Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 1 of 25
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`
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`
`
`
`Exhibit 1
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`
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`
`
`

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`Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 2 of 25
`
`USOO9678522B2
`
`(12) United States Patent
`Forbes, Jr.
`
`(10) Patent No.:
`(45) Date of Patent:
`
`US 9,678,522 B2
`*Jun. 13, 2017
`
`(54)
`
`(71)
`
`(72)
`
`(73)
`
`(*)
`
`(21)
`(22)
`(65)
`
`(60)
`
`(51)
`
`(52)
`
`METHOD AND APPARATUS FOR ACTIVELY
`MANAGING CONSUMIPTION OF ELECTRIC
`POWER OVER AN ELECTRIC POWER GRD
`
`Applicant: Causam Energy, Inc., Raleigh, NC
`(US)
`Inventor: Joseph W. Forbes, Jr., Raleigh, NC
`(US)
`Assignee: Causam Energy, Inc., Raleigh, NC
`(US)
`Subject to any disclaimer, the term of this
`patent is extended or adjusted under 35
`U.S.C. 154(b) by 368 days.
`This patent is Subject to a terminal dis
`claimer.
`
`Notice:
`
`Appl. No.: 14/456,306
`Filed:
`Aug. 11, 2014
`
`Prior Publication Data
`US 2014/035O745 A1
`Nov. 27, 2014
`
`Related U.S. Application Data
`Continuation of application No. 13/463,761, filed on
`May 3, 2012, now Pat. No. 8,805.552, which is a
`(Continued)
`
`Int. C.
`G05F I/66
`H04L 29/08
`
`(2006.01)
`(2006.01)
`(Continued)
`
`U.S. C.
`CPC ............... G05F I/66 (2013.01); G0ID 4/004
`(2013.01); G06O 10/06 (2013.01); G06Q
`50/06 (2013.01);
`
`(Continued)
`
`(58) Field of Classification Search
`CPC. G05F 1/66; H04L 67/02; H02J 3/14: G06Q
`50/06; G06Q 10/06; G01D 4/004;
`(Continued)
`
`(56)
`
`References Cited
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`
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`6,018,690 A *
`1/2000 Saito ......................... HO2J 3.14
`TOO,293
`
`(Continued)
`
`Primary Examiner — Ramesh Patel
`(74) Attorney, Agent, or Firm – NEO IP
`
`(57)
`ABSTRACT
`A client device manages consumption of power Supplied by
`an electric utility to multiple power consuming devices.
`Power flow to the power consuming devices is selectively
`enabled and disabled by one or more controllable devices
`controlled by the client device. The client device receives a
`power control message from a load management server. In
`one embodiment, the power control message indicates at
`least one of an amount of electric power to be reduced and
`an identification of at least one controllable device to be
`instructed to disable a flow of electric power to one or more
`associated power consuming devices. Responsive to the
`power control message, the client device issues a power
`management command or instruction to one or more con
`trollable devices under the client device's control. The
`power management command causes the controllable device
`(s) to disable a flow of electric power to at least one
`associated power consuming device.
`
`29 Claims, 8 Drawing Sheets
`
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`

`Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 3 of 25
`
`US 9,678,522 B2
`Page 2
`
`Related U.S. Application Data
`continuation-in-part of application No. 13/172,389,
`filed on Jun. 29, 2011, now Pat. No. 8,315,717, which
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`on Mar. 1, 2010, now Pat. No. 8,032,233, which is a
`division of application No. 1 1/895,909, filed on Aug.
`28, 2007, now Pat. No. 7,715,951.
`
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`
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`5/2005
`
`5/2005
`5/2005
`6, 2005
`6, 2005
`
`9, 2005
`10, 2005
`12, 2005
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`T/2006
`8, 2006
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`10, 2006
`11/2006
`12, 2006
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`2, 2007
`5/2007
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`7/2007
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`
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`Forbes, Jr. ............. GOSB 19.02
`TOO,286
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`TO2/60
`
`Koningstein
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`T26/4
`
`Scott et al.
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`Lal
`Meisel et al.
