Received November 13, 2021, accepted November 18, 2021, date of publication November 25, 2021,

date of current version December 14, 2021.

Digital Object Identifier 10.1109/ACCESS.2021.3130550

Practical Model for Optimal Carbon Control With

Distributed Energy Resources
JIAPENG SU , (Member, IEEE), ZHIHAO LI, AND A. J. JIN , (Senior Member, IEEE)
Maritime Faculty, Ningbo University, Ningbo, Zhejiang 315000, China
Corresponding author: A. J. Jin ([email protected])
This work was supported by the National Natural Science Foundation of China (NSFC) under Grant 51779025.

ABSTRACT The generation, consumption, and transmission of distributed energy produced by a microgrid
are becoming increasingly important topics in scientific research. As a power source that partly relies on
renewable energy, microgrids play a vital role in the global energy network. In this study, the underlying
principles and management techniques of microgrids are introduced. Microgrids can reduce the carbon
footprint of the energy production process. This study also provides insight into how decision-makers can
confidently mitigate the uncertainties inherent in this kind of renewable energy system by proposing an
optimization algorithm for microgrid energy management. By investigating several commercial microgrid
cases, a mathematical model that allows the user to arrive at the optimal trade-off between energy generation
and carbon production in a given scenario is created. Careful analysis of energy transactions and distributed
energy sources indicates that energy blockchain technology is a valuable asset for expanding the use of
clean energies, reducing carbon emissions in power and optimizing microgrid power management. Finally,
the challenges of microgrid energy management and potential transaction models for the energy blockchain
are discussed.

INDEX TERMS Distributed energy resources, decarbonized power, energy blockchain power generation,
microgrid, optimal scheduling, peer-to-peer transactions, power use balance, renewable energy.

I. INTRODUCTION In an effort to reduce carbon emissions across all major

Due to the challenge set forth by the Paris Agreement [1], [2], business sectors, California has introduced a series of energy-
multiple sectors are putting tremendous effort into finding themed goals, policies, and programs. Carbon cap and trade
efficient and effective ways of addressing the issue of initiatives have begun to gain traction as a way to lower
climate change. Desire to meet the carbon neutrality goal has economic barriers to carbon reduction measures [10]. Carbon
resulted in unprecedented international collaboration from pricing scenarios include a wide range of low-cost and/or
citizens, academicians, industry leaders, and government cost-saving options associated with high energy efficiency,
officials. Ideally, all sources of electricity would be stable, schedule optimization, alternative energies, energy storage,
economical, and environmentally friendly [3]. In recent and fuel switching (i.e., transitioning from less environ-
years, researchers worldwide have developed or refined mentally friendly energy sources to more renewable energy
breakthrough technologies that may make it possible to sources).
meet the world’s energy needs; some examples of these The recent exponential growth in energy consumption
technologies include solar photovoltaic energy, wind energy, has resulted in a dire need to identify renewable energy
ocean thermal energy [4]–[8], hydrogen fuel cells, and energy sources that can operate at large scales. To date, there
storage [ES] technologies. have been many valuable advances in the commercial
In light of the fact that greenhouse gases increase solar application of energy technologies [11], [12]. However,
irradiance, which leads to rapid glacier melting and the upscaling renewable energy operations is problematic for
disruption of fragile ecosystems [9], a climate emergency has many reasons, and power production may become unsta-
been declared [2]. ble on a daily basis. Solar energy, for example, is not
generated at night, and the generation of wind power
The associate editor coordinating the review of this manuscript and depends on daily and seasonal weather variations. Despite
approving it for publication was Qiuye Sun . these challenges, many countries have developed advanced
This work is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 License.
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 J. Su et al.: Practical Model for Optimal Carbon Control With DERs

