Deliverable D1.2 High Level Market and Impact Assessment ... · 15-06-2011 0.23 Anand Raju, Simon Delaere (IBBT) Document Revision and Update 16-06-2011 0.24 George Koudouridis (HWSE)

COoperative aNd Self growing Energy awaRe Networks – CONSERN 31/5/11

CONSERN Deliverable D1.2 1/171

FP7 Information & Communication Technologies (ICT)

CONSERN

Deliverable D1.2

High Level Market and Impact Assessment, Standardisation, Dissemination and Exploitation

Document Number: INFSO-ICT-257542/CONSERN /WP1/D1.2/110630

Contractual Date of Delivery: 31/05/2011

Authors: Anand Raju (IBBT), Sven Lindmark (IBBT), Simon Delaere (IBBT) (Editors), (see contributors)

Workpackage: WP1

Distribution / Type: PU

Version: 1.0

Total Number of Pages: 171

File: CONSERN_D1.2_v1.0.docx

Abstract Building on the technical parameters and use cases identified in D1.1, this document identifies and overviews distinct business roles, actors and relationships relevant to CONSERN. It also gives a contextual overview of current market, industry, policy, and technology trends (relevant to CONSERN) and translates these into inputs for “high-level impact assessment” of CONSERN. This deliverable describes the current status of the standardization, dissemination, and exploitation activities undertaken in CONSERN. Along with providing the status update, the deliverable summarizes the inputs and directions to a range of standardization bodies, and also outlines the future directions of these efforts.



Executive Summary

The CONSERN project aims to develop a novel paradigm for dedicated, purpose-driven small-scale wireless networks with special focus on energy-aware self-growing systems. Its goal is to design functionality increasing the dependability, cost and energy efficiency, as well as robustness of (heterogeneous) wireless networks by utilizing reconfigurable nodes and distributed cooperative control functions. Within CONSERN, Work Package 1 (“Scenarios, impact assessment and valorization”) has the following objectives:

Definition of scenarios and use cases for advanced techniques in energy efficiency and self-growing network-based scalability management,

Classification of requirements for the deployment of energy efficiency system capabilities and specification of high level evaluation criteria for the system requirements, in the form of suitable metrics for measuring power efficiency such as for active–standby–off modes of various equipment (infrastructure, terminal) and for the Life Cycle Assessment of equipment,

Study the energy efficiency for ICT in self-growing networks and identify the key future challenges for reducing energy wastage and energy consumption in these networks,

Investigate the impact of self-growing networking aspects on networking and system-level energy efficiency, on vendor cost and revenue structure and on operator CAPEX and OPEX,

Study of potential business opportunities and challenges related to inter-domain energy efficiency coordination,

Impact assessment of energy efficiency in self-growing systems on wider socio-economic, environmental and policy objectives,

Standardisation monitoring and contribution, in particular to ETSI, and potentially 3GPP, IEEE P1900.6, or ZigBee,

Industrial and academic exploitation of project outcomes,

Coordination of a varied set of dissemination activities (conferences, workshops, clusters meetings) and study of results exploitation.

This second deliverable of WP1 contributes to all of these objectives. Firstly, Chapter 2 contextualises the development of CONSERN surrounded by current sustainability and energy debates; it identifies relevant policies, including research initiatives, standardisation and industry strategies. Chapter 3 describes methods, frameworks for assessing impact of ICTs. It also identifies recent state-of-the-art impact assessments of ICTs, with a special focus of energy related aspects of telecommunications and mobile networks. Since CONSERN is a typical example of convergent technology, where business actors from various domains (Device Manufacturing, Telecommunications, Building Construction) converge and co-create synergies in order to develop and operate a sustainable business ecosystem. Further building in this direction, Chapter 4 and Chapter 5 explore various ways in which these business actors can possibly interact with each other to create value for entire business ecosystem. Hence it also becomes interesting to analyse how these actors from disparate fields can be mapped on the business value network, and how different business model configurations for CONSERN might unfold. Once, the business models and value networks are elaborated and explained, Chapter 6 focuses on influences that act upon these business actors, and have an impact on the inter-actor relationships, convergences and divergences on various strategic issues important in creating a viable and positive business case for CONSERN.



Chapter 7 summarizes the Impact Assessment and business modelling activities and frames the next steps to be taken, outlining the impacts of CONSERN and relating them to objectives of policy and business stakeholders. Subsequently, Chaptes 8, 9 and 10 give an overview of the Standardization, Disseminiation and Exploitation activities respectively, which have been undertaken by the consortium partners in accordance with the objectives set out by the project.



Document Revision History

Date Version Author Summary of changes

03-03-2011 0.01 Sven Lindmark (IBBT) Anand Raju (IBBT)

Initial LoC proposal

14-03-2011 0.02 Sven Lindmark (IBBT) Anand Raju (IBBT) Simon Delaere

Refined LoC proposal

28-04-2011 0.03 OTE Contributions in Operator Centric and Independent Business Models

05-05-2011 0.04 Sven Lindmark (IBBT)

Introduce and adapt material from M.1.1 into the deliverable. Template, references, Executive summary relevant parts, and Chapter 1 introduction.


Chapter 2


Chapter 3


Chapter 8 initial text


Chapter 8 further input


Chapter 8 further input, Chapter 2 revisions


Chapter 8 further input, Chapter 3 revisions

25-05-2011 0.11 Anand Raju (IBBT) Sven Lindmark (IBBT)

Chapter 8 further input, metrics etc. New charts added to Chapter 1,2,3,8.


Chapter 8 editing, some contributions to executive summary.

27-05-2011 0.13 Anand Raju (IBBT) Chapter 4 added, Elaborated chapter 8, References.

27-05-2011 0.14 Anand Raju (IBBT) New Chapter 5 added and removed previously existing chapter on Op Cen and Op In value network design, Milestone 1.2 Integrated

28-05-2011 0.15 Anand Raju (IBBT) Review Chapter 4 and 5, Added Chapter 6 on Mactor Implementation for HO Scenario

30-05-2011 0.16 Anand Raju (IBBT) Chapter 6 on Operator Centric Vs. Operator Independent BM, abbreviations from M1.2.

31-05-2011 0.17 Anand Raju (IBBT), Simon Delaere (IBBT)

Reviews and editions (input from partners on standardization)

01-06-2011 0.18 Markus Mueck (IMC) Standardization section is added

05-06-2011 0.19 Anand Raju (IBBT) Updates on Chapters 5 and 6, Issues and comments from Makis addressed.

06-06-2011 0.20 Makis (NKUA) Dissemination Plans

08-06-2011 0.21 Anand Raju (IBBT) Inputs from HWSE and Imec on Standardization added

08-06-2011 0.22 Markus (IMC) Contributions – ETSI RRS, and text



15-06-2011 0.23 Anand Raju, Simon Delaere (IBBT)

Document Revision and Update

16-06-2011 0.24 George Koudouridis (HWSE) Inputs from HWSE on dissemination plan

16-06-2011 0.25 Anand Raju, Simon Delaere (IBBT)

Completion of executive summary, various editing in standardization section, other revisions



Contributors

First Name Last Name Company Email

Mark Emmelmann Fraunhofer [email protected]

Mario Schuster Fraunhofer [email protected]

Bernd Bochow Fraunhofer [email protected]

Gunnar Hedby HWSE [email protected]

Anand Raju IBBT [email protected]

Sven Lindmark IBBT [email protected]

Simon Dalaere IBBT [email protected]

Pieter DeMil IBBT [email protected]

Opher Yaron IBBT [email protected]

Markus Mueck IMC [email protected]

Christian Drewes IMC [email protected]

Jeroen Declerck Imec [email protected]

Makis Stamatelatos NKUA [email protected]

Ioannis Chocliouros OTE [email protected]

Maria Belesioti OTE [email protected]

Evangelos Sfakianakis OTE [email protected]

mailto:[email protected]


















Acronyms

Acronym Meaning

3G Third-Generation Cell-Phone Technology

3GPP Third Generation Partnership Program

3rd

Party ASP Third Party Application Service Provider

APEC Asia-Pacific Economic Cooperation

APEC-ESIS APEC’s Energy Standards Information System

API Access Point Interface

ATIS Alliance for Telecommunications Industry Solutions

BITKOM German Association for Information Technology, Telecommunications and New Media

BS Base Station

C2POWER Cognitive Radio and Cooperative Strategies for Power Saving in Multi-Standard Wireless Devices

C3PO Colourless and Coolerless Components for low Power Optical Networks

CCS Carbon Capture and Storage

CEA Consumer Electronics Association

CENELEC European Committee for Electrotechnical Standardization

CFCs Chloro Fluro Carbon

CH3Br Methy Bromide

CIO Chief Information Officer

CIP Competitiveness and Innovation Framework Programme

CSI Channel State Information

CLASP Collaborative Labelling and Appliance Standards Programme

CN Core Network

CO2 Carbon dioxide

COMP Coordinated Multipoint Transmission

CONSERN Cooperative and Self-growing Energy-aware Networks

CSI Channel State Information

CT Core Network & Terminals (group)

CTO Chief Technology Officer

DAS Distributed Antenna System

DM Device Manufacturers

DOE Department of Energy (US)

DVD Digital Versatile Disc

EARTH Earth Energy Aware Radio and neTwork tecHnologies

EC European Commission

ECONET Low Energy COnsumption NETworks

EE Energy Efficiency

EE-IOCG Energy Efficiency Inter-operators Coalition Group

EE-IOCG Energy Efficiency Inter-Operator Collaboration Group

EIP Entrepreneurship and Innovation Programme

eNB Enhanced NodeB



Acronym Meaning

EPA US Environmental Protection Agency

ERA European Research Area

ETNO European Telecommunications Network Operators' association

ETP European Technology Platforms

ETS Emissions Trading System

ETSI European Telecommunications Standards Institute

EU European Union

EU End User

E-UTRAN Enhanced Universal Terrestrial Radio Access

FAO Food and Agriculture Organization

FET Future and Emerging Technologies

FO Facility Owner

FP7 Seventh Framework Programme for research and technological development

GB Gigabyte

GEOSS Global Earth Observations System of Systems

GeSI Global e-Sustainability Initiative

GHG Greenhouse Gas

HCFCs Hydro Chloroflurocarbons

HCL Hydrochlroic Acid

HF Hydrofluoric Acid

HSPA High Speed Packet Access

HVAC Heating, Ventilating and Air Conditioning

IA Impact Assessment

ICAO International Civil Aviation Organization

ICT Information and Communication Technology

ICT PSP Information and Communication Technologies Policy Support Programme

ICT4EE ICT for Energy Efficiency (Forum)

IEA International Energy Agency

IEEE Institute of Electrical and Electronics Engineers

IEEP Intelligent Energy-Europe Programme

IMF International Monetary Fund

IPCC Intergovernmental Panel on Climate Change

IRP Integration Reference Point

ISO International Organization for Standardization

ISO/TC/SC ISO Technical Committee Subcommittee

ITU International Telecommunication Union

ITU-T FG ICT&CC ITU-T Focus Group on ICTs and Climate Change

ITU-T TSAG ITU-T Telecommunication Standardization Advisory Group

JBCE Japanese Business Council Europe

JCA Joint Coordination Activity (of ITU)

JRC Joint Research Centre

LCA Life-cycle assessment



Acronym Meaning

LTE 3GPP Long Term Evolution

MAA Matrix of Actors and Actors

MACTOR Matrix of Alliances and Conflicts: Tactics, Objectives and Recommendations

METI Ministry of Economy, Trade and Industry

MOD Ministry of Defence

MS Member State

NH4 Ammonia

NMHC Non-Methane Hydrocarbon

NO Network Operator

NO2 Nitrogen dioxide

OAM Operation and Maintenance

OECD Organisation for Economic Cooperation and Development

OPEC Organization of the Petroleum Exporting Countries

PC Personal Computer

PPP Public Partnership Projects

PS Packet Switched

QoS Quality of Service

R Retailer

RACH Random Access Channel

RAN Radio Access Network

RAT Radio Access Technology

RAT Radio Access Terminal

R&D Research and Development

REVISITE Roadmap Enabling Vision and Strategy for ICT-enabled Energy Efficiency

RTD Research and Technological Development

RRH Remote Radio Head

SA System Architecture

SCC Standards Coordinating Committee (IEEE)

SET Sustainable Energy Technology

SME Small and Medium sized Enterprise

SOGE Sustainable Operations on the Government Estate (UK)

SON Self-Organising Network

SRA Strategic Research Agendas

SSL Solid State Lighting

STREP Specific Targeted Research Project

TIA Telecommunications Industry Association

TN Thematic Network

TREND Towards Real Energy-efficient Network Design

TV Television

TWh Terawatt hour

UE User Equipment

UMTS Universal Mobile Telecommunications System



Acronym Meaning

UN United Nations

UNDESA United Nations Department of Economic and Social Affairs

UNEP United Nations Environment Programme

UNFCCC United Nations Framework Convention on Climate Change

UNHABITAT United Nations Centre for Human Settlements

UNIDO United Nations International Development Organization

USAID United States Agency for International Development

VoD Video on Demand

WBCSD World Business Council for Sustainable Development

WEF World Economic Forum

WG Working Group

WI Work Item

I-WLAN Wireless Local Area Network Interworking

WMO World Meteorological Organization

WRI World Resources Institute

WTO World Trade Organization

WWF World Wide Fund for Nature



Table of Contents

1. Introduction ............................................................................................................... 18

2. Green ICT Context: Standardization, Strategies and Policies ........................................ 23 2.1 General Context and Policy Overview ................................................................................ 23

2.1.1 United Nations ..................................................................................................................... 24 2.1.2 World Bank ........................................................................................................................... 25 2.1.3 International Energy Agency ................................................................................................ 25 2.1.4 Organisation for Economic Cooperation and Development (OECD) ................................... 25 2.1.5 Government Policies ............................................................................................................ 25

2.2 EU Policies ........................................................................................................................ 28 2.2.1 EU Environmental, Sustainability and Energy Policies ......................................................... 28 2.2.2 ICT Energy Policy Framework ............................................................................................... 29 2.2.3 The ICT4EE Forum ................................................................................................................ 32 2.2.4 REViSITE. .............................................................................................................................. 32 2.2.5 JRC voluntary codes of conduct ........................................................................................... 33 2.2.6 Actions related to the Digital Agenda .................................................................................. 34 2.2.7 Energy Efficiency and the R&TTE Directive .......................................................................... 35 2.2.8 Research and Technological Developments ........................................................................ 37

2.2.8.1 The Seventh Framework Programme for Research and Rechnological Development – FP7 ...... 37 2.2.8.2 Competitiveness and Innovation Framework Programme: CIP................................................... 39

2.3 Standardization efforts ..................................................................................................... 40 2.3.1 Data Aggregation and Modelling ......................................................................................... 41

2.3.1.1 ISO ............................................................................................................................................... 41 2.3.2 Corporate Responsibility and Reporting .............................................................................. 42

2.3.2.1 Greenhouse Gas (GHG) Protocol Initiative .................................................................................. 42 2.3.3 Equipment Energy Efficiency ............................................................................................... 42

2.3.3.1 Alliance for Telecommunications Industry Solutions (ATIS) ........................................................ 42 2.3.3.2 Energy Star................................................................................................................................... 43 2.3.3.3 ETSI .............................................................................................................................................. 44 2.3.3.4 ITU-T ............................................................................................................................................ 44

2.3.4 Communication Networks Energy Efficiency ....................................................................... 45 2.3.4.1 Ethernet Alliance ......................................................................................................................... 45 2.3.4.2 ITU-T ............................................................................................................................................ 45 2.3.4.3 TIA ................................................................................................................................................ 45 2.3.4.4 Energy Efficiency Inter-Operator Collaboration Group – EE-IOCG .............................................. 45

2.3.5 Equipment Labelling ............................................................................................................ 46 2.3.5.1 Energy Star................................................................................................................................... 46 2.3.5.2 CLASP ........................................................................................................................................... 46

2.3.6 Conclusion ............................................................................................................................ 46 2.4 Industry Initiatives and Strategies ..................................................................................... 46

2.4.1 Industry Associations ........................................................................................................... 46 2.4.2 Global e-Sustainability Initiative (GeSI) ................................................................................ 47 2.4.3 Industry Strategies ............................................................................................................... 48

2.5 Conclusions and Implications for CONSERN ....................................................................... 50

3. Impact Assessment: Concepts and SOTA ..................................................................... 53 3.1 Impact Categories ............................................................................................................. 53

3.1.1 Economic Impacts of ICTs .................................................................................................... 53 3.1.2 Environmental Impacts of ICTs ............................................................................................ 54

3.2 Impact Orders Direct and Indirect Impacts of ICT ............................................................... 55



3.3 State-Of-The-Art (SOTA) Impact of ICT ............................................................................... 60 3.3.1 Impacts of ICT....................................................................................................................... 60 3.3.2 Impacts of Mobile ICTs ......................................................................................................... 63

3.4 Summary and Conclusions ................................................................................................ 66

4. Identifying CONSERN actors, roles, relationships and business models ........................ 68 4.1 CONSERN Business Model and Configuration Parameters .................................................. 69 4.2 CONSERN Actors ............................................................................................................... 72 4.3 CONSERN Business Models ............................................................................................... 76

4.3.1 Operator-Centric Business Model ........................................................................................ 77 4.3.2 Operator-Independent Business Model: ............................................................................. 77

4.4 CONSERN Roles, Relationships and Value Network Design ................................................. 78 4.4.1 Development Phase ............................................................................................................. 80 4.4.2 Delivery Phase ...................................................................................................................... 80 4.4.3 End Usage Phase .................................................................................................................. 81

5. CONSERN Scenarios and Instantiations ....................................................................... 82 5.1 Criteria Overview .............................................................................................................. 82 5.2 Instantiation I - Home and Office Environment with Operator-centric Business Model ....... 84

5.2.1 Technology Design ............................................................................................................... 85 5.2.2 Service Design ...................................................................................................................... 87 5.2.3 Value Network Design .......................................................................................................... 87

5.2.3.1 Cooperation ................................................................................................................................. 89 5.2.4 Financial Design ................................................................................................................... 89

5.2.4.1 1 Scope for Infrastructural Investment ....................................................................................... 89 5.2.4.2 End User Billing ............................................................................................................................ 89

5.3 Instantiation II - Home and Office Environment with Operator Independent Business Model .............................................................................................................................................. 90

5.3.1 Technology Design ............................................................................................................... 90 5.3.2 Service Design ...................................................................................................................... 91 5.3.3 Value Network Design .......................................................................................................... 91

5.3.3.1 Actors and their Roles in the Value Network .............................................................................. 92 5.3.3.2 Co-operation ................................................................................................................................ 92

5.3.4 Financial Design ................................................................................................................... 93 5.3.4.1 Scope for Infrastructural Investment .......................................................................................... 93 5.3.4.2 End User Billing ............................................................................................................................ 93

6. Inter-Domain Business Implications for CONSERN - Operator Independent vs. Operator Centric Business Model .................................................................................................. 94

6.1.1 Building Actor Profiles .......................................................................................................... 94 6.1.2 Identifying Strategic Objectives ........................................................................................... 95 6.1.3 Mapping Actors & Strategic Objectives ............................................................................... 97 6.1.4 Business Implications for CONSERN Actors ....................................................................... 104

7. Preliminary High-level Impact Assessment of CONSERN Business Scenarios ............... 108 7.1 High-level Identification of Impact Categories ................................................................. 108 7.2 CONSERN Impacts on Economic and Environmental Objectives ........................................ 111

7.2.1 Impacts (potential) of CONSERN on business objectives ................................................... 111 7.2.2 Impacts (potential) of CONSERN on Policy Objectives, Standardisation and Industry Strategies .................................................................................................................................... 114 7.2.3 Conclusions and Further Work .......................................................................................... 116

8. Overview of Standardization Activities and Plans ...................................................... 118



8.1 ETSI Reconfigurable Radio Systems ................................................................................. 119 8.1.1 Overview and Status .......................................................................................................... 119 8.1.2 CONSERN Involvement and Contributions ........................................................................ 120 8.1.3 CONSERN Plans for Future Involvement ............................................................................ 121

8.2 3GPP .............................................................................................................................. 121 8.2.1 Overview and Status .......................................................................................................... 121 8.2.2 CONSERN Involvement and Contributions ........................................................................ 124

8.2.2.1 CONSERN Plans for Future Involvement ................................................................................... 124 8.3 IEEE 802.11 ..................................................................................................................... 125

8.3.1 Drafts in Sponsor / Working Group Ballot ......................................................................... 125 8.3.2 Details on Selected Activities ............................................................................................. 126

8.3.2.1 Wireless Next Generation Standing Committee........................................................................ 126 8.3.2.2 TGac Very High Troughput 6 GHz .............................................................................................. 126 8.3.2.3 TGad Very High Throughput 60 GHz .......................................................................................... 126 8.3.2.4 TGae QoS Management............................................................................................................. 127 8.3.2.5 TGaf TV Whitespace .................................................................................................................. 127 8.3.2.6 TGah: Sub 1G ............................................................................................................................. 127 8.3.2.7 TGai: Fast Initial Link Set-Up ...................................................................................................... 128 8.3.2.8 Other.......................................................................................................................................... 128

8.3.3 CONSERN Involvement and Contributions ........................................................................ 128 8.3.4 CONSERN Plans for Future Involvement ............................................................................ 129

8.4 IEEE DySPAN-SC .............................................................................................................. 129 8.4.1 IEEE P1900.1 ....................................................................................................................... 130 8.4.2 IEEE P1900.2 ....................................................................................................................... 130 8.4.3 IEEE P1900.3 ....................................................................................................................... 131 8.4.4 IEEE P1900.4 ....................................................................................................................... 131 8.4.5 IEEE P1900.5 ....................................................................................................................... 132 8.4.6 IEEE P1900.6 ....................................................................................................................... 132 8.4.7 IEEE P1900.7 ....................................................................................................................... 132 8.4.8 CONSERN Involvement and Contributions ........................................................................ 132

8.5 IEEE 802.15 ..................................................................................................................... 133 8.5.1 CONSERN Involvement and Contributions ........................................................................ 134 8.5.2 CONSERN Plans for Future Involvement ............................................................................ 134

8.6 IETF ................................................................................................................................ 134 8.6.1 Overview and Status .......................................................................................................... 134 8.6.2 CONSERN Involvement and Contributions ........................................................................ 135 8.6.3 CONSERN Plans for Future Involvement ............................................................................ 135

9. Overview of Dissemination activities ........................................................................ 136 9.1 Approach ........................................................................................................................ 136 9.2 Magazines ...................................................................................................................... 136 9.3 Conference Papers .......................................................................................................... 136 9.4 Contribution to ICT activities. .......................................................................................... 138

9.4.1 Fourth Concertation Meeting on Monitoring and Control ................................................ 139 9.4.2 Second Meeting of the Monitoring and Control Cluster on Smart Buildings/Smart Spaces .................................................................................................................................................... 140 9.4.3 CONSERN Brochure ............................................................................................................ 141 9.4.4 IEEE SECON 2010 ................................................................................................................ 142 9.4.5 17th European Wireless Conference ................................................................................. 143 9.4.6 2nd International Workshop on Cognitive radio and Cooperative strategies for POWER saving at IEEE VTC Spring 2011 ................................................................................................... 144



9.4.7 Second Green Wireless Communications and Networks Workshop (GreeNet) ................ 145 9.4.8 1st International ICST Conference on E-Energy ................................................................. 146 9.4.9 OTE’s Corporate Workshop for R&D Updated Activities ................................................... 147 9.4.10 Info Day: EU Projects ........................................................................................................ 147 9.4.11 Future Internet Assembly, FIA Budapest ......................................................................... 149

9.5 CONSERN Public web site ................................................................................................ 150 9.6 Refining Dissemination Plans .......................................................................................... 153

10. Overview of exploitation activities .......................................................................... 158 10.1 Industrial Expoitation .................................................................................................... 158

10.1.1 HWDU/HWSE ................................................................................................................... 158 10.1.2 IFX/IMC............................................................................................................................. 158 10.1.3 TREL .................................................................................................................................. 158 10.1.4 OTE ................................................................................................................................... 159

10.2 Exploitation in Research Institutes ................................................................................ 160 10.2.1 Fraunhofer ....................................................................................................................... 160 10.2.2 IBBT .................................................................................................................................. 160 10.2.3 Imec .................................................................................................................................. 161

10.3 Academical Exploitation ................................................................................................ 161 10.3.1 NKUA ................................................................................................................................ 161

11. General conclusions and further work ..................................................................... 162

12. References .............................................................................................................. 164



List of Figures

Figure 1-1: Deliverable overview. ......................................................................................................................... 19 Figure 2-1: Green ICT Context. ............................................................................................................................. 23 Figure 2-2: Number of government programmes by policy area and type of effect. .......................................... 27 Figure 2-3: Number of direct effect government programmes by life cycle phase and type of environmental

impact. ......................................................................................................................................................... 27 Figure 2-4: Information Flow for SW component update, including exchange of certificates [145]. .................. 36 Figure 2-5: Overview of telecom operators green activities. ............................................................................... 50 Figure 2-6: ICT CIO’s plans for carbon reduction programs. ................................................................................. 50 Figure 3-1: Chapter 3 overview. ........................................................................................................................... 53 Figure 3-2: ICT impact categories. ........................................................................................................................ 55 Figure 3-3: Direct impacts of ICT product life cycle. ............................................................................................. 58 Figure 3-4: Enabling and direct impacts of ICT product life cycle. ........................................................................ 59 Figure 3-5: Impact assessment of direct, indirect and systemic impacts. ............................................................ 60 Figure 3-6: Shares of Global greenhouse gas emissions by ICT product categories. ............................................ 60 Figure 3-7: ICT Impact: Direct impact (footprint) and enabling impact (abatements). ........................................ 62 Figure 3-8: Enabling impacts of ICTs – key areas. ................................................................................................. 63 Figure 3-9: The carbon footprint (CO2-eq emissions) for an average mobile subscriber in 2007. ....................... 64 Figure 4-1: Chapter 4 Overview. ........................................................................................................................... 68 Figure 4-2: Operator centric Business Model. ...................................................................................................... 77 Figure 4-3: Operator Independent Business Model. ............................................................................................ 78 Figure 4-4: CONSERN Value Chain. ....................................................................................................................... 79 Figure 5-1: Instantiation I – Home Office environment with Operator centric Business Model. ......................... 85 Figure 5-2: CONSERN Technical Ecosystem (Phase I). .......................................................................................... 86 Figure 5-3: CONSERN Ecosystem (Phase II). ......................................................................................................... 87 Figure 5-4: Operator centric Business Model. ...................................................................................................... 88 Figure 5-5: Instantiation II – Home Office environment with Operator Independent Business Model. .............. 90 Figure 5-6: Operator Independent Business Model. ............................................................................................ 91 Figure 6-1: Direct and Indirect Influences. ........................................................................................................... 94 Figure 6-2: Operator Independent vs. Operator Centric Alignment towards Objectives. .................................. 100 Figure 6-3: Convergence among actors in Operator Independent BM [Red - Strongest Convergence; Dotted -

Weakest Convergence] .............................................................................................................................. 102 Figure 6-4: Convergence among actors in Operator Centric BM [Red - Strongest Convergence; Dotted -

Weakest Convergence] .............................................................................................................................. 102 Figure 6-5: Divergences among actors in Operator Independent BM [Red - Strongest Divergence; Dotted -

Weakest Divergence] ................................................................................................................................. 103 Figure 6-6: Divergences among actors in Operator Centric BM [Red - Strongest Divergence; Dotted - Weakest

Divergence] ................................................................................................................................................ 103 Figure 6-7: Net Distances between CONSERN actors [Operator Independent Business Model]. ...................... 106 Figure 6-8: Net Distances between CONSERN actors [Operator Centric Business Model]. ............................... 107 Figure 7-1: Chapter 7 in context. ........................................................................................................................ 108 Figure 7-2: Energy Efficiency Vs. Economic Efficiency. ....................................................................................... 110 Figure 8-1: CONSERN Focus - Standardization Bodies. ....................................................................................... 118 Figure 8-2: CONSERN Standardization Contribution Time Line. ......................................................................... 119 Figure 8-3: ETSI RRS Standardization Process. .................................................................................................... 120 Figure 8-4: CONSERN proposal for Energy Efficiency working item within ETSI TC RRS. ................................... 121 Figure 8-5: IEEE 802.11 overview and process. .................................................................................................. 125 Figure 8-6: CONSERN Self-growing Use Cases in IEEE P802.11. ......................................................................... 129 Figure 8-7: IEEE DySPAN-SC. ............................................................................................................................... 131 Figure 9-1: CONSERN presentation in Concertation on Wireless Sensor Networks and Cooperating Objects

(WSN&CO). ................................................................................................................................................ 139 Figure 9-2: CONSERN presentation in 1

st Cluster on Smart Buildings. ............................................................... 140

Figure 9-3: CONSERN presentation during 2nd

Smart Buildings cluster meetng. ............................................... 141 Figure 9-4: CONSERN Brochure. ......................................................................................................................... 141



Figure 9-5: CONSERN Poster in SECON 2010. ..................................................................................................... 142 Figure 9-6: CONSERN flash demo in SECON 2010. ............................................................................................. 143 Figure 9-7: NKUA presentation in EW2011. ....................................................................................................... 143 Figure 9-8: C2POWER workshop technical program. ........................................................................................ 144 Figure 9-9: CONSERN in C2POWER Panel. .......................................................................................................... 145 Figure 9-10: CONSERN Poster in GreeNet Workshop. ........................................................................................ 146 Figure 9-11: CONSERN in OTE’s Corporate Workshop. ...................................................................................... 147 Figure 9-12: INFO Day: EU Projects, Brochure. .................................................................................................. 148 Figure 9-13: CONSERN in Info Day: EU Projects. ................................................................................................ 149 Figure 9-14: OTE’s presentation in FIA Budapest. .............................................................................................. 149 Figure 9-15: CONSERN web site - Home page (http://www.ict-consern.eu) ..................................................... 151 Figure 9-16: CONSERN web site – Publications folder. ....................................................................................... 152 Figure 9-17: CONSERN web site – Private Section – WPs domain. ..................................................................... 152 Figure 9-18: CONSERN web site – Reviewers Section. ....................................................................................... 153



List of Tables

Table 2-1: Selection of EU Green ICT policy instruments. .................................................................................... 31 Table 2-2: Four key EU funded projects. .............................................................................................................. 39 Table 2-3: Standardization efforts across the world. ........................................................................................... 40 Table 2-4: ISO 207 Sub-CommitteeS. .................................................................................................................... 41 Table 2-5: Overview of GHG Emissions................................................................................................................. 42 Table 2-6: Examples of action plans from the ICT industry. ................................................................................. 49 Table 3-1: Environmental impacts, categories and causes. .................................................................................. 55 Table 3-2: Electricity used per ICT product categories in Germany and the EU. .................................................. 61 Table 3-3: Global CO2 and GHG emissions of ICTs. .............................................................................................. 61 Table 3-4: National (regional) electricity and regional footprints of ICTs............................................................. 62 Table 4-1: CONSERN definitions. .......................................................................................................................... 69 Table 4-2: Business Configuration Matrix. ............................................................................................................ 70 Table 4-3: Business Configuration Parameters (Definitions and Descriptions). ................................................... 72 Table 4-4: Use Case specific business actor identification. .................................................................................. 75 Table 4-5: Actor Classification and Description. ................................................................................................... 76 Table 4-6: CONSERN development phase. ........................................................................................................... 80 Table 4-7: CONSERN delivery phase. .................................................................................................................... 81 Table 4-8: CONSERN consumption phase. ............................................................................................................ 81 Table 5-1: Criteria Overview. ................................................................................................................................ 84 Table 5-2: Actor and Role Matrix. ......................................................................................................................... 88 Table 5-3: Scope of cooperation between the stakeholders active in CONSERN ecosystem. .............................. 89 Table 5-4: Actor and Role Matrix. ......................................................................................................................... 92 Table 5-5: Scope of Cooperation between the stakeholders active in CONSERN ecosystem. ............................. 93 Table 6-1: CONSERN Actors (Derived from the Table 4-5). .................................................................................. 95 Table 6-2: CONSERN strategic objectives. ............................................................................................................ 96 Table 6-3: Actor specific rankings towards the objective. .................................................................................... 99 Table 6-4: Importance of Objective for an actor (2MAO). .................................................................................... 99 Table 6-5: Actor-Actor Interaction (2MAA). ....................................................................................................... 101 Table 6-6: Inter-domain business implications for CONSERN actors. ................................................................. 105 Table 7-1: Example impacts of CONSERN. .......................................................................................................... 110 Table 7-2: Potential impacts of CONSERN on Business objectives. .................................................................... 113 Table 7-3: Potential impacts of CONSERN on Policy objectives, standardisation and industry strategies. ........ 116 Table 8-1: 3GPP ongoing studies on energy savings and SON. ........................................................................... 123 Table 4-1: CONSERN magazines dissemination. ................................................................................................. 136 Table 9-1: CONSERN Papers (Y1). ....................................................................................................................... 137 Table 9-2: CONSERN contributions in Cluster and Conseration meetings (Y1). ................................................. 138 Table 9-3: CONSERN presence in Panels (Y1). .................................................................................................... 138 Table 9-4: CONSERN contributions in Standardisation bodies. .......................................................................... 139



1. Introduction The Cooperative and Self-growing Energy-aware Networks (CONSERN) project is an FP7 EC Specific Targeted Research Project (STREP) aiming at developing and validating a novel paradigm for dedicated, purpose-driven small scale wireless networks and systems, characterized by a service-centric evolutionary approach, introduced here as an energy-aware self-growing network.

Within CONSERN, Work Package 1 (“Scenarios, impact assessment and valorization”) has the following objectives:

Definition of scenarios and use cases for advanced techniques in energy efficiency and self-growing network-based scalability management,

Classification of requirements for the deployment of energy efficiency system capabilities and specification of high level evaluation criteria for the system requirements, in the form of suitable metrics for measuring power efficiency such as for active–standby–off modes of various equipment (infrastructure, terminal) and for the Life Cycle Assessment of equipment,

Study the energy efficiency for ICT in self-growing networks and identify the key future challenges for reducing energy wastage and energy consumption in these networks,

Investigate the impact of self-growing networking aspects on networking and system-level energy efficiency, on vendor cost and revenue structure and on operator CAPEX and OPEX,

Study of potential business opportunities and challenges related to inter-domain energy efficiency coordination,

Impact assessment of energy efficiency in self-growing systems on wider socio-economic, environmental and policy objectives,

Standardisation monitoring and contribution, in particular to ETSI, and potentially 3GPP, IEEE P1900.6, or ZigBee,

Industrial and academic exploitation of project outcomes,

Coordination of a varied set of dissemination activities (conferences, workshops, clusters meetings) and study of results exploitation.

This second deliverable of WP1 contributes to all of these objectives. Its first seven chapters aim at making a ‘high-level impact assessment’ of energy efficient cognitive systems. This includes (1) contextualising the development of energy efficient heterogeneous wireless networks into current energy and sustainability issues; (2) relating those to current industrial strategies as well as government policies, particularly on an EU level and applied to the telecommunications and information technology sectors; (3) determining the impact of energy efficient cognitive systems on policy objectives and socio-economic variables (through “high level impact assessments” and deriving inter-domain business implications; (4) evaluating the value network for CONSERN solutions in a specific scenario; (5) determining different business models for such a scenario; (6) establishing actors and roles, strategic positions of stakeholders and convergences/divergences between those positions. Given below is an overview of relevant chapters and flow of information across the deliverable as illustrated in Figure 1-1.

Besides these impact assessment and business modelling oriented chapters, this deliverable also reports on the standardization, dissemination and exploitation activities performed by the consortium. The paragraphs below provide a short overview of the contents and results contained in the various sections of the deliverable.



Figure 1-1: Deliverable overview.

Section 2 - Green ICT Context – Policies, standards and industry strategies

Energy-aware energy efficient self-growing networks, such as CONSERN, can be framed within broader concerns about sustainability and the environment. In recent years, the issue of global warming has been an issue of increasing concern. Global warming is, although still debated, caused by an increased greenhouse effect, in turn partly driven by increasing energy consumption in society. Due to their rapid diffusion and pervasiveness, ICTs are increasingly contributing negatively to this impact, but the potential energy savings due to ICTs, through improved energy-efficiency, is even higher.

A large and number of initiatives have been taken to tackle these issues – by governments, intergovernmental institutions, through standardization bodies, industry players and their collaborative associations. At global level there are several UN bodies in the forefront of the effort of mitigating climate change. OECD has a work programme on ‘ICTs, the environment and climate change’, which is part of the organisation’s development of a wider Green Growth Strategy. The World Economic Forum (WEF) is also active in the area. At national level, many governments have policies and programmes on ICT and the environment in place, covering: e.g. R&D and innovation, green ICT application diffusion and usage, and education on ICT and the environment. Most of these programmes focus on the ICT use phase and on the impact area of energy use (and the highly related global warming), which is/are also the area(s) of highest relevance for CONSERN.

The European Union has recently (2009) explicitly established an ICT Energy Policy Framework targeting the role of ICT in enabling energy improvements in other sectors as well as reducing its own energy consumption. The framework sets out for the ICT sector to commit to a progressive decarbonisation through measurable and verifiable reduction in energy intensity and carbon emissions, to develop of a framework to measure its energy and environmental performance and to do so in cooperation with other sectors. CONCERN can contribute to these objectives.

In concrete terms, the European Commission is supporting ICT for energy efficiency through a number of measures. First, it has facilitated the launch of the ICT for Energy Efficiency Forum (ICT4ee) where the ICT sector is working to establish a methodology to measure its own carbon emissions, and once this has been agreed, to commit to reduction targets. Related to this is the



REViSITE (Roadmap Enabling Vision and Strategy for ICT-enabled Energy Efficiency) horizontal action, which aims to contribute to the formation of a European multidisciplinary 'ICT for energy-efficiency' research community by bringing together the ICT community and four important and application sectors: Smart Grids, Smart Buildings, Smart Manufacturing and Smart Lighting. In addition, the JRC has developed a number of Voluntary Codes of Conducts to improve energy efficiency although the current ones does not appear to be of immediate impact for CONSERN. Finally, Green ICT research is receiving increased funding from the EU, mainly through the FP7 programme. There is one dedicated challenge on ICT for a low carbon economy’ and within the ‘Future networks’ objective there are already at least four Green ICT projects: EARTH, ECONET, C2POWER and TREND, working on issues that could be relevant for CONSERN.

While policy makers are increasingly recognizing the importance and potential of Green ICT, the ICT sector is also stepping up its efforts in reducing energy consumption and its CO2 footprint. Already, there are a number of initiatives taken, by collaborative industry fora, as well as by the companies themselves. Several industry associations and industry consortiums are developing large-scale initiatives on ICT and the environment, often targeting the direct impacts of ICT and the reduction energy use. ICTs environmental footprint, energy consumption and corresponding costs have also triggered ICT companies to include Green ICT in their strategic agendas and to set up rather ambitious goals for reducing their direct footprint, although the approaches taken appear to be quite fragmented so far.

Around 20 standardisation organisations/initiatives related to Green ICT has been identified here. These can be categorised into: indicators and statistics, data aggregation and modelling, corporate responsibility and reporting, Equipment Energy Efficiency, Communication Networks Energy Efficiency, Equipment Labelling), some of which are specifically focused on energy efficiency. Both GESI/EE-IOCG and ITU have provided overviews and identified gaps and inconsistencies in standardisation, which could be explored further later in the project.

