Proceedings of the 2006 American Control Conference

Minneapolis, Minnesota, USA, June 14-16, 2006

WeB12.3

Building HVAC Control Systems - Role of Controls and Optimization

H. S. Sane, C. Haugstetter and S. A. Bortoff
United Technologies Research Center
East Hartford, CT 06108, USA
sanehs@utrc.utc.com
Abstract As building systems become more integrated, one
inherently introduces coupling between previously independent
designs. Model-based controls and analysis tools are key to
identify problems and solution-paths early on. A model-based
approach facilitates the developments of monitoring equipment,
fault-tolerance, diagnosis and controls algorithms, that are
critical in the operation of integrated system. This paper
introduces a rich set of problems in controls and optimization
related to commercial chilled water cooling plants and related
systems. The problems range from opportunities in multivariable optimal control, dynamic resource allocation and control
over networks. As an example, dither-based extremum seeking
based controls is proposed as a online optimization algorithm
for chilled water plant control.

I. I NTRODUCTION
Energy consumed in commercial buildings is a significant
fraction of that consumed in all end-use sectors. Buildings
consume approximately 36% of total US primary energy
use by sector (transportation and industry consuming the
remaining). For commercial buildings, approximately 32% of
energy is consumed by the HVAC system, while an additional
8% is used to heat water (see Chart in Figure 1). Moreover,
the commercial building segment continues to grow.
Space Heating
15%

22%

One common reason for sub-optimal HVAC performance

is that the selection of HVAC equipment and independent
components tend to be grossly oversized. This improper
sizing results in excessive cycling and significant degradation
in off-design operation. Integration can occur in several ways
and balance and combination of these methods can lead to
significant system gains. At the physical level functionality
can be combined into integrated subsystems that symbiotically improve overall efficiency. For example, the waste
energy from a solid oxide fuel cell exhaust stream can be
harnessed by a coupled microturbine combustor to improve
the hybrid system efficiency. Additionally, waste heat from
a microturbine can be used to drive the water-separation in
an absorption chiller. This approach represents energy flow
integration at the physical product level. The HVAC industry
is moving towards a more integrated solutions approach
based upon several emerging open networking protocol such
as BACnet or LONWorks. At the building system operations level, information is collected and used to optimize
performance using centralized building management systems
(BMS). This approach represents information and real time
data flow integration.
We identify four thrust areas as enablers for future building
integration:
1) Physics-based, system level dynamic models of building energy systems and the integration of these models
with existing building envelope simulators;
2) Information systems used to integrate modelling &
analysis tools and manage information in support of
concurrent, collaborative design of integrated HVAC/R
and cooling, heat and power (CHP) solutions;
3) Algorithms for optimal, robust supervisory control of
integrated building energy systems, along with their
realization on industry-standard embedded platforms;
4) Systems-oriented sizing and specification tools that
enable optimization of turn-key integrated HVAC/R
and CHP designs at building construction time.

Cooling
Ventilation
13%

6%
2%

4%

3%

8%
27%

Fig. 1.

Water heating
Lighting
Refrigeration
Cooking
Office Equipment
Other

Energy Consumption in U.S. Commercial Buildings

Heating, Ventilation and Air Conditioning (HAVC) Systems and other building components are typically designed
and specified independently of each other. A path to achieving higher overall energy conversion efficiencies is to enable
and create hybrid building energy systems that integrate
emerging component and control system technologies into
the broader HVAC building system and optimize building
system energy efficiency.
This work was supported by the National Institute of Standards and
Technology Advanced Technology Program under agreement number
70NANB4H3024, and the United Technologies Corporate Research.

