3

Vol. 2, No. 1 HVAC&R Research January 1996

INTRODUCTION
Automated fault detection and diagnostics (FDD) can improve reliability, reduce operating costs, and
increase equipment safety in many applications. Most of the previous research and development of FDD
techniques has focused on critical processes, such as aircraft engines (Onken and Stuckenberg 1979, Patton
et al. 1987), nuclear power plants (Kitamura 1980), and the space shuttle main engine (Cikanek 1986,
Duyar and Merill 1992). However, the costs of applying FDD techniques are diminishing with reduced
hardware and software costs, and FDD techniques are beginning to be applied to heating, ventilating, air
conditioning, and refrigeration (HVAC&R) applications.
Many authors (Willsky 1976, Isermann 1984, Frank 1987, Basseville 1988, Gertler 1988, Frank 1990)
have offered excellent review papers on fault detection and diagnostic techniques. Isermann (1984) pre-
sents the application of FDD techniques as a series of four steps termed process supervision; these are
illustrated in Figure 1. The first step is fault detection, in which a fault is indicated when the performance of
a monitored system has deviated from expectation. The second step, diagnosis, determines which malfunc-
tioning component is causing the fault. Following diagnosis, fault evaluation assesses the impact of the
fault on system performance. Finally, a decision is made on how to react to the fault. This is usually a
choice between tolerating the fault, repairing it as soon as possible, adapting the control, and stopping oper-
ation until repair is complete.
Several papers published within the last ten years describe the development and evaluation of techniques
for fault detection and the diagnostic steps of process supervision for HVAC&R systems. In particular,
FDD techniques have been studied for building envelopes (Usoro and Schick 1985, Norford et al. 1987,
Minimizing Operating Costs of
Vapor Compression Equipment with
Optimal Service Scheduling
Todd M. Rossi
Student Member ASHRAE
James E. Braun, Ph.D., P.E.
Member ASHRAE
Todd Rossi was a PhD. student in the School of Mechanical Engineering, Purdue University, West Lafayette, IN, until returning to Field
Diagnostic Services Inc., Ivyland, PA. James E. Braun is a professor in the School of Mechanical Engineering, Purdue University,
Dynamic programming was used to obtain optimal service schedules and costs for cleaning the condensers
and evaporators of air-conditioning equipment. Results were obtained for a range of service and energy
costs, characteristic fouling times, and equipment sizes for a single building and location. Minimum oper-
ating costs were compared with regular service intervals (representative of current practice) and a strategy
where service is only performed when a constraint is violated (e.g., a comfort violation). It was found that
optimal service scheduling reduced lifetime operating costs by as much as a factor of two over regular ser-
vice intervals, and by 50% when compared to constrained only service. For practical implementation, a sim-
ple near-optimal algorithm for estimating optimal service scheduling was developed that does not require
on-line forecasting or numerical optimization and is easily implemented within a micro-controller. Over the
wide range of cases tested, the near-optimal algorithm gave operating costs that were within 1% of optimal.
This technique could also be applied to other systems where performance degradations are important such
as large chillers and power plants.
Table of Contents
4 HVAC&R RESEARCH
Anderson et al. 1989, Culp et al. 1990, Pape et al. 1991, Georgescu et al. 1993a), air handling units
(Usoro Schick and Negahdaripour. 1985, Norford and Little 1993, Georgescu et al. 1993b), refrigerators
(McKellar 1987, Wagner and Shoureshi 1992a, 1992b), and other vapor compression equipment (Kaler
1988, Culp 1989, Yoshimura and Noboru 1989, Kaler 1990, Kumamaru et al. 1991, Hiroshi et al. 1992).
No literature related to fault evaluation for HVAC&R systems appears to be available. Fault evaluation
is particularly important when the performance of a component is degrading slowly over time, such as
occurs for heat exchanger fouling. In this case, it is possible to detect a fault well before it is severe enough
to justify the service expense. In contrast, abrupt failures such as broken belts would not require the evalu-
ation step when it is obvious that the fault should be repaired (e.g., the system no longer maintains com-
fort).
In principle, fault evaluation could be achieved by minimizing lifetime operating costs. An optimal service
scheduler would purchase service when it contributes to reducing overall costs. Important costs to consider
are: maintenance, energy, equipment down time (i.e., the cost of not maintaining comfort or refrigeration set
point), premature component wear (avoidable service costs), and liability costs associated with injury to peo-
ple, damaged facilities, or pollution of the environment. With the exception of maintenance and energy, the
other costs are difficult to quantify. The optimization problem could be simplified by assuming that the com-
fort, premature wear, and liability costs are much larger than the service cost to repair them. This is equivalent
to assigning an infinite economic penalty for these conditions (i.e., treating them as constraints) and minimiz-
ing the combined costs of energy and service. With these considerations in mind, the following four fault
evaluation criteria are proposed for HVAC&R systems:
1. Economic criteria. Service is required when it contributes to the reduction of the combined costs of
energy and service over the lifetime of the unit.
2. Comfort or refrigeration set point criteria. Service is required when the equipment is not capable of
maintaining building comfort (air-conditioning applications) or a refrigeration set point (refrigeration
applications).
3. Safety criteria. Service is required when the operating state of the equipment could lead to damage or
injury (e.g., liquid entering a compressor or head pressure above the tube burst pressure).
4. Environmental criteria. Service is required when the equipment is polluting the environment. This cri-
teria is included for refrigerant leaks.
Figure 1. Supervision of HVAC&R equipment.
VOLUME 2, NUMBER 1, JANUARY 1996 5
This paper presents results associated with maintenance scheduling that were determined using the fault
evaluation criteria described above. The goals of the research were to evaluate the maximum cost savings
associated with using optimal service scheduling for the cleaning of heat exchangers in air-conditioning
equipment and to develop a more practical, near-optimal scheduling technique. In order to evaluate the
maximum savings potential, the simulated lifetime costs for service and energy associated with optimal
maintenance scheduling were compared with results for regular service intervals and service dictated by
the constraints only. Service at regular time intervals (e.g., 1 year) is characteristic of todays practice. Pre-
sumably, fixed service intervals are chosen based upon consideration of both energy and service costs. On
the other hand, constrained only service represents a limiting case where the economic criteria for service,
as described above, is ignored. The next three sections describe the development and application of the
optimal, regular, constrained only, and near-optimal maintenance schedulers followed by a description of
the system simulation and results of the comparisons.
OPTIMAL MAINTENANCE SCHEDULER
Neglecting inflation, the average annual cost of energy and service for vapor compression equipment
can be expressed as
(1)
where T
l
is the equipment lifetime, N
y
is the number hours per year, C
e
is the constant cost of one kWh of
energy, C
s
is the constant cost of service to repair the fault, is the set of service times,
N is the number of service tasks performed during the equipment lifetime, is the Dirac delta function,
P is the instantaneous power consumption of the equipment, represents the natural driving functions
controlling power consumption including ambient and load conditions, and f (t) is the state of the degrading
equipment components (e.g., fouling heat exchangers and leaking compressor valves).
The integral can be divided into a sum of integrals over the periods between service tasks to give
(2)
where t
N + 1
= t
1
+ T
l
N
y
.
In the following development, the cost function of Equation (2) is modified to simplify the numerical
solution for the optimal maintenance schedule. First of all, the cost function is divided by C
e
to get a cost
function that gives the same optimal solution, but only depends upon the ratio of service to energy costs
(C
s
/C
e
).
(3)
The optimization problem is simplified by limiting the available opportunities to perform service at peri-
odic instances of time (e.g., monthly), thereby restricting the size of the solution space. With this assump-
tion, the integral portion of the cost function can only take a limited number of values that can be tabulated
to eliminate repetitive calculations during the solution of the optimization problem. Each entry in the table
is expressed as
(4)
where n
s
is the maximum number of potential service tasks that can be performed per year (e.g., n
s
= 12
J
0
1
T
l
---- C
e
P[x t ( ) f t ( )] C
s
t t
i
( )
i 1 =
N