Section 3 - Impacts of ICTs

ICTs come with a wide range of economic, environmental, social, political, legal, and technological impacts. This deliverable focuses on economic and in particular on environmental impacts, impacts which in the case of energy efficiency are intrinsically related. Standardised schemes such as ISO 14042 can be used to identify the impacts on global warming, primary energy use, toxicity, resource and ozone layer depletion, land and water use and on biodiversity etc. As mentioned, most “green ICT” policies and initiatives focus however on two categories: global warming and primary energy use.

One useful and fairly well established framework categorises and analyses impacts at three analytical levels: direct impacts, enabling impacts and (sometimes) systemic impacts. Direct impacts (or “first-order effects”) refer to impacts from the purchase, consumption, use and end-of-life treatment of ICT products and services. These effects are generally negative. Enabling impacts of ICTs (or “second-order effects”) arise when ICTs affect how other products are designed, produced, consumed, used and disposed of, and usually reduce the environmental impact through mechanisms of optimization, dematerialisation and substitution. ICTs may, however, also increase indirect impacts through induction effects and degradation. Systemic impacts (or “third-order effects”) are those involving behavioural change and other non-technological factors, and include the intended and unintended consequences of wide application of green ICTs.

Direct impacts are easier to assess than higher-order impacts due to the complexity and long-term effects of the latter. This contributes to a situation where much of the discussion is circulating around the direct effects, existing research methodology is easer to apply and communicate these issues, while indirect impacts are potentially much higher and therefore would deserve more



attention. In response to this need, in an annex, we sketched out a framework, which could be used to assess direct impacts as well as higher order ones. This framework was applied in a tentative way for a campus environment scenario.

This deliverable also reviews recent assessments of the environmental impacts of ICTs (SOTA). We found three major studies that have assessed the global carbon footprint of the ICT sector and its products: The Gartner “2%/98%” study, the Smart 2020 study and a Swedish (Ericsson, TeliaSonera, Royal Institute of Technology) study of the ICT and, entertainment and media sectors. The studies converge around the result that the ICT sector accounts for around of 2-3% of global CO2 emissions (and slightly less of GHG emissions). National studies confirm these results.

The mobile/wireless communications (network and devices) part of these has been estimated to be responsible for about 0.2% of global CO2e emissions, of which the energy consumption of RBS (Radio base station) sites is responsible for the largest part, followed by mobile phone manufacturing. Since mobile subscribers are increasing and data-intensive applications are proliferating, there is an increased energy consumption in mobile networks, with a corresponding increase in the carbon footprint, projected to about 0.4% of the total in 2020 (assuming that past energy efficiency trends can be extrapolated).

The rising energy consumption of mobile communications will have significant economic implications for the industry as well as well. Already today energy cost constitute a significant share of mobile operators operational costs (from around 20% up to 50% for operators in some regions). This share will increase assuming that current trends will prevail. Hence there should be, and are, also strong economic incentives, to improve energy efficiency in the mobile and wireless networks. Although, there are already numerous on-going efforts in improving energy-efficiency of wireless communications (e.g. network optimization packages, more efficient base station amplifiers, advanced standby power management, night battery operation and solar-powered base stations) they are often introduced in the context of general network evolutions implemented by operators. However, there seems also a need for introducing such mechanisms in less generic markets, such as those addressed by CONSERN.

Sections 4 to 6 - Inter-Domain Business Implications

Focus of the deliverable is also to investigate potential business opportunities and challenges related to the inter-domain aspects of CONSERN ecosystem. Chapters 4 and 5 covers the areas both inside and outside of the operators’ business domain, some residing with partner stakeholders or even within customer premises. It introduces the concept of inter-domain business models and value network design for CONSERN, which are then used as input for a multi-actor (MACTOR) analysis and high-level impact assessment for CONSERN instantiations in chapter 6 and 7.

For CONSERN, two business models have been considered:

Operator centric Business Models,

Operator Independent Business Models. The two business models proposed are preliminarily applied to the Home-Office environment, and will further be refined and revised encompassing partners’ overall inputs and feedbacks (in the year II of CONSERN).

The design and development of CONSERN value network reveals a variety of business roles that an actor takes on in order to create value for the ecosystem; several direct and indirect influences act on these actors. These influences need to be evaluated in order to further improve our understanding of inter-actor relationships, convergences and divergences of these actors on various strategic issues important for CONSERN in order to create a viable and positive business case. To do



this, an inter-domain value network design and Multi-Actor (MACTOR) analysis for CONSERN ecosystem is introduced and applied in this deliverable.

MACTOR starts with identifying the actor profiles and the roles the actors take on. Business model ontology is used to derive the most important strategic objectives for which different actors in the ecosystem can take up different positions, and hence converge or diverge. The position of each actor, for these strategic objectives, is then assessed. By multiplying matrices of positions, the number and importance of issues (objectives) for which different actors are in convergence and divergence are derived, hence visualizing the results in different ways.

Section 7 - Preliminary high-level impact assessments: Objectives, impacts and next steps

If CONSERN were adopted on a wide-scale, it would impact a number of social, economic, environmental and other dimensions. In particular, it could reduce energy-consumption (and thus the carbon footprint) and provide potentially substantial economic gains. Thus CONSERN contributes to the fulfilment of a number of objectives of various stakeholders including actors in the value networks and policy makers. Chapter 7 summarizes the these potential environmental and economic impacts based on the results of the previous chapters, Based on these results, the next deliverable will, in close coordination with the technical partners, identify, operationalize and analyse a set of metrics needed in order to validate to what extent the objectives set out here can be reached.

Section 8 to 10 - Standardization, Dissemination and Exploitation activities

Besides reporting on the progress made regarding the scenarios and uses cases, the impact assessment and potential business models for CONSERN solutions, this deliverable has the additional objective to provide an overview of standardization, dissemination and exploitation activities performed by the consortium in accordance with the plans set out in the DoW. In the first year of the project, CONSERN partners have monitored an extensive array of potentially relevant standardization bodies. For each of these, Chapter 8 provides an overview and current status report, the exact scope of CONSERN involvement and –if applicable– future plans. In order to maximize the impact of the project, the consortium chose to focus on an active participation to a small number of selected bodies, while the partners activities in the other bodies are mainly used for monitoring and derivation of the “larger picture”. Major impact is particularly expected within ETSI RRS (Reconfigurable Radio Systems), 3GPP and IEEE 802.15. While activities in 3GPP and IEEE 802.15 are still in a monitoring and planning phase as it is detailed in the subsequent sub-sections, the CONSERN consortium has already actively participated to ETSI RRS. In particular, the early-stage intentions of CONSERN have been repeatedly presented and communicated at ETSI RRS meetings. Activities in 3GPP and IEEE 802.15 are still under evaluation and they are expected to be ramped up with the project progressing further.

Chapter 9 subsequently sets out the strategy for CONSERN dissemination and the results obtained so far. A full list is provided, as well as a refined dissemination plan. Finally, Chapter 10 contains an overview of exploitation activities, again in line with the targets set out by the consortium.



2. Green ICT Context: Standardization, Strategies and Policies This chapter frames CONSERN within current sustainability and environmental concerns, by surveying current context - Policies, Standardisation and Industrial Strategies, for sustainability issues in general and with a focus on ICT and energy efficiency (Figure 2-1). In particular EU activities will be highlighted. Section 2.1 introduces the global sustainability issues and overviews some global and international policies addressing those issues. Section 2.2 elaborates in detail current EU level policies on Green ICT and energy consumption, while in Section 2.3 overviews relevant standardisation activities. The Section 2.4 identifies relevant industry strategies and initiatives. Section 2.5 concludes the chapter.

Figure 2-1: Green ICT Context.

2.1 General Context and Policy Overview Throughout its history, mankind has exerted an increasing pressure on its environment, rising now to levels which are often claimed to be non-sustainable, would current trends persist. Already the agrarian revolution, which allowed for higher population densities, had serious environmental impacts in the form of e.g. deforestation and over-irrigation. The emergence of civilizations and cities led to further man-made strains on the environment. The Industrial revolution of the 17th to 19th centuries drove dramatically increasing the energy needs, largely satisfied by tapping into vast energy potential in using fossil fuels (coal, oil). Combined with sanitary and medical advances this led an explosive growth of the human population, but also concerns regarding forever-rising population (Malthus) and pollution.

Such sustainability concerns gained some momentum in the mid 20th century (peak oil, silent spring) and grew strong in the 1970s with the emergence of environmental movements, parties and policies, and an increased public awareness of recycling and renewable energy. In recent years, the issue that has drawn most attention, partly due to the work of climate scientists in Intergovernmental Panel on Climate Change (IPCC), is that of global warming, allegedly caused by a



human-induced (extensive exploitation of fossil fuels) aggravated the greenhouse effect.1 In response, on a global (or almost global) level a number of policy initiatives are taken, notably by various UN bodies, the International Energy Agency (IEA) and the Organisation for Economic Cooperation and Development (OECD) as will be described below. However, it is to be noted that there are numerous other international organisations which one way or the other address issues relating to Green ICT or ICT and environment/sustainability/energy efficiency, including ITU, UNFCC, WTO, FAO, ICAO, IMF, UNDESA, UN-HABITAT, UNIDO, WEF, and WWF, see e.g. [2]. It is beyond the scope of this Deliverable to fully review all those initiatives, however a few important ones are outlined below.

2.1.1 United Nations

The United Nations (UN) family of bodies is in the forefront of the effort of mitigating climate change. In 1992, its “Earth Summit” introduced the United Nations Framework Convention on Climate Change (UNFCCC) as a first step in tackling the problem. Following that, in the year 1998, the World Meteorological Organization (WMO) and the United Nations Environment Programme (UNEP) started the Intergovernmental Panel on Climate Change (IPCC) to provide an objective source of scientific information.

The Convention’s 1997 Kyoto Protocol, which set emission reduction targets for industrialized countries, has already helped reducing emissions in some countries. The targets of the Kyoto Protocol will expire in year 2012. Meanwhile, GHG emissions from both developed and developing countries have been increasing rapidly. The often-criticized Copenhagen Accord was agreed to by Heads of State, Heads of Government, Ministers and other heads of delegation at the UN Climate Change Conference in Copenhagen in December 2009. In December 2010, climate change talks in Cancún concluded with a package of decisions to help countries advance towards a low-emissions future. Dubbed the “Cancún Agreements,” the decisions include formalizing mitigation pledges and ensuring increased accountability for them, as well as taking concrete action to protect the world's forests. [3]

Policy-relevant UN organisations include United Nations Environment Programme (UNEP) and World Meteorological Organization (WMO).

UNEP’s mission is to provide leadership and encourage partnership in caring for the environment by inspiring, informing, and enabling nations and peoples to improve their quality of life without compromising that of future generations. The main tasks include [4]:

Assessing global, regional and national environmental conditions and trends.

Developing international agreements and national environmental instruments.

Strengthening institutions for the wise management of the environment.

Integrating economic development and environmental protection.

Facilitating the transfer of knowledge and technology for sustainable development.

Encouraging new partnerships and mind-sets within civil society and the private sector. UNEP sponsors, together with WMO, the Intergovernmental Panel on Climate Change (IPCC). It is also responsible for the operation of the portal on climate change [5].

The World Meteorological Organization (WMO) is a specialized agency of the United Nations, which focuses on the state and behaviour of the Earth's atmosphere, its interaction with the oceans, the

1 See e.g. [1]

http://www.unsystem.org/en/frames.alphabetic.index.en.htm#w



climate it produces and the resulting distribution of water resources. The WMO publishes annual reports and publications [71] on climate change.

2.1.2 World Bank

The World Bank has an extensive programme related to climate change [6]. There are four major themes to its work: 1) Help developing countries to move to a lower carbon path by exploiting renewable energy, supporting energy conservation, and increasing energy efficiency. 2) Promotion of new technologies in renewable energy and energy efficiency. 3) Prevention of deforestation through its Carbon Finance Unit. 4) Adaptation to climate risks. [9] Recent publications include: [7] and [8].

2.1.3 International Energy Agency

The International Energy Agency (IEA) is an intergovernmental organization, which acts as energy policy advisor to 28 member countries in their effort to ensure reliable, affordable and clean energy for their citizens. Today its mandate has incorporated balanced energy policy-making: energy security, economic development and environmental protection. Current work focuses on policies frameworks related to climate change, market reforms, energy technology collaboration and outreach to the rest of the world, especially major consumers and producers of energy like China, India, Russia and the OPEC countries. The IEA maintains and revises its database on policies and regulations addressing climate change and energy efficiency. [9] [10]

2.1.4 Organisation for Economic Cooperation and Development (OECD)

The mission of the OECD is to promote policies that will improve the economic and social well being of people around the world. It provides a forum in which governments can work together to share experiences and seek solutions to common problems.2 The OECD’s work programme on ICTs, the environment and climate change is part of the organisation’s development of a wider Green Growth Strategy – interim results were presented at the OECD Council at Ministerial Level in May 2010. A workshop on green ICTs was held in Copenhagen in 2008 and a high-level conference took place in 2009 in Helsingør, Denmark. During the conference, participants agreed that ICTs had a central role to play in tackling climate change and improving environmental performance overall. [11]

In 2010, OECD member countries agreed to make better use of ICTs to tackle environmental challenges and accelerate green growth. The OECD Council Recommendation on ICTs and the environment gives a ten-point checklist for government policy, including provisions on improving the environmental impacts of ICTs. It encourages cross-sector co-operation and knowledge exchange on resource-efficient ICTs and “smart” applications, and highlights the importance of government support for R&D and innovation. [11]

2.1.5 Government Policies3

Policies to promote diffusion and uptake of ICTs for environmental purposes are receiving increasing attention. Most governments have only recently (but increasingly) begun to combine “green ICT” promotion initiatives with traditional ICTs and environmental policies. By now, most OECD governments have established policies and programmes on Green ICTs and environmental Impacts. However, despite some common focus points and targets, the administration of these policies and programmes, their targeted objectives and the quality of their assessment and evaluation differ

2 Relevant publications on climate change in general include: “Economic aspects of adaptation to climate change: costs,

benefits and policy instruments” [12] and “Environmental Outlook to 2030” [13]. The OECD also published taxonomy of instruments to reduce GHGs and their interactions. Its Information Economy group [14] examines the economic and social implications of the development, diffusion and use of ICTs, the Internet and e-business, and related policies. 3 This section draws heavily on OECD [15] unless otherwise stated.



significantly across countries [15]. Also, the separation between ICT and climate change research communities is sometimes reflected in government: ministries with competence for ICTs may have pilot projects, but these are rarely taken up at a national level in co-ordination with national environmental policy institutions. [11]

There are several types of actors administering governmental policies and programmes on ICT and the environment. Most frequently, government policies and programmes have been established and managed within the central government by a single ministry or national agency. However, some are organised in a decentralised way by local administrations, and co-ordinated by a government-wide institution. Some policies and programmes are organised through intergovernmental institutions. Denmark, Japan and the United States are countries where policies and programmes are administered centrally. Denmark’s Action Plan for Green IT has been established by the Ministry of Science, Technology and Innovation [16]. Japan’s Green IT initiative has been created by the Ministry of Economy, Trade and Industry [17], but the Ministry of Internal Affairs and Communications [18] is also contributing to Japan’s efforts on improving the environmental impact of ICTs. In the United States, two national agencies have each initiated green ICT-related measures. The US Department of Energy (DOE) has established the DOE Data Center Energy Efficiency Program [19], and the US Environmental Protection Agency (EPA) the ENERGY STAR label. DOE and EPA are co-operating on energy efficiency [20][21]. In the United Kingdom, for example, governmental programmes are organised in a decentralised way: each government department is responsible for applying and monitoring green ICT related measures and initiatives. However, the Chief Information Officer (CIO) Council and the Chief Technology Officer (CTO) Council have established a government-wide Green ICT Strategy in order to co-ordinate the efforts of each department [16]. [15]

The European Commission (EC) and the Asia-Pacific Economic Cooperation (APEC) are examples of intergovernmental institutions with programmes on ICT and the environment. For example, APEC’s Energy Standards Information System (APEC-ESIS) provides information about energy efficiency standards in member countries [22]. [15]

The OECD report “Towards Green ICT Strategies: Assessing Policies and Programmes on ICT and the Environment” [15] provides a comprehensive overview of 92 government and industry associations programmes and initiatives in 22 OECD countries and the European Union. Governments have adopted a range of ICT and environment related policies, covering R&D and innovation, green ICT and ICT application diffusion and usage, and education on ICT and the environment. Figure 2-2 shows the main policy areas and the number of governments envisioning those areas by type of effect.



Figure 2-2: Number of government programmes by policy area and type of effect.

Source: [15]

Government initiatives can also be classified according by life cycle phase and type of environmental impact. Clearly most programmes (Figure 2-3) focus on the use phase and on the impact areas of energy use (and the highly related global warming), which is also the one(s) there is of highest relevance for CONSERN.

Figure 2-3: Number of direct effect government programmes by life cycle phase and type of environmental impact.

Source: [15]



Examples of programmes within these two areas include: The DOE Data Center Energy Efficiency Program of the United States, which aims at increasing energy efficiency of at least 1500 “mid-tier and enterprise-class data centres” by 25% (on average) and of at least 200 “enterprise-class data centres” by 50% (on average) by 2011 [19]. In Denmark’s Action Plan for Green IT, the Danish Ministry of Science, Technology and Innovation has committed itself to save 10% of its annual electricity consumption each year. The Green ICT Strategy of the United Kingdom is expected to contribute to the Sustainable Operations on the Government Estate (SOGE) targets, which are to reduce greenhouse gases (GHG) produced by the central government office estate by at least 30% by 2020 and by 60% or more by 2050. This also applies to policies and programmes considering enabling effects (see next chapter), for example, Japan’s Green IT initiative, which aims to use ICTs to reduce national CO2 emissions by at least 50% by 2050. [15]

Denmark’s Action Plan for Green IT and the Green ICT Strategy of the United Kingdom are among the few taking all of the main life cycle phases of ICTs at least into consideration, while explicitly focussing on energy use in the use phase are for instance the DOE Data Center Energy Efficiency Program of the United States, the Equipment Energy Efficiency (E3) Program of Australia and New Zealand which sets mandatory energy performance standards for the use of ICT equipment (also see the ENERGY STAR initiative of the United States). [15]

2.2 EU Policies

2.2.1 EU Environmental, Sustainability and Energy Policies

Up to the end of the 1960s, no European country had a clearly defined environment policy. In the early 1970s, the United Nations Conference on the Human Environment and the publication of the report "The Limits of Growth" by the Club of Rome alerted European public opinion to the ecological problems of economic development. The Summit Conference of Heads of State and Government held in Paris in 1972 opened the way to the implementation of a common policy on environmental protection. The Commission went on to work and prepared wide-ranging action programmes for the reduction of pollution and nuisances and for the management of environmental resources. [24]

A major policy initiative regarding sustainable development was taken in 2001, when the Göteborg European Council approved a European Union strategy for sustainable development, proposed by the Commission [COM/2001/264] [25]. Among other things, the strategy coordinated the development of common policies addressing the economic, environmental and social dimensions of sustainability and established a set of headline objectives to limit climate change and increase the use of clean energy, address threats to public health, and to manage natural resources more responsibly. [24] Although the strategy did not explicitly recognize GHG emissions from the ICT-sector, it was recognised that the next generation of communications infrastructure and services required a strategy for sustainable development [25]. The principles and objectives of the sustainable development strategy (economic prosperity, social equity, environment protection and international responsibilities), were reaffirmed when the European Council adopted its guiding principles for sustainable development in 2004 [25] [27]

To further develop the strategy, the Commission issued a “Platform for action” [28], under which it recognized the need for continuing to invest in R&D (including in ICTs) to find cost- and resource-efficient ways of production and consumption, with an aim to achieve breakthroughs in resource efficiency [25]. This platform was adopted by the Council in 2006, and was called a “renewed strategy”[29].

In March 2007, the EU’s leaders endorsed an integrated approach to climate and energy policy that aims at combating climate change and increasing the EU’s energy security while strengthening its competitiveness. To kick-start this process, the EU Heads of State and Government set a series of



demanding climate and energy targets to be met by 2020, known as the "20-20-20" targets. [30] These are:

A reduction in EU greenhouse gas emissions of at least 20% below 1990 levels. The EU leaders also offered to increase the EU’s emissions reduction to 30%, on condition that other major emitting countries in the developed and developing worlds commit to do their fair share under a global climate agreement.

20% of EU energy consumption to come from renewable resources A 20% reduction in primary energy use compared with projected levels, to be achieved by

improving energy efficiency.

In January 2008 the European Commission proposed binding legislation to implement the 20-20-20 targets [31]. This ‘climate and energy package’ was agreed by the European Parliament and Council in December 2008 and became law in June 2009. The core of the package comprises four pieces of complementary legislation [30]: (1) A revision and strengthening of the Emissions Trading System (ETS), the EU's key tool for cutting emissions cost-effectively. (2) An 'Effort Sharing Decision’ governing emissions from sectors not covered by the EU ETS, such as transport, housing, agriculture and waste. (3) Binding national targets for renewable energy that collectively will lift the average renewable share across the EU to 20% by 2020 (more than double the 2006 level of 9.2%). (4) A legal framework to promote the development and safe use of carbon capture and storage (CCS). The climate and energy package creates pressure to improve energy efficiency but does not address it directly. This is being done through the EU’s energy efficiency action plan [30].

2.2.2 ICT Energy Policy Framework

Since then policy efforts has continued, with an emphasis on putting policy to practice. The Commission recognised in 2008 [32] that even if all measures set out were fully implemented, only 13% energy savings would be achieved – falling short of the set out 20-20-20 targets. Following this, three key communications/recommendation explicitly established an ICT Energy Policy Framework in which the role in which the role of ICT in enabling energy improvements in other sectors as well as its own energy consumption was recognised. [33] [26] [34]:

Communication (May 2008) - Addressing the challenge of energy efficiency through Information and Communication Technologies [36] points to ICT and ICT-based innovations as one of the potentially most cost-effective means to achieve the 2020 targets,

Communication (March 2009) - On mobilising Information and Communication Technologies to facilitate the transition to an energy-efficient, low-carbon economy [33] sets out a policy to exploit the enabling capacity of ICT in contributing to energy efficiency. It suggests measures to promote energy efficiency and a reduction in emissions in the ICT sector and major energy-using sectors, in particular building/construction and transport/logistics. It also suggests measures aimed at mainstreaming the use of tools based on ICTs that are likely to trigger a shift in the behaviour of consumers, businesses and communities and thus support demand for innovative ICT solutions. It suggests that the European Commission acts as an enabler by supporting implementation, R&D and innovation,

Following a public consultation in September 2009, which confirmed that companies do pursue strategies to improve their energy and environmental performance, the Commission published a Recommendation in October 2009 On mobilising Information and Communication Technologies [35] to facilitate the transition to an energy-efficient, low-carbon economy identifies specific actions for stakeholders to exploit ICT to effect change.



In the Recommendation, the Commission sets out for the ICT sector to: (1) Commit to a progressive decarbonisation, through a measurable and verifiable reduction in energy intensity and carbon emissions and to consider of all processes involved in the production, transport and sales of ICT equipments and components; (2) develop of a framework to measure its energy and environmental performance; and to (3) Cooperate with other sectors including building and construction and Transport and logistics. [35] [34]. It also recommended to the Member States, to among other things: support to the rollout of smart metering and implement procurement practices promoting dematerialisation. [35] [34]

A selection of the relevant The EC Green ICT policy framework features and related documents are listed in the table below.

Type Ref. Details

Directive/ Communications/ Decision

Directive 2009/125/EC

Establishing a framework for the setting of ecodesign requirements for energy-related products [37][38]


Energy end-use efficiency and energy services


Establishing a framework for the setting of ecodesign requirements for energy-using products and amending Council Directive 92/42/EEC and Directives 96/57/EC and 2000/55/EC of the European Parliament and of the Council [55]

COM (2009) 111

Mobilizing Information and Communication Technologies to facilitate the transition to an energy-efficient, low-carbon economy [33]

COM (2009) 7604

Recommendation on mobilizing Information and Communications Technologies to facilitate the transition to an energy- efficient, low-carbon economy [35]

COM (2008) 241

Addressing the challenge of energy efficiency through Information and Communication Technologies [36]

COM (2004) 38

Stimulating Technologies for Sustainable Development. An Environmental Technologies Action Plan for the European Union [39]

Council Decision 2006/1005/EC

(EU-US Energy Star Programme) concerning conclusion of the Agreement between the Government of the United States of America and the European Community on the coordination of energy-efficiency labelling programmes for office equipment [40]

Regulations 2008/1275 On requirements for standby and off-mode power consumption[41]

2009/107 On ecodesign requirements for simple set-top boxes [42]

2009/642 On ecodesign requirements for televisions.[43]

Self-regulation as envisaged by the Ecodesign Directive is planned for ‘imaging equipment’ (copiers, printers etc.) and for complex set-top boxes (pay TV).

A regulation implementing the Ecodesign Directive with regard to computers, servers and monitors is planned for adoption in 2010.



Type Ref. Details

Technical, economic and environmental analyses of ‘networked standby’ and ‘sound and imaging equipment’ are under preparation for potential ecodesign measures.

2008/106 On a Community energy-efficiency labelling programme for office equipment [44]

Studies 2008/09 Impacts of Information and Communication Technologies on Energy Efficiency’ by Bio Intelligence Service [38]

2008/06 ‘Smart 2020, Enabling the low carbon economy in the information age’ [45]

2008/04 ‘High Tech: Low Carbon’ [46]

Codes of Conduct (CoC)

Energy consumption of broadband equipment [47]

Energy efficiency of external power supplies [48]

Data centre energy efficiency [49]

Energy efficiency of digital TV service systems [50]

Uninterruptible power supplies [51]

Mandates M439 Standards for measurement of standby and off-mode power consumption

M441 Smart metering

M450 Standards for measurement of no-load-condition electric power consumption and average active efficiency of external power supplies

M451 Power consumption measurement of simple set-top boxes in active and standby modes

M455 Common charging capability for mobile telephones

Table 2-1: Selection of EU Green ICT policy instruments.

Some of the measures that the European Commission are implementing, with focus on energy efficiency, are [34] [52]:

It has facilitated the launch of the ICT for Energy Efficiency Forum where the ICT sector is working to establish a methodology to measure its own carbon emissions and once this has been agreed to commit to reduction targets,

The REVISITE horizontal action: Roadmap Enabling Vision and Strategy for ICT-enabled Energy Efficiency,

JRC voluntary codes of conduct. The JRC has developed a number of Voluntary Codes of Conduct to improve the energy efficiency of data centres, digital TV services, broadband equipment and external power supplies,

Actions related to Digital Agenda, Support for R&D.

These measures are described in more detail in the folowing sections.



2.2.3 The ICT4EE Forum4

The European Commission and the high-tech industry launched the ICT for Energy Efficiency (ICT4EE) Forum on 23 February 2010. The aim of the forum is twofold:

The ICT industry is invited to develop a framework to measure its energy and environmental performance and set itself energy efficiency targets by the end of 2010 and 2011 respectively,

the forum is looking at ways in which the ICT sector can improve energy efficiency in other sectors such as buildings, transport and energy.

Four industry associations have signed up so far represent the European, Japanese and American ICT industries: DIGITALEUROPE, Global e-Sustainability Initiative (GeSI), the Japanese Business Council Europe (JBCE) and TechAmerica Europe. The Forum is made up of 3 working groups that started their work April 2010:

Energy efficiency of ICT processes (focusing on the development of measurement standards),

Using ICT to improve energy efficiency in other sectors (buildings, transport, and energy transformation),

Informed and coordinated policy making.

2.2.4 REViSITE5.

The EC also funds the REViSITE horizontal action: Roadmap Enabling Vision and Strategy for ICT-enabled Energy Efficiency. REViSITE aims to contribute to the formation of a European multidisciplinary 'ICT for energy-efficiency' research community by bringing together the ICT community and four important and complementary application sectors: Smart Grids, Smart Buildings, Smart Manufacturing and Smart Lighting.

The objectives of REViSITE are to:

Establish communication between sectoral ICT4EE communities in the four key industrial domains. The core of the community is formed from the European Technologies Platforms (ETPs) that represent RTD in these sectors (ARTEMIS, ECTP, MANUFUTURE, PHOTONICS21, SMARTGRIDS). REViSITE will identify complementarities between the four target sectors in the area of ICT for energy efficiency (ICT4EE), harmonising common RTD priorities for ICT4EE in the four sectors, and establishing a cross-sectoral "community" with links to different industry sectors and related ETPs,

Develop causal models on the impacts of ICT on energy efficiency and apply this methodology for identifying high-impact RTD priorities. Based on available statistical data and, where such data is not available, estimations by experts, the project aims to identify RTD priorities for ICT4EE,

Develop a cross-sectoral RTD roadmap by identifying and harmonising common topics.

Promote interoperability and standards,

Raise awareness. The project will engage key stakeholders from the four sectors via a 'focus group' and a dedicated concise 'expert group' to compare and analyse sector specific RTD agendas such as Strategic Research Agendas (SRAs) of the relevant European Technology Platforms (ETPs), European and national RTD initiatives etc. A consolidated roadmap will be derived as a synthesis. This will catalyse

4 This section draws on [52][53][54]

5 This section draws on [56]

http://www.revisite.eu/project_light.html

http://cordis.europa.eu/technology-platforms/home_en.html

https://www.artemis-ju.eu/

http://www.ectp.org/

http://www.manufuture.org/

http://www.photonics21.org/

http://www.smartgrids.eu/



synergetic RTD and innovation in multiple sectors by pointing to cross-sectoral RTD opportunities in common areas of interest that have the highest potential impact.

2.2.5 JRC voluntary codes of conduct6

The European Commission’s Joint Research Centre (JRC) has developed a number of Voluntary Codes of Conduct (see Table 2-1) to improve the energy efficiency of data centres, digital TV services, broadband equipment and external power supplies. The codes of conduct provide a platform for bringing European stakeholders together to discuss and agree on voluntary actions that will improve energy efficiency. Their key aim is to inform and stimulate the ICT industry to reduce energy consumption in a cost-effective manner without hampering the critical function of the facility or the equipment. By signing the codes of conduct, the individual companies voluntarily commit themselves to reducing energy consumption by an agreed amount in a pre-defined time scale through the adoption of best practices. Two of these codes of conduct are described below.

Code of conduct on broadband equipment

Broadband equipment accounts for around 15% of the ICT sector's overall energy consumption (or about 47 TWh) in 2010 in the EU. The code of conduct for broadband equipment has existed since 2007 and sets maximum power consumption (in consumer premises and telecom operators' substations) for many different types of equipment (e.g. modems, switches, routers and home gateways). Energy savings are achieved through the mandatory use of the best available low-energy components while making sure that fast and ultra-fast broadband can be delivered to all European citizens by 2020 under the Digital Agenda for Europe (see below). Before September 2010 10 companies (both telecom operators and manufacturers) had already signed this code of conduct, covering about 25 million broadband lines in the EU (27%). With 10 new companies signing up in September 2010, the coverage will raise to 65 million in the EU (72%) plus 10 million more in Norway, Switzerland and Turkey.

Code of conduct on Data Centers

Data Centers include all buildings and facilities, which contain enterprise servers and related server communication equipment to provide some form of data service. Data Centers account roughly for 18 % of the ICT sector's energy consumption and they are expected to grow faster than any other ICT technology.

The code of conduct on Data Centers, introduced in October 2008, aims to avoid outdated design practices that lead to power consumption inefficiencies. In 2010, it was complemented by a series of best practice recommendations on design, purchase and operation in areas like software, IT architecture and IT infrastructure. For instance, on the efficient management of environmental conditions, by providing cooling exactly when and where it is needed most. The code should also help ensure that Data Center operators know the financial, environmental and infrastructural benefits of improving the energy efficiency of their facilities, which is also in line with another key objective of the Digital Agenda: ensuring that the ICT sector leads the way on reporting its greenhouse gas emissions, and adopting a common methodology by 2011, opening the way for other energy intensive sectors to follow. 6 new companies signed this code in September 2010 and joined the 26 participants (with 42 data centres), which are currently registered. There are more than 100 endorsers; i.e. companies that develop products, solutions and programmes to enable data centre owners and operators to meet the goals of the code of conduct.

6 This section draws on [57]



In addition to the two already mentioned, three other codes relating to digital TV services, efficiency of external power supplies and AC uninterruptible power systems have been set up.

2.2.6 Actions related to the Digital Agenda

The Digital Agenda for Europe, one of the seven flagship initiatives of the Europe 2020 Strategy7, sets out to define the key-enabling role that the use of ICT will have to play if Europe wants to succeed in its ambitions for 2020. The objective of the Agenda is to chart a course to maximise the social and economic potential of ICT, most notably the internet, a vital medium of economic and societal activity: for doing business, working, playing, communicating and expressing ourselves freely. It is intended to spur innovation, economic growth and improvements in daily life for both citizens and businesses and enable Europe to better address its key challenges and will provide Europeans with a better quality of life through, for example, better health care, safer and more efficient transport solutions, cleaner environment, new media opportunities and easier access to public services and cultural content. The Digital Agenda frames a number of key actions around the need to systematically tackle seven problem areas, of which missed opportunities in addressing societal challenges including climate change and other pressures on our environment. [58]

The goals of the ICT Energy policy framework (see above) are re-iterated in the Digital agenda. We recall, that the EU has committed to cutting its greenhouse gas emissions by at least 20% by 2020 compared to 1990 levels and to improving energy efficiency by 20 %. The ICT sector has a key role to play in this challenge (as stated in [58]):

ICT offer potential for a structural shift to less resource-intensive products and services, for energy savings in buildings and electricity networks, as well as for more efficient and less energy consuming intelligent transport systems,

The ICT sector should lead the way by reporting its own environmental performance by adopting a common measurement framework as a basis for setting targets to reduce energy use and greenhouse gas emissions of all processes involved in production, distribution, use and disposal of ICT products and delivery of ICT services.

The Digital Agenda emphasises cooperation between the ICT industry, other sectors and public authorities to accelerate development and wide-scale roll out of ICT-based solutions for smart grids and meters, near-zero energy buildings and intelligent transport systems. It is essential to empower individuals and organisations with information that will help them to reduce their own carbon footprint. Smart grids are essential for the move to a low carbon economy. They will enable active control of transmission and distribution via advanced ICT infrastructure communication and control platforms. For the different grids to work together efficiently and safely, open transmission-distribution interfaces will be needed. For instance, almost 20% of electricity consumption worldwide is used for lighting. About 70% of electricity consumption can be saved by combining an advanced technology known as Solid State Lighting (SSL) with intelligent light management systems. SSL lighting is based on technologies developed by the semiconductor industry, in which Europe has a strong position. To achieve emissions reductions, a mix of awareness-raising, training and multi-stakeholder cooperation is required [58].

Four actions (out of 100) revolve specifically around environmental and energy issues [60]:

Action 69: Assess whether the ICT sector has complied with common energy and emmission measures. The EC will assess by 2011 whether the ICT sector has complied with the timeline

7 The European Commission launched in March 2010 the Europe 2020 Strategy to exit the crisis and prepare the EU economy

for the challenges of the next decade. Europe 2020 sets out a vision to achieve high levels of employment, a low carbon economy, productivity and social cohesion, to be implemented through concrete actions at EU and national levels. [60]



to adopt common measurement methodologies for the sector's own energy performance and greenhouse gas (GHG) emissions and propose legal measures if appropriate,

Action 70: Support partnerships between the ICT sector and major emitting sectors. The EC will support partnerships between the ICT sector and major emitting sectors (e.g. buildings and construction, transport and logistics, energy distribution) to improve the energy efficiency and greenhouse gas emissions of these sectors by 2013,

Action 71: Assess contribution of smart grids and define minimum functionalities to promote interoperability. The EC will assess by 2011 the potential contribution of smart grids to the decarbonisation of energy supply in Europe and define a set of minimum functionalities to promote the interoperability of Smart Grids at European level by the end of 2010,

Action 72: Launch Green Paper on Solid State Lighting (SSL). The Commission will: In 2011 publish a Green Paper on Solid State Lighting (SSL) to explore the barriers (for the wide deployment of SSL technology) and to put forward policy suggestions; it will in parallel support demonstration projects using the CIP.

In addition it is stated that the Member States should [58]:

Agree by the end of 2011 common additional functionalities for smart meters,

By 2012 include specifications for total lifetime costs (rather than initial purchase costs) for all public procurement of lighting installations).

2.2.7 Energy Efficiency and the R&TTE Directive

The R&TTE (Radio equipment and Telecommunications Terminal Equipment) Directive [142] represents the basic regulatory framework for wireless devices in Europe and is about to be revised in 2011. During this revision, modifications are expected to be included that will trigger a proliferation of Reconfigurable Radio Systems (RRS) technology. In this framework, the usage of RRS technology is building on two market models: i) In the Vertical Market Model framework, one single entity controls all reconfiguration processes and controls available SW components. The provision of novel features, like novel Radio Access Technologies (RATs), may impact device certification. Such a case is currently not covered under the existing regulatory regime and is expected to be addressed in the novel revised R&TTE Directive; ii) In the Horizontal Market Model framework, several independent entities can provide software components and the reconfiguration process is not controlled by a single entity – this concept is thus more general compared to the Vertical Market Model and is expected to be introduced in a second step. Here, the provision of features, e.g. update of a RATs by 3rd party Software (SW) providers may impact device certification. Again such a case is currently not covered under the existing regulatory regime and is expected to be addressed in the novel R&TTE Directive revision.

The key paragraph related to the proposed changes to the R&TTE Directive is the novel paragraph 3bis, whose current version (as of June 2011, as discussed in the framework of ETSI RRS) is as follows:

“3bis - Modification of radio equipment by software

1. Manufacturers of radio equipment shall take steps to ensure that software having the

potential to affect the compliance of radio equipment with the essential requirements in this

Directive can only be loaded into the radio equipment where the compliance with the

essential requirements in this Directive of the combination of software with the radio

equipment has been demonstrated.



2. The Commission may decide that, in order to facilitate the emergence of competition

in the provision of software for radio equipment, information on the compliance of

combinations of software and radio equipment shall be made available. In taking such a

decision, the Commission shall determine the date of application of the decision, the

categories of radio equipment concerned, and the means and requirements for making the

information on compliance available. Such decisions shall be adopted in accordance with the

procedure referred to in Article 15a.”

The main concern of regulation administrations is typically related to the identification of responsibilities, e.g. in case that a device does not operate following the rules, or in post market surveillance. Both the Horizontal Market Model and Vertical Market Model are leading to challenges in order to address those requirements appropriately.

In the framework of the ETSI Reconfigurable Radio Systems (RRS) Technical Body (TB), related standardization is ongoing. In particular, [143] illustrates a general Cognitive Radio Systems (CRS) vision related to reconfigurable radio devices. [144] gives a more detailed Mobile Devices (MDs) architecture approach for enabling efficient reconfiguration of such devices, typically based on Software Defined Radio (SDR) concepts. The solution indicated in [144] is expected to provide the technological basis for enabling the introduction of the Horizontal and Vertical Market Models.

A key requirement for enabling the introducing of reconfigurable mobile devices as detailed in the draft revision of the R&TTE Directive lies in the availability of “dynamic Certification” mechanisms as detailed in [145]. ETSI RRS is currently initiating related working directions. Those dynamic certificates are expected to be granted to specific mobile devices which intend to download, install and operate a number of software components that may run simultaneously. The following Message Sequence Charts illustrates the key concepts:

Figure 2-4: Information Flow for SW component update, including exchange of certificates [145].

Mobile Device

(MD)

Network

InfrastructureControl Point CPC Provision

.

