts
Value
Comment
At boot time or when instructed to join a network, the device
should complete up to three (3) scan attempts to find a ZigBee
Coordinator or Router with which to associate. If it has not been
commissioned, this means that when the user presses a button or
uses another methodology to join a network, it will scan all of the
channels up to three times to find a network that allows joining. If
it has already been commissioned, it should scan up to three times
to find its original PAN to join. (ZigBee Pro devices should scan
for their original extended PAN ID and ZigBee (2007) devices can
only scan for their original PAN ID).
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Table 5.2 Join Parameters

TimeBetween
Scans
1 second
Determines the number of seconds between each scan attempt.
RejoinInterval
60
seconds
or shorter
How quickly a device will attempt to rejoin the network if it finds

itself disconnected.
MaxRejoinInte
rval
15
minutes
Imposes an upper bound on the RejoinInterval parameter - this

must be restarted if device is touched by human user, i.e. by a
button press. This parameter is intended to throttle how often a
device will scan to find its network in case the network is no
longer present and therefore a scan attempt by the device would
always fail (i.e., if a device finds it has lost network connectivity,
it will try to rejoin the network, scanning all channels if
necessary). If the scan fails to find the network, or fails to
successfully rejoin, the device will wait for 15 minutes before
attempting to rejoin again. To be network friendly, it would be
recommended to adaptively extend this time period if successive
rejoins fail. It would also be recommended the device should try a
rejoin when triggered (via a control, button, etc.) and fall back to
this interval if rejoins fail again.
5.3.3 Security Parameters

The security parameters and their default values are listed in Table 5.3.
Table 5.3 Security Parameters
Parameter
Value
SecurityTim
eoutPeriod
Set by stack profile.
TrustCenter
NetworkKey
The Trust Center will

pick the network key.
Comment
ZigBee Smart Energy devices shall depend on either

pre-configured keys to be commissioned or the use of
the Key Establishment Cluster with a pre-configured
Trust Center link key to get the network key (not in the
clear). ZigBee Smart Energy networks will not
generally send keys in the clear.
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5.3.4 End Device Parameters

The end device parameters and their default values are listed in Table 5.4.
Table 5.4 End Device Parameters
Parameter
Value
Comment
IndirectPollRa
te
Set by
stack
profile
This is how often a device will poll its parent for new data. It is
recommended that an end device that is designed to receive data
should poll its parent every 60 seconds.
5.3.5 Link Status Parameters

The link status parameters and their default values are listed in Table 5.5.
Table 5.5 Link Status Parameters
Parameter
Value
LinkStatusPeriod
Set by stack profile
RouterAgeLimit
RepairThreshold
Comment
5.3.6 Concentrator Parameters

The concentrator parameters and their default values are listed in Table 5.6.
Table 5.6 Concentrator Parameters
Parameter
Value
Comment
ConcentratorFlag
Set by stack
profile
Identifies the device to be a concentrator.
ConcentratorRadius
11 (eleven)
Device manufacturers that produce a concentrator

product will set the max concentrator radius to this
value.
ConcentratorDiscoveryTime
Set by stack
profile
Identifies how often the Concentrator network layer

should issue a route request command frame.
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5.3.7 APS Transport Parameters

The APS transport parameters and their default values are listed in Table 5.7.
Table 5.7 APS Transport Parameters
Parameter
Value
Comment
MaxFrameRetries
Set by stack
profile
This determines the maximum number of retries allowed

after a transmission failure.
AckWaitDuration
Set by stack
profile
This is the maximum number of seconds to wait for

acknowledgement of an APS frame.
5.3.8 APS Fragmentation Parameters

For fragmentation there are application settings from the APS IB that must be
defined by the application profile. For Smart Energy these parameters are to be set
as shown in Table 5.8.
Table 5.8 APS Fragmentation Parameters
Parameters
Identifier
Type
Value
Description
apsInterframe
Delay
0xc9
Integer
50
Standard delay in milliseconds between

sending two blocks of a fragmented
transmission (see [B4] sub-clause 2.2.8.4.5)
apsMaxWindo
wSize
0xcd
Integer
Fragmentation parameter the maximum

number of unacknowledged frames that
can be active at once (see [B4] sub-clause
2.2.8.4.5).
In addition the Maximum Incoming Transfer Size Field in the Node descriptor
defines the largest ASDU that can be transferred using fragmentation. For the
Smart Energy Profile the default value shall be set to 128 bytes. Maximum ASDU
size allowed is specified in [B4] and dictated by solution needs and RAM
capacities of the communicating devices.
It is highly recommended all devices first query the Node Descriptor of the device
it will communicate with to determine the Maximum incoming transfer size (if
ASDU size is greater 128 bytes). This will establish the largest ASDU that can be
supported with fragmentation. The sending device must use a message size during
fragmentation that is smaller than this value.
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5.3.9 Binding Parameters

The binding parameters and their default values are listed in Table 5.9.
Table 5.9 Binding Parameters
Parameter
Value
Comment
EndDeviceBindTimeout
60 seconds
Timeout value for end device binding. End Device

binding is set by the coordinator.
5.4 Smart Energy Profile Security

To be part of a Smart Energy network, a device shall associate using one of the
two association methods described below and require the use of the Key
Establishment Cluster (see Annex C) for installation and updating of link keys.
All devices shall have the ability to retain their joining and security settings
through power outages.
5.4.1 Joining with Preinstalled Trust Center Link Keys

When using preinstalled trust center link keys, the following steps are used:
1 Trust Center link keys are installed in each device prior to joining the utility
network.
2 The trust center link key for a device that is to be joined is provided to the local
trust center through an out of band means as described in sub-clause 5.4.8.1

Out of Band Pre-Configured Link Key Process.
3 Permit joining is turned on in the network.
4 The device joins the network and is sent the network key encrypted with the
key-transport key derived for the preinstalled trust center link key. The
procedure for doing this is detailed in Annex F, also reference [B4] section
4.5.4 on key-transport keys and [B4] section 4.4.1 on frame security for the
APS layer.
5 The trust center must update the pre-configured trust center link key in the
joining device using the Key Establishment Cluster after completion of the
joining procedure.
6 The trust center of the network has the option of later updating the trust center
link keys with devices in the network as desired by the application using the
Key Establishment Cluster. Updating security keys should be an infrequent
operation.
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7 If devices leave the network, the trust center shall update remove the network
trust center link key assigned to that device.
5.4.2 Re-Joining a Secured Network

5.4.2.1
Rejoining Node Operation
When a device is re-joining a secured network, the following steps are used:
1 Permit joining is not required to be on in the network.
2 The device shall attempt a rejoin using the procedure detailed in [B4] Section
3.6.1.4.2 with network security. The network key and sequence number used
will be the ones previously obtained from the trust center.
3 If the secured rejoin is successful, nothing more is required from the device.
4 If the secured rejoin fails, the device shall attempt a rejoin using the procedure
detailed in [B4] Section 3.6.1.4.2 without network security. The re-joining

device is assumed to have previously joined the network and obtained a link
key using the key establishment cluster procedures. If the device does not have
a link key obtained via the key establishment cluster, it cannot rejoin the
network.
5 If the unsecured rejoin fails the device may attempt it again. If the device is told
to leave the network it may employ the Joining using the Key Establishment
Cluster procedure.
5.4.2.2
Trust Center Operation
When the trust center receives notification that a device has rejoined the network,
the following steps are used:
1 If the device performed a secured rejoin the trust center is not required to take
any action.
2 If the device performed an unsecured rejoin the trust center shall determine if
the device is authorized to be on the network. If the trust center has a link key
with the device that was established using the key establishment cluster then it
shall be allowed back on the network. The trust center should send out an
updated copy of the network key encrypted with the corresponding link key.
3 If the trust center determines that the device is not authorized to be on the
network, it shall send an APS remove device command to the parent of the
rejoining device, with the target address of the rejoining devices IEEE address.
The parent will then remove that device from its child table.
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5.4.3 Devices Leaving the Network

Upon receipt of an APS update device command indicating a device has left the
network, the trust center shall remove the trust center link key assigned to that
device.
5.4.4 Updating the Network Key

Periodically the trust center shall update the network key. This allows the trust
center to phase out a previous instance of the network key so that devices that are
no longer on the network will not be able to perform a secure rejoin. Those
devices must then perform an unsecured rejoin, which allows the trust center to
authorize whether or not they are allowed to be on the network.
When the trust center wishes to update the network key it will broadcast the
network key to all devices in the network. All devices receiving the key update
will store but will not start using the new key.
It is assumed that routers will receive the network key update sent by the Trust
Center. Sleepy end devices are unlikely to get the network key update sent by the
Trust Center unless the device polls frequently.
After sending an updated network key, the trust center shall wait a minimum of
nwkNetworkBroadcastDeliveryTime before sending the switch key message.
Devices that miss the key switch broadcast message will implicitly switch when
they receive any network message that is encrypted using the new key sequence
number.
Once the network has started using the new key, any device that has missed the
key update message will not be able to communicate on the network. Those
devices must that missed the key update must follow the Re-joining a Secured
Network procedure.
5.4.5 Updating the Link Key

Periodically the trust center may update the link key associated with a particular
device. This allows the trust center to phase out the existing key and refresh it
with a new key. The trust center can decide on its own what the policy is for how
long a link key may be used and how often it should be updated.
Trust Center link keys are used for sending application messages as well as stack
commands. Therefore a trust center cannot simply delete a link key that it wants to
update. The trust center must accept and or send encrypted APS commands to or
from a device even if has retired that link key from encryption of application data
messages. This is especially necessary for sleeping end devices, which may not
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have the current network key and need to use their link key to obtain an updated
copy during a rejoin.
When the trust center deems that a particular link key should no longer be used, it
shall mark the key as stale. A stale key shall not be used to send data messages.
Devices that receive a message using a stale key should discard the message and
shall not send an APS acknowledgement to the sender.
Devices shall accept and process APS commands that are encrypted with a stale
key.
When the trust center receives a message encrypted with a stale link key, it shall
initiate the key establishment procedure to negotiate a new link key. Upon
successful establishment of the new link key with the device, the device shall
clear the stale indicator for that key.
Devices that are not acting as the trust center may utilize their own policy for
retiring and updating application link keys with other devices that are not the trust
center. Those devices are not required to keep around retired keys and therefore
may delete them prior to establishing a updated link key using the key
establishment cluster.
5.4.5.1
Network Joining and Registration Diagram
Figure 5.4 depicts an example of a successful network startup and certificate

exchange (with pre-established link keys). Please refer to Annex C for further
discussions on communication exchanges and key support.
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Head end
Smart Energy
Device
ESP
Established Secure Link
Out of Band
Initiation
Out of Band Initiation
Allow Joining
Device attempts to Join
Network
Network Key
(Encrypted)
Service Discovery
(Key Establishment)
Service Discovery
Response
Link Keys Assigned (Key
Establishment Cluster)
Registration Process
Service Discovery
Bind Services
Figure 5.4
Successful Join and Registration
Please note: After joining the network and acquiring a Network Key, the Smart
Energy End Device shall initiate the Service Discovery process to locate the Key
Establishment Cluster. As recommended best practice, the ESP should support a
fault tolerant behavior by initiating Key Establishment Cluster service discovery
process whenever it detects the Smart Energy End Device fails to do2 so.
2.
CCB 965
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5.4.6 Cluster Usage of Security Keys

The SE Profile utilizes a higher level of security on the network but not all clusters
need to utilize Application Link keys. Table 5.10 identifies the security keys
utilized by each cluster:
Table 5.10 Security Key Assignments per Cluster
Functional Domain
Cluster Name
Security Key
General
Basic
Network Key
General
Identify
Network Key
General
Alarms
Network Key
General
Time
Application Link Key
General
Commissioning
General
Power Configuration
Network Key
General
Key Establishment
Network Key
Smart Energy
Price
Smart Energy
Demand Response and Load Control
Smart Energy
Simple Metering
Smart Energy
Message
Smart Energy
Smart Energy Tunneling (Complex

Metering)
Smart Energy
Pre-Payment
Once a Registered SE device has an Application Link Key established with the ESP, it
may also establish Application Link Keys with any other device on the SE Network.
This is accomplished by using the ZigBee service and device discovery process
(employing the Network Key). Regardless of the communication paths, all SE
applications shall use and validate the Security key assignment as listed in listed in
Table 5.10. If incorrect key usage is found the application shall generate a ZCL
Default Response, employing the Network Key, with a FAILURE (0x01) status code.
5.4.7 Key Establishment Related Security Policies

The following are the policies relating to Key Establishment that are
recommended for Smart Energy networks.
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5.4.7.1
Joining
If the device doesn't need to perform discovery queries or other non-secure

operations after it joins an SE network and receives the Network Key, it should
immediately initiate Key Establishment with the Trust Center to obtain a new
Trust Center Link Key.
If Key Establishment fails with a result of UNKNOWN_ISSUER the device
should leave the network. A device that does not initiate Key Establishment with
the Trust Center within a reasonable period of time should be told to leave.
Upon successful negotiation of a new Trust Center Link Key the device may
communicate using clusters that require APS security.
5.4.7.2
Trust Center
The Trust Center should keep track of whether a particular device has negotiated a
CBKE Trust Center Link Key, or whether only a preconfigured Trust Center Link
Key exists. The Trust Center should not use the preconfigured link key to send
encrypted APS Data messages to the device. The Trust Center should discard any
APS encrypted APS Data messages that use the preconfigured link key, and it
should not send APS Acks for those messages.
The Trust Center shall accept and send APS Data messages that do not use APS
Encryption to a device that has not negotiated a CBKE Trust Center Link key
provided that the security usage for that cluster only allows using Network layer
security (encrypted with the Network Key). See sub-clause 5.4.6, Cluster Usage
of Security Keys.
5.4.7.3
During Joining
Normal operation of a device in a Smart Energy network requires use of a

preconfigured link key, establish by using the Installation Code (refer to subclause 5.4.6), to join a Zigbee Pro network. After joining the network a device is
required to initiate key establishment using ECMQV key agreement with the ESP
(which is also the Trust Center), to obtain a new link key authorized for use in
application messages.
Prior to updating the preconfigured link key using key establishment, the ESP
shall not allow Smart Energy messages that require APS encryption. Although
the node has a link key, that node has not been authenticated and thus the key's use
is not authorized for application messages. Its use is still required for certain stack
messages (e.g. the APS Command Update Device) and must be accepted by the
trust center.
Once a node has authenticated by the ESP and obtained an authorized link key
using key establishment, it may communicate with the ESP using APS layer
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security. The ESP should accept valid APS encrypted message using that new
link key.
If a device never establishes a trust center link key after joining, the trust center
may send it a network leave command. This is only done for non-security
reasons, such as encouraging a well-behaved device that it is not on the correct
network. Malicious nodes will never leave the network once they have the
network key and there is no practical way to force them off the network. However
if the above mentioned security policies are adhered to, then the malicious node
will be unable to communicate with other devices since it will not have access to
an authorized link key.
5.4.7.4
After Joining
After a node has joined, been authenticated using key establishment, and obtained
an authorized link key, it may need to communicate with other nodes on the
network using APS layer encryption.
Rather than use key establishment with each node on the network, it would be
advantageous to leverage the ESP to broker trust with other devices on the
network. If two nodes have both obtained link keys with the ESP using key
establishment then they both trust the ESP. Both nodes will use the ESP to request
a link key with each other. The trust center will respond to each node individually,
sending a randomly generated link key. Each message will be encrypted using the
individual nodes' link keys. The ESP would not send a link key to either node if
one of the nodes has not authenticated using key establishment.
Both nodes are required to request a link key with the other node, rather than have
a single node requesting the key. This added requirement insures that both nodes
are online and ready to receive a key (i.e. not sleeping) and insures that a node is
not forced to accept a key it cannot support or did not want.
The originating node would start this process by sending a bind request command
with APS ack to the key establishment cluster of the destination device. If a bind
confirm is received with a status of success, the initiating device will perform a
request key of the trust center (for an application link key using the EUI of the
other device in the pair). The trust center will then send a link key to each device
using the key transport. If the bind confirm is received with a status other than
success, the request key should not be sent to the trust center.
This functionality is optional however support of this is required for ESP devices
acting as trust centers. All devices sending the request key command and the trust
center should have a timeout of 5 seconds.
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ESP
3. Request Link Key,
Partner: IHD
4a. Transport Key:

Link Key,
Partner: IHD
4b. Transport Key:

Link Key,
Partner: Meter
1. Bind Request
Meter
2. Bind Response
Figure 5.5
In Home
Display
(IHD)
Node Communication with Other Nodes on the

Network Using APS Layer Encryption
The advantages of using the stack primitives to request keys rather than key
establishment are that devices can forego the expensive ECC operations. Small
microprocessors have extremely limited resources and requiring full key
establishment with all devices where link keys are required is overly burdensome.
In addition, ESPs may have other security policies in place (such as node
blacklists or certificate revocation lists) that individual nodes do not have
knowledge of, or have the resources to keep track of.
Nodes that are not the trust center would not be allowed to initiate key
establishment with another device that is not the Trust Center. If a device receives
an Initiate Key Establishment Request from a device that is not the Trust Center,
and it is not the Trust Center, it shall terminate the key establishment immediately
with a status of NO_RESOURCES. This insures that the ESP authenticates all
devices with key establishment after joining, and limits the use of key
establishment in the network.
Other ESP devices on the network that are not the trust center would have to go
through the same procedure as above, contacting the ESP trust center, in order to
send/receive messages that require APS layer encryption with another node.
5.4.8 Security Best Practices

5.4.8.1
Out of Band Pre-Configured Link Key Process
This section describes the out of band process for establishing pre-configured
Trust Center link keys, the format of the Installation Code required, and the
hashing function used to derive the pre-configured link key from the Installation
Code.
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As portrayed in Figure 5.6, during the manufacturing process an Installation Code

is created for each of the Smart Energy devices. This Installation Code is provided
for the device in a manufacturer specific way (labeling, etc.) and referenced to
during installation. The associated Pre-configured Link Key is derived using the
hashing function described below and programmed in the device.
Step #1: An Installation Code is created and made available
xxxx xxxx xxxx xxxx
Step #2: The Pre-configured Link Key is derived from the

Installation Code using the Matyas-Meyer-Oseas
hash function.
Step #3: The Pre-configured Link Key is configured in the
device
Figure 5.6
Smart Energy Device Installation Code Process
As portrayed in Figure 5.7, during the installation process the initial Trust Center
Link Key is derived from the Installation Code and sent via an out of band
communication channel to the Trust center (ESP). The Trust center uses this Key
as the Trust Center Link Key to subsequently configure the Network Key of the
associating device.
Step #1: The Installation Code is sent out of band
Step #2: The Pre-configured Link Key is derived from the
Installation Code using the Matyas-Meyer-Oseas
hash function
xxxx xxxx xxxx xxxx
Step #3: The Pre-configured Link Key is sent to the Trust

center using the AMI network
Figure 5.7
Trust Center
Installation Code Use with the Trust Center
5.4.8.1.1 Installation Code Format

The Installation Code consists of a 48, 64, 96, or 128 bit number and a 16 bit CRC
(using CCITT CRC standard polynomial X16 + X12 + X5 + 1). When printed or
displayed, Installation Codes are represented as multiple groups of 4 hexadecimal
digits.
48 Bit example:
Installation Code of 83FE D340 7A93 2B70
Where values 0x83, 0x FE, 0xD3, 0x40, 0x 7A, and 0x93 are used to calculate
the CRC16 with the result returning 0x702B.
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Note: The Octet order of the CRC code in the printed Installation code is Least
Significant Octet followed by Most Significant Octet, giving the printed result
of 2B70.3
64 Bit example:
Installation Code of 83FE D340 7A93 9738 C552
Where values 0x83, 0x FE, 0xD3, 0x40, 0x 7A, 0x93, 0x 97, and 0x38 are used
to calculate the CRC16 with the result returning 0x52C5.4
96 Bit example:
Installation Code of 83FE D340 7A93 9723 A5C6 39FF 4C12
Where values 0x83, 0xFE, 0xD3, 0x40, 0x7A, 0x93, 0x97, 0x23, 0xA5, 0xC6,
0x39 and 0xFF are used to calculate the CRC16 with the result returning
0x124C.5
128 Bit example:
Installation Code of 83FE D340 7A93 9723 A5C6 39B2 6916 D505 C3B5
Where values 0x83, 0xFE, 0xD3, 0x40, 0x7A, 0x93, 0x97, 0x23, 0xA5, 0xC6,
0x39, 0xB2, 0x69, 0x16, 0xD5, and 0x05 are used to calculate the CRC16 with
the result returning 0xB5C3.6
5.4.8.1.1.1
CRC Algorithm Information
As stated earlier, the Installation Code CRC calculation is based upon the CRC
16-CCITT algorithm and uses the following parameters:
Length : 16
Polynomial : x16 + x12 + x5 + 1 (0x1021)
Initialization method : Direct
Initialization value : 0xFFFF
Final XOR value : 0xFFFF
Reflected In : True
Reflected Out : True
The following free code example, copied from http://zorc.breitbandkatze.de/
crctester.c can be referenced at http://zorc.breitbandkatze.de/crc.html. The code
example has been modified to match the parameters needed for the Smart Energy
Profile Installation code examples. The example is:
// ---------------------------------------------------------------------------// CRC Test V1.3 was copied from URL:
3.
4.
5.
6.
CCB 980
CCB 980
CCB 980
CCB 980
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// ---------------------------------------------------------------------------// CRC tester v1.3 written on 4th of February 2003 by Sven Reifegerste (zorc/reflex)
// This is the complete compilable C program, consisting only of this .c file.
// No guarantee for any mistakes.
//
// changes to CRC tester v1.2:
//
// - remove unneccessary (!(polynom&1)) test for invalid polynoms
// (now also XMODEM parameters 0x8408 work in c-code as they should)
//
//
// - include an crc&0crcmask after converting non-direct to direct initial
// value to avoid overflow
//
//
// - most int's were replaced by unsigned long's to allow longer input strings
// and avoid overflows and unnecessary type-casting's
// ---------------------------------------------------------------------------// includes:
#include <string.h>
#include <stdio.h>
// CRC parameters (default values are for CRC-32):

// const int order = 32;
// const unsigned long polynom = 0x4c11db7;
// const int direct = 1;
// const unsigned long crcinit = 0xffffffff;
// const unsigned long crcxor = 0xffffffff;
// const int refin = 1;
// const int refout = 1;
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// 'order' [1..32] is the CRC polynom order, counted without the leading '1' bit
// 'polynom' is the CRC polynom without leading '1' bit
// 'direct' [0,1] specifies the kind of algorithm: 1=direct, no augmented zero bits
// 'crcinit' is the initial CRC value belonging to that algorithm
// 'crcxor' is the final XOR value
// 'refin' [0,1] specifies if a data byte is reflected before processing (UART) or not
// 'refout' [0,1] specifies if the CRC will be reflected before XOR
// CRC parameters used for the ZigBee Smart Energy Profile Installation Codes:
const int order = 16;
const unsigned long polynom = 0x1021;
const int direct = 1;
const unsigned long crcinit = 0xffff;
const unsigned long crcxor = 0xffff;
const int refin = 1;
const int refout = 1;
// Data character string
//The following test string should provide a check result of 0x906E
//const unsigned char string[] = {"123456789"};
//The following string values are from the Smart Energy Profile Installation code
examples.
//The strings are constructed from the Installation Code values without the CRC Check,
plus the strings are null terminated.
const unsigned char string[] = {0x83, 0xFE, 0xD3, 0x40, 0x7A, 0x93, 0x00};
// The above should provide a check result of: 0x702B
//const unsigned char string[] = {0x83, 0xFE, 0xD3, 0x40, 0x7A, 0x93, 0x97, 0x38,
0x00};
// The above should provide a check result of: 0x52C5
0xA5, 0xC6, 0x39, 0xFF, 0x00};
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// The above should provide a check result of: 0x124C

0xA5, 0xC6, 0x39, 0xB2, 0x69, 0x16, 0xD5, 0x05, 0x00};
// The above should provide a check result of: 0xB5C3
// internal global values:
unsigned long crcmask;
unsigned long crchighbit;
unsigned long crcinit_direct;
unsigned long crcinit_nondirect;
unsigned long crctab[256];
// subroutines
unsigned long reflect (unsigned long crc, int bitnum) {
// reflects the lower 'bitnum' bits of 'crc'
unsigned long i, j=1, crcout=0;
for (i=(unsigned long)1<<(bitnum-1); i; i>>=1) {
if (crc & i) crcout|=j;
j<<= 1;
}
return (crcout);
}
void generate_crc_table() {
// make CRC lookup table used by table algorithms
int i, j;
unsigned long bit, crc;
for (i=0; i<256; i++) {
crc=(unsigned long)i;
if (refin) crc=reflect(crc, 8);
crc<<= order-8;
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for (j=0; j<8; j++) {

bit = crc & crchighbit;
crc<<= 1;
if (bit) crc^= polynom;
}
if (refin) crc = reflect(crc, order);
crc&= crcmask;
crctab[i]= crc;
}
}
unsigned long crctablefast (unsigned char* p, unsigned long len) {
// fast lookup table algorithm without augmented zero bytes, e.g. used in pkzip.
// only usable with polynom orders of 8, 16, 24 or 32.
unsigned long crc = crcinit_direct;
if (!refin) while (len--) crc = (crc << 8) ^ crctab[ ((crc >> (order-8)) & 0xff) ^
*p++];
else while (len--) crc = (crc >> 8) ^ crctab[ (crc & 0xff) ^ *p++];
if (refout^refin) crc = reflect(crc, order);
crc^= crcxor;
crc&= crcmask;
return(crc);
}
unsigned long crctable (unsigned char* p, unsigned long len) {
// normal lookup table algorithm with augmented zero bytes.
// only usable with polynom orders of 8, 16, 24 or 32.
unsigned long crc = crcinit_nondirect;
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if (!refin) while (len--) crc = ((crc << 8) | *p++) ^ crctab[ (crc >> (order-8)) &
0xff];
else while (len--) crc = ((crc >> 8) | (*p++ << (order-8))) ^ crctab[ crc & 0xff];
if (!refin) while (++len < order/8) crc = (crc << 8) ^ crctab[ (crc >> (order-8))
& 0xff];
else while (++len < order/8) crc = (crc >> 8) ^ crctab[crc & 0xff];
if (refout^refin) crc = reflect(crc, order);
crc^= crcxor;
crc&= crcmask;
return(crc);
}
unsigned long crcbitbybit(unsigned char* p, unsigned long len) {
// bit by bit algorithm with augmented zero bytes.
// does not use lookup table, suited for polynom orders between 1...32.
unsigned long i, j, c, bit;
unsigned long crc = crcinit_nondirect;
for (i=0; i<len; i++) {
c = (unsigned long)*p++;
if (refin) c = reflect(c, 8);
for (j=0x80; j; j>>=1) {
crc<<= 1;
if (c & j) crc|= 1;
}
}
for (i=0; i<order; i++) {
crc<<= 1;
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}
if (refout) crc=reflect(crc, order);
crc^= crcxor;
crc&= crcmask;
return(crc);
}
unsigned long crcbitbybitfast(unsigned char* p, unsigned long len) {

// fast bit by bit algorithm without augmented zero bytes.
// does not use lookup table, suited for polynom orders between 1...32.
unsigned long i, j, c, bit;
unsigned long crc = crcinit_direct;
for (i=0; i<len; i++) {
c = (unsigned long)*p++;
if (refin) c = reflect(c, 8);
for (j=0x80; j; j>>=1) {
crc<<= 1;
if (c & j) bit^= crchighbit;
}
}
if (refout) crc=reflect(crc, order);
crc^= crcxor;
crc&= crcmask;
return(crc);
}
int main() {
// test program for checking four different CRC computing types that are:
// crcbit(), crcbitfast(), crctable() and crctablefast(), see above.
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// parameters are at the top of this program.