technologies that allow them to utilize renewable energy

sources [13]–[15].
For those that cannot engage in large-scale renewable
energy operations, it is possible to harvest renewable energy
using a microgrid or a system that integrates various types
of complementary power generation and energy storage
processes [16], [17]. The energy produced by a microgrid can
be monitored and allocated using sophisticated algorithms
that match the energy producers’ supply with the consumers’
demand; this measure ensures that the power stability and
quality are maintained. The Internet of Things (IoT) also
facilitates information sharing and collaboration among all FIGURE 1. Typical power demand in a 24-hour period.
parties in the energy generation and consumption processes.
In addition to energy producers and consumers, prosumers
are also becoming increasingly common. In addition to
for EBC applications involving homes and buildings and for
both producing and consuming energy, prosumers trade
distributed P2P energy trading. In this study, we propose
surplus energy with other users or otherwise profit through
an optimization algorithm that uses the utilization data and
transactions related to energy [18]. Blockchain technology
stated goals for the study region to identify the best energy
makes it possible for buyers and sellers to easily and
management system for a given microgrid.
transparently conduct energy transactions [19].
In the first section of this paper, we introduce the various
In regard to renewable energy sources, it is necessary to
renewable energy sources and the idea of carbon-free energy
study how these systems perform and evolve in both time
systems. In the second section, we discuss the various
and space [20]–[23]. For example, a detailed investigation
characteristics of common renewable energy systems. In the
of alternative energy sources in Sweden revealed that solar
third system, we examine the models for different distributed
irradiance and wind speed are negatively correlated with one
energy resources. In the fourth section, we explore the
another on both hourly and annual scales [24]. To optimize
use of blockchain technology in energy supply-demand
the energy output stability on a seasonal basis, it was
matchmaking models. In the final section, we summarize our
recommended that this system should operate with 70%
conclusions and state that both energy blockchain algorithms
solar power and 30% wind power. Solar photovoltaic (PV)
and distributed energy resources (DERs) will be valuable
and wind power complementarity should be verified on a
assets in the fight to meet carbon neutrality goals at a global
case-by-case basis; when used in tandem, these two energy
scale.
sources can mostly offset any significant energy fluctuations
experienced by either energy source alone.
Microgrid systems have become very appealing to II. CHARACTERISTICS OF COMMON RENEWABLE
researchers worldwide [25], [26] for grid modernization due ENERGY SOURCES
to their high quality and beneficial power supply systems. The demand for electricity depends on numerous variables,
Previous researchers who methodically investigated these including social activities, weather conditions, and the cir-
various microgrid systems found that power generation cumstances of the users. Figure 1 shows a sample electricity
methods have a direct impact on critical direct power curve for the users in a given residential area. Traditionally,
output variables. Researchers have discovered that the higher electricity demands are met by increasing electricity
optimal systematic designs include various advancements in generation at nearby power plants. As renewable energy
technology and rely on information from various fields. sources gain traction, however, it will become increasingly
Recent developments include tremendous technological difficult to unilaterally adjust the power supply to meet the
advancements in power-generating components, such as power demand.
highly efficient converters [27]–[29]. The hardware com-
ponents enable the efficient and reliable performance of A. CHARACTERISTICS OF DISTRIBUTED ENERGY SOURCES
renewable energy systems such as solar power, wind energy, 1) THE POWER OUTPUT CHARACTERISTICS OF A
ocean energy, bio fuel, and hydrogen energy systems (for PHOTOVOLTAIC GENERATOR
example, fuel cells). Photovoltaic cells convert solar radiation into electricity. This
As microgrids become more popular and efficient, the energy conversion process is governed by the photoelectric
need for information related to the consumption, trans- effect, in which semiconductor cells are used to convert
actions, and management of microgrids will correspond- incident light into a photovoltage. Both environmental
ingly increase. The transactions between end-users and conditions (e.g., temperature and light intensity) and device
prosumers [30], [31] have been investigated by several limitations (e.g., the efficiency of the cell conversion of light
groups, e.g., by Jamil’s group, who explores big data and intensity to a photovoltage) affect the output of photovoltaic
machine learning. Li et al. [31] published investigative results cells. A simplified model representing the steady-state output