Regulatory

Database

1. obtain

knowledge about

available RATs

2. Change of RAT

SW

2.1 Request of new

RAT SW component(s)

1.1 Context Provision

2.2 Delivery of new

RAT SW component(s)

3. Request of

Certificates3.1 Provision of information related to all installed SW components,

including their installation order and request of certificates

4. Obtention of

certificates4.1 The regulatory database may i) not allow the installation of new

SW components, ii) unconditionally allow the operation of the new

SW component or iii) allow the operation of the new SW component

under a set of given conditions, e.g. all SW components need to be

re-installed in a given order, etc.

5. Request of

intermation on

certificates5.1 A regulatory entity requests information related to certificates of

installed software components, e.g. after the crossing of country borders

a new regulatory administration may request this information, etc.

5.2 The mobile device provides the requested information on certificates

and related installed SW components

5.3 The regulatory entity may request a change of the MD configuration

and may eventually provide novel certificates



Finally, it can be stated that the novel revised R&TTE Directive will, as soon as it is approved and in force, most likely change the mobile device market in a profound way. Indeed, there is a major change in the regulatory framework under way which will move from a “no reconfigurability features (affecting the compliance to the fundamental requirements of the R&TTE Directive)” to a “full reconfiguration” framework. In such a new market context, the energy efficiency and self-growing solutions elaborated by the CONSERN project are expected to play a key role.

2.2.8 Research and Technological Developments

Green ICT is now one of the main topics of the Work Programmes: 7th Framework Programme for Research: FP7 and Competitiveness and Innovation Framework Programme: CIP.

2.2.8.1 The Seventh Framework Programme for Research and Rechnological Development – FP7

The Seventh Framework Programme for research and technological development (FP7) is the European Union's chief instrument for funding research over the period 2007 to 2013 amounting to 51 billion euros over 7 years. It plays a crucial role in reaching the goals of growth, competitiveness and employment, along with a new Competitiveness and Innovation Framework Programme (CIP), Education and Training programmes, and Structural and Cohesion Funds for regional convergence and competitiveness. It is also a key pillar for the European Research Area (ERA) [61][62].

The broad objectives of FP7 have been grouped into four categories: Cooperation, Ideas, People and Capacities. For each type of objective, there is a specific programme corresponding to the main areas of EU research policy. The specific programme on 'Cooperation' supports all types of research activities carried out by different research bodies in trans-national cooperation and aims to gain or consolidate leadership in key scientific and technology areas. FP7 allocates more than EUR 32 billion to the Cooperation programme. The budget will be devoted to supporting cooperation between universities, industry, research centres and public authorities throughout the EU and beyond. The Cooperation programme is sub-divided into ten distinct themes. Each theme is operationally autonomous but aims to maintain coherence within the Cooperation Programme and allowing for joint activities cutting across different themes, through, for example, joint calls [61][62].

The ten identified themes reflect the most important fields of knowledge and technology where research excellence is particularly important to improve Europe’s ability to address its social, economic, public health, environmental and industrial challenges of the future. Across all these themes, support to trans-national cooperation will be implemented through: ([61][62])

Collaborative research: European Excellence,

Coordination between national research programmes,

Joint Technology Initiatives,

Technology Platforms.

Green ICT in FP7

R&D in Green ICT has received increased attention and is considered throughout the whole work programme of 2011-12. In particular there is one dedicated challenge – Challenge 6 – ICT for a low carbon economy, which received € 280 million (a 76% increase compared to WP 2007-08). Challenge 6 concentrates on the development of ICT to achieve substantial efficiency gains in the distribution and use of key resources such as energy and water, as well as the application of ICT to decarbonise

transport and make it safer. There are also two PPPs (Public Partnership Projects) with cross-thematic coordinated calls): (1) Energy efficient buildings which will receive € 50 million from ICT theme (Challenge 6) and (2) Green cars which will receive 60 m€ from the ICT theme (Challenge 6). [34][63].



In the WP 2011-12 the Challenge 6 focuses on the following objectives and calls [34]:

Smart Energy Grids (30m€),

ICT systems for energy efficiency (35m€),

ICT for efficient water resources management (15m€),

ICT for energy-efficient buildings and spaces of public use (20m€),

ICT for energy-positive neighbourhoods (30m€),

Low carbon multi-modal mobility and freight transport (50m€),

Cooperative systems for energy-efficient and sustainable mobility (40m€),

ICT for fully electric vehicles (60m€).

Regarding the other challenges, Objective 1.1: Future Networks targets the development of energy-efficient future network infrastructures that support the convergence and interoperability of heterogeneous mobile, wired and wireless broadband network technologies as enablers of the future Internet, has a budget of Euro 154 million [34]. Several areas in that objective explicitly focus on energy efficiency, see excerpts listed below (from [34] [63]):

Wireless and broadband systems o “… in the longer term, R&D targeting new radio transmission paradigms and system

designs taking into account the need for radical cost and energy per bit reduction…”, o “Novel radio network topologies, taking into account the need for … energy

efficiency (…) and smaller low power base stations”.

High capacity end-to-end infrastructure technologies o “Ubiquitous fast broadband access: … seamless transparent end-to-end connectivity

using optimized protocols and routing for energy efficiency and cost reduction.” o “Ultra high capacity all optical networks … reducing the need for electronic-optical

conversion, to solve the problem of unsustainable growth of power consumption of electronic routers …”

Novel Internet architectures, management and operation frameworks o “Future Internet architectures that are resilient, trustworthy and energy-efficient

and designed to support open access, increasing heterogeneity of end-points and networks”.

Within the Future networks objective there are already four Green ICT projects (as identified by [34]): Earth [65], ECOnet [67], c2Power [66] and Trend [68]. These are summarized in Table 2-2.

Project Key data Description

EARTH Energy Aware Radio and neTwork tecHnologies

IP project

Funding: 14.8 m€ (out of which 9.5 m€ of EC funding)

Time: 3 years (Jan 2010 – Dec 2012)

Partners: 15 partners from 10 EU countries

Investigates the energy efficiency of mobile communication systems applying an integrated approach, investigating the energy efficiency of mobile systems from component level to network deployment and management.

Target: to reduce the energy consumption of mobile systems with at least 50%

Focus: mobile cellular systems of LTE and its evolution LTE-A, but it will also consider 3G (UMTS/HSPA) technology for immediate impact.

Highly relevant project in terms of approach, although focused on 3G and LTE.

C2POWER Funding: 5.1 m€ (out of which 3.4 m€ of EC

Researches, develops and demonstrates energy saving technologies for multi-standard wireless mobile devices,



Project Key data Description

funding)

Timing: 3 years (Jan 2010 – Dec 2012)

Partners: 10 partners from 7 EU countries

exploiting the combination of cognitive radio and cooperative strategies while still enabling the required performance in terms of data rate and QoS to support active applications. Focus on two techniques to increase power efficiency at the wireless interface of handsets [66]:

Cooperative power saving strategies between neighbouring nodes using low power short range communications

Cognitive handover mechanisms to select the Radio Access Technology which has the lowest energy

demand in heterogeneous environments

Objective: is to reduce of energy consumption of mobile devices by up to 50% (for the wireless subsystem)

Technologically closer to CONSERN but the approach is less relevant for impact assessment

ECONET - Low Energy COnsumption NETworks

Funding: 10.1 m€ (out of which 6.1 m€ of EC funding)

Timing: 3 years (Oct 2010 – Sep 2013)

Partners: 15 partners from 7 EU countries + Israel

Studying and exploits dynamic adaptive technologies (based on standby and performance scaling capabilities) for wired network devices that allow saving energy when a device (or part of it) is not used. The project is devoted to re-thinking and re-designing wired network equipment and infrastructures towards more energy-sustainable and eco-friendly technologies and perspectives.

Trend

Network of Excellence

Funding: 4.4 m€ (out of which 3 m€ of EC funding)

Timing: 3 years (Sep 2010 – Sep 2013)

Partners: 12 partners from 6 EU countries + Switzerland (e.g. IBBT

The objective is to integrate activities of several major European players in networking to quantitatively assess the energy demand of current and future telecom infrastructures, and to design energy-efficient, scalable and sustainable future networks

WP1 is highly relevant for CONSERN. But has not published any deliverables yet.

Table 2-2: Four key EU funded projects.

(Sources: Based on [34] [65] [67] [66] [68])

2.2.8.2 Competitiveness and Innovation Framework Programme: CIP

The Competitiveness and Innovation Framework Programme (CIP) was adopted in 2006. It runs for the years 2007-2013 and is organised around three specific programmes [69]:

The Entrepreneurship and Innovation Programme (EIP);

The Information and Communication Technologies Policy Support Programme (ICT PSP);

The Intelligent Energy-Europe Programme (IEEP).



Although the Intelligent Energy-Europe Programme (IEEP) would provide ample room for ICT-based Energy solutions, in the following we will concentrate on the Information and Communication Technologies Policy Support Programme (ICT PSP). The 2010 ICT PSP 2010 programme was still framed within the EU strategic framework, i2010 – A European Information Society for growth and employment. The ICT PSP in the CIP is one of the main financial instruments of i2010. [69]

The ICT PSP aims to stimulate innovation and competitiveness and accelerate the development of a sustainable, competitive, innovative and inclusive information society. It supports activities to accelerate innovation and implementation of ICT based services and systems, by creating favourable conditions for business developments and on raising awareness of the benefits of the technology innovations notably to SMEs. It focuses the uptake of ICT and exploitation of digital content in areas of public interest like energy efficiency requires more proactive policies, recognising major hurdles such as include the unavailability of ICT-based services, the lack of interoperability of solutions across the Member States as well as the market fragmentation of the information space and of ICT-based solutions. The ICT PSP aims develop markets for innovative ICT- based solutions and digital content notably in areas of public interest, in order to open a wide range of new business opportunities in particular for innovative SMEs that provide such solutions.

The ICT PSP 2010 focuses on 6 themes: of which ICT for a low carbon economy and smart mobility is one, through three types of funding mechanisms: (1) Pilot (Type A) - building on initiatives in Member States (MSs) or associated countries; (2) Pilot (Type B) - stimulating the uptake of innovative ICT based services and products; (3) Thematic Network (TN) - providing a forum for stakeholders for experience sharing. In 2010, a total of € 19 million was budgeted for (1) ICT for energy and water efficiency in social housing, (2) ICT for water efficiency, (3) Energy efficient co-operative transport management systems and (4) Support to eCall implementation based on 112. [69]

The ICT PSP 2010, has a similar focus, but departs instead from new Digital Agenda Framework. Its draft work programme has a budget for € 24 million within the same theme 1, for (1) Innovative lighting systems based on Solid State Lighting (SSL), (2) ICT for Energy Efficiency in Public Buildings and (3) Smart Connected Electro-Mobility. [70]

2.3 Standardization efforts8 There has been a considerable effort among various standardization institutes and organizations to contribute to the ongoing standardization work related to climate change and Green ICTs. In order to fill the existing gaps, some new bodies and consortiums have been created. Table 2-3 gives an overview of standardization efforts in progress, in a wide spectrum, the standardization work ranges from policy formulation to data aggregation, initiatives including green labelling of products etc.

Domain Organization/Initiative/Consortia

Policy EU, IEA, OECD, UNEP, World Bank

Indicators and statistics OECD, WMO

Data Aggregation and Modelling ISO TC 211, IEEE SCC 40

Corporate Responsibility and Reporting GHG Protocol Initiative, ISO JTC1/SC7

Equipment Energy Efficiency ATIS, CENELEC, Energy Star, ETSI, IEC, ISO, ITU-T

Communication Networks Energy Efficiency Ethernet Alliance, ITU-T,TIA, GESI/EE-IOCG

Equipment Labelling CENELEC, Energy Star, TCO, CLASP

Table 2-3: Standardization efforts across the world.

Source: Adapted from [9]

8 Note that this section draws heavily on [9] unless stated otherwise.



In the following, we describe current state of the art standardization initiatives (as identified by ITU) that are relevant to CONSERN, apart from the policy initiatives and the bodies related to indicators and statistics, which are described above.

2.3.1 Data Aggregation and Modelling

2.3.1.1 ISO

ISO (International Organization for Standardization) is the world’s largest developer and publisher of international standards. It is a network of the national standards institutes, one member per country, with a secretariat in Geneva. ISO is a non-governmental organization bridging the public and private sectors. It is engaged in several activities with an impact on ‘Green ICT’, including::

Monitoring climate change (e.g., ISO/TC 211),

Quantifying GHG emissions and communicating environmental effects (e.g., ISO/TC207 on environmental management),

Promoting good practice in environmental management and design (e.g., ISO 14001). The International Organization for Standardization (ISO) formed Technical Committee 207 on Environmental Management, the scope of the committee being: "standardization in the field of environmental management tools and systems." ISO/TC 207 does not set limit levels or performance criteria for operations or products; instead, its activities are based on the philosophy that improving management practices is the best way to improve the environmental performance of organizations and their products. [72]

ISO/TC 207 is the umbrella committee under which the ISO 14000 series of environmental management standards are being developed. The subcommittees (SC) and working groups (WG) of ISO/TC 207 are producing standards and guidance documents in the following areas [9]:

Sub-Committee Areas

SC 1 Environmental Management Systems (EMS)

SC 2 Environmental Auditing & Related Investigations (EA&RI)

SC 3 Environmental Labelling (EL)

SC 4 Environmental Performance Evaluation (EPE)

SC 5 Life Cycle Assessment (LCA)

SC 7 Greenhouse Gas Management and Related Activities

TCG Terms and Definitions (T&D)

Table 2-4: ISO 207 Sub-CommitteeS.

Source: [9]

The scope of ISO TC/211 involves standardization in the field of digital geographic information, through establishment of a structured set of standards for information concerning objects or phenomena that are directly or indirectly associated with a location relative to the Earth. These standards may specify, for geographic information, methods, tools and services for data management (including definition and description), acquiring, processing, analyzing, accessing, presenting and transferring such data in digital/electronic form between different users, systems and locations. [73]

http://www.iso.ch/



2.3.2 Corporate Responsibility and Reporting

2.3.2.1 Greenhouse Gas (GHG) Protocol Initiative

The GHG Protocol Initiative is a partnership between: World Resources Institute (WRI) and World Business Council for Sustainable Development (WBCSD). The mission of the Greenhouse Gas Protocol Initiative (GHG Protocol) is to develop and promote internationally accepted greenhouse gas (GHG) accounting and reporting standards through an open and inclusive process. [9]

The GHG Initiative has also developed various tools and methodologies [74] to assist companies and industries regarding their emission footprints. For accounting and project assessment purposes, the GHG Initiatives also provides additional guidance documents, termed as Project Protocol [75]. The Project Protocol is the most comprehensive, policy-neutral accounting tool for quantifying the greenhouse gas benefits of climate change mitigation projects. GHG emissions are categorized in terms of three “scopes” as shown in Table 2-5 below.

Scope Emission Sources and categorization

Direct GHG emissions GHG emissions occur from sources that are owned or controlled by the company, for example, emissions from combustion in owned or controlled boilers, and vehicles, or emissions from chemical production in owned process equipment.

CO2 emissions from the combustion of biomass are not included but reported separately.

GHG emissions not covered by the Kyoto Protocol (e.g., CFCs and NOx) are not included but may be reported separately.

Indirect GHG emissions (Electricity)

GHG emissions from the generation of purchased electricity consumed by the company, occurring at the facility where electricity is generated.

Other indirect GHG emissions Optional reporting category that allows for the treatment of all other indirect emissions that are a consequence of the activities of the company, but occur from sources not owned or controlled by the company. (e.g., production of purchased materials, transportation of purchased fuels; and use of sold products and services).

Table 2-5: Overview of GHG Emissions.

Source: [9]

2.3.3 Equipment Energy Efficiency

2.3.3.1 Alliance for Telecommunications Industry Solutions (ATIS)

The Alliance for Telecommunications Industry Solutions (ATIS) is an organization based in the United States of America and accredited by the American National Standards Institute (ANSI). It works on the technical and operational issues considered most important by its members, creating interoperable, implementable, end-to-end solutions, what it terms “standards when the industry needs them and where they need them” [9], including IPTV, Service Oriented Networks, Home



Networking, Energy Efficiency, IP-Based and Wireless Technologies, Quality of Service, Billing and Operational Support.

The Sustainability in Telecom: Energy Efficiency Committee (STEP) under the umbrella of ATIS, develops and recommends standards and technical reports related to power systems, electrical and physical protection for the exchange and interexchange carrier networks, and interfaces associated with user access to telecommunications networks9. Efforts relating to the Green Initiative occur in the following sub-committees and working groups:

The Telecommunications Energy Efficiency Subcommittee (STEP-TEE) develops standards and technical reports, which define energy efficiency metrics, measurement techniques and new technologies, as well as operational practices for telecommunications components, systems and facilities.

The Network Physical Protection Subcommittee Pb-free Working Group (STEP - NPP PWG) proposes, develops, and recommends Standards and Technical Reports relating to the use of lead or the restriction of lead in solder used in the manufacturing of telecommunications network equipment.

ATIS, through its Committee on Network Interface, Power, and Protection (NIPP) is working on a standardized assessment of equipment energy requirements. The primary agenda of this committee is to create a uniform method for measuring telecommunication equipment energy consumption (power), as well as establishing efficiency metrics and reporting methods. It has released three main documents [9]:

Energy Efficiency For Telecommunication Equipment: Methodology For Measurement and Reporting General Requirements.

Energy Efficiency For Telecommunication Equipment: Methodology For Measurement and Reporting Server Requirements.

Energy Efficiency For Telecommunication Equipment: Methodology for Measurement and Reporting Transport Requirements.

ATIS also launched an Exploratory Group commissioned by its Board of Directors commissioned to investigate how ATIS and its members can address environmental sustainability. The group’s objectives included [9]:

development of a basic Green taxonomy.

categorization and assessment of existing vs. needed standards, best practices and matrices from a technical, regulatory/policy and business perspective.

development of an Industry Roadmap to prioritize and advance issues associated with ICT sustainability such as energy management and applications and services.

2.3.3.2 Energy Star

Energy Star is a joint program of the U.S. Environmental Protection Agency and the U.S. Department of Energy aimed at cost reductions and protecting the environment through energy efficient products and practices. The Energy Star program has developed energy performance rating systems for several commercial and institutional building types and manufacturing facilities. These ratings, on a scale of 1 to 100, provide a means for benchmarking the energy efficiency of specific buildings and industrial plants against the energy performance of similar facilities.

9 Source http://www.atis.org/STEP/index.asp

http://www.atis.org/STEP/index.asp



Energy Star standards have been developed for a wide range of devices, including [9]:

Battery Chargers and Battery Charging Systems,

End Use Devices –PC, Monitors, Laptops etc.,

Copiers and Fax Machines,

Mobile and Fixed Telephony Devices,

External Power Adapters,

Televisions and other housing appliances.

2.3.3.3 ETSI

The European Telecommunications Standards Institute (ETSI) produces standards for Information and Communications Technologies (ICT), including fixed, mobile, radio, converged, broadcast and Internet technologies. ETSI’s Green Agenda [76] is a strategic item during 2008. It adopts the ISO 14001 and 14004 standards, together with a green checklist for all work on standards. Its technical committee on Environmental Engineering (ETSI EE) is concerned with the reduction of energy consumption in telecommunications equipment and related infrastructure. Its present work includes [9]:

The use of alternative energy sources in telecommunication installations,

Reverse powering of small access network node by end-user equipment,

Energy efficiency of wireless access network equipment,

ICT energy consumption and global energy impact assessment methods.

2.3.3.4 ITU-T

The International Telecommunication Union is the main United Nations agency for information and communication technology issues. ITU’s Telecommunication Standardization Sector (ITU-T) produced over 160 new and revised standards (ITU-T Recommendations), ranging from core network functionality and broadband to next-generation services like IPTV. ITU-T also coordinates global efforts, promotes technical excellence and impartiality in standards development, and builds the consensus needed to ensure that new technologies and equipment are embraced worldwide.

International Telecommunication Union (ITU) started its work on climate change since 2007 with its technical watch report. It held two symposiums at Kyoto and London in April and June of 2008 respectively. Based on the discussion at the symposiums, ITU-T Focus Group on ICTs and Climate Change (ITU-T FG ICT&CC) was established in July 2008 by the ITU-T Telecommunication Standardization Advisory Group (TSAG) as an open group tasked to perform rapidly an impact analysis on "ICTs and Climate Change." The FG ICTs & CC published the following four deliverables [77]:

Deliverable 1, Definitions: The aim of this work was to reach consensus on those key definitions that would be needed for work on "methodologies" under the Deliverable 3. Definitions of unit(s) of energy and unit(s) of efficiency were highlighted,

Deliverable 2, Gap analysis: This work was performed to identify existing standards that are relevant to ICTs and Climate Change, so as to avoid "reinventing the wheel",

Deliverable 3, Methodology: This work aims to provide an internationally agreed method of calculating two elements - first the energy usage and carbon impact arising from the ICT sector over the entire life cycle of ICT devices, and second the mitigation that can be achieved by substituting ICT services and devices for intensive fossil-fuelled activities such as travel and transport through dematerialization,

Deliverable 4, Direct and indirect impact of ITU-T standards: This work developed tools (e.g. Checklists) and guidelines to allow ITU-T Study Groups to evaluate, for each Question, the



possible future C02e reduction of technologies in terms of direct emissions from ICTs and possible savings in terms of Climate Change mitigation from the use of ICTs.

The Focus Group completed its mandates and was closed by the ITU-T TSAG meeting in April 2009. The TSAG meeting appointed ITU-T Study Group 5 (SG 5) as a lead Study Group for the subject of ICTs and Climate Change. The title of SG 5 has since then been changed to "Environment and Climate Change" to reflect its new mandate. A new Working Party (WP) has been created under the SG5 for ICT and Climate Change at its May 2009 meeting. Five Question Groups under the new WP are established as following [77]:

Q.17/5 (Coordination and Planning of ICT&CC related standardization) ,

Q.18/5 (Methodology of environmental impact assessment of ICT): the role of this Question Group is to develop Recommendations on methodology for environmental impact assessment of ICTs considering general principles,

Q.19/5 (Power feeding systems): this Question Group will develop standards on the characterizations and specifications of the power feeding system,

Q.20/5 (Data collection for Energy Efficiency for ICTs over the lifecycle),

The focus is on establishing metrics for collecting data on energy efficiency for ICTs over the lifecycle, and collecting that data,

Q.21/5 (Environmental protection and recycling of lCT equipments/facilities Communication Networks Energy Efficiency.

A Joint Coordination Activity (JCA) on ICTs and Climate Change (JCA-ICT&CC) has been established under ITU-T SG 5 for coordination of ICT&CC issue. Other ITU-T Study Groups are encouraged to develop energy efficiency technologies within their work scopes [77].

2.3.4 Communication Networks Energy Efficiency

2.3.4.1 Ethernet Alliance

2.3.4.2 ITU-T

See Section 2.3.3.4

2.3.4.3 TIA

The Telecommunications Industry Association (TIA) is an industry association, engaged in standards development, advocacy, the collection of market intelligence and worldwide environmental regulatory analysis. It aims to improve the business environment for its members. TIA has helped develop networking standards that have been used worldwide. [9].

As a member of GSC it supports work addressing climate change. EIATRACK is its benchmark for environmental intelligence and product-oriented regulatory tracking and analysis. It includes a database of more than 2,000 electronics recycling locations in the United States of America. The Telecommunications Infrastructure Standard for Data Centers (TIA-942) specifies site space and layout, cabling, tiered reliability and environmental considerations. Addendum 2, a future project, will expand the standard to allow for wider ranges of temperature and humidity, permitting lower power consumption and reducing of Heating, Ventilating and Air Conditioning (HVAC) [9].

2.3.4.4 Energy Efficiency Inter-Operator Collaboration Group – EE-IOCG

The main purpose of EE-IOCG is to define high level strategic actions focused on energy efficiency and general sustainability towards standardization bodies and vendors. The operators participating the in the consortia, are seeking to increase their energy efficiency, pushing towards earlier



availability of new equipment, for networks as well as for users, with reduced power consumption. [9] (See also Section 2.4.2 on GeSI)

2.3.5 Equipment Labelling

2.3.5.1 Energy Star

See Section 2.3.3.2.

2.3.5.2 CLASP

The Collaborative Labeling and Appliance Standards Programme (CLASP) is a non profit organization focused on ensuring that energy consuming appliances, equipment and lighting products are designed and manufactured for maximum energy efficiency and the regulations governing the manufacture and distribution of these products worldwide are aligned or harmonized in order to maximize the economic and environmental benefits to consumers and create a more sustainable society. Standards and Labels (S&L) for the energy efficiency of appliances, equipment, and lighting products are seen as a cost-effective policy for conserving energy, fitting well with other energy policies. Efficiency standards and labels can help achieve the shift to energy efficient technologies and improve national energy efficiency. The United States Agency for International Development (USAID) and the United Nations Foundation, provided launch funding for CLASP [9].

2.3.6 Conclusion

This section has provided an overview of Green standardisation efforts, as identified by ITU. As mentioned above, GeSI and the EE-IOCG’s Standardisation Branch have joined forces to combine and strengthen their individual efforts on developing common industry standards for energy efficiency ratings. EE- IOCG has developed the Standardisation Landscape document that will enable setting up effective strategies and actions towards the different SDOs [78]. According to them, the numerous subdivisions of energy efficiency standardisation have caused fragmented results and delayed availability in the past, but with this new tool, customers can save money, time, and effort by clarification of: what has been completed, what remains in development, collusion and what is missing. [78] This landscape is available at [78], and could form an alternative way in of positioning CONSERN in standardisation activities. (See also the presentation available at [78]).

2.4 Industry Initiatives and Strategies

While policy increasingly recognize the importance and potential of Green ICT, the ICT sector also needs to step up its efforts in reducing energy consumption and the CO2 footprint. Already, there are a number of initiatives taken, by collaborative industry fora, as well as by the companies themselves. This section reviews these initiatives.

2.4.1 Industry Associations

Industry associations and industry consortia are major developers of large-scale initiatives on ICT and the environment. Three different types of industry associations have been identified by [15] as having established large-scale initiatives on ICT and the environment:

Sector specific industry associations, which only include companies within a specific sector. Examples are the Consumer Electronics Association (CEA), the European Telecommunications Network Operators' association (ETNO), or the Silicon Valley Leadership Group. Industry associations can be international like ETNO or national like CEA,

Non-sector specific industry associations, consisting of companies across multiple sectors,



which have mainly come together to establish their initiative on ICT and the environment. Some examples are the Climate Savers Computing Initiatives, the Green Grid and the Global e-Sustainability Initiative (GeSI). Most non-sector specific industry associations are operating globally,

Industry associations have been established to promote standardisation among members. Examples are the Alliance for Telecommunications Industry Solutions (ATIS), The European Telecommunications Standards Institute (ETSI), and the Institute of Electrical and Electronics Engineers (IEEE). [15] These overlap with the standardisation organisations described in the next section.

Some initiatives of the industry associations have also been conducted in partnership with governments. The Green IT Promotion Council, for instance, was initiated by Japanese METI in co-operation with several Japanese industry associations in the ICT sector. Another example is the web portal (www.ITK-beschaffung.de) that has been established in partnership between the German Federal Ministry for the Environment, Nature Conservation and Nuclear Safety, the German Federal Environment Agency and the German Association for Information Technology, Telecommunications and New Media (BITKOM). In general these programmes shows a stronger focus on direct impact of ICT, but a similar focus on energy use as the government programmes [15].

2.4.2 Global e-Sustainability Initiative (GeSI)

The Global e-Sustainability Initiative (GeSI) was set up in 2001 partly as an industry response the Millennium development goals. GeSI brings together leading ICT companies – including telecommunications service providers and manufacturers as well as industry associations – and non-governmental organisations committed to achieving sustainability objectives through innovative technology [79].

GeSI aims to promote effective industry action and innovation to manage the risks associated with ICT and realise its potential in creating a low-carbon economy. The work focuses on five key areas [80]:

Climate Change: To develop a methodology and standards to measure and cut the carbon footprint of the ICT sector, and enable other industries to reduce their emissions through innovative technology,

Energy Efficiency: To develop common standards across ICT companies which will facilitate measuring greenhouse gas emissions more efficiently. The EE-IOCG (energy efficiency Inter-operators coalition group) leads this initiative within GeSI,

E-waste: To promote take-back and create tools to ensure electrical and electronic equipment is disposed of responsibly at end-of-life, and materials are reused or recycled wherever possible,

Policy/Standards: To engage with policymakers and other stakeholders to promote the contribution ICT can make to sustainability,

Supply chain: To promote good conduct and develop or improve tools, management practices, processes or systems to assist each participant and their supply chain in dealing with CR supply chain risks.

The SMART 2020 report [45] published in June 2008 and carried out on behalf of GeSI by The Climate Group, with independent analysis from McKinsey, was one of the first major studies identifying how the ICT industry could significantly contribute to creating a low carbon economy. The report also includes a series of objectives to reduce the ICT industry’s own emissions and set an example for other sectors.

http://www.itk-beschaffung.de/



It concluded that emissions from the ICT sector would represent an estimated 2.8% of total global emissions by 2020, while ICT would enable others to achieve significant emissions reductions, corresponding to 15% of the predicted total global emissions (or five times ICT’s own footprint). The biggest opportunities according to the report, are to be found in Smart motor systems, Smart logistics, Smart buildings, Smart grids and Dematerialisation. [80]. GeSI is continuing to work on realising the opportunities outlined by SMART 2020 in two key areas: (1) Achieving the commitments made in the SMART 2020 report (2) Evolving the SMART 2020 research to explore specific areas in more depth. [80].

GeSI and member companies made a series of commitments published in the SMART 2020 report (see below). These focus on reducing the carbon footprint of the ICT sector and realising the opportunities identified to enable emissions reductions in other sectors. GeSI plans to achieve goals:

(1) Working with public policy makers; (2) Developing and agreeing an industry-wide methodology for the carbon footprinting of ICT products and services, working with the World Resource Institute, the World Business Council for Sustainable Development and the industry-led EU Methodology Consortium, (3) Working with organisations in the key opportunity areas – transport, buildings, grids and industry systems – to help turn potential CO2 reductions into reality, and highlight the significant opportunities offered by dematerialization; (4) Ensuring that energy and climate change matters are fully considered by the standardisation organisations, (5) Emphasising climate issues in our supply chain work to reduce emissions from manufacturing electronic equipment.

GeSI will expand the SMART 2020 research to focus on individual countries and regions. Research is planned for China, India, Europe and South America in 2009 and 2010. It will also commission further research to investigate how ICT can reduce emissions in each of the key areas identified by the global report, looking first at dematerialisation. [80].

Within the area of energy efficiency, GeSI and the EE-IOCG’s Standardisation Branch have joined forces to combine and strengthen their individual efforts on developing common industry standards for energy efficiency ratings. The mission of the EE-IOCG is to define high level strategic actions focused on energy efficiency and general sustainability towards standardisation bodies and vendors. This collaboration is aimed at accelerating the introduction of ICT practices and services addressing global sustainability. EE-IOCG has developed the Standardisation Landscape document that will enable setting up effective strategies and actions towards the different SDOs. Energy Efficiency Standardisation’s numerous subdivisions have caused fragmented results and delayed availability in the past but with this new tool, customers can save money, time, and effort by clarification of: what has been completed, what remains in development, collusion and what is missing.[78]

2.4.3 Industry Strategies

Clearly the rising awareness of the ICTs environmental footprint, energy consumption and the corresponding costs have triggered ICT companies to include Green ICT in their strategic agendas and to set up rather ambitious goals for reducing their direct footprint. (Table 2-6).

Company Target reduction %

Baseline year Target year Type of improvement

Alcatel–Lucent 10 2007 2010 CO2 emissions of facilities

AMD 33 2006 2012 GHG emissions per manufacturing index

Bell Canada 15 Not given 2012 GHG emissions

British 80 1996 2020 CO2 emissions per unit of



Company Target reduction %

Baseline year Target year Type of improvement

Telecom contribution to GDP

Cisco Systems 25 2007 2012 GHG emissions

Dell Additional 15 Not given 2012 Operational carbon intensity

Deutsche Telekom

20 2006 2020 CO2 emissions

Ericsson 15 - 20 2006 2008 Energy efficiency

France Telecom

20 2006 2020 CO2 emissions

Hewlett-Packard

16 - 40 2005 2010-2011 Energy and GHG emissions for operations and products

IBM 7 2005 2012 GHG emissions

Intel 20 2007 2012 GHG emissions per production unit

Intel 30 2004 2010 GHG emissions per production unit

Motorola 6 2000 2010 CO2 emissions

Nokia 6 2006 2012 Energy consumption of offices and sites

Nokia Siemens Networks

20 - 49 2007 2009-2010 Energy consumption of products

Sun Microsystems Inc.

20 2007 2015 GHG emissions

Telecom Italia 30% increase 2007 2008 Eco-efficiency indicator

Vodafone Plc 50 2006/2007 2020 CO2 emissions

Table 2-6: Examples of action plans from the ICT industry.

Source: [34]

Clearly, companies operating in the ICT sector have a unique opportunity to trigger significant environmental benefits by upgrading their operations and by developing greener products and services for their clients. As indicated in Figure 2-5, companies are already taken a number of measures in this direction. However, according to a study by Booz & Company in partnership with the World Economic Forum [81], to date, the ICT sector has taken a fragmented approach to green ICT solutions, which could harm the sector’s prospects to positively contribute to the environmental agenda and could limit the sector’s growth. This could leave ICT companies in the position of reacting individually and defensively to patchwork regulatory measures imposed by government. [81].



Figure 2-5: Overview of telecom operators green activities.

Source: [81]

Also, for companies in general there is still a large untapped potential as indicated by Figure 2-6.

Figure 2-6: ICT CIO’s plans for carbon reduction programs.

Source: [82]

2.5 Conclusions and Implications for CONSERN

This chapter has framed CONSERN within current sustainability and environmental concerns, by surveying current policies, standardisation, research efforts and industry strategies – for sustainability issues in general and with a focus on ICT and energy efficiency.

Energy-aware energy-efficient self-growing networks, such as CONSERN, can be framed within broader concerns about sustainability and the environment. In recent years, the issue of global warming, allegedly caused by an increased greenhouse effect, in turn partly driven by increasing



energy consumption in society, has been a matter of increasing concern. As will be seen in the next chapter, ICTs are increasingly contributing to this impact, but the potential for energy-saving through ICT-enabled energy efficient applications is even higher.

In response, a large and number of initiatives have been taken, by governments, intergovernmental institutions, through standardization, industry players and their collaborative associations. At global level there are several UN bodies is in the forefront of the effort of mitigating climate change. OECD has a work programme on ICTs, the environment and climate change is part of the organisation’s development of a wider Green Growth Strategy. At national level, most economically advanced countries have established policies and programmes on Green ICT, their programmes typically focusing on the use phase and on the impact area of energy use, which is also the ones of highest relevance for CONSERN.

The European Union is no exception. It has in recent years explicitly established an ICT Energy Policy Framework in which the role in of ICT in enabling energy improvements in other sectors as well as its own energy consumption is clearly recognised. It set out for the ICT sector to commit to a progressive decarbonisation through measurable and verifiable reduction in energy intensity and carbon emissions, to develop of a framework to measure its energy and environmental performance and to do so in cooperation with other sectors. The EC is supporting ICT for energy efficiency through a number of measures: (1) it has facilitated the launch of the ICT for Energy Efficiency Forum where the ICT sector is working to establish a methodology to measure its own carbon emissions and once this has been agreed to commit to reduction targets. (2) Related to this is the REVISITE (Roadmap Enabling Vision and Strategy for ICT-enabled Energy Efficiency) horizontal action, which aims to contribute to the formation of a European multidisciplinary 'ICT for energy-efficiency' research community.

In addition, (3) the JRC has developed a number of Voluntary Codes of Conduct to improve the energy efficiency of data centres, digital TV services, broadband equipment and external power supplies, although the current ones does not appear to be of immediate impact for CONSERN. In relation to the new Digital agenda Actions, there are in total four action point related to ICT and environmental sustainability out of which might be of CONSERN relevance: Action 69 – to assess whether the ICT sector has complied with common energy and emission measures and Action 70 – to support partnerships between the ICT sector and major emitting sectors. Finally, Green ICT research is receiving increased funding from the EU, mainly through the FP7 programme. In particular there is one dedicated challenge – Challenge 6 – ICT for a low carbon economy, which received € 280 million (a 76% increase compared to WP 2007-08). On the Future network side (Objective 1.1), Several areas in that objective explicitly focus on energy efficiency. Within the Future networks objective there are already four Green ICT projects earth, ECOnet, c2Power and Trend, all of which doing work that could be relevant for CONSERN. Research funded through the CIP mechanism has less overlaps with CONSERN according to our review.

With regards to standardisation numerous standardization institutes and organizations to contribute to Green ICT. An initial survey identified around 20 organisations /initiatives related to indicators and statistics, data aggregation and modelling, corporate responsibility and reporting, Equipment Energy Efficiency, Communication Networks Energy Efficiency, Equipment Labelling. Ongoing efforts by e.g. GESI/EE-IOCG and ITU aim at identifying gaps and inconsistencies among those. It is beyond the scope of this milestone to point at the most relevant ones for CONSERN, however there are a number related of them specifically focused on energy efficiency.

The ICT sector is also gearing up its efforts in reducing energy consumption and the CO2 footprint. Already, there are a number of initiatives taken, by collaborative industry fora, as well as by the companies themselves. On the one hand, there are several industry associations and industry consortia developing sometimes large-scale initiatives on ICT and the environment. In general they



focus on direct impact of ICT and on reducing energy use. In particular, GeSI, which brings together telecommunications service providers and manufacturers as well as industry associations, aims to promote effective industry action and innovation to manage the risks associated with ICT and realise its potential in creating a low-carbon economy. It is involved in, among other things, developing methodologies and standards to measure and cut the carbon footprint of the ICT sector, and enable other industries to reduce their emissions through innovative technology.

Clearly a rising awareness of the ICTs environmental footprint, energy consumption and the corresponding costs have triggered ICT companies to include Green ICT in their strategic agendas and to set up rather ambitious goals for reducing their direct footprint. However, some studies point out that the ICT sector has taken a fragmented approach to green ICT solutions, which could harm the sector’s prospects to positively contribute to the environmental agenda and could limit the sector’s growth.

In conclusion, reducing energy consumption and the global CO2 footprint energy conservation is becoming an increasingly important political and business issue. Numerous initiatives have been taken by governments, industry and standardisation, to which novel system-level solutions may contribute, since CONSERN can avoid excessive energy consumption compared to currently available products. How to do this require, among other thing, further work on assessing the impact CONSERN technologies may have on the objectives set up by these actors, which the purpose of the next chapter to lay the foundation for.



3. Impact Assessment: Concepts and SOTA

The impact of ICT is far-reaching. Being a (set of) general-purpose technology(ies) [83] they provide generic functionalities with potential for use in a number of applications and user settings. Thus they play the role of enabling technologies, opening opportunities rather than complete solutions. In principle, impacts could be identified using techniques and checklists such as PESTLE (political, economic, social, technological, legal and environmental). Indeed, given the pervasiveness of ICT, being used in almost every aspect of life and activities of households, enterprises and institutions, they may contribute to a variety of societal goals, including improved health and transportation, improved education, improved government and public services, more inclusion for disadvantaged social groups. In the following we will focus on two of these aspects in particular, i.e. economic and environmental impacts of ICTs, which are also the impact types that are most relevant to the CONSERN project.

Figure 3-1: Chapter 3 overview.