// Result will be printed on the console.
int i;
unsigned long bit, crc;
// at first, compute constant bit masks for whole CRC and CRC high bit
crcmask = ((((unsigned long)1<<(order-1))-1)<<1)|1;
crchighbit = (unsigned long)1<<(order-1);
// check parameters
if (order < 1 || order > 32) {
printf("ERROR, invalid order, it must be between 1..32.\n");
return(0);
}
if (polynom != (polynom & crcmask)) {
printf("ERROR, invalid polynom.\n");
return(0);
}
if (crcinit != (crcinit & crcmask)) {
printf("ERROR, invalid crcinit.\n");
return(0);
}
if (crcxor != (crcxor & crcmask)) {
printf("ERROR, invalid crcxor.\n");
return(0);
}
// generate lookup table
generate_crc_table();
// compute missing initial CRC value
if (!direct) {
crcinit_nondirect = crcinit;
crc = crcinit;
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crc<<= 1;
}
crc&= crcmask;
crcinit_direct = crc;
}
else {
crcinit_direct = crcinit;
crc = crcinit;
bit = crc & 1;
crc >>= 1;
if (bit) crc|= crchighbit;
}
crcinit_nondirect = crc;
}
// call CRC algorithms using the CRC parameters above and print result to the
console
printf("\n");
printf("CRC tester v1.1 written on 13/01/2003 by Sven Reifegerste (zorc/
reflex)\n");
printf("-----------------------------------------------------------------------\n");
printf("\n");
printf("Parameters:\n");
printf("\n");
printf(" polynom
printf(" order
printf(" crcinit
crcinit_nondirect);
printf(" crcxor
: 0x%x\n", polynom);
: %d\n", order);
: 0x%x direct, 0x%x nondirect\n", crcinit_direct,
: 0x%x\n", crcxor);
printf(" refin
: %d\n", refin);
printf(" refout
: %d\n", refout);
printf("\n");
printf(" data string
*)string));
: '%s' (%d bytes)\n", string, strlen((const char
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printf("\n");
printf("Results:\n");
printf("\n");
printf(" crc bit by bit
strlen((const char *)string)));
: 0x%x\n", crcbitbybit((unsigned char *)string,
printf(" crc bit by bit fast : 0x%x\n", crcbitbybitfast((unsigned char *)string,

if (!(order&7)) printf(" crc table : 0x%x\n", crctable((unsigned char *)string,
if (!(order&7)) printf(" crc table fast : 0x%x\n", crctablefast((unsigned char
*)string, strlen((const char *)string)));
return(0);
}
5.4.8.1.2 Hashing Function

An AES-128 key is derived form the Installation Code using the Matyas-MeyerOseas (MMO) hash function (specified in Annex B.6 in ZigBee Document
053474r17, The ZigBee Specification, ZigBee Technical Steering Committee
(TSC) with a digest size (hashlen) equal to 128 bits).
Installation Code examples:
MMO hash applied to the Installation Code "83FE D340 7A93" produces the key
"CD4FA064773F46941EC986C09963D1A8".
Note: Least significant byte is 0x83 and Most significant byte is 0x93.
MMO hash applied to the Installation Code "83FE D340 7A93 9738" produces
the key "A833A77434F3BFBD7A7AB97942149287".
Note: Least significant byte is 0x83 and Most significant byte is 0x38.
MMO hash applied to the Installation Code "83FE D340 7A93 9723 A5C6 39FF"
produces the key "58C1828CF7F1C3FE29E7B1024AD84BFA".
Note: Least significant byte is 0x83 and Most significant byte is 0xFF.
MMO hash applied to the Installation Code "83FE D340 7A93 9723 A5C6 39B2
6916 D505" produces the key "66B6900981E1EE3CA4206B6B861C02BB".
Note: Least significant byte is 0x83 and Most significant byte is 0x05.8
7.
8.
CCB 980
CCB 981
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5.4.8.1.2.1
MMO Hash Code Example
The following code example can be used to validate key creation derived from
Installation codes:
/
*********************************************************************
**********
* hashing-cli.c
*
* This program hashes the Zigbee Smart Energy install code and CRC and
* prints the result. It is designed to reproduce the same results
* as specified in the Zigbee Smart Energy specification.
*
* The Zigbee Matyas-Meyer-Oseas Hash function (MMO Hash) is implemented here,
* along with the CRC-16 functionality. AES-128 is a prerequisite for
* MMO Hash but is not provided here, instead please reference the Rijndael
implementation
* which is in the public domain, and can be obtained here:
* http://csrc.nist.gov/archive/aes/rijndael/wsdindex.html
*
* Author(s): Robert Alexander <[email protected]>
*
*********************************************************************
*********/
#include <stdio.h>
#include <stdlib.h> // for malloc()
#include <stdarg.h> // for va_list, va_start()
#define __USE_GNU
#include <string.h> // for strncpy(), strnlen()
#include <assert.h> // for assert()
// Assume the rijndael headers are on the include path
#include "rijndael-api-fst.h"
#include "rijndael-alg-fst.h"
//------------------------------------------------------------------------------
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// Globals
typedef unsigned char byte;
#define SECURITY_BLOCK_SIZE 16
static const char* usage[] =
{
"Usage: hashing-cli [arguments]",
"",
" This program calculates the CRC-16 and MMO hash of a Zigbee Smart
Energy",
" install code.",
"",
"REQUIRED ARGUMENTS",
"",
"-i, --install-code <code>",
" The 6, 8, 12, or 16 byte install code in ASCII hex.",
"
e.g. 83FED3407A939723A5C639FF",
"",
"OPTIONAL ARGUMENTS",
"",
"-c, --crc <data>",
" The 16-bit CRC in big-endian ASCII hex. If passed in it will be",
" compared against the calculated CRC value.",
"",
"-g, --ignore-bad-crc",
" Ignore a bad CRC value passed in, use it in the hash anyway.",
"",
"-t, --test"
" Test the AES-128 and MMO Hash by executing internal test vectors.",
" If this is specified the tests are run and nothing else.",
"",
"-h, --help",
" Print this usage information.",
"",
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NULL,
};
static byte installCode[16];
static int installCodeLength = 0;
static int crc = 0;
static int ignoreBadCrc = 0;
static int DEBUG = 0;
#define TRUE 1
#define FALSE 0
static cipherInstance myCipher;
static int runTestVectors = FALSE;
//-----------------------------------------------------------------------------// Forward Declarations
static int parseArguments(int argc, char* argv[]);
static int parseHexByteString(char* argumentName,char* inputString, byte*
returnData, int maxByteLength);
static byte convertHexCharToByte(unsigned char c);
static void convertByteToHexChars(byte data, char result[2]);
static void printHexBytes(byte* data, int length);
static char* convertBytesToHexString(byte* data, int length);
static void printUsage(void);
#define WARNING 0
#define ERROR 1
static void warn(char *string, ...);
static void error(char *string, ...);
static void debugPrint(char* formatString, ...);
static void aesHash(byte *data, byte totalLength, byte *result);
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static void standAloneEncryptBlock(byte key[SECURITY_BLOCK_SIZE], byte

block[SECURITY_BLOCK_SIZE]);
static unsigned short crc16(char* data_p, unsigned short length);
static void testHashing(void);
//-----------------------------------------------------------------------------// Functions
int main(int argc, char* argv[])
{
byte installCodeAndCrc[18];
byte hashResult[SECURITY_BLOCK_SIZE];
int calculatedCrc;
if (parseArguments(argc, argv))
return -1;
if (runTestVectors)
{
testHashing();
return 0;
}
printf("Install Code: ");
printHexBytes(installCode, installCodeLength);
printf("\n");
calculatedCrc = crc16((char *)installCode, installCodeLength);
printf("Calculated CRC: (>)0x%04X\n", calculatedCrc);
if (crc)
{
printf("Passed CRC: (>)0x%04X\n", crc);
if (crc != calculatedCrc)
{
char message[] = "Calculated CRC does not match passed CRC.\n";
if (ignoreBadCrc)
{
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warn(message,0);
calculatedCrc = crc;
}
else
{
error(message, 0);
return -1;
}
}
}
memcpy(installCodeAndCrc, installCode, installCodeLength);
installCodeAndCrc[installCodeLength] = (byte)(calculatedCrc & 0xFF);
installCodeAndCrc[installCodeLength+1] = (byte)(calculatedCrc >> 8);
printf("Byte Concatenation: ");
printHexBytes(installCodeAndCrc, installCodeLength + 2);
printf("\n");
aesHash(installCodeAndCrc, installCodeLength + 2, hashResult);
printf("Hash Result: ");
printHexBytes(hashResult, SECURITY_BLOCK_SIZE);
printf("\n");
return 0;
}
static int parseArguments(int argc, char* argv[])
{
int c = 1;
int optionIndex = 0;
int installCodeIsSet = TRUE;
int noArguments = TRUE;
int printHelp = FALSE;
while ((c < argc) && (argc > 1))
{
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noArguments = FALSE;
if ((!strcmp(argv[c],"-c")) || (!strcmp(argv[c],"--crc")))
{
c++;
int crcLength = 0;
byte crcData[2];
if (argv[c] == NULL)
{
error("The '-c' option requires an argument.", 0);
return -1;
}
crcLength = parseHexByteString("CRC", argv[c], crcData, 2);
if (crcLength == 0)
{
// Error message already printed
return -1;
}
else if (crcLength != 2)
{
error("CRC must be 2 bytes.\n", 0);
return -1;
}
crc = ((int)(crcData[0] << 8) | (int)crcData[1]);
c++;
}
else if ((!strcmp(argv[c],"-i")) ||(!strcmp(argv[c],"--install-code")))
{
c++;
if (argv[c] == NULL)
{
error("The '-i' option requires an argument.", 0);
return -1;
}
installCodeLength = parseHexByteString("Install Code", argv[c],
installCode, 16);
if (installCodeLength == 0)
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{
return -1;
}
else if (!(installCodeLength == 6|| installCodeLength == 8 ||
installCodeLength == 12 || installCodeLength == 16))
{
error("Install code must be 6, 8, 12, or 16 bytes in length.\n", 0);
return -1;
}
installCodeIsSet = TRUE;
c++;
}
else if ((!strcmp(argv[c],"-g")) ||(!strcmp(argv[c],"--ignore-bad-crc")))
{
c++;
ignoreBadCrc = TRUE;
}
else if ((!strcmp(argv[c],"-t")) ||(!strcmp(argv[c],"--test")))
{
c++;
runTestVectors = TRUE;
}
else if ((!strcmp(argv[c],"-h")) ||(!strcmp(argv[c],"--help")))
{
c++;
printHelp = TRUE;
}
}
if (noArguments || printHelp)
{
printUsage();
return (-1);
}
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if (!installCodeIsSet && !runTestVectors)

{
error("Must specify '-i' for install code.\n", 0);
return -1;
}
return 0;
}
// Transform a string of hex characters into an array of bytes.
// Returns number of bytes parsed on success, or 0 on error.
static int parseHexByteString(char* argumentName, char* inputString, byte*
returnData, int maxByteLength)
{
int i;
int length = strlen(inputString); + (maxByteLength * 2) + 1;
debugPrint("Parsing argument for '%s'\n", argumentName);
if (length > (maxByteLength * 2))
{
error("%s cannot be longer than %d\n", argumentName, maxByteLength);
return 0;
}
if (length % 2 != 0)
{
error("%s must be an even number of hex characters.\n", argumentName);
return 0;
}
int byteArrayIndex = 0;
for (i = 0; i < length; i+= 2)
{
byte a = convertHexCharToByte(inputString[i]);
byte b = convertHexCharToByte(inputString[i+1]);
if (a != 0xFF && b != 0xFF)
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{
returnData[byteArrayIndex] = (a << 4) | b;
byteArrayIndex++;
}
else
{
error("Invalid hex character '%C' for %s\n", (a == 0xFF? inputString[i]:
inputString[i+1]), argumentName);
return 0;
}
}
return length / 2;
}
static byte convertHexCharToByte(unsigned char c)
{
if (c >= 'A' && c <= 'F') return c - 'A' + 0x0A;
else if (c >= 'a' && c <= 'f') return c - 'a' + 0x0A;
else if (c >= '0' && c <= '9') return c - '0';
return 0xFF;
}
static void convertByteToHexChars(byte data, char result[2])
{
char string[3];// we need 3 bytes due to the '\0' added by
sprintf(string,"%02X",data);
memcpy(result, string, 2); // but we don't want to pass back the '\0'
}
static void warn(char* formatString, ...)
{
va_list vargs;
fprintf(stderr, "Warning: ");
va_start(vargs, formatString);
vfprintf(stderr, formatString, vargs);
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va_end(vargs);
}
static void error(char* formatString, ...)
{
va_list vargs;
fprintf(stderr, "Error: ");
vfprintf(stderr, formatString, vargs);
va_end(vargs);
}
static void debugPrint(char* formatString, ...)
{
if (DEBUG)
{
va_list vargs;
printf("Debug: ");
vprintf(formatString, vargs);
va_end(vargs);
}
}
static void printHexBytes(byte* data, int length)
{
char* string = convertBytesToHexString(data, length);
printf("%s", string);
free(string);
}
static char* convertBytesToHexString(byte* data, int length)
{
char* string = (char*)malloc((length * 2) + 1);
int i;
assert(string);
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for (i = 0; i < length; i++)

{
convertByteToHexChars(data[i], &(string[i * 2]));
}
string[length * 2] = '\0';
return string;
}
static void printUsage(void)
{
int i = 0;
while (usage[i] != NULL)
{
printf(usage[i]);
printf("\n");
i++;
}
}
// B.6 Block-cipher-based cryptographic hash function.
//
// This is a method of deriving a hash function from a block encryption
// function.ZigBee uses AES-128 as the encryption function.
//
// First pad the data out to a multiple of 16 bytes with a binary 1 followed by
// all zeros.Append the length of the input (in bits) at the end of the
// padding.
//
// Encrypt the first 16 byte chunk using a NULL key, and XOR with the
// unencrypted data chunk.
// Encrypt the other 16 byte chunks using the previous result as the
// key, and XOR with the unencrypted data chunk.
// Our limited function assumes the following:
// The 'result' value points to an area of memory 16 bytes in length.
static void aesHashNextBlock(byte *block, byte *result)
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{
byte i;
byte key[SECURITY_BLOCK_SIZE];
memcpy(key, result, SECURITY_BLOCK_SIZE);
memcpy(result, block, SECURITY_BLOCK_SIZE);
standAloneEncryptBlock(key, result);
for (i = 0; i < SECURITY_BLOCK_SIZE; i++)
result[i] ^= block[i];
}
// The hashed data must be in the following form
// ... data ... 0x80 0x00 ... 0x00 LOW_BYTE(dataBits) HIGH_BYTE(dataBits)
// where enough 0x00's are added to make the entire length be a multiple
// of 16.The last two bytes give the size of the original data in bits.
static void aesHash(byte *data, byte totalLength, byte *result)
{
byte temp[SECURITY_BLOCK_SIZE];
byte moreDataLength = totalLength;
memset(result, 0, SECURITY_BLOCK_SIZE);// Hash of 0 is all zeros
for (; SECURITY_BLOCK_SIZE <= moreDataLength; data +=
SECURITY_BLOCK_SIZE, moreDataLength -= SECURITY_BLOCK_SIZE)
aesHashNextBlock(data, result);
memset(temp, 0, SECURITY_BLOCK_SIZE);
memcpy(temp, data, moreDataLength);
temp[moreDataLength] = 0x80;
if (SECURITY_BLOCK_SIZE - moreDataLength < 3)
{
aesHashNextBlock(temp, result);
memset(temp, 0, SECURITY_BLOCK_SIZE);
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}
temp[SECURITY_BLOCK_SIZE - 2] = totalLength >> 5;
temp[SECURITY_BLOCK_SIZE - 1] = totalLength << 3;
aesHashNextBlock(temp, result);
}
// The single entry point into the implementation specific method
// of performing AES-128.In this case I use the Rijndael implementation.
static void standAloneEncryptBlock(byte key[SECURITY_BLOCK_SIZE], byte
block[SECURITY_BLOCK_SIZE])
{
static int cipherInitialized = FALSE;
byte outBlock[SECURITY_BLOCK_SIZE];
keyInstance myKey;
// Key is expected to be in ASCII hex
char keyMaterial[SECURITY_BLOCK_SIZE * 2];
char* string = convertBytesToHexString(key, SECURITY_BLOCK_SIZE);
strncpy(keyMaterial, string, SECURITY_BLOCK_SIZE * 2);
free(string);
if (!cipherInitialized)
{
// ZigBee defines the IV for AES Encrypt to be zero, per the Spec. section
// B.1 Block-Cipher-Based Cryptographic Hash Function
assert(cipherInit(&myCipher, MODE_CBC, NULL)); // Initialization Vector
cipherInitialized = TRUE;
}
assert(0 <= makeKey(&myKey, DIR_ENCRYPT, SECURITY_BLOCK_SIZE * 8,
keyMaterial));
assert(0 <= blockEncrypt(&myCipher, &myKey, block, SECURITY_BLOCK_SIZE *
8,outBlock));
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memcpy(block, outBlock, SECURITY_BLOCK_SIZE);

}
// CRC code obtained from:

// http://drdobbs.com/embedded/199904926
/
*********************************************************************
*****
//
// crc16 - generate a ccitt 16 bit cyclic redundancy check (crc)
//
//The code in this module generates the crc for a block of data.
//
*********************************************************************
*****/
/*
//
// The CCITT CRC 16 polynomial is X^16 + X^12 + X^5 + 1.
// In binary, this is the bit pattern 1 0001 0000 0010 0001, and in hex it
//is 0x11021.
// A 17 bit register is simulated by testing the MSB before shifting
//the data, which affords us the luxury of specifiy the polynomial as a
//16 bit value, 0x1021.
// Due to the way in which we process the CRC, the bits of the polynomial
//are stored in reverse order. This makes the polynomial 0x8408.
*/
#define POLY 0x8408
/*
// note: when the crc is included in the message, the valid crc is:
//0xF0B8, before the compliment and byte swap,
//0x0F47, after compliment, before the byte swap,
//0x470F, after the compliment and the byte swap.
*/
int crc_ok = 0x470F;
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/
*********************************************************************
*****
//
// crc16() - generate a 16 bit crc
//
//
// PURPOSE
//This routine generates the 16 bit remainder of a block of
//data using the ccitt polynomial generator.
//
// CALLING SEQUENCE
//crc = crc16(data, len);
//
// PARAMETERS
//data<-- address of start of data block
//len <-- length of data block
//
// RETURNED VALUE
//crc16 value. data is calcuated using the 16 bit ccitt polynomial.
//
// NOTES
//The CRC is preset to all 1's to detect errors involving a loss
//of leading zero's.
//The CRC (a 16 bit value) is generated in LSB MSB order.
//Two ways to verify the integrity of a received message
//or block of data:
//1) Calculate the crc on the data, and compare it to the crc
// calculated previously. The location of the saved crc must be
// known.
/ 2) Append the calculated crc to the end of the data. Now calculate
// the crc of the data and its crc. If the new crc equals the
// value in "crc_ok", the data is valid.
//
// PSEUDO CODE:
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//initialize crc (-1)

//DO WHILE count NE zero
//DO FOR each bit in the data byte, from LSB to MSB
//IF (LSB of crc) EOR (LSB of data)
//crc := (crc / 2) EOR polynomial
//ELSE
//crc := (crc / 2)
//FI
//OD
//OD
//1's compliment and swap bytes in crc
//RETURN crc
//
*********************************************************************
*****/
static unsigned short crc16(char* data_p, unsigned short length)
{
unsigned char i;
unsigned int data;
unsigned long crc;
crc = 0xFFFF;
if (length == 0)
return ((unsigned short)~crc);
do
{
for (i = 0, data = (unsigned int)0xff & *data_p++;i < 8;i++, data >>= 1)
{
if ((crc & 0x0001) ^ (data & 0x0001)) crc = (crc >> 1) ^ POLY;
else crc >>= 1;
}
} while (--length);
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crc = ~crc;
return ((unsigned short)crc);
}
static void testHashing(void)
{
printf("Testing AES-128\n");
// These values were found in FIPS 197 Appendix C - Example Vectors,
// C.1 AES-128
byte plainText[] ={ 0x00, 0x11, 0x22, 0x33, 0x44, 0x55, 0x66, 0x77, 0x88, 0x99,
0xAA, 0xBB, 0xCC, 0xDD, 0xEE, 0xFF };
byte aesKeyTest[] = { 0x00, 0x01, 0x02, 0x03, 0x04, 0x05, 0x06, 0x07, 0x08, 0x09,
0x0A, 0x0B, 0x0C, 0x0D, 0x0E, 0x0F };
byte encryptOutput[] = { 0x69, 0xC4, 0xE0, 0xD8, 0x6A, 0x7B, 0x04, 0x30, 0xD8,
0xCD, 0xB7, 0x80, 0x70, 0xb4, 0xC5, 0x5A };
printf("Plain Text: ");
printHexBytes(plainText, SECURITY_BLOCK_SIZE);
printf("\n");
printf("AES Key:");
printHexBytes(aesKeyTest, SECURITY_BLOCK_SIZE);
printf("\n");
printf("Expected Output: ");
printHexBytes(encryptOutput, SECURITY_BLOCK_SIZE);
printf("\n");
standAloneEncryptBlock(aesKeyTest, plainText);
printf("Actual Output: ");
printHexBytes(plainText, SECURITY_BLOCK_SIZE);
printf("\n");
assert(0 == memcmp(plainText, encryptOutput, SECURITY_BLOCK_SIZE));
printf("\nTesting MMO-Hash\n");
// These values were specified in the ZigBee Spec Rev17,
// C.5 Cryptographic Hash Function (Test Vector Set 1 and 2)
byte testIn0[] = { 0xC0 };
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byte testOut0[] = { 0xAE, 0x3A, 0x10, 0x2A, 0x28, 0xD4, 0x3E, 0xE0, 0xD4, 0xA0,
0x9E, 0x22, 0x78, 0x8B, 0x20, 0x6C };
byte testIn1[] = { 0xC0, 0xC1, 0xC2, 0xC3, 0xC4, 0xC5, 0xC6, 0xC7, 0xC8, 0xC9,
0xCA, 0xCB, 0xCC, 0xCD, 0xCE, 0xCF };
byte testOut1[] = { 0xA7, 0x97, 0x7E, 0x88, 0xBC, 0x0B, 0x61, 0xE8, 0x21, 0x08,
0x27, 0x10, 0x9A, 0x22, 0x8F, 0x2D };
byte* testInput[] ={ testIn0, testIn1 };
byte testSizes[] = { sizeof(testIn0), sizeof(testIn1) };
byte* testOutput[] = { testOut0, testOut1 };
byte result[SECURITY_BLOCK_SIZE];
int i;
memset(result, 0, SECURITY_BLOCK_SIZE);
for (i = 0; i < 2; i++)
{
printf("Input %d: ", (i+1));
printHexBytes(testInput[i], testSizes[i]);
printf("\n");
aesHash(testInput[i], testSizes[i], result);
printf("Expected Output: ");
printHexBytes(testOutput[i], SECURITY_BLOCK_SIZE);
printf("\n");
printf("Actual Output: ");
printHexBytes(result, SECURITY_BLOCK_SIZE);
printf("\n");
assert(0 == memcmp(testOutput[i], result, SECURITY_BLOCK_SIZE));
}
printf("\nAll tests passed.\n");
}9
9.
CCB 981
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5.4.8.2
Managing and Initiating Registration Processes
The following sections identify the recommended best practices for managing
Authorized devices and the initiating the processes required for device
management.
5.4.8.2.1 Best Practices for Tracking Registered Devices
In order to properly track Smart Energy Devices and communicate device
registration status to upstream systems, Trust Centers (ESPs) should maintain a
list of authorized devices. Its also recommended Trust Centers maintain the
following items for each of the registered devices:
1 Client EUI64
2 Client Installation Code
3 Registration Status
4 Time and Date Stamps
Although this information is not exposed through the ZigBee network, device
binding is expected to be used to track and understand ZigBee network
connectivity.
5.4.8.2.2 Initiating Registration
To initiate the Registration process to authorize a device, the Client device should
call the Initiate Key Establishment command of the Key Establishment cluster.
The Trust Center (ESP) should call the Initiate Key Establishment Response
command of the Key Establishment cluster in response.
Prior to this activity, the Trust Center enables joining by calling the NLMEPERMIT-JOINING.request primitive. Joining must be managed for an appropriate
amount of time but not left on forever. The appropriate amount of time will be
dictated by the overall performance of the system and business processes driving
the registration and device authorization activities. Be aware Joining has an
internal time out within the ZigBee stack, therefore joining may need to be
enabled multiple times during the overall Registration and device authorization
process.
Please refer to Annex F and [B4] section 5.4.3 for more details around the Joining
processes.
Once Registration is completed, the list of authorized devices in the Trust Center
should be updated, please refer to sub-clause 5.4.8.2.1.
5.4.8.2.3 Initiating Re-registration
To initiate the re-registration process for a device, the Trust Center (ESP) would
invalidate the Link keys for that device and subsequently cause a re-authentication
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/ authorization to re-establish Link Keys. The processes required for this activity
are:
1 The Trust Center invalidates the Link key by using the APSME-SET primitive.
2 When the Client device detects communication errors due via APS error results
or by experiencing multiple re-try failures, both caused by the invalid Link

Keys, it starts the processes to validate the following conditions:
a The Device validates its still part of the network.
b Route discovery processes validate communications paths are still in place.
3 If both conditions are true, the Client device attempts a secure re-join outlined
in Re-joining a Secured Network and subsequently refreshes the Link Keys.

4 Re-binding of services take place (if needed).
5 Once Registration is completed, the list of authorized devices in the Trust
Center should be updated, please refer to sub-clause 5.4.8.2.1.

5.4.8.2.4 Initiating De-registration
To initiate the de-registration process for a device, which is the process of
removing a previously registered device, the Trust Center (ESP) would use the
following processes for this activity are:
1 The Trust Center (ESP) invalidates the Link key by using the APSME-SET
primitive.
2 The Trust Center (ESP) informs the Client device to leave the network by
calling the NLME-LEAVE.request primitive.

3 The Trust Center (ESP) informs any Routers to remove the Client device by
calling the APSME-REMOVEDEVICE.request

4 The ESP would unbind any services associated with the Client device by
calling the APSME-UNBIND primitive.

5 Once de-registration is completed, the list of authorized devices in the Trust
Center should be updated, please refer to sub-clause 5.4.8.2.1.
5.5 Commissioning
Many, if not all of the devices described in this document, will require some form
of commissioning, even if the user or installer doesnt see it. This is because, for
example, a load control device needs to be bound to some sort of control device in
order to perform its function and, even if the required initializations are done at
the factory before the device is installed, the required operations are virtually the
same as is the outcome.
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The ZigBee Alliance has recognized the importance of commissioning and, in

particular, the importance of specifications for network and stack commissioning
in a multi-vendor environment. Thus, network and stack commissioning
procedures are being designed outside the context of any particular profile, where
possible, and grouped under the auspices of the Commissioning Tools Task Group
(CTTG). This task group is developing a commissioning framework specification
[B3].
5.5.1 Forming the Network (Start-up Sequence)

Smart Energy devices must form their own network or join an existing network.
The commissioning framework [B3] discusses some of the relevant issues in this
procedure.
It is intended that an installer of a Smart Energy device know if the device is
forming a network or joining an existing network.
If a device is forming a network there is no user interaction required since the
form process can be completed by the device. However there should be some
indication to the user or installer that the network has formed properly. The
indication can be implemented in a number of ways including blinking indicator
lights, colored indicator lights, arrays of indicator lights, text displays, graphic
displays, audible indicators such as buzzers and speakers, or through separate
means.
If a device is joining an existing network, it will join the network using the
processes outlined in sub-clause 5.4. Permit joining will have been turned on due
to either installer action or some backchannel mechanism because of user or
installer action. It is recommended there be some indication to the user that the
device has joined the network successfully. The indication can be implemented in
a number of ways including blinking indicator lights, colored indicator lights,
arrays of indicator lights, text displays, graphic displays, audible indicators such
as buzzers and speakers, etc.
5.5.2 Support for Commissioning Modes

Three different commissioning modes are discussed in [B3]. They are denoted A,
E and S-mode.
As discussed above, Smart Energy devices will either automatically form or join a
network based on the processes outlined in sub-clause 5.4.
The pre-installation of start up parameters could be done at manufacturing (which
is defined as A mode), by an installer tool at the dispatching warehouse, or on site
(which would then be S mode). Devices that support this pre-installation must
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document the methods used for this preinstallation of parameters.to accomplish

this process.
Those devices that will join an existing network must support button pushes or
simple documented user interfaces to initiate the joining process. This is in
support of E mode commissioning.
5.5.3 Commissioning Documentation Best Practices

To ensure a uniform user experience when commissioning Smart Energy devices,
all ZigBee Smart Energy devices are required to provide documentation with their
product that explains how to perform device commissioning in using a common
language set, i.e., form network, join network, etc. Please refer to [B3] for
further guidance using installation tools and procedures.
5.5.4 Commissioning Procedure for Different Network

Types
Depending on the type of network being installed, the commissioning procedures
may be slightly different. To ensure interoperability even within these different
methods the specific steps are detailed here.
5.5.4.1
Commissioning for Neighborhood Area Network or

Sub-metering
Under a neighborhood area network, other meters such as gas or water meters
may join electric meters that form a backbone of the network. The process of
joining the network is separate from the process for device binding where the
device billing information is configured for a particular dwelling unit. It may be
desirable to allow the meter to join an adjacent dwelling unit from a network
standpoint to ensure proper connectivity. The application level will handle the
configuration of the billing information later.
1 There are two methods for joining such a device onto an existing network:
a The device is commissioned using a tool with the necessary network and
security start up parameters to allow it to rejoin the network as a new device.

The device can rejoin any device in the network since it has all the network
information.
b The network has permit joining turned on by an external tool and the device
joins this network and undergoes joining and authentication as any newly
joined device.
2 Once joined and authenticated by the security requirements of the existing
network, the device is now a member of the neighborhood area network.

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3 At the application level, the particular device ID is associated with a particular
dwelling unit for billing purposes. This information may be associated at the
backend database where the data is collected, or may be sent to the device so it
is aware of its association. Note that under this method, devices may route data
through devices in adjacent dwelling units that are part of the neighborhood
area network.
5.5.4.2
Commissioning for Home Area Network
Under a home area network, the network consists of devices in a particular

dwelling unit with one or more co-located metering devices or ESP that provides
connectivity to the utility network. Under this scenario, the device within the
home may be installed by a trained installer or by a homeowner. The following
steps are completed:
1 The Smart Energy network must be informed of the device that is to be joined.
This is done through an out of band means which could include a web login,
phone call to a service center, or handheld tool. Using this methodology the
existing network is made aware of the device ID and security information
appropriate for the device (per the Key Establishment Cluster described in
Annex C).
2 The Smart Energy network is put into permit joining ON for a period of time.
3 The installer/homeowner is prompted to press a button or complete a menu
sequence that tells the device to attempt to join a network.

4 The device joins the network and is authenticated using the appropriate security
mechanisms per the Key Establishment Cluster.

5 An indicator is provided for the installer/homeowner indicating the device has
joined a network and authenticated properly or provides information about

improper authentication.
6 The device can now operate normally on the network.
5.6 Public Pricing

It is required that some ZigBee Smart Energy devices respond to requests for
public pricing information from devices that are not on the ZigBee Smart Energy
network and do not share the same security settings as the ZigBee Smart Energy
devices. Only those devices expected to support and communicate this public
pricing information must implement this functionality. Devices that support public
pricing must support the price cluster within the ZigBee Smart Energy profile.
The data from this ZigBee Smart Energy profile is used as the basis for the public
pricing broadcast. In other words, the ZigBee Smart Energy devices that receive
pricing information over the Smart Energy network transmits it anonymously and
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publicly to non-Smart Energy network devices using the anonymous Inter-PAN

transmission mechanism outlined in Annex B. Likewise, a Smart Energy device
that receives a request for the latest pricing message (formatted as a pricing
request from the Price Cluster) will respond with a public and anonymous pricing
message.
5.7 Other Smart Energy Profile Requirements and Best

Practices
5.7.1 Preferred Channel Usage
When forming a new network, or scanning to join a network, Smart Energy
devices should do channel scans using the following preferred channels before
scanning the rest of the channels in order to avoid the most commonly used WiFi
channels. This is to improve the user experience during installation (quicker
joining) and possibly improve bandwidth (on average).
Preferred 2.4 GHz Channels - 11, 14, 15, 19, 20, 24, 25
Preferred 900MHz Channels Use all available for ZigBee.
5.7.2 Broadcast Policy

Except for public pricing, broadcasts are strongly discouraged for Smart Energy
devices. Devices are limited to a maximum broadcast frequency of one broadcast
per second and strongly encouraged to exercise broadcasts much less frequently.
5.7.3 Frequency Agility

Frequency Agility would only be officially exercised in a network by a system
controller, or higher functioning device (ESP, aggregator, installation tool, etc).
Devices may support frequency agility hooks to be commanded to go to channel
X. Devices that do not support frequency agility may implement either the NWK
rejoin or orphan join feature to find a network that has changed channels.
5.7.4 Key Updates

Smart Energy devices are only required to support ZigBee residential mode
security or ZigBee PRO standard mode with the required use of link keys. All
link key updates shall use the Key Establishment Cluster. Sleeping devices that
miss key updates can request a new key using the existing link key so there is no
problem with sleeping devices missing key updates.
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5.7.5 Mirrored Device Capacity - Service Discovery

To aid in discovering Mirrored device capacity prior to key establishment and
device authentication it is recommended that the Basic Cluster attribute
PhysicalEnvironment be used. This would allow a battery based end device to
discover if a ESP has capacity to mirror data prior to the process of joining the
network in a secure manor, thereby reducing retry attempts. This would also
enhance the service discovery of the ZDO Match Descriptor that would be used to
determine if an endpoint can request the setup and removal of a mirrored Simple
Metering cluster.
An enumerated value of 0x01 would indicate that the device has the capacity to
mirror an end device. A value of 0x00 would specify an Unspecified
environment per the ZDO specification (3.2.2.2.12 of [B2]).
5.8 Coexistence and Interoperability with HA Devices

It is desirable to allow interoperability of HA and Smart Energy devices where
practical. However, it is undesirable to publicly share keys during the joining
process or share private information over a less secure network. HA devices that
only provide functionality for receiving network keys in the clear during a join
process cannot be used in a Smart Energy network. These devices can receive
public pricing information as described above. HA devices may also be extended
with Smart Energy clusters providing they support the use of Link Keys and the
Smart Energy security models. If so, they can be certified as HA and Smart
Energy capable allowing those devices to operate either in an HA network or a
Smart Energy network.
5.9 Device Descriptions

Device descriptions specified in this profile are summarized in Table 5.11 along
with their respective Device IDs. The devices are organized according to the end
application areas they address. A product that conforms to this specification shall
implement at least one of these device descriptions and shall also include the
device descriptions corresponding to all applications implemented on the product
where a standard device description is specified in this profile. For example, if a
product implements both a thermostat and an In-Premise Display, then the
thermostat and In-Premise Display device descriptions must both be supported.
This list will be added to in future versions of the profile as new clusters are
developed to meet the needs of manufacturers. The reserved values shall not be
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used until the profile defines them. Manufacturer-specific device descriptions

shall reside on a separate endpoint and use a private profile ID.
Smart Energy
Generi
c
Table 5.11 Devices Specified in the Smart Energy Profile
Device
Device ID
Range Extender
0x0008
Energy Service Portal
0x0500
Metering Device
0x0501
In-Premise Display
0x0502
Programmable Communicating Thermostat

(PCT)
0x0503
Load Control Device
0x0504
Smart Appliance
0x0505
Prepayment Terminal
0x0506
Reserved
0x0507 0x5FF
5.10 ZigBee Cluster Library (ZCL)

This profile utilizes some of the clusters specified in the ZigBee Cluster Library.
The implementation details for each cluster are given in the ZCL specifications.
Further specification and clarification is given in this profile where necessary.
The ZCL provides a mechanism for clusters to report changes to the value of
various attributes. It also provides commands to configure the reporting
parameters. Products shall support the attribute reporting mechanism for
supported attributes as specified in the ZCL. The minimum reporting interval
specified in the ZCL [B2] shall be set to a value greater than or equal to 0x0001.
The maximum reporting interval should be set to 0x0000 by default, and if it is set
to a non-zero value it shall be set to a value greater than or equal to 0x003C and
greater than the value of the minimum reporting interval. These settings will
restrict the attributes from being reported more often than once every second if the
attribute is changing quickly and at least once every minute if the attribute does
not change for a long time. It is recommended that the minimum reporting interval
be set to one minute and the maximum reporting interval be set to a much greater
value to avoid unnecessary traffic.
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Devices shall use the ZCL default response error handing. Typical examples of
this are:
"When receiving commands that don't have data collected such as Get
Scheduled Events, Get Current Price, Get Scheduled Prices, and Get Last
Message, devices shall respond using the ZCL default response with a status
code of NOT_FOUND.
"When receiving requests for unsupported commands, devices shall respond
using the ZCL default response with a status code of
UNSUP_CLUSTER_COMMAND.
"When receiving malformed commands, devices shall respond using the ZCL
default response with a status code of MALFORMED_COMMAND.
"When receiving requests for accessing unsupported attributes, devices shall
respond using the ZCL default response with a status code of
UNSUPPORTED_ATTRIBUTE.
Please refer to [B2] for additional status codes support in the ZCL default
response.
5.11 Cluster List and IDs