+ , t d
t
1
t
1
T
l
N
y
+

=
t t
1
t
2
... t
N
, , , { } =
()
x t ( )
J
0
1
T
l
---- C
e
P[x t ( ) f t ( )] t d NC
s
+ ,
t
i
t
i
1
+

i 1 =
N

=
J
1
J
0
C
e
------
1
T
l
---- P[x t ( ) f t ( )] t d N
C
s
C
e
------ + ,
t
i
t
i
1
+

i 1 =
N

= =
K

i 1 +

i

P[x t ( ) f t ( )] t d ,
t
i
t
i 1 +

P[x t ( ) f t ( )] t d ,

i
n
s

i 1 +
n
s

= =

6 HVAC&R RESEARCH
services/year for monthly service opportunities) and
i
is the number of the time stage (each of duration t
= 1/n
s
= minimum service interval) when the i
th
service task is performed. The subscript for K is the time
stage number when equipment operation begins after a service task and the superscript is the number of
time stages the unit runs before service is needed again. The simplified cost function is
(5)
In order to eliminate the need to integrate out to potentially long and unknown equipment lifetimes, it is
assumed that the service schedule eventually settles into a cycle with a period of n
c
time stages (e.g., n
c
=
36 for a 3.0 year cycle with n
s
= 12 services/year). For a cycle to occur, the driving conditions for the cool-
ing equipment (e.g., weather patterns, occupancy schedule, etc.) must be periodic. The length of the service
cycle is T
c
= n
c
/n
s
and the total number of services in one service cycle is defined as N
c
. In order to mini-
mize the average operating cost, it is only necessary to integrate over one period of the cycle. This bounds
the size of the table to n
c
2
elements (K
l
k
:1 k n
c
, 1 l n
c
). The service schedule for one cycle is defined
by and can also be represented by
1
(time stage of the first service task in the
schedule) and the set of the number of time stages between service tasks ,
where and . The average cost for the service cycle can then be
expressed as
(6)
The analysis can be further simplified by assuming that the longest period for the natural driving condi-
tions is one year. In this study, typical meteorological year (TMY) (Hall et al. 1978) weather data
were used in the simulations and the typical year's weather pattern reoccurred each year. With this simplifi-
cation, the table only requires n
s
n
c
elements (K
l
k
:1 l n
s
, 1 k n
c
) and the duration of the service cycle
T
c
is an integer multiple of one year.
Given a model for determining (needed to calculate K
l
k
:1 l n
s
, 1 k n
c
), the cost ratio
C
s
/C
e
, and the minimum service interval t, the optimization problem can be defined as minimizing J
1
with respect to {T
c
, N
c
,
1
} and the number of time stages between service tasks . This is an N
c
+ 2
dimensional optimization problem. The minimum service interval t can be the minimum reaction time of
the service organization or a sufficiently small quantity such that the minimum cost no longer depends on
its value. In the latter case, t would be decreased until the minimum cost became insensitive to t. For the
cleaning of heat exchangers, a minimum service interval of 1 month is a realistic and sufficiently accurate
interval for scheduling service that was used in this study.
The optimal maintenance scheduler minimizes the lifetime costs of energy and service while maintain-
ing comfort, safety, and environmental protection as constraints. These constraints are maintained by add-
ing artificially high costs to the tabulated energy usage K
l
k
for operating conditions that would result in
constraint violations.
The numerical solution to the optimization problem is accomplished using a combination of two numerical
techniques. Given values of , the optimal set of time stages between service tasks
is determined using dynamic programming (Bellman 1957). An outer loop,
containing the dynamic programming solution, is then used to find the optimal values of the other three quan-
tities: .
Dynamic Programming
The use of dynamic programming for solving an optimal equipment replacement problem is discussed in
Jardine (1973, section 4.4). Dynamic programming determines a global minimum in an efficient manner
for this type of problem by taking advantage of the fact that the number of possible solutions is restricted
by the sequential nature of the decision process. Rao (1984) offers a good description of dynamic program-
ming.
J
1
1
T
l
---- K

