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A Step-By-Step Identification Method For Non-Intrusive Loads Based On Fused Features - Removed

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A Step-by-Step Identification Method for Non-intrusive


Loads based on Fused Features and Inception-TOPSIS

Na Luo, Chunning Na, Huan Pan and Feng Li

Abstract: It is likely to fail to correctly identify loads with similar voltage-current (V-I) trajectories

within the non-intrusive load recognition method, besides the training parameters of the recognition

model are too many by using conventional deep learning algorithm, and it also uses up more

computer resources. Therefore, the use of fused features and a step-by-step identification algorithm

are provided for non-intrusive loads combining the Technique for Order Preference by Similarity to

the Ideal Solution (TOPSIS) algorithm and the Inception network in this paper. Firstly, the Inception

network is applied to recognize the loads with V-I trajectories in the first step; then the loads that

are not successfully identified in the first step can be identified using fused numerical features in

the second step based on the TOPSIS algorithm to achieve fast and fine recognition results. The

proposed method reduces the computational cost and enhances the performance of load recognition,

according to the validation and comparative analysis with other algorithms on the Plug-Load

Appliance Identification Dataset (PLAID).

Keywords: Non-intrusive Load Recognition, Fused Features, Inception Network, TOPSIS


Corresponding author: nana508@163.com; Tel: +86-951-2061004; Fax: +86-951-2061003.
Project information: This work was supported by the National Natural Science Foundation of China
under Grant No. 52167006, the Key Research and Development Program of Ningxia Province under
Grant No. 2020BDE03003 and the National Natural Science Foundation of Ningxia Province under
Grant No. 2022AAC03118.

1. Introduction

According to China's dual carbon target, the refined management of the electricity demand side

plays a significant role in the rational dispatch and effective use of electrical energy, and it has led

to continuous innovation of the power system [1]. Non-intrusive Load Monitoring (NILM) is the

key foundation of power management on the demand side. Customers can regulate their electricity

consumption behavior to save electricity by using NILM technology, which also allows the grid to

optimize the system's structure and increases the efficiency of the power dispatch. Consequently,
the study of NILM with a highly practical significance has attracted scholars’ attention [2][3].

A conventional method of non-intrusive load recognition was based on dividing load features

into steady-state and transient features, and usually combined with typical classification algorithms

such as deep learning for identification. A conventional method based on power features was

presented in [4] compared with a classification method based on V-I trajectories, and the results

showed that the classification method achieved a better recognition rate than the conventional

method. Based on V-I trajectories with the amplitude transformed to pixel values, a method for

distinguishing various kinds of loads was presented in [5] based on a two-dimensional (2D)

convolutional neural network (CNN). [6] further introduced color-coded V-I trajectories and used

pre-trained CNN to distinguish loads in the PLAID dataset. Both color-coded and pixelated V-I

trajectories have a higher recognition rate than conventional V-I trajectories, but there is a

disadvantage of taking up computer resources in these methods. Then, [7] first mapped V-I

trajectories onto cells with binary values and used a Supervised Self-Organizing Map (SSOM) for

recognition. This method greatly decreased the computational work compared to other conventional

methods, and the results showed that the recognition rate was higher than the rate in [6].

However, only using V-I trajectories is unable to distinguish various loads with similar V-I

trajectories and to accurately reflect the other features of loads, such as harmonics.

To address this drawback, boosting features carry by loads can effectively improve the

recognition rate based on V-I trajectories. Fused color V-I images with current, voltage, and phase

were presented in [8], and the method realized the effective identification of different types of loads.

[9] extracted V-I trajectories and temporal features for recognition based on CNN and the Long and

Short Term Memory (LSTM) architecture, and the results showed that the model outperformed the

remaining load identification method on different loads. [10] and [11] combined CNN with a deep

fusion of harmonics, power, and V-I trajectories in a high-dimensional environment, and the results

showed that this method was also effective in identifying different types of loads. [12] and [13] used

back propagation (BP) combined with CNN to form a two-channel model to identify loads, and the

results showed that the identification accuracy was significantly improved for the loads with multi-

states.