The clusters used in this profile are listed in Table 5.12. The clusters are listed
according to the functional domain they belong to in the ZCL and indicate the
additional new Smart Energy clusters. The existing corresponding ZCL General
cluster identifiers can be found in the ZCL [B2].
The functionality made available by all supported clusters shall be that given in
their ZCL specifications except where a device description in this profile includes
further specification, clarification or restriction as needed for a particular device.
Most clusters include optional attributes. The application designer must be aware
that optional attributes might not be implemented on a particular device. All
Smart Energy devices must discover and deal with unsupported attributes on other
devices.
It is expected that clusters will continue to be developed in the ZCL that will be
useful in this profile. In many cases, new clusters will be organized into new
device descriptions that are separate from those currently defined. There may also
be situations where it makes sense to add clusters as optional elements of existing
device descriptions.
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Manufacturer-specific clusters may be added to any device description in this

profile as long as they follow the specifications given in the ZCL [B2].
Table 5.12 Clusters Used in the Smart Energy Profile
Functional
Domain
Cluster Name
Cluster
ID
General
Basic
0x0000
General
Identify
0x0003
General
Alarms
0x0009
General
Time
0x000A
General
Commissioning
0x0015
General
Power Configuration
0x0001
General
Key Establishment
0x0800
Smart Energy
Price
0x0700
Smart Energy
0x0701
Smart Energy
Simple Metering
0x0702
Smart Energy
Message
0x0703
Smart Energy
Smart Energy Tunneling (Complex Metering)
0x0704
Smart Energy
Pre-Payment
0x0705
5.11.1 ZCL General Clusters

Except for the Key Establishment Cluster, which is covered in Annex C, please
refer to the ZCL Cluster Specification [B2] for the General Cluster descriptions.
5.11.1.1
ZCL Time Cluster and Time Synchronization
The Smart Energy profile requires time synchronization between devices to

properly support the coordination of Demand Response/Load Control events,
Price changes, and the collection of metered data. In order to simplify the
understanding of time, the Smart Energy profile will leverage UTC as the
common time base. To this end a new ZCL attribute data type, UTCTime is
included and its definition can be found in Annex A.
It is a desire for the processes for synchronizing time to be as network friendly as
possible to eliminate excessive traffic. To support this, time accuracy on Client
devices shall be within +/-1 minute of the server device (ESP) per 24 hour period.
The Client devices shall design a clock accuracy that never requires more than one
time synchronization event per 24 hour period. The exception to this is when
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devices need to rejoin or re-register on the network. Again, the desire is to keep
time synchronization traffic to a minimum.
Further, implementers must be aware that network communication delays will
cause minor differences in time between devices. The Smart Energy profile
expectations are that this will be a minor issue given the use cases its fulfilling. It
will not nor does it recommend implementers develop an NTP or equivalent
scheme to compensate for network delays. These methods are viewed as having
the potential to cause excessive network communications.
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H A P T E R
6
CHAPTER 6DEVICE SPECIFICATIONS
6.1 Common Clusters
Support for certain clusters is common to all the devices in this profile. The
clusters shown in Table 6.1 shall be supported by all devices in this profile as
mandatory or optional according to the designation given here. Individual device
descriptions may place further restrictions on support of the optional clusters
shown here. If a cluster is not listed as mandatory or optional in the following
common table or in the individual devices table that follows, then that cluster
shall be prohibited on the Smart Energy endpoint.
Table 6.1 Clusters Common to All Devices
Server Side
Client Side
Mandatory
Basic
None
Key Establishment
Key Establishment
Optional
Clusters with reporting capability
Power Configuration
Inter-PAN Communication
Alarms
Clusters with reporting capability

None
Inter-PAN Communication
None
Commissioning
Commissioning
Nonea
Identify
Manufacturer-specific
(see sub-clause 6.1.2 for details)
Manufacturer-specific
(see sub-clause 6.1.2 for details)
a. CCB 966
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6.1.1 Optional Support for Clusters with Reporting

Capability
Some clusters support the ability to report changes to the value of particular
attributes. These reports are typically received by the client side of the cluster. All
devices in this profile may support any cluster that receives attribute reports.
6.1.2 Manufacturer-Specific Clusters

The ZCL provides a range of cluster IDs that are reserved for manufacturerspecific clusters. Manufacturer-specific clusters that conform to the requirements
given in the ZCL may be added to any device description specified in this profile.
6.1.3 Cluster Usage Restrictions

None.
6.1.4 Identify Cluster Best Practices

To help aid in locating devices, its strongly recommended that all devices utilize
the Identify Cluster and a visual or audible indicator. In situations in which a
device cant supply a visual or audible indicator, the device should include a
visible label with the appropriate information to help identify the device.10
6.2 Feature and Function Description

Each device must support a certain set of features and functions. Table 6.2 below
is used to specify the mandatory and optional features and functions for Smart
Energy devices. This chapter contains a description of what must be supported if
10. CCB 966
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the feature or function is supported by the device. The mandatory or optional

configuration for each device is described in the upcoming chapters:
Table 6.2 Common Features and Functions Configuration for a
Smart Energy Device

Device
Type/
Feature
or
function
Join
(end
devices
and
routers
only)
Form
Network
(coordina
tor only)
Restor
e to
Factor
y
Fresh
Setting
s
Pair
Devices
(End
Device
Bind
Request)
Bind
Manager
(End
Device
Bind
Respons
eCoordina
tor only)
Enable
Identif
y Mode
Allow Smart
Energy
devices to
join the
Network
(routers and
coordinators
only)
Mandato
ry/
Optional
Oa
Ob
Device
Type/
Feature
or
function
Service
discove
ry
(Match
Descrip
tor
Request
)
ZDP
Bind
Response
ZDP
Unbin
d
Respo
nse
End
Device
Annce/
device
annce
Service
Discover
y
response
(Match
Descript
or
Respons
e)
High
Securit
y
Suppor
ted
(ZigBe
e PRO
only)
Inter-PAN
Communicat
ion
Mandato
ry/
Optional
Oc
N/A
a. CCB 967
b. CCB 967
c. CCB 967
Join (End Devices and Routers):

As described in sub-clauses 5.4 and 5.5.
Form Network (Coordinator):
Allow Others to Join Network (Router and Coordinator Only):
Restore to Factory Fresh Settings:
The Device shall provide a way for the restore Factory Settings.
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Pair Devices (End Device Bind Request):

Whenever possible, the device should provide a way for the user to issue an
End Device Bind Request.11
Bind Manager (End Device Bind Response Coordinator only):
The coordinator device shall be capable of issuing an End Device Bind
Response.
Enable Identify Mode:
Whenever possible, the device should provide a way for the user to enable
Identify for 60 seconds.12
Service Discovery (Match Descriptor Request):
Whenever possible, the device should provide a way for device to send a match
descriptor request, receive match descriptor responses and utilize them for
commissioning the device.13
ZDP Bind Response:
The device shall be able to receive a ZDP Bind Request and respond correctly
with a ZDP Bind Response.
ZDP Unbind Response:
The device shall be able to receive a ZDP Unbind Request and respond
correctly with a ZDP Unbind Response.
End Device Annce/Device Annce:
The device shall Send End Device Annce / Send Device upon joining and rejoining a network.
Service Discovery Response:
The Device shall be able to receive a Match descriptor request, and respond
with a match descriptor response correctly.
Allow Smart Energy Devices to Join the Network:
The Device shall allow other Smart Energy devices to join the network.
High Security Supported: No
Inter-PAN Communication:
The device may support Inter-PAN Communications as described in Annex B
11. CCB 967
12. CCB 967
13. CCB 967
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6.3 Smart Energy Devices

6.3.1 Energy Service Portal
The Energy Service Portal connects the energy supply company communication
network to the metering and energy management devices within the home. It
routes messages to and from the relevant end points. It may be installed within a
meter, thermostat, or In-Premise Display, or may be a standalone device, and it
will contain another non-ZigBee communication module (e.g. power-line carrier,
RF, GPRS, broadband Internet connection).
6.3.1.1
Supported Clusters
In addition to those specified in Table 6.1, the Energy Service Portal device shall
support the clusters listed in Table 6.3. If a cluster is not listed as mandatory or
optional in the following table or in the common table, then that cluster shall be
prohibited on an ESP device endpoint.
Table 6.3 Clusters Supported by the Energy Service Portal
Server Side
Client Side
Mandatory
Message
Price
Demand Response/Load Control
Time
Optional
Smart Energy Tunneling
(Complex Metering)

(Complex Metering)
Price
Simple Metering
Prepayment
Simple Metering
Prepayment
Please Note: Both the Prepayment and Smart Energy Tunneling Cluster
definitions are TBD. The information in those sections is not complete and
references to them in Table 6.3 should be viewed as place holders until they are
completely defined.
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6.3.1.2
Supported Features and Functions
The Energy Service Portal device shall have the features and functions listed in
Table 6.2.
6.3.2 Metering Device

The Metering end device is a meter (electricity, gas, water, heat, etc.) that is fitted
with a ZigBee device. Depending on what is being metered, the device may be
capable of immediate (requested) reads or it will autonomously send readings
periodically. A Metering end device may also be capable of communicating
certain status indicators (e.g. battery low, tamper detected).
6.3.2.1
Supported Clusters
In addition to those specified in Table 6.1, the Metering Device shall support the
clusters listed in Table 6.4. If a cluster is not listed as mandatory or optional in the
following table or in the common table, then that cluster shall be prohibited on a
Metering device endpoint.
Table 6.4 Clusters Supported by the Metering Device
Server Side
Client Side
Mandatory
Simple Metering
Optional
(Complex Metering)
Time
Prepayment
Price
Message
completely defined.
6.3.2.2
The Metering Device shall have the features and functions listed in Table 6.2.
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6.3.3 In-Premise Display Device

The In-Premise Display device will relay energy consumption data to the user by
way of a graphical or text display. The display may or may not be an interactive
device. At a minimum at least one of the following should be displayed: current
energy usage, a history over selectable periods, pricing information, or text
messages. As an interactive device, it can be used for returning simple messages
for interpretation by the recipient (e.g. Button A was pressed).
The display may also show critical pricing information to advise the customer
when peaks are due to occur so that they can take appropriate action.
6.3.3.1
Supported Clusters
In addition to those specified in Table 6.1, the In-Premise Display device shall
prohibited on an In-Premise Display device endpoint.
Table 6.5 Clusters Supported by the In-Premise Display Device
Server Side
Client Side
Mandatory
Optional
Time
Prepayment
Price
Simple Metering
Message
The device should state that at least one of the optional client clusters (Price,
Simple Metering, or Messaging) must be implemented.
definitions are TBD. The information in those sections are not complete and
completely defined.
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6.3.3.2
The In-Premise Display device shall have the features and functions listed in
Table 6.2.
6.3.4 Programmable Communicating Thermostat (PCT)

Device
The PCT device shall provide the capability to control the premise heating and
cooling systems.
6.3.4.1
Supported Clusters
In addition to those specified in Table 6.1, the PCT device shall support the
clusters listed in Table 6.6. If a cluster is not listed as mandatory or optional in the
following table or in the common table, then that cluster shall be prohibited on a
PCT device endpoint.
Table 6.6 Clusters Supported by the PCT
Server Side
Client Side
Mandatory
Time
Optional
Prepayment
Price
Simple Metering
Message
completely defined.
6.3.4.2
The PCT device shall have the features and functions listed in Table 6.2.
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6.3.5 Load Control Device

The Load Control device is capable of receiving Demand Response and Load
Control events to manage consumption on a range of devices. Example devices
are water heaters, exterior lighting, and pool pumps.
6.3.5.1
Supported Clusters
In addition to those specified in Table 6.1, the Load Control device shall support
the clusters listed in Table 6.7.
Table 6.7 Clusters Supported by the Load Control Device
Server Side
Client Side
Mandatory
Time
Optional
Price
6.3.5.2
The Load Control Device shall support the features and functions listed in
Table 6.2.
6.3.6 Range Extender Device

The Range Extender is a simple device that acts as a router for other devices. The
Range Extender device shall not be a ZigBee end device. A product that
implements the Range Extender device shall not implement any other devices
defined in this profile. This device shall only be used if the product is not intended
to have any other application, or if a private application is implemented that has
not been addressed by this profile.
6.3.6.1
Supported Clusters
The Range Extender device shall only support the mandatory common clusters
listed in Table 6.1.
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6.3.6.2
The Range Extender device shall have the features and functions listed in
Table 6.2.
6.3.7 Smart Appliance Device

Smart Appliance devices on the ZigBee network can participate in energy
management activities. Examples of these are when Utilities initiate a demand
response or pricing event, or the appliance actively informs customers via inhome displays of when or how energy is being used. In the latter case, scenarios
include:
Washer switching to cold water during periods of higher energy costs.
Washer/Dryer/Oven/Hot Water Heater reporting cycle status.
Over temperature conditions in Freezers and Refrigerators.
6.3.7.1
Supported Clusters
In addition to those specified in Table 6.1 the Smart Appliance device shall
prohibited on a Smart Appliance device endpoint.
Table 6.8 Clusters Supported by the Smart Appliance Device
Server Side
Client Side
Mandatory
Price
Time
Optional
Message
The device should state that at least one of the optional client clusters (Demand
Response and Load Control, Price or Messaging) must be implemented.
6.3.7.2
The Smart Appliance device shall have the features and functions listed in
Table 6.2.
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6.3.8 Prepayment Terminal Device

Please Note: The Prepayment Cluster definition is TBD. The information in this
section is not complete and should only be used as reference material until the
Prepayment cluster is completely defined.
The Prepayment Terminal device will allow utility customers or other users (e.g.
sub-metered tenants) to pay for consumption in discrete increments rather than
establishing a traditional billing agreement. The Prepayment Terminal device will
accept payment (e.g. credit card, code entry), display remaining balances, and
alert the user of a balance approaching zero, and may perform some or all of the
other functions described in In-Premise Display.
6.3.8.1
Supported Clusters
In addition to those specified in Table 6.1, the Prepayment Terminal device shall
prohibited on a Prepayment Terminal device endpoint.
Table 6.9 Clusters Supported by the Prepayment Terminal Device
Server Side
Client Side
Mandatory
Price
Time
Prepayment
Prepayment
Optional
Simple Metering
Message
6.3.8.2
The Prepayment Terminal device shall have the features and functions listed in
Table 6.2.
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N N E X
A
ANNEX ACANDIDATE ZCL MATERIAL FOR USE
WITH THIS PROFILE
The candidate material in this annex, when approved, will be merged into the
Foundation document of the ZigBee Cluster Library (ZCL) by the Cluster Library
Development Board.
A.1 New Data Types

This section defines new ZCL data types needed for interoperability with Smart
Energy-based ZigBee devices and functions.
A.2 Definition of New Types

The following material in this subsection is proposed for inclusion in the Data
Types section (section 8.2) of the Foundation document [B2].
A.2.1 New Time Data Type

The new Time data type being requested is listed in Table A.1.
Table A.1 Additional Time Cluster Data Type
Type Class
Time
Data Type ID
Data Type
Length of
Data (Octets)
Invalid
Number
Analog /
Discrete
0xe2
UTCTime
0xfffffffff
0xe3 0xe7
Reserved
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Candidate ZCL Material for Use with This
A.2.1.1
UTCTime
UTCTime is an unsigned 32 bit value representing the number of seconds since 0

hours, 0 minutes, 0 seconds, on the 1st of January, 2000 UTC. It reflects and
defines the data type used in the ZCL Time Server attribute labeled as Time. The
value that represents an invalid value of this type is 0xffffffffff.
A.2.2 New Unsigned Integer Data Type

The new Unsigned Integers data types being requested are listed in Table A.2
Table A.2 New Unsigned Integer Data Types
Type
Class
Unsigned
Integer
A.2.2.1
Data
Type
ID
Data Type
Length of Data
(Octets)
Invalid
Number
Analog /
Discrete
0x24
Unsigned 40 Bit
Integer
0xffffffffff
0x25
Unsigned 48 Bit
Integer
0xffffffffffff
0x26
0x27
Reserved
Unsigned 40 Bit Integer
This type represents an unsigned integer with a decimal range of 0 to 240-1. The
value that represents an invalid value of this type is 0xffffffffff.
A.2.2.2
Unsigned 48 Bit Integer
This type represents an unsigned integer with a decimal range of 0 to 248-1. The
value that represents an invalid value of this type is 0xffffffffffff.
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N N E X
B
ANNEX BINTER-PAN TRANSMISSION MECHANISM
B.1 Scope and Purpose
This annex defines a mechanism whereby ZigBee devices can perform limited,
insecure, and possibly anonymous exchanges of information with devices in their
local neighborhood without having to form or join the same ZigBee network. The
mandate for this feature comes from the Energy Management / Smart Energy
market requirement to send pricing information to very low cost devices. The
particular data exchange required by the Smart Energy Application Profile is the
request for anonymous public energy pricing information. The typical example is
the extremely low cost Refrigerator Magnet device that simply informs
customers of current energy costs through some visual method (LCD, LEDs,
etc.).
The intended destination for the mechanism described here is not the ZigBee
specification [B1], but the relevant application profile documents for applications
that make use of the feature in particular, the Smart Energy Profile
Specification.
The material used to create Annex B is derived from [B7].
B.2 General Description

B.2.1 What Inter-PAN Transmission Does
A schematic view of the how inter-PAN transmission in a ZigBee context works is
shown in Figure B.1.
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Annex B
Inter-PAN Transmission Mechanism
Figure B.1
ZigBee Stack with Stub APS
Inter-PAN data exchanges are handled by a special stub of the Application

Support Sub-Layer, which is accessible through a special Service Access Point
(SAP), the INTRP-SAP, parallel to the normal APSDE-SAP. The stub APS
performs just enough processing to pass application data frames to the MAC for
transmission and to pass inter-PAN application frames from the MAC to the
application on receipt.
The Inter-Pan data exchange architecture does not support simultaneous execution
by multiple application entities. Within a device, only one application entity shall
use the Inter-Pan communications mechanisms.
B.3 Service Specification

The INTRP-SAP is a data service comprising three primitives.
INTRP-DATA.request Provides a mechanism for a sending device to request
transmission of an Inter-Pan message.
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INTRP-DATA.confirm Provides a mechanism for a sending device to

understand the status of a previous request to send an Inter-Pan message.
INTRP-DATA.indication Provides a mechanism for a identifying and
conveying an Inter-Pan message received from a sending device.
B.3.1 The INTRP-DATA.request Primitive

The INTRP-DATA.request primitive allows an application entity to request data
transmission via the stub APS.
B.3.1.1
Semantics of the Service Primitive
The primitive interface is as follows:
INTRP-DATA.request
{
SrcAddrMode
DstAddrMode
DstPANId
DstAddress
ProfileId
ClusterId
ASDULength
ASDU
ASDUHandle
}
Parameters of the primitive appear in Table B.1.
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Table B.1 Parameters of the INTRP-DATA.request
Name
Type
Valid Range
SrcAddrMode
Integer
0x03
Description
The addressing mode for the source
address used in this primitive. This
parameter shall only reference the use
of the 64-bit extended address:
0x03 = 64-bit extended address
DstAddrMode
Integer
0x01 0x03
The addressing mode for the destination

address used in this primitive. This
parameter can take one of the values
from the following list:
0x01 = 16-bit group address
0x02 = 16-bit NWK address, normally
the broadcast address 0xffff
DstPANID
16-bit PAN
Id
0x0000 0xffff
The 16-bit PAN identifier of the entity

or entities to which the ASDU is being
transferred or the broadcast PANId
0xffff.
DstAddress
16-bit or
64-bit
address
As specified by the
AddrMode parameter
The address of the entity or entities to

which the ASDU is being transferred.
ProfileId
Integer
0x0000 0xffff
The identifier of the application profile

for which this frame is intended.
ClusterId
Integer
0x0000 0xffff
The identifier of the cluster, within the

profile specified by the ProfileId
parameter, which defines the
application semantics of the ASDU.
ASDULength
Integer
0x00
(aMaxMACFrameSiz
e - 9)
The number of octets in the ASDU to be

transmitted.
Set of octets
The set of octets forming the ASDU to

be transmitted.
Integer
0x00 0xff
An integer handle associated with the

ASDU to be transmitted.
ASDU
ASDUHandle
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B.3.1.2
When Generated
This primitive is generated by the local application entity when it wishes to

address a frame to one or more peer application entities residing on neighboring
devices with which it does not share a network association.
B.3.1.3
Effect on Receipt
On receipt of the INTRP-DATA.request primitive by the stub APS, the stub APS
will construct and transmit a frame containing the given ASDU and other
parameters using the MCPS-DATA.request primitive of the MAC sub-layer, as
described in sub-clause sub-clause B.5.1, and, once the corresponding MCPSDATA.confirm primitive is received, Generate the INTRP-DATA.confirm
primitive with a status value reflecting the status value returned by the MAC.
B.3.2 The INTRP-DATA.confirm Primitive

The INTRP-DATA.confirm primitive allows the stub APS to inform the
application entity about the status of a data request.
B.3.2.1

INTRP-DATA.confirm
{
ASDUHandle
Status
}

Table B.2 Parameters of the INTRP-DATA.confirm
Name
Type
Valid Range
ASDUHandle
Integer
0x00 0xff
An integer handle associated with

the transmitted frame.
Enumeration
Any Status value

returned by the MAC
The status of the ASDU

transmission corresponding to
ASDUHandle as returned by the
MAC.
Status
Description
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B.3.2.2
When Generated
This primitive is generated by the stub APS on a ZigBee device and passed to the
application in response to the receipt of a MCPS-DATA.confirm primitive that is a
confirmation of a previous MCPS-DATA.request issued by the stub APS.
B.3.2.3
Effect on Receipt
As a result of the receipt of this primitive, the application is informed of the

results of an attempt to send a frame via the stub APS.
B.3.3 The INTRP-DATA.indication Primitive

The INTRP-DATA.indication primitive allows the stub APS to inform the next
higher layer that it has received a frame that was transmitted via the stub APS on
another device.
B.3.3.1

INTRP-DATA.indication
{
SrcAddrMode
SrcPANId
SrcAddress
DstAddrMode
DstPANId
DstAddress
ProfileId
ClusterId
ASDULength
ASDU
LinkQuality
}
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Table B.3 Parameters of the INTRP-DATA.indication
Name
Type
Valid Range
SrcAddrMode
Integer
0x03
Description
The addressing mode for the
source address used in this
primitive. This parameter shall
only reference the use of the 64bit extended address:
SrcPANId
16-bit
PAN Id
0x0000 0xffff
The 16-bit PAN identifier of the

entity from which the ASDU is
being transferred.
SrcAddress
64-bit
address
As specified by the
SrcAddrMode parameter
The device address of the entity

from which the ASDU is being
transferred.
DstAddrMode
Integer
0x01 0x03
The addressing mode for the

destination address used in this
primitive. This parameter can take
one of the values from the
following list:
0x01 = 16-bit group address
0x02 = 16-bit NWK address,
normally the broadcast address
0xffff
DstPANID
16-bit
PAN Id
0x0000 0xffff
The 16-bit PAN identifier of the

entity or entities to which the
ASDU is being transferred or the
broadcast PAN ID 0xffff.
DstAddress
16-bit or
64-bit
address
As specified by the
DstAddrMode parameter
ProfileId
Integer
0x0000 0xffff
The identifier of the application

profile for which this frame is
intended.
ClusterId
Integer
0x0000 0xffff
The identifier of the cluster,

within the profile specified by the
ProfileId parameter, which
defines the application semantics
of the ASDU.
The address of the entity or

entities to which the ASDU is
being transferred.
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Table B.3 Parameters of the INTRP-DATA.indication

ASDULength
Integer
0x00
(aMaxMACFrameSize - 9)
The number of octets in the

ASDU
Set of
octets
The set of octets forming the

LinkQuality
Integer
0x00 0xff
B.3.3.2
The link quality observed during

the reception of the ASDU.
When Generated
This primitive is generated and passed to the application in the event of the
receipt, by the stub APS, of a MCPS-DATA.indication primitive from the MAC
sub-layer, containing a frame that was generated by the stub APS of a peer ZigBee
device, and that was intended for the receiving device.
B.3.3.3
Effect on Receipt
Upon receipt of this primitive the application is informed of the receipt of an

application frame transmitted, via the stub APS, by a peer device and intended for
the receiving device.
B.3.4 Qualifying and Testing of Inter-Pan Messages

Certification and application level testing shall ensure both the sending and
receiving devices correctly react and understand the INTRP-DATA.request and
INTRP-DATA.indication primitives.
B.4 Frame Formats

The birds-eye view of a normal ZigBee frame is as shown in Figure B.2.
Figure B.2
Normal ZigBee Frame
Briefly, the frame contains the familiar headers controlling the operation of the
MAC sub-layer, the NWK layer and the APS. Following these, there is a payload,
formatted as specified in [B2].
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Since most of the information contained in the NWK and APS headers is not
relevant for inter-PAN transmission, the inter-PAN frame, shown in Figure B.3,
contains only a stub of the NWK header the APS header, which provide the
information required by the stub APS shown in Figure B.4 to do its job.
Figure B.3
Inter-PAN ZigBee Frame
Octets: 2
NWK frame
control
Figure B.4
Stub NWK Header Format
The format of the frame control field of the stub NWK header is formatted as
shown in Figure B.5.
Bits: 0-1
2-5
6-15
Frame type
Protocol
version
Remaining sub-fields == 0
Figure B.5
Format of the NWK Frame Control Field
The sub-fields of the NWK frame control field are as follows:

The frame type sub-field shall have a value of 0b11, which is a reserved frame
type with respect to the [B4].
The value protocol version sub-field shall reflect the protocol version of the
ZigBee stack as described in [B4].
All other sub-fields shall have a value of 0.
The format of the stub APS header is shown in Figure B.6.
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Octets: 1
APS frame control
0/2
Group address
Cluster identifier
Profile identifier
Addressing fields
Figure B.6
Stub APS Header Format
The stub APS header contains only 4 fields totaling a maximum of 7 octets in
length.
The APS frame control field shall be 1 octet in length and is identical in format to
the frame control field of the general APDU frame in [B4] (see Figure B.7).
Bits: 0-1
2-3
Frame type
Delivery Mode
Reserved
Security
ACK request
Extended
Header
Present
Figure B.7
Format of the APS Frame Control Field
The fields of the frame control field have the following values:
The frame type sub-field shall have a value of 0b11, which is a reserved frame
type with respect to the [B4].
The delivery mode sub-field may have a value of 0b00, indicating unicast,
0b10, indicating broadcast or 0b11 indicating group addressing.
Security is never enabled for Inter-Pan transmissions. This sub-field shall be a
value of 0.
The ACK request sub-field shall have a value of 0, indicating no ACK request.
No APS ACKs are to be used with Inter-Pan transmissions.
The extended header present sub-field shall always have a value of 0,
indicating no extended header.
The optional group address shall be present if and only if the delivery mode field
has a value of 0x0b11. If present if shall contain the 16-bit identifier of the group
to which the frame is addressed.
The cluster identifier field is 2 octets in length and specifies the identifier of the
cluster to which the frame relates and which shall be made available for filtering
and interpretation of messages at each device that takes delivery of the frame.
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The profile identifier is two octets in length and specifies the ZigBee profile
identifier for which the frame is intended and shall be used during the filtering of
messages at each device that takes delivery of the frame.
B.5 Frame Processing

Assuming the INTRP-SAP described above, frames transmitted using the stub
APS are processed as described here.
B.5.1 Inter-PAN Transmission

On receipt of the INTRP-DATA.request primitive, the stub APS shall construct a
stub APS frame. The header of the stub APS frame shall contain a NWK and an
APS frame control field as described in clause clause B.4, a cluster identifier field
equal to the value of the ClusterId parameter of the INTRP-DATA.request and a
profile identifier field equal to the value of the ProfileId parameter. If the
DstAddrMode parameter of the INTRP-DATA.request has a value of 0x01,
indicating group addressing, then the APS header shall also contain a group
address field with a value corresponding to the value of the DstAddress parameter.
The payload of the stub APS frame shall contain the data payload to be
transmitted.
The stub APS frame will then be transmitted using the MCPS-DATA.request
primitive of the MAC sub-layer with key primitive parameters set as follows:
The value of the SrcAddrMode parameter of the MCPS-DATA.request shall
always be set to a value of three, indicating the use of the 64-bit extended
address.
The SrcPANId parameter shall be equal to the value of the macPANID attribute
of the MAC PIB.
The SrcAddr parameter shall always be equal to the value of the MAC sublayer constant aExtendedAddress.
If the DstAddrMode parameter of the INTRP-DATA.request primitive has a
value of 0x01 then the DstADdrMode parameter of the MCPS-DATA.request
shall have a value of 0x02. Otherwise, the DstAddrMode parameter of the
MCPS-DATA.request shall reflect the value of the DstAddrMode parameter of
the INTRP-DATA.request.
The DstPANId parameter shall have the value given by the DstPANID
parameter of the INTRP-DATA.request primitive.
If the DstAddrMode parameter of the INTRP-DATA.request has a value of
0x01, indicating group addressing, then the value of the DstAddr parameter of
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the MCPS-DATA.request shall be the broadcast address 0xffff. Otherwise,

value of the DstAddr parameter shall reflect the value of the DstAddress
parameter of the INTRP-DATA.request primitive.
The MsduLength parameter shall be the length, in octets, of the stub APS
frame.
The Msdu parameter shall be the stub APS frame itself.
If the transmission is a unicast then the value of the TxOptions parameter shall
be 0x01, indicating a request for acknowledgement. Otherwise, the TxOptions
parameter shall have a value of 0x00, indicating no options.
On receipt of the MCPS-DATA.confirm primitive form the MAC sub-layer, the
stub APS will invoke the transmit confirmation function with a status reflecting
the status returned by the MAC.
B.5.2 Inter-PAN Reception

On receipt of the MCPS-DATA.indication primitive from the MAC sub-layer, the
receiving entity in case of a ZigBee device this is normally the NWK layer
shall determine whether the frame should be passed to the stub APS or processed
as specified in [B4]. For a frame that is to be processed by the stub APS, the nonvarying sub-fields of both the NWK frame control field and the APS frame
control field must be set exactly as described above.
If the delivery mode sub-field of the APS frame control field of the stub APS
header has a value of 0b11, indicating group addressing, then, if the device
implements group addressing, the value of the group address field shall be
checked against the NWK layer group table, and, if the received value is not
present in the table, the frame shall be discarded with no further processing or
action.
On receipt of a frame for processing, the stub APS shall generate an INTRPDATA.indication with parameter values as follows:
The value of the SrcAddrMode parameter of the INTRP-DATA.indication
shall always be set to a value of three, indicating the use of the 64-bit extended
address
The value of the SrcPANId parameter shall reflect that of the SrcPANId
parameter of the MCPS-DATA.indication.
The SrcAddress parameter of the INTRP-DATA.indication shall always reflect
the value of a 64-bit extended address.
Values for the DstAddrMode parameter shall be one of:
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0x03, if the DstAddrMode parameter of the INTRP-DATA.indication has a
value of 0x03.
0x02, if the DstAddrMode parameter of the INTRP-DATA.indication has a
value of 0x02
The value of the DstPANId parameter of the INTRP-DATA.indication shall
reflect the value of the DstPANId parameter of the MCPS-DATA.indication.
If the DstAddrMode parameter of the INTRP-DATA.indication has a value of
0x01, indicating group addressing then the DstAddress parameter of the
INTRP-DATA.indication shall reflect the value of the group address field of
the stub APS header. Otherwise, the value of the DstAddress parameter of the
INTRP-DATA.indication shall reflect the value of the DstAddr parameter of
the MCPS-DATA.indication.
The value of the ProfileId parameter shall be the same as the value of the
profile identifier field of the stub APS header.
The value of the ClusterId parameter shall be the same as the value of the
cluster identifier field of the stub APS header.
The ASDULength field shall contain the number of octets in the stub APS
frame payload.
The ASDU shall be the stub APS payload itself.
The value of the LinkQuality parameter shall reflect the value of the
mpduLinkQuality parameter of the MCPS-DATA.indication.
B.6 Usage Scenario