i 1 +

i

i 1 =
N

N
C
s
C
e
------ + =

c

1

2
...
N
c
, , , { } =

1

2

N
c
1
, , , { } =

i

i 1 +

i
=
N
c
n
c

i
i 1 =
N
c
1

=
J
1
1
T
c
----- K

i
i 1 =
N

N
c
C
s
C
e
------ +



=
x t ( ) [ ]
P x t ( ) f t ( ) [ , ]

T
c
N
c

1
, , { }

1
*

2
*

N
c
1
*
, , , { } =
T
c
*
N
c
*

1
*
, , { }
VOLUME 2, NUMBER 1, JANUARY 1996 7
Figure 2 is a black box diagram illustrating the sequence of decisions required to solve for the optimum
placement of N
c
service tasks among n
c
time stages, starting at time stage
1
. There are N
c
1 decisions
that have to be made and each one is referred to as a decision stage. The state information passed between
decision stages is the time stage that service was last performed (
i
, for the i
th
stage). The decision variable
is the number of time stages to wait until the next service (
i
, for the i
th
stage). The cost of each decision
stage (c
i
), except the last, is the energy used while running the unit for
i
time stages starting at
i
plus the
service cost divided by the energy cost. The cost of the last decision stage also includes the
energy consumed while running the unit back to the first decision stage plus the cost of the first service task
normalized by the energy cost. Finally, the output of each stage is the time of the last service plus the run
time for that decision stage (
i+1
=
i
+
i
). The sum of the costs of the decision stages is given by
(7)
Dynamic programming is appropriate for this optimization problem because the performance of the
vapor compression equipment does not depend on the chain of events that led to the most recent servicing.
Figure 2 illustrates this point in that the decision to do service only requires knowledge of the time of the
previous service task (represented by the state variable passed between decision stages). This property of
the optimal servicing problem guarantees an optimal solution without the need for testing all possible ser-
vice schedules.
Figure 3 illustrates an example dynamic programming problem for optimal maintenance scheduling.
The abscissa contains the decisions stages and the ordinate contains the time stages when service can be
done. In this example, there are n
c
= 12 time stages in a T
c
= 1 year service cycle (i.e., service opportunities
are at monthly intervals and the cycle repeats each year). There are N
c
= 4 service tasks to place and the
time stage of the first task is specified as
1
= 3. The open circles indicate the available opportunities for
doing service at each decision stage. Not all values are allowed for each stage because
i+1
is restricted by
definition to follow
i
. This reduces the number of possible decisions to test, thereby reducing computation
time. In general, the number of available time stages at each decision stage is n
c
N
c
+ 1.
The example problem of Figure 3 is solved by starting at decision stage 1 and progressing backwards
one decision at a time until decision stage 1 is reached again and the cycle repeats itself. Beginning at deci-
sion stage 1 (where service is performed at time stage 3), the costs of getting there from all nine allowed
time stages in decision stage 4 are computed and stored. Next, all possible time stages in decision stage 3
are considered. For each of these nine time stages, the costs of moving to each possible time stage in deci-
sion stage 4 are computed. Then, the minimum costs-to-go from each of the nine time stages at decision
stage 3 to decision stage 1 are computed and stored with the associated path. This process is repeated until
decision stage 1 is reached.
C
N
c
1 ( )
J
2
T
c
J
1
K

i
i 1 =
N
c

N
c
C
s
C
e
------ + C
i
i 1 =
N
c
1

= = =
Figure 2. Dynamic programming places N
c
1 service tasks to minimize J
1
8 HVAC&R RESEARCH
At each decision stage, a catalog of the minimum cost-to-go and the corresponding optimal trajectory to
the end of the cycle is generated. The path associated with the filled circles connected by arrows in Figure
3 is the optimal trajectory for this example. In mathematical terms, the solution to the i
th
decision stage is
(8)
where . The operator (min) refers to a one-dimensional optimization with respect to
i
(the num-
ber of time stages to wait before doing service again), while is the minimum cost-to-go at the i
th
deci-
sion stage. The process begins at the last stage (i = N
c
1) and continues recursively until the first stage (i
= 1).
Outer Loop Optimization
The minimization of J
1
with respect to its N
c
+ 2 independent variables is done using four nested optimi-
zation loops. The innermost loop solves the dynamic programming problem. The next loop solves for
using the golden section method (Rao 1984) and the outermost loops exhaustively search values of T
c
and
1
. An exhaustive search is used for determining T
c
and
1
because J
1
is not guaranteed to be unimodal
with respect to changes in these variables. The following are tested: all n
s
possible values of
1
(e.g., 12 for
a one month minimum service interval) and all values of T
c
up to a practical limit (e.g., 12 years) that pro-
vide unique solutions. It is not necessary to evaluate all values of T
c
in order to test all service cycles. For
example, a 12-year service cycle contains 1, 2, 3, 4, and 6 year cycles. Therefore, all cycles up to 12 years
can be tested by considering T
c
= 7, 8, 9, 10, 11, and 12 years. A non-exhaustive search can be used for N
c
because the dependence of J
1
on N
c
is unimodal for T
c
and
1
fixed and all the service tasks optimally
placed. Values of N
c
greater than optimal will have increasingly higher cost due to excessive service and N
c
less than optimal will have increasingly higher cost due to excessive energy consumption.
Regular and Constrained Service Schedules
With regular maintenance scheduling, preventive maintenance (coil cleaning or filter changing) is per-
formed at regular time intervals (e.g., annually, quarterly, or monthly). When the chosen interval is not suf-
ficient to maintain the constraints on comfort and safety, then the costs associated with the schedule are set
artificially high. The constrained service scheduler only performs service when a comfort or equipment
safety constraint is violated. Constrained service is simpler to implement than optimal scheduling and
could be considered as a viable alternative to regular service scheduling.
Figure 3. Optimal trajectory through domain for an example problem
g
i
*