1-4244-0210-7/06/$20.00 2006 IEEE

The objective of this paper is to bring forth a rich class

of modelling, dynamics and controls problems that are encountered in analysis of integrated HVAC/building systems.
A survey of literature pertaining to controls for HVAC and
building systems shows the lack of systematic dynamic
analysis and control design approach. The algorithms usually
are based on ad-hoc table based rules which are modified
and improved based on field experience rather than rigorous
modeling and dynamical analysis. The relevance to the

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controls community ranges in the realms of applying the

classical methodology of model-based and predictive controls, analysis of complex interconnected dynamical systems,
multivariable control analysis and exploration of new ways to
control over large-scale networks. It is imporant to evaluate
these strategies against practical issues including unobservable dynamics, transport delays, and inherent nonlinearities.
II. OVERVIEW OF THE PAPER
Section III provides an overview of building dynamics and
opportunities for applying controls and dynamical analysis
methods are also discussed. In Section IV, we focus on
chilled water dynamics and discuss a subset of problems
involved in control of chilled water plants. As an example
of controls application, we consider a problem of optimal
supervisory control of chilled water plant temperature setpoints in Section V. Specifically, we apply extremum seeking
methods for controlling tower supply water (condenser water
setpoint) for online optimization of total power.
III. B UILDING DYNAMICS
A typical building and its interaction with the HVAC
system can be classified in three physically distinct albeit
coupled dynamical systems, namely, building air delivery
and thermal dynamics (heat-exchange with air and structure),
cooling and heating water equipment, delivery and thermal
dynamics, and exogenous dynamics including weather, solar
radiation and internal thermal loads. Performance of a building HVAC is measured in terms of energy consumed, comfort
and life cycle cost and is closely dependent on interaction
of these dynamical systems. Energy costs are a function of
the local utility-rate structure.
A. Air-Side Dynamics
The building air dynamics involves variation in air properties (pressure, flow, temperature, density and composition)
in the air delivery systems (fans, air-handlers, exhausts)
and building zones (rooms, corridors, plenum). Thermal
dynamics of the building directly relates to comfort and is
most pertinent to HVAC system design. The thermal capacity
of the building air and structure determines the response of
the thermal dynamics. A tall space, like a hotel atrium, can
have buoyancy driven flows creating large temperature and
pressure gradients.
ASHRAE and government building guidelines have
evolved over time imposing specific requirements on temperature, humidity, ventilation and contaminants (CO2, smoke,
etc.). Often it is desirable to maintain a positive pressure
within buildings or certain zones to prevent ambient infiltration or maintain interzonal flows in certain directions for
contaminant control purposes (such as from a dining area
into the kitchen in a restaurant).
It is essential to have good models of the air dynamics
in the building, both from the design point of view and
for the purpose of developing control systems. There is
a need for systematic methods (e.g. graph-theory, POD,
model-decomposition) for model reduction from full order

CFD (Computational Fluid Dynamics) simulations to coarse

control-oriented models. These models can then be used to
perform fundamental limit of performance analysis, control
and sensor placement and algorithm design.
Some other interesting problems in building air dynamics
appear in the design of fire-suppression and contaminant
control systems. Inert gas fire suppression systems are based
on the principle that these heavy gases descend in the room,
causing a reduction in oxygen supply to the combustion zone.
This topic would be discussed in one of the submitted papers
in the invited session.
B. Chilled Water Dynamics
In commercial buildings, water (chilled or hot) is circulated through a series of fluid-to-air heat exchangers to
provide cooling or heating energy the building zones. Chilled
and hot water is usually supplied in separate water loops
by chillers and boilers. Chillers are refrigeration machines
which extract energy from building-water to a refrigerant
which in turn rejects the heat to ambient using cooling
towers. Specific control problems involving chilled water
dynamics are discussed in Section IV and will be skipped
here.
C. Loads and Disturbances
The loads and disturbance dynamics refers to heat, humidity or contaminant sources, which include outside weather,
solar radiation, computers and lab equipment, kitchen equipment, people and other latent and sensible heat sources.
Depending on the size of the building, these effect can cause
significant dynamic coupling with the HVAC equipment.
The ability of HVAC equipment to reject disturbances also
depend on ambient conditions. For example, the cooling
capcity of cooling water towers are limited by the ambient
wet-bulb temperature.
D. Energy Costs
The energy costs are a strong function of the utility
provider and its rate structure. For example, the electric
utility cost structure consists of energy cost and peak power
(fixed-horizon maximum) costs and the rate strongly depends
on the time of the day. This poses an interesting modelpredictive control problem of minimizing a discontinuous
energy cost and satisfying comfort requirements within the
constraints of building dynamics, weather and occupancy
prediction. For example, a night-cooling approach makes
use of the buildings structural heat-capacity as a means of
reducing the operating costs. During summer, the building
is over-cooled during unoccupied hours when electric utility
cost is low. During occupied hours the cold building structure
absorbs heat thereby requiring reduced HVAC cooling during
peak rate hours.
IV. C ONTROL P ROBLEMS IN C HILLED WATER DYNAMICS
The use of cooling plants that employ multiple machines is
the most common method of providing cooling for medium
and large commercial and institutional buildings in the
United States.