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`2002fO161648
`2002fO1986.29
`2003/O1499.37
`2003/O1671.78
`2003/0176952
`2004.0024483
`2004/OO44571
`2004/OO95237
`2004/O107025
`2004/O138834
`2004/0225.514
`2005/0O2.1397
`2005, OO65742
`2005, 0080772
`2005, 0096857
`
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1*
`
`2005, 0096979
`2005/0097.204
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`2005/O138432
`
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`2008. O1862O2
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`2008/0263O25
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`2008/0281473
`
`A1
`A1
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`A1
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`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1*
`
`2008/0306824
`2008/0306830
`2008/0313632
`2008/03.198.93
`2009/0012996
`2009, OO24718
`2009 OO45804
`2009/0055031
`
`A1
`A1
`A1
`A1
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`
`12, 2008
`12, 2008
`12, 2008
`12, 2008
`1/2009
`1/2009
`2, 2009
`2, 2009
`
`2009/0055032
`
`A1
`
`2, 2009
`
`(2006.01)
`(2012.01)
`(2012.01)
`(2006.01)
`
`(51) Int. Cl.
`GOID 4/00
`G06O 10/06
`G06O 50/06
`H02.3/4
`(52) U.S. Cl.
`CPC ................ H02J 3/14 (2013.01); H04L 67/02
`(2013.01); Y02B 70/3225 (2013.01); Y02B
`90/242 (2013.01); Y02B 90/245 (2013.01);
`Y04S 10/54 (2013.01); YO4S 20/222 (2013.01);
`Y04S 20/322 (2013.01); Y04S 20/40 (2013.01)
`(58) Field of Classification Search
`CPC ...... Y04S 10/54: YO4S 20/322: YO4S 20/222;
`YO4S 20/40: YO2B 70/3225: YO2B
`90/242: YO2B 90/245
`See application file for complete search history.
`
`(56)
`
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`
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`4/2013 Bennett et al.
`
`

`

`Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 4 of 25
`
`US 9,678,522 B2
`Page 3
`
`(56)
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`* cited by examiner
`
`

`

`Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 5 of 25
`
`U.S. Patent
`
`Jun. 13, 2017
`
`Sheet 1 of 8
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`US 9,678,522 B2
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`Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 6 of 25
`Case 6
`21-cv-OO750-ADA Document 1—3 Filed 07/22/21 Page6of 25
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`U.S. Patent
`
`Jun. 13, 2017
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`Sheet2 0f8
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`US 9,678,522 B2
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`Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 7 of 25
`
`U.S. Patent
`
`Jun. 13, 2017
`
`Sheet 3 of 8
`
`US 9,678,522 B2
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`Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 8 of 25
`Case 6:21-cv-00750-ADA Document 1—3 Filed 07/22/21 Page 8 of 25
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`Jun. 13, 2017
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`Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 9 of 25
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`Jun. 13, 2017
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`Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 10 of 25
`Case 6:21-cv-00750-ADA Document 1—3 Filed 07/22/21 Page 10 of 25
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`U.S. Patent
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`Jun. 13, 2017
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`Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 11 of 25
`Case 6:21-cv-00750-ADA Document 1—3 Filed 07/22/21 Page 11 of 25
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`Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 12 of 25
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`U.S. Patent
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`Jun. 13, 2017
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`Case 6:21-cv-00750-ADA Document 1-3 Filed 07/22/21 Page 13 of 25
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`US 9,678,522 B2
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`1.
`METHOD AND APPARATUS FOR ACTIVELY
`MANAGING CONSUMPTION OF ELECTRIC
`POWER OVER AN ELECTRIC POWER GRD
`
`CROSS-REFERENCE TO RELATED
`APPLICATIONS
`
`This application relates to and claims priority from the
`following U.S. patent applications. This application is a
`continuation of U.S. application Ser. No. 13/463,761, filed
`May 3, 2012 and issued as U.S. Pat. No. 8,805.552, which
`is a continuation-in-part of U.S. application Ser. No. 13/172,
`389, filed Jun. 29, 2011 and issued as U.S. Pat. No. 8,315,
`717, which is a continuation of U.S. application Ser. No.