i
( ) min

i
c
i

i

i
( , ) g
i 1 +
*

i

i
+ ( ) + [ ] = for 1 i N
c
1
g
N
c
*
0 =
g
i
*
N
c
*
VOLUME 2, NUMBER 1, JANUARY 1996 9
Costs are compared by contrasting total annual costs for the different maintenance schedulers. All
schedulers use the tabulated values of K
l
k
, but manipulate the values of the N
c
+ 2 service variables differ-
ently. In the case of regular service, the times for service are prescribed by the schedule. Service is per-
formed just before the cooling season begins in the once per season schedule and an additional service is
added in the middle of the cooling season in the twice per season service schedule. For constrained service,
the schedule begins service on January 1 of the first year. Service is performed as needed for as many years
as required to achieve a natural service cycle. A cycle occurs when service is performed at the same time
segment in different years.
Simplified Near-Optimal Service Schedule
The simplified near-optimal scheduler captures the important features of the optimal scheduler with sig-
nificantly reduced computational requirements and without the need for weather and load forecasters. The
derivation of the simplified scheduler begins with the complete cost function given by Equation (3).
Equation (3) can be approximated by fixing the time between service tasks, and assuming that the cost is
only a function of the runtime since the last service
(9)
where T
l
= Nt
0
, t
r
is the accumulated runtime since the last service, and t
o
is the equipment runtime
between service tasks. The use of equipment runtime instead of clock time implies that the state of fouling
is only a function of runtime after cleaning. However, the driving conditions depend explicitly on the
clock time.
If J
1
were independent of and f always had the same time dependence after service, then the
assumption of a fixed service interval would be exact (i.e., J
3
= J
1
). However, since J
1
depends on seasonal
changes in , then the assumption of a fixed service interval improves when seasonal effects are
reduced by subtracting the cost associated with no performance degradations. With this in mind, a new cost
function is defined as
(10)
where f
*
is defined as the value of f immediately after service. This cost function differs from J
3
by the
baseline energy consumption of the unit during the time between service tasks with no fouling
. The integral portion of Equation (10) is the extra energy consumed in one service
period due to degrading component performance and C
s
/C
e
is the amount of energy that could be pur-
chased with the cost of one service task.
The service interval determined by minimizing J
4
is used as an approximation to the optimal solution
that minimizes J
0
. This approximation is less accurate when changes appreciably from one service
cycle to the next. In general, performance is good when t
0
1 year, because each service cycle experiences
similar weather conditions. It will be shown later that subtracting the power consumption with no fouling
also provides a mechanism for considering multiple simultaneous faults.
The cost function J
4
can be minimized by determining where its derivative with respect to time is zero,
providing the following solution:
(11)
where
J
3
N
T
l
---- P[x t ( ) f t
r
( )] t
r
d
C
s
C
e
------ + ,
0
t
0

1
t
o
---- P[x t ( ) f t
r
( )] t
r
d
C
s
C
e
------ + ,
0
t
0

= =
x t ( )
x t ( )
x t ( )
J
4
1
t
0
---- P[x t ( ) f t
r
( )] t
r
d P x t ( ) f
*
, [ ] , { } t
r
d
C
s
C
e
------ +
0
t
0

=
1
t
0
---- P[x t ( ) f
*
] t
r
d ,
0
t
0

x t ( )
h t
r
( ) t
r
d
0
t
0

C
s
C
e
------ + t
0
h t
0
( ) =
10 HVAC&R RESEARCH
(12)
is the extra power required to provide the necessary cooling due to the performance degradation. The solu-
tion of Equation (11) for t
o
is guaranteed to be a minimum when h(t
r
) is an increasing function. In order to
filter diurnal fluctuations in h(t
r
), a low pass filter for h(t
r
) is used.
(13)
The time constant RC should be much longer than one day and much shorter than the time between ser-
vice tasks. For the simulation results in this paper, RC was set to 200 hours. Substituting into Equa-
tion (11) results in a classification rule used to evaluate the need for service
(14)
where
1
is the class do service and
2
is the class no service. The runtime between service tasks t
0
is
determined with Equation (14) as the time when the left hand side makes a transition from a positive to a
negative quantity. The evaluation of this rule is based on information acquired since the last service only
and requires no forecasting.
The following is a step-by-step procedure for using the simplified scheduler.
1. Identify the cost of energy and the cost of performing the service task to repair the performance degra-
dation fault that is reducing efficiency.
2. Learn a model that tracks the expected power consumption with no performance degradation as a func-
tion of the measured driving conditions .
3. Initialize three accumulator variables to zero. Integrated variables are ,
and the accumulated runtime (t
r
).
4. Measure power consumption, driving conditions (e.g., ambient temperature), constraints (e.g., room
temperature), and runtime for the current time step (t
r
).
5. Update the accumulators using the following equations:
where T is the threshold value used to decide whether service is required or not and RC is the time con-
stant for the low pass filter designed to average over diurnal variations in h(t
r
).
6. Compare T with 0 and evaluate the constraints. If T < 0 or a constraint is violated, then perform the ser-
vice task and reset the three accumulator variables.
7. Wait until the next time step and then return to step 4.
h t
r
( ) P x t ( ) f [ , ] P x t ( ) f
*