Even though the deep learning method of fused features in combination with dual channels

enhanced the extraction of various features, its training process necessitates a significant amount of
computing, and it was a heavy burden on the computer's processing capability. Conventional CNN

usually used deeper convolution to extract high-dimensional information, however, they had an

excessive number of training parameters, which was prone to overfitting phenomena. The Inception

network is a particular kind of CNN, its network structure can be expanded horizontally, and the

input feature vectors can be extracted at various scales, it can increase the number of neurons in the

network, and significantly reduce the number of network parameters [14]. A network model

combining the Visual Geometry Group (VGG) and Inception network in the field of image

processing was proposed in [15], and the results showed that the use of the Inception network can

significantly improve recognition rates compared to conventional CNN.

Additionally, the algorithm with relatively low computational complexity is also a current

research direction for load recognition. [16] identified loads with similar current features using a

similarity matching algorithm based on TOPSIS, but the recognition rate was insufficient since there

was no feature fusion. To improve the recognition rate, the fused features and a step-by-step

recognition method are used to identify loads with similar V-I trajectories based on Inception-

TOPSIS in this paper.

The main contribution of this work lies in:

1. It is the first time to apply the Inception network to research non-intrusive loads

identification. And the calculation cost can be greatly reduced by using the advantages of

the Inception network and the TOPSIS algorithm.

2. The step-by-step recognition method can effectively improve the recognition rate based on

multi-features.

The paper is organized as follows: Section 2 introduces the algorithm's flow and the step-by-

step recognition method. Section 3 presents the recognition principle of the first step based on the

Inception network. Section 4 describes the recognized principles of the second step based on the

TOPSIS algorithm. Section 5 identifies 11 classes of loads in the PLAID dataset and demonstrates

the effectiveness and accuracy of the proposed algorithm. And the algorithms in this paper are also

compared and analysed with other algorithms. Finally, Section 6 concludes this study.
2. Principles of Step-by-Step Non-intrusive Load Identification based

on Fused Features and Inception-TOPSIS

Fig. 1 shows the step-by-step recognition algorithm of the non-intrusive loads. The first step is

to recognize the V-I trajectories by using the Inception network, and the second step is to recognize

the fused numerical features of loads that are unidentified in the first step by using the TOPSIS

algorithm, and the identification results are obtained by these two steps.

Fig. 1. Flow Chart of The Algorithm in This Paper

3. First Step Identification based on Inception Network

3.1 Construction of V-I Trajectories

Usually, the V-I trajectory contains rich steady-state features and loads can be distinguished by

the differences in V-I trajectories.

The binary-mapped 2D V-I trajectory is a mapping of the V-I trajectory onto cells, each cell is

labeled with a binary number [17]. The matrix cell will be set as 1, if a trajectory passes through the

element of the im -th row and vm -th column of the matrix, otherwise it is 0. And the V-I values in

the steady-state are linear, they can be converted to integers between 0 and n using Equation (1),
I m min I
im n m 1, 2,3, ,n
max I min I
(1)
Vm min V
vm n m 1, 2,3, ,n
max V min V

Where: im , vm are the converted current and voltage at the m -th sample point, respectively.

I m , Vm are the raw current and voltage of the data point m , respectively.

min I , minV are the minimum values of current and voltage in a steady-state period,

respectively.

max I , maxV are the maximum values of current and voltage in a steady-state period,
respectively.

n is the order of the matrix;   is the downward rounding sign.

The 2D V-I trajectories of loads in the PLAID dataset are shown in Fig. 2. Some loads with

similar V-I trajectories cannot be effectively distinguished, while others with different V-I

trajectories can be effectively distinguished.

Fig. 2. Binary V-I Trajectories with n  32 for the Loads in PLAID

3.2 First Step Identification by the Inception Network based on V-I Trajectories

The Inception module is shown in Fig. 3. It performs different convolution and pooling

operations such as 1×1, 3×3, and 5×5 on the input data. Unlike the conventional sequential

concatenation of convolution and pooling layers, the Inception module cleverly achieves
dimensionality reduction and allows simultaneous convolution and aggregation at multiple

dimensions by using 1×1 convolutional substitution. The output of each part is pooled by using the

same type of padding, which fills the dimensions of the output with the same as the input. Finally,

Concat is used to fuse the output data from each channel.