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power of photovoltaic cells is commonly expressed as make overall energy production difficult to predict and
follows [32]: control on a daily basis [20]. In general, the amount of wind
SI AC [1 + k(Tc − Tr )] energy generated at night surpasses the amount of energy
PPV = PSTC (1) generated in the daytime [33] (Fig. 3).
SI STC
where it is assumed that the photovoltaic arrays are equipped
with maximum power tracking (MPPT) devices:
PPV : the output power of the photovoltaic cell;
SIAC : the actual light intensity;
PSTC : the maximum output power under standard test
conditions (the incident light intensity is 1000 W/m2 , and the
ambient temperature is 25◦ C);
SISTC : the light intensity under standard test conditions,
which is set to 1000 W/m2 ;
k: the temperature coefficient of the output power;
Tc : the actual working temperature of the solar pane;
Tr : the reference temperature.
Although the variations in the light intensity are largely FIGURE 3. Typical wind turbine output over a 24-hour period.
caused by the daily rotation and seasonal revolution of the
Earth around the sun, random factors such as cloud movement Ideally, when a wind turbine is running, the fan blades
and abnormal shielding can reduce the amount of light should be oriented perpendicular to the direction of the wind.
received by these photovoltaic cells. During the day, the The amount of energy produced by a wind turbine depends
received light intensity and the energy output are related to the on the wind speed, the radius of the generator, and the air
cosine of the sun’s zenith angle and the sunny index (Fig. 2). density. The theoretical output power of a wind turbine is
1
PWT = Cp ρπr 2 v3 (2)
2
where
PWT : the output power of the wind turbine generator;
ρ: the air density.
Cp : a wind energy utilization factor, for which the
maximum value is 0.593.
v: the real-time wind speed.
Because the wind speed is uncontrollable, it is necessary
to predict the wind speed in advance to estimate the output
power of the wind turbine. These predictions rely on data
from weather forecasting systems near the installation site
FIGURE 2. Typical daily photovoltaic output over a 24-hour period. of the wind turbine. The weather data are then run through
a series of calculation processes (e.g., those involving wind
speed-power characteristic curves or equations provided by
2) THE POWER OUTPUT CHARACTERISTICS OF manufacturers) to generate the wind power projections for a
A WIND TURBINE given day.
Wind energy is a clean and pollution-free source of renewable
energy. Due to the uneven heating of the Earth’s surface by the 3) ENERGY STORAGE SYSTEM
sun and the Coriolis effect (which arises due to the rotation Considerable volatility and uncertainty are inherent in renew-
of the Earth), the potential for producing wind energy has able energy sources. The increasing number of renewable
always existed on our planet. Wind turbines convert wind energy sources that have been incorporated into the power
energy into mechanical energy; this mechanical energy is grid poses an enormous challenge for the safe and reliable
then converted into electrical energy through electromagnetic operation of the power system. With an energy storage system
induction. The process of manufacturing wind turbines is that controls the distribution of electricity, it is possible to
more environmentally friendly/cleaner than that for solar mitigate the uncertainty in renewable energy systems [34].
photovoltaic cells. Due to new industrial and scientific Energy storage systems perform many operations. Mainly,
developments and increased buy-in from consumers, wind these storage systems reduce fluctuations in the amount of
power technology has greatly matured in the past two power generated by unstable energy systems such as solar
decades. power and wind power [34]–[36]. Second, by maintaining
While the output power of wind turbines mostly depends the stability of the distributed power network, balancing the
on the ambient wind speed, the contributions of other factors power demand, and reducing system disturbances, an energy

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storage system can improve the overall quality of the

distributed power generation system. Finally, when an energy
storage system operates at a high capacity, it can efficiently
supply power to users over a long time period at low
costs, even if demand increases or decreases unexpectedly
(e.g., peak cutting and emergencies). Over time, more
efficient operation can reduce the need for instantaneous
power generation and the construction costs for new power
generation facilities.

III. THE OPTIMAL OPERATION AND MANAGEMENT

OF MICROGRIDS
Conceptually, the ultimate purpose of power utility is to
transform power into a beneficial resource that can be used
by customers. Previous researchers have reported a general FIGURE 4. Flow chart representing the EMS management system in a
approach to construct a transformation model with a power microgrid.