`12/715,195, filed Mar. 1, 2010 and issued as U.S. Pat. No.
`8,032,233, which is a divisional of U.S. application Ser. No.
`11/895,909, filed Aug. 28, 2007 and issued as Pat. No.
`7.715,951, each of which is herein incorporated by reference
`in its entirety.
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`BACKGROUND OF THE INVENTION
`
`2
`serving electrical Supplier's control center via landline
`trunks, or in Some cases, microwave transmission to the
`paging transmitter. The customer Subscribing to the load
`management program receives a discount for allowing the
`serving electrical Supplier (utility) to connect to their elec
`trical appliances and deactivate those appliances during high
`energy usage periods.
`While one-way devices are generally industry standard
`and relatively inexpensive to implement, the lack of a return
`path from the receiver, combined with the lack of informa
`tion on the actual devices connected to the receiver, make
`the system highly inefficient for measuring the actual load
`shed to the serving utility. While the differential current draw
`is measurable on the serving electric utility's transmission
`lines, the actual load shed is approximate and the location of
`the load deferral is approximated at the control center of the
`serving utility.
`One exemplary tele-metering system is disclosed in U.S.
`Pat. No. 6,891,838 B1. This patent describes details sur
`rounding a mesh communication of residential devices and
`the reporting and control of those devices, via WANs, to a
`computer. The Stated design goal in this patent is to facilitate
`the “monitoring and control of residential automation sys
`tems.” This patent does not explain how a serving utility or
`customer could actively control the devices to facilitate the
`reduction of electricity. In contrast, this patent discloses
`techniques that could be utilized for reporting information
`that is being displayed by the serving utility’s power meter
`(as do many other prior applications in the field of tele
`metering).
`An additional exemplary tele-metering system is dis
`closed in U.S. Patent Application Publication No. 2005/
`0240315 A1. The primary purpose of this published appli
`cation is not to control utility loads, but rather “to provide an
`improved interactive system for remotely monitoring and
`establishing the status of a customer utility load.” A stated
`goal of this publication is to reduce the amount of time
`utility field personnel have to spend in the field servicing
`meters by utilizing wireless technology.
`Another prior art system is disclosed in U.S. Pat. No.
`6,633,823 B2, which describes, in detail, the use of propri
`etary hardware to remotely turn offorturn on devices within
`a building or residence. While initially this prior art gener
`ally describes a system that would assist utilities in manag
`ing power load control, the prior art does not contain the
`unique attributes necessary to construct or implement a
`complete system. In particular, this patent is deficient in the
`areas of security, load accuracy of a controlled device, and
`methods disclosing how a customer utilizing applicable
`hardware might set parameters, such as temperature set
`points, customer preference information, and customer over
`rides, within an intelligent algorithm that reduces the prob
`ability of customer dissatisfaction and service cancellation
`or churn.
`Attempts have been made to bridge the gap between
`one-way, un-verified power load control management sys
`tems and positive control verified power load control man
`agement systems. However, until recently, technologies Such
`as Smart breakers and command relay devices were not
`considered for use in residential and commercial environ
`ments primarily due to high cost entry points, lack of
`customer demand, and the cost of power generation relative
`to the cost of implementing load control.
`One such gap-bridging attempt is described in U.S. Patent
`Application Publication No. US 2005/0065742 A1. This
`publication discloses a system and method for remote power
`management using IEEE 802 based wireless communication
`
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`
`1. Field of the Invention
`The present invention relates generally to the field of
`electrical power load control systems and more particularly
`25
`to a method and system for actively controlling power load
`management for individual customers and optionally track
`ing power savings for both the individual customer as well
`as the overall electric utility.
`2. Description of Related Art
`The increased awareness of the impact of carbon emis
`sions from the use of fossil fueled electric generation
`combined with the increased cost of producing peak power
`during high load conditions has increased the need for
`alternative solutions utilizing load control as a mechanism to
`defer, or in Some cases eliminate, the need for the deploy
`ment of additional generation capacity by electric utilities.