Figure B.8 shows a typical usage scenario for inter-PAN communication. In this
Smart Energy-oriented scenario, the Home Area Network (HAN) device is on the
left with the APL, NWK and MAC shown as separate sequences. A ZigBee
electric meter or Energy Service Portal (ESP) is also shown along with a
foreign, i.e. non-ZigBee, device.
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Figure B.8
Inter-PAN Typical Usage
The first task of the HAN device in this scenario is to discover devices in the area
that are capable of publishing pricing information. It could do this using an interPAN broadcast, i.e. a broadcast employing both the broadcast address and the
broadcast PAN ID, but in doing this it runs the risk of confusing the non-ZigBee
foreign device. As an alternative, the HAN device uses standard ZigBee
network discovery (see [B4]) in order to find ZigBee PANs.
Once at least one ZigBee PAN is discovered, the HAN device sends a request for
public pricing information using the INTRP-DATA SAP. Typically, the first time
this request is sent, it will be sent as a broadcast to each discovered ZigBee PAN.
Receiving devices that implement the INTRP-DATA SAP will process it and, if
any such device is able to respond, it will respond directly to the requestor. After
receiving at least one response the requestor may store the PAN ID and device
address of one or more responders so that it may query them directly in future.
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N N E X
C
ANNEX CKEY ESTABLISHMENT CLUSTER
The candidate material in this annex, when approved, will be merged into the
Foundation document of the ZigBee Cluster Library (ZCL) by the Cluster Library
Development Board.
C.1 Scope and Purpose

This Annex specifies a cluster, which contains commands and attributes necessary
for managing secure communication between ZigBee devices.
This Annex should be used in conjunction with the ZigBee Cluster Library,
Foundation Specification (see [B2]), which gives an overview of the library and
specifies the frame formats and general commands used therein.
This version is specifically for inclusion in the Smart Energy profile. The
document which originates from [B6] will continue to be developed in a
backward-compatible manner as a more general secure communication cluster for
ZigBee applications as a whole.
C.2 General Description

C.2.1 Introduction
As previously stated, this document describes a cluster for managing secure
communication in ZigBee. The cluster is for Key Establishment.
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Key Establishment Cluster
C.2.2 Network Security

The Key Establishment Cluster has been designed to be used where the
underlying network security cannot be trusted. As such, no information that is
confidential information will be transported.
C.2.3 Key Establishment

To allow integrity and confidentiality of data passed between devices,
cryptographic schemes need to be deployed. The cryptographic scheme deployed
in the ZigBee Specification for frame integrity and confidentiality is based upon a
variant of the AES-CCM described in [B12] called AES-CCM*. This relies on the
existence of secret keying material shared between the involved devices. There
are methods to distribute this secret keying material in a trusted manner. However,
these methods are generally not scalable or communication may be required with
a trusted key allocation party over an insecure medium. This leads to the
requirement for automated key establishment schemes to overcome these
problems.
Key establishment schemes can either be effected using either a key agreement
scheme or a key transport scheme. The key establishment scheme described in
this document uses a key agreement scheme, therefore key transport schemes will
not be considered further in this document.
A key agreement scheme is where both parties contribute to the shared secret and
therefore the secret keying material to be established is not sent directly; rather,
information is exchanged between both parties that allows each party to derive the
secret keying material. Key agreement schemes may use either symmetric key or
asymmetric key (public key) techniques. The party that begins a key agreement
scheme is called the initiator, and the other party is called the responder.
Key establishment using key agreement involves an initiator and a responder and
four steps:
1 Establishment of a trust relationship
2 Exchange of ephemeral data
3 Use of this ephemeral data to derive secret keying material using key
agreement
4 Confirmation of the secret keying material.
There are two basic types of key establishment which can be implemented:
Symmetric Key Key Establishment
Public Key Key Establishment
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C.2.4 Symmetric Key Key Establishment

Symmetric Key Key Establishment (SKKE) is based upon establishing a link key
based on a shared secret (master key). If the knowledge of the shared secret is
compromised, the established link key can also be compromised. If the master key
is publicly known or is set to a default value, it is known as Unprotected Key
Establishment (UKE). SKKE is the key establishment method used in the ZigBee
specification therefore it will not be considered any further.
C.2.5 Public Key Key Establishment

Public Key Key Establishment (PKKE) is based upon establishing a link key
based on shared static and ephemeral public keys. As the public keys do not
require any secrecy, the established link key cannot be compromised by
knowledge of them.
As a device's static public key is used as part of the link key creation, it can either
be transported independently to the device's identity where binding between the
two is assumed, or it can be transported as part of a implicit certificate signed by a
Certificate Authority, which provides authentication of the binding between the
device's identity and its public key as part of the key establishment process. This
is called Certificate-Based Key Establishment (CBKE) and is discussed in more
detail in sub-clause C.4.2.
CBKE provides the most comprehensive form of Key Establishment and therefore
will be the method specified in this cluster.
The purpose of the key agreement scheme as described in this document is to
produce shared secret keying material which can be subsequently used by devices
using AES-CCM* the cryptographic scheme deployed in the ZigBee
Specification or for any proprietary security mechanism implemented by the
application.
C.2.6 General Exchange

The following diagram shows an overview of the general exchange which takes
place between initiator and responder to perform key establishment.
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Initator
Responder
Generate ephemeral data EU
Generate ephemeral data EV

SU,EU
SV,EV
Z = KeyBitGen(SU, SV, EU, EV)
Z = KeyBitGen(SU, SV, EU, EV)
MacKey || KeyData = KDF(Z)
MacKey || KeyData = KDF(Z)
3
MACU = MACMacKey(AU, SU, SV, EU, EV)
MACV = MACMacKey(AV, SV, SU, EV, EU)

MACU
MACV
4
Verify MACV
Figure C.1
Verify MACU
Overview of General Exchange
The functions are as follows:

1 Exchange Static and Ephemeral Data
2 Generate Key Bitstream
3 Derive MAC key and Key Data
4 Confirm Key using MAC
The functions shown in the diagram depend on the Key Establishment

mechanism.
C.2.6.1
Exchange Static and Ephemeral Data
Figure C.1 shows static data SU and SV. For PKKE schemes, this represents a
combination of the 64-bit device address [B8] and the device's static public key.
The identities are needed by the MAC scheme and the static public keys are
needed by the key agreement scheme.
Figure C.1 also shows ephemeral data EU and EV. For PKKE schemes, this
represents the public key of a randomly generated key pair.
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The static and ephemeral data SU and EU are sent to V and the static and
ephemeral data SV and EV and are sent to U.
C.2.6.2
Generate Key Bitstream
Figure C.1 shows the KeyBitGen function for generating the key bitstream. The
function's four parameters are the identifiers and the ephemeral data for both
devices. This ensures the same key is generated at both ends.
For PKKE schemes, this is the ECMQV key agreement schemes specified in
Section 6.2 of SEC1 [B15]. The static data SU represents the static public key
Q1,U of party U, the static data SV represents the static public key Q1,V of party V,
the ephemeral data EU represents the ephemeral public key Q2,U of party U and
the ephemeral data EV represents the ephemeral public key Q2,V of party V.
C.2.6.3
Derive MAC Key and Key Data
Figure C.1 shows the KDF (KeyDerivation Function) for generating the MAC
Key and key data. The MAC Key is used with a keyed hash message
authentication function to generate a MAC and the key data is shared secret, e.g.
the link key itself required for frame protection.
For PKKE schemes, this is the key derivation function is as specified in Section
3.6.1 of SEC1 [B15]. Note there is no SharedInfo parameter of the referenced
KDF, i.e. it is a null octet string of length 0.
Figure C.1 also shows generation of the MAC using the MAC Key derived using
the KDF using a message comprised of both static data SU and SV and ephemeral
data EU and EV plus an additional component A which is different for initiator and
responder.
For PKKE schemes, this is the MAC scheme specified in section 3.7 of SEC1
[B15]. The MAC in the reference is the keyed hash function for message
authentication specified in sub-clause C.4.2.2.6 and the message M is a
concatenation of the identity (the 64-bit device address [B8]) of U, the identity of
V and point-compressed octet-string representations of the ephemeral public keys
of parties U and V. The order of concatenation depends on whether it is the
initiator or responder. The additional component A is the single octet 0216 for the
initiator and 0316 for the responder.
C.2.6.4
Confirm Key Using MAC
Figure C.1 shows MACs MACU and MACV.

The MAC MACU is sent to V and the MAC MACV is sent to U. U and V both
calculates the corresponding MAC and compares it with the data received.
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C.3 Cluster List

The clusters specified in this document are listed in Table C.1.
For our purposes, any device that implements the client side of this cluster may be
considered the initiator of the secure communication transaction.
Table C.1 Clusters Specified for the Secure Communication Functional Domain
Cluster Name
Description
Key Establishment
Attributes and commands for establishing a

shared secret between two ZigBee devices.
Initiator
Responder
C = Client
Figure C.2
S = Server
Note: Device names are examples

for illustration only.
Typical Usage of the Key Establishment Cluster
C.3.1 Key Establishment Cluster

C.3.1.1
Overview
This cluster provides attributes and commands to perform mutual authentication

and establish keys between two ZigBee devices. Figure C.3 depicts a diagram of a
successful key establishment negotiation.
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Initiator
Responder
Initiate Key Establishment Request
APS Ack
Initiate Key Establishment Response
APS Ack
Ephemeral Data Request
APS Ack
Ephemeral Data Response
APS Ack
Confirm Key Request
APS Ack
Confirm Key Response
APS Ack
Figure C.3
Key Establishment Command Exchange
As depicted above, all Key Establishment messages should be sent with APS
retries enabled. A failure to receive an ACK in a timely manner can be seen as a
failure of key establishment. No Terminate Key Establishment should be sent to
the partner of device that has timed out the operation.
The initiator can initiate the key establishment with any active endpoint on the
responder device that supports the key establishment cluster. The endpoint can be
either preconfigured or discovered, for example, by using ZDO Match-Desc-req.
A link key successfully established using key establishment is valid for all
endpoints on a particular device. The responder shall respond to the initiator
using the source endpoint of the initiator's messages as the destination endpoint of
the responder's messages.
It is expected that the time it takes to perform the various cryptographic
computations of the key establishment cluster may vary greatly based on the
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device. Therefore rather than set static timeouts, the Initiate Key Establishment
Request and Response messages will contain approximate values for how long the
device will take to generate the ephemeral data and how long the device will take
to generate confirm key message.
A device performing key establishment can use this information in order to
choose a reasonable timeout for its partner during those operations. The timeout
should also take into consideration the time it takes for a message to traverse the
network including APS retries. A minimum transmission time of 2 seconds is
recommended.
For the Initiate Key Establishment Response message, it is recommended the
initiator wait at least 2 seconds before timing out the operation. It is not expected
that generating an Initiate Key Establishment Response will take significant time
compared to generating the Ephemeral Data and Confirm Key messages.
C.3.1.2
Server
C.3.1.2.1 Dependencies
The Key Establishment server cluster has no dependencies.
C.3.1.2.2 Attributes
For convenience, the attributes defined in this specification are arranged into sets
of related attributes; each set can contain up to 16 attributes. Attribute identifiers
are encoded such that the most significant three nibbles specify the attribute set
and the least significant nibble specifies the attribute within the set. The currently
defined attribute sets are listed in Table C.2.
Table C.2 Key Establishment Attribute Sets
Attribute Set
Identifier
Description
0x000
Information
0x001 0xfff
Reserved
C.3.1.2.2.1 Information
The Information attribute set contains the attributes summarized in Table C.3.
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Identifier
0x0000
Name
Type
Range
Access
Default
Mandatory/
Optional
KeyEstablis
hmentSuite
16-bit
Enumeration
0x0000 0xFFFF
Read
only
0x0000
C.3.1.2.2.1.1 KeyEstablishmentSuite Attribute

The KeyEstablishmentSuite attribute is 16-bits in length and specifies all the
cryptographic schemes for key establishment on the device. A device shall set the
corresponding bit to 1 for every cryptographic scheme that is supports. All other
cryptographic schemes and reserved bits shall be set to 0.
Table C.4 Values of the KeyEstablishmentSuite Attribute
Bits
Description
Certificate-based Key Establishment

(CBKE-ECMQV)
1-15
Reserved
C.3.1.2.3 Commands Received

The server side of the key establishment cluster is capable of receiving the
commands listed in Table C.5.
Table C.5 Received Command IDs for the Key Establishment Cluster Server
Command Identifier Field

Value
Description
Mandatory/
Optional
0x00
Initiate Key Establishment

Request
0x01
0x02
Confirm Key Data Request
0x03
Terminate Key Establishment
0x04 0xFF
Reserved
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C.3.1.2.3.1 Initiate Key Establishment Request Command

The Initiate Key Establishment Request command allows a device to initiate key
establishment with another device. The sender will transmit its identity
information and key establishment protocol information to the receiving device.
C.3.1.2.3.1.1 Payload Format
The Initiate command payload shall be formatted as illustrated in Figure C.4.
Octets
48
Data
Type
16-bit BitMap
Unsigned 8-bit
Integer
Unsigned 8-bit
Integer
Octets (non-ZCL
Data Type)
Key
Establishment
suite
Ephemeral Data
Generate Time
Confirm Key
Generate Time
Identity (IDU)
Field
Name
Figure C.4
Format of the Initiate Key Establishment

Request Command Payload
Key Establishment Suite: This will be the type of Key Establishment that the
initiator is requesting for the Key Establishment Cluster. For CBKE-ECMQV this
will be 0x0001.
Ephemeral Data Generate Time14: This value indicates approximately how
long the initiator device will take in seconds to generate the Ephemeral Data
Request command. The valid range is 0x00 to 0xFE.
Confirm Key Generate Time15: This value indicates approximately how long
the initiator device will take in seconds to generate the Confirm Key Request
command. The valid range is 0x00 to 0xFE.
Identity field: For KeyEstablishmentSuite = 0x0001 (CBKE), the identity field
shall be the block of octets containing the implicit certificate CERTU as specified
in sub-clause C.4.2.
C.3.1.2.3.1.2 Effect on Receipt
If the device does not currently have the resources to respond to a key
establishment request it shall send a Terminate Key Establishment command with
the result value set to NO_RESOURCES and the Wait Time field shall be set to an
14. CCB 993

15. CCB 993
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approximation of the time that must pass before the device will have the resources
to process a new Key Establishment Request.
If the device can process this request, it shall check the Issuer field of the device's
implicit certificate. If the Issuer field does contain a value that corresponds to a
known Certificate Authority, the device shall send a Terminate Key Establishment
command with the result set to UNKNOWN_ISSUER.
If the device accepts the request it shall send an Initiate Key Establishment
Response command containing its own identity information.
C.3.1.2.3.2 Confirm Key Request Command
The Confirm Key command allows the initiator sending device to confirm the key
established with the responder receiving device based on performing a
cryptographic hash using part of the generated keying material and the identities
and ephemeral data of both parties.
The Confirm Key command payload shall be formatted as illustrated in
Figure C.5.
Octets
16
Data Type
Octet string
Field Name
Secure Message Authentication

Code (MACU)
Figure C.5
Format of the Confirm Key Request Command Payload
Secure Message Authentication Code field: The Secure Message

Authentication Code field shall be the octet-string representation of MACU as
specified in sub-clause C.4.2.
If the device is not currently in the middle of negotiating Key Establishment with
the sending device when it receives this message, it shall send back a Terminate
Key Establishment message with a result of BAD_MESSAGE. If the device is in
the middle of Key Establishment with the sender but did not receive this message
in response to an Ephemeral Data Response command, it shall send back a
Terminate Key Establishment message with a result of BAD_MESSAGE.
On receipt of the Confirm Key Request command the responder device shall
compare the received MACU value with its own reconstructed version of MACU.
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If the two match the responder shall send back MACV by generating an
appropriate Confirm Key Response command. If the two do not match, the
responder shall send back a Terminate Key Establishment with a result of BAD
_KEY_CONFIRM and terminate the key establishment.
C.3.1.2.3.3 Terminate Key Establishment Command
The Terminate Key Establishment command may be sent by either the initiator or
responder to indicate a failure in the key establishment exchange.
The Terminate Key Establishment command payload shall be formatted as
illustrated in Figure C.6.
Octets
Data
Type
8-bit
Enumeration
Unsigned 8-bit
Integer
16-bit BitMap
Field
Name
Status Code
Wait Time
KeyEstablishmentSuite
Figure C.6
Format of the Terminate Key Establishment Command Payload
Status Field: The Status field shall be one of the error codes in Table C.6.
Table C.6 Terminate Key Establishment Command Status Field
Enumeration
Value
Description
0x00
Reserved
UNKNOWN_ISSUER
0x01
The Issuer field within the key establishment partner's

certificate is unknown to the sending device, and it has
terminated the key establishment.
BAD_KEY_CONFIR
M
0x02
The device could not confirm that it shares the same key
with the corresponding device and has terminated the key
establishment.
BAD_MESSAGE
0x03
The device received a bad message from the corresponding

device (e.g. message with bad data, an out of sequence
number, or a message with a bad format) and has terminated
the key establishment.
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Table C.6 Terminate Key Establishment Command Status Field (Continued)
Enumeration
Value
Description
NO_RESOURCES
0x04
The device does not currently have the internal resources

necessary to perform key establishment and has terminated
the exchange.
UNSUPPORTED_SUI
TE
0x05
The device does not support the specified key establishment

suite in the partner's Initiate Key Establishment message.
0x06 0xFF
Reserved
Wait Time: This value indicates the minimum amount of time in seconds the
initiator device should wait before trying to initiate key establishment again. The
valid range is 0x00 to 0xFE.
KeyEstablishmentSuite: This value will be set the value of the
KeyEstablishmentSuite attribute. It indicates the list of key exchange methods
that the device supports.
On receipt of the Terminate Key Establishment command the device shall
terminate key establishment with the sender. If the device receives a status of
BAD_MESSAGE or NO_RESOURCES it shall wait at least the time specified in
the Wait Time field before trying to re-initiate Key Establishment with the device.
If the device receives a status of UNKNOWN_SUITE it should examine the
KeyEstablishmentSuite field to determine if another suite can be used that is
supported by the partner device. It may re-initiate key establishment using that
one of the supported suites after waiting the amount of time specified in the Wait
Time field. If the device does not support any of the types in the
KeyEstablishmentSuite field, it should not attempt key establishment again with
that device.
If the device receives a status of UNKNOWN_ISSUER or
BAD_KEY_CONFIRM the device should not attempt key establishment again
with the device, as it is unlikely that another attempt will be successful.
C.3.1.2.3.4 Ephemeral Data Request Command
The Ephemeral Data Request command allows a device to communicate its
ephemeral data to another device and request that the device send back its own
ephemeral data.
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Figure C.7
Octets
22
Data Type
Octets (non-ZCL Data Type)
Field Name
Ephemeral Data (QEU)
Format of the Ephemeral Data Request Command Payload

in response to an Initiate Key Establishment Response command, it shall send
back a Terminate Key Establishment message with a result of BAD_MESSAGE.
If the device can process the request it shall respond by generating its own
ephemeral data and sending an Ephemeral Data Response command containing
that value.
C.3.1.2.4 Commands Generated
The server generates the commands detailed in sub-clause C.3.1.3.3, as well as
those used for reading and writing attributes.
C.3.1.3
Client
C.3.1.3.1 Dependencies
The Key Establishment client cluster has no dependencies.
C.3.1.3.2 Attributes
are encoded such that the most significant three nibbles specify the attribute set
and the least significant nibble specifies the attribute within the set. The currently
defined attribute sets are listed in Table C.7.
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Attribute Set
Identifier
Description
0x000
Information
0x001 0xfff
Reserved
C.3.1.3.2.1 Information
The Information attribute set contains the attributes summarized in Table C.8.
Table C.8 Attributes of the Information Attribute Set
Identifier
0x0000
Name
Type
Range
Access
Default
Mandatory/
Optional
KeyEstablis
hmentSuite
16-bit
Enumeration
0x0000
0xFFFF
Read
only
0x0000
C.3.1.3.2.1.1 KeyEstablishmentSuite Attribute

The KeyEstablishmentSuite attribute is 16-bits in length and specifies all the
cryptographic schemes for key establishment on the device. A device shall set the
corresponding bit to 1 for every cryptographic scheme that is supports. All other
cryptographic schemes and reserved bits shall be set to 0. This attribute shall be
set to one of the non-reserved values listed in Table C.9.
Table C.9 Values of the KeyEstablishmentSuite Attribute
Description
Certificate-based Key Establishment (CBKE

- ECMQV)
1-15
Reserved
C.3.1.3.3 Commands Received

The client side of the Key Establishment cluster is capable of receiving the
commands listed in Table C.10.
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Table C.10 Received Command IDs for the Key Establishment Cluster Client
Command
Identifier
Field Value
Description
Mandatory
/ Optional
0x00
0x01
0x02
Confirm Key Data Response
0x03
Terminate Key Establishment
0x04 - 0xFF
Reserved
C.3.1.3.3.1 Initiate Key Establishment Response Command

The Initiate Key Establishment Response command allows a device to respond to
a device requesting the initiation of key establishment with it. The sender will
transmit its identity information and key establishment protocol information to the
receiving device.
The Initiate response command payload shall be formatted as illustrated in
Figure C.8.
Octets
Data Type
Field
Name
48
16-bit BitMap
Unsigned 8-bit
Integer
Unsigned 8-bit
Integer
Octets (nonZCL Data Type)
Requested Key
Establishment suite
Ephemeral Data
Generate Time
Confirm Key
Generate Time
Identity (IDU)
Figure C.8
Format of the Initiate Key Establishment Response

Command Payload
16Requested
Key Establishment Suite: This will be the type of

KeyEstablishmentSuite that the initiator has requested be used for the key
establishment exchange. The device shall set a single bit in the bitmask indicating
the requested suite, all other bits shall be set to zero.
16. CCB 993

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Ephemeral Data Generate Time: This value indicates approximately how long
in seconds the responder device takes to generate the Ephemeral Data Response
message. The valid range is 0x00 to 0xFE.
Confirm Key Generate Time: This value indicates approximately how long the
responder device will take in seconds to generate the Confirm Key Response
message. The valid range is 0x00 to 0xFE.
Identity field: For KeyEstablishmentSuite = 0x0001 (CBKE), the identity field
shall be the block of Octets containing the implicit certificate CERTU as specified
in sub-clause C.4.2.
in response to an Initiate Key Establishment Request command, it shall send back
a Terminate Key Establishment message with a result of BAD_MESSAGE.
On receipt of this command the device shall check the Issuer field of the device's
implicit certificate. If the Issuer field does contain a value that corresponds to a
known Certificate Authority, the device shall send a Terminate Key Establishment
command with the status value set to UNKNOWN_ISSUER. If the device does
not currently have the resources to respond to a key establishment request it shall
send a Terminate Key Establishment command with the status value set to
NO_RESOURCES and the Wait Time field shall be set to an approximation of the
time that must pass before the device has the resources to process the request.
If the device accepts the response it shall send an Ephemeral Data Request
command.
C.3.1.3.3.2 Ephemeral Data Response Command
The Ephemeral Data Response command allows a device to communicate its
ephemeral data to another device that previously requested it.
Figure C.9
Octets
22
Data Type
Field Name
Ephemeral Data (QEV)
Format of the Ephemeral Data Response Command Payload

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in response to an Ephemeral Data Request command, it shall send back a
Terminate Key Establishment message with a result of BAD_MESSAGE.
On receipt of this command if the device can handle the request it shall perform key
generation, key derivation, and MAC generation. If successful it shall generate an
appropriate Confirm Key Request command, otherwise it shall generate a Terminate
Key Establishment with a result value of NO_RESOURCES.
C.3.1.3.3.3 Confirm Key Response Command
The Confirm Key Response command allows the responder to verify the initiator
has derived the same secret key. This is done by sending the initiator a
cryptographic hash generated using the keying material and the identities and
ephemeral data of both parties.
The Confirm Key response command payload shall be formatted as illustrated in
Figure C.10.
Octets
0/16
Data Type
Field Name

Code (MACV)
Figure C.10 Format of the Confirm Key Response Command Payload
Secure Message Authentication Code field: The Secure Message

Authentication Code field shall be the octet-string representation of MACV as
specified in sub-clause C.4.2.
in response to an Confirm Key Request command, it shall send back a Terminate
Key Establishment message with a result of BAD_MESSAGE.
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On receipt of the Confirm Key Response command the initiator device shall
compare the received MACV value with its own reconstructed version of the
MACV. If the two match then the initiator can consider the key establishment
process to be successful. If the two do not match, the initiator should send a
Terminate Key Establishment command with a result of BAD_KEY_CONFIRM.
C.3.1.3.3.4 Terminate Key Establishment Command
The Terminate Key Establishment command may be sent by either the initiator or
responder to indicate a failure in the key establishment exchange.
Octets
Data Type
8-bit Enumeration
Unsigned 8-bit Integer
16-bit BitMap
Field Name
Status Code
Wait Time
Figure C.11 Format of the Terminate Key Establishment Command Payload
Status field: The Status field shall be one of the following error codes.
Enumeration
Value
Description
0x00
Reserved
UNKNOWN_I
SSUER
0x01
The Issuer field within the key establishment partner's

certificate is unknown to the sending device, and it has
terminated the key establishment.
BAD_KEY_CO
NFIRM
0x02
The device could not confirm that it shares the same key with
the corresponding device and has terminated the key
establishment.
BAD_MESSA
GE
0x03
The device received a bad message from the corresponding

device (e.g. message with bad data, an out of sequence
number, or a message with a bad format) and has terminated
the key establishment.
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Enumeration
Value
Description
NO_RESOURC
ES
0x04
The device does not currently have the internal resources

necessary to perform key establishment and has terminated
the exchange.
UNSUPPORTE
D_SUITE
0x05
The device does not support the specified key establishment

suite in the partner's Initiate Key Establishment message.
0x06 0xFF
Reserved
Wait Time: This value indicates the minimum amount of time in seconds the
initiator device should wait before trying to initiate key establishment again. The
valid range is 0x00 to 0xFE.
KeyEstablishmentSuite: This value will be set the value of the
KeyEstablishmentSuite attribute. It indicates the list of key exchange methods
that the device supports.
On receipt of the Terminate Key Establishment command the device shall
terminate key establishment with the sender. If the device receives a status of
BAD_MESSAGE or NO_RESOURCES it shall wait at least the time specified in
the Wait Time field before trying to re-initiate Key Establishment with the device.
If the device receives a status of UNKNOWN_SUITE it should examine the
KeyEstablishmentSuite field to determine if another suite can be used that is
supported by the partner device. It may re-initiate key establishment using that
one of the supported suites after waiting the amount of time specified in the Wait
Time field. If the device does not support any of the types in the
KeyEstablishmentSuite field, it should not attempt key establishment again with
that device.
If the device receives a status of UNKNOWN_ISSUER or
BAD_KEY_CONFIRM the device should not attempt key establishment again
with the device, as it is unlikely that another attempt will be successful.
C.3.1.3.4 Commands Generated
The client generates the commands detailed in sub-clause C.3.1.2.3, as well as
those used for reading and writing attributes.
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C.4 Application Implementation

C.4.1 Network Security for Smart Energy Networks
The underlying network security for Smart Energy networks is assumed to be
ZigBee Standard security using pre-configured link keys.
A temporary link key for a joining device is produced by performing the
cryptographic hash function on a random number assigned to the joining device
(e.g. serial number) and the device identifier, which is the device's 64-bit IEEE
address [B8].
The joining device's assigned random number is then conveyed to the utility via
an out-of-band mechanism (e.g. telephone call, or web site registration). The
utility then commissions the energy service portal (ESP) at the premises where the
joining device is by installing the temporary link key at the ESP on the back
channel.
When the joining device powers up, it will also create a temporary link key as
above and therefore at the time of joining both the joining device and the ESP
have the same temporary link key, which can be used to transport the network key
securely to the joining device.
At this point, the device will be considered joined and authenticated as far as
network security is concerned. The secure communication cluster can now be
invoked to replace the temporary link key with a more secure link key based on
public key cryptography.
C.4.2 Certificate-Based Key Establishment

The Certificate-Based Key-Establishment (CBKE) solution uses public-key
technology with digital certificates and root keys. Each device has a private key
and a digital certificate that is signed by a Certificate Authority (CA).
The digital certificate includes:
Reconstruction data for the device's public key
The device's extended 64-bit IEEE address
Profile specific information (e.g., the device class, network id, object type,
validity date, etc.).
Certificates provide a mechanism for cryptographically binding a public key to a
device's identity and characteristics.
Trust for a CBKE solution is established by provisioning a CA root key and a
digital certificate to each device. A CA root key is the public key paired with the
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CA's private key. A CA uses its private key to sign digital certificates and the CA
root key is used to verify these signatures. The trustworthiness of a public key is
confirmed by verifying the CA's signature of the digital certificate. Certificates
can be issued either by the device manufacturer, the device distributor, or the end
customer. For example, in practical situations, the CA may be a computer (with
appropriate key management software) that is kept physically secure at the end
customer's facility or by a third-party.
At the end of successful completion of the CBKE protocol the following security
services are offered:
Both devices share a secret link key
Implicit Key Authentication: Both devices know with whom they share this
link key.
Key Confirmation: Each device knows that the other device actually has
computed the key correctly
No Unilateral Key Control: No device has complete control over the shared
link key that is established.
Perfect Forward Secrecy: if the public key gets compromised none of future
and past communications are exposed
Known Key Security resilience: Each shared link key created per session is
unique
C.4.2.1
Notation and Representation
C.4.2.1.1 Strings and String Operations

A string is a sequence of symbols over a specific set (e.g., the binary alphabet
{0,1} or the set of all octets). The length of a string is the number of symbols it
contains (over the same alphabet). The right-concatenation of two strings x and y
of length m and n respectively (notation: x || y), is the string z of length m+n that
coincides with x on its leftmost m symbols and with y on its rightmost n symbols.
An octet is a bit string of length 8.
C.4.2.1.2 Integers and their Representation
Throughout this specification, the representation of integers as bit strings or octet
strings shall be fixed. All integers shall be represented as binary strings in mostsignificant-bit first order and as octet strings in most-significant-octet first order.
This representation conforms to the convention in Section 2.3 of SEC1 [B15].
C.4.2.1.3 Entities
Throughout this specification, each entity shall be a DEV and shall be uniquely
identified by its 64-bit IEEE device address [B8]. The parameter entlen shall have
the integer value 64.
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C.4.2.2
Cryptographic Building Blocks
The following cryptographic primitives and data elements are defined for use with
the CBKE protocol specified in this document.
C.4.2.2.1 Elliptic-Curve Domain Parameters
The elliptic curve domain parameters used in this specification shall be those for
the curve ansit163k1 as specified in section 3.4.1 of SEC2 [B16].
All elliptic-curve points (and operations hereon) used in this specification shall be
(performed) on this curve.
C.4.2.2.2 Elliptic-Curve Point Representation
All elliptic-curve points shall be represented as point compressed octet strings as
specified in sections 2.3.3 and 2.3.4 of SEC1 [B15]. Thus, each elliptic-curve
point can be represented in 22 bytes.
C.4.2.2.3 Elliptic-Curve Key Pair
An elliptic-curve-key pair consists of an integer d and a point Q on the curve
determined by multiplying the generating point G of the curve by this integer (i.e.,
Q=dG) as specified in section 3.2.1 of SEC1 [B15]. Here, Q is called the public
key, whereas d is called the private key; the pair (d, Q) is called the key pair. Each
private key shall be represented as specified in section 2.3.7 of SEC1 [B15]. Each
public key shall be represented as defined in sub-clause C.4.2.1.2 of this
document.
C.4.2.2.4 ECC Implicit Certificates
The exact format of the 48-byte implicit certificate ICU used with CBKE scheme
shall be specified as follows:
ICU = PublicReconstrKey || Subject || Issuer || ProfileAttributeData
Where,
1 PublicReconstrKey: the 22-byte representation of the public-key reconstruction
data BEU as specified in the implicit certificate generation protocol, which is

an elliptic-curve point as specified in sub-clause C.4.2.2.2 (see SEC4 [B15]);
2 Subject: the 8-byte identifier of the entity U that is bound to the public-key
reconstruction data BEU during execution of the implicit certificate generation

protocol (i.e., the extended, 64-bit IEEE 802.15.4 address [B8] of the device
that purportedly owns the private key corresponding to the public key that can
be reconstructed with PublicReconstrKey);
3 Issuer: the 8-byte identifier of the CA that creates the implicit certificate during
the execution of the implicit certificate generation protocol (the so-called