Fig. 3. Diagram of the Inception Module


The Inception network in this study consists of a 3×3 convolutional layer, two Blocks, and a

Global Average Pooling (GAP) layer, as depicted in Fig. 4. One Inception module is noted as one

Block, and the convolution and pooling steps of Block 1 are set to 2, the convolution and pooling

steps of Block 2 are set to 1, and the activation function is set to "Relu". A 2D V-I trajectory is

passed different convolution and pooling operations, and it is subsequently output to the Softmax

function through a GAP layer, then the final recognition result will be output.

Fig. 4. Flow Chart for Inception Network Recognition


However, conventional CNN frequently takes one or more fully connected layers before using

a Softmax function to classify data. Due to the huge number of fully connected layers, the training

speed of the model is slowed down, it is also likely to cause an overfitting phenomenon. Each feature

map of the convolution output is averaged by replacing the traditional fully connected layer with a

GAP layer, and the need for training parameters is eliminated, thus the network parameters are

drastically reduced and resulting in a more robust model with the reduced overfitting phenomenon

[18]. Fig. 5 shows a comparison of the fully connected layer and the GAP layer. It is easy to see that

the parameter calculation of the Inception network has greatly reduced by using the GAP layer

instead of the fully connected layer from this simple comparative structure diagram alone.
Fig. 5. Comparison between the Fully Connected Layer and the GAP Layer

4. Second Step Identification based on the TOPSIS algorithm

The V-I trajectories alone are not sufficient to effectively differentiate loads with similar

trajectories in the first step, so the second step is required to achieve the recognition of the surplus

loads. The fused numerical features, which combines active and reactive power, harmonics, and

power factor [19], will be used for load recognition based on the TOPSIS algorithm.

4.1 Acquisition of Fused Numerical Features

Different numerical features can effectively distinguishs different loads. In this paper, the

active and reactive power, the first five odd harmonics, and the power factor are fused as numerical

features. Among them, active and reactive power features can distinguish between high and low

power loads, harmonics can compensate for the problem on the lack of sampling accuracy with the

V-I trajectory, and power factors can reflect the energy efficiency of loads and distinguish the nature

of loads. The fused numerical features are extracted by using the Fast Fourier Transform (FFT) [20].

As Equation (2), X (k ) is the k -th signal of the frequency domain after the FFT during a

specific steady-state:

N 1 2 πkn
j
X (k )   in e N
, k  0,1,, N  1 (2)
n0

Where, in is the i -th current sampling. N is the total number of sampling points in a period.

X (k ) is the amplitude of the k -th signal, it is also the k -th harmonics. However, the odd
harmonics of household loads are significantly larger than the even harmonics, and the harmonic

value will be already small when the order of harmonics is greater than 11 [10]. Therefore, the first

five odd harmonics are chosen as the harmonic features.

Additionally, the time domain voltage and current can be expressed by Equation (3):
N 1
i(t )  I (0)   2I ( k ) cos  kwt  φi( k ) 
k 1
N 1
(3)
v(t )  V (0)
  2V (k )
cos  kwt  φ (k )
v 
k 1

Where: w is the angular velocity.

I (0) , V (0) are the rms fundamental current and voltage, respectively.

I ( k ) , V ( k ) are the rms values of k -th harmonic current and voltage, respectively.

i( k ) , v are the phase angles of the k -th harmonic current and voltage, respectively.
(k )

Then, the active and reactive power can be calculated by the time domain voltage and current

by Equation (4):
N 1
P  V (0) I (0)  V ( k ) I ( k ) cos  φv( k )  φi( k ) 
k 1
N 1
(4)
Q  V (k ) (k )
I sin  φ (k )
v φ
(k )
i 
k 1

While the power factor is generally expressed as λ and calculated from the active and reactive

power by Equation (5).