`Existing electric utilities are pressed for methods to defer or
`eliminate the need for construction of fossil-based electricity
`generation. Today, a patchwork of systems exist to imple
`ment demand response load management programs,
`whereby various radio Subsystems in various frequency
`bands utilize "one-way’ transmit only methods of commu
`nication. Under these programs, RF controlled relay
`Switches are typically attached to a customer's air condi
`tioner, water heater, or pool pump. A blanket command is
`sent out to a specific geographic area whereby all receiving
`units within the range of the transmitting station (e.g.,
`typically a paging network) are turned off during peak hours
`at the election of the power utility. After a period of time
`50
`when the peak load has passed, a second blanket command
`is sent to turn on those devices that have been turned off
`While tele-metering has been used for the express purpose
`of reporting energy usage, no techniques exist for calculat
`ing power consumption, carbon gas emissions, Sulfur diox
`55
`ide (SO. Sub.2) gas emissions, and/or nitrogen dioxide (NO
`Sub.2) emissions, and reporting the state of a particular
`device under the control of a two-way positive control load
`management device. In particular, one way wireless com
`munications devices have been utilized to de-activate elec
`60
`trical appliances, such as heating, ventilation, and air-con
`ditioning (HVAC) units, water heaters, pool pumps, and
`lighting, from an existing electrical Supplier or distribution
`partner's network. These devices have typically been used in
`combination with wireless paging receivers that receive
`“on” or “off” commands from a paging transmitter. Addi
`tionally, the one-way devices are typically connected to a
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`4
`power savings on an individual customer basis in an active
`power load management system in accordance with another
`exemplary embodiment of the present invention.
`FIG. 8 is an operational flow diagram illustrating a
`method for tracking cumulative power savings of an electric
`utility in an active power load management system during a
`power savings event in accordance with yet another exem
`plary embodiment of the present invention.
`
`DETAILED DESCRIPTION OF EXEMPLARY
`EMBODIMENTS
`
`Before describing in detail exemplary embodiments that
`are in accordance with the present invention, it should be
`observed that the embodiments reside primarily in combi
`nations of apparatus components and processing steps
`related to actively managing power loading on an individual
`Subscriber basis and optionally tracking power savings
`incurred by both individual subscribers and an electric
`utility. Accordingly, the apparatus and method components
`have been represented where appropriate by conventional
`symbols in the drawings, showing only those specific details
`that are pertinent to understanding the embodiments of the
`present invention so as not to obscure the disclosure with
`details that will be readily apparent to those of ordinary skill
`in the art having the benefit of the description herein.
`In this document, relational terms, such as “first and
`“second,” “top” and “bottom, and the like, may be used
`solely to distinguish one entity or element from another
`entity or element without necessarily requiring or implying
`any physical or logical relationship or order between such
`entities or elements. The terms “comprises.” “comprising.”
`or any other variation thereof are intended to cover a
`non-exclusive inclusion, such that a process, method, article,
`or apparatus that comprises a list of elements does not
`include only those elements, but may include other elements
`not expressly listed or inherent to such process, method,
`article, or apparatus. The term “plurality of as used in
`connection with any object or action means two or more of
`Such object or action. A claim element proceeded by the
`article “a” or “an' does not, without more constraints,
`preclude the existence of additional identical elements in the
`process, method, article, or apparatus that includes the
`element. Additionally, the term “ZigBee' refers to any
`wireless communication protocol adopted by the Institute of
`Electronics & Electrical Engineers (IEEE) according to
`standard 802.15.4 or any successor standard(s), the term
`“Wi-Fi' refers to any communication protocol adopted by
`the IEEE under standard 802.11 or any successor standard
`(s), the term “WiMax” refers to any communication protocol
`adopted by the IEEE under standard 802.16 or any successor
`standard(s), and the term “Bluetooth” refers to any short
`range communication protocol implementing IEEE standard
`802.15.1 or any successor standard(s). Additionally or alter
`natively to WiMax, other communications protocols may be
`used, including but not limited to a “1G’ wireless protocol
`Such as analog wireless transmission, first generation stan
`dards based (IEEE, ITU or other recognized world commu
`nications standard), a “2-G” standards based protocoal Such
`as “EDGE or CDMA 2000 also known as 1XRTT, a 3G
`based standard such as “High Speed Packet Access (HSPA)
`or Evolution for Data Only (EVDO), any accepted 4G
`standard such as “IEEE, ITU standards that include
`WiMax, Long Term Evolution “LTE and its derivative
`standards, any Ethernet Solution wireless or wired, or any
`proprietary wireless or power line carrier standards that
`
`3
`links. The system disclosed in this publication includes an
`on-premise processor (OPP), a host processor, and an end
`device. The host processor issues power management com
`mands to the OPP, which in turn relays the commands to the
`end devices under its management. While the disclosed OPP
`does provide some intelligence in the power management
`system, it does not determine which end devices under its
`control to turn-off during a power reduction event, instead
`relying on the host device to make Such decision. For
`example, during a power reduction event, the end device
`must request permission from the OPP to turn on. The
`request is forwarded to the host device for a decision on the
`request in view of the parameters of the on-going power
`reduction event. The system also contemplates periodic
`reading of utility meters by the OPP and storage of the read
`data in the OPP for later communication to the host device.