utility matrix (PUM). In our world, which is powered by

energy, a computer simulation is employed to optimize the
power needs and reduce greenhouse gases.
This study extends beyond simulation and aims to derive
a set of mathematical transformation models as a general
approach or a framework for distributed power utility in
matrix form. The authors emphasize that the transformation
model can be used to project renewable energy parameters
to meet consumer’s critical output functions, such as
stable power output, carbon economy, and financial costs.
To achieve optimal power-utilization control according to
a PUM design for the maximal utilization of sustainable
energy, a mathematic framework will be proposed later. FIGURE 5. The various components of a smart microgrid.
A microgrid DER consists of a renewable energy source
and an energy storage system. Microgrid users include
producers, consumers, and prosumers; prosumers act as both characteristics that are extremely attractive to both microgrid
a producer and a consumer of the generated energy through users and producers [38]–[40].
the coordination and control of each microgrid subsystem. Compared to traditional power system management,
Microgrids are designed to provide safe, secure, stable, and microgrid management involves many more variables. Some
inexpensive renewable energy. The microgrid DER can be a of these variables include the DER output, the charging and
controllable load or a power supply for an external power discharging of the energy storage system, and the adjustabil-
grid; as such, it mitigates the power fluctuations in the ity of the load. The EMS itself depends on variables such
external power grid [37]. A microgrid efficiently regulates the as the system load demand, weather conditions, and current
energy supply and can operate separately or in conjunction energy prices. It is possible to select the optimal values
with an existing distribution network. Because they do not of these parameters to maximize the efficiency, security,
require intensive management resources, microgrids can stability, and profitability of the microgrid. An example of a
easily operate in remote areas. microgrid energy management system is shown in Figure 4.
If a microgrid is a ‘‘smart’’ grid (i.e., connected to the
internet), the two-way flow of information allows the system A. MICROGRID OPERATION OPTIMIZATION
to rapidly adjust in the face of changing supply and demand When managing a microgrid, it is necessary to ensure that a
needs, which improves both the energy utilization and the number of functions and assets, such as the distributed power
operational stability of the power grid. When interfacing supply, the energy storage system, the load management
with a microgrid, users are often concerned with the cost system, and the charging/changing station, work in tandem
and stability of electricity. An important way to monitor and with one another (Fig. 5).
improve these indicators is to manage the energy flow through
an energy management system. An energy management 1) DISTRIBUTED POWER SUPPLY
system (EMS) performs both operational control func- Some examples of distributed power sources include diesel
tions and energy optimization calculations. Using real-time generators, wind power, and solar power. Depending on
information, the EMS makes decisions about energy flows the degree to which a power supply can be controlled by
and guarantees the stability and safety of the microgrid, two its operators, these power sources are classified as either