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Cooling Towers

pensates for any excess flow that does not pass through the
secondary loop. This configuration makes the chilled water
system robust and stable. However, at reduced thermal loads,
the air handlers reduce the required secondary flow resulting
in increased bypass flow, which introduces inefficiency in the
overall system performance. Many manufacturers of chillers
now make chillers with variable flow primary pumps [25],
where the primary flow is reduced at part-load conditions
in order to reduce the bypass flow. This couples the chiller
operation with thermal loads and disturbances and requires
careful control to avoid equipment operating constraints. As
chilled water systems using variable speed drives become
more prevalent [25], [26], controls would play an increasingly critical role in robust performance and optimization.

Tower 1

Condenser
Water Supply

Secondary Pumps

Tower 2
Leaving Chilled
Water Supply

Air Handlers

Zone m

Bypass

Zone 3

Chiller 2

Zone 2

Zone 1

Chiller 1

Chiller n
Building Return
Water

Primary Pumps

Fig. 2.

Schematic of the chilled-water-plant

From
Cooling
Tower (27qC)

B. Supply Temperature Control

To
Cooling
Tower (35qC)

Condenser (gas-to-liq)

Cold refrigerant
(low pres liquid)

Hot refrigerant
(high pres. gas)

Cold refrigerant
(low pres gas)

Compressor

Expansion
Valve

Hot refrigerant
(high pres. liquid)

Evaporator (liq-to-gas)

Chilled Water
Supply (6 qC)

Building water
Return (18qC)

Fig. 3.

Schematic of a chiller

A schematic of a typical chilled water plant (CWP) is

shown in Figure 2. A bank of chillers provide chilled water
to the building air handlers, which are essentially water to
air heat exchangers. Supply fans distribute the cold air from
the air handlers throughout the building. Electric chillers are
based of refrigerant vapor compression engines powered by
centrifugal, reciprocating or rotating compressors. Absorption chillers are based on chemical absorption of water in
Lithium Bromide solution under vacuum. In electric chillers
(Figure 3), the low-pressure refrigerant in the evaporator
extracts heat from the building return water and supplies it at
a prescribed chilled water supply temperature. On the other
hand, high-pressure refrigerant in the condenser rejects heat
to cold water supplied by the cooling tower. The cooling
tower rejects the heat to the environment by using forced
air-cooling.
A. Supply Flow Control
Typically chilled water loops are decoupled in two loops
with the help of a chilled water bypass (Figure 2). The
primary pump supplies water at a constant rate and the
secondary pump (in the secondary loop) circulates chilled
water to the building as required by the air-handlers reacting
to the varying thermal loads in the building. The bypass com-