P
 (5)
P  Q2
2

4.2 Second Step Identification by TOPSIS based on Fused Numerical Features

TOPSIS algorithm is an efficient multi-objective decision-making method, it enables the

comparison and selection of multiple schemes [21].

In this paper, the evaluation index refers to the numerical features of each load in the database,

and the evaluation object refers to each load that was not successfully identified in the first step. Fig.

6 shows the identification process of the TOPSIS algorithm.


Fig. 6. Recognition Flow Chart of TOPSIS Algorithm
In terms of weight determination, this paper adopts a comprehensive weight calculation method,

which combines the entropy weight method [22], the Criteria Importance Though Intercriteria

Correlation (CRITIC) weight method [23], and the Principal Component Analysis (PCA) weight

method. These three objective weight methods can effectively prevent errors caused by subjective

factors and ensure the integrity of the evaluation process. The entropy weight method

emphasizes the variability of features and reflects the differences between features, the CRITIC

fully considers both the correlation and the conflict between features, whereas PCA focuses on the

correlation between features. These three weight methods are combined to obtain the comprehensive

weight W j for the j -th feature as shown in Equation (6):

W j1W j2W j3
Wj  M
(6)
W W W
j 1
1
j j
2 3
j

Where M indicates the number of load features, W j1 , W j2 and W j3 denotes the entropy weight,

CRITIC weight, and PCA weight of the j -th feature, respectively.

Finally, the identification results of the second step are obtained based on the similarity Di

between the load to be tested and the i -th load in the database. The greater the Di is, the more

similar the load to be tested is to the loads in the database, then the tested load can be identified and

the recognition rate can be obtained.


5. Experimental Verification and Comparative Analysis

The PLAID dataset [24] has a total of 1074 datasets from 235 independent loads and provides

voltage and current for 11 different types of household loads at a sampling frequency of 30 kHz for

experimental testing.

5.1 Evaluation Indicators

The average of the F1-score in the first step and the accuracy ε in the second step for each load

is the accuracy for the final recognition rate of the step-by-step identification model.

5.1.1 Evaluation Indicators in the First Step

There are three evaluation indicators for identification in the first step. Accuracy, F1-score, and

confusion matrix [25] are used to evaluate the recognition rate for the Inception network. Where

Accuracy is used to evaluate the performance of the model, and the F1-score is used to evaluate

whether each load is identified successfully in the first step of identification. Among them, Accuracy

can be obtained from Precision and Recall.

And the Precision is the proportion of all samples with accurate positive predictions out of all

samples with positive predictions, it can be calculated by Equation (7).


TP
Pre  (7)
TP  FP
While the Recall is the proportion of samples with expected positive results to those with actual

positive results, it can be calculated by Equation (8).


TP
Rec  (8)
TP  FN
Then the Accuracy is the proportion of correct predictions in the whole sample, it can be

calculated by Equation (9).


TP  TN
Acc  (9)
TP  FP  TN  FN
Where: TP indicates the number of classes that are positive but are predicted to be positive.

TN indicates the number of classes that are negative but are predicted to be negative.

FP indicates the number of classes that are negative but are predicted to be positive.
FN indicates the number of classes that are positive but are predicted to be negative

[26].

Finally, the F1-score is the summed average of the Precision and Recall, it can be obtained by

Equation (10).
2Pre  Rec
F1-score  (10)
Pre  Rec

5.1.2 Evaluation Indicators in the Second Step

The accuracy indicator ε for the second step represents the ratio of the number of correctly

identified loads nture to the total number of loads ntext , it can be calculated by Equation (11):

nture
ε=  100% (11)
ntest

5.2 Experimental Verification

5.2.1 First Step Identification

Firstly, this paper constructed the 2D V-I trajectories image. And the number n was set to 32.

After adjusting the relevant parameters, the ratio of the training set and the test set is 8:2, and

the training process is shown in Fig. 7. The recognition accuracy and loss value tend to be stable

when the epoch number exceeds 60, and the difference of the accuracy between the test set and the

training set is minimal. It shows that the Inception network has a good anti-overfitting ability.