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schedulable or unschedulable. While fuel units such as through the use of smart devices (e.g., smart switches and
diesel engines are considered schedulable, the volatility smart thermostats).
of wind power and solar energy production causes these
energy sources to be classified as unschedulable. Despite B. ENERGY OPTIMIZATION SCHEDULING
this classification, it is possible to exert some degree of In both smart microgrids and other DERs, it can be difficult
control over these energy sources; however, the amount of to quickly meet the demand with the existing energy supply.
control tends to decrease as the power system becomes more Both the supply and demand sides of energy systems must be
complex. With accurate predictions of the energy flow in the closely regulated and managed. Due to inherent uncertainty
EMS of a microgrid, it is possible for decision-makers to and stochastic volatility in renewable energy sources such as
efficiently and accurately allocate schedulable units. solar and wind power, difficulties in predicting the available
power supply can result in price challenges and an inability
2) ENERGY STORAGE SYSTEM
to meet power demands in real time [41].
These uncertainties can be mitigated by employing energy
An energy storage system is a vital part of an EMS. One such
optimization scheduling techniques. By collecting data on
storage source, lithium batteries, is generally noise free and
power generation, load usage, energy storage, and current
has a high power capacity and a high energy density. Due to
grid/microgrid pricing, it is possible to make optimal man-
recent technological developments, alternative energy storage
agement choices by controlling the energy flow. Achieving a
systems such as electric vehicles (EVs) are also becoming
balance between demand and supply improves the efficiency
popular. By storing energy in electric vehicles, it is possible
of the energy management system and results in numerous
to ameliorate the intermittency of renewable energy sources,
economic benefits. Utilizing energy optimization scheduling
facilitate peak cutting and valley filling, and improve the
techniques in a microgrid offsets issues that arise due to the
operational efficiency of the system.
starting or stopping of a generator, the charge/discharge of an
EVs can be regarded as storage subsystems in the DER that
energy storage system, the transfer of an electric load to one
can be scheduled in advance depending on the output of the
or more users, and the control of the power output via peak
microgrid. This energy storage system stores electric energy
cutting and valley filling.
when there is a surplus; when there is an energy deficit,
In a microgrid, the user’s energy consumption costs and
the energy stored in the EVs can be released back into the
satisfaction with their power usage experience are two
DER. In general, electric storage systems perform four main
parameters that management can attempt to optimize. In a
functions in a microgrid: (1) suppressing dangerous electric
large power grid, decision-makers primarily focus on safely
power fluctuations, (2) facilitating peak cutting and valley
and effectively operating both the connected microgrids and
filling when the microgrid is connected to a large power grid,
the power grid as a whole by mitigating power fluctuations.
(3) achieving a power use balance (PUB) between power
Regardless of whether the grid is a typical large grid or
generation and power usage to ensure the self-sufficiency and
a microgrid, it is possible to use mathematical models or
stability of the microgrid when it is not connected to a large
algorithms to optimize the targets of interest.
power network, and (4) providing power to those in need
Many researchers have thoroughly investigated microgrid
during an emergency.
energy management systems to find ways to reduce operating
In summary, the management of the energy storage system
costs and identify more efficient ways to supply energy at
is informed by the operational activities of the microgrid,
small scales [41], [42], [42]–[46].
which can be scheduled and managed according to existing
To find the best way to achieve specific target goals,
power systems and/or local energy needs.
management can apply matchmaking models to these
microgrids. These matchmaking models account for various
3) POWER DEMAND MANAGEMENT microgrid factors, including the energy generation process,
To ensure that a microgrid can meet the relevant energy regulatory constraints, and microgrid price incentives. There
demands during emergencies, microgrid loads are generally are numerous algorithms that can be employed in these
classified as critical loads, controllable loads, or uncontrol- matchmaking models.
lable loads. Power systems must be able to meet the critical Xiao et al. proposed a coordinated scheduling method
load requirement at any given moment. that is based on model predictive control [42]. In the day-
In an emergency, the controllable load can be cut off or before stage, the best schedule is one that minimizes the
adjusted as needed. Under normal circumstances, the purpose system operating cost; notably, in the day-before stage,
of optimizing load use and energy savings can be achieved intraday rolling optimization is applied for power fluctuation
by managing the response to the demand. For example, correction. This correction is based on real-time state
transferable loads such as heat loads can be used when feedback, which largely eliminates any uncertainty in the
electricity prices are low and the system is not experiencing a energy regulation process.
peak demand. The load in a given household is directly related To minimize the equivalent power supply cost,
to the user’s electricity preferences and comfort level; users Meng et al. [43] employed a real-time energy scheduling
can apply oversight to their power needs and consumption optimization method. Their model is based on a network flow