Certificate Authority).
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4 ProfileAttributeData: the 10-byte sequence of octets that can be used by a
ZigBee profile for any purpose. The first two bytes of this sequence is reserved
as a profile identifier, which must be defined by another ZigBee standard.
5 The string IU as specified in Step 6 of the actions of the CA in the implicit
certificate generation protocol (see section SEC4 [B17]) shall be the

concatenation of the Subject, Issuer, and ProfileAttributeData:
IU = Subject || Issuer || ProfileAttributeData
C.4.2.2.5 Block-Cipher
The block-cipher used in this specification shall be the Advanced Encryption
Standard AES-128, as specified in FIPS Pub 197 [B13]. This block-cipher has a
key size that is equal to the block size, in bits, i.e., keylen= 128.
C.4.2.2.6 Cryptographic Hash Function
The cryptographic hash function used in this specification shall be the blockcipher
based cryptographic hash function specified in Annex B.6 in [B4], with the
following instantiations:
1 Each entity shall use the block-cipher E as specified in sub-clause B.1.1 in
[B4].
2 All integers and octets shall be represented as specified in sub-clause C.4.2.1.
The Matyas-Meyer-Oseas hash function (specified in Annex B.6 in [B4]) has a

message digest size hashlen that is equal to the block size, in bits, of the
established blockcipher.
C.4.2.2.7 Keyed Hash Function for Message Authentication
The keyed hash message authentication code (HMAC) used in this specification
shall be HMAC, as specified in the FIPS Pub 198 [B14] with the following
instantiations:
1 Each entity shall use the cryptographic hash H function as specified in sub-
clause C.4.2.2.6;
2 The block size B shall have the integer value 16 (this block size specifies the
length of the data integrity key, in bytes, that is used by the keyed hash
function, i.e., it uses a 128-bit data integrity key). This is also MacKeyLen, the
length of MacKey.
3 The output size HMAClen of the HMAC function shall have the same integer
value as the message digest parameter hashlen as specified in subclause C.4.2.2.6.
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C.4.2.2.8 Derived Shared Secret

The derived shared secret KeyData is the output of the key establishment.
KeyData shall have length KeyDataLen of 128 bits.
C.4.2.3
Certificate-Based Key-Establishment
The CBKE method is used when the authenticity of both parties involved has not
been established and where implicit authentication of both parties is required prior
to key agreement.
The CBKE protocol has an identical structure to the PKKE protocol, except that
implicit certificates are used rather than manual certificates. The implicit
certificate protocol used with CBKE shall be the implicit certificate scheme with
associated implicit certificate generation scheme and implicit certificate
processing transformation as specified in SEC4 [B15], with the following
instantiations:
1 Each entity shall be a DEV;
2 Each entitys identifier shall be its 64-bit device address [B8]; the parameter
entlen shall have the integer value 64;

3 Each entity shall use the cryptographic hash function as specified in sub-
clause C.4.2.2.6;
The following additional information shall have been unambiguously established
between devices operating the implicit certificate scheme:
1 Each entity shall have obtained information regarding the infrastructure that
will be used for the operation of the implicit certificate scheme including a
certificate format and certificate generation and processing rules (see SEC4
[B15]);
2 Each entity shall have access to an authentic copy of the elliptic-curve public
keys of one or more certificate authorities that act as CA for the implicit
certificate scheme (SEC4 [B15]).
The methods by which this information is to be established are outside the scope
of this standard.
The methods used during the CBKE protocol are described below. The parameters
used by these methods are described in Table C.12.
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Chapter C
Table C.12 Parameters Used by Methods of the CBKE Protocol
Parameter
Size (Octets)
Description
CERTU
48
The initiator device's implicit certificate used to transfer the

initiator devices public key (denoted Q1,U in the Elliptic Curve
MQV scheme in SEC1 [B15]) and the initiator devices
identity.
CERTV
48
The responder device's implicit certificate used to transfer the

responder devices public key (denoted Q1,V in the Elliptic
Curve MQV scheme in SEC1 [B15]) and the responder
devices identity.
QEU
22
The ephemeral public key generated by the initiator device

(denoted Q2,U in the Elliptic Curve MQV scheme in SEC1
[B15]).
QEV
22
The ephemeral public key generated by the responder device

(denoted Q2V in the Elliptic Curve MQV scheme in SEC1
[B15]).
MACU
16
The secure message authentication code generated by the

initiator device (where the message M is (0216 || IDU || IDV ||
QEU || QEV) and IDU and IDV are the initiator and responder
device entities respectively as specified in sub-clause C.4.2.2.3
and QEU and QEV are the point-compressed elliptic curve
points representing the ephemeral public keys of the initiator
and responder respectively as specified in sub-clause C.4.2.2.2.
See also section 3.7 of SEC1 [B15]).
MACV
16
The secure message authentication code generated by the

responder device (where the message M is (0316 || IDV || IDU ||
QEV || QEU) and IDV and IDU are the responder and initiator
device entities respectively as specified in sub-clause C.4.2.2.3
and QEV and QEU are the point-compressed elliptic curve
points representing the ephemeral public keys of the responder
and initiator respectively as specified in sub-clause C.4.2.2.3.
See also section 3.7 of SEC1 [B15]).
C.4.2.3.1 Exchange Ephemeral Data

C.4.2.3.1.1 Initiator
The initiator device's implicit certificate CERTU and a newly generated
ephemeral public key QEU are transferred to the responder device using the
Initiate Key Establishment command via the Key Establishment Cluster Client.
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C.4.2.3.1.2 Responder
The responder device's implicit certificate CERTV and a newly generated
ephemeral public key QEV are transferred to the initiator device using the Initiate
Key Establishment response command via the Key Establishment Cluster Server.
C.4.2.3.2 Validate Implicit Certificates
The initiator devices Key Establishment Cluster Client processes the Initiate Key
Establishment response command. The initiator device examines CERTV
(formatted as ICV as described in sub-clause C.4.2.2.4), confirms that the Subject
identifier is the purported owner of the certificate, and runs the certificate
processing steps described in section SEC4 [B16].
The responder devices Key Establishment Cluster Server processes the Initiate
Key Establishment command. The responder device examines CERTU (formatted
as ICU as described in sub-clause C.4.2.2.4), confirms that the Subject identifier is
the purported owner of the certificate, and runs the certificate processing steps
described in section SEC 4 [B16].
C.4.2.3.3 Derive Keying Material
The initiator performs the Elliptic Curve MQV scheme as specified in section 6.2
of SEC1 [B15] with the following instantiations:
1 The elliptic curve domain parameters shall be as specified in sub-
clause C.4.2.2.1;
2 The KDF shall use the cryptographic hash function specified in sub-
clause C.4.2.2.2;
3 The static public key Q1,U shall be the static public key of the initiator;
4 The ephemeral public key Q2,U shall be an ephemeral public key of the initiator
generated as part of this transaction;
5 The static public key Q1,V shall be the static public key of the responder
obtained from the responders certificate communicated to the initiator by the

responder;
6 The ephemeral public key Q2,V shall be based on the point-compressed octet
string representation QEV of an ephemeral key of the responder communicated

to the initiator by the responder;
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Chapter C
7 The KDF parameter keydatalen shall be MacKeyLen + KeyDataLen, where
MacKeyLen is the length of MacKey and KeyDataLen is the length of KeyData;

8 The parameter SharedInfo shall be the empty string;
The initiator device derives the keying material MacKey and KeyData from the
output K as specified in section 3.6.1 of SEC1 [B15] by using MacKey as the
leftmost MacKeyLen octets of K and KeyData as the rightmost KeyDataLen octets
of K. KeyData is used subsequently as the shared secret and MacKey is used for
key confirmation.
The responder performs the Elliptic Curve MQV scheme as specified in section
6.2 of SEC1 [B15] with the following instantiations:
1 The elliptic curve domain parameters shall be as specified in sub-
clause C.4.2.2.1;
2 The KDF shall use the cryptographic hash function specified in sub-
clause C.4.2.2.2;
3 The static public key Q1,U shall be the static public key of the initiator obtained
from the initiators certificate communicated to the responder by the initiator;
4 The ephemeral public key Q2,U shall be based on the point-compressed octet
string representation QEU of an ephemeral key of the initiator communicated

to the responder by the initiator;
5 The static public key Q1,V shall be the static public key of the responder;
6 The ephemeral public key Q2,V shall be an ephemeral public key of the
responder generated as part of this transaction;
7 The KDF parameter keydatalen shall be MacKeyLen + KeyDataLen, where
MacKeyLen is the length of MacKey and KeyDataLen is the length of KeyData;

8 The parameter SharedInfo shall be the empty string;
The responder device derives the keying material MacKey and KeyData from the
output K as specified in section 3.6.1 of SEC1 [B15] by using MacKey as the
leftmost MacKeyLen octets of K and KeyData as the rightmost KeyDataLen octets
of K. KeyData is used subsequently as the shared secret and MacKey is used for
key confirmation.
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C.4.2.3.4 Confirm Keys

The initiator device uses MacKey to compute its message authentication code
MACU and sends it to the responder device by using the Confirm Key command
via the Key Establishment Cluster Client.
The initiator device uses MacKey to confirm the authenticity of the responder by
calculating MACV and comparing it with that sent by the responder.
The responder device uses MacKey to compute its message authentication code
MACV and sends it to the initiator device by using the Confirm Key response
command via the Key Establishment Cluster Server.
The responder device uses MacKey to confirm the authenticity of the initiator by
calculating MACU and comparing it with that sent by the initiator.
C.5 Key Establishment Test Vectors

The following details the key establishment exchange data transformation and
validation of test vectors for a pair of Smart Energy devices using Certificate
based key exchange (CBKE) using Elliptical Curve Cryptography (ECC).
C.5.1 Preconfigured Data

Each device is expected to have been preinstalled with security information prior
to initiating key establishment. The preinstalled data consists of the Certificate
Authority's Public Key, a device specific certificate, and a device specific private
key.
C.5.1.1
CA Public Key
The following is the Certificate Authority's Public Key.

02 00 FD E8 A7 F3 D1 08
42 24 96 2A 4E 7C 54 E6
9A C3 F0 4D A6 B8
C.5.1.2
Responder Data
The following is the certificate for device 1. The device has an IEEE of
(>)0000000000000001, and will be the responder.
03 04 5F DF C8 D8 5F FB
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Chapter C
8B 39 93 CB 72 DD CA A5
5F 00 B3 E8 7D 6D 00 00
00 00 00 00 00 01 54 45
53 54 53 45 43 41 01 09
00 06 00 00 00 00 00 00
The certificate has the following data embedded within it:

Public Key
Reconstruction Data
03 04 5F DF C8 D8 5F FB 8B 39 93 CB 72 DD CA A5
Subject (IEEE)
00 00 00 00 00 00 00 01
Issuer
54 45 53 54 53 45 43 41
Attributes
01 09 00 06 00 00 00 00 00 00
5F 00 B3 E8 7D 6D
The private key for device 1 is as follows:

00 b8 a9 00 fc ad eb ab
bf a3 83 b5 40 fc e9 ed
43 83 95 ea a7
The public key for device 1 is as follows:

03 02 90 a1 f5 c0 8d ad
5f 29 45 e3 35 62 0c 7a
98 fa c4 66 66 a1
C.5.1.3
Initiator Data
The following is the certificate for device 2.

(>)0000000000000002, and will be the initiator.
The device has an IEEE of
02 06 15 E0 7D 30 EC A2
DA D5 80 02 E6 67 D9 4B
C1 B4 22 39 83 07 00 00
00 00 00 00 00 02 54 45
53 54 53 45 43 41 01 09
00 06 00 00 00 00 00 00
The certificate has the following data embedded within it:

Public Key Reconstruction
Data
02 06 15 E0 7D 30 EC A2 DA D5 80 02 E6 67 D9
4B C1 B4 22 39 83 07
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Subject (IEEE)
00 00 00 00 00 00 00 02
Issuer
54 45 53 54 53 45 43 41
Attributes
01 09 00 06 00 00 00 00 00 00
The private key for device 2 is as follows:

01 E9 DD B5 58 0C F7 2E
CE 7F 21 5F 0A E5 94 E4
8D F3 E7 FE E8
The public key for device 2 is:

03 02 5B BA 38 D0 C7 B5
43 6B 68 DF 72 8F 09 3E
7A 1D 6C 43 7E 6D
C.5.2 Key Establishment Messages

The following is the basic flow of messages back and forth between the initiator
and the responder performing key establishment using the Key Establishment
Cluster.
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Chapter C
Initiator
Responder
APS Ack
time
Initiate Key Establishment

Response
APS Ack
Ephemeral Data
Request
APS Ack
Ephemeral Data esponse
R
APS Ack
Confirm Key Request
APS Ack
APS Ack
Figure C.12 Key Establishment Command Exchange
C.5.2.1
The following is the APS message sent by the initiator (device 2) to the responder
(device 1) for the initiate key establishment request.
40 0A 00 08 09 01 0A 01
01 00 00 01 00 03 06 02
06 15 E0 7D 30 EC A2 DA
D5 80 02 E6 67 D9 4B C1
B4 22 39 83 07 00 00 00
00 00 00 00 02 54 45 53
54 53 45 43 41 01 09 00
06 00 00 00 00 00 00
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APS Header
Frame Control
0x40
Destination Endpoint
0x0A
Cluster Identifier
0x0800
Profile ID
0x0109
Source Endpoint
0x0A
APS Counter
0x01
ZCL Header
Frame Control
0x01
Sequence Number
0x00
Command Identifier
0x00
Key Establishment Suite
0x0001
ECMQV
Ephemeral Data Generate Time
0x03
Confirm Key Generate Time
0x06
Identity (IDU)
C.5.2.2
Client to Server
Device 2's certificate
The following is the APS message sent by the responder (device 1) to the initiator
(device 2) for the initiate key establishment response.
40 0A 00 08 09 01 0A 01
09 00 00 01 00 03 06 03
04 5F DF C8 D8 5F FB 8B
39 93 CB 72 DD CA A5 5F
00 B3 E8 7D 6D 00 00 00
00 00 00 00 01 54 45 53
54 53 45 43 41 01 09 00
06 00 00 00 00 00 00
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Chapter C
APS Header
Frame Control
0x40
0x0A
Cluster Identifier
0x0800
Profile ID
0x0109
Source Endpoint
0x0A
APS Counter
0x01
ZCL Header
Frame Control
0x09
Sequence Number
0x00
Command Identifier
0x00
Key Establishment Suite
0x0001
ECMQV
Ephemeral Data Generate Time
0x03
Confirm Key Generate Time
0x06
Identity (IDV)
C.5.2.3
Server to Client
Device 1's certificate
The following is the APS message sent by the initiator to the responder for the
ephemeral data request.
40 0A 00 08 09 01 0A 02
01 01 01 03 00 E1 17 C8
6D 0E 7C D1 28 B2 F3 4E
90 76 CF F2 4A F4 6D 72
88
APS Header
Frame Control
0x40
0x0A
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0x0800
Profile ID
0x0109
Source Endpoint
0x0A
APS Counter
0x02
ZCL Header
Frame
Control
0x01
Client to Server
Sequence
Number
0x01
Command
Identifier
0x01
Ephemeral
Data (QEU)
03 00 E1 17 C8 6D 0E 7C
D1 28 B2 F3 4E 90 76 CF
F2 4A F4 6D 72 88
C.5.2.4
The following is the APS message sent by the responder to the initiator for the
ephemeral data response.
40 0A 00 08 09 01 0A 02
09 01 01 03 06 AB 52 06
22 01 D9 95 B8 B8 59 1F
3F 08 6A 3A 2E 21 4D 84
5E
APS Header
Frame Control
0x40
0x0A
Cluster Identifier
0x0800
Profile ID
0x0109
Source Endpoint
0x0A
APS Counter
0x02
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Chapter C
ZCL Header
Frame Control
0x09
Server to Client
Sequence
Number
0x01
Command
Identifier
0x01
Ephemeral
Data (QEV)
03 06 AB 52 06 22 01 D9
95 B8 B8 59 1F 3F 08 6A
3A 2E 21 4D 84 5E
C.5.2.5
Confirm Key Request
The following is the APS message sent by the initiator to the responder for the
confirm key request.
40 0A 00 08 09 01 0A 03
01 02 02 B8 2F 1F 97 74
74 0C 32 F8 0F CF C3 92
1B 64 20
APS Header
Frame Control
0x40
0x0A
Cluster Identifier
0x0800
Profile ID
0x0109
Source Endpoint
0x0A
APS Counter
0x02
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Frame Control
0x01
Sequence
Number
0x02
Command
Identifier
0x02
Secure
Message
Authentication
Code (MACU)
B8 2F 1F 97 74 74 0C 32
F8 0F CF C3 92 1B 64 20
C.5.2.6
Client to Server
Confirm Key Request
The following is the APS message sent by the responder to the initiator for the
confirm key response.
40 0A 00 08 09 01 0A 03
09 02 02 79 D5 F2 AD 1C
31 D4 D1 EE 7C B7 19 AC
68 3C 3C
APS Header
Frame Control
0x40
0x0A
Cluster Identifier
0x0800
Profile ID
0x0109
Source Endpoint
0x0A
APS Counter
0x02
ZCL Header
Frame Control
0x09
Server to Client
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Chapter C
Sequence Number
0x02
Command Identifier
0x02

Code (MACV)
79 D5 F2 AD 1C 31 D4 D1
EE 7C B7 19 AC 68 3C 3C
C.5.3 Data Transformation

The following are the various values used by the subsequent transformation.
Initiator
Responder
M(U)
Initiator Message Text (0x02)
M(V)
Responder Message Text (0x03)
ID(U)
Initiator's Identifier (IEEE address)
ID(V)
Responder's Identifier (IEEE address)
E(U)
Initiator's Ephemeral Public Key
E(V)
Responder's Ephemeral Public Key
E-P(U)
Initiator's Ephemeral Private Key
E-P(V)
Responder's Ephemeral Private Key
CA
Certificate Authority's Public Key
Cert(U)
Initiator's Certificate
Cert(V)
Responder's Certificate
Private(U)
Initiator's Private Key
Private(V)
Responder's Private Key
Shared Data
A pre-shared secret. NULL in Key

Establishment.
A shared secret
Note: '||' stands for bitwise concatenation
C.5.3.1
ECMQV Primitives
It is assumed that an ECC library is available for creating the shared secret given
the local private key, local ephemeral public & private key, remote device's
certificate, remote device's ephemeral public key, and the certificate authority's
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public key. Further it is assumed that this library has been separately validated
with a set of ECC test vectors. Those test vectors are outside the scope of this
document.
C.5.3.2
Key Derivation Function (KDF)
Once a shared secret (Z) is established, a transform is done to create a SMAC

(Secure Message Authenication Code) and a shared ZigBee Key.
C.5.3.3
Initiator Transform
Upon receipt of the responder's ephemeral data response, the initiator has all the
data necessary to calculate the shared secret and derive the data for the confirm
key request (SMAC).
C.5.3.3.1 Ephemeral Data
Public Key
03 00 E1 17 C8 6D 0E 7C D1 28 B2 F3 4E 90 76 CF F2 4A F4 6D
72 88
Private Key
00 13 D3 6D E4 B1 EA 8E 22 73 9C 38 13 70 82 3F 40 4B FF 88
62
C.5.3.3.2 Step Summary

1 Derive the Shared Secret using the ECMQV primitives
a Z = ECC_GenerateSharedSecret( Private(U), E(U), E-P(U), Cert(V), E(V),
CA )
2 Derive the Keying data
a Hash-1 = Z || 00 00 00 01 || SharedData
b Hash-2 = Z || 00 00 00 02 || SharedData
3 Parse KeyingData as follows
a MacKey = First 128 bits (Hash-1) of KeyingData
b KeyData = Second 128 bits (Hash-2) of KeyingData
1 Create MAC(U)
a MAC(U) = MAC(MacKey) { M(U) || ID(U) || ID(V) || E(U) || E(V) }
2 Send MAC(U) to V.
3 Receive MAC(V) from V.
4 Calculate MAC(V)'
a MAC(V) = MAC(MacKey) { M(V) || ID(V) || ID(U) || E(V) || E(U) }
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Chapter C
5 Verify MAC(V)' is the same as MAC(V).
C.5.3.3.3 Detailed Steps

CA )
00 E0 D2 C3 CC D5 C1 06 A8 9C 4F 6C C2 6A 5F 7E
C9 DF 78 A7 BE

Concatenation
C9 DF 78 A7 BE 00 00 00 01
Hash
90 F9 67 B2 2C 83 57 C1 0C 1C 04 78 8D E9 E8 48
Concatenation
C9 DF 78 A7 BE 00 00 00 02
Hash
86 D5 8A AA 99 8E 2F AE FA F9 FE F4 96 06 54 3A

4 Create MAC(U)
Concatenation
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B8 2F 1F 97 74 74 0C 32 F8 0F CF C3 92 1B 64 20
5 Send MAC(U) to V.
6 Receive MAC(V) from V.
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7 Calculate MAC(V)'
Concatenation
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79 D5 F2 AD 1C 31 D4 D1 EE 7C B7 19 AC 68 3C 3C
C.5.3.4
Responder Transform
Upon receipt of the initiator's confirm key request, the responder has all the data
necessary to calculate the shared secret, validate the initator's confirm key
message, and derive the data for the confirm key response (SMAC).
C.5.3.4.1 Ephemeral Data
Public Key
03 06 AB 52 06 22 01 D9 95 B8 B8 59 1F 3F 08 6A 3A 2E 21
4D 84 5E
Private Key
03 D4 8C 72 10 DD BC C4 FB 2E 5E 7A 0A A1 6A 0D B8 95 40
82 0B
C.5.3.4.2 Step Summary

a Z = ECC_GenerateSharedSecret( Private(V), E(V), E-P(V), Cert(U), E(U),
CA )
4 Create MAC(V)
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Chapter C
5 Calculate MAC(U)'
6 Verify MAC(U)' is the same as MAC(U).
7 Send MAC(V) to U.
C.5.3.4.3 Detailed Steps

CA )
C9 DF 78 A7 BE

Concatenation
C9 DF 78 A7 BE 00 00 00 01
Hash
90 F9 67 B2 2C 83 57 C1 0C 1C 04 78 8D E9 E8 48
Concatenation
C9 DF 78 A7 BE 00 00 00 02
Hash
86 D5 8A AA 99 8E 2F AE FA F9 FE F4 96 06 54 3A

4 Create MAC(V)
Concatenation
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5 Calculate MAC(V)'
Concatenation
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B8 2F 1F 97 74 74 0C 32 F8 0F CF C3 92 1B 64 20

7 Send MAC(V) to U.17
17. CCB 984

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Chapter C
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N N E X
D
ANNEX DSMART ENERGY CLUSTER DESCRIPTIONS
The candidate material in this annex describing the Smart Energy Clusters, when
approved, will be merged into the Foundation document of the ZigBee Cluster
Library (ZCL) by the Cluster Library Development Board.
D.1 Annex Guidelines

D.1.1 Client/Server Model Information
The ZigBee Cluster Library Specification is used as the guiding reference for
defining the rule set in defining the Client/Server model for the Smart Energy
Profile. Please note the following items influence the further refinement of that
definition:
Attributes can be defined for both Client and Server side clusters. Attributes
can be used to understand current state of activities within a device, enhancing
both the diagnostic and maintenance of devices or the processes supported by
that device.
The ESP device acts as the transition point from upstream Wide Area Network
(and subsequent upstream systems) to the ZigBee network. Because of this
responsibility, in some of the clusters it acts as a proxy for the upstream
systems. In those situations where the proxy condition occurs, plus where you
find attributes defined or commands (transactions) initiated on both client/
server sides, the ESP will be by default labeled as the Server side in the cluster
descriptions.
D.1.2 Interpretation of Reserved Field Values or Bitmaps

To support backwards compatibility, devices should ignore any values or bit
settings for any reserved field values. If the field is necessary for use interpreting
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Annex D
Smart Energy Cluster Descriptions
or necessary for use in conjunction with other fields, the whole message can be
ignored.
To enable future growth and ensure backwards compatibility, any existing devices
which encounter any fields applied after the end of a command shall treat them as
reserved fields. The future addition of fields applied after the end of defined
cluster commands are reserved solely for ZigBee specifications, Manufacturers
shall not add fields after the end of commands.18
D.2 Demand Response and Load Control Cluster

D.2.1 Overview
This cluster provides an interface to the functionality of Smart Energy Demand
Response and Load Control. Devices targeted by this cluster include thermostats
and devices that support load control.
Smart Energy
Device
ESP
S
C = Client
Figure D.1
S = Server
Demand Response/Load Control Cluster Client Server Example
Please note the ESP is defined as the Server due to its role in acting as the proxy
for upstream demand response/load control management systems and subsequent
data stores.
D.2.2 Server
By default the ESP will be labeled as the Server side in the cluster descriptions,
being able to initiate load control commands to other devices in the network.
18. CCB 968

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D.2.2.1
Dependencies
Events carried using this cluster include a timestamp with the assumption that
target devices maintain a real time clock. Devices can acquire and synchronize
their internal clocks with the ESP as described in sub-clause 5.11.1.1.
If a device does not support a real time clock, its assumed the device will ignore
all values within the Time field except the Start Now value within the Time
field.
Additionally, for devices without a real time clock, its assumed those devices will
utilize a method (i.e. ticks, countdowns, etc.) to approximate the correct duration
period.
D.2.2.2
Attributes
There are no attributes for the Demand Response and Load Control Cluster server.
D.2.2.3
Commands Generated
The command IDs generated by the Demand Response and Load Control cluster
server are listed in Table D.1.
Table D.1 Command IDs for the Demand Response and Load Control Server
Command Identifier
Field Value
Description
Mandatory/
Optional
0x00
Load Control Event
0x01
Cancel Load Control Event
0x02
Cancel All Load Control Events
0x03 0xff
Reserved
D.2.2.3.1 Load Control Event

D.2.2.3.1.1 Payload Format
The Load Control Event command payload shall be formatted as illustrated in
Figure D.2.
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Annex D
Octets
Data
Type
Unsigned
32-bit
integer
16-bit
BitMap
Unsigned
8-bit
integer
UTC
Time
Unsigned
16-bit
integer
Unsigned
8-bit
integer
Unsigned
8-bit
integer
Field
Name
Issuer
Event ID
(M)
Device
Class
(M)
Utility
Enrolme
nt Group
(M)
Start
Time (M)
Duration
In
Minutes
(M)
Criticalit
y Level
(M)
Cooling
Temperat
ure
Offset
(O)
Octets
Data
Type
Unsigned
8-bit
integer
Signed
16-bit
integer
Signed
16-bit
integer
Signed
8-bit
integer
Unsigned
8-bit
integer
8-bit
BitMap
Field
Name
Heating
Temperat
ure
Offset
(O)
Cooling
Temperat
ure Set
Point (O)
Heating
Temperat
ure Set
Point (O)
Average
Load
Adjustme
nt
Percenta
ge (O)
Duty
Cycle
(O)
Event
Control
(M)
Figure D.2
Format of the Load Control Event Payload
Note: M = Mandatory field, O = Optional field. All fields must be present in

the payload. Optional fields will be marked with specific values to indicate they
are not being used.
D.2.2.3.1.1.1 Payload Details

Issuer Event ID (mandatory): Unique identifier generated by the Energy
provider. The value of this field allows matching of Event reports with a specific
Demand Response and Load Control event. The expected the value contained in
this field shall be a unique number managed by upstream systems or a UTC based
time stamp (UTCTime data type) identifying when the Load Control Event was
issued.
Device Class (mandatory): Bit encoded field representing the Device Class to
apply the current Load Control Event. Each bit, if set individually or in
combination, indicates the class device(s) needing to participate in the event.
(Note that the participating device may be different than the controlling device.
For instance, a thermostat may act on behalf of an HVAC compressor or furnace
and/or Strip Heat/Baseboard Heater and should take action on their behalf, as the
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thermostat itself is not subject to load shed but controls devices that are subject to
load shed.) The encoding of this field is in Table D.2:
Table D.2 Device Class Field BitMap/Encoding
Bit
Description
HVAC compressor or furnace
Strip Heaters/Baseboard Heaters
Water Heater
Pool Pump/Spa/Jacuzzi
Smart Appliances
Irrigation Pump
Managed Commercial & Industrial (C&I) loads
Simple misc. (Residential On/Off) loads
Exterior Lighting
Interior Lighting
10
Electric Vehicle
11
Generation Systems
12 to 15
Reserved
Device manufacturers shall recognize the Device Class or set of Devices Classes
that corresponds to its functionality. For example, a thermostat (PCT) may react
when Bit 0 is set since it controls the HVAC and/or furnace. Another example is a
device that acts like an EMS where it controls exterior lights, interior lights, and
simple misc. load control devices. In this case the EMS would react when Bits 7,
8, or 9 are set individually or in combination.
Utility Enrolment Group (mandatory): The Utility Enrolment Group field can
be used in conjunction with the Device Class bits. It provides a mechanism to
direct Load Control Events to groups of Devices. Example, by assigning two
different groups relating to either Demand Response programs or geographic
areas, Load Control Events can be further directed for a sub-set of Device Classes
(i.e. Device Class Bit 0 and Utility Enrolment Group #1 vs. Device Class Bit0 and
Utility Enrolment Group #2). 0x00 addresses all groups, and values 0x01 to 0xFF
address individual groups that match. Please refer to sub-clause D.2.3.2.1 for
further details.
If the Device Class and/or Utility Enrolment Group fields dont apply to your End
Device, the Load Control Event command is ignored.
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Annex D
Start Time (mandatory): UTC Timestamp representing when the event is

scheduled to start. A start time of 0x00000000 is a special time denoting now.
Duration In Minutes (mandatory): Duration of this event in number of minutes.
Maximum value is 1440 (one day).
Criticality Level (mandatory): This field defines the level of criticality of this
event. The action taken by load control devices for an event can be solely based
on this value, or combination with other Load Control Event fields supported by
this device. For example, additional fields such as Average Load Adjustment
Percentage, Duty Cycle, Cooling Temperature Offset, Heating Temperature
Offset, Cooling Temperature Set Point or Heating Temperature Set Point can be
used in combination with the Criticality level. Criticality levels are listed in
Table D.3.
Table D.3 Criticality Levels
Criticality Level
Level Description
Participation
Reserved
Green
Voluntary
Voluntary
Voluntary
Voluntary
Voluntary
Voluntary
Emergency
Mandatory
Planned Outage
Mandatory
Service Disconnect
Mandatory
0x0A to 0x0F
Utility Defined
Utility Defined
0x10 to 0xFF
Reserved
The criticality level 0x0 and 0x10 to 0xFF are reserved for future profile changes
and not used.
Green event, level 0x01, may be used to denote that the energy delivered uses
an abnormal amount from non-green sources. Participation in this event is
voluntary.
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The criticality levels 0x02 through 0x06 (Levels 1 through 5) indicate

progressively increasing levels of load reduction are being requested by the utility.
Participation in these events is voluntary.
The criticality level 0x07 is used to indicate an Emergency event. Participation
in this event is mandatory, as defined by the utility. The expected response to this
event is termination of all non-essential energy use, as defined by the utility.
Exceptions to participation in this event type must be managed by the utility.
The criticality level 0x08 is used to indicate a Planned Outage event.
Participation in this event is mandatory, as defined by the utility. The expected
response to this event is termination of delivery of all non-essential energy, as
defined by the utility. Exceptions to participation in this event type must be
managed by the utility.
The criticality level 0x09 is used to indicate a Service Disconnect event.
Participation in this event is mandatory, as defined by the utility. The expected
response to this event is termination of delivery of all non-essential energy, as
defined by the utility. Exceptions to participation in this event type must be
managed by the utility.
Levels 0x0A to 0x0F are available for Utility Defined criticality levels.
Cooling Temperature Offset (optional): Requested offset to apply to the normal
cooling setpoint at the time of the start of the event in + 0.1 C.
Heating Temperature Offset (optional): Requested offset to apply to the normal
heating setpoint at the time of the start of the event in + 0.1 C.
The Cooling and Heating Temperature Offsets represent a temperature change
(Delta Temperature) that will be applied to both the associated heating and
cooling set points. The temperature offsets (Delta Temperatures) will be
calculated per the Local Temperature in the Thermostat. The calculated
temperature will be interpreted as the number of degrees to be added to the
cooling set point and subtracted from the heating set point. Sequential demand
response events are not cumulative. The Offset shall be applied to the normal
setpoint.
Each offset represents the temperature offset (Delta Temperature) in degrees
Celsius, as follows: Delta Temperature Offset / 10 = delta temperature in degrees
Celsius. Where 0.00C <= temperature <= 25.4 C, corresponding to a
Temperature in the range 0x00 to 0x0FE. The maximum resolution this format
allowed is 0.1 C.
A DeltaTemperature of 0xFF indicates that the temperature offset is not used.
If a temperature offset is sent that causes the heating or cooling temperature set
point to exceed the limit boundaries that are programmed into the thermostat, the
thermostat should respond by setting the temperature at the limit.
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Annex D
Cooling Temperature Set Point (optional): Requested cooling set point in 0.01
degrees Celsius.
Heating Temperature Set Point (optional): Requested heating set point in 0.01
degrees Celsius.
Cooling and heating temperature set points will be defined and calculated per the
LocalTemperature attribute in the Thermostat Cluster [B2].
These fields represent the temperature in degrees Celsius, as follows:
Cooling Temperature Set Point / 100 = temperature in degrees Celsius
Where -273.15C <= temperature <= 327.66C, corresponding to a Cooling and/
or Heating Temperature Set Point in the range 0x954d to 0x7fff.
The maximum resolution this format allows is 0.01C.
A Cooling or Heating Temperature Set Point of 0x8000 indicates that the
temperature set point is not used.
If a temperature is sent that exceeds the temperature limit boundaries that are
programmed into the thermostat, the thermostat should respond by setting the
temperature at the limit.
The thermostat shall not use a Cooling or Heating Temperature Set Point that
causes the device to use more energy than the normal setting.
When both a Temperature Offset and a Temperature Set Point are provided, the
thermostat may use either as defined by the device manufacturer. The thermostat
should use the setting that provides the lowest energy consumption.
Average Load Adjustment Percentage (optional): Defines a maximum energy
usage limit as a percentage of the client implementations specific average energy
usage. The load adjustment percentage is added to 100% creating a percentage
limit applied to the client implementations specific average energy usage. A -10%
load adjustment percentage will establish an energy usage limit equal to 90% of
the client implementations specific average energy usage. Each load adjustment
percentage is referenced to the client implementations specific average energy
usage. There are no cumulative effects.
The range of this field is -100 to +100 with a resolution of 1 percent. A -100%
value equals a total load shed. A +100% value will limit the energy usage to the
client implementations specific average energy usage.
A value of 0x80 indicates the field is not used. All other values are reserved for
future use.
Duty Cycle (optional): Defines the maximum On state duty cycle as a percentage
of time. Example, if the value is 80, the device would be in an on state for 80%
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of the time for the duration of the event. Range of the value is 0 to 100. A value of
0xFF indicates the field is not used. All other values are reserved for future use.
Duty cycle control is a device specific issue and shall be managed by the device
manufacturer. It is expected that the duty cycle of the device under control will
span the shortest practical time period in accordance with the nature of the device
under control and the intent of the request for demand reduction. For typical
Device Classes, one minute for each 10% of duty cycle is recommended. It is
expected that the off state will precede the on state.
Event Control (mandatory): Identifies additional control options for the event.
The BitMap for this field is described in Table D.4.
Table D.4 Event Control Field BitMap
Bit
Description
1= Randomize Start time, 0=Randomized Start not Applied
1= Randomize End time, 0=Randomized End not Applied
2 to 7
Reserved
Note: The randomization attribute will be used in combination with two bits to
determine if the Event Start and Stop Times are randomized. By default devices
will randomize the start and stop of an event. Refer to sub-clause D.2.3.2.2 and
sub-clause D.2.3.2.3 for the settings of these values.
D.2.2.3.1.1.2 When Generated
This command is generated when the ESP wants to control one or more load
control device(s), usually as the result of an energy curtailment command from the
D.2.2.3.1.1.3 Responses to Load Control Event
The server receives the cluster specific commands detailed in subclause D.2.3.3.1.
D.2.2.3.2 Cancel Load Control Event
The Cancel Load Control Event command payload shall be formatted as
illustrated in Figure D.3.
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Annex D
Octets
Data Type
Field
Name
Unsigned
32-bit integer
16-bit BitMap
Issuer Event
ID
Device Class
(M)
Figure D.3
Unsigned
8-bit integer
8-bit BitMap
UTCTime
Utility
Enrollment
Group (M)
Cancel
Control
Effective
Time
Format of the Cancel Load Control Event Payload