`The OPP may also include intelligence to indicate to the host
`processor that the OPP will not be able to comply with a
`power reduction command due to the inability of a load
`under the OPP's control to be deactivated. However, neither
`the host processor nor the OPP determine which loads to
`remove in order to satisfy a power reduction command from
`an electric utility, particularly when the command is issued
`by one of several utilities under the management of a power
`management system. Further, neither the host processor nor
`the OPP tracks or accumulates power saved and/or carbon
`credits earned on a per customer or per utility basis for future
`use by the utility and/or customer. Still further, the system of
`this publication lacks a reward incentive program to cus
`tomers based on their participation in the power manage
`ment system. Still further, the system described in this
`publication does not provide for secure communications
`between the host processor and the OPP and/or between the
`OPP and the end device. As a result, the described system
`lacks many features that may be necessary for a commer
`cially viable implementation.
`Therefore, a need exists for a system and method for
`active power load management for individual customers that
`is optionally capable of tracking power savings for the
`individual customer as well as the electric utility to thereby
`overcome the shortcomings of the prior art.
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`BRIEF DESCRIPTION OF THE DRAWINGS
`
`FIG. 1 is a block diagram of an IP-based active power
`load management system in accordance with an exemplary
`embodiment of the present invention.
`FIG. 2 is a block diagram illustrating an exemplary active
`load director (ALD) server as shown in the system of FIG.
`1.
`FIG. 3 is a block diagram illustrating an exemplary active
`load client and Smartbreaker module as shown in the system
`of FIG. 1.
`FIG. 4 is an operational flow diagram illustrating a
`method for automatically scheduling service calls in an
`active power load management system in accordance with
`one exemplary embodiment of the present invention.
`FIG. 5 is an operational flow diagram illustrating a
`method for activating new Subscribers in an active power
`load management system in accordance with another exem
`plary embodiment of the present invention.
`FIG. 6 is an operational flow diagram illustrating a
`method for managing events occurring in an active power
`load management system in accordance with yet another
`exemplary embodiment of the present invention.
`FIG. 7 is an operational flow diagram illustrating a
`method for actively reducing consumed power and tracking
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`devices can report many states, including “no power.” For
`example, the active load client 300 may be implemented
`with a battery backup mechanism to provide backup or
`auxiliary power to the active load client 300 when AC power
`is lost. In this case, when battery backup is invoked, the
`active load client 300 can report a “no power condition.
`Alternatively, a “no power condition may be assumed if an
`active load client 300 fails to timely respond to a message
`(e.g., a poll or other message) from the ALD server 100,
`particularly where multiple active load clients 300 in a
`geographic area fail to timely respond to the ALD server
`messaging. Because the geographic location of each cus
`tomer premises and active load client 300 may be known at
`the time of installation or thereafter (e.g., using GPS coor
`dinates). Such network outages may be located on a per
`meter basis.
`One of the most beneficial advantages of an IP-based
`power management system, as provided in one embodiment
`of the present invention, is accurate reporting of the actual
`amount of power