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model that, by utilizing ES state of charge (SOC) day-before balance constraint must be satisfied:
scheduling, can reduce the daily power supply cost by more
PtCP = PtPG + PtES + PtGP (4)
than 30%.
Using Lyapunov optimization theory, Fan [44] studied a where
single-user microgrid with the goal of reducing electricity PtCP : Electricity power demand of consumers;
costs. By constructing a controllable load queue, they PtPG : The generating power of a generator;
transformed the energy management problem into a more PtES : Exchange power of energy storage systems;
straightforward calculation. The controllable load of the PtGP : Exchange power of microgrids and power grids.
microgrid can be adjusted in real time based on data gathered The second row of the matrix represents the net electricity
via the internet, and a constant stream of data allows the cost that arises due to operation of the microgrid. The net
microgrid to efficiently operate. electricity cost is the sum of income and expenses. Income is
To explore new energy allocation strategies, Long [45] generated when users purchase electricity from the microgrid
devised a model that uses an optimization algorithm to and/or the power grid. By managing peaks, valleys, and
minimize electricity costs and to identify obstacles that users storage, it should be possible to maintain a balance between
might encounter when attempting to utilize power from a supply and demand without costly spikes or deficits on either
given energy source. side. The expenditures of a microgrid include fuel costs,
Zhang [46] established an island-type microscale mixed- operating costs, equipment/energy loss costs, maintenance
integer programming model for net energy management. costs, and the cost of purchasing electricity from a larger grid.
Using numerical methods, this model minimizes the total The net electricity cost of operating a microgrid is
operating costs and the power loss. In a case study, the authors expressed as
demonstrated that demand-side energy management reduces
ctECO = ctECO_PG + ctECO_ES + ctECO_EX (5)
operating costs, improves the utilization of renewable energy
resources, and increases the flexibility of these independent 1) The cost of operating a distributed generator is:
micro-networks.
ctECOPG = KCPG ∗(PtPG ∗ τ )
C. OPTIMAL SCHEDULING MODEL = (KPG_f + KPG_ll + KPG_opm )∗(PtPG ∗ τ ) (6)
The energy optimization scheduling of a microgrid is a multi- where
objective optimization problem with multiple constraints. KC_PG : The cost coefficient of generating 1 kWh of
The objective of optimization is to achieve the maximum electricity from a generator;
comprehensive benefit through the reasonable coordination KPG−f : The fuel cost coefficient of generating 1 kWh of
of source-grid/storage-load scheduling. The microgrid can electricity from a generator;
operate either in grid-connected mode or in independent KPG−ll : The equipment depreciation cost coefficient of
mode, both of which require proper scheduling of the generating 1 kWh of electricity from a generator;
distributed power supply, battery, and load. For example, KPG−opm : The operating and maintenance cost coefficient
the microgrid must operate more reliably when it does of generating 1 kWh of electricity from a generator.
in independent operation mode; as such, the scheduling 2) The cost of operating an energy storage system is
process is more complex. Because the microgrid operates expressed as
more stably and reliably in grid-connected mode, energy
optimization scheduling mainly focuses on achieving eco- ctECOES = KCES ∗(PtES ∗ τ )
nomic and environmental objectives. The matrix model for a = (KBat−opm + KBat−ll + KBat−el ∗(PtES ∗ τ ) (7)
grid-connected microgrid that aims to meet certain economic
where
and environmental goals is expressed as
 t     t  KC_ES : The cost coefficient of charging and discharging
PCP 1 1 1 PPG 1 kWh of electricity from the energy storage system;
 ct  =  KC_PG KC_ES KC_EX  ∗  Pt  ∗ τ KBat−opm : The operating and maintenance cost coefficient
ECO ES
etCD KCD_PG KCD− ES KCD− GP PtGP of charging and discharging 1 kWh of electricity from the
(3) energy storage system;
KBat−ll : The equipment depreciation cost coefficient of
where τ = 1tT , 1t is the scheduling time, and T is 1 hour. For charging and discharging 1 kWh of electricity from the
example, if the scheduling time is 10 minutes, τ = 1/6.
energy storage system;
In the microgrid economics and carbon emission cal-
KBat−el : The energy loss cost coefficient of charging and
culation model, the first row of the matrix indicates that
discharging 1 kWh of electricity from the energy storage
the power demand of the load in the microgrid must be
system.
met by the current level of energy generation, the available
3) Income and the cost of purchasing energy from an
stored energy, and the energy provided by a large external
external power grid are expressed as
power grid (i.e., consumers can use electricity without service
disruptions). To maintain a specific power quality, the power ctECO_EX = KC_EX ∗ (PtGP ∗ τ ) (8)

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TABLE 1. Comparison of carbon emissions estimated with various TABLE 2. Comparison of economic costs estimated with various methods.
methods.

( The optimal allocation of power resources, which involves

fs PtGP < 0 balancing wind power, solar power, energy storage, and
KC_EX = (9)
Cb PtGP ≥ 0 loads, requires flexible transaction/trading mechanisms [50].
In the traditional electricity transaction model of a large
where fs is the price at which energy is sold to the power grid power grid, grid companies buy electricity from the power
and cb is the price at which electricity is purchased by the generator and sell electricity to consumers. Recent techno-
microgrid from the power grid. logical advances have created new market opportunities for
The cumulative net electricity cost of operating a microgrid electricity producers and consumers in several developed
over a period of time tn is nations. Consumers that use large amounts of electricity
can purchase power directly from and negotiate prices with
Xtn t power plants. In general, however, the traditional electricity
t
CECO = ctECO
1
+ ctECO
2 3
+ cECO . . . . . . + ctECO
n
. (10) transaction model prevails in areas where large power grids
0
operate.
The third row of the matrix represents the carbon emissions Hamouda et al. [50] presented case validations of a broad
generated by the operation of the microgrid. The total carbon transactive energy market framework based on blockchain
emitted is expressed as [47], [48] technology. The economics of the energy blockchain were
studied with a ledger for energy transactions. The DER
etCD = etCD_PG + etCD_ES + etCD_GP . (11) favors prosumers and end users; it also presents challenges
to system operators and utilities companies. Hammerstrom
For example, in a wind-solar complementary microgrid, and others [52]–[54] have investigated energy transactions in
the amount of carbon generated during energy production is markets that allow prosumers, end customers, and DERs to
expressed as participate [53]. One of the key contributors is information
and communication technology. In blockchain operations, the
economic cost is managed equitably so that the billing rates
etCDPG = KCD_PV ∗ PtPV ∗ τ + KCDWT ∗(PtWT ∗ τ ) (11a)