The power consumption of a chiller is sensitive to the

condenser water supply temperature provided by the cooling
tower control. Chillers typically are characterized by their
coefficient of performance (curves) which relate the power
consumed to the cooling provided, COP = Cooling/Power.
A large COP implies a more efficient chiller. Chiller COP
strongly depend on the operating conditions including cooling load, condenser water supply temperature and chilled water supply temperature and water flow through the condenser
and evaporator. Optimizing the condenser water temperature
can provide significant system energy savings [11], [12].
Tower fan power varies approximately with the cube of
the tower flow rate. Increasing the tower airflow provides
a cooler condenser water temperature reducing the chiller
power requirement, however at the expense of an increase in
tower fan power consumption. For a given set of conditions,
an optimal tower control exists that minimizes the sum of
the chiller and cooling tower fan power. Methods in the
HVAC literature [9], [11], [22], [38] present methods to do
on-line optimization, but these usually ignore or disregard the
system dynamics. The optimal control changes through time
in response to uncontrolled variables including the ambient
conditions and cooling loads.
Chiller power decreases with an increase in chilled water
supply temperature. However, constraints on the water-toair heat exchange on the building air-handlers restrict the
maximum chilled water supply temperature as a function of
building thermal load. Chillers usually consume about 4060% of the total energy consumed in a chilled water system,
hence the chilled water supply temperature reset methods
have significant impact on system energy consumption.
As an example, we consider a chilled water plant with
(similar to one in Figure 2) with four chillers and two towers
and constant flow pumps for each unit. Based on empirical
models for chiller and tower performance, we perform a
gradient based extremum search for optimal chilled water
and condenser water supply temperature in order to obtain
minimum total power (chillers and towers) for varying thermal loads. As baseline, we consider a chilled water set-point
of 70 C and a commonly adopted strategy that maintains
condenser water set-point at a constant 4o difference above

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ambient wet-bulb temperature. Based of a simulation for a

typical summer day, that we obtain about 10-20% reduction
in energy consumption (Figure 4), of which 7-14% improvement is due to optimizing tower return temperature, and 36% improvement due to optimizing chilled water temperature
(optimal temperatures are shown in Figure 5).
4500

4000

Total Power [kW]

3500

]
W
[
r
e
w
o
Pl
at
o
T

3000

2500

V. O PTIMAL C ONTROL E XAMPLE : D ITHER -BASED

E XTREMUM S EEKING C ONTROL

2000

1500

1000
baseline at TCoW SP = 4odegC + Tw etbulb

500

Optimized

10

12

14

16

18

20

22

24

time [hours]
Time
[hours]

Fig. 4.
Total power improvement over baseline operation: Limit of
Performance

11

44

10.5

Leaving Chilled Water Set Point

Condenser Water Set Point

42

]
C
[
t
ni
o
p
t
e
s
r
et
a
w
r
e
s
n
e
d
n
o
C

]
C[
t
ni
o
pt
e
s
r
et
a
w
d
ell
i
h
c

40

38

36

34

32

30

Wet-bulb

10

9.5

10

15

time [hours]

20

25

3-chillers on

8.5

7.5

6.5

28

among those chillers can be seen as a dynamic resource

allocation problem. Consider a large commercial facility with
15 chillers with different capacities and efficiency curves,
leading to 215 combinations. For each discrete combination,
there is an optimal selection of its continuous operational
variables, including chilled water flow and temperature setpoints, that distribute a given thermal load optimally among
the participating chillers. This becomes a nonlinear mixed
integer optimization problem with potentially multiple solutions. Since, it is desirable to minimize the number of
switches, it is important to identify solution clusters which
remain close as the building loads vary.

10

15

20

time [hours]

Fig. 5. Condenser water and chilled water supply setpoints corresponding

to the simulation in Figure 4.

C. Resource Allocation: Chiller Sequencing Control

Chilled water plants typically include multiple chillers
and towers. This permits staging equipment to meet the
changing loads. The term sequencing refers to activating or
deactivating chiller or tower units in a chiller water system.
Hence, it is beneficial to select the optimal combination of
available chillers, fans, towers and pumps that maximize the
operating system efficiency. The main requirement from a
practical standpoint is avoid excessive number of switches
(activation/deactivation) in order to eliminate chiller start-up,
shutdown times and increase equipment life.
A common strategy for sequencing chillers is typically
accomplished by the capacity method in which additional
chillers are activated when the operating units have insufficient capacity to meet the current load, and chillers are
deactivated when the current load can be met with one fewer
machines operating [41], [6].
Given a bank of chillers, choosing the optimal combination of chillers and optimal distribution of cooling load