The chapter starts out with an overview of impact types (mainly Economic and Environmental Impacts) in Section 3.1. Section 3.2 provides a framework for how ICT impacts (primarily the environment) directly and indirectly. Section 3.3 includes some recent estimates of the ICT impact on energy consumption and the corresponding CO2 footprint. Section 3.3 includes some recent estimates of the ICT impact on energy consumption and the corresponding CO2 footprint. Section 3.4 concludes the chapter.

3.1 Impact Categories

3.1.1 Economic Impacts of ICTs

Much of the evidence of economic impact of ICTs focuses on if, how and to what extent ICTs drive economic growth. It has become more or less established that they drive growth through a number of mechanisms. First, by driving productivity improvements in the ICT sector itself and through the use of ICTs in other sectors. This is because ICT allows for more productive workers thus improving efficiency of internal operations. They may also allow restructuring supply chains (RFID), and the substitution of virtual goods for tangible goods, leading to efficiency gains in the processing of such



goods. ICTs also allow for more efficient use of capital (and natural resources, which in turn not only contributes to economic efficiency but also energy efficiency.[84]

Secondly, ICT also drives economic growth indirectly by allowing for better decision making and by enabling larger markets, globalised production chains, allowing specialization, making it easier for niche business and innovations to find market, hence driving productivity and innovation. Thirdly, ICTs provide job opportunities to a wide group of people (home-work, disabled workers, Self-employed) users as producers, helping to fuel the economy. Fourthly, ICTs enable more efficient allocation of goods and services, which drives better functioning markets (making it easier for customers to find information on products and services, c.f. Skyscanner); they allow for the creation of new markets and market signals (e.g. road pricing); more efficient (energy) markets (c.f. Smart pricing) and make it easier and less costly for organizations and individuals to participate in markets (c.f. eBay). [84]

Taken together these mechanisms are substantial and also interacting (for instance, larger markets, drive both productivity improvements and innovation). However, there are also negative impacts of ICT also. First, ICTs are costly to purchase, install, use, maintain etc. They may come with negative side effects on privacy, security, health etc., which in turn leads to costly investments in counterfeiting those effects. ICTs may be overused, which leads to work overload (e.g. email) or unproductive use (e.g. the use of ICT of (e.g. gaming, private social networking during work hours). Finally, and of particular importance to CONSERN, there could be substantial direct negative environmental impacts of ICT. [84] The specific economic impacts of energy efficiency will be further discussed below.

It could be noted however, that there are very few if any studies that try to assess the economic impact, through analysing the value creation and sustainability of different value networks configurations. This is what this project set out to do, thus combining analyses of business impacts and economic impacts.

3.1.2 Environmental Impacts of ICTs

There are different approaches to categorising environmental impacts (See e.g. [11] referring to [117]. (ISO) has issued a categorisation of impacts in its standard ISO 14042:2000 (life-cycle impact assessment), which also serves as the basis of OECD work on key environmental indicators (OECD, 2004). The table below provides an overview of environmental impact categories defined under ISO 14042 along with their causes and examples.

Causes Impact category Example impact

Carbon dioxide (CO2), Nitrogen dioxide (NO2), Methane (CH), Chlorofluorocarbons (CFCs), Hydro-chlorofluorocarbons (HCFCs), Methyl bromide (CH3Br).

Global warming Polar melt, change in wind and ocean patterns.

Fossil fuels used. Primary energy use

Loss of fossil fuel resources

Photochemical smog: Non-methane hydrocarbon (NMHC). Terrestrial and aquatic toxicity: Toxic chemicals. Acidification: Sulphur oxides (SOx), nitrogen oxides (NOx), hydrochloric acid (HCL), hydrofluoric Acid (HF), ammonia (NH4), mercury (Hg).

Toxicity “Smog,” decreased visibility, eye irritation, respiratory tract and lung irritation, vegetation damage. Decreased biodiversity and wildlife. Decreased aquatic plant and biodiversity; decreased fishing. Acid rain. Building corrosion, water acidification,



Causes Impact category Example impact

Eutrophication: Phosphate (PO4), nitrogen oxide (NO), nitrogen dioxide (NO2), nitrates, ammonia (NH4).

vegetation and soil effects. Excessive plant growth and oxygen depletion through nutrients entering lakes, estuaries and streams.

Minerals used, scarce resources such as lead, tin, copper.

Non-energy resource depletion

Loss of mineral resources.

Landfill disposal, plant construction and other land modifications.

Land use Loss of terrestrial habitat for humans and wildlife; decreased landfill space.

Water used or consumed. Water use Loss of available water from water sources.

Chlorofluorocarbons (CFCs), Hydro-chlorofluorocarbons (HCFCs), Halons, Methyl bromide (CH3Br).

Ozone layer depletion

Increased ultraviolet radiation.

Toxicity. Land use.

Impacts on biodiversity

Decreased biodiversity and wildlife. Loss of terrestrial habitat for humans and wildlife.

Table 3-1: Environmental impacts, categories and causes.

Source: Based on [11] based on US EPA 2006 and ISO 14042

3.2 Impact Orders Direct and Indirect Impacts of ICT ICTs can have both positive and negative impacts on the environment. One useful way of categorising ICT impacts is according to a framework of three analytical levels: direct impacts (first order), enabling impacts (second order) and systemic impacts (third order) ([11] drawing on [85]). The following paragraphs describe the characteristics of environmental impacts of ICTs on each level.

Figure 3-2: ICT impact categories.

Source: [11]

Direct impacts (or “first-order effects”) refer to impacts due to the physical existence of ICT products (goods and services) and related processes. The sources of the direct environmental impacts of ICT products are ICT producers (ICT manufacturing and services firms, including intermediate goods production) and final consumers and users of ICTs. ICT producers affect the natural environment during both the production of ICT hardware, components and ICT services and through their



operations. Consumers and users influence the direct environmental footprint through their purchase, consumption, use and end-of-life treatment of ICT products. The use of ICTs largely determines the amount of energy consumed by ICT equipment. At the end of a product’s useful life, consumers can choose to return equipment for re-use, recycling, etc. [11]

Enabling impacts of ICTs (or “second-order effects”) arise from ICT applications across economic and social activities. ICTs affect how other products are designed, produced, consumed, used and disposed of. Although those impacts are often positive, potential negative effects need also to be factored in when assessing “net” environmental impacts, such as greater use of energy by ICT-enabled systems compared to conventional systems. [11]

According to OECD, [11] ICT products can affect the environmental footprint of other products and activities across the economy in four ways:

Optimisation: ICTs can reduce another product’s environmental impact. E.g. embedded systems in automobiles can allow for more fuel-efficient driving, “smart” electricity distribution networks can reduce transmission and distribution losses, and intelligent heating and lighting systems in buildings can increase their energy efficiency,

Dematerialisation and substitution: ICTs and other technologies allow for replacement of physical products and processes by digital products and processes. For example digital music may replace physical music media and teleconferences may replace business travel,

Induction: ICT products can increase demand for other products, e.g. efficient printers may stimulate demand for paper,

Degradation: ICTs embedded in non-ICT products can create difficulties for recycling and local waste management processes. “Smart” tags, for example, often require specific recycling procedures [11] referring to [87].

Systemic impacts (or “third-order effects”) are those involving behavioural change and other non-technological factors, and include the intended and unintended consequences of wide application of green ICTs. They also include the adjustments to individual lifestyles that are necessary to make sensible use of ICTs for the environment. ICT applications can have systemic impacts on economies and societies in one or more of the following ways [11]:

Providing and disclosing information: ICTs and the Internet help bridge information gaps across industry sectors and facilitate monitoring, measuring and reporting changes to the natural environment. Access to and display of data inform decisions by households (e.g. “smart” meters), businesses (e.g. choice of suppliers, verifying “green” claims), and governments (e.g. allocation of emission allowances, territorial development policies). Sensor-based networks that collect information and software-based interpretation of data can be used to adapt lifestyles, production and commerce in to the impacts of climate change ([11] referring to [88][89]),

Enabling dynamic pricing and fostering price sensitivity: ICT applications form the basis of dynamic or adaptive pricing systems, e.g. for the provision of electricity. Through the use of ICTs, producers can provide immediate price signals about supply levels to final consumers. In areas of high price elasticity, optimisation of demand can be expected. Electricity customers, for example, can choose to turn off non-critical devices when cheap (and renewable) energy is scarce and turn them on again when it is more plentiful,

Fostering technology adoption: Technological changes provoke behavioural changes. For example, digital music, e-mail communications and teleconferencing technologies are affecting the ways in which their physical counterparts are produced and consumed, i.e. recorded music, written letters and physical business travel. As new consumption patterns emerge, e.g. in the consumption of music on digital media, these trends result in direct



impacts (energy use of servers to store and provide digital music) and enabling impacts (reduction in the use of physical music media),

Rebound effects: refer to the phenomenon that higher efficiencies at the micro level (e.g. a product) do not necessarily translate into equivalent savings at the macro level (e.g. economy-wide). This means, for example, that the nationwide application of a 30% more efficient technology does not necessarily translate into energy savings of 30% in the application area. Analysis, mostly in the area of consumer products, shows that “rebound effects” at the macro level partly offset efficiency gains at the micro level, but the exact causes, magnitudes and long-term trends are not yet clear ([11] referring to [90]). In areas such as personal car transport or household heating, higher efficiency (or lower price) of a product can increase demand in ways that offset up to one-third of the energy savings ([11] referring to [91]). Relatively little empirical analysis has focused on ICT-enabled rebound effects so far.

In principle, ICTs can affect the environment in each of the categories listed in Table 3-1. Most “green ICT” policies and initiatives focus on two categories: global warming and primary energy use [15] and on the direct and to some extent enabling impacts. Still, a focus solely on energy use solely would miss out on opportunities from reduction of other potentially harmful environmental impacts, e.g. pollution or resource depletion. [11]

In order to comprehensively examine the environmental impacts of ICTs, product life-cycle assessment (LCA) can be used. LCA approaches offer a standardised approach to measuring material and energy flows in and out of individual products. They represent a bottom-up approach that captures the impacts of the different phases in a product’s “life cycle” for individual ICT products (direct impacts) and their contributions to reducing environmental impacts during the life cycle of other goods and services (enabling impacts). They also allow for an assessment of systems of interdependent products. For instance, life-cycle assessments of mobile telecommunications systems highlight the energy used to operate system components, e.g. radio base stations, but also assess manufacturing and end-of-life aspects ([11] referring to [92]). In combination with economy-wide analytical tools such as input-output analysis, LCAs can contribute to a better understanding of the environmental impacts of all economic activities. For this purpose, individual product results are scaled up using various data, e.g. production, consumption and trade statistics as well as qualitative data on product use patterns. Recent LCA approaches have been expanded to cover socio-economic impacts of products throughout their life cycle, e.g. on employment conditions ([2] referring to [93]) [11].

In Figure 3-3, a generic life-cycle model is shown for an ICT product. The product’s main purpose is to provide a service. Provision of the service requires production, use and disposal of materials throughout the life cycle. The LCA measures and assesses the direct environmental impacts of all material and energy flows related to the ICT product [11].



Figure 3-3: Direct impacts of ICT product life cycle.

Source: [11] referring to [85]

LCA approaches can be adapted in order to capture the enabling impacts of ICTs. An ICT product (goods or service) is the element linking LCAs of ICT products and non-ICT products ([11] referring to [85] [94]). Linking the two separate life cycles makes it possible to assess ICTs as an enabling technology, e.g. for improving energy efficiency and resource productivity. The figure below provides a schematic illustration of how an ICT good or service (bottom) can modify the life cycle of another product (top). The enabling environmental impacts refer to: i) modifying the design, production, use or end-of-life phase of that product (optimisation or degrading); and ii) influencing demand for a given service (dematerialisation, substitution or induction). Changes in the demand for a non-ICT product can occur, for example, as digital music purchases replace the purchase of physical music media; another example is the increased use of paper due to more efficient and affordable printers [11].



Figure 3-4: Enabling and direct impacts of ICT product life cycle.

Source: [11] based on [85]

Clearly, although presenting some methodological difficulties themselves, direct impacts are easier to assess than indirect, not to mention systemic ones, due to the complexity and long-term effects of the latter. This contributes to a situation where much of the discussion is circulating around the direct effects, existing research methodology is easer to apply and communicate these issues easily. At the same time, indirect impacts are potentially much higher and therefore would deserve more attention (Figure 3-5) [95].



Figure 3-5: Impact assessment of direct, indirect and systemic impacts.

Source: [95]

3.3 State-Of-The-Art (SOTA) Impact of ICT

3.3.1 Impacts of ICT

As illustrated in Figure 3-5, there are more estimates for first-order (direct) impacts than of impacts of higher orders (enabling, systemic). Much of the available data cover impacts of energy use of PCs and electronic waste. For example, [96] made a life cycle assessment for a PC (with peripherals) manufactured in China. They found that most of impacts came from the production and use of the PC. During production most impact result from energy-use, extraction of raw materials and other natural resources. In fact, large amounts of energy are needed to produce circuits and semiconductors. Only one semiconductor (of 2g) requires approximately 1kg of fossil fuels. ICT producers in general use large quantities of minerals and rare metals, the extraction of which is subject to environmental concerns. The also use large amounts of water, including ultra-pure water, the purification of which is very energy intensive. [11] The energy consumed during use (assuming a service life of six years) represents over 70% of all energy used during the life cycle [97][96], while only some years earlier production was the main contributor to energy use during the PC life cycle [98]. ICT producers have since switched to more efficient production technologies [85][11]. There is some evidence of the total ICT environmental impact, at least in terms of global greenhouse gas (GHG) emissions and energy consumption. The most comprehensive evidence of ICT environmental impact per product category relates to national shares of energy use and greenhouse gas emissions. Four categories of ICT goods and related services constitute the bulk of the sector’s global GHG emissions: (1) TVs and peripherals, (2) PCs and peripherals, (3) communications networks and equipment, and (4) servers and data centres.

Figure 3-6: Shares of Global greenhouse gas emissions by ICT product categories.

TVs and peripherals

46%

PCs and peripherals

22%

Communications networks and

equipment17%

Servers and data centres

15%



Total ICT Greenhouse gas emissions are 1160 million CO2e, (covers emissions during production and use) [11] [99]. National and European level studies (Table 3-2) largely confirms the similar proportions, with TV and DVD equipment consuming most energy/highest CO2 footprint (29-32%), followed by PC, monitors and peripherals (23-31%), networks (16-18%), servers and data centres (16-18%) and other products (8-13%) (Table 3-2). Note that electricity use can be used as proxy for environmental impact in the use phase, since it is the only significant impact category during that phase. Electricity use can then be converted to CO2 and GHG emissions using conversion rates, depending for instance on a countries energy mix [11].

Product Category Germany (2007) EU (2005)

TWh Percentage TWh Percentage

TV and DVD equipment 15,8 29% 67,6 32%

PCs, monitors and peripherals 17,4 31% 50,1 23%

Communications networks and equipment 8,7 16% 39,4 18%

Servers and data centres 9,1 16% 29,1 14%

Other 4,4 8% 28,3 13%

Total ICTs 55,4 214,5

Table 3-2: Electricity used per ICT product categories in Germany and the EU.

Source: Based on [11] [100][101]

So far, according to [11], there are three major studies that have assessed the global carbon footprint of the ICT sector and its products. These are The Gartner “2%/98%” study [102], the Smart 2020 study [45] and a Swedish study (Ericsson, TeliaSonera, Royal Institute of Technology) of the ICT and, entertainment and media sector [99]. Although their methods and coverage differ, the results are similar - the ICT sector accounts for around of 2-3% of global carbon emissions (and slightly less of GHG emissions [11].

Year ICT CO2 emissions (mn tonnes)

ICT GHG emissions (mn tonnes)

ICT share of total CO2 emissions

ICT share of total GHG emissions

Source

2002 530 1,10% [45]

2007 661 2,30% [102]

2007 830 1,80% [45]

2007 1160 2,50% [99]

Table 3-3: Global CO2 and GHG emissions of ICTs.

Note: Global CO2 and GHG emissions are based on the following sources: 2002 GHG emissions: OECD calculations based on [103] global GHG emissions estimates available for 2000 and 2004 only, so 2002 values are estimated using the average of GHG emissions in 2000 and 2004; 2007 CO2 emissions: [104][105] 2007 GHG emissions: Herzog (2009) [original source unknown] as referred to in [99]. Source: OECD calculations [11] based on the mentioned sources.

Some other evidence comes for individual countries or regions (Europe). For individual countries, ICTs consume at least 10% of national electricity during the use phase and contribute some 2% to 5% of domestic CO2/GHG emissions (see Table 3-4). Some studies (e.g. Australia in 2005, the United States in 2000) display lower shares because estimates are limited to ICT business use. Estimates for the European Union are lower because they cover major OECD economies but also countries with lower ICT diffusion rates. [11]



Country Year ICT electricity consumption

(GWh)

National electricity

consumption (GWh)

ICT share in national

electricity consumption

ICT CO2

emissions (mn

tonnes)

National CO2

emissions (mn

tonnes)

ICT share in

national CO2

emissions

Australia 2005 .. .. .. 7.9* 525* 1,50%

European Union

2005 214500 2691000 8,00% 98.3* 3 921* 2,50%

France 2008 58500 425882 13,70% 4,9 401 1,20%

[30.2] [7.5%]

Germany 2007 55400 527352 10,50% 22.6* 956* 2,40%

Japan .. .. .. .. .. .. 2,20%

Portugal 2007 .. .. .. 1.0* 82* 1,30%

United Kingdom

2006 47769 344690 13,90% 25,9 555 4,70%

United States 2000 97000 3499285 2,80% .. .. ..

United States 2007 .. .. .. 150 6094 2,50%

Table 3-4: National (regional) electricity and regional footprints of ICTs.

Notes and sources:

GHG emissions in million tonnes CO2 equivalent (CO2eq);

“..” means that there are noData not available.

CO2 and GHG emissions based on UNFCCC Greenhouse Gas Inventory Data for the respective year (excluding removals and emissions from land use, land-use change and forestry (LULUCF)). National electricity consumption based on [106]. ICT electricity consumption and CO2/GHG emissions based on sources as indicated below. With the exception of France, all country studies assess impacts during the use phase only.

Australia: Industry and business use of ICT only [107]; European Union: EU25 (i.e. without Bulgaria and Romania [101]; France: Values in brackets refer to CO2 emissions from the production and use phases. [108]; Germany: [109][100]; Japan: Report commissioned by MIC, no detailed methodology or scope available, [110]; Portugal: [111]; United Kingdom: (UK DEFRA, Market Transformation Programme, What-If tool); United States: [112] and [113];

Source: [11] referring to the above sources.

Smart 2020 is one of the few studies that have comprehensively mapped the indirect impact of ICTs. [80]. It concluded that while emissions from the ICT sector would represent an estimated 2.8% of total global emissions by 2020, ICT would enable other sectors to achieve significant emissions reductions, corresponding to 15% of the predicted total global emissions (or five times ICT’s own footprint) [45]. The biggest opportunities, according to the report, are to be found in Smart motor systems, Smart logistics, Smart buildings, Smart grids and Dematerialisation. [45] (See Figure 3-7 and Figure 3-8)

Figure 3-7: ICT Impact: Direct impact (footprint) and enabling impact (abatements).

Source: [45]



Figure 3-8: Enabling impacts of ICTs – key areas.

Source: [45]

3.3.2 Impacts of Mobile ICTs

According to [45], the distribution of energy consumption within the telecoms network is poorly understood and the impact of further adoption of interconnected devices is unknown. Still the study managed to estimate the global footprint of mobile communications (networks and devices) to 66 MtCO2e corresponding about 0.16% (or 0.2%) of the total footprint (as of year 2002). More recent studies have been conducted by a.o. Ericsson and within the EARTH project [99][114][115], according to which, the mobile ICTs are responsible for about 80-86 MtCO2e (or 60 TWh of operational electricity consumption) [99] [115], corresponding to slightly less than 0.2% of global CO2e emissions. [115]. Breaking down this footprint further, it can be seen that the energy consumption of RBS (Radio base station) sites is responsible for the largest part of the total life cycle carbon footprint, followed by the mobile phone manufacturing. [115].



Figure 3-9: The carbon footprint (CO2-eq emissions) for an average mobile subscriber in 2007.

Source: [115]

The carbon footprint for an average mobile subscriber has decreased over time from more than 100 kg CO2 per subscriber per year in the early 90’s to approx. 25 kg in the mid 00’s. However, since the number of radio base station (RBS) sites and mobile subscribers are steadily increasing and data-intensive applications are proliferating, this growth is accompanied by an increased energy consumption of mobile networks, with a corresponding increase in the carbon footprint, with about 11 CO2e per year, to a projected 170 CO2e 2014 and 235 CO2e in 2020, corresponding to about 0.4% of the global footprint (In the BAU scenario, assuming that past energy efficiency trends – implying for instance that newly deployed sites consume a 8% less energy than the year before) [115] This could be compared to the 201 CO2e projected fro 2020 by Smart 2020 [45]. Hence, SOTA estimates tend to converge at quite similar estimates, and also converge around the fact that mobile networks and devices increase their footprint relatively faster than the ICT sector as a whole. From the projection in the EARTH project [114] the following trend observations can be made:

The overall carbon footprint remains dominated by the individual footprints of RAN operation and production of mobile devices, over the whole period. But, while RAN operation is by far the largest contributor in 2007, mobile device manufacturing will become increasingly important to “catch-up” with RAN in 2020. This is because that smart phones and laptops represent a strongly increasing fraction of the devices accessing the network, a trend driven by the demand for advanced wireless services,

The footprint of data centres and data transport will experience by far the strongest growth among all contributions until 2020, due to the drastically increasing volume of mobile data traffic in the coming years,

The carbon footprint per subscriber will increase just slightly from 28 kg CO2e in 2007 to about 31 kg CO2e in 2020. Hence, the downward trend of the past (see above) will be slightly reversed, due to the increased data traffic. In the projections, the data traffic per average subscription will increase from 0.3 GB/year in 2007 to about 100 GB/year in 2020 (see 0). (But the carbon footprint per GB of data will drop from nearly 100 kg CO2e per GB in 2007 to 0.3 kg CO2e per GB in 2020).

Concerning economic impact, it is clear that more energy-efficient solutions could have a substantial impact on the costs for different actors in the value networks, not the least the operators. Already



toady energy constitutes a substantial part of operators’ operational (ands hence total) costs, roughly in the range of 20-30%. This share will rise substantially in a BAU-scenario, with rising energy consumption. Meanwhile, this major driver of cost – energy consumption (due to increased data traffic and data rates, enabled by increased computational complexity of advanced transmission techniques and by increased number of base station sites required for high data rates) – is unlikely to be accompanied by corresponding increases in revenues. Hence there are strong economic incentives also, to improve energy efficiency in networks. Now, there are already numerous ongoing efforts in improving energy-efficiency of wireless communications. These revolve around for instance: network optimization packages, more efficient base station amplifiers, advanced standby power management, night battery operation and solar-powered base stations.[45] The EARTH project [118] has identified a number of promising green radio technology tracks (in the LTE context) grouped in three areas: (1) MIMO and beamforming techniques where power savings can be found by carefully designing the beamforming or by choosing the MIMO mode that best adapts to the traffic and channel conditions. (2) Radio interface technologies that exploit the interaction between higher protocol layers and the hardware to improve the energy efficiency, where important gains can be found in retransmission schemes within low and medium traffic load scenarios through bandwidth adaptation and cell DTX/sleeping modes and baseband transmission scheme that adapts to traffic and channel conditions. (3) Components of BS radio equipment and control algorithms to improve the energy efficiency the baseband engine, the small-signal transceiver components, the power supply, the RF front-end including the PA, and the antenna arrays and materials for different BS types [118]. It is beyond the scope of this milestone to comprehensively review these efforts. It could be noted current developments towards more energy efficient network components are often introduced in the context of general network evolutions, implemented by operators. However, there is a need for introducing such mechanisms in less generic markets, and create solutions for smaller scale or specialized targets that are not served by these ‘one-size-fits-all’, large scale improvements [115]. Beyond technical barriers and opportunities, according to [45], there are a number of non-technical barriers preventing the ICT sector from making further efficiency gains. For instance, there is a lack of information about the emissions impacts of products and services, especially for complex networks. In the case of telecoms networks, telecoms providers often don’t know the energy consumption of specific services. There are also agency issues involved, where the agent buying the equipment is not necessarily responsible for operating costs, and do not include efficiency as part of the specification. Finally, consumers may have difficulties in assessing which products are most efficient [45] .

In spite of the SOTA efforts described above, policy and industry seem to agree that there is a lack of common methodologies and tools to evaluate impacts, and that this in turn creates obstacles in the move toward a low carbon economy. A consistent approach to quantifying both the positive and negative impacts of ICT solutions will inform customer purchase and procurement decisions and provide the evidence base for government efforts to introduce supportive policies. Establishing a methodology would also speed up the development of assessment standards and tools needed by the ICT industry [116].

Efforts to develop assessment methodologies are under way, both for assessing direct ICT effects (generated by the ICT solutions themselves) and for identifying and quantifying ICT indirect/enabling effects (effects in other sectors by implementing ICT solutions). Organizations developing methodologies include recognized standards bodies such as ITU, (ETSI) and the Japan Environmental



Management Association for Industry (JEMAI). The industry consortia active in this area include GeSI, ICT4EE and ReViSITE and in addition, the International Electronics Manufacturing Initiative (iNEMI), which is developing a methodology for assessing the carbon footprint of ICT products, including a tool and database to streamline this process [116].

According to GeSI, many of the findings and recommendations of these efforts are not yet finalized or published. In response GeSI established a methodological framework for assessing the enabling effects of ICT—the ICT Enablement Methodology. Building on existing assessment standards (LCA) and proposed methodological approaches, it emphasizes streamlining the evaluation process by identifying and assessing the ICT-related impacts that are most relevant to the goal and scope of each study [116].

3.4 Summary and Conclusions This chapter provided an overview of impact assessment of ICT, with a focus of impacts of networks impacts of ICTs, how they can be assessed, and some received recent estimates of their impact on energy consumption and the corresponding CO2 footprint. This chapter analysed to some length the impact of ICT in general, with a focus on economic and environmental impacts. It is well established that ICTs general contribute positively and substantially to economic growth by driving productivity improvements directly, and indirectly through allowing for better decision-making. They also enable more efficient allocation of goods and services, higher quality product and services and drive innovation. At the same ICT may be costly to install, may be inefficiently and unproductively used, may come with a number of negative side-effects of which a direct negative impact, which are also highly relevant for CONSERN. Such environmental impacts are manifold and standardised schemes such as ISO 14042 may be used to identify impacts on, for instance global warming, primary energy use, toxicity, resource and ozone layer depletion, land and water use and on biodiversity. Most “green ICT” policies and initiatives focus on two categories: global warming and primary energy use. Still, a focus solely on energy use solely would miss out on opportunities of reducing other potentially harmful environmental impacts, e.g. pollution or resource depletion. Clearly ICTs can have both positive and negative impacts on the environment. One useful and fairly well established way of categorising the impacts is to classify them in a framework of three analytical levels: direct impacts, enabling impacts and (sometimes) systemic impacts. Direct impacts (or “first-order effects”) refer to the impacts caused by the physical existence of ICT products (goods and services) and related processes, consumption, use and end-of-life treatment of ICT products. Hence, these effects are generally negative. Enabling impacts of ICTs (or “second-order effects”) on the other hand, arise from ICT applications across socio-economic activities. ICTs have an impact on how other products are designed, produced, consumed, used and disposed of, and usually reduce the environmental impact through mechanisms of optimization, dematerialisation and substitution, but may also increase the impact through induction effects, and degradation. Systemic impacts (or “third-order effects”) are those involving behavioural change and other non-technological factors, and include the intended and unintended consequences of wide application of green ICTs. ICT applications can have systemic impacts on economies and societies in one or more of the following ways: providing and disclosing information, enabling dynamic pricing and fostering price sensitivity, fostering technology adoption and rebound effects. Clearly, although presenting some methodological difficulties, direct impacts are easier to assess than indirect (and systemic) ones, due to the complexity and long-term effects of the latter. This



contributes to a situation where much of the discussion is circulating around the direct effects, existing research methodology is easer to apply and communicate these issues easily, while indirect impacts are potentially much higher and therefore would deserve more attention. Concerning SOTA, three major received studies that have assessed the global carbon footprint of the ICT sector and its products: The Gartner “2%/98%” study, the Smart 2020 study and a Swedish (Ericsson, TeliaSonera, Royal Institute of Technology) study of the ICT and, entertainment and media sectors converge around the result that the ICT sector accounts for around of 2-3% of global CO2 emissions (and slightly less of GHG emissions). National studies confirm these results. The mobile ICTs have been estimated to be responsible for about 80-86 MtCO2e (or 60 TWh of operational electricity consumption) corresponding to slightly less than 0.2% of global CO2e emissions, of which the energy consumption of RBS (Radio base station) sites are responsible for the largest part of the total life cycle carbon footprint, followed by the mobile phone manufacturing industry. Since the number of radio base station (RBS) sites and mobile subscribers are steadily increasing and data-intensive applications are proliferating, this growth is accompanied by an increased energy consumption of mobile networks, with a corresponding increase in the carbon footprint (11 CO2e per year, to a projected 170 CO2e 2014 and 235 CO2e in 2020, corresponding to about 0.4% of the global footprint, assuming that past energy efficiency trends can be extrapolated). The rising energy consumption of mobile communications will have significant economic business implications as well. Already today energy cost constitutes a significant share of mobile operators operational costs and this share will increase assuming that current trends will prevail. Hence there should be, and are, strong economic incentives also, to improve energy efficiency in networks. Although there are already numerous ongoing efforts in improving energy-efficiency of wireless communications (e.g. network optimization packages, more efficient base station amplifiers, advanced standby power management, night battery operation and solar-powered base stations), there is a need for introducing such mechanisms in less generic markets, such as those addressed by CONSERN. Indeed in CONSERN energy efficient radio terminals will always transmit at the most suitable frequency band and the most efficient wireless standard with adapted power, based on the observation of the physical and radio environment and other context information. Thus, CONSERN can avoid excessive energy consumption compared to currently available products. Such improvements facilitate energy preservation in future telecommunication environments. Besides this strong environmental aspect, CONSERN technologies, due to their focus on lower energy cost, reduced complexity and high scalability, will also have the potential to bring smart connectivity to previously non-served individuals and enterprises, and also to lower the costs for existing ones. Such impacts will be further analysed within the project.



4. Identifying CONSERN actors, roles, relationships and business models

CONSERN is a typical example of convergent technology, where business actors from various domains (Device Manufacturing, Telecommunications, Building Construction) converge and create synergies in order to develop and operate a sustainable business ecosystem. That said, there exists various ways in which business actors interact with each other hence it becomes interesting to analyse how these actors from disparate fields can be mapped on the business value network, and to elaborate how different business model configurations are possible.

Figure 4-1: Chapter 4 Overview.

Building on the technical benefits from the use cases and business parameters identified in Section 4.1, a series of distinct business actors are identified in the section 4.2. Section 4.3 provides a high level overview of business models foreseen for CONSERN, following which a generic value network design for CONSERN is derived in the Section 4.4. The value network chronologically delineates three phases: development and integration, delivery or distribution, and end-usage and relevant business roles active in each phase. Four specific business concepts (elaborated in Table 4-1) are key in the following analysis: business roles, business actors, business relationships and business models.

Elaborated and Applied in Section 4.4

Bu

sin

ess

role

s

Business roles are logical groups of business activities that are fulfilled by one or more actors. Several problems can be caused if the ecosystem is not well defined. Roles and actors tend – due to their definitions and semantics – mix their boundaries and value propositions. Semantics overlappings mismatches and conflicts are usually leading to a situation where the value propositions can be clearly mapped to a single entity. In this sense, it is important to have a certain level of abstraction as well defined as possible; this can be ensured by atomic business roles: an atomic business role is assigned to a certain (set) value proposition(s) in a disjoint way. At a higher level of abstraction (Business Actors) value propositions can be provided by different players of the system, but the unique value creator will be traceble through atomic roles – based modeling.



Elaborated and Applied in Section 4.2 B

usi

nes

s ac

tors

Business actors provide value to and/or derive value from the business roles they play. For example, a customer, a supplier, and a shipper all play business roles in the order fulfilment business process.


Bu

sin

ess

rela

tio

nsh

ips

Business relationships can be the contractual delivery of products or services, or the financial payments or other resources one receives in exchange.


Bu

sin

ess

mo

del

s

Business models attempt to describe the ways in which different business actors intend to create and capture value, considering the resources that are available to them, and the kinds of constraints that inhibit them. In business modelling, three main building blocks have been distinguished (and presented): business actors, business roles, and business relationships.

Table 4-1: CONSERN definitions.

4.1 CONSERN Business Model and Configuration Parameters

The business model matrix [128] represented in the Table 4-2, consists of four abstract layers in which the business models operate under the constraints of three design parameters in each layer. On the one hand, the matrix encapsulates the dimensions of value creation termed as Value Parameters and on the other hand it captures the functional and network design parameters termed as Control Parameters. As shown in Table 4-2, the four layers comprise of:

The value network layer describes the architecture of actors and roles in the marketplace.

The functional model layer encapsulates the architecture of technical components in the ecosystem.

The financial model layer determines the financial wellbeing of the resulting ecosystem.

The value proposition layer provides a general outline of the future product or service.

All the four design parameters are identified in the business configuration matrix presented in the Table. In the later stage of the deliverable the expected technical benefits of the various CONSERN scenarios are defined and translated using the business configuration matrix, hence providing the necessary inputs and knowledge for deriving strategic objectives and issues related to a single business actor or multiple business actors active in the CONSERN business ecosystem.



Table 4-2: Business Configuration Matrix.

This table provides a more detailed description of the parameters composing the different layers of business model configuration.

Value Network Parameter: The level of the value network represents the architecture of actors and roles in the future marketplace. The most basic design parameters for the value network therefore are:

Co

mb

inat

ion

of

Ass

ets

Assets can be defined as the resources that are available and useful in any activities an actor undertakes in pursuing its goals.

Concentrated When essential resources are concentrated with one business actor, while the other actors have only generic resources, i.e. if the value network is composed of one structural partner while the other partners are supporting partners, assets are strongly concentrated.

Distributed The other extreme of concentrated systems are the value networks where the resources are evenly distributed across multiple partners.

Ver

tica

l In

tegr

atio

n Represents if the resulting value network would be integrated or disintegrated.

Integrated The process in which several steps in the production and/or distribution of a product or service is controlled by a single actor, in order to increase that actor’s power in the marketplace.

Disintegrated A procedure of which many levels in the production and/or, administering a product or service are controlled by one actor, so the said actor can gain strength in the marketplace.

Cu

sto

mer

Ow

ner

ship

The customer ownership parameter holds the question of which stakeholder assumes the direct commercial relationship with the user.

Direct Businesses which are operated directly by the actor that produces the good or service in question, have a direct form of customer ownership.

Intermediated Businesses which are operated by the intermediaries that are positioned between the actor that produces the good or service in question, have an intermediated form of customer ownership.

Functional Architecture Parameters: At the functional architecture level, technical systems composed of at least one building block (or module), governed by certain rules (or intelligence), and



that interwork (or not) with other technical systems. So at the most basic level, a functional architecture is defined by the following

Mo

du

lari

ty

Modularity in a technical sense refers to the design of systems and artifacts as sets of discrete modules that connect to each other via predetermined interfaces.

The main trade-off is the choice between modular design and production on the one hand versus integrated or interdependent design and production on the other hand.

Modular In terms of functional architecture, the design can be modular in nature or integrated as a whole.

Integrated Another alternative to modular design is adopt and build in an integrated and interdependent fashion.

Dis

trib

uti

on

of

Inte

llige

nce

Distribution of intelligence refers to the distribution of processing power, control and management of functionality across the system in order to deliver a specific application or service.

Distributed The distribution of intelligence is a powerful architectural concept influencing functional design but at the same time impacting on business and organisational design in many networked sectors of the economy. The main trade-off in this respect is between centralised and distributed intelligence in system architectures.

Centralized Distribution of intelligence could also be implemented centrally in the architecture or systems.

Inte

rop

erab

ility

Interoperability is related with the ability of systems to directly exchange information and services with other systems, and to the interworking of services and products originating from different sources.

Financial Model Parameters: At the financial level, the most basic building blocks are costs for setting up and running the service or product, the revenues gained from it, and the way these are shared between actors. Therefore the financial design is distinguished as:

Co

st (

Shar

ing)

Mo

del

Cost (Sharing) Model refers to the anticipated costs for the design, development and exploitation of a product or service and the way they are shared amongst the actors involved in the value network.

Concentrated The investments made and costs incurred in this case are concentrated with one actor.

Distributed: The investments made and costs incurred are distributed across various actors in the value network.

Rev

enu

e M

od

el Revenue model describes the way a business, monetizes its services and assets provided by it.

Direct Direct form of revenue model involves direct interaction between the stakeholders without any mediation/interference from any external agent/3rd Party/affiliate.

Indirect Indirect form of revenue model where the revenue is earned through an external affiliate/agent/3rd party stakeholder.



Rev

enu

e (S

har

ing)

Mo

del

The revenue sharing model refers to agreements on whether and how to share revenues among the actors involved in the value chain.

Value Configuration Parameters: At the Value creation level, key components are positioning of the products, involvement of the user and the intended value to be delivered to the customers.

Po

siti

on

ing

Positioning refers to the complementarity and substitutability between products and services, by among others, identifying the most relevant attributes like energy awareness and self organizing capabilities etc., which could be the high selling point of the product or service in question.

Complement Functionalities and targeted attributes could act complementary with respect to the attributes delivered by the existing legacy systems.

Substitute Opposed to being complementary, attributes could also act as a substitute to the attributes delivered by the legacy systems.

Use

r In

volv

emen

t Represents at what levels the end user interacts in the ecosystem. An enhanced user experience will ultimately strengthen customer intimacy.

High In case where the user may be constantly triggered for active feedback

Low Situations, where the active user intervention would be limited or minimal

Inte

nd

ed V

alu

e

This business parameter refers to the basic attributes that the product or service possesses which constitute the intended value to be delivered to the customer.

Price Quality The value propositions of concerned product/service can be used to optimize the price/quality ratio of the service provided to the customer and therefore help build a more intimate relationship between producers and consumers.

Lock-in Proprietary lock-in or customer lock-in, makes a customer dependent on a vendor for products/services, unable to use another vendor without substantial switching costs

Table 4-3: Business Configuration Parameters (Definitions and Descriptions).

4.2 CONSERN Actors This section presents an initial overview of the business actors identified and defined in various use cases presented in the deliverable D1.1. Key technical benefits and value propositions aspects of each use case and the inputs provided by the Milestone 3.2 are used to capture and highlight the key business actors for CONSERN.

Id Title Highlights

(Inputs to WP1)

Actors

Business Technical



Id Title Highlights

(Inputs to WP1)

Actors

Business Technical

UC

-01

/OTE

Energy Optimization in a moving vehicle with capacity and coverage limits.