[ , ] =
h t
r
( )
h t ( ) h t ( )
RC
----------------------------- t d
0
t
r

=
h t
r
( )
C
s
C
e
------ h t
r
( ) t
r
d t
0
h t
0
( )

1
<
>

2
0.
0
t
0

+
P x t ( ) f
*
, [ ] ( )
H t
r
( ) = h t
r
( ) t d
r
h t
r
( ) ,
0
t

h t
r
( ) P x t ( ) f [ , ] P x t ( ) f
*
[ , ] =
h t
r
( ) h t
r
t
r
( )
h t
r
( ) h t
r
t
r
( )
RC
-------------------------------------------t
r
+ =
H t
r
( ) H t
r
t
r
( ) h t
r
( ) t
r
+ =
t
r
t
r
t
r
+ =
T
C
s
C
e
------ H t
r
( ) t
r
h t
r
( ) + =
VOLUME 2, NUMBER 1, JANUARY 1996 11
The procedure described in this section considers only one fault. However, a single fault could actu-
ally be a collection of faults that are always serviced together (e.g., condenser fouling and filter changing).
With this assumption, only one decision is necessary at any time: whether to perform service or not. In
order to consider multiple faults with different service times, it would be necessary to evaluate the impact
of each combination of service tasks on the overall costs. It is possible to extend the simplified service
scheduler for this case.
Consider the case where two performance degradations are developing at the same time. Define f
1
and f
2
as the fault states for the first and second degrading components, respectively, (e.g., evaporator and con-
denser fouling). The degradation states are indicators of the severity of each fault being considered. Each
state tracks the evolution of only one fault to provide a means of determining the contribution of each fault
to the overall degradation in performance. A degradation state is a general term that may be a single mea-
surement or an estimate from many measurements. For example, the air pressure drop across a heat
exchanger of filter is commonly used in buildings as an indicator of fouling. Another possibility is an esti-
mate of the overall thermal conductance of a heat exchanger from many temperature and other measure-
ments.
Three rules must be evaluated, along with the comfort constraint, to determine when to do service. They
are given by
(15)
for i = 1, 2, and 3. C
s1
is the cost of servicing component 1 only and
(16)
C
s2
is the cost of servicing component 2 only and
(17)
Finally, C
s3
is the cost of servicing components 1 and 2 together and
(18)
In many cases, it may be possible to service both performance degradations at the same time for less
money than both separately. Service is done when any of these rules fire. The results presented in this paper
are only for a single fault developing at one time (evaporator or condenser fouling). More work would be
necessary to determine approximate measures that characterize degradation states in order to implement
the procedure for multiple faults with different service times.
System Modeling
Simulations were used to demonstrate the potential for optimal service scheduling and to evaluate the
performance of the simplified near-optimal service scheduler. This section describes the models and the
conditions considered.
Building Model
Building cooling requirements were determined using a TRNSYS simulation (Klein et al. 1990) of a
three-zone office building in Nashville, TN, USA. The simulation model is a detailed representation of a
building (TYPE 56 within TRNSYS) that considers coupling to the ambient (temperature and humidity),
C
si
C
e
------- h
i
t
r
( ) t
r
d t
0
h
i
t
0
( )