for customers, utilities, and DERs (prosumers) match the
etCD_ES = KCD− ES ∗ PtES ∗ τ


(11b) broadcast smart-meter data. To achieve a linked blockchain
eCD_GP = KCD− GP ∗ PGP ∗ τ
t t network, smart meters have been installed in entered


(11c)
every household in some countries, such as the Great
The cumulative carbon emissions generated by the oper- Britain [55].
ation of a microgrid during a period of time tn is expressed Ping et al. [56] proposed an operation method in which
as a decentralized transactive distribution system may operate
to trade electric energy. By utilizing blockchain technology
Xtn t in a smart microgrid, prosumers can return their unused
ECD = etCD
1
+ etCD
2 3
+ eCD . . . . . . + etCD
n
(12)
0 electricity directly to the grid. For example, a prosumer’s
actual power generation/load may deviate from the day-ahead
We conducted model simulations to determine the cir- schedule; accordingly, the prosumer can send a real-time
cumstances that would result in the lowest carbon emissions transaction request to other consumers/prosumers to avoid
and the greatest financial benefits. The results of these an outlier situation and achieve a ledger purchase/sale. This
simulations are summarized in Tables 1 and 2. operation method in transactive distribution systems has been
proposed and tested, and it is based on Ethereum blockchain
IV. ENERGY BLOCKCHAIN and ensures transparency and information communication,
Electricity from the microgrid can be transferred to users wherein the total balance of the ledger is accounted for within
through a series of physical transactions; these transactions the transactive distribution system.
occur at both on-peak and off-peak times [49]. There While the centralized management of large energy grids
are many independent power producers and microgrids is effective, these energy grids are expensive to operate
currently competing for customers in energy distribution because maintenance and security are extremely important
networks. for both physical and digital assets. If any sensitive data are