In this section, we consider the problem of optimizing

condenser water temperature (tower-supply temperature) using dither-based extremum-seeking control [3]. As discussed
in Section IV-B, for a given selection of towers and chillers
there is an optimum condenser supply temperature that
minimizes the sum total of chiller and cooling tower power
consumption. The total power consumption as a function of
thermal load and condenser water is shown as a surface plot
in Figure 9. The analysis presented at the end of Section IV-B
(Figures 4 and 5) relies on empirical knowledge of chiller and
tower performance curves. In this section, we do not assume
the knowledge of these empirical models and consider instantaneous total power measurement and condenser supply
temperature as the only measured variables. In absence of
models of towers and chiller, the approximate convexity of
the problem (Figure 9) can used to apply extremum seeking
methods.
The structure of an extremum seeking control is shown
in Figure 6. The output signal y, which in our case is
the total power, is minimized when the set-point parameter
= , being the condenser water supply temperature.
The condenser water set-point is superimposed with a
small dither signal a sin(t) of chosen frequency and
amplitude a. The output y is then passed through an high
pass filter s/(s + h) that passes the dither frequency content.
The output of the high pass filter is multiplied with phaseshifted by sin(t ) to generate the gradient direction
for condenser water setpoint update. Integrating along this
direction drives towards . It is important to note that the
dither frequency has to lie in the pass-band of the filter,
that is > h. In addition, the parameter has to be chosen
according to the phase-lag of the system at and other time
delays in system dynamics. For more details about extremum
seeking theory, please refer to [3].
For simulation purposes, consider midday ambient conditions shown in Figure 7. Figure 8 shows the block diagram representation of the closed-loop. The parameters for
extremum seeking control are chosen to be: dither amplitude
a = 0.5K, frequency = 0.0024Hz (7 minutes), h =
0.001Hz (15 minutes) and = 120o .
Figure 9 shows the evolution of the total power (red solid
trajectory) for varying ambient conditions with respect to

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the total power as a function of thermal load and condenser

water temperature set-point (surface plot). It is seen that
the extremum seeking controller updates the tower set-point
(Figure 10) in order to maintain minimum power consumption. Figure 11 compares the total power consumption using
the extremum seeking controller with a commonly adopted
control strategy that maintains condenser water at a constant
4o difference above ambient wet-bulb temperature, showing
10% improvement on an average.

Wetbulb Temp 300K, number of chillers = 3

Total Power [KW]

5000
4500
4000
3500
3000
100
2500

95

Plant
Input Dynamics

Tower
Return
Temperature
Set Point

Convex
nonlinearity

Fi (s )

316

Output Dynamics

Fo (s )

312

310

90

308

Tower Set Point [K]306

POWER

304

al

r
he

302

Fig. 9. Extremum seeking control: trajectory evolution with varying thermal

load.

s
sh

314

d
oa

[%

e  jI

a sin(Zt )

Fig. 6.

Condenser Water Setpoint [K]

Controller

Extremum seeking control algorithm

307

MidDay Conditions [K]

306

Ambient Temp

7.5

7
temperature above
wetbulb temperature

6.5

5.5

305
4.5

10

12

14

16

18

20

time [h]

304

Wetbulb Temp

Fig. 10.

303

Extremum seeking control output: condenser water set-point

4500

302

Constant Tower
Setpoint
301

10

12

14

16

18

20

4000

Fig. 7.

Total Power [kW]

time [h]

Mid-day conditions: three chillers running

Tower
Control

T
Chillers

Fan
speed

Tower
power

Cooling
Towers

Condenser
heat

3000
With extremum
seeking control

Total
Power

2500

Chiller
power
Building
Load

3500

T: condenser water set-point,

T: Tower supply temperature

10

12

14

16

18

20

time [h]

Fig. 11.
Total Power Consumption: comparison of extremum seeking
control set-point and a strategy that maintains condenser water at a constant
o
4 difference above ambient wet-bulb

Extremum
Seeking
Controller

VI. ACKNOWLEDGMENTS
Fig. 8.

ESC algorithm with chilled water plant

The authors gratefully acknowledge the support of National Institute of Standards and Technologys Advanced

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Technology Program and United Technologies Corporation.

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