Energy optimisations

Network Service provision (coverage and capacity optimisation)

Optimum network configuration

Network Operator

User

Network coordinating entity

CONSERN Module

UC

-02

/NK

UA

Energy Optimization in an Office environment under coverage constraints

Energy efficiency


Coverage and capacity optimisation

Network Operator

User

Sensor node

Sensor coordinator

UE

Network element

CONSERN Module

UC

-03

/NK

UA

Energy Optimization for Self-Growing Office environment under coverage and capacity constraints

Energy optimisation


Self growing through integration of additional network nodes of different type


User

Sensor Coordinator

CONSERN Module

Legacy Device

Network Element

UC

-04

/IFX

Network reconfiguration following the introduction of new nodes

Incorporation of additional network nodes


Shared node control through accesibility rights

Network Operator

User

Sensor Node

Sensor Coordinator

Network Element

UE

CONSERN Module

UC

-05/

HW

SE Switch on-off of nodes

for Energy Efficiency in Heterogeneous Networks

Energy efficiency and radio resource management

QoS optimisation


Network Operator

Mobile User

Base Station

UC

-0

6/H

WSE

Cooperative DAS nodes configuration

High capacity

Energy efficiency

Terminal

DAS Network



Id Title Highlights

(Inputs to WP1)

Actors

Business Technical

UC

-07

/HW

SE Cooperative relay for

Energy Efficiency High data rate service provision

Less power consumption

System capacity improvement

Network Operator

Mobile User

Base station

Relay node

UC

-08

/Fra

un

ho

fer

Energy-aware end-to-end delay optimization

Purpose driven network self-growing

Better energy cost

Symbiotic integration of two networks

End-to-end delay optimisation

Cognitive engine (decision making)

Probing nodes

Edge nodes (gateways)

UC

-09

/Fra

un

ho

fer Purpose-driven

network reconfiguration during an emergency situation

Self-growing Integrated symbiotic network

Autmated emergency situation management through self-growing mechanisms

Relay nodes

Probing nodes

Edge nodes (gateways)

Cognitive engines (decision making)

UC

-10/

Frau

nh

ofe

r

Cognitive Coexistence and self growing for white space operation

Self-growing o in White space operation

Separation in used spectrum

Automated network’s purpose adaptation

Self-growing integration of several heterogeneous network elements into one access network.

Continuous radio coverage and seamless mobile usage

Cognitive decision engine

Network nodes

UC

-11/

IBB

T

Energy optimization of co-located wireless networks in a home/office environment

Coordination and cooperation between co-located wireless networks and devices

Enhanced user satisfaction

Energy efficiency

Mobile User

Network Owner

Certificate authority

System administrator



Id Title Highlights

(Inputs to WP1)

Actors

Business Technical

UC

-12

/IM

EC Self-adaptation of a

reconfigurable wireless terminal

Self-reconfiguration for energy saving

Spectrum sharing in colocated networks

Global energy cost

Network Element

UC

-13

/TR

EL

Home Monitoring Energy Optimization

Smart home control

System growing

Home Owner

Device Installer

CONSERN device

Legacy Device

UC

-14

/TR

EL

Cooperation Enablers in Home Gateway Environments

Enhanced quality and reliability of communication between devices in home network

Energy efficiency

Electrical appliances

User Equipment

Sensor Nodes

CONSERN-enabled devices

Home Gateway (multi RAT)

UC

-15

/Fra

un

ho

fer

Dynamic Meeting Setup Flexible Office/Building Environments

Dynamic meeting set-up

Integration of different types of networking technologies

Network partitioning and lifecycle management

Building/Office Facility Lessor

Building/Office Facility Renter

User/Participant

Third Parties

UC

-16/

Frau

nh

ofe

r Collaboration of Different Technologies

Interconnection of different types of communication technologies to build a virtual, self growing network

Goal achievement in a collective way.

Facility Lessor

Facility Renter

Third Parties

Table 4-4: Use Case specific business actor identification.

Business actors highlighted in the use cases could further be categorized into subgroups of business actors like network oriented business actors, infrastructure oriented business actors, and end usage related business actors. At the same time it should be noted that the classification performed here does not include any kind of integration or embedded sub roles inside the actor class. The



description provided in the Table 4-4, would help in mapping business actors on the value network on the basis of the roles undertaken by them, following which, influences among the business actors could be estimated and explored using the multi-actor (MACTOR) analysis of CONSERN ecosystem.

Actor Class

Description CONSERN Business Actors

Net

wo

rk O

rien

ted

Act

ors

Family of business actors involved in network related responsibilities and decision-making.

Network Operator: may provide network services (both fixed and wireless connectivity) to the users.

Network Owner: provides network services to users, determines pricing, Service Level Agreement (SLA), geography and spectrum strategy

Certificate Authority: ensures the authenticity of the downloaded software in case of reconfiguration actions and the conformance of reconfiguration software to the respective standards

Infr

astr

uct

ure

O

rien

ted

Act

ors

Family of business actors involved in building and real estate responsibilities and decision-making.

Building/Office Facility/Facility Lessor: leases the building/office/facility to the renter in exchange of monthly or annual payments.

Building/Office Facility/Facility Renter: rents the building/office/facility from the lessor in exchange of monthly or annual payments.

End

-Usa

ge

Ori

ente

d A

cto

rs Family of business

actors involved in consuming services and are key source of revenue for the ecosystem.

User/Mobile User/Participant: is the main source of revenue and consumer of services.

Mis

c A

cto

rs

Family of business actors involved in various levels of service creation and delivery phases (which are not be captured directly by the use cases)

Retailers: A business entity that sells equipment on behalf of Device Manufacturers to the consumers.

3rd Party Application Service Providers: provides application services to the User. Can operate independently from or in collaboration with the Network Operators.

Device Manufacturers: Manufactures and distributes the devices to the Retailers and Network Operators.

Table 4-5: Actor Classification and Description.

4.3 CONSERN Business Models Choice of business models for CONSERN is greatly dependent on the preferences and priorities of business actors involved in the ecosystem. These business models will be further used to highlight the value proposition inherent in the use cases and scenarios currently under development in CONSERN. Two main different configurations of Business Models are foreseen for CONSERN:

Operator Centric Model,



Operator Independent Model.

4.3.1 Operator-Centric Business Model

This business model for CONSERN represents the case where the Network Operator is responsible to building and operating the CONSERN ecosystems. The business model described here is closer to the “business as usual” scenario for operators – where they own the networking infrastructure and possess the skills to operate them. The Network Operator directly interacts with the Device Manufacturers and Service Providers needed to provide a CONSERN enabled end-to-end connectivity for Home-office and Campus environments.

The flow of revenue in this type of business model is indirect i.e., the Network Operator internally pays the Device Manufacturer and the Service Provider for devices and services respectively. Figure

4-2, presents a high-level overview of Operator centric CONSERN business model, where the dark arrow represents flow of services and deliverables like device, data connectivity etc., and the dotted arrow represents flow of revenues.

Figure 4-2: Operator centric Business Model.

4.3.2 Operator-Independent Business Model:

This business model for CONSERN represents the case where the Facility Owner (FO) of the building (the end user or enterprise resides in), plans to independently build and operate a CONSERN system. FO makes use of off-the-shelf products and adopts the role of Network Operator in network deployment and operation phases. In an Operator Independent Business Model, as shown in Figure

4-3, the Network Operator has no direct control over the network infrastructure and resulting revenue streams, therefore the flow of revenue is direct between the CONSERN stakeholders. Instead, the Facility Owner interacts directly with Device Manufacturers (Retailers) and the Service Providers for provisioning CONSERN hardware and services.

The key motivation for developing an Operator Independent strategy is the fact that it explicitly captures the underlying objective of CONSERN to deliver significant and specific impact on home/SME/institutional end users that do not have the resources to set up complex networks and which are especially benefiting from power efficient, easily scalable solutions. Figure 4-3, presents a high-level overview of Operator Independent CONSERN Business Model, where the dark arrow represents flow of services and deliverables such as devices and date etc., and the dotted reverse arrow represents flow of revenues.



Figure 4-3: Operator Independent Business Model.

4.4 CONSERN Roles, Relationships and Value Network Design The idea of value chain design was first described and popularized by Michael Porter in his 1985 best-seller, Competitive Advantage: Creating and Sustaining Superior Performance [129] with a focus on manufacturing businesses. The CONSERN value network analysis is primarily focused on highlighting the inter-domain aspect of the business models, there by analyzing the value-creating ecosystem within which the value is co-created by a network of inter-domain business players. Figure

4-4 represents a first generic value network design for CONSERN and will be used as the basis for the drawing of the value networks for Operator Centric and Operator Independent Business Models.

The value network represents three streams namely:

The Device Stream,

The Building Infrastructure Stream, and,

The CONSERN deployment Stream.

On the basis of the choice made by the actor to choose a particular role in the value network, three conditions may arise:

If a business actor chooses to adopt many roles within the same vertical stream, the stream would be termed as a case of ‘vertical integration’, which will have an effect on other business actors active in other streams,

If the actors adopt more roles across different streams, the intensity of co-operation goes down,

If the business actors do not vertically or horizontally integrate disparate business roles, they will have to create mutual agreements and synergies with actors in different streams (domains) thereby paving the way for Inter-Domain Business Models with an increased cross-industry (Buildings, Telecoms, Devices) cooperation.



Figure 4-4: CONSERN Value Chain.

Clearly, the third subcategory of Inter-Domain business modelling is the most interesting as well viable from a business and regulatory point (dilutes monopolies and provides level playing field for all the actors) of view because involving stakeholder from different streams will help tackle the risk, lower the cost, and counter monopoly of one actor over the CONSERN ecosystem.

As shown in Figure 4-4, the generic CONSERN value network designed can be further explained as follows:

The black arrows represent business relationships in the form of delivered services,

White boxes without borders represent Services delivered by the business entity,

Each layer in the figure (dark grey region) depicts different service deployment phases,

The white rectangles are the business roles that actors can adopt. Very often it is possible that actors will perform more than one business role. For instance, an Facility Owner can choose to deploy both the network infrastructure as well as CONSERN modules all by himself (Operator Independent Model), will be called an ‘Inter-Domain Business Player’.

Also drawn in the figure, since it remains a topic for further exploration, is the upwardly flow of revenues as represented by dotted upward arrow. Nonetheless, based on the business model, the flow of revenue dramatically changes; as a matter of fact, the downward flow of services is easiest to understand on an intuitive level, but the actual representation of revenue stream from the end-user to the various parties is rather complicated and challenging. Finally, although the services flow chronologically from the upper layers to the lower layers to the end-users, the revenues do not flow chronologically.



In the following, CONSERN business roles are described and elaborated, classification is performed on the basis of key roles performed in various service phases: development and integration, delivery or distribution, and end-usage. Throughout the deliverable, the following nomenclature for referring different business roles (as depicted in the value network) will be used.

4.4.1 Development Phase

In this phase, most of the business roles are attached to the conceptualization of building infrastructure, the development of essential technical components such as the network infrastructure and CONSERN device development etc.

Device Stream

Bu

sin

ess

Ro

les

Development and Manufacturing of CONSERN enabled devices

The design and manufacturing of the CONSERN enabled devices that are equipped with required functionalities and can be successfully deployed at the end user vicinity.

Legacy Device Development and Manufacturing

The design and manufacturing of traditional legacy devices like Ethernet Switches, APIs, Wifi Routers that are be deployed along with the CONSERN devices.

Building Infrastructure Stream

Bu

sin

ess

Ro

les Building Design and Planning

The design and planning phase of a building where CONSERN systems would be deployed and operated. Consulting, sharing the design and planning with the Network Operator and local network Administrators can highly reduce the cost of deployment resulting from re-trenching and digging.

CONSERN Deployment Stream

Bu

sin

ess

Ro

les

Network Infrastructure Development

The planning and designing of network infrastructure, upon which the networking solutions would be deployed and operated.

Network infrastructure integration

The installation of the network and CONSERN hardware acquired from the equipment manufacturing, at the request of the end user.

Table 4-6: CONSERN development phase.

4.4.2 Delivery Phase

In this phase, most of the business roles are attached to the integration of available resources offered by the CONSERN development phase roles into integrated packages and services, ready to be offered directly to the end-user, or ready to be sold through mediators.

Device Stream

Bu

sin

ess

Ro

les

Device Retailing

The act of selling CONSERN/Legacy/Network devices to end-users. This role will be performed by the Retailers who act as reseller for various Device Manufacturers.




Bu

sin

ess

Ro

les

Building Equipment Furnishing

Involves equipping the building infrastructure with required ICT (CONSERN) enabled equipment.

Building Leasing (or Selling)

Represents leasing (or selling) the CONSERN equipment furnished building infrastructure to the renter (residents or enterprise).


Bu

sin

ess

Ro

les

Network OperationsThe ownership and daily upkeep of the CONSERN network. This business role will be relevant in the case of responsibility sharing of daily operation and management of CONSERN ecosystem.

Network Service Provisioning

This role constitutes a layer between the Network Operator and the end-user. Most often, this role together with the role of Network Operation is performed by one actor. This specific role is also responsible for integrating various services from the service and application providers, and delivery them to the end user.

Table 4-7: CONSERN delivery phase.

4.4.3 End Usage Phase

In this phase, the business roles are related to the usage phase of CONSERN by the end-user. The end-use consumption can take place in the form of renting/leasing/purchasing the device, building or service.

Device Stream

Bu

sin

ess

Ro

les

Device Purchasing

The act of purchasing the CONSERN/Legacy/Network devices from the Retailer (or directly from the Device manufacturers).


Bu

sin

ess

Ro

les

Building Renting

The act of purchasing or renting the building infrastructure either by paying rent or buying the building infrastructure.


Bu

sin

ess

Ro

les

Network Connectivity

The consumption of network connectivity and other CONSERN enabled services.

Table 4-8: CONSERN consumption phase.



5. CONSERN Scenarios and Instantiations A scenario is defined as an “account or synopsis of a projected course of events or actions”. Scenarios are used in the CONSERN project in order to describe application examples of CONSERN highlighting key benefits by attributing those to the scenario in an aggregated way, i.e. a number of functionalities are grouped together in a specific real-life context in order to show how these functionalities cooperate beneficially within a given ecosystem.

The high level scenarios presented and elaborated in D1.1 are:

Construction Sites,

Embedded Incident Area Network,

Home and Office Environment,

Urban Heterogeneous Environments,

Campus Environment,

The CONSERN scenarios vary from controlled single-entity outdoor (construction sites) or indoor (home and office environment) ecosystems to more complex, multi-stakeholder neighborhood contexts such as the campus scenario. The Home and Office Environment is chosen for further investigation and elaboration from a business point of view. This scenario can be realized either by using an operator centric or operator Independent strategy (as explained in Section 5.2 and Section 5.3). The choice of deployment strategy depends on the Facility Owner (Building and Property Owner) where the network is to be deployed and operated. Therefore we have two instantiations of the Home and Office scenario classified on the basis of the chosen business model.

Instantiation I: Home and Office Environment with Operator Centric Business Model,

Instantiation II: Home and Office Environment with Operator Independent Business Model.

Section 5.1 identifies four overview criteria: (1) technology design, (2) end-user service design, (3) value network design and (4) financial design according to which the instantiations of home office scenario will be analyzed. Section 5.2 formalizes the operator centric business model instantiation, according to these dimensions, while the Section 5.3 explores for the operator independent instantiation.

5.1 Criteria Overview In order to describe each instantiation in detail, a number of important criteria were distinguished that allow for a structured collection and transparent representation of each CONSERN scenario instantiation. These criteria have special focus on the key value network attributes such as business actors, business roles and value proposition aspects, which are later used as inputs for performing MACTOR analysis in Section 6. These criteria were formulated (using the Business Model Matrix (elaborated in [128]) in order to address the most important business-side issues at hand.

In order to formalize the details behind each instantiations, the two instantiations are re-structured in four dimensions:

1. Technology design,

2. End-user service design,

3. Value network design, and,

4. Financial design.



Technology design represents the technical setup in building and operating a CONSERN system. These technical details are very relevant to the business side of CONSERN deployments because the technical insights regarding the CONSERN device and network architecture and interactions between various actors involved in the ecosystem will further develop our understanding of the business ecosystem and resulting value and financial designs. Two major technological design criteria are:

Tech

no

logy

Des

ign

1) Types of devices that could be enabled (/loaded) with CONSERN modules

What are the variants of devices foreseen, will they be substituting or complementing the existing network devices?

2) Role of Retailers

Based on each instantiations, device Retailers have a varied role to play because of an Operator Centric BM, the Retailer’s role is limited to reselling the devices, whereas for an Operator Independent BM, Retailer can also perform the reselling, integration and support activities.

End-user service design represents the service design or describes the ways in which the end users (EU) interact with CONSERN system. It is to be noted that in all the cases, we assume that the Facility owner is independent to choose the type of business model he wishes to adopt for deploying and operating CONSERN systems. Two major service design criteria were identified.

Serv

ice

Des

ign

1) Involvement of end users (mobile, participants) with CONSERN

In what capacity an End User is involved – consuming services, paying bills and operational costs (if any). If the Facility owner (FO) is the sole point of contact between the end users and other external actors, how is the flow of services and revenues managed?

2) Services and products

How 3rd Party ASPs can reach end users with their services like content provisioning, end user specific applications like VoIP etc. – bypassing the Network Operator and the Facility Owner.

Represents the value network relationships that exist between all the partners of CONSERN ecosystem, what actor will perform which role, and whether there will be cooperation for the deployments and operations. More specifically, in this dimension we look at the different possible constellations between business actors and the respective roles they adopt in various instantiations.

Val

ue

Net

wo

rk D

esig

n

1) Cooperation

Focuses on exploring and estimating potential scope of cooperation between the CONSERN actors during deployment and operation phase.

2) Competitions

Focuses on exploring and estimating potential competitors and their strategies during the CONSERN deployment and operation phase.

The financial design encompasses the architecture of financial streams determining the future business, and includes:



Fin

anci

al D

esig

n

1) Capital investments.

Focuses on identifying which actor will carry what part of the infrastructural rollout? This will be an effect of the decisions taken in the value network design and the business model instantiation being followed.

2) Costs Incurred

Device costs: The primary purchase cost of the CONSERN and legacy network equipment for the consumer (Facility Owner, Network Operator etc.).

Network infrastructure costs: The cost of building the transmission infrastructure.

Pricing Models and Revenue sharing co-operations Specific amounts charged between business actors, primarily between the end-user (or Facility Owner) and Network Operator(s).

Revenue sharing agreement between the operator, 3rd Party ASP and IO (if any).

3) End-user billing

The way in which the user (end user or Facility Owner) will pay for the services and CONSERN infrastructure provided will depend on the type of business model instantiated as the two business models under consideration are: Operator Centric and Operator Independent Models.

Table 5-1: Criteria Overview.

5.2 Instantiation I - Home and Office Environment with Operator-centric Business Model

This section introduces and elaborates the CONSERN business model for a home and office environment. This scenario addresses the deployment of a heterogeneous wireless network in a limited geographical area, such as a home and office environment. The objective is that such a network guarantees the provision of voice and data communication services, but also acts as a large scale, distributed and cooperating system for monitoring and control, possibly incorporating Wireless Sensor Networks. The building infrastructure owner in the Home and Office environment (the Facility Owner) is assumed to be an actor without much technical skills and thus a fully automated self-growing network deployment approach needs to be applied. We now shift our focus to categorize the instantiation on the basis of criteria overview discussed in the Section 5.1.



Figure 5-1: Instantiation I – Home Office environment with Operator centric Business Model.

5.2.1 Technology Design

In order to grasp a high level overview of CONSERN technical ecosystem, a generic office setting is proposed where the CONSERN enabled network devices are deployed to realize a purpose-driven small-scale wireless ecosystem. The key functionalities addressed here include energy awareness, flexibility in re-purposing and reconfiguring the network across the ecosystem life cycle. In order to highlight these functionalities and the Operator Centric business model, the technical architecture is elaborated from a Facility Owner’s point of view. Once the Facility Owner (FO) decides to deploy CONSERN for the end users for which he chooses to employ the Network Operator (who also provides broadband connectivity and services) to deploy and configure CONSERN system for him.

The Facility Owner (FO) will reach out to the Network Operators and finalize the service contract for his building (home/office space). Upon successful completion of the service agreement and receiving the guarantee (in the form of contract or initial payment) the Network Operator will subcontract the Device Manufacturers (or Retailers) and 3rd Party Service Providers for providing a CONSERN enabled end-to-end connectivity for Home and Office setting.

Figure 5-1 provides a high level overview of an Operator Centric business model, where arrows in bold represent the flow of service or assets, whereas the flow of revenue is depicted using the dotted arrows. It is important to highlight the fact that in this type of business model the flow of revenue between the focal actor (Facility Owner) and rest of actors is indirect, i.e., instead of the Facility Owner, the Network Operator pays the Device Manufacturer and the Service Provider for devices and services respectively. Based on the model represented in Figure 5-1, a generic CONSERN network architecture comprising of the actors proposed in the Figure 5-2.



Figure 5-2: CONSERN Technical Ecosystem (Phase I).

Lifecycle of the CONSERN network is subdivided in two phases where each phase of the network has a different set of CONSERN attributes –

Phase I addresses the flexibility and ease of deployment of using CONSERN systems,

(Phase II) highlights the multi-purpose reconfigurability of CONSERN systems.

In the following, the technical CONSERN ecosystem is explained and elaborated using a real life use case where CONSERN is deployed and then re-purposed again in the later stage of its lifecycle.

Phase I - addresses the flexibility and ease of CONSERN deployment, consider a small firm whose requirements are limited to day to day communications, efficient resource utilization and spectrum usage. To do this, Facility Owner decides to reach out to the Network Operators to build and operate a CONSERN system for his networking infrastructure. As shown in the Figure 5-2, the Network Operator provides the backhaul and wireless connectivity to the end users. The Network Operator also provisions services in collaboration (or in competition) with various 3rd Party Application Service Providers (ASP). Therefore, the Network Operator can develop the capabilities to provide CONSERN enabled end-to-end connectivity to its end users thereby undertaking the control over complete control of the CONSERN system and hence the customer ownership.

Phase II - addresses the reconfigurability aspect of CONSERN ecosystem throughout its lifecycle. Followed by a few years of successful operations, the firm is acquired by a multi-national bank, which also has day-to-day operations along with providing management and consulting advice to their clients. The security manager at the bank now realizes that the present CONSERN networking infrastructure which was until now used only for communication purposes, can be successfully reconfigured to a more secure and robust networking infrastructure for the day-to-day activities like cash transfers, bonds, exchange of sensitive information etc. Clearly, the requirements and expectations here are different and hence the network needs to be re-purposed and reconfigured into a highly secure, reliable and efficient network. To do this, the Facility Owner can approach the Network Operators to reconfigure and repurpose the network within limited restructuring and infrastructure investments. Figure 5-3 represents the second phase of network lifecycle where it supports day-to-day operations of a multi national bank.



Figure 5-3: CONSERN Ecosystem (Phase II).

5.2.2 Service Design

The Facility Owner mediates the interaction between the End Users and Network Operator – both in terms of services and revenues. Nonetheless, the services and applications provided by the 3rd Party Application Service Providers will now be provisioned over the network infrastructure provided by the Network Operators and hence the revenue generated as a result of service provisioning will be shared between the 3rd Party ASP and the Network Operator.

5.2.3 Value Network Design

As discussed in Section 4.4, the value network design for an Operator centric business model differs from an Operator Independent Business Model, given below is a brief overview of business relationships between the actors for the home office set up.



Figure 5-4: Operator centric Business Model.

Actor Value Network Roles Real Life Actors

Device Manufacturer

1) CONSERN and Legacy Device Development.

2) Device Retailing to the End Users and Network Operators.

Huawei, Toshiba

End User 1) Mobile and Legacy device purchasing

2) Building Ownership (via renting or purchasing)

3) CONSERN enabled network connectivity

Employee, Tenants

Network Operator 1) Network Infrastructure Development

2) Network Infrastructure Integration

3) Network Operation and Maintenance

4) Network Service Provisioning

OTE

Facility Owner 1) Building design and planning

2) Building Equipment Furnishing

3) Building Selling or Leasing

Real estate, Banks, Hotels Housing Corporations

3rd Party ASP 1) Content and Service provisioning Warner, Skype, Virgin etc

Table 5-2: Actor and Role Matrix.



5.2.3.1 Cooperation

Actors Description D

uri

ng

net

wo

rk d

eplo

ymen

t p

has

e Network Operators and Device Manufacturers

Can collaborate during the development and retailing of the CONSERN device, where a mutual agreement between the Device Manufacturers and the Network Operators can give an added advantage to provisioning a niche product on an exclusivity basis.

Network Operator and Facility Owner

Can collaborate on various scales depending on time of deployment, as shown in Figure 5-4, a Network Operator can start deployment of CONSERN hardware as early as the infrastructure (building) development phase (Option 1) or during the final leasing phase (Option 2). Earlier deployments in the building lifecycle can cause considerable cost savings to the infrastructure owners and create a guaranteed subscriber for the Network Operator.

Du

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etw

ork

op

erat

ion

ph

ase

Network Operators and Device Manufacturers:

Can collaborate during the operational phase of CONSERN by providing necessary software updates and maintenance support to the Network Operator. In return the Network Operator can guarantee their long-term partnership with the Device Manufacturers.

Network Operator and Facility Owner:

Can collaborate during the operational phase of CONSERN by sharing the costs and responsibilities of network up keeping and unforeseen disruptions (causing investments) thereby assuring the infrastructure investments and sharing risks between both the players.

Network Operator and 3rd Party ASP

Can collaborate during the service and network provisioning phase, where the Network Operator can provide services from the ASPs over the CONSERN network and hence sharing the revenues generated.

Table 5-3: Scope of cooperation between the stakeholders active in CONSERN ecosystem.

5.2.4 Financial Design

5.2.4.1 1 Scope for Infrastructural Investment

Since the business model in focus is an Operator centric model, it is clear that upon receiving the signing amount or service agreement the Network Operator will build and operate the CONSERN enabled network. Nonetheless there also exists a hybrid scenario where the Network Operator will work together with Facility Owner (through cost sharing models) for building of the network but this scenario needs to be verified through expert interviews. In any case the Network Operators will leverage on their existing legacy networks and integrate the CONSERN enabled equipment into their legacy networks hence saving cost of deploying a network from scratch.

5.2.4.2 End User Billing

A similar monthly subscription fee can be levied on the End User (e.g. tenants). In case where the end users are employees, the Facility Owner (the renting company or the enterprise) will be responsible for the network, connectivity and service bills of his employees. The revenue generated through the service consumption is transmitted back to the 3rd Party Application Service Provider (upon sharing with the Network Operator).



5.3 Instantiation II - Home and Office Environment with Operator Independent Business Model

This section introduces and elaborates the second instantiation of CONSERN in a home and office setting and addresses the deployment of a heterogeneous wireless network in a limited geographical area. The business model under consideration is an Operator Independent Business Model, where the Facility Owner builds and operates his own network. This instantiation of CONSERN business model can also be of use to enterprises, which have their own specific business roles (banks, telecom operators, etc.) and own the building they reside in. Depending on their expertise and their size such enterprises often build and manage their own networking infrastructure, which will further pave the way for a faster and easier adoption and integration of CONSERN functionalities (i.e. through a SW upgrade). In case the Facility Owner does not have the critical resources in-house, it will have to engage Retailers or 3rd party integrators. For the time being the analysis is delimited by assuming the Facility Owner to have this expertise. An additional advantage of those businesses following this model is that the scope of adopting CONSERN functionalities can be broader and more long-term. Moreover, conflicts of interests can be avoided such as in cases, where a lot of capital, reconstruction and rearrangements are required, to employ the CONSERN infrastructure. The change of cash flows is more limited within the enterprise itself and the advantages of the CONSERN infrastructure can be deployed on a bigger scale. Nevertheless, expertise of Network Operators will still be required for broadband and mobile connectivity for the end users inside the enterprise. We now shift our focus to categorize the instantiation on the basis of criteria overview discussed in previous section.

Figure 5-5: Instantiation II – Home Office environment with Operator Independent Business Model.

5.3.1 Technology Design

In order to grasp a high level overview of CONSERN technical ecosystem, the generic office setting proposed in the Section 5.2.1 is retained, but the business model in focus is an Operator Independent business model. On the contrary to the Operator Centric business model, the Facility Owner decides to purchase and deploy CONSERN enabled devices off-the-shelf from the Retailers. It is to be noted that since Network Operator is not directly responsible for the CONSERN deployment, hence the Retailer (and Device Manufacturers) will be held responsible for service guarantee of



CONSERN deployments. The Facility Owner further consults the Network Operators for initial setup and employs them for providing the broadband and wireless connectivity for his network.

As shown in the Figure 5-5, the Facility Owner (FO) can independently approach the Retailers, Device Manufacturers and 3rd Party Service Providers on the basis of his requirements, and hence finalize independent service contracts with each business actor. Each business actors individually receives the payment in the form of monthly subscription or payment in cash for the services and assets provided by them, for instance Network Operator can be paid on subscription basis for the backhaul and wireless connectivity provided, the Device Manufacturer can be paid for the legacy/CONSERN enabled equipment sold directly to the Facility owner, the 3rd Party Service Provider can be paid for the service and applications provided by him (VoIP Bundle, VOD etc.).

5.3.2 Service Design

The Facility Owner mediates interaction between the End User and Network Operators, Service Providers – both in terms of services and revenues. Nonetheless, the services and applications provided by the 3rd Party Application Service Providers will now be provisioned over the network infrastructure owned by the Facility Owner and directly to the End User, hence the ASP will get the revenues generated as a result of service provisioning.

5.3.3 Value Network Design

As discussed in Section 4.4, the value network design for an Operator Independent Business Model differs from an Operator Centric Business Model, given below is a brief overview of business relationships between the actors for the home office set up.

Figure 5-6: Operator Independent Business Model.



5.3.3.1 Actors and their Roles in the Value Network

Actor Value Network Roles Real Life Actors

Device Manufacturer

1) CONSERN and Legacy Device Development.

2) Retailer Support.

Huawei, Toshiba

Retailer 1) CONSERN and Legacy device retailing

2) Network Infrastructure Integration

3) Network Operation and Maintenance

End User 1) Mobile and Legacy device purchasing

2) Building Ownership

3) CONSERN enabled network connectivity

Employee, Tenants

Network Operator 1) Network Infrastructure Development

2) Network Service Provisioning

OTE

Facility Owner 1) Building design and planning

2) ICT Equipment Furnishing

3) Building Leasing

Real estate, Banks, Hotels Housing Corporations

3rd Party ASP 1) Content and Service provisioning Warner, Skype, Virgin etc

Table 5-4: Actor and Role Matrix.

5.3.3.2 Co-operation

Actors Description

Du

rin

g n

etw

ork

dep

loym

ent

ph

ase

Facility Owner and Device

Manufacturers

Although there doesn’t exist a direct mode of collaboration between the Facility Owner and the Device Manufacturers, Retailers on the other hand can mediate between the Device Manufacturers and the Facility Owners to improve the availability and client-manufacturer relationships. This can be done constructively if the Device Manufacturers choose to provide a full support and consultation during the deployment phase of CONSERN systems, in return manufacturers can expect long-term customer and hence retailing loyalty.

Facility Owner and Retailers (indirectly with Device Manufacturers)

Can collaborate on various levels depending on the infrastructure lifecycle. Since CONSERN systems can be deployed throughout the lifecycle of the building, following three steps of deployment are foreseen:

Option 1: Retailers and Facility Owners collaborate during the furnishing phase – when the building infrastructure is equipped with networking and other utilities. The Network and CONSERN integration at this point will be most economical for the FO and will ensure a long-term value proposition for the FO.

Option 2: Retailers and Facility Owners collaborate during the leasing



Actors Description

phase – when the building infrastructure is ready for being leased or inhabited. Assuming the network integration takes place during this phase, the Network and CONSERN integration at this point will depend on the type of contract negotiation between the Infrastructure Owner and the Tenants (can be an enterprise or a tenant). Negotiations here refer to cost and responsibility sharing between the IO and the end users.

Network Operator and Device Manufacturers

Collaboration between these two actors will remains as usual – where the Device Manufacturer will supply the legacy and other networking devices to the Network Operators and in return the Network Operator pays the Device Manufacturer.

Du

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Facility Owner and Device Manufacturers

Can collaborate during the operational phase of CONSERN systems by providing necessary software updates and maintenance support to the Facility Owner (keeping Retailers aware of this interaction).

Network Operator and Facility Owner:

Can collaborate during the operational phase of CONSERN systems by sharing the costs and responsibilities of network up keeping and unforeseen disruptions (causing investments) thereby assuring the infrastructure investments and sharing risks between both players.

Facility Owner and 3rd Party ASP

Can collaborate during the service and network provisioning phase, where the ASP can provide services independently over the CONSERN network and hence own the revenues generated.

Table 5-5: Scope of Cooperation between the stakeholders active in CONSERN ecosystem.

5.3.4 Financial Design

5.3.4.1 Scope for Infrastructural Investment

Since the business model in focus is an Operator Independent Model, it is clear that the Facility Owner has to invest for building and operations.

5.3.4.2 End User Billing

In an Operator Independent Model, if the End User (e.g a tenant) who chooses to build and operate network by himself has to bear the investment expenses along with usual subscription charges (dataplans) for broadband and mobile connections. In case, if the end User is an employee of an enterprise (e.g. a bank), as a Facility Owner the enterprise will bear the investment costs along with the bulk subscription costs of connectivity. Depending on the internal organizational structure the Facility Owner may or may not charge the End User for costs incurred and investments made in the CONSERN infrastructure.



6. Inter-Domain Business Implications for CONSERN - Operator Independent vs. Operator Centric Business Model

CONSERN value network design represents a variety of business roles that actors perform in order to create value for the ecosystem. While these business roles are being performed, there exist several direct and indirect influences acting on these actors. Influences among these actors must be evaluated in order to improve our understanding of the inter-actor relationships, convergences and divergences of these actors on various strategic issues important for creating a viable and positive business case for CONSERN. To do this analysis, a multi-actor analysis – MACTOR[122] was employed, for the two instantiations discussed in the Section 5 of this deliverable.

Figure 6-1: Direct and Indirect Influences.

Source [122]

MACTOR (Matrix of Alliances and Conflicts: Tactics, Objectives and Recommendations) is based on inter-actor influence, and attempts to give a global vision of the importance and possible outcome of the different issues, as well as the expected actor’s strategies, relationship of power and potential alliances and conflicts. The underlying aim of using MACTOR for our analysis therefore is to assist key actors and stakeholders in strategic decision-making and allowing us to perform issue-level assessments as well as derive more abstract implications on a higher level. In the following subsections, the key steps required for performing MACTOR analysis are explained and implemented in details for CONSERN business ecosystem.

6.1.1 Building Actor Profiles

The first step is to identify the business actors involved in the CONSERN business ecosystem. Deriving from the Table 4-5 in the Section 4.2, CONSERN business ecosystem consists of actors mainly from telecom industry and stakeholders like the Facility Owners and End Users. Since our exploration is limited to the home/office environment, this delimits the key actors defining the business ecosystem to the following:

CONSERN Actor Description based on Office Scenario

Network Operator (NO) In our case is a Network Operator is responsible for providing backhaul and wireless network connectivity.

Facility Owner (FO) In our case is the owner of the building infrastructure.

End User (EU) In our case is the employee/facility renter who consumes services and resides in the building.

Device Manufacturer (DM)

Is the original equipment manufacture (OEM), who manufactures and distributes the CONSERN enabled equipment to the regional or

6 Journal of Decision Systems. Volume 12 - no 4/2003

3.1 The Inputs

The MACTOR method uses three principal inputs, collected in three matrixes.

The first input is the position of actors over issues, stored in the position matrix

(1MAO). Position is treated as the opinion of each actor on each issue, determining

whether it stands for (value of 1), against (-1) or is neutral (0) to a particular issue.

The second input is the salience of actors over issues, stored in the salience

matrix. Salience represents how important each issue is to an actor, evaluated on a

scale ranging from 0 (unimportant) to 4 (extremely important). Actually, this matrix

is merged with the position matrix, creating the 2MAO matrix which cells are the

product of the corresponding cells of the salience and position matrixes.

Finally, the last input is the influence of actors over each other, stored in the

influence matrix (MID). Influence represents the power that the influential actor has

over the influenced actor, measured on a scale ranging from 0 to 4, respectively

meaning no influence to very high influence.

3.2 Model description

The first part of the MACTOR method is dedicated to the development of the

concept of influence. While the input only includes the direct influence between

actors, the model also takes into consideration indirect influence, which is exerted

through the use of the influence with other intermediary actors (see Figure 2)

Figure 2: Indirect influences

Accordingly, the model computes the matrix of direct and indirect influences

(MIDI [1]), which contains, for each couple of actors, the direct influence plus all

the indirect influences pass ing from every possible intermediary actor.

( )( )!+=c bc,ca,ba,ba, MID ,MIDmin MID MIDI [1]

A

B

C

D The influence of A on C, is

the sum of the direct

influence it has on C and of

all indirect influences it

gains through all the other

third actors (here B and D)



CONSERN Actor Description based on Office Scenario

national Resellers (Retailers).

3rd Party Application Service Provider (ASP)

We assume the Network Operator provides a bundled ASP along with the data subscription. The 3rd Party ASP will compete with the NO to provide applications and services to the User/Buyer and directly compete with other ASPs.

Retailer Is a reseller of equipment who aggregates devices from various manufacturers, the Retailer also possesses the capability to provide expertise in network integration, planning, operation and support.

Table 6-1: CONSERN Actors (Derived from the Table 4-5).

However, it is to be noted that there also exists other business actors and stakeholders like certificate managers, developers, and administrators etc., which have been left out of the discussion.

6.1.2 Identifying Strategic Objectives

Before the strategic objectives are formulated, an important question that needs to be addressed is - under what circumstances we may expect CONSERN to be commercially successful, i.e., whether the value network described (in Section 4) is sustainable in a future marketplace. In general it can be stated that a business model is feasible if there is a strategic fit between its key design parameters. An important step in this direction is therefore to derive and define key strategic objectives on the basis of the business parameters initially proposed in the Table 4-2. On the basis of the strategic issues derived, battlefields can be formulated where for a given objective various actors in the ecosystem are in convergence, in divergence, or neutral. Using the business parameters highlighted in the Table 4-2, we derived six principal issues, which are expected to have direct or indirect impact on the actors operating in the CONSERN ecosystem. Table 6-2 summarizes the relationship between the derived strategic objectives and business parameters.

O1: Increase in Energy Efficiency

Inte

nd

ed V

alu

e Intended Value: The basic attributes that the product or service possesses which constitute the intended value to be delivered to the customer.

Increase in Energy Efficiency relates to the reduction in the amount of energy required to provide services (communications, security etc.) and relative cost savings due to the deployment of CONSERN enabled devices.

O2: Partly Substituting Solutions

Po

siti

on

ing

Positioning: The complementarity and substitutability between products and services, by among others, identifying the most relevant attributes of the product or service in question.

Partly Substituting Solutions relates to the fact that the CONSERN networks deployed by the FO at least partly substitute connectivity solutions offered by NOs. Instead of relying on these operators for in-building communications, the FO deploys its own network. In this scenario, the NO still provides the broadband backhaul and wireless link to the FO’s system, so the value proposition is also partly complementary.

O3: Reduced Complexity



Inte

rop

erab

ility

, Mo

du

lari

ty,

Dis

trib

uti

on

of

Inte

llige

nce

Interoperability: The ability of systems to directly exchange information and services with other systems.

Modularity: The design of the systems as sets of discrete modules that connect to each other via predetermined interfaces

Distribution of intelligence: The distribution of processing power, control and management of functionality across the system in order to deliver a specific application or service.

Reduced Complexity represents the overall flexibility of installation and operation of CONSERN systems. This objective also captures the key functionalities of CONSERN, i.e., the high interoperability and cooperativeness of CONSERN enabled devices with an existing ecosystem.

O4: Independence from the Operator

Cu

sto

mer

Ow

ner

ship

, Co

mb

inat

ion

of

Ass

ets,

Ver

tica

l In

tegr

atio

n

Customer Ownership: Identifies which stakeholder assumes the direct commercial relationship with the customer.