Demand Response and Load Control event. It's expected the value contained in
this field is a unique number managed by upstream systems or a UTC based time
stamp (UTCTime data type) identifying when the Load Control Event was issued.
Device Class (mandatory): Bit encoded field representing the Device Class to
apply the current Load Control Event. Each bit, if set individually or in
combination, indicates the class device(s) needing to participate in the event.
(Note that the participating device may be different than the controlling device.
For instance, a thermostat may act on behalf of an HVAC compressor or furnace
and/or Strip Heat/Baseboard Heater and should take action on their behalf, as the
thermostat itself is not subject to load shed but controls devices that are subject to
load shed.) The encoding of the Device Class is listed in Table D.2:
Utility Enrolment Group (mandatory): The Utility Enrolment Group field can
be used in conjunction with the Device Class bits. It provides a mechanism to
direct Load Control Events to groups of Devices. Example, by assigning two
different groups relating to either Demand Response programs or geographic
areas, Load Control Events can be further directed for a sub-set of Device Classes
(i.e. Device Class Bit 0 and Utility Enrolment Group #1 vs. Device Class Bit0 and
Utility Enrolment Group #2). 0x00 addresses all groups, and values 0x01 to 0xFF
address individual groups that match Please refer to sub-clause D.2.3.2.1 for
further details.
If the Device Class and/or Utility Enrolment Group fields don't apply to your End
Device, the Load Control Event command is ignored.
Cancel Control (mandatory): The encoding of the Cancel Control is listed in
Table D.5.
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Table D.5 Cancel Control
Bit
Description
To be used when the Event is currently in process and acted upon as specified by
the Effective Time field of the Cancel Load Control Event command.
A value of Zero (0) indicates that randomization is overridden and the event
should be terminated immediately at the Effective Time.
A value of One (1) indicates the event should end using randomization settings in
the original event.
1 to 7
Reserved
Effective Time (mandatory): UTC Timestamp representing when the canceling

of the event is scheduled to start. A start time of 0x00000000 is a special time
denoting now.
This command is generated when the ESP wants to cancel previously scheduled
control of one or more load control device(s), usually as the result of an energy
curtailment command from the Smart Energy network.
D.2.2.3.2.1.3 Responses to Cancel Load Control Event
The server receives the cluster specific commands is detailed in subclause D.2.3.3.1.
Note: If the Cancel command is received after the event has ended, the device
shall reply using the Report Event Status Command with an Event Status of
Load Control Event command Rejected.
D.2.2.3.3 Cancel All Load Control Events
The Cancel All Load Control Events command payload shall be formatted as
illustrated in Figure D.4.
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Figure D.4
Octets
Data Type
8-bit BitMap
Field Name
Cancel Control
Format of the Cancel All Load Control Events Payload

Cancel Control: The encoding of the Cancel Control is listed in Table D.6.
Table D.6 Cancel All Command Cancel Control Field
Bit
Description
To be used when the Event is currently in process and a cancel command is

received.
A value of Zero (0) indicates that randomization is overridden and the event
should be terminated immediately.
A value of One (1) indicates the event should end using randomization settings in
the original event.
1 to 7
Reserved
D.2.2.3.3.2 When Generated

This command is generated when the ESP wants to cancel all events for control
device(s).
D.2.2.3.3.3 Responses to Cancel All Load Control Events
The server receives the cluster specific commands detailed in subclause D.2.3.3.1. The Cancel All Load Control Events command is processed by
the device as if individual Cancel Load Control Event commands were received
for all of the currently stored events in the device. The device will respond with a
Report Event Status Command for each individual load control event canceled.
D.2.3 Client
This section identifies the attributes and commands provided by Client devices.
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D.2.3.1
Dependencies
Devices receiving and acting upon Load Control Event commands must be
capable of storing and supporting at least three unique instances of events. As a
highly recommended recovery mechanism, when maximum storage of events has
been reached and additional Load Control Events are received that are unique (not
superseding currently stored events), devices should ignore additional Load
Control Events and when storage becomes available, utilize the
GetScheduledEvents command to retrieve any previously ignored events.
their internal clocks with the ESP as described in sub-clause 5.11.1.1.
If a device does not support a real time clock, its assumed the device will ignore
all values within the Time field except the Start Now value within the Time
field.
Additionally, for devices without a real time clock its assumed those devices will
utilize a method (i.e. ticks, countdowns, etc.) to approximate the correct duration
period.
D.2.3.2
Client Cluster Attributes

Table D.7 Demand Response Client Cluster Attributes
Identifier
Name
Type
Range
Access
Default
Mandatory/
Optional
0x0000
UtilityEnrolmentG
roup
Unsigned
8 bit
Integer
0x00 to
0xFF
Read/
Write
0x00
0x0001
StartRandomizeMi
nutes
Unsigned
8 bit
Integer
0x00 to
0x3C
Read/
Write
0x1E
0x0002
StopRandomizeMi
nutes
Unsigned
8 bit
Integer
0x00 to
0x3C
Read/
Write
0x1E
0x0003
DeviceClassValue
Unsigned
16 bit
Integer
0x00 to
0xFF
Read
0x0004 to
0xFFFF
Reserved
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D.2.3.2.1 Utility Enrolment Group Attribute

UtilityEnrolmentGroup provides a method for utilities to assign devices to
groups. In other words, Utility defined groups provide a mechanism to arbitrarily
group together different sets of load control or demand response devices for use as
part of a larger utility program. The definition of the groups, implied usage, and
their assigned values are dictated by the Utilities and subsequently used at their
discretion, therefore outside the scope of this specification. The valid range for
this attribute is 0x00 to 0xFF, where 0x00 (the default value) indicates the device
is a member of all groups and values 0x01 to 0xFF indicates that the device is
member of that specified group.
The
D.2.3.2.2 Start Randomization Minutes

StartRandomizedMinutes represents the maximum number of minutes to be
used when randomizing the start of an event. As an example, if
StartRandomizedMinutes is set for 3 minutes, the device could randomly select 2
minutes (but never greater than the 3 minutes) for this event, causing the start of
the event to be delayed by two minutes. The valid range for this attribute is 0x00
to 0x3C where 0x00 indicates start event randomization is not performed.
The
D.2.3.2.3 End Randomization Minutes

EndRandomizedMinutes represents the maximum number of minutes to be
used when randomizing the end of an event. As an example, if
EndRandomizedMinutes is set for 3 minutes, the device could randomly select one
minute (but never greater than 3 minutes) for this event, causing the end of the
event to be delayed by one minute. The valid range for this attribute is 0x00 to
0x3C where 0x00 indicates end event randomization is not performed.
The
D.2.3.2.4 DeviceClassValue Attribute

The DeviceClassValue attribute identifies which bits the device will match in the
Device Class fields. Please refer to sub-clause D.2.3.2.1 for further details.
D.2.3.3
Commands Generated
The command IDs generated by the Demand Response and Load Control client
cluster are listed in Table D.8.
and Load Control Client

Command Identifier
Field Value
Description
Mandatory/
Optional
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and Load Control Client

0x00
Report Event Status
0x01
Get Scheduled Events
0x02 0xff
Reserved
D.2.3.3.1 Report Event Status

The Report Event Status command payload shall be formatted as illustrated in
Figure D.5.
Octets
Data
Type
Unsigned
32-bit
integer
Unsigned
8-bit
integer
UTCTime
Unsigned
8-bit
integer
Unsigned
16-bit
integer
Unsigned
16-bit
integer
Issuer Event
ID (M)
Event
Status (M)
Event
Status
Time (M)
Criticality
Level
Applied
(M)
Cooling
Temperature
Set Point
Applied (O)
Heating
Temperatur
e Set Point
Applied (O)
Octets
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Data
Type
Signed
8-bit
integer
Unsigned
8-bit
integer
8-bit
BitMap
Unsigned
8-bit
integer
Octets (nonZCL Data

Type)
Duty
Cycle
Applied
(O)
Event
Control
(M)
Signature
Type
Signature (M)
Field
Name
Average
Load
Adjustment
Percentage
Applied (O)
Field
Name
Figure D.5
Format of the Report Event Status Command Payload
D.2.3.3.1.1.1 xPayload Details

Demand Response and Load Control event. Its expected the value contained in
this field is a unique number managed by upstream systems or a UTC based time
stamp (UTCTime data type) identifying when the Load Control Event was issued.
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Event Status (mandatory): Table D.9 lists the valid values returned in the Event
Status field.
Table D.9 Event Status Field Values
Value
Description
0x00
Reserved for future use.
0x01
Load Control Event command received
0x02
Event started
0x03
Event completed
0x04
User has chosen to "Opt-Out", user will not participate in this event
0x05
User has chosen to "Opt-In", user will participate in this event
0x06
The event has been cancelled
0x07
The event has been superseded
0x08
Event partially completed with User "Opt-Out".
0x09
Event partially completed due to User "Opt-In".
0x0A
Event completed, no User participation (Previous "Opt-Out").
0x0B to 0xF7
0xF8
Rejected - Invalid Cancel Command (Default)
0xF9
Rejected - Invalid Cancel Command (Invalid Effective Time)
0xFA
Reserved
0xFB
Rejected - Event was received after it had expired (Current Time > Start Time +
Duration)
0xFC
0xFD
Rejected - Invalid Cancel Command (Undefined Event)
0xFE
Load Control Event command Rejected
0xFF
Should a device issue one or more OptOut or OptIn RES commands during
an event that is eventually cancelled, the event shall be recorded as a cancelled
event (Status = 0x06) at its effective time.
Should a device issue one or more OptOut or OptIn RES commands during
an event that is not cancelled, the event shall be recorded as partially completed
based on the last RES command sent (Status = 0x08 or 0x09).
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When a device returns a status of 0xFD (Rejected - Invalid Cancel Command

(Undefined Event)), all optional fields should report their Ignore values.
When a device receives a duplicate RES command, it should ignore the duplicate
commands. Please Note: As a recommended best practice, ESP applications
should provide a mechanism to assist in filtering duplicate messages received on
the WAN.
Event Status Time (mandatory): UTC Timestamp representing when the event
status occurred. This field shall not use the value of 0x00000000.
Criticality Level Applied (mandatory): Criticality Level value applied by the
device, see the corresponding field in the Load Control Event Command for more
information.
Cooling Temperature Set Point Applied (optional): Cooling Temperature Set
Point value applied by the device, see the corresponding field in the Load Control
Event Command for more information. The value 0x8000 means that this field
has not been used by the end device.
Heating Temperature Set Point Applied (optional): Heating Temperature Set
Point value applied by the device, see the corresponding field in the Load Control
Event Command for more information. The value 0x8000 means that this field
has not been used by the end device.
Average Load Adjustment Percentage Applied (optional): Average Load
Adjustment Percentage value applied by the device, see the corresponding field in
the Load Control Event Command for more information. The value 0x80 means
that this field has not been used by the end device.
Duty Cycle Applied (optional): Defines the maximum On state duty cycle
applied by the device. The value 0xFF means that this field has not been used by
the end device. Refer to sub-clause D.2.2.3.1.1.1.
Event Control (mandatory): Identifies additional control options for the event.
Refer to sub-clause D.2.2.3.1.1.1.
Signature Type (mandatory): An 8 bit Unsigned integer enumerating the type of
algorithm use to create the Signature. The enumerated values are:
Enumerated Value
Signature Type
0x00
Reserved
0x01
ECDSA
0x02 to 0xFF
Reserved
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Signature (mandatory): A non-repudiation signature created by using the

Matyas-Meyer-Oseas hash function (specified in Annex B.6 in [B4]) used in
conjunction with ECDSA. The signature creation process will occur in two steps:
1 Pass the first ten fields, which includes all fields up to the Signature field, of the
Report Event Status command (listed in Figure D.5) through ECDSA using the
device's ECC Private Key, generating the signature (r,s). Note: ECDSA
internally uses the MMO hash function in place of the internal SHA-1 hash
function.
2 Concatenate ECDSA signature components (r,s) and place into the Signature
field within the Report Event Status command. Note: the lengths of r and s are
implicit, based on the curve used. Verifying the signature will require breaking
the signature field back into the discrete components r and s, based on the
length.
This command is generated when the client device detects a change of state for an
active Load Control event. (The transmission of this command should be delayed
after a random delay between 0 and 5 seconds, to avoid a potential storm of
packets.)
D.2.3.3.2 Get Scheduled Events Command
This command is used to request that all scheduled Load Control Events, starting at or
after the supplied Start Time, are re-issued to the requesting device. When received by
the Server, one or more Load Control Event commands (see sub-clause D.2.2.3.1) will
be sent covering both active and scheduled Load Control Events.
The Get Scheduled Events command payload shall be formatted as illustrated in
Figure D.6
Octets
UTCTime
Unsigned
8-bit integer
Start
Time (M)
Number of
Events (M)
Data Type
Field Name
Figure D.6
Format of the Get Scheduled Events Command Payload
Start Time (mandatory): UTC Timestamp representing the starting time for any
scheduled events to be re-sent.
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Number of Events (mandatory): Represents the maximum number of events to

be sent. A value of 0 would indicate all available events are to be returned.
This command is generated when the client device wishes to verify the available
Load Control Events or after a loss of power/reset occurs and the client device
needs to recover currently active or scheduled Load Control Events.
D.2.3.4
Commands Received
The client receives the cluster specific commands detailed in sub-clause D.2.2.
D.2.3.5
Attribute Reporting
Attribute reporting is not expected to be used for this cluster. The Client side
attributes are not expected to be changed by the Client, only used during Client
operations.
D.2.4 Application Guidelines

The criticality level is sent by the utility to the load control device to indicate how
much load reduction is requested. The utility is not required to use all of the
criticality levels that are described in this specification. A load control device is
not required to provide a unique response to each criticality level that it may
receive.
The Average Load Adjustment Percentage, temperature offsets, and temperature
set points are used by load control devices and energy management systems on a
voluntary or optional basis. These devices are not required to use the values
that are provided by the utility. They are provided as a recommendation by the
utility.
The load control device shall, in a manner that is consistent with this specification,
accurately report event participation by way of the Report Event Status message.
The Average Load Adjustment Percentage is sent by the utility to the load control
device to indicate how much load reduction is requested. The load control device
may respond to this information in a unique manner as defined by the device
manufacturer.
The Duty Cycle is sent by the utility to the load control device to indicate the
maximum On state for a device. The control device may respond to this
information in a unique manner as defined by the device manufacturer.
The cooling temperature offset may be sent by the utility to the load shed control
to indicate how much indoor cooling temperature offset is requested. Response of
a load control device to this information is not mandatory. The control device may
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respond to this information in a unique manner as defined by the device

manufacturer.
The heating temperature offset may be sent by the utility to the load control device
to indicate how much indoor heating temperature offset is requested The control
device may respond to this information in a unique manner as defined by the
device manufacturer.
The cooling temperature may be sent by the utility to the load control device to
indicate the indoor cooling temperature setting that is requested The control
The heating temperature may be sent by the utility to the load control device to
indicate the indoor heating temperature setting that is requested. The control
Note: The most recent Load Control Event supersedes any previous Load Control
Event command for the set of Device Classes and groups for a given time. Nested
events and overlapping events are not allowed. The current active event will be
terminated if a new event is started.
D.2.4.1
Load Control Rules, Server
D.2.4.1.1 Load Control Server, Identifying Use of SetPoint and Offset Fields
The use of the fields, Heating and Cooling Temperature Set Points and Heating
and Cooling Temperature Offsets is optional. All fields in the payload must be
populated. Non-use of these fields by the Server is indicated by using the
following values: 0x8000 for Set Points and 0xFF for Offsets. When any of these
four fields are indicated as optional, they shall be ignored by the client.
D.2.4.1.2 Load Control Server, Editing of Scheduled Events
Editing of a scheduled demand response event is not allowed. Editing of an active
demand response event is not allowed. Nested events and overlapping events are
not allowed. The current active event will be terminated if a new event is started.
D.2.4.2
Load Control Rules, Client
D.2.4.2.1 Start and Stop Randomization

When shedding loads (turning a load control device off), the load control device
will optionally apply start time randomization based on the values specified in the
Event Control Bits and the Clients Start Randomization Minutes attribute. By
default, devices will apply a random delay between zero and 5 minutes. Devices
will support randomization delays of up to 60 minutes.
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When ending a load control event, the load control device will support the same
randomization features as provided in the start load control event.
D.2.4.2.2 Editing of DR Control Parameters
In Load Control Device and energy management systems, editing of the demand
response control parameters while participating in an active demand response
event is not allowed.
D.2.4.2.3 Response to Price Events + Load Control Events
The residential systems response to price driven events will be considered in
addition to the residential systems response to demand response events. Demand
response events which require that the residential system is turned off have
priority over price driven events. Demand response events which require that the
residential system go to a fixed setting point have priority over price driven
events. In this case, the thermostat shall not use a Cooling or Heating Temperature
Set Point that causes the device to use more energy than the price driven event
setting.
D.2.4.2.4 Thermostat/HVAC Controls
A residential HVAC system will be allowed to change mode, from off to Heat, off
to Cool, Cool to Heat, or Heat to Cool, during a voluntary event which is currently
active. The HVAC control must acknowledge the event, as if it was operating, in
that mode, at the start of the event. The HVAC control must obey the event rules
that would have been enforced if the system had been operating in that mode at
the start of the active event.
An event override message, opt-out, will be sent by the load control device or
energy management system if the operator chooses not to participate in a demand
response event by taking action to override the programmed demand reduction
response. The override message will be sent at the start of the event. In the case
where the event has been acknowledged and started, the override message will be
sent when the override occurs.
D.2.4.2.5 Demand Response and Load Control Transaction Examples
The following example in Figure D.7 depicts the transactions that would take
place for two events, one that is successful and another that is overridden by the
user.
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Head
End
AMI
Device
ESP
Load Curtailment ID=6
LoadControlEvent ( EventID=6, StartTime=1:00pm, Duration=60 min )
ReportEventStatus ( EventID=6, EventCode=CommandReceived )
ReportEventStatus ( EventID=6, EventCode=EventStarted )
ReportEventStatus ( EventID=6, EventCode=EventCompleted )

ReportEventStatus ( EventID=7, EventCode=EventStarted )
User
Override
ReportEventStatus ( EventID=7, EventCode=OptOut )
ReportEventStatus ( EventID=7, EventCode=Event partially

completed with User Opt-Out)
Figure D.7
Example of Both a Successful and an Overridden Load

Curtailment Event
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The example in Figure D.8 depicts the transactions that would take place when an
event is superseded by an event that is eventually cancelled.
Head
End
END
Device
ESP

LoadControlEvent ( EventID=9 StartTime=1:00pm, Duration=90 min )
ReportEventStatus ( EventID=8, EventCode=Superseded)
ReportEventStatus ( EventID=9, EventCode=EventStarted)
Load Curtailment Cancel ID=9

Cancel Load Control Event ( EventID=9 )
ReportEventStatus ( EventID=9, EventCode=Cancelled)
Figure D.8
Example of a Load Curtailment Superseded and

Another Cancelled
Please refer to Annex E for more information regarding the management and
behavior of overlapping events.
D.3 Simple Metering Cluster

D.3.1 Overview
The Simple Metering Cluster provides a mechanism to retrieve usage information
from Electric, Gas, Water, and potentially Thermal metering devices. These
devices can operate on either battery or mains power, and can have a wide variety
of sophistication. The Simple Metering Cluster is designed to provide flexibility
while limiting capabilities to a set number of metered information types. More
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advanced forms or data sets from metering devices will be supported in the Smart
Energy Tunneling Cluster, which will be defined in sub-clause D.6.
The following figures identify three configurations as examples utilizing the
Simple Metering Cluster.
PCT
C
ESP
Metering Device
C
S
End Point ID=
In-Home Display
C
C = Client
Figure D.9
S = Server
Standalone ESP Model with Mains Powered Metering Device
The example above shown in Figure D.9, the metering device is the source of
information provided via the Simple Metering Cluster Server.
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PCT
ESP
C
S
C
End Point ID=
Metering Device
S
End Point ID =
In-Home Display
C
C = Client
S = Server
Figure D.10 Standalone ESP Model with Battery Powered Metering Device
In the example above shown in Figure D.10, the metering device is running on
battery power and its duty cycle for providing information is unknown. Its
expected the ESP will act like mirrored image or a mailbox (Client) for the
metering device data, allowing other Smart Energy devices to gain access to the
metering devices data (provided via an image of its Simple Metering Cluster).
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PCT
ESP with Integrated

S
Electric Meter
End Point ID=
S
End Point ID=
Metering Device
S
In-Home Display
C
C = Client
S = Server
Figure D.11 ESP Model with Integrated Metering Device
In the example above shown in Figure D.11, much like the previous example in
Figure D.10, where the external metering device is running on battery power and
its duty cycle for providing information is unknown. Its expected the ESP will act
like a Client side mailbox for the external metering device data, allowing other
Smart Energy devices to gain access to the metering devices data (provided via
an image of its Simple Metering Cluster). Since the ESP can also contain an
integrated metering device where its information is also conveyed through the
Simple Metering Cluster, each device (external metering device mailbox and
integrated meter) will be available via independent EndPoint IDs. Other Smart
Energy devices that need to access the information must understand the ESP
cluster support by performing service discoveries. It can also identify if an
Endpoint ID is a mailbox/mirror of a metering device by reading the
MeteringDeviceType attribute (refer to sub-clause D.3.2.2.5.7).
In the above examples (Figure D.10 and Figure D.11), its expected the ESP
would perform Attribute Reads (or configure Attribute Reporting) and use the
GetProfile command to receive the latest information whenever the Metering
Device (EndPoint Z) wakes up. When received, the ESP will update its mailbox
(EndPoint ID Y in Figure D.10 and Figure D.11) to reflect the latest data
available.
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Other Smart Energy devices can access EndPoint Y in the ESP to receive the
latest information just as it would to access information in the ESPs integrated
Electric meter (as in Figure D.11, EndPoint X) and other Metering devices (as in
Figure D.9, EndPoint A).
D.3.2 Server
D.3.2.1
Dependencies
Subscribed reporting of Simple Metering attributes.
D.3.2.2
Attributes
are encoded such that the most significant Octet specifies the attribute set and the
least significant Octet specifies the attribute within the set. The currently defined
attribute sets are listed in the following Table D.10.
Table D.10 Simple Metering Attribute Sets
Attribute Set Identifier
Description
0x00
Reading Information Set
0x01
TOU Information Set
0x02
Meter Status
0x03
Formatting
0x04
ESP Historical Consumption
0x05
Load Profile Configuration
0x06
Supply Limita
0x07 to 0xFF
Reserveda
a. CCB 974
D.3.2.2.1 Reading Information Set

The following set of attributes provides a remote access to the reading of the
Electric, Gas, or Water metering device. A reading must support at least one
register which is the actual total summation of the delivered quantity (kWh, m,
ft, ccf, US gl).
Please note: In the following attributes, the term Delivered refers to the quantity
of Energy, Gas, or Water that was delivered to the customer from the utility.
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Likewise, the term Received refers to the quantity of Energy, Gas, or Water that
was received by the utility from the customer.
Table D.11 Reading Information Attribute Set
Defaul
t
Man.
/Opt.
Read
Only
0x000000000000
to
0xFFFFFFFFFFFF
Read
Only
Unsigned
48 bit
Integer
0x000000000000
to
0xFFFFFFFFFFFF
Read
Only
CurrentMaxDem
andReceived
Unsigned
48 bit
Integer
0x000000000000
to
0xFFFFFFFFFFFF
Read
Only
0x04
DFTSummation
Unsigned
48 bit
Integer
0x000000000000
to
0xFFFFFFFFFFFF
Read
Only
0x05
Daily Freeze
Time
Unsigned
16 bit
Integer
0x0000 to 0x183C
Read
Only
0x0000
0x06
PowerFactor
Signed 8
bit
Integer
-100 to +100
Read
Only
0x00
0x07
ReadingSnapSho
tTime
UTCTim
e
Read
Only
0x08
CurrentMaxDem
andDeliveredTi
me
UTCTim
e
Read
Only
0x09
CurrentMaxDem
andReceivedTim
e
UTCTim
e
Read
Only
0x10 to
0xFF
Reserved
Identifier
Name
Type
Range
Access
0x00
CurrentSummati
onDelivered
Unsigned
48 bit
Integer
0x000000000000
to
0xFFFFFFFFFFFF
0x01
CurrentSummati
onReceived
Unsigned
48 bit
Integer
0x02
CurrentMaxDem
andDelivered
0x03
D.3.2.2.1.1 CurrentSummationDelivered Attribute

CurrentSummationDelivered represents the most recent summed value of Energy,
Gas,
or
Water
delivered
and
consumed
in
the
premise.
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CurrentSummationDelivered is mandatory and must be provided as part of the

minimum data set to be provided by the metering device.
CurrentSummationDelivered is updated continuously as new measurements are
made.
D.3.2.2.1.2 CurrentSummationReceived Attribute
CurrentSummationReceived represents the most recent summed value of Energy,
Gas, or Water generated and delivered from the premise. If optionally provided,
CurrentSummationReceived is updated continuously as new measurements are
made.
D.3.2.2.1.3 CurrentMaxDemandDelivered Attribute
CurrentMaxDemandDelivered represents the maximum demand or rate of
delivered value of Energy, Gas, or Water being utilized at the premise. If
optionally provided, CurrentMaxDemandDelivered is updated continuously as
new measurements are made.
D.3.2.2.1.4 CurrentMaxDemandReceived Attribute
CurrentMaxDemandReceived represents the maximum demand or rate of
received value of Energy, Gas, or Water being utilized by the utility. If optionally
provided, CurrentMaxDemandReceived is updated continuously as new
measurements are made.
D.3.2.2.1.5 DFTSummation Attribute
DFTSummation represents a snapshot of attribute CurrentSummationDelivered
captured at the time indicated by attribute DailyFreezeTime. If optionally
provided, DFTSummation is updated once every 24 hours and captured at the time
set in sub-clause D.3.2.2.1.6.
D.3.2.2.1.6 DailyFreezeTime Attribute
DailyFreezeTime represents the time of day when DFTSummation is captured.
DailyFreezeTime is an unsigned 16 bit value representing the hour and minutes
for DFT. The byte usages are:
Bits 0 to 7: Range of 0 to 0x3C representing the number of minutes past the top
of the hour.
Bits 8 to 15: Range of 0 to 0x17 representing the hour of the day (in 24 hour
format).
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D.3.2.2.1.7 PowerFactor Attribute

PowerFactor contains the Average Power Factor ratio in 1/100s. Valid values
are 0 to 99.
D.3.2.2.1.8 ReadingSnapShotTime Attribute
The ReadingSnapShotTime attribute represents the last time all of the
CurrentSummationDelivered,
CurrentSummationReceived,
CurrentMaxDemandDelivered, and CurrentMaxDemandReceived attributes that
are supported by the device were updated.
D.3.2.2.1.9 CurrentMaxDemandDeliveredTime Attribute
The CurrentMaxDemandDeliveredTime attribute represents the time when
CurrentMaxDemandDelivered reading was captured.
D.3.2.2.1.10 CurrentMaxDemandReceivedTime Attribute
The CurrentMaxDemandReceivedTime attribute represents the time when
CurrentMaxDemandReceived reading was captured.
D.3.2.2.2 Summation TOU Information Set
The following set of attributes provides a remote access to the Electric, Gas, or
Water metering devices Time of Use (TOU) readings.
Table D.12 TOU Information Attribute Set
0x00
CurrentTier1Sum
mationDelivered
Unsigned
48 bit
Integer
0x000000000000 to
0xFFFFFFFFFFFF
Read Only
0x01
CurrentTier1Sum
mationReceived
Unsigned
48 bit
Integer
0x000000000000 to
0xFFFFFFFFFFFF
Read Only
0x02
CurrentTier2Sum
mationDelivered
Unsigned
48 bit
Integer
0x000000000000 to
0xFFFFFFFFFFFF
Read Only
0x03
CurrentTier2Sum
mationReceived
Unsigned
48 bit
Integer
0x000000000000 to
0xFFFFFFFFFFFF
Read Only
0x04
CurrentTier3Sum
mationDelivered
Unsigned
48 bit
Integer
0x000000000000 to
0xFFFFFFFFFFF
Read Only
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Table D.12 TOU Information Attribute Set (Continued)

0x05
CurrentTier3Sum
mationReceived
Unsigned
48 bit
Integer
0x000000000000 to
0xFFFFFFFFFFFF
Read Only
0x06
CurrentTier4Sum
mationDelivered
Unsigned
48 bit
Integer
0x000000000000 to
0xFFFFFFFFFFFF
Read Only
0x07
CurrentTier4Sum
mationReceived
Unsigned
48 bit
Integer
0x000000000000 to
0xFFFFFFFFFFFF
Read Only
0x08
CurrentTier5Sum
mationDelivered
Unsigned
48 bit
Integer
0x000000000000 to
0xFFFFFFFFFFFF
Read Only
0x09
CurrentTier5Sum
mationReceived
Unsigned
48 bit
Integer
0x000000000000 to
0xFFFFFFFFFFFF
Read Only
0x0A
CurrentTier6Sum
mationDelivered
Unsigned
48 bit
Integer
0x000000000000 to
0xFFFFFFFFFFFF
Read Only
0x0B
CurrentTier6Sum
mationReceived
Unsigned
48 bit
Integer
0x000000000000 to
0xFFFFFFFFFFFF
Read Only
0x0C
to
0xFF
Reserved
D.3.2.2.2.1 CurrentTierNSummationDelivered Attributes

Attributes
CurrentTier1SummationDelivered
through
CurrentTier5SummationDelivered represent the most recent summed value of
Energy, Gas, or Water delivered to the premise (i.e delivered to the customer from
the utility) at a specific price tier as defined by a TOU schedule or a real time
pricing
period.
If
optionally
provided,
attributes
CurrentTier1SummationDelivered through CurrentTier5SummationDelivered are
updated continuously as new measurements are made.
D.3.2.2.2.2 CurrentTierNSummationReceived Attributes
Attributes
CurrentTier1SummationReceived
through
CurrentTier5SummationReceived represent the most recent summed value of
Energy, Gas, or Water provided by the premise (i.e received by the utility from the
customer) at a specific price tier as defined by a TOU schedule or a real time
pricing period. If optionally provided, attributes CurrentTier1SummationReceived
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through CurrentTier5SummationReceived are updated continuously as new

measurements are made.
D.3.2.2.3 Meter Status Attribute
The Meter Status Attribute Set is defined in Table D.13.
Table D.13 Meter Status Attribute Set
Identifier
Name
Type
Range
Access
Default
Man.
/ Opt.
0x00
Status
8 bit BitMap
0x00 to 0xFF
Read Only
0x00
0x01 to
0xFF
Reserved
D.3.2.2.3.1 Status Attribute

The Status attribute provides indicators reflecting the current error conditions
found by the metering device. This attribute is an 8 bit field where when an
individual bit is set, an error or warning condition exists. The behavior causing the
setting or resetting each bit is device specific. In other words, the application
within the metering device will determine and control when these settings are
either set or cleared. Table D.14 lists the mapping of the bit is as follows:
Table D.14 Mapping of the Status Attribute
Bit 7
Bit 6
Bit 5
Bit 4
Bit 3
Bit 2
Bit 1
Bit 0
Reserved
Service
Disconnect
Open
Leak
Detect
Power
Quality
Power
Failure
Tamper
Detect
Low
Battery
Check
Meter
The definitions of the Status bits are:

Service Disconnect Open: Set to true when the service have been disconnected to
this premise.
Leak Detect: Set to true when a leak have been detected.
Power Quality: Set to true if a power quality event have been detected such as a
low voltage, high voltage.
Power Failure: Set to true during a power outage.
Tamper Detect: Set to true if a tamper event has been detected.
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Low Battery: Set to true when the battery needs maintenance.