1
<
>

2
0
0
t
0

+
h
1
t
r
( ) P x t ( ) f
1
f
2
, , [ ] P x t ( ) f
1
*
f
2
, , [ ] =
h
2
t
r
( ) P x t ( ) f
1
f
2
, , [ ] P x t ( ) f
1
f
2
*
, , [ ] =
h
3
t
r
( ) P x t ( ) f
1
f
2
, , [ ] P x t ( ) f
1
*
f
2
*
, , [ ] =
12 HVAC&R RESEARCH
internal and solar gains, internal radiation and convective exchange, building mass, day and night occu-
pancy schedules, and night setup control. The simulation model generated cooling requirements for every
hour of a typical year using typical meteorological year (TMY) weather data (Hall et al. 1978), Figure 4
shows the average daily cooling load for the entire year and the hourly cooling load for a one-week period
surrounding the peak cooling load day (a peak of 10 tons for this building). The dashed lines enclose the
cooling season during which the evaporator fans ran continuously during occupied periods for ventilation.
The use of the building model was simplified by decoupling the building from the air-conditioning unit.
TRNSYS provided the sensible and latent cooling required to maintain fixed temperature and humidity set
points for the building (24.4C (76F) and 60% RH). In the system simulations, the air-conditioning unit
was required to remove the total heat load whenever the sensible cooling requirement was greater than
zero.
Figure 4. Cooling load schedule for demonstration building
VOLUME 2, NUMBER 1, JANUARY 1996 13
Air-Conditioning Unit Model
The building was cooled by an air-to-air vapor compression air-conditioning system using on/off con-
trol. A detailed physical model was used to predict the performance of a commercial rooftop air-condition-
ing system (Rossi 1995). The model provided the power consumption and total cooling capacity as a
function of ambient temperature, evaporator filter fouling state, and condenser fouling state for return air
conditions of 24.4C (76F) and 60% relative humidity. In this study, the design cooling capacity was
scaled using a parameter PLF
max
, defined as the ratio of the maximum building cooling load 35 kW (10
tons) to the design cooling capacity. For simplicity, fouling was modeled only as an obstruction to air flow
across the coils. The state of fouling is defined as the difference between the maximum and actual air mass
flow rates divided by the maximum mass flow rates (0 = no fouling and 1 = completely obstructed flow)
The symbols f
ea
and f
ca
are the fouling states of the evaporator and condenser coils, respectively, G
ea
and G
ca
are the air mass fluxes through each coil, and and are the maximum values (unob-
structed flow) of the respective air flow rates. For this demonstration system, = 2.85 kg/(sm
2
) and
= 4.80 kg/(sm
2
), which correspond to volume flow rates of 0.57 m
3
/s (1200 cfm) and 1.65 m
3
/s
(3500 cfm).
A simulation was run over a uniformly spaced three-dimensional grid of ambient temperatures (10C <
T
amb
< 35C), outside air mass fluxes [0 < G
ca
< 4.80 kg/(sm
2
)], and inside air mass fluxes [0 < G
ea
< 2.85
kg/(sm
2
)] and results for power consumption and total capacity were tabulated. The lookup table was used
by the service scheduling program to determine the amount of energy used to support the prescribed cool-
ing load under the specified conditions and fouling states and to provide an upper limit on the cooling
capacity in order to evaluate the comfort constraint.
Figure 5 shows examples predicting total capacity and power consumption as a function of evaporator
and condenser air flow rates for a nominal 10 kW (3 ton) unit. When the evaporator air flow rate decreases,
capacity begins to fall immediately and power consumption follows. When condenser air flow rate
decreases, capacity remains relatively constant because increases in head pressure have a relatively small
effect on evaporating conditions. However, the high head pressure does result in higher power consump-
tion. Eventually, capacity suffers at extremely low condenser air flow rates.
Fouling Model
For simplicity, fouling was modeled as a linear function of fan runtime since the last servicing (t
r
). It
increased from 0, after cleaning, to 1 in a characteristic time t
f
.
(19)
The condenser fans ran only when the compressor was on and the evaporator fans ran continuously during
occupied periods (12 hours/day) in the cooling season.
Constraints
Three of the four criteria that were defined for fault evaluation are constraints: comfort, safety, and envi-
ronmental. Heat exchanger fouling can impact both comfort and equipment safety through its effect on the
operating states of the air conditioner. The comfort constraint was handled by requiring the cooling capac-
ity of the air conditioner to be greater than or equal to the cooling requirement at each hour of the simula-
tion. The only safety constraints considered were high and low limits on the refrigerant operating pressures.
f
ea
G
ea
max
G
ea

G
ea
max
---------------------------- =
f
ca
G
ca
max
G
ca

G
ca
max
---------------------------- =
G
ea
max
G
ca
max
G
ea
max
G
ca
max
f
t
r
t
f
--- for 0 t
r
< t
f