Combination of Assets: the resources that are available and useful in any activities an organization undertakes in pursuing its goals.

Vertical Integration: Identifies if the underlying business model is vertically integrated or disintegrated.

Independence from the Operator refers to the instantiation where the Facility Owner decides to setup his own CONSERN ecosystem independently. This implies that there is no customer relationship with an Operator for this network, nor does the Operator assume management responsibilities. As the network systems are operational and additional services are offered by the ASPs, the combination of assets is distributed and the system is vertically disintegrated.

O5: Reliance on non-proprietary devices

Inte

rop

erab

ility

, M

od

ula

rity

, an

d In

ten

ded

va

lue

Definitions (see above)

Non-Proprietary devices mainly refers to the scope of deploying off-the-shelf networking equipment from multiple vendors, as opposed to using integrated proprietary systems (which would be more likely in operator centric or vendor-centric integrated scenarios, and of which the intended value would be to create customer lock-in). This also translates to the fact that multiple Device Manufacturers can compete constructively within the marketplace in order to sell their CONSERN enabled devices hence providing the Facility Owner multiple alternatives to choose from.

O6: Revenue Model

Rev

enu

e M

od

el

Revenue Model: The anticipated revenue generated and shared amongst the actors involved in the value network.

Depending on the type of business model under consideration, the sharing of revenue will either be direct or indirect, i.e., in case of a direct revenue sharing, the revenues from the Facility Owner is directly transmitted to the CONSERN actors without any mediation, whereas in case of an indirect version of revenue sharing model, the Network Operator mediates and decide upon the flow of revenues.

Table 6-2: CONSERN strategic objectives.



6.1.3 Mapping Actors & Strategic Objectives

Based on the two instantiations – Operator Centric and Operator Independent Business Models, described in Section 5, the position of each actor in the CONSERN business ecosystem is mapped into the Matrix (Matrix of Actors and Objectives) on the basis of possible alliances/ conflicts and the hierarchy of objectives for an actor. Ranking of actors’ preferences are done on a scale of (-3 to +3) recorded on the basis of the level of opposition or agreement being high, medium or low. The more the actor feels concerned with an objective, which is important for him, the higher is the absolute value recorded. Both the methodological objective of this deliverable and the limited scope of applicability (only home and office environment) make it impossible to exhaustively describe and validate these positions at this point of the research; however, this is planned as a next step to be performed in the year II of CONSERN.

O1: Increase in Energy Efficiency

Inte

nd

ed V

alu

e

- Increase in Energy Efficiency is a key concern for all the actors directly and indirectly related to and operating in the CONSERN ecosystem. Therefore, we assume the preferences on energy efficiency as a priority and therefore ranked as positive influence (convergence/neutral) among CONSERN actors.

The issue of energy efficiency for 3rd Party Application Service Provider and Retailers is of low priority because of their indirect relationship with the ecosystem and hence will be least in favour (without opposition). Energy efficiency is also an issue of low priority to the Network Operators as they are not responsible for building and operating inside the CONSERN ecosystem, hence is ranked (+1) in 2MAO. On the contrary, the Facility Owner, energy efficiency still remains a key driver for choosing CONSERN over other technologies hence ranked (+3) in 2MAO.

For an Operator Centric Business Model, since the Network Operator is fully in control of the network infrastructure and the End Users inside the ecosystem, therefore the Network Operator ranks energy efficiency as a priority along with the Facility Owner (+3) in 2MAO.

Strategic Objective 2: Partly Substituting Solutions

Po

siti

on

ing

- Providing Partly Substituting Solutions to the End Users is the key motivation for the Infrastructure Owners to deploy CONSERN in an office environment.

This move by the Facility Owner is against the direct interest of Network Operators, because it will delimit its control over the network infrastructure and customer ownership inside the CONSERN ecosystem. Retailers and other actors will support this objective since it opens venues for their business for delivering off-the-shelf CONSERN equipment to the End Users (+3). The 2MAO matrix shows the seriousness of the issue as all the actors (except the End

User) rank this issue as ( 3) in their hierarchy of objectives.

Network Operator in an Operator Centric Business Model will have full control and ownership of the CONSERN ecosystem, therefore ranks (+3) in 2MAO. On the contrary the Retailers and the ASP will diverge with this move of the Facility Owner.

Strategic Objective 3: Reduced Complexity



Inte

rop

erab

ility

, Mo

du

lari

ty, D

istr

ibu

tio

n o

f In

telli

gen

ce

- Reduced Complexity reflects the extent to which the complexity of network deployment for an Infrastructure Owner reduces throughout the network lifecycle. Reduced complexity in network deployments has an anticipated positive impact on all the actors and can accelerate their business objectives and competitiveness. Hence all the actors in the CONSERN ecosystem converge on this strategic objective, hence ranked (positively or neutral).

In an Operator Independent BM, similar to the energy efficiency, this objective as well is of low priority (only +1 in 2MAO) for the Network Operators because of the non-involvement of NOs inside the CONSERN ecosystems. Retailers on the other hand, show a very high convergence (+3) given their scope of involvement in network planning, integration and support phases.

For an Operator Centric Business Model, since the Network Operator is fully in control of the network infrastructure and the End Users inside the ecosystem, therefore the Network Operator ranks energy efficiency as a priority along with the Facility Owner (+3) in 2MAO. Since Retailers and the ASPs are not directly involved, hence are ranked neutral (0).

Strategic Objective 4: Independence from the Operator

Cu

sto

mer

Ow

ner

ship

, Co

mb

inat

ion

of

Ass

ets,

Ver

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l In

tegr

atio

n

- Independence from the Operator here reflects the limited role of Network Operators (wired/wireless) in the CONSERN ecosystem.

Operator Independent deployment strategies employed by the Facility Owner will further narrow down the customer ownership of Network Operators, thereby disintegrating the previously existing Operator centric vertically integrated business models and hence ranked (-3) for the NO. On the contrary, the 3rd Party Application Service Providers will be benefitted by operator Independent ecosystem, as it provides a level playing field for the ASPs to compete and deliver services to the End User (+3) on 2MAO. Retailers show a very high convergence given their scope of involvement in network planning, integration and support phases.

Given that in an Operator Centric Business Model, the Network Operator still remains the key business actor operating in a vertically integrated business setup, the Retailers and ASPs will highly diverge and discourage the monopoly and control of Network Operators hence are (-3) and (-2) respectively.

Strategic Objective 5: Reliance on non-proprietary devices

Inte

rop

erab

ility

, M

od

ula

rity

, In

ten

ded

val

ue - Flexibility of deploying Non-Proprietary Devices in the CONSERN ecosystem represents

the Operator Independent strategy employed by the Facility Owner to build the CONSERN ecosystem by him-self using off-the-shelf devices. Independence in choosing a specific Device Manufacturer can be a strong motivation for the Facility Owner to deploy CONSERN.



For Network Operators integrating local access networks with their wider area systems using proprietary systems (developed in cooperation with selected vendors) is impossible in this scenario, lowering their control (-3). Device Manufactures may choose to converge or diverge depending on their collaborations and tie-ups with the Network Operators.

For Facility Owners lack of independence to choose specific device manufacturer and instead align according to the interests of the Network Operator could be an issue of divergence and hence ranked (-3).

Strategic Objective 6: Revenue Model

Rev

enu

e M

od

el

- Revenue Model reflects the opportunities for sharing revenues between stakeholders.

For an Operator Independent Business Model, investment in CONSERN system components flows directly to the Retailers and then the Device Manufacturers, the Facility Owner excludes Network Operators from the revenue stream both in terms of infrastructure provision and operational revenues. Similar to the Product Substitution the Revenue Sharing is also a high priority for all the actors (except for ASP and EU)

hence this issue as ( 3) in their hierarchy of objectives.

For an Operator Centric Business Model, the flow of revenue is indirect where the Network Operator mediates between the flow of revenues between the Retailers, Device Manufacturers, ASPs and the Facility Owners. Hence the gaining a full control over the revenue stream (+3) and is opposed by Retailer and ASP (-3).

Table 6-3: Actor specific rankings towards the objective.

The actor specific rankings towards the objectives as explained in the Table 6-3 can be qualified through a matrix of actor and objective (2MAO) as shown in the Table 6-4 below.

Operator Independent Business Model Operator Centric Business Model

Objective

Actors

O1 O2 O3 O4 O5 O6 O1 O2 O3 O4 O5 O6

NO +1 -3 +1 -3 -3 -3 3 3 3 3 3 3

FO +3 +3 +3 +1 +2 +3 3 0 2 1 -3 -2

EU +1 0 +1 -1 0 0 1 0 1 1 0 0

DM +2 +3 +2 0 0 +3 2 0 2 0 0 0

R 0 +3 +3 +3 +2 +3 0 -3 0 -3 0 -3

ASP 0 +3 +1 +3 +1 0 0 -2 0 -2 0 -3

Table 6-4: Importance of Objective for an actor (2MAO).

The histogram shown in the Figure 6-2 further qualifies each actor’s implication towards its objective – based on the agreement (in yellow) and disagreement (in blue). The upper half of the histogram represents the Operator Independent Business Model whereas the lower half represents the Operator Centric Business Model. From the figure, it is clearly evident that the degree of disagreement is higher in an Operator Centric Business Model because of opposition from Facility Owner, Retailer and ASP.



Figure 6-2: Operator Independent vs. Operator Centric Alignment towards Objectives.

Next step in evaluating MACTOR is to formulate the Value Position Matrix which transforms the 2MAO matrix into 2MAA (Actors X Actors); each element (nCij) and (nDij) in the Matrix represents the number of objectives towards which actors i and j have a common convergence or divergence respectively.

Using the multiplication property of matrix calculation, where by multiplying a matrix with its transpose yields a number of factors in common for each pair of lines in the original matrix. In our case the original matrix 2MAO (Actors X Objectives) when transposed yields 2MOA (Objectives X Actors). The product of 2MAO and 2MOA results in the matrix 2MAA (Actors X Actors). The resulting 2MAA matrix (see Table 6-5) is made up of both positive and negative scalar products. Each element in the lower half and the upper half of the table is obtained by the matrix product, which retains only positive and negative scalar products respectively.



Operator Independent Business Model Operator Centric Business Model

Objective

Actors

NO FO EU DM R ASP NO FO EU DM R ASP

NO -21 0 -14 -30 -20 0 0 0 -27 -27

FO 0 0 0 0 0 3 0 0 0 0

EU 5 5 0 0 -2 9 6 0 -3 -3

DM 0 30 4 0 0 12 10 4 0 0

R 0 34 0 24 0 0 3 0 0 0

ASP 0 17 0 11 23 0 3 0 0 27

Table 6-5: Actor-Actor Interaction (2MAA).

Based on the Convergences (green) and Divergences (red) fin 2MAA, we can draw two diagrams of convergences and divergences as shown in the Figure 6-3 and Figure 6-5 for Operator Independent Business Model, Figure 6-4 and Figure 6-6 for Operator Centric Business Model.



Figure 6-3: Convergence among actors in Operator Independent BM [Red - Strongest Convergence; Dotted - Weakest Convergence]

Figure 6-4: Convergence among actors in Operator Centric BM [Red - Strongest Convergence; Dotted - Weakest Convergence]



Figure 6-5: Divergences among actors in Operator Independent BM [Red - Strongest Divergence; Dotted - Weakest Divergence]

Figure 6-6: Divergences among actors in Operator Centric BM [Red - Strongest Divergence; Dotted - Weakest Divergence]



6.1.4 Business Implications for CONSERN Actors

Using MACTOR allows us to formulate the battlefields where for a given objective various actors in the business ecosystem are in convergence, in divergence, or prefer to take a neutral stance. However, linking these strategic objectives and positions to the actual configuration of the business model under study (allowing to differentiate between the synergies and derive a potential set of best practices/recommendations for the actors) is a key motivation behind the exercise.

Initial results of using the MACTOR/Matrix framework are presented in the series of diagrams that highlights the key convergences and divergences in the CONSERN ecosystem. Following direct conclusions can be derived:

Influence Type

Actors Involved Operator Independent BM Operator Centric BM

Convergence Facility Owner (FO)

Device Manufacturers (DM)

3rd Party ASP

Retailers

Network Operator (NO)

There exists certain degree of synergies among the Facility Owner, 3rd Party ASP and the Device Manufacturer (and Retailers), because in absence of Network Operators both ASPs and Device Manufacturers can interact freely and directly with the Facility Owner (for revenue sharing and service delivery).

Due to the intervention of the Network Operator, the convergences shown in Operator Independent BM, the convergences previously existed are now diluted. It can be seen that there exists a strong convergence between Retailers and ASP mainly originating from the issue of sharing with the Network Operator

Another set of strong convergence exist among the Facility Owner, Device Manufacturer and the Network Operator, where the Device Manufacturer supplies the devices on the basis of long term strategy/alliance with the Network Operators.

Convergence End User

Network Operator

Synergies between the End Users, the Network Operator (NO) (as shown in 2MAA) over all the strategic objectives are diluted because of the mediation of the Facility Owner – who interferes with the existing operator-customer relationship by deploying and managing the CONSERN network all by himself.

End Users and Network Operators have a higher degree of convergence given that in an Operator Centric BM, the Network Owner will have a full control over the network infrastructure as well the customer ownership



Table 6-6: Inter-domain business implications for CONSERN actors.

Given the convergences and divergences among the CONSERN actors, and their business implications, mapping inclinations and inertias in the form of a map could provide necessary overview of - how distant CONSERN business actor are with respect to the other actors. Maps in Figure 6-7 and Figure 6-8 represent the net distance between actors, taking into consideration - the convergence and divergence of business actors on every strategic objective.

Divergence Network Operator

Facility Owner

Strong divergence occurs between the Network Operator and the Facility Owner: firstly, because of the Operator Independent strategy employed by the Facility Owner and secondly because of the direct interaction between the Facility Owner and the Device Manufacturer (Retailers), which in more Operator centric models was mediated and managed by the Network Operator.

The divergences among the NO and FO though still exist but are not so strong as compared to the Operator Independent BM, the divergences still exist on two specific issues of revenue sharing and choice of proprietary devices.


Retailer

Some strongest sense of divergences occur in between the Network Operator and Retailers in the Operator Independent setup, where in absence of the NO, the Retailer provide the devices to the facility owner, provide system integration and support for later stages there by assuming partly control of the end use ecosystem.

On the contrary, Retailers in an Operator Centric BM, risk limiting their role to reseller of CONSERN devices to the Network Operator, therefore there still exists a strong sense of divergence among these actors.


Application Service Provider

Given the business model under implementation is Operator Independent and ASPs can directly compete with the NOs for providing service, this move of ASPs will be highly opposed by the Network Operators who have already lost their control over the networking infrastructure and customer ownership.

Divergences are even stronger in an Operator Centric Setup where the ASPs are only allowed to interact with the End User upon mediation of the Network Operator – hence sharing the revenue stream and customer ownership.



Figure 6-7: Net Distances between CONSERN actors [Operator Independent Business Model].

The Facility Owner in an Operator Independent BM will face direct confrontations and disagreements with the Network Operator. Since the Facility Owner is the focal actor, and for CONSERN, the choice of deployment and adopting the business model (Operator Centric or Operator Independent) lies with the Facility Owner, so looking at the net distances map from a Facility Owners’ point of view, the following implications could be derived and visualized using the map of net distances:

1. Facility Owner can directly interact with the Device Manufacturers (and Retailers) in order to purchase the legacy and CONSERN enabled devices (previously the Network Operator performed the role of purchasing and pricing). The closeness of these actors in lower half of the quadrant (see Figure) further validates the implications derived,

2. Facility Owners will be more independent and selective in choosing the data plans and mobile connectivity from the Network Operator, hence the higher is the separation between the two actors,

3. Once the Facility Owner employs an Operator Independent BM, the Network Operator will find them secluded off the mainstream access to the network as well as the revenues both from End Users and ASPs,

4. 3rd Party Application Service Providers will find this opportunity beneficial for improving and re-inventing their present value of service offerings and closely collaborate with Facility Owner (previously ASPs were dependent on the Operators for service provisioning),

5. As highlighted in the Table 6-6, by adopting the Operator Independent BM, the Facility Owner employs the Retailers for equipping and integrating the CONSERN and legacy devices, hence there exists a high net distance between the Network Operator and the Retailer.



Figure 6-8: Net Distances between CONSERN actors [Operator Centric Business Model].

Similarly, for an Operator Centric Business Model, the mapping of net distances between the actors yield the business implications more inclined towards the Network Operator than other CONSERN actors. Given the Facility Owner chooses to employ the Network Operator for building and operating the CONSERN enabled networking system, the following implications of adopting this strategy could be derived and visualized using the map of net distances:

1. Some Device Manufacturers may choose to stay loyal to the Network Operators by forging an long term alliance with specific Network Operators, hence this close attachment with the Network Operator because of the strategic Device Manufacturer and Network Operator alliance shortens the gap. The closeness of these actors in the upper half of the quadrant (see Figure 6-8) further validates the implications derived,

2. Facility Owners will interact more closely with the Network Operator in the process of selecting the data plans, connectivity and services from the Network Operator, hence the separation between the two actors is lowered when compared to the Operator Independent Business Model,

3. Once the Facility Owner employs an Operator centric BM, the Retailer will find himself secluded off the mainstream access to the network as well as the revenues and their role being limited only to device resellers, hence there exists a high net distance between the Network Operator and the Retailer,

4. 3rd Party Application Service Providers will oppose this move buy the facility owners which ensures and reconfirms the dependency of ASPs on the Operators for service provisioning, further providing an undue advantage to the Network Operators to establish their control over the network infrastructure and customer ownership.



7. Preliminary High-level Impact Assessment of CONSERN Business Scenarios

The purpose of this chapter is to outline the impacts of CONSERN and its scenarios (as analysed in Chapters 4 and 5, and relate them to objectives of the stakeholders (policy-makers, industry, SDOs as identified in Chapter 2) using methods outlined in Chapter 3. (see Figure 7-1).

Figure 7-1: Chapter 7 in context.

The chapter is structured as follows. Section 7.1 introduces some basic impact categories of CONSERN, highlighting the important of analysing economic and environmental impacts. Section 7.2 links the impacts of CONSERN to the contextual (mainly policy) objectives identified in Chapter 2 and impacts to Business objectives as derived from the business model (Chapters 4-5). Section 7.2.3 concludes the analysis and identifies areas for research in the second year of the project".

7.1 High-level Identification of Impact Categories Would CONSERN be adopted on a wide-scale, it would also impact a number of socio-economic dimensions. This impact follows from the key features, or key benefits, of CONSERN (self-growing, energy aware, situation aware etc.). In essence, CONSERN provides:

Solutions for optimised energy and power consumption in a small scale, purpose-driven network through balancing autonomic and cooperative approaches,

Mechanisms for the self-evolvement of the network/system, towards a large-scale, multi-purpose network/system.

Quite naturally, CONSERN has the potential to generate substantial impacts. To exemplify:

A self-growing network with autonomic and cooperating capabilities would offer flexibility gains leading to e.g. reduction of resource usage in the manufacturing process and simplification the operation and maintenance process. CONSERN will allow responding rapidly and with less effort to changes in demands. Therefore, depending on which scenario / use case is considered, the implementation of CONSERN innovations could lead to reduced development costs, increased sustainability and flexibility, extended lifecycle of the network, and less effort in planning and management. If the evolution could be realized without any



user involvement, it would minimize efforts to be spent for planning and maintenance, as well as ensuring an overall low-power and high capacity configuration of the network. Hence, CONSERN could lead to a number of significant economic benefits, directly for the providers of CONSERN technology and indirectly through its usage.

CONSERN may be used in a diverse set of applications ranging from private home networking to larger professional machine-to-machine communication networks, some of this markets not existing today due to complexity of today’s solutions. CONSERN could have a significant impact for those users that do not have the resources to set up such complex networks and which are especially benefiting from power efficient, easily scalable solutions. Typically these are smaller parties than traditional operators including: households, SMEs, building owners and campus managers. At the same time CONSERN may allow for operators to expand their connectivity solutions portfolios. Hence CONSERN could expand the market and allow new actors to enter and incumbent actor to diversify.

For these actors, investment and operational costs would go down, and a range of services in various domains would be enabled through the CONSERN-enabled networks. This increased activity in both network and service deployment, and the added value generated by companies making use of CONSERN-enabled network technologies, will also have positive impacts on employment and entrepreneurship in these domains.

Finally, using a combination of node level and cooperative techniques CONSERN improved energy efficiency. Due to improvements in protocol stack design, terminals will always transmit at the most suitable frequency band and the most efficient wireless standard with adapted power, based on the observation of the physical and radio environment and other context information. Thus, CONSERN can avoid excessive energy consumption compared to currently available products. Such improvements would reduce energy consumption in future networks (while at the same increase the operational lifetime of battery powered embedded systems). Such improvements in energy-efficiency could essentially reduce costs on the one hand and contribute to environmental sustainability on the other.

Many other impacts are possible to envisage. For example, CONSERN may bring have the potential to bring smart connectivity to previously unserved individuals and companies (such as SMEs), increasing their social inclusion, productivity and competitiveness. It is however, impossible at this stage in the project, to assess all those impacts, for all possible applications of CONSERN. A selection is provided in Table 7-1

Type of impact Example Impacts

Social impacts Increased inclusion

Economic/business impact Increased economic efficiency (due to e.g. less effort in planning and maintenance and extended life-cycle of network),

Reduced development costs,

Lower maintenance costs,

Reduced operational costs, including energy cost,

Expanding markets,

Increased employment,

Increased entrepreneurship.

Environmental impacts Direct impacts

Less energy consumption,

Lower GHG emissions,

Less resource depletion,



Type of impact Example Impacts

Less (potentially) toxic materials used in production. Indirect impacts

Enabling effects in some scenarios,

Rebound effects,

Other impacts (e.g. policy) Impact on standards,

Impact on spectrum policy,

Impact research policy,

Impact on mandates and codes of conduct.

Table 7-1: Example impacts of CONSERN.

The most important impacts for CONSERN to consider are the environmental and economic impacts. Improvements in energy efficiency (effectiveness with which the "energy input" is transformed into an "economic output") are key to the sustainable economic development. Adoption of CONSERN can generate significant benefits through improved productivity and reduced energy consumption. From a business and consumer perspective, CONSERN has the potential to drive down the energy cost and improve economic efficiency and productivity. As a result, many policies and industry strategies aim for an energy efficient model [121] of economic development, as shown in the green quadrant in Figure 7-2. In particular, ICTs, such as CONSERN, are increasingly recognized to have a large potential to improve energy efficiency. (See Chapters 2 and 3)

Figure 7-2: Energy Efficiency Vs. Economic Efficiency.

However, although potential investments in energy efficiency appear to be cost-effective, there exists a large discrepancy between the actual and optimal use of energy efficient solutions. This ‘energy efficiency gap’ [119][120], refers not only to the fact that the there is an inefficient use of energy efficiency from a societal point of view, but also from a business point of view. This energy efficiency gap is often explained by the presence of ‘market failures’ and ‘market barriers’ to energy efficiency [119], where market failures include factors such as insufficient information and externalities (costs that are not reflected in energy prices, such as the environmental and health damages associated with energy production and use). Identification and elimination of barriers and failures related to market becomes important given that their elimination could lead to a more efficient allocation of resources.



However, removing these barriers may not be sufficient. The diffusion of energy efficient solutions may for instance be hampered by misplaced/spilt incentives (like Principal-Agent problem highlighted in [119] etc.) and the fact that benefits accrue only to some actors in the network or system of actors (needed to develop, produce, implement and use the energy efficient solutions). Such, value network or business ecosystem issues (or business ecosystem failures) is crucial for analyzing the commercialization of such energy efficient technologies, and for assessing the economic impacts. Consequently, in the following, we link the environmental impacts of CONSERN to how they contribute to the fulfilment of policy, standardisation and strategy objectives and the economic impacts can be analysed by linking with business objectives as identified by the parameters of the business model matrix.

7.2 CONSERN Impacts on Economic and Environmental Objectives This section will outline and assessment high-level impacts of CONSERN. The main focus, at this point, is placed on the energy efficiency attribute of CONSERN and the impact CONSERN may have on energy consumptions, and hence on (1) CO2 emissions (environmental impact) and (2) costs (economic and business impact). In simple schematic terms:

7.2.1 Impacts (potential) of CONSERN on business objectives

The economic impacts of CONSERN will only materialise insofar CONSERN is implemented in value network, where all actors appropriates some of the value created by CONSERN and where there is a fit between the business parameters and related business objectives. Table 7-2 identifies how CONSERN can contribute to the fulfilment of such business objectives.

Business Parameter

Objective CONSERN Contribution

Combination of Assets

Assets are the resources that are available and useful in any activities an organization undertakes in pursuing its goals. The basic question to ask is whether or not strategic assets (or resources) are concentrated to one actor in value network or distributed among several actors.

Given the Network Operators are often in control of legacy networks, equipment and site ownership. CONSERN with its key value proposition aspects like Self-* builds up on and improves current systems, these assets are deemed to remain concentrated within the operator domain. At the same time, CONSERN will also provide opportunities to other business actors via “do-it-yourself” business models.

Customer Ownership

The customer ownership parameter relates to which stakeholder assumes the direct commercial relationship with the user. Is customer ownership intermediated (i.e. operated by intermediaries that are positioned between the actor that produces the

CONSERN business models viz. Operator centric and Operator Independent have varied range of customer ownerships. Clearly for an Operator centric business model, the Network Operator retains the control over the



Business Parameter


good or service in question) or direct (i.e. operated directly by the actor that produces the good or service in question)

networking infrastructure as well the customer base, on the contrary for an Operator Independent Business Model, operators will loose a direct relationship the customer base.

Modularity Modularity refers to the design of the systems as sets of discrete modules that connect to each other via predetermined interfaces. The main trade-off is the choice between modular design and production on the one hand versus integrated or interdependent design and production on the other hand.

Functional architecture design of CONSERN as conceived in WP4, is rather modular than being a purely integrated model. Along with modularity in design what entails is a large degree of interdependencies between building blocks in the different network elements. These interdependencies increase the overall complexity of the system. In case of failure of one building block in a network element, the complexity of the system can lead to an increase in the effort to manually troubleshoot and isolate the problem, and therefore an increase of manual operations.

Distribution of intelligence

Distribution of intelligence refers to the distribution of processing power, control and management of functionality across the system in order to deliver a specific application or service. The main trade-off in this respect is between centralised and distributed intelligence in system architectures.

The distribution of intelligence is linked to the information exchanged in the system, as well as to the decision-making capabilities highlighted and enabled by CONSERN entities. CONSERN will enable devices and legacy networking devices to autonomously decide and apply an optimal configuration according to the user’s preferences, context and policies hence enabling systems and devices to build a knowledge base of known solutions.

Interoperability Interoperability is related with the ability of systems to directly exchange information and services with other systems, and to the interworking of services and products originating from

CONSERN can facilitate interoperability between the legacy and CONSERN enabled devices through standardization activities undertaken by CONSERN



Business Parameter


different sources. The main trade-off identified here is the one between interoperable and non-interoperable (or stand-alone) architectures.

partners.

Cost (sharing) Model and Revenue Model

Cost (sharing) refers to the anticipated costs for the design, development and exploitation of a product or service and the way they are shared amongst the actors involved in the value network. The most important trade-off in this respect is whether investments are concentrated with one actor, or distributed over various actors.

CONSERN can contribute through the Operator Independent and Operator Centric Models where there exists a considerable scope for revenue and cost sharing among the investors and consumers.

Positioning The positioning of products and services refers to marketing issues including branding, identifying market segments, establishing consumer trust, identifying competing products or services, and identifying the most relevant attributes of the product or service in question. Here, choices regarding intended complementarity and substitutability are emphasized.

CONSERN can be contribute as a supplementary product for Operator Independent business model whereas it acts as a complementary product for already existing Operator Centric business models.

User Involvement Represents at what levels the end user interacts in the ecosystem, i.e. if they have a high or low involvement in the value creation process.

Not assessed here. Adds very little to the above analysis

Intended Value This business parameter refers to the basic attributes that the product or service possesses which constitute the intended value to be delivered to the customer. For a specific product or service, the trade-offs will be service, product or application domain specific. They relate to the operational excellence (price)/product leadership (quality) versus customer intimacy (lock-in) trade-off referred to above. Typical more specific trade-offs include reliability versus flexibility, quality versus price, and security versus ease-of-use.

CONSERN can contribute through highlighting key functionalities needed in order to monitor the network and building information about network performance, energy awareness and spectrum opportunities etc., thereby facilitating the management of the network, reducing OPEX and increasing efficiency in all aspects.

Table 7-2: Potential impacts of CONSERN on Business objectives.



7.2.2 Impacts (potential) of CONSERN on Policy Objectives, Standardisation and Industry Strategies

This section (Table 7-3) includes a preliminary assessment of the how CONSERN may potentially impact on policy objectives, standardisation and industry strategies as identified in Chapter 2.

Type of Organisation

Objective CONSERN impact

Policies

UN and other global organisations

E.g. Kyoto protocol, where 37 industrialized countries and the European community (excluding the US) committed themselves to reduce GHG emissions, over the five-year period 2008-2012, to an average of five per cent against 1990 levels.,

The energy-efficient characteristics of CONSERN could, if widely implemented contribute to reducing GHG emissions, however not within the time frame of the Kyoto protocol.

OECD The OECD Recommendation lays out a 10-point check list on how governments can employ ICTs to enhance national environmental performance: (1) Co-ordinating ICT, Climate, Environment and Energy Policies; (2) Adopting Life Cycle Perspectives; (3) Supporting Research and Innovation in Green Technologies and Services; (4) Developing Green ICT Skills (5) Increasing Public Awareness of the Role of ICTs in Improving Environmental Performance, (6) Encouraging Best Practices, (7) Governments Leading by Example, (8) Improving Public Procurement, (9) Encouraging Measurement, (10) Setting Policy Targets and Increasing Evaluation

CONSERN does not directly contribute for to any of these points. Rather, if implemented by governments, they may stimulate the implementation energy-efficient technologies including CONSERN-type energy-aware technologies.

National government policies and initiatives (1)

So far, most government initiatives programmes focus the direct impact of ICTs, on the use phase and on the impact areas of energy use and the highly related global warming

CONSERN can directly impact energy-use and global warming

National government policies and initiatives (2)

Many governments have set ambitious targets for how to use ICT in reducing CO2 emissions, for example, Japan’s Green IT initiative, which aims to use ICTs to reduce national CO2 emissions by at least 50% by 2050.

CONSERN can contribute to such targets, directly and indirectly.

EU policies: the "20-20-20" targets

Target to be met 2020: (1) a reduction in EU greenhouse gas emissions of at least 20% below 1990 levels; (2) 20% of EU energy consumption to come from renewable

CONSERN can contribute to two of the targets (1) and (3). (See above)





resources; (3) A 20% reduction in primary energy use compared with projected levels, to be achieved by improving energy efficiency.

EU Policies: ICT Energy Policy Framework

The Commission set out for the ICT sector to: (1) commit to a progressive decarbonisation, through a measurable and verifiable reduction in energy intensity and carbon emissions and to consider of all processes involved in the production, transport and sales of ICT equipments and components (to achieve direct impact); (2) develop of a framework to measure its energy and environmental performance; and to (3) Cooperate with other sectors including Building and construction and Transport and logistics (to achieve indirect impact).

CONSERN can contribute to (1). The Home and Office environment scenario analysed in this deliverable also shows that CONSERN can contribute to the indirect impact envisioned in (3).

EU Policies: others

ICT4EE, REVISITE, JRC Voluntary codes of conduct, Actions related to Digital Agenda.

Not assessed here. Adds very little to the above analysis

EU policies research

FP 7 Challenge 6: ICT for a low carbon economy. Concentrates on the development of ICT to achieve substantial efficiency gains in the distribution and use of key resources such as energy and water, as well as the application of ICT to decarbonise transport and make it safer (ICT for smart energy grids, ICT for energy-efficient buildings and spaces etc.)

This challenge focuses on the indirect effects that can be induced by ICT. CONSERN, as illustrated in the Home and Office scenario, can contribute to such objectives (e.g. energy-efficient buildings) not only through being energy-efficient, but through facilitating for energy-efficient solutions which would be more costly or difficult to implement otherwise.

EU policies research

Objective 1.1: Future Networks targets the development of energy-efficient future network infrastructures that support the convergence and interoperability of heterogeneous mobile, wired and wireless broadband network technologies as enablers of the future Internet

CONSERN directly impacts this objective

EU policies: research

In the WP in which CONSERN is performed (FP7-ICT-2009-5), major technological challenges have been identified for European industry (to be among the leaders in ICT in the next ten years). Addressing these challenges ensures that the research performed is leading to economically viable solutions. Among the challenges are:

The CONSERN R&D respond to these two challenges: 1. CONSERN technology intends

to develop self-adaptable and self-growing networks that utilize and balance the benefits of the autonomic and cooperative communication





1. “Engineering of context-aware and easy-to-use ICT systems that self improve and self adapt within their respective environments. The fields of cognitive systems, robotics and interactions remain priority research topics.” and

2. “The increasingly smaller, cheaper, more reliable, and low consumption electronic components and systems, taking into account the alternative paths to next generation technologies and building the basis for innovation in all major products and services.”

paradigms in order to achieve flexibility, scalability, and energy efficiency

2. Energy efficiency and awareness are also key objectives of CONSERN. Moreover, considering the product types targeted by CONSERN technology and the advanced techniques that should be developed in the project for these products, the impact on this topic is expected to be quite significant.

Standardisation Considerable but somewhat fragmented effort related to climate change and Green ICTs among various standardization institutes and organizations: Some are specifically targeting energy-efficiency.

CONSERN technology could be implemented in some standards produced by some of these bodies. (See further Chapter 9 of this deliverable)

Industry strategies

ICT sector The ICT sector is increasing its efforts in reducing energy consumption and the CO2 footprint. Operators as well as suppliers have set targets on how to reduce energy consumption, the GHG and CO2 footprints.

CONSERN can directly contribute to the reaching of these targets, for instance through operators implementing CONSERN-based energy-efficient networks

User sector Companies in the user sector increasingly implementing green strategies and setting targets for e.g. carbon reduction

CONSERN Indirect effects.

Table 7-3: Potential impacts of CONSERN on Policy objectives, standardisation and industry strategies.

7.2.3 Conclusions and Further Work

In conclusion, CONSERN clearly (potentially) contributes to reaching objectives of policy, standardisation, and industries, both directly and indirectly. However the magnitude of that impact is impossible to assess with the knowledge at hand. The main direct advantage of the increased energy efficiency of CONSERN networks is obviously the lower energy consumption. This means that for a given application of CONSERN, the direct impact of the introduction is (all else equal) the difference in energy consumption of an implementation that includes CONSERN technology, as compared to an implementation using a traditional alternative technology (Business as usual – BAU). In order to calculate that impact we need to know the total energy needed for producing, using, and disposing of a CONSERN-enabled implementation, as well as corresponding energy consumed for an alternative network. Hence:



(1) = Direct impact of CONSERN on energy consumption = Energy consumption of a CONSERN implementation – Energy consumption of alternative implementation This may be measured as KWh over the life span (or a given time of service). This would include implementations where CONSERN replace an incumbent network (where disposal of that need to be taken into consideration) as well the situation where it is implemented instead of an alternative network. However, it may also be so that the advantages of CONSERN leads to an increased demand for the services it provides. This is the so-called (primary) rebound effect. (2) = Primary rebound impact of CONSERN on energy consumption = Energy consumption of a CONSERN implementation where no service would otherwise have been provided. We may also consider the enabling impacts of CONSERN on energy consumption. These are dependent on application. In our case they will depend on whether or not, the CONSERN applications lead to, for instance reduce enhanced efficiency, reduced operations, reduced travel or other reductions in energy consumption. (3) = Enabling impact of CONSERN on energy consumption: Enabling impact of CONSERN implementations - Enabling impact of alternative implementations or no implementation at all. The total impact of CONSERN on energy consumption would hence be: Total impact of CONSERN on energy consumption = (1) + (2) – (3) It is possible to argue here, for the sake of simplification and delimitation that the difference between enabling impacts of CONSERN are negligible. This has to be verified later. Total impact of CONSERN on energy consumption = (1) + (2) Thus in order to assess the impact of CONSERN on energy consumption we need to assess the energy consumption of CONSERN based networks as well as their alternative networks (BAU). In order to assess (and possibly quantify) these impacts, a set of relevant metrics will be operationalised in the second half of the project, in close collaboration with the technical partners in the consortium, in order to evaluate to what extent the actual impact of CONSERN solutions in a given setting can be determined. Besides the evaluation of these technical metrics put into a business context, several other steps will be taken to further the business modelling and impact assessment within CONSERN. Firstly,a second set of business scenarios, set in a campus environment, will be developed into a value network design and two operational modes. After identification of the relevant stakeholders and their potential relationships, a MACTOR analysis for the four combined scenarios will be performed through expert interviews with real-world stakeholders, so as to substantiate the strategic positions attributed in this deliverable to the stakeholders in the home/office scenario, and to determine them for the campus scenario. Finally, input from the technical partners (in the form of results of technical metrics which have an influence on business parameters determining the viability of the four scenarios) will be included, and a final evaluation of how the scenarios may contribute to the environmental and economic objectives listed above will be performed.



8. Overview of Standardization Activities and Plans The CONSERN partners maintain activities in the following key bodies (standardisation bodies, fora, alliances, etc.):

ETSI TC RRS,

3GPP: TSG RAN (RAN1, 2, 3, 4,), TSG SA (SA1, 2), CT1,

IEEE 802.11,

IEEE 802.15 WPAN™,

IEEE 802.15.3c,

IEEE 802.15.4,

IEEE 802.16,

IEEE SCC 41,

LTE Advanced related standards,

IETF ROLL,

Femto Forum,

Wireless Innovation Forum,

ZigBee Alliance.

In exploit to maximize the impact of the project, the consortium chose to focus on an active participation to a small number of selected bodies, while the partners activities in the other bodies are mainly used for monitoring and derivation of the “larger picture”. Figure 8-1 resumes the current strategy and outlines that major impact is expected within ETSI RRS (Reconfigurable Radio Systems), 3GPP and IEEE 802.15.

Figure 8-1: CONSERN Focus - Standardization Bodies.



From a time-line perspective, the contribution strategy to the various standardization bodies is resumed in Figure 8-2. While activities in 3GPP and IEEE 802.15 are still in a monitoring and planning phase as it is detailed in the subsequent sub-sections, the CONSERN consortium has already actively participated to ETSI RRS. In particular, the early-stage intentions of CONSERN have been repeatedly presented and communicated at ETSI RRS meetings. Activities in 3GPP and IEEE 802.15 are still under evaluation and they are expected to be ramped up with the project progressing further following the planning outlined in Figure 8-2.

Figure 8-2: CONSERN Standardization Contribution Time Line.

In the sequel, details on the activities of the CONSERN consortium are given related to the key standardization bodies which are identified for active participation and monitoring.

8.1 ETSI Reconfigurable Radio Systems

8.1.1 Overview and Status

ETSI RRS is currently actively progress within all four currently existing Working Groups:

TC RRS WG 1: System Aspects (SA),

TC RRS WG 2: Radio Equipment Architecture (REA),

TC RRS WG 3: Cognitive Management and Control,

TC RRS WG 4: Public Safety.

While ETSI RRS has been mainly working on Use Cases and related technical reports in the past, a number of follow-up activities just have started following the ETSI RRS standardization process as outlined below:



Figure 8-3: ETSI RRS Standardization Process.