Check Meter: Set to true when a non fatal problem has been detected on the
meter such as a measurement error, memory error, self check error.
D.3.2.2.4 Formatting
The following set of attributes provides the ratios and formatting hints required to
transform the received summations, consumptions or demands/rates into
displayable values. If the Multiplier and Divisor attribute values are non-zero,
they are used in conjunction with the SummationFormatting,
ConsumptionFormatting, and DemandFormatting attributes. Equations required
to accomplish this task are defined below:
Summation = Summation received * Multiplier / Divisor
(formatted using SummationFormatting)
Consumption = Summation received * Multiplier / Divisor
(formatted using ConsumptionFormatting)
Demand = Demand received * Multiplier / Divisor
(formatted using DemandFormatting)
If the Multiplier and Divisor attribute values are zero, just the formatting hints
defined
in
SummationFormatting,
ConsumptionFormatting,
and
DemandFormatting attributes are used.
The following set of attributes provides the ratios and formatting hints required to
transform the received summations, consumptions or demands/rates into
displayable values. If the Multiplier and Divisor attribute values are non-zero,
they are used in conjunction with the SummationFormatting,
ConsumptionFormatting, and DemandFormatting attributes.
Equations required to accomplish this task are defined below:
text = summation received * Multiplier / Divisor
(formatted using SummationFormatting Attribute)
text = consumption received * Multiplier / Divisor
(formatted using HistoricalConsumptionFormatting Attribute)
text = demand received * Multiplier / Divisor
(formatted using SummationFormatting Attribute)
The summation received, consumption received and demand received variables
used above can be replaced by any of the attributes listed in subclauses D.3.2.2.4.4, D.3.2.2.4.5 and D.3.2.2.4.6.
If the Multiplier and Divisor attribute values are zero, just the formatting hints
defined in SummationFormatting, HistoricalConsumptionFormatting, and
DemandFormatting attributes are used.
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Following table shows examples which demonstrate the relation between these
attributes.
Table D.15
Attribute
Example 1
Example 2
Example 3
Value as transmitted and received
52003
617
23629
UnitofMeasure
kWh
CCF
kWh
Multiplier
Divisor
1000
100
10000
Number of Digits to the left of the

Decimal Point
Number of Digits to the right of the

Decimal Point
Suppress leading zeros
False
False
True
Displayed value
00052
0012.34
14.177
The Consumption Formatting Attribute Set is defined in Table D.16.

Table D.16 Formatting Attribute Set
Identifier
Name
Type
Range
Access
Default
Man./
Opt.
0x00
UnitofMeasure
8-bit
Enumeration
0x00 to
0xFF
Read
Only
0x00
0x01
Multiplier
Unsigned 24
bit Integer
0x000000
to
0xFFFFFF
Read
Only
0x02
Divisor
Unsigned 24
bit Integer
0x000000
to
0xFFFFFF
Read
Only
0x03
SummationFormattin
g
8 bit BitMap
0x00 to
0xFF
Read
Only
0x04
DemandFormatting
8 bit BitMap
0x00 to
0xFF
Read
Only
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Table D.16 Formatting Attribute Set (Continued)
Identifier
Name
Type
Range
Access
Default
Man./
Opt.
0x05
HistoricalConsumpti
onFormatting
8 bit BitMap
0x00 to
0xFF
Read
Only
0x06
MeteringDeviceType
8 bit BitMap
0x00 to
0xFF
Read
Only
0x07 to
0xFF
Reserved
D.3.2.2.4.1 UnitofMeasure Attribute

UnitofMeasure provides a label for the Energy, Gas, or Water being measured by
the metering device. The unit of measure apply to all summations, consumptions/
profile interval and demand/rate supported by this cluster. Other measurements
such as the power factor are self describing. This Attribute is an 8 bit enumerated
field. The bit descriptions for this Attribute are listed in Table D.17.
Table D.17 UnitofMeasure Attribute Enumerations
Values
Description
0x00
kW (kilo-Watts) & kWh (kilo-WattHours) in pure Binary format.
0x01
m3 (Cubic Meter) & m3/h (Cubic Meter per Hour) in pure Binary format.
0x02
ft3 (Cubic Feet) & ft3/h (Cubic Feet per Hour) in pure Binary format.
0x03
ccf ((100 or Centum) Cubic Feet) & ccf/h ((100 or Centum) Cubic Feet per
Hour) in pure Binary format.
0x04
US gl (US Gallons) & US gl/h (US Gallons per Hour) in pure Binary format.
0x05
IMP gl (Imperial Gallons) & IMP gl/h (Imperial Gallons per Hour) in pure
Binary format.
0x06
BTUs & BTU/h in pure Binary format.
0x07
Liters & l/h (Liters per Hour) in pure Binary format
0x08
kPA(gauge) in pure Binary format.
0x09
kPA(absolute) in pure Binary format.
0x0A to 0x7F
0x80
kW (kilo-Watts) & kWh (kilo-WattHours) in BCD format
0x81
m3 (Cubic Meter) & m3/h (Cubic Meter per Hour) in BCD format
0x82
ft3 (Cubic Feet) & ft3/h (Cubic Feet per Hour) in BCD format
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Table D.17 UnitofMeasure Attribute Enumerations (Continued)
Values
Description
0x83
ccf ((100 or Centum) Cubic Feet) & ccf/h ((100 or Centum) Cubic Feet per
Hour) in BCD format
0x84
US gl (US Gallons) & US gl/h (US Gallons per Hour) in BCD format
0x85
IMP gl (Imperial Gallons) & IMP gl/h (Imperial Gallons per Hour) in BCD
format
0x86
BTUs & BTU/h in BCD format
0x87
Liters & l/h (Liters per Hour) in BCD format
0x88
kPA(gauge) in BCD format.
0x89
kPA(absolute) in BCD format.
0x8A to 0xFF
Reserved for future use
Please Note: When using BCD for meter reads, the values A to F are special
values or indicators denoting Opens, Shorts, and etc. conditions when reading
meter register hardware. Any SE device displaying the BCD based values to end
users should use a non-decimal value to replace the A to F. In other words, a
device could use an * in place of the special values or indicators.
D.3.2.2.4.2 Multiplier Attribute
provides a value to be multiplied against a raw or uncompensated sensor
count of Energy, Gas, or Water being measured by the metering device. If present,
this attribute must be applied against all summation, consumption and demand
values to derive the delivered and received values expressed in the unit of measure
specified. This attribute must be used in conjunction with the Divisor Attribute.
Multiplier
D.3.2.2.4.3 Divisor Attribute

Divisor provides a value to divide the results of applying the Multiplier Attribute
against a raw or uncompensated sensor count of Energy, Gas, or Water being
measured by the metering device. If present, this attribute must be applied against
all summation, consumption and demand values to derive the delivered and
received values expressed in the unit of measure specified. This attribute must be
used in conjunction with the Multiplier Attribute.
D.3.2.2.4.4 SummationFormatting Attribute
provides a method to properly decipher the number of digits
and the decimal location of the values found in the Summation Information Set of
attributes. This attribute is to be decoded as follows:
SummationFormatting
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Bits 0 to 2: Number of Digits to the right of the Decimal Point.

Bits 3 to 6: Number of Digits to the left of the Decimal Point.
Bit 7: If set, suppress leading zeros.
This attribute shall be used against the following attributes:
CurrentSummationDelivered
CurrentSummationReceived
DFTSummation
D.3.2.2.4.5 DemandFormatting Attribute

DemandFormatting provides a method to properly decipher the number of digits
and the decimal location of the values found in the Demand related attributes.
This attribute is to be decoded as follows:
CurrentMaxDemandDelivered
CurrentMaxDemandReceived
InstantaneousDemand
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D.3.2.2.4.6 HistoricalConsumptionFormatting Attribute

HistoricalConsumptionFormatting provides a method to properly decipher the
number of digits and the decimal location of the values found in the ESP
Historical Consumption Set of attributes. This attribute is to be decoded as
follows:
CurrentDayConsumptionDelivered
CurrentDayConsumptionReceived
PreviousDayConsumptionDelivered
PreviousDayConsumptionReceived
CurrentPartialProfileIntervalValue
Intervals
D.3.2.2.4.7 MeteringDeviceType Attribute

MeteringDeviceType provides a label for identifying the type of metering device
present. The attribute are enumerated values representing Energy, Gas, Water,
Thermal, Heat, Cooling, and mirrored metering devices. The defined values are
represented in Table D.18.
Table D.18 MeteringDeviceType Attribute Enumerations
Values
Description
Electric Metering
Gas Metering
Water Metering
Thermal Metering (deprecated)a
Pressure Metering
Heat Meteringb
Cooling Meteringc
7d to 127
Reserved for future growth
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Table D.18 MeteringDeviceType Attribute Enumerations (Continued)
Values
Description
128
Mirrored Gas Metering
129
Mirrored Water Metering
130
Mirrored Thermal Metering
131
Mirrored Pressure Metering
132
Mirrored Heat Meteringe
133
Mirrored Cooling Meteringf
134 to 255
Reserved for future growth
a. CCB 986
b. CCB 986
c. CCB 986
d. CCB 986
e. CCB 986
f. CCB 986
Note: Heat and cooling meters are used for measurement and billing of heat (and
cooling) delivered through liquid (water) based central heating systems. The
consumers are typically billed by the kWh, calculated from the flow and the
temperatures in and out.19
D.3.2.2.5 ESP Historical Consumption
The ESP Historical Attribute Set is defined in Table D.19.
19. CCB 986
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Table D.19 ESP Historical Attribute Set
Identifier
Name
Type
Range
Access
Default
Man./
Opt.
0x00
InstantaneousDemand
Signed 24
bit Integer
0x000000
to
0xFFFFFF
Read
Only
0x00
0x01
CurrentDayConsumpti
onDelivered
Unsigned
24 bit
Integer
0x000000
to
0xFFFFFF
Read
Only
0x02
CurrentDayConsumpti
onReceived
Unsigned
24 bit
Integer
0x000000
to
0xFFFFFF
Read
Only
0x03
PreviousDayConsumpt
ionDelivered
Unsigned
24 bit
Integer
0x000000
to
0xFFFFFF
Read
Only
0x04
PreviousDayConsumpt
ionReceived
Unsigned
24 bit
Integer
0x000000
to
0xFFFFFF
Read
Only
0x05
CurrentPartialProfileIn
tervalStartTimeDeliver
ed
UTCTime
Read
Only
0x06
tervalStartTimeReceiv
ed
UTCTime
0x000000
to
0xFFFFFF
Read
Only
0x07
tervalValueDelivered
Unsigned
24 bit
Integer
0x000000
to
0xFFFFFF
Read
Only
-a
Ob
0x08
tervalValueReceived
Unsigned
24 bit
Integer
0x000000
to
0xFFFFFF
Read
Only
-c
Od
0x09 to
0xFF
Reserved
a. CCB 982
b. CCB 982
c. CCB 982
d. CCB 982
D.3.2.2.5.1 InstantaneousDemand Attribute

InstantaneousDemand represents the current Demand of Energy, Gas, or Water
delivered or received at the premise. Positive values indicate Demand delivered to
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the premise where negative values indicate demand received from the premise.
InstantaneousDemand is updated continuously as new measurements are made.
The frequency of updates to this field is specific to the metering device, but
should be within the range of once every second to once every 5 seconds.
D.3.2.2.5.2 CurrentDayConsumptionDelivered Attribute
CurrentDayConsumptionDelivered represents the summed value of Energy, Gas,
or Water generated and delivered to the premise since midnight local time. If
optionally provided, CurrentDayConsumptionDelivered is updated continuously
as new measurements are made.
D.3.2.2.5.3 CurrentDayConsumptionReceived Attribute
CurrentDayConsumptionReceived represents the summed value of Energy, Gas,
or Water generated and received from the premise since midnight local time. If
optionally provided, CurrentDayConsumptionReceived is updated continuously
as new measurements are made.
D.3.2.2.5.4 PreviousDayConsumptionDelivered Attribute
PreviousDayConsumptionDelivered represents the summed value of Energy, Gas,
or Water generated and delivered to the premise within the previous 24 hour
period starting at midnight local time. If optionally provided,
CurrentDayConsumptionDelivered is updated every midnight local time.
D.3.2.2.5.5 PreviousDayConsumptionReceived Attribute
PreviousDayConsumptionReceived represents the summed value of Energy, Gas,
or Water generated and received from the premise within the previous 24 hour
period starting at midnight local time. If optionally provided,
CurrentDayConsumptionReceived is updated is updated every midnight local
time.
D.3.2.2.5.6 CurrentPartialProfileIntervalStartTimeDelivered Attribute
CurrentPartialProfileIntervalStartTimeDelivered represents the start time of the
current Load Profile interval being accumulated for commodity delivered.
D.3.2.2.5.7 CurrentPartialProfileIntervalStartTimeReceived Attribute
CurrentPartialProfileIntervalStartTimeReceived represents the start time of the
current Load Profile interval being accumulated for commodity received.
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D.3.2.2.5.8 CurrentPartialProfileIntervalValueDelivered Attribute

CurrentPartialProfileIntervalValueDelivered represents the value of the current
Load Profile interval being accumulated for commodity delivered.
D.3.2.2.5.9 CurrentPartialProfileIntervalValueReceived Attribute
CurrentPartialProfileIntervalValueReceived represents the value of the current
Load Profile interval being accumulated for commodity received.
D.3.2.2.6 Load Profile Configuration
The Load Profile Configuration Attribute Set is defined in Table D.20.
Table D.20 Load Profile Configuration Attribute Set
Identifier
Name
Type
Range
Access
Default
Man./
Opt.
0x00
MaxNumberOfPeriodsD
elivered
Unsigned 8
bit Integer
0x00 to
0xFF
Read
Only
0x18
0x01 to
0xFF
Reserved
D.3.2.2.6.1 MaxNumberOfPeriodsDelivered Attribute

MaxNumberofPeriodsDelivered represents the maximum number of intervals the
device is capable of returning in one Get Profile Response command. It is
required MaxNumberofPeriodsDelivered fit within the default Fragmentation
ASDU size of 128 bytes, or an optionally agreed upon larger Fragmentation
ASDU size supported by both devices. Please refer to sub-clause 5.3.8 for further
details on Fragmentation settings.20
D.3.2.2.7 Supply Limit Attributes
This set of attributes is used to implement a Supply Capacity Limit program
where the demand at a premise is limited to a preset consumption level over a
preset period of time. Should this preset limit be exceeded the meter could
interrupt supply to the premise or to devices within the premise. The supply limit
information in this attribute set can be used by In-Premise displays, PCTs, or other
devices to display a warning when the supply limit is being approached. The
Supply Limit Attribute Set is defined in Table D.21.
20. CCB 983

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Table D.21 Supply Limit Attribute Set
Default
Man /
Opt
Identifier
Name
Type
Range
Access
0x00
CurrentDemand
Delivered
Unsigned 24
bit Integer
0x000000 to
0xFFFFFF
Read
only
0x01
DemandLimit
Unsigned 24
bit Integer
0x000000 to
0xFFFFFF
Read
only
0x02
DemandIntegrat
ion Period
Unsigned 8
bit Integer
0x01 to
0xFF
Read
only
0x03
NumberOfDem
and
Subintervals
Unsigned 8
bit Integer
0x01 to
0xFF
Read
only
0x04 - 0xFF
Reserved
D.3.2.2.7.1 CurrentDemandDelivered
CurrentDemandDelivered represents the current Demand of Energy, Gas, or
Water delivered at the premise. CurrentDemandDelivered may be continuously
updated as new measurements are acquired, but at a minimum
CurrentDemandDelivered must be updated at the end of each integration subperiod, which can be obtained by dividing the DemandIntegrationPeriod by the
NumberOfDemandSubintervals.
This attribute shall be adjusted using the Multiplier and Divisor attributes found in
the Formatting Attribute Set and can be formatted using the DemandFormatting
attribute. The final result represents an engineering value in the unit defined by
the UnitofMeasure attribute.
D.3.2.2.7.2 DemandLimit
DemandLimit reflects the current supply demand limit set in the meter. This value
can be compared to the CurrentDemandDelivered attribute to understand if limits
are being approached or exceeded.
Adjustment and formatting of this attribute follow the same rules as the
CurrentDemandDelivered.
D.3.2.2.7.3 DemandIntegrationPeriod
DemandIntegrationPeriod is the number of minutes over which the
CurrentDemandDelivered attribute is calculated. Valid range is 0x01 to 0xFF.
0x00 is a reserved value.
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D.3.2.2.7.4 NumberOfDemandSubintervals
NumberOfDemandSubintervals represents the number of subintervals used within
the DemandIntegrationPeriod. The subinterval duration (in minutes) is obtained
by dividing the DemandIntegrationPeriod by the NumberOfDemandSubintervals.
The CurrentDemandDelivered attribute is updated at the each of each subinterval.
Valid range is 0x01 to 0xFF. 0x00 is a reserved value.
As a Rolling Demand example, DemandIntegrationPeriod could be set at 30 (for
30 minute period) and NumberOfDemandSubintervals could be set for 6. This
would provide 5 minute (30/6 = 5) subinterval periods.
As a Block Demand example, DemandIntegrationPeriod could be set at 30 (for
30 minute period) and NumberOfDemandSubintervals could be set for 1. This
would provide a single 30 minute subinterval period21.
D.3.2.3
Server Commands
D.3.2.3.1 Commands Generated

The command IDs generated by the Simple Metering server cluster are listed in
Table D.22.
Table D.22 Generated Command IDs for the Simple Metering Server
Command Identifier
Field Value
Description
Mandatory /
Optional
0x00
Get Profile Response
0x01
Request Mirror
0x02
Remove Mirror
0x03 0xff
Reserved
D.3.2.3.1.1 Get Profile Response Command

D.3.2.3.1.1.1 Payload Format
The Get Profile Response command payload shall be formatted as illustrated in
Figure D.12.
21. CCB 974
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Octets
Data
Type
Field
Name
Variable
UTC
Time
8-bit
Enumeration
8-bit
Enumeration
Unsigned 8-bit
Integer
Series of
Unsigned
24 bit
Integers
EndTime
Status
ProfileIntervalPeriod
NumberOfPeriodsDe
livered
Intervals
Figure D.12 Get Profile Response Command Payload
D.3.2.3.1.1.1.1 Payload Details

EndTime: 32 bit value (in UTC) representing the end time of the most
chronologically recent interval being requested. Example: Data collected from
2:00 PM to 3:00 PM would be specified as a 3:00 PM interval (end time). It is
important to note that the current interval accumulating is not included in most
recent block but can be retrieved using the CurrentPartialProfileIntervalValue
attribute.
Status: Table D.23 lists the valid values returned in the Status field.
Table D.23 Status Field Values
Value
Description
0x00
Success
0x01
Undefined Interval Channel requested
0x02
Interval Channel not supported
0x03
Invalid End Time
0x04
More periods requested than can be returned
0x05
No intervals available for the requested time
0x06 to 0xFF
ProfileIntervalPeriod: Represents the interval or time frame used to capture

metered Energy, Gas, and Water consumption for profiling purposes.
ProfileIntervalPeriod is an enumerated field representing the following
timeframes listed in Table D.24:
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Annex D
Table D.24 ProfileIntervalPeriod Timeframes
Enumerated Value
Timeframe
Daily
60 minutes
30 minutes
15 minutes
10 minutes
7.5 minutes
5 minutes
2.5 minutes
8 to 255
Reserved
NumberofPeriodsDelivered: Represents the number of intervals the device is

returning. Please note the number of periods returned in the Get Profile Response
command can be calculated when the packets are received and can replace the
usage of this field. The intent is to provide this information as a convenience.
Intervals: Series of interval data captured using the period specified by the
ProfileIntervalPeriod field. The content of the interval data depend of the type of
information requested using the Channel field in the Get Profile Command. Data
is organized in a reverse chronological order, the most recent interval is
transmitted first and the oldest interval is transmitted last. Invalid intervals should
be marked as 0xFFFFFF.
This command is generated when the Client command GetProfile is received.
Please refer to sub-clause D.3.2.4.2.
D.3.2.3.1.2 Request Mirror Command
This command is used to request the ESP to mirror Metering Device data.
There are no fields for this command.
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D.3.2.3.1.2.2 Effect on Receipt

On receipt of this command, the Server shall send a RequstMirrorReponse
command (see sub-clause D.3.2.4.3).
D.3.2.3.1.3 Remove Mirror Command
This command is used to request the ESP to remove its mirror of Metering Device
data.
There are no fields for this command.
D.3.2.3.1.3.2 Effect on Receipt
On receipt of this command, the Server shall send a MirrorRemoved command
(see sub-clause D.3.2.4.4).
D.3.2.4
Client Commands
D.3.2.4.1 Commands Generated

The command IDs generated by the Simple Metering client cluster are listed in
Table D.25.
Table D.25 Generated Command IDs for the Simple Metering Client
Command Identifier
Field Value
Description
Mandatory /
Optional
0x00
Get Profile
0x01
Request Mirror
Response
0x02
Remove Mirror
0x03 0xff
Reserved
D.3.2.4.2 Get Profile Command

The Get Profile command payload shall be formatted as illustrated in Table D.26.
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Table D.26 GetProfile Payload
Octets
Data Type
Unsigned 8-bit
Integer
UTCTime
Unsigned 8-bit Integer
Field Name
Interval
Channel
End Time
NumberOfPeriods
D.3.2.4.2.1 Payload Details

Interval Channel: Enumerated value used to select the quantity of interest
returned by the Get Profile Response Command. The Interval Channel values are
listed in Table D.27.
Table D.27 Interval Channel Values
Bit
Description
Consumption Delivered
Consumption Received
2 to 255
Not used
EndTime: 32 bit value (in UTCTime) used to select an Intervals block from all
the Intervals blocks available. The Intervals block returned is the most recent
block with its EndTime equal or older to the one provided. The most recent
Intervals block is requested using an End Time set to 0x00000000, subsequent
Intervals block are requested using an End time set to the EndTime of the previous
block - (number of intervals of the previous block * ProfileIntervalPeriod).
NumberofPeriods: Represents the number of intervals being requested. This
value cant exceed the size stipulated in the MaxNumberOfPeriodsDelivered
attribute. If more intervals are requested than can be delivered, the
GetProfileResponse will return the number of intervals equal to
MaxNumberOfPeriodsDelivered. If fewer intervals available for the time period,
only those available are returned.
The GetProfile command is generated when a client device wishes to retrieve a
list of captured Energy, Gas or water consumption for profiling purposes. Due to
the potentially large amount of profile data available, the client device should
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store previously gathered data and only request the most current data. When
initially gathering significant amounts of historical interval data, the GetProfile
command should not be issued any more frequently than 7.5 seconds to prevent
overwhelming the ZigBee network.
D.3.2.4.2.3 Command Processing Response
If success or failure occurs in recognizing or processing the payload of the
GetProfile command, the appropriate enumerated ZCL status (as referenced in the
ZCL Cluster Library specification) will be returned.
D.3.2.4.2.4 Effect on Receipt
On receipt of this command, the device shall send a GetProfileReponse command
(see sub-clause D.3.2.3.1.1).
D.3.2.4.3 Request Mirror Response Command
The Request Mirror Response Command allows the ESP to inform a sleepy
Metering Device it has the ability to store and mirror its data.
The Request Mirror Response command payload shall be formatted as illustrated
in Figure D.13
Octets
Data Type
Unsigned 16bit Integer
Field Name
EndPoint ID
Figure D.13 Request Mirror Response Command Payload

EndPoint ID: 16 Bit Unsigned Integer indicating the End Point ID to contain the
Metering Devices meter data. Valid End Point ID values are 0x0001 to 0x00F0. If
the ESP is unable to mirror the Metering Device data, EndPoint ID shall be
returned as 0xFFFF. All other EndPoint ID values are reserved. If valid, the
Metering device shall use the EndPoint ID to forward its metered data.
D.3.2.4.4 Mirror Removed Command
The Mirror Removed Command allows the ESP to inform a sleepy Metering
Device mirroring support has been removed or halted.
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The Mirror Removed command payload shall be formatted as illustrated in
Figure D.14
Octets
Data Type
Unsigned 16bit Integer
Field Name
Removed
EndPoint ID
Figure D.14 Mirror Removed Command Payload

Removed EndPoint ID: 16 Bit Unsigned Integer indicating the End Point ID
previously containing the Metering Devices meter data.
D.3.3 Simple Meter Application Guidelines

D.3.3.1
Attribute Reporting
Attribute reporting may be used for sending information in the Reading

Information, TOU Information, Meter Status, ESP Historical Consumption
attribute sets.
D.3.3.2
Fast Polling or Reporting for Monitoring Energy

Savings
Client devices, such as an energy gateway, smart thermostat, or in-home displays

can monitor changes to energy saving settings within the premise and give users
near real time feedback and results. The Simple Meter cluster can support this by
using Attribute Reporting and sending updates at a much faster rate for a short
period of time. Client devices can also perform a series of Attribute reads to
accomplish the same task. In either case, requests or updates shall be limited to a
maximum rate of once every two seconds for a maximum period of 15 minutes.
These limitations are required to ensure Smart Energy profile based devices do
not waste available bandwidth or prevent other operations within the premise.
D.3.3.3
Metering Data Updates
The frequency and timeliness of updating metering data contained in the Simple
Metering Cluster Attributes and Profile Intervals is up to the individual Metering
device manufacturers capabilities. As a best practice recommendation, updates of
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the metering data should not cause delivery of the information to end devices
more often than once every 30 seconds. End devices should also not request
information more often than once every 30 seconds.
D.4 Price Cluster

D.4.1 Overview
The Price Cluster provides the mechanism for communicating Gas, Energy, or
Water pricing information within the premise. This pricing information is
distributed to the ESP from either the utilities or from regional energy providers.
The ESP conveys the information (via the Price Cluster mechanisms) to both
Smart Energy devices in secure method and/or optionally conveys it anonymously
in an unsecure to very simple devices that may not be part of the Smart Energy
network. The mechanism for sending anonymous information is called the
Anonymous Inter-PAN transmission mechanism and is outlined in Annex B.
Smart Energy
Device
ESP
S
C = Client
S = Server
Figure D.15 Price Cluster Client Server Example
for upstream price management systems and subsequent data stores.
D.4.2 Server
D.4.2.1
Dependencies
their internal clocks via the ZCL Time server.
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If a device does not support a real time clock it is assumed that the device will
interpret and utilize the Start Now value within the Time field.
Anonymous Inter-PAN transmission mechanism outlined in Annex B.
D.4.2.2
Server Cluster Attributes

Table D.28 Price Server Cluster Attributes
Identifier
Name
Type
Length
Access
Default
Mandatory
/ Optional
0x0000
Tier1PriceLabel
Octet
String
0 to 12
Octets
Read/
Write
"Tier 1"
0x0001
Tier2PriceLabel
Octet
String
0 to 12
Octets
Read/
Write
"Tier 2"
0x0002
Tier3PriceLabel
Octet
String
0 to 12
Octets
Read/
Write
"Tier 3"
0x0003
Tier4PriceLabel
Octet
String
0 to 12
Octets
Read/
Write
"Tier 4"
0x0004
Tier5PriceLabel
Octet
String
0 to 12
Octets
Read/
Write
"Tier 5"
0x0005
Tier6PriceLabel
Octet
String
0 to 12
Octets
Read/
Write
"Tier 6"
0x0006 to
0xFFFF
Reserved
D.4.2.2.1 TierNPriceLabel Attributes

The TierNPriceLabel attributes provide a method for utilities to assign a label to
the Price Tier declared within the Publish Price command. The TierNPriceLabel
attributes are a ZCL Octet String field capable of storing a 12 character string (the
first Octet indicates length) encoded in the UTF-8 format. Example Tier Price
Labels are "Normal", "Shoulder", "Peak", "Real Time Pricing" and "Critical
Peak".
D.4.2.3
Commands Received
The server side of the Price cluster is capable of receiving the commands listed in
Table D.29.
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Table D.29 Received Command IDs for the Price Cluster

Value
Description
Mandatory / Optional
0x00
Get Current Price
0x01
Get Scheduled Prices
0x02 0xff
Reserved
D.4.2.3.1 Get Current Price Command

This command initiates a Publish Price command (see sub-clause D.4.2.4.1) for
the current time.
The payload of the Get Current Price command is formatted as shown in
Figure D.16:
Octets
Data Type
Unsigned 8 bit integer
Field Name
Command Options
Figure D.16 The Format of the Get Current Price Command Payload

The Command Options Field: The command options field is 8 Bits in length and
is formatted as a bit field as shown in Figure D.17:
Bits
1 to 7
Field
Name
Requestor Rx
On When Idle
Reserved
Figure D.17 Get Current Price Command Options Field
The Requestor Rx On When Idle sub-field: The Requestor Rx On When Idle

sub-field has a value of 1 if the requestors receiver may be, for all practical
purposes, enabled when the device is not actively transmitting, thereby making it
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very likely that regular broadcasts of pricing information will be received by this
device, and 0 otherwise.
A device that publishes price information may use the value of this bit, as received
from requestors in its neighborhood, to determine publishing policy. For example,
if a device makes a request for current pricing information and the requestor Rx
on when idle sub-field of the GetCurrentPrice command payload has a value of 1
(indicating that the device will be likely to receive regular price messages), then
the receiving device may store information about the requestor and use it in future
publishing operations.
On receipt of this command, the device shall send a Publish Price command (subclause D.4.2.4.1) for the currently scheduled time. Please note: The PublishPrice
command is sent out on the network from which the GetCurrentPrice command
was received (either the Inter-Pan or SE network). Example: If the
GetCurrentPrice command is received on the Inter-Pan network, the ESP shall
respond on the Inter-Pan. If the GetCurrentPrice command is received on the SE
Network, the ESP shall respond to the device requesting the pricing information.
D.4.2.3.2 Get Scheduled Prices Command
This command initiates a Publish Price command (see sub-clause D.4.2.4.1) for
all currently scheduled times. A server device shall be capable of storing five
scheduled price events at a minimum.
The Get Scheduled Prices command payload shall be formatted as illustrated in
Figure D.18:
Octets
Data Type
UTCTime
Unsigned8-bit integer
Field Name
Start Time (M)
Number of Events (M)
Figure D.18 Format of the Get Scheduled Prices Command Payload
Start Time (mandatory): UTC Timestamp representing the starting time for any
scheduled pricing events to be re-sent.
Number of Events (mandatory): Represents the maximum number of events to
be sent. A value of 0 would indicate all available events are to be returned.
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This command is generated when the client device wishes to verify the available
Price Events or after a loss of power/reset occurs and the client device needs to
recover currently active or scheduled Price Events.
On receipt of this command, the device shall send a Publish Price command (see
sub-clause D.4.2.4.1) for all currently scheduled price events. Please note: The
PublishPrice command is sent out on the network from which the
GetScheduledPrices command was received (either the Inter-Pan or SE network).
Example: If the GetScheduledPrices command is received on the Inter-Pan
network, the ESP shall respond on the Inter-Pan. If the GetCurrentPrice command
is received on the SE Network, the ESP shall respond to the device requesting the
pricing information.
D.4.2.4
Commands Generated
The server side of the Price cluster is capable of generating the commands listed
in Table D.30.
Table D.30 Generated Command IDs for the Price Cluster