1 for t
r
t
f
>
=
14 HVAC&R RESEARCH
The vapor compression cycle was required to conform to high head pressure [<3050 kPa (425 psig)] and
low suction pressure [>275 kPa (25 psig)] safety constraints.
Simulation Results
Given a building, an air-conditioning unit, and a weather model, there are only two independent variables
on which the optimal service schedule depends: the cost ratio C
s
/C
e
and the fouling time t
f
. The first dem-
onstration results in this section provide the costs of the optimal, regular, constrained, and simplified service
schedules as a function of fouling time. Results are compared for evaporator and condenser fouling and for
two different capacity-to-load ratios. The second set of results explores the cost ratio and capacity-to-load
Figure 5. Performance map for rooftop air conditioner
VOLUME 2, NUMBER 1, JANUARY 1996 15
ratio dependence for fixed fouling time. The third set of results investigates the sensitivity of the simplified
service schedule to the type of fouling model.
It is more meaningful to present results as a function of calendar time required for fouling rather than
runtime. For this purpose, a normalized fouling time is defined as
(20)
where N
r
is the number of hours of fan operation that would occur each year if there were no fouling. For
evaporator fouling, is the actual number of years required for complete fouling because the evaporator
fan runs continuously during occupancy, independent of the fouling rate. For condenser fouling, only
approximates the actual number of years required for complete fouling because the compressor and con-
denser fan must operate longer as the condenser coil becomes fouled and the cooling capacity is reduced.
Cost Versus for Evaporator Fouling
Figures 6 and 7 compare the combined costs of energy and service for different service schedules versus
the fouling rate of the evaporator coil. The operating costs, plotted on the vertical axis, are normalized
using the base operating cost with no fouling. The base cost is the total annual energy cost, with no fouling
for cooling the building and has a constant value of $857 for all results given in this paper. The normalized
cost is the actual cost minus the base cost divided by the base cost and represents the fractional extra cost
due to reduced efficiency and increased service associated with the fouled heat exchangers. The horizontal
axis is the normalized characteristic fouling time of the heat exchanger .
The plots in Figures 6 and 7 were generated for representative service and energy costs of C
s
= $60 and
C
e
= 0.10 $/kWh. Figure 6 describes the main results, while Figure 7 enlarges a portion of the constrained
only solution with additional information for describing the unusual non-uniform nature of the curves. Fig-
ures 6(a) and 7(a) are for PLF
max
= 0.55 and Figures 6(b) and 7(b) are for PLF
max
= 0.80. PLF
max
(maxi-
mum part-load fraction) describes the size of the cooling equipment relative to the load, and is the ratio of
peak building load requirement [35 kW (10 tons) for this study] to the design cooling capacity.
As expected, Figure 6 demonstrates that the optimal solution always results in lower costs than the alter-
native service strategies. In both figures, the savings associated with optimal maintenance scheduling
increase with fouling time. For optimal scheduling, the additional costs due to fouling asymptotically
approach zero as the fouling time increases. In the limit, the fouling goes to zero and the optimal scheduler
reduces the service frequency to zero. In contrast, the extra cost of the regular service schedules approaches
the annual service cost as the fouling time increases. The additional cost for the constrained service sched-
ule also approaches zero as the fouling time increases, but at a slower rate than the optimal scheduler. For a
fouling time of 5 years in Figure 6(a), the minimum operating costs are about a third of those for twice/sea-
son service and about two-thirds of those for once/season and constrained service.
The results of Figure 6(b) are similar to those for Figures 6(a) except that the minimum operating costs
are not much lower than the costs for the constrained service scheduler. This behavior is not surprising
since evaporator fouling has a direct impact on capacity and there is less extra capacity to meet the load
when the heat exchanger fouls. In general, the constrained solution is nearly optimal when there is little
extra capacity and is less efficient when there is extra capacity and longer fouling times.
The regular maintenance schedulers always provide excessive service whenever the service interval is
short enough to ensure that comfort conditions are maintained. For the results of Figure 6, the twice/season
regular service scheduler maintains comfort for shorter fouling times than the once/season schedule at the
expense of higher service costs for longer fouling times.
The costs associated with the simplified, near-optimal scheduler are close to those for the optimal solu-
tion under all conditions. The average difference between the optimal and near-optimal schedules is less
than 0.2% for all results presented in Figure 6.
Figure 7 reproduces a portion of the costs of the constrained only schedules to help explain the irregular
features. Curves providing the corresponding service rates are also included and are referenced to the right
axes. The service rate is the average number of services per year computed over one service cycle. Dotted
t
f
*
t
f
N
r
----- =
t
f
*
t
f
*
t
f
*
t
f
*
16 HVAC&R RESEARCH
vertical lines indicate when the service rate changes. The primary causes of the irregular nature of the cost
curves are discontinuities due to sudden changes in service costs when the service rate changes followed by
changing energy costs as the fouling time changes for a constant service rate. Secondary causes of irregular
behavior in the cost curves are discrete changes in the month service is performed (with the same service
rate) and changes in the constraint violation that triggers the service. Both of these secondary features are
included in these figures. For example, when PLF
max
= 0.80 and the service rate equals one service every
three years, the total costs change when the service time changes from June (month 6) to September (month
9). For the case of PLF
max
= 0.55 and the service rates equal to one service every 1, 2, and 3 years, the
operating costs change rapidly when the service time changes from June to April because the constraint
violation switches from comfort to low suction pressure.
Figure 6. Additional annual operating costs versus for evaporator fouling t
f
*
(a) PLF
max
= 0.55
(b) PLF
max
= 0.80
VOLUME 2, NUMBER 1, JANUARY 1996 17
Cost Versus for Condenser Fouling
Figure 8 compares the combined costs of energy and service for different service schedules versus the
fouling rate of the condenser. The trends and savings associated with optimal maintenance scheduling are
similar to those reported for evaporator fouling. However, the scale of the vertical axis (extra cost) is larger
due to the higher cost for condenser cleaning ($100) as compared to evaporator fouling ($60) resulting in
larger absolute savings for optimal maintenance scheduling. In contrast to the results of Figure 6, the differ-
ences between the costs for the constrained only and optimal schedules do not depend strongly on PLF
max
.
Unlike evaporator fouling, condenser fouling does not have a severe impact on capacity. The cooling
capacity does affect the condenser fan runtime and therefore the rate of fouling. However, the results in
Figure 8 are presented as a function of fouling time relative to the fan runtime.