Following the upper illustration, the a numer of System Requirements Specification documents are currently kick-off within ETSI RRS while also new topics are addressed by starting with Use Case Definitions. Some selected opportunities are listed below:

Adopted New Working Item on “System requirements for Operation in UHF TV Band White Spaces”,

Adopted New Working Item on “Radio Reconfiguration related Requirements for Mobile Devices”,

Adopted New Working Item on “Use Cases for Dynamic Declaration of Conformity”,

Adopted New Working Item on "System requirements for Reconfigurable Radio Systems operating in IMT-Bands and GSM-Bands for intra-operator scenarios",

Adopted New Working Item on "Use Cases for spectrum and network usage among Public Safety, Commercial or Military".

8.1.2 CONSERN Involvement and Contributions

The CONSERN consortium has repeated inform ETSI RRS about the working direction of the project and about the intentions of the project to actively contribute to the work. CONSERN has presented

initial proposals related to the set-up of a Energy Efficiency related Working Item (Figure 8-3) – however, it finally turned out that the provision of corresponding requirements to “System Requirements” documents may be more suitable. During the ETSI RRS Meeting in May 2011, the NWI “Radio Reconfiguration related Requirements for Mobile Devices” for example specifically addresses such requirements to be within its scope from the mobile device perspective.



Figure 8-4: CONSERN proposal for Energy Efficiency working item within ETSI TC RRS.

8.1.3 CONSERN Plans for Future Involvement

Following the latest developments in ETSI RRS, CONSERN is currently considering contributions related to Energy Efficiency requirements in recently set-up “System Requirements” Working Items. In particular, those requirements are expected to be based on key project outcomes in particular related to Cognitive Engines.

8.2 3GPP


The research made within CONSERN will mostly affect the 3GPP Radio Access Network and to a lesser extent the core network (CN). On a general level, monitoring is taking place of TSG RAN WG1 (Radio layer 1) responsible for the specification of the physical layer of the radio Interface for UE, UTRAN, Evolved UTRAN, and beyond; covering both FDD and TDD modes of radio interface. The work in RANWG1 includes:

Specification of physical channel structures,

Specification of the mapping of the transport channels onto physical channels,

Specification of the physical layer multiplexing, and channel coding and error detection,

Specification of the spreading and modulation,

Specification of the physical layer procedures,

Specification of definition of measurements and their provision by the physical layer to the upper layers.



RAN WG1 is also carrying out work related to handling of the physical layer related UE capabilities and to physical layer related parameters used in UE test developed in TSG RAN.

RAN1 Terms of Reference (R1-075053) were endorsed by the WG at RAN1#51 in Jeju, South Korea in November 2007, then approved by the TSG as RP-070830 at RAN#38 (December 2007).

Besides this, a number of specific activities within 3GPP (RAN and core) which are of potential relevance to CONSERN. The following table show all the Study/Work Items in the energy savings and SON areas which are today on-going within 3GPP.

Work (Study) Item Objective

CT: “Study on impacts on UE-Core Network S122 signaling from Energy Saving”

(CP-100330)

The study aims, within the defined CT1 work areas, at:

- Analysing UE idle mode procedures and UE-Core Network signalling resulting from frequent switch on/off of radio equipment in all 3GPP accesses, including home cell deployment and I-WLAN;

- Performing a corresponding analysis for connected mode UEs;

- Analysing similar impacts from activation status of non-3GPP access networks;

- Documenting limitations, weaknesses and inefficiencies in these procedures, with emphasis on mass effects in the UE-Core Network signalling;

- Studying potential optimizations and enhancements to these procedures;

- The study shall also evaluate and give recommendations on potential enhancements to 3GPP specifications (whether and where they are seen necessary).

RAN: “Study on Network Energy Saving for E-UTRAN”

(RP-100674)

“LTE Self Optimizing Networks (SON) enhancements”

(RP-101004)

The objective of this study item is to identify potential solutions for energy saving in E-UTRAN and perform initial evaluation of the proposed solutions, so that a subset of them can be used as the basis for further investigation and standardization.

As part of the RAN study on energy savings, RAN2 will focus on the Intra-eNB energy savings.

As part of the RAN study on energy savings, RAN3 will work on Inter-RAT energy savings and potentially on Inter-eNB energy savings technology.

Energy savings based on enabling the possibility, for a cell providing additional capacity in a deployment where capacity boosters can be distinguished from cells providing basic coverage, to be switched off when its capacity is no longer needed and to be re-activated on a need basis. RAN2, RAN3 and RAN4 are all part of this WI.

SA: “Study on OAM aspects of inter-RAT Energy Saving”

The objective of this study is to:

- Identify the most important Inter-RAT energy saving scenarios and use cases



Work (Study) Item Objective

(SP-110138) - Identify OAM based concept and requirements for these use cases

- Analyse how existing IRPs can be re-used, adapted or extended to fulfil these requirements or if a new IRP is needed.

- Select information that should be used to decide if an energy saving cell shall enter or leave energy saving mode.

SA: “Study on System Enhancements for Energy Efficiency”

(SP-100888)

The objective is to investigate deployment aspects that relate to energy efficiency, including potential system enhancements that support energy efficient deployments. System enhancements may be anticipated in the area of functions that have major influence on deployment like functions that support pools of CN nodes or functions that enable multiple CN nodes to serve the same or overlapping areas. The initial focus is on PS domain.

SA: “SON Self-healing management”

(SP-100776)


- Collect and document Self-healing OAM requirements, stage 2 and stage 3 definitions.

- Define – if needed in cooperation with RANs - inputs to and outputs from the Self-Healing functions, its location in the management architecture, and the degree of standardisation of the associated algorithms.

- Identify and document required Self-Healing related additions to the affected existing specifications.

- Ensure that the OAM specifications support the management of the Self-Healing functionalities.

SA: “SON Self-optimization management continuation”

(SP-090756)


1) Specify the management aspects of the following SON self- use cases:

a) Interference control

b) Capacity and coverage

c) RACH

2) The solution for coordination related with the self- on the following aspects:

a) Coordination of manual operations via Itf-N and automatic functionalities.

b) Coordination between self- and other SON use cases.

c) Coordination between different self- use cases.

d) Coordination between different targets within one self- use case.

Table 8-1: 3GPP ongoing studies on energy savings and SON.

In particular, in 3GPP LTE RAN there is a standardised signalling interface (X2) between BSs. With some upgrades of the existing specifications the base station to switch on/off can be controlled via



this interface. For 3GPP LTE systems some simple methods to switch on/off BSs have been proposed in [130].

- Cell switch on/off via OAM commands

o Switch on/off by the centralized OAM system based on some RAN information e.g., load information.

- Cell switch on/off autonomously at the RAN node via local policies downloaded by OAM

o E.g., switch on/off based on a predefined timer.

- Cell switch on/off based on signalling across RATs (via the X2-interface between BSs)

o Switch off autonomously decided by each BS, based on information available in the cell, e.g., load information,

o Switch on may be performed upon request by one or more neighbour nodes.

All these are ideas for intra-RAT scenarios. In Rel-11 the focus will be to add the similar functionality also for inter-RAT scenarios.


During the first year of CONSERN the focus has been on monitoring the study items in 3GPP RAN, i.e., WG1, RP-101004 and RP-100674. There have so far not been any 3GPP contributions from CONSERN as the progress has been focussing on developing the self-growing ideas for potential future contributions.

Energy saving is a quite small topic in RAN and the progress from companies outside CONSERN has been quite low as focus has been put on enhancing other 3GPP features. RP-100674 is a still in a SI stage and it’s today not clear if in the future it will become a WI detailing the ideas from the study.

8.2.2.1 CONSERN Plans for Future Involvement

Also in the second year, monitoring of 3GPP RAN activities will continue. In addition, in order to implement the ideas about switch on/off of BSs, the LTE X2 signalling interface between Base Stations (BS) needs to be extended. In the current specification a BS can be ordered to switch on any one of its cells via X2 but it is not possible to order a cell switch off. With the results obtained in CONSERN the X2 interface could be extended to implement signalling making it possible to also remotely switch off a cell. The cooperative autonomous algorithms developed in CONSERN will require this in order to enable negotiation between base stations. The argument for such an enhancement could then be to pave the way for collaborative cooperation between BSs in order to reduce the BS energy consumption. Considering the large dynamic range of received energy between different RRHs and UE, energy can be saved by using the RRH that is closest to a certain UE while turning off other RRHs. In some cases it can also be beneficial to use two RRHs for cooperative transmission. Finally, for UEs on the cell border RRHs under the control of different BSs could cooperate with the aim to save energy. All the mechanisms above are studied with the aim to find the most energy efficient solution. In 3GPP Coordinated Multipoint Transmission (COMP) is a concept for DAS-like systems. The potential impacts on the current 3GPP standard will be to specify new types of channel measurements and Channel State Information (CSI) decision logic for COMP. Also the signalling between the BS and the RRHs may need to be enhanced Relay nodes are introduced in cellular networks to improve performance and to save energy in both the network and UE. In the network, energy savings can be achieved by choosing the most energy



efficient set of BS and relay transmission links. In cooperative relay, a relay may help reduce the energy needed for a given transmission. To achieve this, the existing interfaces need to be enhanced to make relay nodes able to cooperate and new signalling messages may be needed.

8.3 IEEE 802.11

Figure 8-5: IEEE 802.11 overview and process.

As of January 2011, IEEE 802.11 completed the publication of five amendments, namely 802.11k (Radio Resource Management), 802.11r (Fast Roaming), 802.11y (3.6 – 3.7 GHz Operation in the USA), 802.11n (High Throughput) and 802.11w (Protected Management Frames). All of these amendments are available free of charge via the Get802 Program. The publications of 802.11p (Wireless Access for the Vehicular Environment) and 802.11z (Direct Link Set Up Extensions) were announced July 16, 2010 and October 21, 2010. Both amendments are available for purchase.

Also, two amendments, 802.11v (Wireless Network Management) and 802.11u (Interworking with external networks), finished sponsor ballot and were approved by RevCom and SA/SB011. The amendments are be available for purchase.

8.3.1 Drafts in Sponsor / Working Group Ballot

Currently, three draft amendments are finished and are within working group & sponsor ballot phase: 802.11s (Mesh Networking) resolved all comments received on its draft revision 10.0 (got 96.7% approval) and will conduct a recirculation ballot on revision 11.0 which the TG expects to be the final recirculation before the final release of the amendment.

802.11aa (Video Transport Streams enablement) finished resolving comments from the 2nd recirculation ballot and produced Draft 5.0 for the next ballot round. Another two to three recirculation ballots are expected yielding to an expected publication in June 2012.



8.3.2 Details on Selected Activities

8.3.2.1 Wireless Next Generation Standing Committee

Presentations given to WNG SC can be considered as the initiator for future standard activities having a broad market potential and industry interest. During the most recent sessions, WNG SC addressed in particular topics related to mobility support for vehicular communications, improved spectrum usage in the 2.4 GHz band via dynamic spectrum access methods, and the usage of 802.11 for ultra wide band operation.

“Handover Technology for Vehicular Communication (11-11/0044r0)”: Seeing the affiliation of attendees and questions asked, there seems to be an increasing interest in the Asian market in solutions for (high) mobility support; either in terms of scalability (high user densities) as well as in supporting high velocities. This interest is also reflected in increasing participation in TGai (Fast Initial Link Setup),

“DSA system for 2.4GHz ISM Band” (11-11/591r01): The presentation summarizes technical aspects that lead to the creation of a new interest group in 802.15. The authors show improvement in throughput when using enhanced spectrum access schemes even for highly used channels,

“802.11 WNG Presentation: 6-9GHz extensions to 802.11” (11-11/0743r0): Employing 802.11 for UWB would require the design of a new PHY but only minor enhancements to the MAC. Available spectrum in Europe, Asia, and the US. Industry is interested in this area as it allows for data offloading from traditionally used frequency bands. Given the interest, the topic is likely to be represented in upcoming meetings with the goal of establishing a new Study Group drafting a project authorization request for a standard amendment.

8.3.2.2 TGac Very High Troughput 6 GHz

The 802.11ac Technical Group (TGac) meets every two months and has bi-weekly conference calls between the face-to-face meetings. IMEC attends 3 meetings per year and attends most of the conference calls. TGac has achieved a lot of progress during the last year. The most recent draft (D0.4) is available in the private area of the working group web server since May 2nd, 2011. This draft is already quite advanced. Most features of the PHY and MAC layer are now defined and agreed upon by the group. The 11ac standard will use bandwidths of 20, 40, 80 or 80+80MHz. The spatial division multiplex (SDM) will have 8 streams at most in single-user mode and 4 streams at most per user in the multi-user mode. Note that the multi-user mode will only be used in the downlink because of the difficulty to accurately synchronize users in the uplink. Possible constellations are BPSK, QPSK, 16QAM, 64QAM and 256QAM and code rates include 1/2, 2/3, 3/4 and 5/6. Convolutional coding is mandatory and LDPC is optional. The highest possible rate is achieved for 8 spatial streams, 256QAM and code rate 5/6 and is equal to 6.933 Gbit/s. TGac is currently improving the draft and will soon issue draft D1.0 and will start a first letter ballot at Working Group level.

8.3.2.3 TGad Very High Throughput 60 GHz

IEEE802.11ad is the prominent standardization activity for 60GHz systems (another 60GHz standard, IEEE802.15.3c, is already published since end 2009 but lacks industrial support in terms of products). IEEE802.11ad is driven by an external industrial consortium (WiGig) that gathers most large companies in the wireless communications and semiconductor business. The 802.11ad Technical Group (TGad) meets every two months and has bi-weekly conference calls between the face-to-face meetings. IMEC attends 3 meetings per year and attends most of the conference calls. TGad has achieved a lot of progress during the last year. The most recent draft (D3.0) is available in the private



area of the working group since May 17th, 2011. This draft is already quite advanced and has already passed the Working Group recirculation ballots. Some comments must be resolved and then the new draft will undergo the final sponsor ballot. The standard operate in bandwidths of 2 GHz around 60GHz (4 channels are available). It includes the following PHY modes:

A high rate single-carrier (SC) mode, using BPSK, QPSK or 16QAM, with code rates of 1/2,3/4, 5/8 or 13/16. Coding is LDPC. Maximum throughput is 4.62 Gbit/s,

A high rate OFDM mode, using spread-QPSK, QPSK, 16QAM or 64QAM, with code rates of 1/2,3/4, 5/8 and 13/16. Coding is LDPC. Maximum throughput is 6.76 Gbit/s,

A low rate SC PHY for control, using DQPSK with a spreading factor of 32 and a coding rate smaller than 1/2. Maximum throughput is around 50Mbit/s,

A low power SC mode, using BPSK or QPSK. Maximum throughput is 2.5 Gbit/s. Very importantly, the IEEE802.11ad PHY and MAC also include a detailed protocol to support beamforming at both the transmit and receive sides, which is essential for long range operation and to overcome shadowing.

8.3.2.4 TGae QoS Management

The 802.11ae amendment defines mechanisms for prioritizing IEEE 802.11 management frames using existing mechanisms for medium access. The task group has requested approval of Draft 4.0 to go to working group letter ballot and expects final approval of the amendment by RevCom / SAB in March 2012.

8.3.2.5 TGaf TV Whitespace

TGaf defines modifications to both the 802.11 physical layers (PHY) and the 802.11 Medium Access Control Layer (MAC), to meet the legal requirements for channel access and coexistence in the TV White Space.

During the January 2011 session, the task group approved Draft 1.0 which will be subject to working group letter ballot starting January 2011. The group is still in the process of resolving comments received on D1.0.

The current draft is clearly focused on requirements coming from FCC regulation; hence it is expected that upcoming revisions will likely include additional aspects required to meet European (in particular OFCOM) regulations. It was also noted that OFCOM is preparing input to 802.11. It is not clear at the moment if this input will be an official OFCOM statement or submitted on an individual bases by OFCOM members. It is likely that a first presentation will be available by March. Also, a 802 tutorial on regulation issues is under discussion to be given at the July Plenary.

8.3.2.6 TGah: Sub 1G

This project will define an Orthogonal Frequency Division Multiplexing (OFDM) Physical layer (PHY) operating in the license-exempt bands below 1 GHz, e.g., 868-868.6 MHz (Europe), 950 MHz -958 MHz (Japan), 314-316 MHz, 430-434 MHz, 470-510 MHz, and 779-787 MHz (China), 917 - 923.5 MHz (Korea) and 902-928 MHz (USA), and enhancements to the IEEE 802.11 Medium Access Control (MAC) to support this PHY, and provides mechanisms that enable coexistence with other systems in the bands including IEEE 802.15.4 and IEEE P802.15.4g. The data rates defined shall optimize the rate vs. range performance of the specific channelization in a given band. The project also adds support for transmission range up to 1 km and data rates > 100 kbit/s while maintaining the IEEE 802.11 WLAN user experience for fixed, outdoor, point to multi point applications.



The task group started with its first step in creating amendment, i.e. to develop a draft use case document, channel model description, and specification of development process. Ad hoc groups were created for each topic. The wide coverage area of Sub 1 GHz bands yielded to a variety of considered use cases for in- and outdoor usage including: smart grid applications, intelligent transportation system applications, surveillance systems, home entertainment, and healthcare applications [11-11/0017r2]. Also, suggested channel models as well as regulatory issues were discussed [11-10/1313 & 10-11/1420 &11-11/0014]. Additionally, TGah has started work on its internal requirements and evaluation methodology documentation.

8.3.2.7 TGai: Fast Initial Link Set-Up

TGai works on modifications to the IEEE 802.11 Medium Access Control Layer (MAC) to enable a fast initial link set-up of IEEE 802.11 stations (STAs). The task group held its first meeting during the January Interim and conducted officer elections. The task group leadership represents Asian, Europe, and US industry and non-profit research organizations (Chair form ROOT Inc, Japan; Vice Chair from Europe; Technical editor from CSR, USA).10 The group experienced an increased interest from industry evaluating on how to contribute (NTTDoCoMo participant) as well as providing technical contributions on how fast link set up can be useful for handover between WLAN and 3G (NOKIA, 11-11/0122r0).

The task group has approved its official use case (11-11/238r17), functional requirement (11-11/745r05), and selection procedure document (11-11/748r04). In general, use cases considered relevant for TGai include various data offloading scenarios and self-growing systems for which fast link set-up is expected one key enabler for 802.11 devices.

8.3.2.8 Other

802.11 discussed the request for a new group at working group level (1900.7 PAR; Scope: This standard specifies a radio interface including medium access control (MAC) sublayer and physical (PHY) layer of white space dynamic spectrum access radio systems supporting fixed, nomadic, and mobile operation in frequency bands, such as TV bands, public safety bands, and wireless medical telemetry bands, subject to compliance to national and international radio regulations in these frequency bands.) The unique identity is not seen from the PAR and overlap (with 802.11) should be avoided even though there is no formal way of requiring this. Information was given that NesCom resend the PAR and will work with 1900.7 on a new revision to be reconsidered in March.

Information was given to the group that 802.15 plans to start a new project exploiting the 60GHz frequency band (Scope: This standard defines the PHY and MAC specifications optimized for personal space communications, providing dynamic scalability of link rates from 100 kbps to 50 Mbps in the globally available unlicensed bands including 2.4 GHz and 60 GHz bands, principally operating in short range. It supports features including group communication, high precision ranging, QoS (reliability and latency), low power consumption, fast association and synchronization, enhanced security, handover for devices, and coverage extension.)


To apply the self-growing paradigm to devices having a broad market segment, CONSERN aims at introducing its concepts to relevant 802.11 task groups. A rapid link establishment between devices facilitates the dynamic assessment of networks regarding their self-growing capability. Hence, selected self-growing use cases were presented as an individual contribution of the CONSERN

10

Fraunhofer FOKUS, CC NGNI, is represented in TGai’s leadership via Marc Emmelmann acting as Vice-Chair of the group.



participant Fraunhofer to 802.11 TGai and proposed for inclusion in the official TGai use case reference list. Technical discussions with key industry partners involved in TGai showed that the fast (initial) link set-up mechanisms in scope of TGai can be considered as one enabler for applying self-growing to 802.11 devices. As a result, IEEE 802.11 TGai decided to accept “self growing” as one top-level use case hierarchy and to include selected CONSERN use cases in their official working documentation (Figure 8-6).

Figure 8-6: CONSERN Self-growing Use Cases in IEEE P802.11.


Fraunhofer will continue to monitor IEEE 802.11 activities in general to identify additional opportunities to disseminate CONSERN concepts and technical realizations in the standardization.

After the acceptance of CONSERN self-growing use cases in TGai, Fraunhofer plans to continue its involvement in the task group to maintain close interaction between self-growing activities within WP-4 and TGai.

8.4 IEEE DySPAN-SC The IEEE DySPAN-SC (formerly IEEE SCC41) has been dedicated to develop standards for dynamic spectrum access networks. It is sponsored by the IEEE Communication Society Standardisation Board (ComSoc SB), which also sponsors activities such as PLC (e.g., P19001: Broadband over Power Line Networks), NGSON (Next Generation Service Overlay Network), CDHN (Convergent Digital Home Network) or NanoCom (Nanoscale and Molecular Communications).

Since it as been established in early 2005, DySPAN-SC has been developing four standards (1900.1, 1900.2, 1900.4, and 1900.6) while a fifth (1900.5) is currently in sponsors ballot. Six task groups are currently active or soon will become active.

The topics addressed by IEEE DySPAN-SC include: standard terminology, interference and coexistence issues, architectures and interfaces for distributed decision making, interfaces and data



structures for spectrum sensing, policy language and related architecture requirements, and architecture and radio interface for white space dynamic spectrum access.

CONSERN participant Fraunhofer is actively contributing to P1900.1a (also acting as the Chair of IEEE 1900.1) and to 1900.6a (previously acting as a technical editor for IEEE Std 1900.6-2011 and as a main contributor to 1900.6a).

8.4.1 IEEE P1900.1

P1900.1 is addressing the development of an up-to-date standard terms, definitions and concepts document for emerging dynamic spectrum access wireless networks. Its current task group 1900.1a aims to amend the IEEE Std 1900.1-2008 by new terms and definitions. Publication of this amendment is foreseen end of 2012. The working group is chaired by Bernd Bochow of Fraunhofer.

8.4.2 IEEE P1900.2

P1900.2 provides technical guidelines for analysing the potential for coexistence or in contrast interference between radio systems operating in the same frequency band or between different frequency bands. Since publication of IEEE Std 1900.2-2008 the working group is dormant. IEEE 802.18 and 802.19 are currently address similar topics both from the regulatory and architectural perspective. The working group chair is Stephen Berger of TEM Consulting LP.



Figure 8-7: IEEE DySPAN-SC.

8.4.3 IEEE P1900.3

P1900.3 aimed to develop a recommended practice document for conformance evaluation of software defined radio software modules. The working group chair is Douglas Sicker of the University of Colorado.

8.4.4 IEEE P1900.4

P1900.4 aims on architectural building blocks enabling distributed decision making for optimized radio resource usage in heterogeneous wireless access networks. The working group chair is Masayuki Ariyoshi of NEC. Since publication of the IEEE Std 1900.4-2009 the working group initiated two task groups, namely the P1900.4a for amending the 1900.4-2009 by architecture and interfaces for dynamic spectrum access networks operating in white space frequency bands, and P1900.4.1 addressing interfaces and protocols. Both task groups are chaired by Paul Houze of Orange. The P1900.4a has passed WG letter ballot and is foreseen to close in Sep 2011. The P1900.4.1 is foreseen to close around the same time.

IEEE DySPAN-SCDynamic spectrum access networks

IEEE P1900.1Definitions and Concepts for Dynamic

Spectrum Access: Terminology Relating to Emerging Wireless Networks, System

Functionality, and Spectrum ManagementIEEE Std 1900.1-2008

IEEE P1900.1aAmendment to IEEE Std 1900.1-2008:

Addition of New Terms and Associated Definitions

Mar 2011 – Dec 2012

IEEE P1900.2Recommended Practice for the Analysis of

In-Band and Adjacent Band Interference and Coexistence Between Radio Systems

IEEE Std 1900.2-2008

IEEE P1900.3Recommended Practice for Conformance

Evaluation of Software Defined Radio (SDR) Software Modules

Disbanded

IEEE P1900.4Architectural Building Blocks Enabling Network-Device Distributed Decision

Making for Optimized Radio Resource Usage in Heterogeneous Wireless Access Networks

IEEE Std 1900.4-2009

IEEE P1900.5Policy Language Requirements and System Architectures for Dynamic Spectrum Access

SystemsMar 2008 – Dec 2012


Architecture and Interfaces for Dynamic Spectrum Access Networks in White Space

Frequency BandsMar 2009 – Sep 2011

IEEE P1900.4.1Interfaces and Protocols Enabling

Distributed Decision Making for Optimized Radio Resource Usage in Heterogeneous

Wireless NetworksMar 2009 – Sep 2011

IEEE P1900.5.1Policy language for Dynamic Spectrum

Management(June 2011) – May 2014

IEEE P1900.6Spectrum Sensing Interfaces and Data

Structures for Dynamic Spectrum Accessand Other Advanced Radio Communication

SystemsIEEE Std 1900.6-2011


Procedures, Protocols and Data Archive Enhanced Interfaces

May 2011 – June 2013

IEEE P1900.7Radio Interface for White Space Dynamic

Spectrum Access Radio Systems Supporting Fixed and Mobile Operation

(June 2011) – Mar 2015



8.4.5 IEEE P1900.5

The P1900.5 was established in March 2008 originally addressing policy languages and related system architectures focussing on policy radio. Progress of the working group made it unlikely being able to address the full area as given by the original project authorization request (PAR). Consequently, the PAR was changed end of 2010 and work was spit across 1900.5 (requirements for policy language and architecture) and 1900.5.1 (policy language specification). The working group is chaired by Lynn Grande of General Dynamics.

At the time of writing the draft standard 1900.5 has passed WG letter ballot (approval of readiness) and has been forwarded to sponsors ballot. The draft P1900.5.1 PAR currently is in WG letter ballot.

8.4.6 IEEE P1900.6

The P1900.6 aims on the information exchange between spectrum sensors and their clients in wireless systems, addressing the logical interface and supporting data structures used for information exchange. The IEEE Std 1900.6-2011 defined these interfaces in an abstract way without constraining potential realizations. The working group is chaired by Klaus Moessner of University of Surrey. CONSERN participant Fraunhofer (Bernd Bochow) contributed as a technical editor.

At the time of writing the P1900.6a has been approved aiming to amend 1900.6 by procedures, protocols and Data Archive (DA) enhanced interfaces. This was felt to be necessary in order to allow for claiming standard conformance for sensing applications to current and upcoming wireless access networks, and for including upcoming geolocation databases into the reference model of 1900.6 which considers the DA as the primary source of regulatory information regarding spectrum sensing. CONSERN participant Fraunhofer (Bernd Bochow) was chairing the study group that prepared the 1900.6a PAR.

8.4.7 IEEE P1900.7

The P1900.7 addresses a radio interface for white space access. The standard foreseen will specify a radio interface including medium access control (MAC) sublayer(s) and physical (PHY) layer(s) of white space dynamic spectrum access radio systems supporting fixed and mobile operation in white space frequency bands, while avoiding causing harmful interference to incumbent users in these frequency bands.

The P1900.7 is a rather unusual approach for DySPAN-SC which tends to prefer technology-agnostic solutions. In consequence additional discussions and alignment with IEEE 802.11, 802.16, 802.19 and 802.22 was required, which delayed approval of the PAR. At the time of writing the PAR has passed sponsors ballot and was approved by IEEE NESCOM and COMSOC. It currently awaits approval of IEEE SA SB. Stanislav Filin of NICT was chairing the study group that prepared the P1900.7 PAR.


At the time of writing active participation in IEEE DySPAN-SC is based on individual contributions of participant Fraunhofer. Nevertheless, submissions to DySPAN-SC working groups originated from project participants on behalf of the project are possible at any time. Since dynamic spectrum access is not a main topic of CONSERN (i.e. a topic for contributions), participation on behalf of the CONSERN project would be only for observing current activities.

Upcoming topics then may be of stronger interest for CONSERN: for example, P1900.6a addressing communication between sensors and cognitive engines, will potentially address wireless sensor networks acting as complex smart spectrum sensors, and protocols addressed by 1900.6a will most likely consider energy-awareness of sensors under the paradigm of “green cognitive radios”. In addition to that, new study groups may be established under the umbrella of DySPAN-SC introducing



specific topics relevant for CONSERN systems in a dynamic spectrum access or shared spectrum environment.

Given an estimated 10 month time span between establishment of a study group for developing a new PAR and the start of the corresponding evolved working group makes the latter option less feasible for CONSERN dissemination. It further underlines (again) that standardization must not be seen as dedicated to a single project’s objective but requires continuous participation and support over a period of at least 36 month before tangible results can be expected.

8.5 IEEE 802.15 The IEEE standardization group for Wireless Personal Area Networks (WPANs) [133] has provided several standards in the last few years. One of the most known standard here is Bluetooth (802.15.1), which is deployed in most of the mobile devices today for connecting headsets, synchronization of data, having local Internet access, or other purposes. Another MAC layer standard is 802.15.4 [134], which is also the base for ZigBee [135] and is especially designed for low power communication saving energy of very limited embedded devices (e.g. sensors and actuators). Fraunhofer was member of the ZigBee Alliance, but has cancelled the membership end of 2010 for internal reasons. Thus, CONSERN results can not directly adapted to neither 802.15.4 nor ZigBee because no partner is associated to these standardization bodies at the moment.

Nevertheless, 802.15 standards have also an impact to CONSERN. Here, Bluetooth can be seen as more or less finalized standard and as alternative access technology for mobile terminals instead of Wi-Fi (802.11) or 3G/4G. However, Bluetooth, Wi-Fi, and 802.15.4 share the 2.4GHz band and interferences can occur. Here, the higher power protocols Bluetooth and Wi-Fi are potential sources of interference for the low power protocol 802.15.4. A dynamic and smart channel selection based of observations of the used channels and radio sources could help here. CONSERN techniques could be enabler for those functions. The energy awareness aspects in CONSERN are also of interest for 802.15.4 because the standard focuses primarily on saving energy, not on optimization dependant on the current purpose of the network. In incident situations, where more communication channels are required, a short burst mode with a waste of a small amount of energy is sometimes desired. Such a dynamic behaviour according to energy awareness and self-growing especially over different protocols could be a big plus for the related standards.

ZigBee as network (mesh networking) and application (profiles) layer standard is also observed by Fraunhofer, especially the use of ZigBee devices for home automation and smart metering. The ZigBee alliance has provided related application profiles for these domains (e.g. the ZigBee Smart Energy Profile). However, devices often use only the ZigBee networking stack and define their own application layer formats. The general concept in ZigBee of defining profiles (standardized or vendor specific) could be also of interest for CONERN. The project could define its own application profiles to support self-growing or energy awareness and could propose these profiles to the community independent of directly submitting contribution to the standardization process.

Finally, the 802.15.4 working group started some discussions related to the use of TV white spaces and there are also activities to enable IPv6 in WPANs (e.g. 6LoWPAN, [136]) using header compression and address translation techniques.

Another subgroup which needs to be mentioned is the Task Group 3c (TG3c) formed in March 2005 and followed by CONSERN partner Imec. TG3c developed a millimeter-wave-based alternative physical layer (PHY) for the existing 802.15.3 Wireless Personal Area Network (WPAN) Standard 802.15.3-2003. This mmWave WPAN operates in the new and clear band including 57-64 GHz unlicensed band defined by FCC 47 CFR 15.255. In addition, the millimeter-wave WPAN supports high data rate at least 1 Gbps applications such as high speed internet access, streaming content



download (video on demand, home theater, etc.). Very high data rates in excess of 2 Gbps in option is provided for simultaneous time dependent applications such as real time multiple HDTV video stream and wireless data bus for cable replacement.

The task group was placed into hibernation after the November 2009 plenary session in Atlanta.


No involvement and no direct contribution at the moment.


CONSERN partners are just monitoring, especially in the area of smart metering (ZigBee Smart Energy Profile) and in the use of TV white spaces for 802.15.4. As for 802.15.3, CONSERN partner Imec has actively contributed to this group in the past, but as the group is no longer active, no further contributions are expected

8.6 IETF


Low power and Lossy Networks (LLNs) are made up of many embedded devices with limited power, memory, and processing resources. The IETF Routing Over Low power and Lossy networks (ROLL) working group was chartered to produce routing requirements documents for Industrial, Connected Home, Building and Urban sensor networks; to survey the applicability of existing protocols to LLNs; to specify the routing metrics used in path calculation; to provide an architectural framework for routing and path selection at Layer 3 (Routing for LLN Architecture) that addresses such issues as whether LLN routing protocols require a distributed and/or centralized path computation models, whether additional hierarchy is necessary and how it is applied; to specify a new routing protocol or extend an existing one, and to produce a routing security framework for routing in LLNs.

The ROLL working group was formed in January 2008, and the first working group meeting was during IETF 71 (March 2008). The working group focused initially on four application areas: urban, industrial, home automation, and building automation. Routing requirements were collected and specified in four RFCs (5548, 5673, 5826, 5867). Given these routing requirements, existing IETF routing protocols were examined to see if they met the intersection of the four requirement documents. The result was that none of the existing protocols suited the minimal criteria of the routing requirements. Consequently, a design team was formed to work on the specification of a new routing protocol – IPv6 Routing Protocol for LLNs (RPL). The first draft was released in August 2009. The latest draft (draft-ietf-roll-rpl-19) was released in March 2011. It was accepted by the working group, approved by the IESG as a proposed standard, and sent to the RFC Editor. In the meantime, a security framework for LLNs was also developed. In this draft (draft-ietf-roll-security-framework-05, April 2011), the threats and attacks on confidentiality, integrity and availability are analyzed and applicable countermeasures are identified. These assessments provide the basis for the security recommendations. Another interesting draft is about routing metrics used for path calculation in LLNs (draft-ietf-roll-routing-metrics-19, March 2011). It specifies a set of link and node routing metrics and constraints suitable to LLNs to be used by RPL. The terminology for discussing routing requirements and solutions for LLNs is defined in draft-ietf-roll-terminology-05, March 2011.

Implementations of RPL already exist for TinyOS (TinyRPL, http://code.google.com/p/tinyos-main/source/browse/branches/blip-rpl-devel/?r=5510#blip-rpl-devel%2Ftos%2Flib%2Fnet%2Frpl) and for Contiki (ContikiRPL).




IBBT originally contributed to RFC 5867 and reviewed the Terminology draft – both before CONSERN started. Since then it monitors the activities in the workgroup at a very low involvement level, to keep updated with the development of RPL, and make no contribution.


According to the current CONSERN standardization plan, the objective is to continue monitoring the development of RPL at low involvement level.



9. Overview of Dissemination activities

9.1 Approach The CONSERN consortium aims at having a coordinated approach to dissemination, with the aim to achieve strongest impact. Hence there were efforts designing, coordinating, implementing, and articulating dissemination and exploitations plans to create a strong awareness of the CONSERN project at European as well as global level. The scope of this activity is twofold: to enable a coordinated approach on the output of CONSERN outcomes, results and technological solutions in European society and facilitate the adoption of CONSERN results by a large community of related business users, increasing its strategic importance. The wide availability of CONSERN outcomes to a broader audience is pursued targeting a number of different dissemination activities. These include international conferences, workshops, peer reviewed journals, magazines and book chapters. Coordination, publication and presentation of CONSERN contributions to high quality International conferences, as well as peer reviewed Journals and Magazines will be realized, fostering the external presentation of CONSERN solutions and promoting awareness for its outcomes. High quality CONSERN work items will be presented and demonstrated in top rated international conferences such as such as IEEE ICC, IEEE VTC, IEEE DSN, IEEE ISLPED, IEEE CSCWD, IEEE DATE, EWSN, ACM SenSys and IEEE SECON. In addition, the publication of CONSERN solutions to peer reviewed Journals and Magazines and special issues in the research areas of the project will be exploited, fostering the externalisation of the project work. Especially Journals that are characterized by high Impact Factors will improve the visibility of the consortium, resulting also in increased number of citations, which are a major factor for determining the quality and impact of scientific work. Publication of concrete CONSERN outcomes in book chapters is also of major importance in order to increase the visibility of the project outcomes. Finally, special CONSERN sessions at conferences will be organised to facilitate the project promotion. Potential target can be the PIMRC conference, where NKUA could undertake the task to propose such a session to the organising committee. Such activities will be pursuit by all consortium members, so as to maximize the project impact and awareness.

9.2 Magazines CONSERN reports 1 (one) dissemination efforts in magazine journal paper for the first year (M1-M12), as listed in Table 9-1:

Author(s) Title Journal/Magazine Name Date Referecnce

B .Bochow, M. Emmelmann, G. Hedby, A. Makris, A. Kaloxylos, M. Mueck

Cognitive Network Management under the Self-Growing Paradigm

IEEE Communications Magazine Network & Service Management Series

2011 Submitted. Evaluation is still pending

Table 9-1: CONSERN magazines dissemination.

9.3 Conference Papers During Year 1, the CONSERN project has contributed 11 technical papers in conferences and workshops, including high visibility events such as ICC, VTC Spring, CrownCom, SECON, UBICOMM, as presented in the previous section. CONSERN papers contributions are presented in the following table.



Author(s)/ Presenter Title Event

N. Alonistioti, E. Schulz, A. Merentitis, M. Stamatelatos, B. Bochow, P. Ballon, M. Mueck, L. Van der Perre, T. Lewis, I. Chochliouros

Cooperative and Self-Growing Energy-Aware Networks

The 7th Annual IEEE Communications Society Conference on Sensor, Mesh and Ad Hoc Communications and Networks, IEEE SECON 2010, June 21 - 25, 2010 Boston, Massachusetts, USA

N. Alonistioti, A. Merentitis, M. Stamatelatos, E. Schulz, C. Zhou, G. Koudouridis, B. Bochow, M. Schuster, P. Demeester, P. Ballon, S. Delaere, M. Mueck, C. Drewes, L. Van der Perre, J. Declerck, T. Lewis, I. Chochliouros

Towards Self-Adaptable, Scalable, Dependable and Energy Efficient Networks: The Self-Growing Concept

The Fourth International Conference on Mobile Ubiquitous Computing, Systems, Services and Technologies, IEEE UBICOMM 2010, October 25 - 30, 2010 - Florence, Italy.

G. Koudouridis, G. Hedby, W. H. Chin, A. Merentitis, M. Stamatelatos, N. Alonistioti, O. Yaron.

On the Enablers for Energy-Aware Networking and Cooperative Decision Control

Second International Workshop on Cognitive radio and Cooperative strategies for POWER saving, Co-located with IEEE VTC conference, 15-18 May 2011, Budapest

B. Bochow, M. Emmelmann. Purpose-driven, Selfgrowing Networks: a framework for enabling cognition in systems of systems

Green Wireless Communications and Networks Workshop (GreeNet), Co-located with IEEE VTC conference, 15-18 May 2011, Budapest

E. De Poorter, P. Becue, I. Moerman, P. Demeester.

Exploring a boundary-less cooperation approach for heterogeneous co-located networks

IEEE International Conference on Communications, IEEE ICC 2011, 5-9 June 2011, Kyoto, Japan

L. Tytgat, M. Barrie, V. Goncalves, O. Yaron, I. Moerman, P. Demeester, S. Pollin, P. Ballon, S. Delaere,.

Techno-economical Viability of Cognitive Solutions for a Factory Scenario

IEEE Dynamic Spectrum Access Networks symposium, IEEE DySPAN 2011, 3-6 May 2011, Aachen, Germany

M. Barrie, L. Tytgat, V. Goncalves, O. Yaron, I. Moerman, P. Demeester, S. Pollin, P. Ballon, S. Delaere.

Techno-Economic Evaluation of Cognitive Radio in a Factory Scenario

PE-CRN 2011, The Workshop on Performance Evaluation of Cognitive Radio Networks, part of IFIP TC6 Networking 2011, 9-13 May 2011, Valencia, Spain

A. Raju, S. Delaere, S. Delaere, S. Lindmark, G. Stamatelatos, P. Ballon.

Sustainability of Business Ecosystems for Next Generation Cognitive Networks

The 2011 Wireless Innovation Forum European Conference on Communications Technologies and Software Defined Radio, 22-24 June 2011, Brussels, Belgium

A. Raju, S. Lindmark, S. Delaere, V. Gonçalves, M. Stamatelatos, P. Ballon.

Multi-Actor Analysis in a Green Business Ecosystem.