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lost or equipment is damaged, serious financial and social the power grid before conducting transactions. A complete
consequences will occur. Furthermore, over-centralization trading cycle consists of the trading stage and the delivery
leads to information asymmetry, and it can be difficult to stage, where the delivery stage of a given trading cycle is
protect the privacy of consumers. also the trading stage of the following trading cycle. These
It is possible for distributed energy networks to adopt two stages are further subdivided into the free quotation
supply-side point-to-point transaction models. The challenge stage, the prepayment stage, the power delivery stage, and the
facing energy producers is to create distribution networks automatic cost settlement stage. Ideally, in a transaction credit
that are safe, efficient, transparent and allow for symmetrical score/system, the number of defaults that occur in distributed
information sharing between energy buyers and sellers. energy transactions should be minimized.
However, there are three major issues facing those wishing By observing multiple energy transactions,
to immediately implement this kind of point-to-point system. Ouyang et al. [65] created a blockchain energy system
First, there are many power producers and consumers com- that relies on the principles of voluntary participation and
peting for a single transaction. Second, there is uncertainty independent negotiation to regulate the transactions that
and volatility inherent in every producer’s ability to generate occur between power users and power generation enterprises.
energy at a given point in time. Finally, producers may wish Our proposed energy transaction blockchain is shown in
to increase their financial gain at the expense of an efficient Figure 6.
pricing strategy.
Blockchain technology [57]–[62] has led to new transac-
tion frameworks that are decentralized and allow users to
track data in decentralized markets. By using blockchain
methods in both distributed and decentralized energy net-
works, it is possible to ensure that each transaction is secure,
reliable, and transparent. These transactions are controlled
by distributed and in-house cost-effective centers rather than
outside third-party centers.
In a decentralized energy system, energy supply con-
tracts can be directly communicated between producers
and consumers. Adding an energy blockchain results in
a considerable number of transactions between producers
and consumers, which makes each transaction less expen-
sive overall. Blockchains facilitate direct interactions and
transactions between local energy producers and consumers
by eliminating the necessity for a third-party monitoring
platform. FIGURE 6. Our proposed energy trading blockchain.
Because blockchain transactions are encrypted and not
stored in a central location, it is difficult to tamper with
blockchain data. By utilizing blockchain technology in a V. CONCLUSION
smart microgrid, users can return unused electricity directly Microgrids are becoming more common, and they must be
to the grid. In a microgrid, the balance between supply and managed correctly for society to maximally benefit from their
demand can also be maintained by storing excess power operation. One way to increase the operational efficiency
when the demand unexpectedly rises. This energy storage of a microgrid is to schedule microgrid activities using an
approach ensures that the amount of power stays within energy blockchain. Our proposed energy management system
the predetermined power limits. After considering network improves microgrid operation in four ways:
constraints, Tai et al. [63] proposed setting up a central station 1) By accurately predicting the energy output, scheduling
that has the power to block, modify, or accept transactions makes the best use of the available energy resources.
based on how much power is available at a given point in time; 2) Energy management optimization algorithms can con-
this transaction history is then recorded in the blockchain. sider both expected and unexpected demands for power
Using blockchain and smart contracts, Shen et al. [64] to be provided in a stable, safe, and cost-efficient
implemented a system of self-management for power market fashion.
participants, and this approach both ensured the security 3) At the microgrid energy transaction level, a peer-to-
of the power grid and solved ledger trust issues among peer transaction mode based on a blockchain approach
power market participants. Because electric energy is a can promote transactions with low marginal costs and
physical asset rather than a piece of virtual data, each power is characterized by immutability and high transparency.
transaction must be guaranteed by the power grid. 4) Utilizing an energy blockchain ensures that peer-
All of the power producers and consumers must report to-peer transactions are transparent, secure, and
their account numbers and corresponding entity identities to inexpensive.

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J. Su et al.: Practical Model for Optimal Carbon Control With DERs

ABBREVIATION [13] A. G. Olabi, ‘‘Renewable energy and energy storage systems,’’ Energy,
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P. McCallum, and A. Peacock, ‘‘Blockchain technology in the energy
ACKNOWLEDGMENT sector: A systematic review of challenges and opportunities,’’ Renew.
The authors are grateful to Prof. Q. S. Meng and Sustain Energy Rev., vol. 100, pp. 143–174, Feb. 2019.
[20] Z. H. Li, J. P. Su, and A. J. Jin, ‘‘Perspectives on published energy
Prof. J. L. Yuan for the discussions and special support. sources and smart energy supplies,’’ Adv. Mater. Lett., vol. 12, no. 3, 2021,
Art. no. 21031607.
AUTHORS’ CONTRIBUTIONS [21] R. L. Arantegui and A. Jäger-Waldau, ‘‘Photovoltaics and wind status in
Conceived the plan: A. J. Jin and Zhihao Li. Investigation: the European Union after the Paris Agreement,’’ Renew. Sustain. Energy
Jiapeng Su, Zhihao Li, and A. J. Jin. Data analysis: Jiapeng Rev., vol. 81, pp. 2460–2471, Jan. 2017, doi: 10.1016/j.rser.2017.06.052.
[22] A. Shivakumar, A. Dobbins, U. Fahl, and A. Singh, ‘‘Drivers of
Su, Zhihao Li, and A. J. Jin. Wrote the paper: Jiapeng Su, renewable energy deployment in the EU: An analysis of past trends and
Zhihao Li, and A. J. Jin. The authors have no competing projections,’’ Energy Strategy Rev., vol. 26, Nov. 2019, Art. no. 100402,
financial interests. doi: 10.1016/j.esr.2019.100402.
[23] A. Buttler, F. Dinkel, S. Franz, and H. Spliethoff, ‘‘Variability of wind and
solar power—An assessment of the current situation in the European Union
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