Value
Description
Mandatory / Optional
0x00
Publish Price
0x01 0xff
Reserved
D.4.2.4.1 Publish Price Command

The Publish Price command is generated in response to receiving a Get Current
Price command (see sub-clause D.4.2.3.1), a Get Scheduled Prices command (see
sub-clause D.4.2.3.2), or when an update to the pricing information is available
from the commodity provider. When a Get Current Price or Get Scheduled Prices
command is received over a ZigBee Smart Energy network, the Publish Price
command should be sent unicast to the requester. In the case of an update to the
pricing information from the commodity provider, the Publish Price command
should be unicast to all individually registered devices implementing the Price
Cluster on the ZigBee Smart Energy network. When responding to a request via
the Inter-PAN SAP, the Publish Price command should be broadcast to the PAN of
the requester after a random delay between 0 and 0.5 seconds, to avoid a potential
broadcast storm of packets.
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Devices capable of receiving this command must be capable of storing and

supporting at least two pricing information instances, the current active price and
the next price. By supporting at least two pricing information instances, receiving
devices will allow the Publish Price command generator to publish the next
pricing information during the current pricing period.
Nested and overlapping Publish Price commands are not allowed. The current
active price will be replaced if new price information is received by the ESP.
The PublishPrice command payload shall be formatted as illustrated in
Figure D.19.
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Octets
0-12
Data
Type
Unsigned
32 bit
Integer
Octet
String
Unsigned
32 bit
Integer
UTCTime
8 bits
enumeration
Unsigned
16 bit
Integer
8 bit
BitMap
Provider
ID (M)
Rate
Label
(M)
Issuer
Event ID
(M)
Current
Time (M)
Unit of
Measure (M)
Currency
(M)
Price
Trailing
Digit &
Price
Tier (M)
8 bit
BitMap
UTCT
ime
Unsigned
16 bit
Integer
Unsigned
32 bit
Integer
Unsigned 8
bit Integer
Unsigned
32 bit
Integer
Unsigned
8 bit
Integer
Start
Time
(M)
Duration
In
Minutes
(M)
Price (M)
Price Ratio
(O)
Field
Name
Number
of Price
Tiers &
Register
Tier (M)
Generatio
n Price
(O)
Generati
on Price
Ratio (O)
Octets
Data
Type
Unsigned
32 bit
Integer
8 bits
enume
ration
8 bit
BitMap
Alternate
Cost
Delivered
(O)a
Altern
ate
Cost
Unit
(O)b
Alternate
Cost
Trailing
Digit(O)c
Field
Name
Octets
Data
Type
Field
Name
a. CCB 973
b. CCB 973
c. CCB 973
Figure D.19 Format of the Publish Price Command Payload
Provider ID (mandatory): An unsigned 32 bit field containing a unique

identifier for the commodity provider. This field is thought to be useful in
deregulated markets where multiple commodity providers may be available.
Rate Label (mandatory): A ZCL Octet String field capable of storing a 12
character string (the first Octet indicates length) containing commodity provider-
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Annex D
specific information regarding the current billing rate. The String shall be encoded
in the UTF-8 format. This field is thought to be useful when a commodity
provider may have multiple pricing plans.
Issuer Event ID (mandatory): Unique identifier generated by the commodity
provider. When new pricing information is provided that replaces older pricing
information for the same time period, this field allows devices to determine which
information is newer. It is expected that the value contained in this field is a
unique number managed by upstream servers or a UTC based time stamp
(UTCTime data type) identifying when the Publish Price command was issued.
Thus, newer pricing information will have a value in the Issuer Event ID field that
is larger than older pricing information.
Current Time (mandatory): A UTCTime field containing the current time as
determined by the device. This field is thought to be useful to provide an extra
value-added feature for the broadcast price signals.
Unit of Measure (mandatory): An 8 bit enumeration field identifying the
commodity as well as its base unit of measure. The enumeration used for this field
shall match one of the UnitOfMeasure values using a pure Binary format as
defined in the Simple Metering cluster (see sub-clause D.3.2.2.5.1).
Currency (mandatory): An unsigned 16 bit field containing identifying
information concerning the local unit of currency used in the price field. This field is
thought to be useful for displaying the appropriate symbol for a currency (i.e.: $).
The value of the currency field should match the values defined by ISO 4217.
Price Trailing Digit and Price Tier (mandatory): An 8 bit field used to determine
where the decimal point is located in the price field and to indicate the current pricing
tier as chosen by the commodity provider. The most significant nibble is the Trailing
Digit sub-field which indicates the number of digits to the right of the decimal point.
The least significant nibble is an enumerated field containing the current Price Tier.
Valid values for the Price Tier sub-field are from 1 to 6 reflecting the least expensive
tier (1) to the most expensive tier (6). All other values for the Price Tier are reserved.
This sub-field also references the associated TiernPriceLabel attribute assigned to the
Price Tier. Table D.31 depicts the assignments:
Table D.31 Price Tier Sub-field Enumerations
Enumerated Value
Price Tier
0x0
No Tier Related
0x1
Reference Tier1PriceLabel
0x2
0x3
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Table D.31 Price Tier Sub-field Enumerations

0x4
0x5
0x6
0x7 to 0xF
Reserved
Number of Price Tiers & Register Tier (mandatory): An 8 bit BitMap where
the most significant nibble is an enumerated sub-field representing the maximum
number of price tiers available, and the least significant nibble is an enumerated
sub-field indicating the register tier used with the current Price Tier. Valid values
for the Number of Price Tiers sub-field are from 0 to 6 reflecting no tiers in use (0)
to six tiers available (6). All other values for the Price Tier are reserved.
The Register Tier values correlates which CurrentTierNSummationDelivered
attribute, found in sub-clause D.3.2.2.2, is accumulating usage information. Both
attributes can be used to calculate and display usage and subsequent costs.
Register Tier enumerated values are listed in Table D.32.
Table D.32 Register Tier Sub-field Enumerations
Enumerated
Value
Register Tier
0x0
No Tier Related
0x1
Usage accumulating in CurrentTier1SummationDelivered attribute
0x2
0x3
0x4
0x5
0x6
0x7 - 0x0F
Reserved
Start Time (mandatory): A UTCTime field to denote the time at which the price
signal becomes valid. A start Start time Time of 0xffffffff 0x00000000 is a special
time denoting now.
Duration In Minutes (mandatory): An unsigned 16 bit field used to denote the
amount of time in minutes after the Start Time during which the price signal is
valid. Maximum value means until changed.
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Price (mandatory): An unsigned 32 bit field containing the price of the

commodity measured in base unit of Currency per Unit of Measure with the
decimal point located as indicated by the Price Trailing Digit field when the
commodity is delivered to the premise.
Price Ratio (optional): An unsigned 8 bit field that gives the ratio of the price
denoted in the Price field to the normal price chosen by the commodity
provider. This field is thought to be useful in situations where client devices may
simply be interested in pricing levels or ratios. The value in this field should be
scaled by a factor of 0.1, giving a range of ratios from 0.1 to 25.5. A value of 0xFF
indicates the field is not used.
Generation Price (optional): An unsigned 32 bit field containing the price of the
commodity measured in base unit of Currency per Unit of Measure with the
decimal point located as indicated by the Price Trailing Digit field when the
commodity is received from the premise. An example use of this field is in energy
markets where the price of electricity from the grid is different than the price of
electricity placed on the grid. A value of 0xFFFFFFFF indicates the field is not
used.
Generation Price Ratio (optional): An unsigned 8 bit field that gives the ratio of
the price denoted in the Generation Price field to the normal price chosen by the
commodity provider. This field is thought to be useful in situations where client
devices may simply be interested in pricing levels or ratios. The value in this field
should be scaled by a factor of 0.1, giving a range of ratios from 0.1 to 25.5 A
value of 0xFF indicates the field is not used.
Alternate Cost Delivered (optional): An unsigned 32 Integer field that provides
a mechanism to describe an alternative measure of the cost of the energy
consumed. An example of an Alternate Cost might be the emissions of CO2 for
each kWh of electricity consumed providing a measure of the environmental cost.
Another example is the emissions of CO2 for each cubic meter of gas consumed
(for gas metering). A different value for each price tier may be provided which
can be used to reflect the different mix of generation that is associated with
different TOU rates.
Alternate Cost Unit (optional): An 8 bit enumeration identifying the unit (as
specified in table D.3x) for the Alternate Cost Delivered field.
Table D.33 Alternate Cost Unit Enumerations
Values
Description
0x00
0x01
Kg of CO2 per unit of measure
0x02 to 0xFF
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Alternate Cost Trailing Digit (optional): An 8 bit BitMap field used to

determine where the decimal point is located in the alternate cost field. The most
significant nibble indicates the number of digits to the right of the decimal point.
The least significant nibble is reserved.22
On receipt of this command, the device is informed of a price event for the
specific provider, commodity, and currency indicated.
Should the device choose to change behavior based on the price event, the change
of behavior should occur after a random delay between 0 and 5 minutes, to avoid
potential spikes that could occur as a result of coordinated behavior changes.
Likewise, should a device choose to change behavior based on the expiration of
the price event, the change in behavior should occur after a random delay between
0 and 5 minutes. (CCB CC-900 [SE])
D.4.3 Client
D.4.3.1
Dependencies
their internal clocks via the ZCL Time server.
If a device does not support a real time clock it is assumed that the device will
interpret and utilize the Start Now 0x00000000 value within the Time field.
D.4.3.2
Attributes
None.
D.4.3.3
Commands Received
The client receives the cluster specific response commands detailed in subclause D.4.2.3.1.
D.4.3.4
Commands Generated
The client generates the cluster specific commands detailed in subclause D.4.2.4.1, as required by the application.
22. CCB 973

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Chapter D
D.5 Messaging Cluster

D.5.1 Overview
This cluster provides an interface for passing text messages between ZigBee
devices. Messages are expected to be delivered via the ESP and then unicast to all
individually registered devices implementing the Messaging Cluster on the
ZigBee network, or just made available to all devices for later pickup. Nested and
overlapping messages are not allowed. The current active message will be
replaced if a new message is received by the ESP.
Smart Energy
Device
ESP
S
C = Client
S = Server
Figure D.20 Messaging Cluster Client/Server Example
for upstream message management systems and subsequent data stores.
D.5.2 Server
D.5.2.1
Dependencies
Support for ZCL Data Types.

No dependencies exist for other Smart Energy Clusters.
D.5.2.2
Attributes
None.
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D.5.2.3
Commands Generated
The command IDs generated by the Messaging server cluster are listed in
Table D.34.
Table D.34 Generated Command IDs for the Messaging Server
Command Identifier
Field Value
Description
Mandatory /
Optional
0x00
Display Message
0x01
Cancel Message
0x02 0xff
Reserved
D.5.2.3.1 Display Message

The Display Message command payload shall be formatted as illustrated in
Table D.35.
Table D.35 Display Message Command Payload
Octets
Variable
Data
Type
Unsigned
32-bit integer
8-bit
BitMap
UTCTime
Unsigned 16
bit Integer
Character
string
Field
Name
Message ID
Message
Control
Start Time
Duration In
Minutes
Message

Message ID: A unique unsigned 32 bit number identifier for this message. Its
expected the value contained in this field is a unique number managed by
upstream systems or a UTC based time stamp (UTCTime data type) identifying
when the message was issued.
MessageControl: An 8-bit BitMap field indicating the need to optionally pass the
message onto the Anonymous Inter-PAN transmission mechanism outlined in
Annex B or that a user confirmation is required for a message. Bit encoding of this
field is outlined in Table D.36:
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Table D.36 Message Control Field Bit Map
Bits
Enumeration
Value
Description
Bits 0 to 1
Normal transmission
only
Send message through normal command

function to client.
Normal and
Anonymous InterPAN transmission
Send message through normal command

function to client and pass message onto the
Anonymous Inter-PAN transmission
mechanism.
Anonymous InterPAN transmission

only
Send message through the Anonymous InterPAN transmission mechanism.
Reserved
Reserved value for future use.
Low
Message to be transferred with a low level of

importance.
Medium
Message to be transferred with a medium level

of importance.
High
Message to be transferred with a high level of

importance.
Critical
Message to be transferred with a critical level

of importance.
Bits 4 to 6
Reserved
N/A
These bits are reserved for future use.
Bit 7
Message
Confirmation
Message Confirmation not required.
Message Confirmation required.
Bits 2 to 3
If the Anonymous Inter-PAN transmission mechanism outlined in Annex B is not

supported on a particular device, Bits 0 to 6 can be ignored.
The Message Confirmation bit indicates the message originator requests a
confirmation of receipt from a Utility Customer. If confirmation is required, the
device should display the message or alert the user until it is either confirmed via
a button or by selecting a confirmation option on the device. Confirmation is
typically used when the Utility is sending down information such as a
disconnection notice, or prepaid billing information. Message duration is ignored
when confirmation is requested and the message is displayed until confirmed.
Note: It is desired that the device provide a visual indicator (flashing display or
indicate with its LEDs as examples) that a message requiring confirmation is
being displayed, and requires confirmation.
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Start Time: A UTCTime field to denote the time at which the message becomes
valid. A Start Time of 0x00000000 is a special time denoting now.
Duration In Minutes: An unsigned 16 bit field is used to denote the amount of
time in minutes after the Start Time during which the message is displayed. A
Maximum value of 0xFFFF means until changed.
Message: A ZCL String containing the message to be delivered. The String shall
be encoded in the UTF-8 format. Please note: Since the Anonymous Inter-PAN
transmission mechanism outlined in Annex B does not support fragmentation and
is limited in its message size, any message forwarded will be truncated to match
the maximum message length supported. For messages not sent through the
Anonymous Inter-PAN transmission mechanism and received by devices that
display messages smaller than 80 bytes, they shall have the ability to receive up to
an 80 byte message. Devices will have the ability to choose the methods for
managing messages that are larger than can be displayed (truncation, scrolling,
etc.).
For supporting larger messages sent over the SE Profile network, both devices
must agree upon a common Fragmentation ASDU size. Please refer to subclause 5.3.8 for further details on Fragmentation settings.
Any message that needs truncation shall truncate on a UTF-8 character boundary.
D.5.2.3.2 Cancel Message
The Cancel Message command described in Table D.37 provides the ability to
cancel the sending or acceptance of previously sent messages. When this message
is received the recipient device has the option of clearing any display or user
interfaces it supports, or has the option of logging the message for future
reference.
Table D.37 Cancel Message Command Payload
Octets
Data
Type
Unsigned
32-bit
integer
8-bit
BitMap
Field
Name
Message
ID
Message
Control

Message ID: A unique unsigned 32 bit number identifier for the message being
cancelled. Its expected the value contained in this field is a unique number
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Chapter D
managed by upstream systems or a UTC based time stamp (UTCTime data type)
identifying when the message was originally issued.
MessageControl: An enumerated field indicating the optional ability to pass the
cancel message request onto the Anonymous Inter-PAN transmission mechanism
outlined in Annex B. If the Anonymous Inter-PAN transmission mechanism is not
supported on a particular device, this parameter is ignored. Bitmap values for this
field are listed in Table D.36.
D.5.3 Client
D.5.3.1
Dependencies
Support for ZCL Data Types.

No dependencies exist for other Smart Energy Clusters.
D.5.3.2
Attributes
None.
D.5.3.3
Commands Generated
The command IDs generated by the Messaging cluster are listed in Table D.38.
Table D.38 Messaging Client Commands
Command Identifier
Field Value
Description
Mandatory
/ Optional
0x00
Get Last Message
0x01
Message Confirmation
0x02 0xff
Reserved
D.5.3.3.1 Get Last Message

This command has no payload.
On receipt of this command, the device shall send a Display Message command
(refer to sub-clause D.5.2.3.1).
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D.5.3.3.2 Message Confirmation

The Message Confirmation command described in Table D.39 provides the ability
to acknowledge a previously sent message.
Table D.39 Message Confirmation Command Payload
Octets
Data Type
Unsigned
32-bit integer
UTCTime
Field Name
Message ID
Confirmation
Time

Message ID: A unique unsigned 32 bit number identifier for the message being
cancelled.
Confirmation Time: UTCTime of user confirmation of message.
D.5.4 Application Guidelines

For Server and Client transactions, please refer to Figure D.21.
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Chapter D
Head
End
Subscribers
ESP
Message (Not defined by ZigBee)
Message Confirmation (Optional)
~
OR
~
Cacncel Message
Cancel Message
Message Confirmation (Optional)
~
OR
~
Get Last Message
Display Message
Figure D.21 Client/Server Message Command Exchanges
D.6 Smart Energy Tunneling (Complex Metering) Cluster

TBD in a future revision of the Smart Energy Profile specification.
D.7 Pre-Payment Cluster

TBD in a future revision of the Smart Energy Profile specification.
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N N E X
E
ANNEX ERULES AND GUIDELINES FOR
OVERLAPPING EVENTS
This section describes multiple scenarios that Demand Response and Load
Control devices may encounter over the Smart Energy network. The examples
describe situations of overlapping events that are acceptable and where
overlapping events that will be superseded due to conflicts.
E.1 Definitions
Start Time Start Time field contained within the Load Control Event packet
indicating when the event should start. Please note, a Start Time value of
0x00000000 denotes now and the device should use its current time as the
Start Time.
Duration Duration field contained within the Load Control Event packet
indicating how long the event should occur.
End Time Time when Event completes as calculated by adding Duration to
Start Time.
Scheduled Period - Represents the time between the Start Time and the End Time
of the event.
Effective Start Time - Represents time at which a specific device starts a load
control event based on the Start Time plus or minus any randomization offsets.
Effective End Time - Represents time at which a specific device ends a load
control event based on the Start Time plus Duration, plus or minus any
randomization offsets.
Effective Scheduled Period - Represents the time between the Effective Start
Time and the Effective End Time.
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Annex E
Rules and Guidelines for Overlapping Events
Overlapping Event - Defined as an event where the Scheduled Period covers part
or all of an existing, previously scheduled event.
Successive Events - Defined as two events where the scheduled End Time of the
first event is equal the Start Time of a subsequent scheduled event.
Nested Events - Defined as two events where the scheduled Start Time and End
Time of the second event falls during the Scheduled Period of the first scheduled
event and the second event is of shorter duration than the first event.
E.2 Rules and Guideline

The depicted behaviors and required application management decisions are driven
from the following guidance and rule set:
1 Upstream Demand Response/Load Control systems and/or the ESP shall
prevent mismanaged scheduling of Overlapping Events or Nested Events. It is

recognized Upstream Demand Response/Load Control systems and/or the ESP
will need to react to changing conditions on the grid by sending Overlapping
Events or Nested Events to supersede previous directives. But those systems
must have the proper auditing and management rules to prevent a cascading set
of error conditions propagated by improperly scheduled events.
2 When needed, Upstream Demand Response/Load Control systems and/or the
ESP may resolve any event scheduling conflicts by performing one of the
following processes:
a Canceling individual events starting with the earliest scheduled event and re-
issuing a new set of events.

b Canceling all scheduled events and re-issuing a new set of events.
c Sending Overlapping Events or Nested Events to supersede previous
directives.
It is recommended that process 2.c is used for most situations since it can allow
a smoother change between two sets of directives, but no way does it negate the
responsibilities identified in rule #1.
3 When an End Device receives an event with the End Time in the past (End
Time < Current Time), this event is ignored and a Report Event Status
command is returned with the Event Status set to 0xFB (Rejected - Event was
received after it had expired).
4 When an End Device receives an event with a Start Time in the past and an End
Time in the future ((Start Time < Current Time) AND (End Time > Current
Time)), the event is processed immediately. The Effective Start Time is calculated
using the Current Time as the Start Time. Original End Time is preserved.
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5 Regardless of the state of an event (scheduled or executing), when an End
Device detects an Overlapping Event condition the latest Overlapping Event

will take precedence over the previous event. Depending on the state of the
event (scheduled or executing), one of the following steps shall take place:
a If the previous event is scheduled and not executing, the End Device returns
a Report Event Status command (referencing the previous event) with the
Event Status set to 0x07 (The event has been superseded). After the Report
Event Status command is successfully sent, the End Device can remove the
previous event schedule.
b If the previous event is executing, the End Device shall change directly from
its current state to the requested state at the Effective Start Time of the
Overlapping Event (Note: Rule #4 effects Effective Start Time). The End
Device returns a Report Event Status command (referencing the previous
event) with the Event Status set to 0x07 (the event has been superseded).
6 Randomization shall not cause event conflicts or unmanaged gaps. To clarify:
a When event starting randomization is requested, time periods between the
Start Time of an event and the Effective Start Time a device should either
maintain its current state or apply changes which contribute to energy
saving. Preference would be to maintain current state.
b When event ending randomization is used and the Effective End Time
overlaps the Effective Start Time of a Successive Event, the Effective Start
Time takes precedence. Events are not reported as superseded, End devices
should report event status as it would a normal set of Successive Events.
c It is recommended devices apply the same Start and Stop Randomization
values for consecutive events to help prevent unexpected gaps between events.
d Devices shall not artificially create a gap between Successive Events.
7 It is permissible to have gaps when events are not Successive Events or
Overlapping Events.
8 If multiple device classes are identified for an event, future events for
individual device classes (or a subset of the original event) that cause an
Overlapping Event will supersede the original event strictly for that device
class (or a subset of the original event). Note: Rule #5 applies to all
Overlapping Events.
E.3 Event Examples

Smart Energy devices which act upon Demand Response and Load Control events
shall use the following examples for understanding and managing overlapping
and superseded events. Within those examples, references to multiple device
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Annex E
classes will be used. Figure E.1 depicts a representation of those devices in a

HVAC compressor or furnace
ESP
S
Smart Energy Device

Device Class = 0x000001
C
Water Heater
Smart Energy Device

Pool Pump/Spa/Jacuzzi
C = Client
Figure E.1
S = Server
Smart Energy Device

Smart Energy Device Class Reference Example
E.3.1 Correct Overlapping Events for Different Device

Classes
Figure E.2 depicts a correct series of DR/LC event for device class of 0x000001
(reference for the BitMap definition) with an event scheduled for another device
class during the same period.
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Event ID: 1, Group/Device

Class: 0x000001

Class: 0x000001

Class: 0x000008
Note: Vertical
arrows in the
examples indicate
event start and stop
times.
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Time in Hours- -->
Figure E.2
Correctly Overlapping Events
In Figure E.2, Device Class 0x000001 receives a sequence of 3 unique DR/LC

events to be scheduled and acted upon. During this same 24 hour period, Device
Class 0x000008 receives one scheduled DR/LC event that spans across the same
time period as the events scheduled for Device Class 0x0000001. Because both
Device Classes are unique, there are no conflicts due to Overlapping Events.
E.3.2 Correct Superseded Event for a Device Class

Figure E.3 below depicts a correct series of DR/LC events for device class of
0x000001 (reference for the BitMap definition) where an event is scheduled then
later superseded.
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Annex E

Class: 0x000001

Class: 0x000001
Event ID:1 is
no longer valid.
Event ID:2
supersedes
the previous
event.
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24
Time in Hours- >
Figure E.3
Correct Superseding of Events
In Figure E.3, Device Class 0x000001 receives DR/LC Event ID#1 setup for a 24
hour Scheduled Period, which later is superseded by DR/LC Event ID#2,
invalidating the remainder of Event ID#1, which is cancelled.
E.3.3 Superseding Events for Subsets of Device Classes

Figure E.4 below depicts a correct series of DR/LC events for device class of
0x000001 (reference for the BitMap definition) with an event scheduled for
another device class during the same time period.
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Class: 0x000003

Class: 0x000001
Event ID:1 is
still valid but
only for device
02.
Event ID:2
supersedes
the previous
event for
Device Class
0x000001
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24
Time in Hours->
Figure E.4
Superseded Event for a Subset of Device Classes
In Figure E.4, Device Class 0x000003 receives DR/LC Event ID#1 setup for a 24
hour Scheduled Period, which is targeted for both Device Class 0x000002 and
0x000001 (ORed == 0x000003). In the example, Event ID#2 is issued only for
Device Class 0x000001, invalidating the remainder of Event ID#1 for that device
class. DR/LC Event ID#1 is still valid for Device Class 0x000002, which in the
example should run to completion.
E.3.4 Ending Randomization Between Events

Figure E.5 below depicts an Effective End Time that overlaps a second scheduled
DR/LC event for device class of 0x000001 (reference for the BitMap definition).
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Annex E

Class: 0x000001
Starting period has precedence. Event ID:2 supersedes the randomization

period. No gaps shall be
caused between events.

Class: 0x000001
12
16
20
24
Time in Hours- >
Figure E.5
Ending Randomization Between Events
In Figure E.5, Device Class 0x000001 receives a DR/LC Event ID#1 with an
ending randomization setting (please refer to sub-clause D.2.2.3.1.1.1 for more
detail). A second DR/LC (Event ID#2) is issued with a starting time which
matches the ending time of DR/LC Event ID#1. In this situation, the Start Time of
Event ID#2 has precedence. Event ID#1 is not reported as superseded.
E.3.5 Start Randomization Between Events

Figure E.6 below depicts an Effective Start Time that overlaps a previously
scheduled DR/LC event for device class of 0x000001 (reference for the BitMap
definition).
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Class: 0x000001
When successive or
back to back events are
scheduled, starting and
ending randomization
periods shall not cause a
gap.

Class: 0x000001
12
16
20
24
Time in Hours- >
Figure E.6
Start Randomization Between Events
Figure E.6 above, Device Class 0x000001 receives a DR/LC Event ID#1 with an
ending randomization setting (please refer to sub-clause D.2.2.3.1.1.1 for more
detail). Effective End Time of Event ID#1 is not known. A second DR/LC (Event
ID#2) is issued with a starting randomized setting, which has an Effective Start
Time that could overlap or start after the Effective End Time of DR/LC Event
ID#1. In this situation, the Effective Start Time of Event ID#2 has precedence but
the DR/LC device must also prevent any artificial gaps caused by the Effective
Start Time of Event ID#2 and Effective End Time of Event ID#1.
E.3.6 Acceptable Gaps Caused by Start and Stop

Randomization of Events
Figure E.7 below depicts an acceptable gap between two scheduled DR/LC events
for device class of 0x000001 (reference for the BitMap definition) using both
starting and ending randomization with both events.
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Annex E

Class: 0x000001
Randomized
periods.
This is a
valid gap
in time

Class: 0x000001
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24
Time in Hours- >
Figure E.7
Acceptable Gaps with Start and Stop Randomization
Figure E.7 above, Device Class 0x000001 receives a DR/LC Event ID#1 with
both a starting and ending randomization setting (please refer to subclause D.2.2.3.1.1.1 for more detail). A second DR/LC Event ID#2 is also issued
with both a starting and ending randomized setting. The primary configuration to
note in this example is the Effective End Time of DR/LC Event ID#1 completes
well in advance of the Effective Start Time of DR/LC Event ID#2. In this scenario,
regardless of randomization a gap is naturally created by the scheduling of the
events and is acceptable.
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N N E X
F
ANNEX FJOINING PROCEDURE USING PRECONFIGURED TRUST CENTER LINK KEYS
The secure join procedure is detailed as follows:
The secured joining procedure is as stated in [B4] Section 4.6.3.2.3. The case
used in the Smart Energy application is the Pre-configured trust center link
key and address
In [B4] Section 4.6.3.2.3.2, in the case of Pre-configured Trust Center Link
Key, the joining device waits for the APSME-TRANSPORT-KEY.
Indication. The frame is encrypted/authenticated with the key-transport key
according to the methodologies specified in sections 4.4.1.1 and 4.5.3 of the
ZigBee specification r17, which describe the key-transport keys and their
association with link keys, in this case the pre-configured trust center link key.
The source address will be that of the Trust Center. The key transported will be
the NWK Key Key type == 0x01.
When the trust center sends the tunneled Transport Key command, the
Extended Nonce bit on the Auxiliary Frame Header must be set to 1 on the
Transport Key frame from the Trust Center to the joining child as described in
[B4] Section 4.5.1. The Trust Center must also insert its long address into the
Source Address field of the Auxiliary Frame Header since that information will
be needed at the child to decrypt the Transport Key command.
Sub-clause 5.4 of this document calls out two cases for secured join: preconfigured link keys and temporary link keys. The joining device and trust
center perform the same join operation in both cases. The only difference is
how the joining device and trust center treat the initial key material (either
using it directly as the pre-configured link key or hashing with some data like
the long address of the joining device at application level first, see Annex E for
this method). From the perspective of the security joining process what
happens afterwards is the secure join procedure is the same.
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Annex F
Joining Procedure Using Pre-Configured
In either case called out in sub-clause 5.4 of this document, the joining device
is authenticated using the [B4] Section 4.6.3.2.3.2 procedure or leaves if the
security timeout expires. If authenticated, the key delivered via the APSMETRANSPORT-KEY.indication in [B4] Section 4.6.3.2.3.2 is the same for
either case called out in the AMI specification sub-clause 5.4 (no matter how
the application determined the pre-configured link key).
In terms of the message exchange between the child and trust center in performing
the secure join procedure, the following is employed:
Child joining device uses NLME-JOIN.request to parent. Parent sends an
APSME-UPDATE-DEVICE.request to the Trust Center on behalf of the child
to the Trust Center. APSME-UPDATE-DEVICE.request is transported
encrypted/authenticated with the NWK key that the parent has
Upon receipt at the trust center, the trust center must perform the following
processing:
Validity check of the childs address to determines if a trust center link key
exists between the trust center and the address provided by the joining child.
If the child has the trust center as its parent, the APSME-TRANSPORT-
KEY.request is sent directly to the child encrypted with the key-transport

key derived from the trust center link key known to the child device and the
trust center, ELSE
If the child does not have the trust center as its parent, the APSMETRANSPORT-KEY command frame is encrypted using the key-transport key derived from the trust center link key shared between the child
and the trust center.
The resulting encrypted payload is sent to the child using the APS Tunnel
command. The APS Tunnel command and its (already encrypted) payload is
encrypted using the NWK key from the trust center to the childs parent. On
the final hop, the childs parent will perform the following processing
according to [B4] Section 4.6.3.7.2:
The parent sends the contents within the APS Tunnel command to the
child without network layer encryption. The message from the parent to
the joining child is an APS encrypted transport key command using the
key-transport key derived from the trust center link key.
Here are the details on the message that is routed from the trust center to the
joining devices parent via the tunnel command:
NWK Data Frame (Dest: Parent)
APS Header (Command)
APS Command Frame (Tunnel)
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Dest EUI: Child

Tunnel Payload
APS Header
APS Auxiliary Header
Encrypted Payload
APS Command Frame (Transport Key)
Here are the details on the message that is routed from the joining devices parent
to the joining child:
NWK Data Frame (added by parent, Dest: child)
APS Header (from Tunnel Payload)
APS Auxiliary Header (from Tunnel Payload)
Encrypted Payload (from Tunnel Payload)
APS Command Frame (Transport Key)
The message to the child from the parent is identical if the device joins directly to
the Trust Center.
As a note on the final hop contents of the payload:
The last hop of the APME-TRANSPORT-KEY message from parent to joining
child has NO network layer encryption, but does have application layer
encryption
Thus: There will be no NWK auxiliary header, but there will be an APS
auxiliary header
The APS auxiliary header will have the Key Identifier Sub-Field set to 0x02 ==
A key-transport key (see [B4] Section 4.5.1.1.2)
The APS frame will be encrypted with the key-transport key derived from the
pre-configured trust center link key. The pre-configured trust center link key
must be part of the apsDeviceKeyPairSet in the AIB of the joining device and
also known to the trust center.
The resulting APS frame from the parent to the joining child is the APSTRANSPORT-KEY message encrypted with the key-transport key derived
from the trust center link key delivered with the key type of key-transport key
(0x02).
Per [B4] Section 4.4.3.2, the KeyType field will be set to (0x01) == Network
Key
The TransportKeyData will be the active network key and sequence number
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Annex F
Joining Procedure Using Pre-Configured
The joining device must set the network key and sequence number in its NWK
Information Block.
The device is then joined and authenticated.
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