Fig. 7. Training Process of Inception Network


Through the visual analysis of the data, the confusion matrix after the above identification is

shown in Fig. 8. The accuracy for the Inception network model achieves 96.26%.
Fig. 8. Confusion Matrix for the Recognition with Inception Network
(Where AC: air conditioner, CFL: compact fluorescent lamp, Bulb: incandescent light bulb,
Washing: washing machine)
The F1-score for each type of load, which is derived from the confusion matrix, is used to

assess the model's capability to recognize loads. As shown in Fig. 9, the F1-score of the Fridge, AC,

and Heater are all lower than 90%, because these loads have multiple operating states, and the

features of similar loads in different states are quite different. The CFL and Laptop both achieves

an F1-score of 1, and the recognition accuracy is 100%. Except for these two loads, the remaining

loads are not correctly recognized, and they will be recognized in the second step.

Fig. 9. F1-scores of Inception Network of All Types of Loads

5.2.2 Second Step Identification

In this subsection, the numerical features of the loads except for CFL and Laptop are acquired,

and the feature database is built. A total of 180 loads are randomly selected from 9 types, and the

recognition results for each load will be obtained by calculating the similarity using the TOPSIS
algorithm, and the recognition results are shown in Table 1.

Table 1. Results for the Second Step Identification


Loads AC Fan Fridge Hairdryer Heater Bulb Microwave Vacuum Washing

ε (%) 98.12 99.07 98.56 97.23 100 100 100 100 96.57

The numerical features of the Fan and CFL are more similar in terms of power factor and power

distribution. And the identification rate of the Fan will be effectively increased when the CFL does

not interfere with the identification of the Fan.

Then, an average recognition rate of 99.12% can be attained for the step-by-step recognition

of the Inception-TOPSIS model. And it is possible to recognize different loads effectively by

combining numerical features and V-I trajectories.

5.3 Comparative Analysis

5.3.1 Comparative Analysis with Conventional CNN

Performance comparisons between the conventional CNN and the Inception network were

made in this subsection. The CNN consists of three convolutional and pooling layers, which are

followed by a fully connected layer, and then it uses Softmax for classification. The training process

is shown in Fig. 10. The recognition accuracy and loss value also tends to be stable when the epoch

number exceeds 60, and the difference in the accuracy in the training set between the Inception and

conventional CNN is about 0.1. And the loss value of Inception is significantly lower than CNN's.

Therefore, the Inception network has higher recognition accuracy, faster convergence, and smaller

loss, compared with the conventional CNN.

Fig. 10. Training Process Comparison of Inception Network and Conventional CNN
As shown in Fig. 11, the confusion matrix of the conventional CNN can achieve a recognition

accuracy of 85.51%, which is 11 percentage points lower than the Inception network compared with

Fig. 8. However, none of the F1-scores of the loads reached 1 as shown in Fig. 12. Therefore, all 11

types of loads were not successfully identified in the first step and need to be identified in the second

step.

Fig. 11. Confusion Matrix for the Recognition with Conventional CNN

Fig. 12. F1-score of Conventional CNN of All Types of Loads


In the second step, the loads will be classified with TOPSIS, and the identification results are

shown in Table 2. The highest accuracy ε is 98.09 %, and it is significantly lower than the accuracy

after classification with the Inception network.


Table 2. Results for the Second Step Identification
Loads AC CFL Fan Fridge Hairdryer Heater Bulb Laptop Microwave Vacuum Washing
ε (%) 97.78 94.26 97.35 96.05 96.98 95.68 98.72 98.03 97.58 98.09 96.68

And the average accuracy of the step-by-step recognition based on conventional CNN and

TOPSIS is 97.02%, which is two percentage points lower than the proposed method in this paper.
Obviously, based on the analysis above, the step-by-step recognition by using the Inception-TOPSIS

model improves the recognition accuracy while using fewer training parameters, and has a stronger

anti-overfitting ability.