10th Conference of Telecommunication, Media and Internet Techno-Economics (CTTE), May 16-18, 2011, Berlin, Germany.

N. Alonistioti, E. Schulz, G. Koudouridis, S. Delaere, J. Declerk, M. Stamatelatos, M. Emmelmann, Ioannis P. Chochliouros, M. Mueck

The Self-Growing Concept – A novel Framework developed by the FP7 CONSERN Project

6th International ICST Conference on Cognitive Radio Oriented Wireless Networks and Communications, CrownCom 2011

M. Emmelmann, B. Bochow

Enabling Cognition in System of Systems: the Distributed Self-Growing Architecture

The 36th IEEE Conference on Local Computer Networks (LCN, 2011) [Paper submitted and under review]

Table 9-2: CONSERN Papers (Y1).



9.4 Contribution to ICT activities. Dissemination materials additionally include invited talks, panels, book chapters, cluster meetings and standardization contributions. Such material is potentially made available to broad audiences and thus plays a significant role in disseminating project outcomes. Quality of such material cannot be determined directly based on metrics as the impact factor and h-index that are used for journals and conferences. Nevertheless, the reputation/impact of the corresponding conference can be considered as an index for the impact of the presentation, panel or invited talk. In a similar way, the impact of books and book chapters is usually associated with the editor and publisher. CONSERN contributed to European Cluster Meetings, has participated in various Panels and workshops, and Standardization bodies (ETSI RRS, IEEE P802.11). CONSERN contributions and presence in clusters and concertation meetings, panels and workhops, and standardisation bodies are summarised in Table 9-3, Table 9-4 and Table 9-5 respectivelly. More details are given in the subsequent sections whereas CONSERN standardsation activities have presented in Section 8.

Author(s)/Presenter Title Event

Nancy Alonistioti Cooperative and Self-growing Energy Aware Networks

4th Concertation Meeting on Monitoring and Control, Concertation on Wireless Sensor Networks and Cooperating Objects (WSN&CO), 2-4 June 2010, Brussels, Belgium

Nancy Alonistioti Smart Buildings Cluster: From Construction to Usage

4th Concertation Meeting on Monitoring and Control, First Meeting of the M&C Cluster on Smart Buildings, 2-4 June 2010, Brussels, Belgium

Makis Stamatelatos Adapting to change (from Construction to Usage to Re‐purposing)

Second Meeting of the Monitoring and Control Cluster on Smart Buildings/Smart Spaces, 11-12 November, Lisbon, Portugal.

Table 9-3: CONSERN contributions in Cluster and Conseration meetings (Y1).

Author(s)/Presenter Title Event

Nancy Alonistioti, Apostolos Kousaridas, Makis Stamatelatos

Exploring Self-Growing Aspects in LTE Advanced

European Wireless 2011, EW2011, (Invited Session - LTE-Advanced), April 27-29 2011, Vienna, Austria

Nancy Alonistioti CONSERN Presentation

C2POWER Panel - Energy Efficiency in Future Telecommunications: Technical Issues, Standardization Activities & Business Requirements

Table 9-4: CONSERN presence in Panels (Y1).

Author(s) /Presenter Title Standardisation Body / Event

Nancy Alonistioti Cooperative and Self-growing Energy-aware Networks

ETSI TC RRS, 10th Plennary Meeting, 04-06 May 2010, Athens, Greece

Makis Stamatelatos Study on Use Cases related to Improvement of

ETSI TC RRS, 12th Plennary Meeting, 23-25 November 2010, Munich, Germany



Author(s) /Presenter Title Standardisation Body / Event

Energy Efficiency in operating Heterogeneous Wireless Neworks

Marc Emmelmann Bernd Bochow

Self-growing Use Cases requiring Fast Initial Link Setup

IEEE 802.11 TGAi, March 2011

Table 9-5: CONSERN contributions in Standardisation bodies.

9.4.1 Fourth Concertation Meeting on Monitoring and Control

CONSERN participated to the 4th Concertation meeting held in Brussels, 2 – 4 June 2010. Specific contributions were provided in the context of

Concertation on Wireless Sensor Networks and Cooperating Objects (WSN&CO)

o CONSERN presentation (Figure 9-1): http://cordis.europa.eu/fp7/ict/necs/docs/events/20100602/20100602-03-na-consern_en.pdf

Figure 9-1: CONSERN presentation in Concertation on Wireless Sensor Networks and Cooperating Objects (WSN&CO).

First Meeting of the M&C Cluster on Smart Buildings

o CONSERN presentation (Figure 9-2) : http://cordis.europa.eu/fp7/ict/necs/docs/events/20100602/20100602-29-na-consern-construction2operation_en.pdf

http://cordis.europa.eu/fp7/ict/necs/docs/events/20100602/20100602-03-na-consern_en.pdf

http://cordis.europa.eu/fp7/ict/necs/docs/events/20100602/20100602-03-na-consern_en.pdf

http://cordis.europa.eu/fp7/ict/necs/docs/events/20100602/20100602-29-na-consern-construction2operation_en.pdf

http://cordis.europa.eu/fp7/ict/necs/docs/events/20100602/20100602-29-na-consern-construction2operation_en.pdf



Figure 9-2: CONSERN presentation in 1st

Cluster on Smart Buildings.

9.4.2 Second Meeting of the Monitoring and Control Cluster on Smart Buildings/Smart Spaces

CONSERN participated to the 2nd meeting of the Monitoring and Control cluster on Smart Buidlings/Smart Spaces held in Lisbon, 11 – 12 November 2010. Specific contribution (http://cordis.europa.eu/fp7/ict/necs/docs/events/20101111-12/20101111-11-ms-consern_en.pdf) was provided during the cluster meeting highlighting CONSERN considerations and concepts applicable in Smart Buildings, and more specifically the self-growing as a promising paradigm on the Full Building Life-Cycle Management (Figure 9-3).

http://cordis.europa.eu/fp7/ict/necs/docs/events/20101111-12/20101111-11-ms-consern_en.pdf



Figure 9-3: CONSERN presentation during 2nd

Smart Buildings cluster meetng.

9.4.3 CONSERN Brochure

Figure 9-4: CONSERN Brochure.



9.4.4 IEEE SECON 2010

CONSERN participated in the IEEE SECON 2010 held 21-25 June 2010 in Boston, US. CONSERN submitted a position paper (as in Table 9-2) and a related poster as in Figure 9-5 as well as a flash demo as in Figure 9-6.

Figure 9-5: CONSERN Poster in SECON 2010.



Figure 9-6: CONSERN flash demo in SECON 2010.

9.4.5 17th European Wireless Conference

NKUA as CONSERN partner participated in the 17th European Wireless Conference (EWC 2011) held in Vienna, Austria, from April 27 to April 29, 2011. NKUA presented an approach for exploring Self-growing aspects in LTE advanced.

Figure 9-7: NKUA presentation in EW2011.



9.4.6 2nd International Workshop on Cognitive radio and Cooperative strategies for POWER saving at IEEE VTC Spring 2011

CONSERN participated in the 2nd International Workshop on Cognitive radio and Cooperative strategies for POWER saving Co-located with IEEE VTC conference (http://www.ieeevtc.org/vtc2011spring/workshops.php#C2POWER), held in 15 May 2011, in Budapest. The workshop was organised by the ICT-C2POWER project. CONSERN submitted a technical paper at the workshop which was accepted (as presented in Table 9-2). The Technical Program of the workshop is depicted in Figure 9-8.

Moreover, CONSERN accepted the invitation for a presentation in the Panel discussion on “Energy Efficiency in Future Telecommunications: Technical Issues, Standardization Activities and Business Requirements”. CONSERN was represented by Prof. Nancy Alonistioti, CONSERN Coordinator who made CONSERN presentation on mechanisms and initial results regarding autonomic and cooperative energy efficiency (Figure 9-9).

Figure 9-8: C2POWER workshop technical program.

http://www.ieeevtc.org/vtc2011spring/workshops.php#C2POWER



Figure 9-9: CONSERN in C2POWER Panel.

9.4.7 Second Green Wireless Communications and Networks Workshop (GreeNet)

CONSERN participated in the 2nd Green Wireless Communications and Networks Workshop (GreeNet) (http://www.ieeevtc.org/vtc2011spring/workshops.php#GreeNet) co-located co-located with IEEE VTC conference, held in 15 May 2011, in Budapest. CONSERN submitted a technical paper at the workshop which was accepted (as presented in Table 9-2) and presented a related poster Figure 9-10.

http://www.ieeevtc.org/vtc2011spring/workshops.php#GreeNet



Figure 9-10: CONSERN Poster in GreeNet Workshop.

9.4.8 1st International ICST Conference on E-Energy OTE as CONSERN partner participated in the 1st International ICST Conference on E-Energy (http://energyware.org/) held in October 14-15, 2010, in Athens, Greece. The conference organized by ICST and supported by the National technical University of Athens (NTUA). OTE made an oral presentation of several eEnergy aspects, some of which were relevant to the CONSERN context.

http://energyware.org/



9.4.9 OTE’s Corporate Workshop for R&D Updated Activities CONSERN’s scope and progress was presented in OTE’s Corporate Workshop for R&D Updated Activities held in Athens, Greece, in December 16

th, 2010.

Figure 9-11: CONSERN in OTE’s Corporate Workshop.

9.4.10 Info Day: EU Projects CONSERN’s scope was presented also during Info Day: EU Projects (http://www.hsia.gr/mi-cluster-board/180-hsia-info-day3a-eu-projects2c-february-242c-2011-2f-athens2c-greece), organized by the Hellenic Semiconductor Industry Association (HSIA), Athens, Greece, in February 24, 2011.

http://www.hsia.gr/mi-cluster-board/180-hsia-info-day3a-eu-projects2c-february-242c-2011-2f-athens2c-greece

http://www.hsia.gr/mi-cluster-board/180-hsia-info-day3a-eu-projects2c-february-242c-2011-2f-athens2c-greece



Figure 9-12: INFO Day: EU Projects, Brochure.



Figure 9-13: CONSERN in Info Day: EU Projects.

9.4.11 Future Internet Assembly, FIA Budapest OTE participated in the Future Internet Assembly (FIA) in Budapest in May 18-10, Budapest, and presented Background information for the scope of the CONSERN Project as part of the presentation “Challenges for Enhanced Network Self-Manageability in the Scope of Future Internet's Development” in the context of Lecture Presentation in the scope of the FIA Book Session.

Figure 9-14: OTE’s presentation in FIA Budapest.



9.5 CONSERN Public web site The CONSERN project web site (http://www.ict-consern.eu) (Figure 9-15) has been launched in October 2010 supporting the project operation in a two-fold manner. It contains a public part that is accessible to all Internet users and provides the external community with the current information on the progress of the project, and a private part dedicated to the CONSERN consortium partners, which is only accessible using specific credentials. The registered domain http://www.ict-consern.eu serves thus as the single contact point for the on-line presence of the project.

The goal of the public part of the web site is to foster project awareness by presenting CONSERN’s technical concept, scope and objectives, the approach to be followed, as well as the work breakdown among the work packages. The public part is continuously updated with publications (public deliverables, magazines articles, conferences/workshops papers etc.) (Figure 9-17) achieved by the project consortium, thus ensuring that CONSERN’s results are timely and widely disseminated in an attempt to promote the adoption of the project’s technical concepts. The site’s updates are also captured in a separate news section to facilitate easier follow-up by the interested readers. The public part features also the necessary contact information for the consortium as a whole.

http://www.ict-consern.eu/




Figure 9-15: CONSERN web site - Home page (http://www.ict-consern.eu)




Figure 9-16: CONSERN web site – Publications folder.

Figure 9-17: CONSERN web site – Private Section – WPs domain.

The private part of the web site serves as the project management and collaboration platform and working and final versions of project documents repository (Figure 9-18).



Figure 9-18: CONSERN web site – Reviewers Section.

Overall, the web site is being monitored on a weekly basis regarding any external references pointing to it, while all interactions are SSL-secured to ensure the consortium’s confidentiality.

9.6 Refining Dissemination Plans Conferences are important dissemination targets, since they often attract a broad audience and have usually a short time interval between submission and publication, constituting them preferable choices for fast dissemination of project outcomes. Common quality criteria for conferences include the acceptance rate (a low acceptance rate indicates strict selection between the submitted research works), as well as metrics related to the citations of the conference (h-index, g-index, etc). The h-index [138] of a conference is the largest number x of articles that have appeared in that conference and have been cited at least x times. It is a standard measure of the impact of research of individuals and equally valid for journals and conferences [137].

For future publications in conferences the following non-exhaustive list can be advised:



Conference Name Location Dates Submission Dead-line

UBICOMM 2011 The Fifth International Conference on Mobile Ubiquitous Computing, Systems, Services and Technologies

Lisbon, Portugal Nov 20-25, 2011

2011-06-20 - 2011-07-01

PECES 2011 The Third International Workshop on Pervasive Computing in Embedded Systems

Lisbon, Portugal Nov 20-25, 2012

2011-06-20 - 2011-07-01

WCSP 2011 International Conference on Wireless Communications and Signal Processing

Nanjing,China Nov 9, 2011 - Nov 11, 2011

2011-07-15

IEEE INFOCOM 2012

IEEE Conference on Computer Communications

Orlando USA 2012-03-25 - 2012-03-30

2012-07-22

IEEE PIMRC 2012 23rd Annual International Symposium on Personal, Indoor and Mobile Radio Communications

Sydney AU Sept 9-12, 2012

2012-03-15

ICN 2012 The Eleventh International Conference on Networks

Reunion Island February 29 - March 5, 2012

2011-10-05

ICONS 2012 The Seventh International Conference on Systems

Reunion Island February 29 - March 5, 2013

2011-10-05

IEEE VTC 2012-Spring

IEEE 75th Vehicular Technology Conference

Yokohama, Japan

May 6 – 9, 2012

2011-09-30

IEEE WCNC 2012 IEEE Wireless Communications and Networking Conference

Paris FR April 1-4, 2012 2011-09-12

IEEE/ACM DATE 2012

IEEE/ACM Design, Automation & Test in Europe

Dresden, Germany

Mar 12-16, 2012

2011-09-11

IEEE ICC 2012 IEEE International Conference on Communications

Ottawa CA Jun 10-15, 2012

2011-09-06

IEEE/IFIP NOMS 2012

2012 IEEE/IFIP Network Operations and Management Symposium

Maui USA 2012-04-16 - 2012-04-20

2011-09-01

IEEE VNC 2011 IEEE Vehicular Networking Conference

Amsterdam NL 2011-11-14 - 2011-11-16

2011-07-15

WTC 2012 World Telecommunications Congress 2012

Miyazaki, Japan Mar 5, 2012 2011-07-15

ICNC 2012 International Conference on Computing, Networking and Communications

Maui, Hawaii, USA

Jan 30, 2012 2011-07-05

IEEE LANMAN 2011

18th IEEE Workshop on Local & Metropolitan Area Networks

Chapel Hill USA 2011-10-13 - 2011-10-14

2011-07-01

http://www.iaria.org/conferences2011/UBICOMM11.html

http://www.iaria.org/conferences2011/PECES.html

http://www.ieee-infocom.org/2012

http://www.ieee-infocom.org/2012

http://www.ieee-pimrc.org/2012

http://www.iaria.org/conferences2012/ICN12.html

http://www.iaria.org/conferences2012/ICONS12.html

http://www.ieee-wcnc.org/2012

http://www.ieee-icc.org/2012/

http://www.ieee-noms.org/index.html

http://www.ieee-noms.org/index.html

http://www.ieee-vnc.org/

http://www.ieice.org/~wtc2012/

http://www.conf-icnc.org/

http://www.ieee-lanman.org/

http://www.ieee-lanman.org/



Conference Name Location Dates Submission Dead-line

WPMC 2011 The 14th International Symposium on Wireless Personal Multimedia Communications

Brest, France Oct 3, 2011 2011-07-01

ICSPCS 2011 Fifth International Conference on Signal Processing and Communication Systems

Honolulu, Hawaii, USA

Dec 12, 2011 2011-06-30

IEEE CCW 2011 2011 IEEE Annual Computer Communications Workshop

Hyannis USA 2011-10-10 - 2011-10-12

2011-06-15

ISCIT 2011 The 11th IEEE International Symposium on Communications & Information Technologies

Hangzhou, Zhejiang, P.R. China

Oct 12, 2011 2011-06-15

ICUMT 2011 3rd International Congress on Ultra Modern Telecommunications and Control Systems

Budapest, Hungary

Oct 5, 2011 2011-06-15

IEEE ICCT 2011 13th IEEE International Conference on Communication Technology

Jinan, Shandong, P.R. China

Sep 25, 2011 2011-06-10

Table 9-5: Future conferences for paper publications.

Like all metrics that are based on citations (g-index, etc), h-index favours established events that have published a significant number of high-quality papers (thus increasing the likelihood of papers that have gathered a significant number of citations). However, it might not be fair to evaluate events that have been established very recently (i.e. less than five years) using such a metric, since the papers appearing in such events did not had appropriate time to collect a significant number of citations. (For an event that takes place for the first time, all citation-based metrics are by definition zero). The index is based on the distribution of citations received by a given researcher's publications. A scientist has index h if h of [his/her] Np papers have at least h citations each, and the other (Np − h) papers have at most h citations each. In other words, a scholar with an index of h has published h papers each of which has been cited by others at least h times.[2] Thus, the h-index reflects both the number of publications and the number of citations per publication. The index is designed to improve upon simpler measures such as the total number of citations or publications. The h-index can be manually determined using citation databases or using automatic tools. Finally, the accuracy of all metrics based on citation count is depending on the completeness and robustness of the corresponding databases [139].

Respective metrics for journals are the impact factor, and the immediacy index [140] [141].The impact factor is a very useful tool for evaluation of journals, but it must be used discreetly. Considerations include the amount of review or other types of material published in a journal, variations between disciplines, and item-by-item impact. In its pure expression the impact factor is useful in clarifying the significance of absolute (or total) citation frequencies. It eliminates some of the bias of such counts which favour large journals over small ones, or frequently issued journals over less frequently issued ones, and of older journals over newer ones. Particularly in the latter case such journals have a larger citable body of literature than smaller or younger journals. All things being equal, the larger the number of previously published articles, the more often a journal will be cited. An example of how the journal impact factor can be calculated is as follows. Assume A is the

http://wpmc2011.org/

http://www.dspcs-witsp.com/icspcs_2011/

http://committees.comsoc.org/tccc/ccw/2011/

http://www.icumt.org/

http://202.194.26.100/web/ieeeicct/



total cites in 1992, B is the 1992 cites to articles published in 1990-91 (this is a subset of A) and C is the number of articles published in 1990-91. Then the 1992 impact factor is given by D=B/C. An alternative five-year impact can be calculated based on adding citations in 1988-92 articles published in the same five-year period. And yet another is possible by selecting one or two earlier years as factor B above. Finally, calculation for impact factor revised to exclude self-citations is also feasible. The immediacy index is calculated based on the papers published in a journal in a single calendar year. For example, the 1992 immediacy index for a journal would be calculated as follows. Let A be the number of times articles published in 1992 were cited in indexed journals during 1992, and B the number of articles, reviews, proceedings or notes published in 1992. Then the 1992 immediacy index is given by D=A/B. As with the impact factor, there are some nuances to this that are derived by excluding certain article types (such as news items, correspondence, and errata) from the denominator.

Title/ISSN SJR H index

Total Docs (2009)

Total Docs. (3yrs)

Total Refs.

Total Cites (3yrs)

Citable Docs. (3yrs)

Cites / Doc. (2yrs)

Ref. / Doc.

IEEE Journal on Selected Areas in Communications, ISSN 07338716

Q1 0,171 130 64 572 1 655 3 985 534 6,86 25,86

IEEE Transactions on Automatic Control ISSN 00189286

Q1 0,112 127 392 851 8 009 3 650 810 3,95 20,43

IEEE Transactions on Communications ISSN 00906778

Q1 0,096 123 440 778 9 482 2 195 765 2,35 21,55

IEEE Communications Magazine ISSN 01636804

Q1 0,12 109 231 655 2 155 2 617 527 4,63 9,33

Proceedings - IEEE INFOCOM ISSN 0743166X

Q2 0,054 97 493 1 077

8 963 1 496 1 065

1,54 18,18

IEEE Transactions on Circuits and Systems for Video Technology ISSN 10518215

Q1 0,114 95 188 498 4 884 2 371 486 4,58 25,98

IEEE Transactions on Antennas and Propagation ISSN 0018926X

Q1 0,133 83 519 1 425

10 849 4 252 1 358

3,09 20,9

IEEE Transactions on Software Engineering ISSN 00985589

Q1 0,081 81 55 183 2 721 991 162 5,9 49,47

IEEE Transactions on Knowledge and Data Engineering ISSN 10414347

Q1 0,095 74 128 365 4 298 1 488 358 3,6 33,58

Sensors and Actuators, A: Physical ISSN 09244247

Q1 0,124 74 348 1 555

7 114 3 355 1 530

2,18 20,44

IEEE Transactions on Vehicular Technology ISSN 00189545

Q1 0,075 70 511 900 13 169 2 329 891 2,4 25,77

IEEE Network ISSN 08908044

Q1 0,099 59 42 145 453 563 115 3,68 10,79

IEEE Transactions on Control Systems Technology ISSN 10636536

Q1 0,084 59 150 366 3 514 1 122 356 2,85 23,43

Wireless Networks ISSN 15728196

Q2 0,056 52 100 204 2 657 328 171 1,93 26,57

IEEE Vehicular Technology Conference ISSN 07400551

Q3 0,036 49 1 071

3 423

12 955 1 362 3 388

0,42 12,1

IEEE Antennas and Propagation Magazine ISSN 10459243

Q1 0,073 43 127 353 1 683 415 272 1,62 13,25



Title/ISSN SJR H index

Total Docs (2009)

Total Docs. (3yrs)

Total Refs.

Total Cites (3yrs)

Citable Docs. (3yrs)

Cites / Doc. (2yrs)

Ref. / Doc.

IEICE Transactions on Communications ISSN 09168516

Q3 0,037 34 560 1 610

7 665 886 1 583

0,55 13,69

IEEE Antennas and Wireless Propagation Letters ISSN 15361225

Q1 0,144 31 366 49 4 169 117 44 3 11,39

Sensors ISSN 14248220

Q1 0,102 28 502 822 19 931 1 686 817 2,01 39,7

Wireless Communications and Mobile Computing ISSN 15308677

Q2 0,046 26 129 274 3 074 343 260 1,14 23,83

IEEE Power and Energy Magazine ISSN 15407977

Q2 0,066 24 62 246 157 367 155 2,69 2,53

European Transactions on Telecommunications ISSN 15418251

Q2 0,043 21 67 233 1 389 154 221 0,66 20,73

IEEE Instrumentation and Measurement Magazine ISSN 10946969

Q3 0,043 17 41 155 243 95 122 1 5,93

IEEE Journal on Selected Topics in Signal Processing ISSN 19324553

Q1 0,147 17 82 152 2 376 695 140 4,96 28,98

Eurasip Journal on Wireless Communications and Networking ISSN 16871499

Q3 0,041 16 193 384 4 488 251 362 0,59 23,25

Journal of Network and Systems Management ISSN 15737705

Q2 0,046 16 24 97 622 123 86 1,79 25,92

Personal and Ubiquitous Computing ISSN 16174909

Q2 0,063 14 64 159 1 687 383 148 2,19 26,36

INTELEC, International Telecommunications Energy Conference (Proceedings) ISSN 02750473

Q4 0,03 13 246 359 2 001 44 354 0,17 8,13

International Journal of Communication Systems ISSN 10991131

Q3 0,038 13 84 207 1 892 132 203 0,61 22,52

International Journal of Engineering Intelligent Systems for Electrical Engineering and Communications ISSN 09691170

Q4 0,031 10 22 72 554 15 71 0,25 25,18

Journal of Communications Technology and Electronics ISSN 10642269

Q4 0,032 10 177 525 2 447 45 521 0,09 13,82

ACM Journal on Emerging Technologies in Computing Systems ISSN 15504832

Q2 0,065 9 19 50 511 103 44 1,21 26,89

IEEE Transactions on Network and Service Management ISSN 19324537

Q3 0,037 4 20 36 722 31 36 0,86 36,1

International Journal of Wireless and Mobile Computing ISSN 17411092

Q4 0,03 1 21 10 450 1 10 0,1 21,43

Table 9-5: Journals ranked according to h-index [146]



10. Overview of exploitation activities At the outset of the project, CONSERN partners have co-defined a strategy for effective exploitation of project results in both an industrial as well as an academic context. Industrial impact should focus on inclusion of the technologies in future products while academic impact for example includes introduction of new lecture courses and new engineering specialisations. This strategy also includes the monitoring and measuring of this dissemination and exploitation process. As part of this process, this last chapter provides specific exploitation results per partner (in alphabetical order).

10.1 Industrial Expoitation

10.1.1 HWDU/HWSE

Huawei develops products for cellular networks as defined within 3GPP and today network energy consumption is a hot topic being discussed among cellular operators. In this respect, the heterogeneous network use cases and the ideas about node cooperation (WP3) are of high interest.

If the research results on BS cooperation as a means to save energy are judged as a good business case, Huawei will drive these into standardisation and implement them in future base station products. To test the developed methods and algorithms, centralised solutions to switch on/off network nodes will be implemented in a first step. If the results from this first step are positive, Huawei will drive the results into 3GPP standards in order to open the possibility for autonomic cooperative algorithms to be implemented and to serve in a environment where users are dynamically changing their location.

The research on self-growing systems (WP4) is also of interest since it could simplify the addition or removal of base stations within cellular networks. In order to ease the operation of cellular operators new SON functionalities are needed. The research results on self-growing will be used to make it possible for operators to easily add network segments. Also this will probably require some changes to the 3GPP standards.

10.1.2 IFX/IMC

Intel Mobile Communications (IMC) sees a strong relevance of CONSERN results related to its core business: to develop, manufacture, and market end-to-end, leading-edge semiconductor products and solutions for wireless communications.

In particular, CONSERN’s energy efficiency and opportunistic networks related activities will be exploited for IMC's goal to enable the smooth transmission of voice and high-speed data to the end-user's equipment. For this purposes, IMC is in particular involved in prototyping activities which will be exploited for developing proof-of-concepts platforms related to the future evolution of our portfolio of RF transceivers, cellular platforms, and connectivity solutions for mobile phones, smartphones, and mobile computing devices. This activity will further enable IMC to leverage its unique advantages in the areas of RF and mixed-signal expertise, monolithic integration capabilities, and excellent knowhow in cellular software and systems, IMC provides superior customer solutions.

Moreover, IMC exploits the CONSERN activities for impacting in key standards bodies, in particular in ETSI RRS (Reconfigurable Radio Systems). IMC is constantly informing CONSERN about current standardization trends in ETSI RRS and other standards bodies (such as 3GPP) and is involved in commonly setting up a standardisation strategy.

10.1.3 TREL

As a lab, TREL's exploitation plans can be broadly classified into three areas; research publications,



technology demonstrations and standardization. Because of the fundamental nature of research work TREL carries out within the CONSERN project, CONSERN result exploitation will be mainly done mainly through academic publication. TREL also funds PhD and MSc studentships and in the future will aim to initiate new research that builds on the findings and tools developed within this project. Within CONSERN, TREL aims to develop novel energy optimization technologies and techniques which have potential relevance to Toshiba's core business areas. TREL has an ongoing internal Smart Grid and Home Energy Management projects into which these findings will feed. We also have involvement in other relevant EU collaborative projects into which we are able to use these techniques. TREL works closely with the various Toshiba Business Divisions, particularly Toshiba Systems France, Toshiba's Smart Communities Division and Toshiba Semiconductor Company, who have shown interest in CONSERN. TRL aims to disseminate research finding to these divisions in the form of technical presentations and proof-of-concept demonstrations. Our short-term goal is to influence their technology roadmaps with the ultimate aim of technology transfer to enhance their products with our research results. We also disseminate results directly into Toshiba Corporation via prototypes and demonstrations for our annual Toshiba Research Fair in Tokyo. TREL is involved in a number of standardisation efforts, of particular relevance to the CONSERN project is ETSI M2M Technical Committee, and is keen to exploit the results and directions that arise from CONSERN into this body.

10.1.4 OTE

OTE is involved in the business and market assessment of the energy efficient networking. In this sense, OTE aims to exploit the expected results/findings by further enhancing his competence in the field of the telecommunication networks market sector. More particularly, OTE as an operator plans to adopt CONSERN’s outcomes in order to reduce relevant CAPEX/OPEX and to increase efficiency in all aspects. CONSERN’s approaches shall affect OTE’s market related policies and lead to a more effective use of both existing and developed facilities, aiming at the realization of a green strategy.

Furthermore, OTE will support the creation of technical specifications based on CONSERN’s findings and will disseminate expected benefits for the market sector, directly in the marketplace. Relevant results shall be presented in the scope of business and scientific fora and other events, at national, European and international level.

More specifically OTE according to last year’s corporate responsibility actions has agreed to reduce the energy consumption footprint of its buildings. To this end, there has started an intensifying effort to first thoroughly record and then monitor and manage all energy consumption machinery and activities within each of OTE’s building. From this plan a quantitative report will be extracted as to what is the consumption percent per category among activities like lighting, air conditioning, PC and network operation etc. However, since OTE is a network operator it is expected that a significant amount of the total energy consumption will be from networking systems and equipment. From this an attempt to derive requirements and specifications for the energy consumption of networking equipment, among other, will be made. This is where the participation of OTE to the CONCERN project steps in, in order to be able to create and compare practices from its internal procedures with those of the CONCERN project for the afore mentioned actions. Additionally, once the specification and requirements of an energy consumption policy for networking equipment is derived, these will also be communicated to NE (Networking Equipment) vendors, for the advancement of equipment. This effort can be made more systematically through collaborating with the CONCERN project and also by testing some of the solutions that are proposed by the project results.



Apart from these it is worth mentioning that an attempt will also be made to cover some of the energy consumption with renewable energy resources.

10.2 Exploitation in Research Institutes

10.2.1 Fraunhofer

Fraunhofer has strong experience in bridging between industry and research via coordinated dissemination of project results via scientific publications and contributions to standardization bodies. Members of Fraunhofer working within CONSERN have a strong standing and ongoing active participation in IEEE standardization bodies. Holding officier positions in IEEE DYSPAN 1900.1 (B. Bochow, Chair) as well as in IEEE 802.11 (M. Emmelmann, TGai Vice Chair), Fraunofer FOKUS will continue to closely monitor ongoing standardization activities on a “IEEE leadership’s” as well as on a “participant’s” level. This allows to identify additional opportunities for focused standardization contributions disseminating CONSERN results. Given the successful integration of self-growing use cases in the official IEEE 802.11 TGai use case documentation, Fraunhofer plans to continue working within TGai in order to monitor and contribute on mechanisms within the TGai scope that are useful for enabling self-growing on 802.11 devices.

10.2.2 IBBT

As described in the project proposal, “IBBT’s role, as an independent research institute, is to transfer the knowledge built in the CONSERN project to industrial partners for further commercialisation of the results, and to feed it into both future research and academic curricula.” Following are details of the activities that are already ongoing, and additional activities that are planned for year 2 of CONSERN.

IBBT together with imec organize a national workshop on cognitive radio networking (temporary name: “Cognitive Cluster Workshop”). The workshop is scheduled for October 4, 2011 in Belgium, and is intended to share the results of national Flemish strategic research programs in the field of cognitive radio networking with the Flemish industry. The contributions of IBBT to CONSERN build further and extend results from these research programs. Relevant outcomes of CONSERN will also be shared in this workshop.

A number of scientific papers that present the work of IBBT within CONSERN have already been accepted for publication in high-profile scientific conferences. Details are provided in the yearly report of WP6.

The topics of interference avoidance and cooperative networking, including detection of co-located networks, will influence the curriculum of the advanced course on mobile networks – MOBAN (“Mobile and Broadband Access Networks”) – which is given in UGent every year by Prof. Ingrid Moerman.

The general impact assessment methodology and the MACTOR methodology in particular are fed into a fundamental research track within IBBT-SMIT (Vrije Universiteit Brussel) aimed at expanding the generic methodological toolbox for business modelling and impact assessment. The objective is to re-apply this method to other IA projects and combine it with existing business modelling approached.

IBBT together with imec submitted on January 2011 a new proposal for a national collaborative research project with Flemish industry and academia – QoCON (“Quality of Service in Cognitive Networks”.) This proposal builds, among other things, on knowledge



acquired so far in the framework of our activity in CONSERN. The proposal is currently in evaluation by the relevant Flemish authorities.

IBBT is a member of the Hermes Partnership (http://www.hermes-europe.net), a network of independent telecom research centres in Europe. IBBT will participate on May 18-19, 2011 in a brainstorm session which is aimed at generating ideas for future European projects on cooperative and cognitive networks. Again, knowledge acquired within the framework of CONSERN will play a role in defining directions for future research in this field.

A number of MSc and PhD students are actively involved in CONSERN research, and in research that builds further on CONSERN results. Lieven Tytgat (PhD student) studies frequency and time based mechanisms for interference avoidance. Eli De Poorter has just completed his PhD program, contributing in the areas of low-energy software architecture for sensor nodes, and cooperation between co-located networks. Wei Liu (PhD student) studies advanced topics in spectrum sensing, including distributed sensing and cognitive ‘understanding’ of sensing data. Peter De Valck (MSc student) will start on September 2011 to study distributed cognitive algorithms for minimizing interference (and energy consumption) in wireless networks.

10.2.3 Imec

Imec is one of the few research institutes in the world, with proven experience on bringing together top-tier industry partners for cooperation into a shared research program. IMEC has been very successful in deploying this model of shared research and its business strategy is based upon its 'IP Portfolio'. The key results from the CONSERN project will be included in this portfolio and will be exploited through:

Bilateral contracts with national and international industry and universities,

IMEC 's Industrial Affiliation Program (IIAP)' partnerships; and

Technology transfers and licensing of proven technology to industry and spinoff companies.

The work currently conducted under Task 2.2 on energy awareness in terminal design tools is directly used in our programs with industrial partners, whereas the work under Task 2.3 is conducted under the academic context with the University of Leuven.

10.3 Academical Exploitation

10.3.1 NKUA

NKUA aims at the exploitation of CONSERN results and technical solutions in the academic area through participation to scientific conferences, publication of papers, technical reports and book chapters and also collaborating with other partners in parallel national or international projects.

Specifically, NKUA has already exploiting CONSERN findings in the academic activities. In this sense, concepts, approaches and outcomes in the research items energy aware networking and self-growing enabled by autonomic, reconfiguration and cooperation capacities have already introduced in students’ projects, theses and PhD courses.

Morever, the inclusion of related courses, seminars and workshops in the study program of the Department of Informatics and Telecommunicatiosn (which is under refinement) is now being considered so as to improve the quality of the offered studies.

Exploitation of results to ETSI and IEEE groups that NKUA participates will be targeted in appropriate activities. Moreover, potential solutions are being considered for exploitation in NKUA SME spin-off.

http://www.hermes-europe.net/



11. General conclusions and further work This deliverable has presented CONSERN results from various domains. Firstly it aimed at making a ‘high-level impact assessment’ of energy efficient cognitive systems, including a contextualisation of the development of energy efficient heterogeneous wireless networks into current energy and sustainability issues, a mapping of those issues to current industrial strategies as well as government policies, and an evaluation of the impact of energy efficient cognitive systems on policy objectives and socio-economic variables. It showed that ICTs general contribute positively and substantially to economic growth by driving productivity improvements directly, and indirectly through allowing for better decision-making. They also enable more efficient allocation of goods and services, higher quality product and services and drive innovation. At the same ICT may be costly to install, may be inefficiently and unproductively used, may come with a number of negative side-effects of which a direct negative impact, which are also highly relevant for CONSERN. This section also showed that, although there are already numerous ongoing efforts in improving energy-efficiency of wireless communications, there is a need for introducing such mechanisms in less generic markets, such as those addressed by CONSERN. Besides this strong environmental aspect, CONSERN technologies, due to their focus on lower energy cost, reduced complexity and high scalability, will also have the potential to bring smart connectivity to previously non-served individuals and enterprises, and also to lower the costs for existing ones. Secondly, it looked at potential business ecosystems for CONSERN solutions. It has defined the value network, two distinct business models (an operator-centric and operator-independent one) and the related actors for a given CONSERN deployment scenario, taking into account its potential for repurposing. Subsequently is has used MACTOR methodology to evaluate strategic stakeholder positions and convergences and divergences between stakeholders with the aim of identifying opportunities and bottlenecks for creating a viable business case for CONSERN. Thirdly, it has summarized the Impact Assessment and business modelling activities and frames the next steps to be taken, outlining the impacts of CONSERN and relating them to objectives of policy and business stakeholders. In order to further assess the impact of CONSERN on energy consumption, future work will assess the energy consumption of CONSERN based networks as well as their alternative networks (BAU). In order to determine (and possibly quantify) these impacts, a set of relevant metrics will be operationalised in the second half of the project, in close collaboration with the technical partners in the consortium, in order to evaluate to what extent the actual impact of CONSERN solutions in a given setting can be determined. Besides the evaluation of these technical metrics put into a business context, several other steps will be taken to further the business modelling and impact assessment within CONSERN. Firstly, a second set of business scenarios, set in a campus environment, will be developed into a value network design and two operational modes. After identification of the relevant stakeholders and their potential relationships, a MACTOR analysis for the four combined scenarios will be performed through expert interviews with real-world stakeholders, so as to substantiate the strategic positions attributed in this deliverable to the stakeholders in the home/office scenario, and to determine them for the campus scenario. Finally, input from the technical partners (in the form of results of technical metrics which have an influence on business parameters determining the viability of the four scenarios) will be included, and a final evaluation of how the scenarios may contribute to the environmental and economic objectives listed above will be performed.



Apart from the results of the impact assessment and business model research undertaken in CONSERN, this deliverable has also reported on the project’s standardization, dissemination and exploitation activities. In terms of standardization, the consortium chose to focus on an active participation to a small number of selected bodies –notably ETSI RRS and IEEE 802.11–while the partners activities in the other bodies are mainly used for monitoring and derivation of the “larger picture”. In terms of dissemination and exploitation, both industrial and academic partners have undertaken a varied set of activities and has been present in a diverse number of conferences, cluster meetings and fora, in accordance with the plans set out with the consortium. Besides listing these activities, this deliverable also contained a refinement of the consortium’s dissemination plans.



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Deliverable D1.2 High Level Market and Impact Assessment ... · 15-06-2011 0.23 Anand Raju, Simon Delaere (IBBT) Document Revision and Update 16-06-2011 0.24 George Koudouridis (HWSE)

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