5.3.2 Comparative Analysis with Other Algorithms

In this subsection, the recognition speed and the accuracy of the proposed algorithm are

compared with other recognition algorithms. All the experiments were based on the PLAID dataset,

with a Win10 system as the experimental environment, Python 3.8 as the language, and PyTorch

1.11.0 as the deep learning framework. 1074 sample data from 11 different types of household loads

are identified, and the ratio of the training set to the test set is still 8:2. Table 3 shows the

identification time and accuracy of different methods.


Table 3. Comparison of Identification Performance of Different Algorithms
Load features Identification models T(min) Accuracy (%)
V-I Inception network 11 96.26
V-I CNN 12 85.51
V-I+ Numerical TOPSIS 13 98.91
V-I+ Numerical CNN-TOPSIS 14 97.02
V-I+ Numerical CNN-K-means 16 92.17
V-I+ Numerical Inception network-K-means 15 96.87
This paper Inception network-TOPSIS 12 99.12
Note: K-means represents the K-means clustering algorithm.

Even though only using V-I trajectories for recognition takes less time, the recognition

accuracy is poorer. Despite the K-means clustering method with a simple algorithm structure, the

identification accuracy isn't high, because no fusion features don't have a strong clustering effect.

Therefore, the recognition rate is still lower than the proposed algorithm. The step-by-step

recognition method in this paper not only effectively improves the recognition efficiency, but also

reduces the recognition time by combining the Inception network and TOPSIS.

5.3.3 Comparative Analysis of Noise Resistance

To verify the noise resistance of the proposed algorithm, White Gaussian Noise is

superimposed on the raw voltage and current. The new voltage and current are obtained by adding

noise with different signal-to-noise ratios (SNRs), and the SNR is calculated by Equation (12).
L

 (x ) i
2

SNR  10lg i 1
L
(12)
 (ni )2
i 1
Where xi represents the original signal, ni represents the noise signal, and L is the length

of the original signal.

Usually, the SNR indicates the deviation between the noise-combined signal and the original

signal, and the higher the SNR increases, the smaller the noise signal is.

The confusion matrixes of the first step by the Inception network under different noises with

SNRs of 5dB, 10dB, 20dB, and 30dB are shown in the Appendix. And the accuracy in the first step

keeps getting better as the SNR rises, as shown in Fig. 13. The identification rate of the Inception

network is still higher than the conventional CNN under different SNRs.

Fig. 13. Comparison of Recognition Accuracy for Conventional CNN and Inception under
Different SNRs
Under different SNRs, the step-by-step identification results are shown in Table 4. The step-

by-step identification algorithm can still achieve effective recognition of loads after adding noise,

and the recognition rate of the step-by-step model keeps improving as the SNR increases, which

indicates that the step-by-step model of the Inception-TOPSIS algorithm has a certain resistance to

noise.
Table 4. Recognition Accuracy under Different SNRs
SNR (dB) 5 10 20 30 40
Accuracy (%) 81.34 86.97 90.03 91.27 94.46

6. Conclusion

This paper proposes a step-by-step non-invasive loads identification method based on fused

features and Inception-TOPSIS. The step-by-step non-invasive loads identification method greatly

reduces computational difficulty, saves computational resources, and provides the possibility to

realize plug-and-play devices. The proposed method's effectiveness was fully validated through
experimental validation and comparative analysis using the public dataset PLAID dataset.

However, there are still some limitations to the proposed method. For instance, this paper only

has carried out the identification based on the public dataset, but the proposed method is not

validated based on the actual household datasets. In addition, an operational algorithm should be

tested in practical applications. Therefore, the next research focus is to solve the problems to

improve the scalability of the algorithm and try to use the embedded system to achieve real-time

recognition of the loads.

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Appendices

Fig. 1. Confusion Matrix for First Step Identification Results at 5dB

Fig. 2. Confusion Matrix for First Step Identification Results at 10dB


Fig. 3. Confusion Matrix for First Step Identification Results at 20dB

Fig. 4. Confusion Matrix for First Step Identification Results at 30dB

Fig. 5. Confusion Matrix for First Step Identification Results at 40dB

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