Figure 7. Portion of constrained only solution plotted in Figure 6
(a) PLF
max
= 0.55
(b) PLF
max
= 0.80
t
f
*
18 HVAC&R RESEARCH
Once again, the simplified, near-optimal scheduler gives operating costs that are within 0.2% of the opti-
mal solution. The constrained only service schedules have the same irregular features observed in the evap-
orator fouling service schedule.
Cost Versus C
s
and PLF
max
for Evaporator Fouling
Figure 9 shows the costs of the four service schedules as a function of service cost and PLF
max
for t
f
=
7830 runtime hours ( = 3.0 years). When C
s
was varied, PLF
max
was fixed at 0.55, and when PLF
max
was
varied, C
s
was fixed at $60. Figure 9(a) demonstrates that the costs associated with the regular and con-
strained schedules are linear functions of service cost, while the costs for the optimal schedule increase
more slowly as service costs increase. When the service cost is small, the regular and optimal schedules
converge because the cost of excessive servicing is small. As service costs increase, the cost penalties asso-
Figure 8. Additional annual operating costs versus for condenser fouling
(a) PLF
max
= 0.55
(b) PLF
max
= 0.80
t
f
*
VOLUME 2, NUMBER 1, JANUARY 1996 19
ciated with the excessive service of the regular schedules increase. In contrast, the constrained only sched-
ule does not provide enough service and its total cost is always greater than the optimal. The differences
become greater when the service costs are small and there is an incentive to service more often to reduce
energy costs.
Figure 9(b) shows that the costs of the optimal and regular service schedules are nearly independent of
PLF
max
for a fixed fouling rate. Since the fan runtime is fixed by the occupancy schedule, the coil fouls at
the same rate, regardless of the cooling capacity. In addition, the efficiency of the on/off controlled com-
pressor does not depend on its runtime. As a result, the same profile of cooling requirements will produce
the same optimal schedule, regardless of cooling capacity if service decisions are not based on constraints.
The constrained only schedule changes with PLF
max
because, as the capacity of the unit increases, it can
operate with more fouling and still maintain the comfort constraint. In this case, the energy costs increase
as the service rate decreases with additional cooling capacity.
Figure 9. Additional annual operating costs versus service cost (a)
and PLF
max
(b) for evaporator fouling
20 HVAC&R RESEARCH
The costs associated with the simplified, near-optimal scheduler are very close to the minimum costs
under all conditions considered in Figure 9.
Cost Versus C
s
and PLF
max
for Condenser Fouling
Figure 10 shows the costs of the five service schedules as a function of service cost and PLF
max
for con-
denser fouling with t
f
= 1230 runtime hours. The fouling time of t
f
= 1230 runtime hours corresponds =
2.75 years for PLF
max
= 0.55 and = 1.95 years for PLF
max
= 0.80. When C
s
was varied, PLF
max
was
fixed at 0.55 and when PLF
max
was varied, C
s
was fixed at $100. The results of Figure 10(a) are similar to
those of Figure 9(a). For low service costs, the optimal and regular schedules give similar costs since they
all provide enough service and there is a small penalty for over servicing. As service costs rise, the regular
schedules cost more because they are providing excessive service. In contrast, the constrained schedule
under services, thereby resulting in larger cost penalties at low service costs.
Unlike evaporator fouling, the costs of regular and optimal service schedules are not independent of
PLF
max
for a fixed fouling rate. When the equipment size becomes larger (smaller PLF
max
), the condenser
t
f
*
t
f
*
Figure 10. Additional annual operating costs versus service cost (a)
and PLF
max
(b) for condenser fouling
VOLUME 2, NUMBER 1, JANUARY 1996 21
fans run less and fouling occurs more slowly (clock time), thereby decreasing the costs for all the sched-
ules. The optimal schedule has the ability to reduce the service rate to less than once per year as the unit
size increases, causing the costs of the once/year and optimal schedules to separate for low PLF
max
.
Effect of the Fouling Model
For any point in time, an estimate of the optimal service time from the simplified service scheduler is
based on the assumption that the current dependence of fouling on runtime will not change in the future.
Under this assumption, the performance of this scheduler is extremely good, as demonstrated in Figures 6
through 10. This section investigates the effect of using a fouling model that changes with time. The alter-
native fouling model consists of replacing portions of the constant fouling rate with randomly placed
impulses while maintaining t
f
as the characteristic fouling time. The impulses model sudden unanticipated
accumulations of dirt on the heat exchangers.
A mathematical description of the fouling model is:
(21)
where
(22)
and is a set of uniformly distributed random runtimes in each cooling season when the
impulse fouling occurs, and t
c
is the calendar time required for the runtime to equal t
f
in the absence of
fouling. The two terms in the integrand are normalized such that complete fouling (f = 1) occurs approxi-
mately when the runtime accumulates to t
f
, independent of and n. The parameter indicates the fraction
of the fouling caused by impulses relative to a constant fouling rate. When = 1, the model is completely
comprised of a series of impulses, and when = 0, the model is completely linear. The parameter n is the
number of impulses per calendar year. The impulses are randomly placed throughout the year, but reoccur
at the same time each year.
Figure 11 shows the fouling state f as a function of runtime for a fouling time of t
f
= 7830 hours (num-
ber of evaporator runtime hours in three cooling seasons). The vertical lines separate the cooling seasons.
Figure 11(a) illustrates the dependence on n for = 0.8 and Figure 11(b) illustrates the dependence on
for n = 3. All fouling models attain complete fouling in the characteristic time t
f
. The more nonlinear mod-
els are characterized by near 1 and small n (e.g., n = 1). In this case, fouling occurs as a series of large
step changes. As n grows larger, the evolution of fouling approaches a linear model, regardless of .
Table 1 summarizes the costs for different fan control strategies and building capacity-to-load ratios for
both evaporator and condenser fouling. The costs are the percent additional costs relative to optimal main-
tenance scheduling (actual minus optimal cost over the optimal cost times 100) averaged over 11 values of
between 0 and 1 and 5 values of n between 1 and 5. The fan control strategies are call for cooling (CFC),
meaning that the fan operates only when the compressor is operating, and occupancy schedule (OCC),
meaning that the fan runs during occupied periods for ventilation. For the cases considered, the simplified
scheduler provided near-optimal operating costs. For evaporator fouling with PLF
max
= 0.80 (little extra
capacity), the constrained solution also provided performance comparable to the optimal schedule.
Table 1. Performance Comparisons Between Different Service Schedules
Fouling Type Control PLF
max
% Additional Cost Relative to Optimal
Simplified Once/Season Constrained Twice/Season
Condenser CFC 0.55 0.56 2.68 5.60 11.50
Condenser CFC 0.80 0.53 1.85 4.42 9.93
Evaporator OCC 0.55 0.46 2.11 3.74 7.88
Evaporator OCC 0.80 0.46 2.11 0.65 7.88
f t ( )
1
t
f
------------

n t
c

-----------w ( ) + d
0
t

=
w ( )
1
( )
2
( )
n
( ) + + + =

1

2
, ,
n
{ , } =
22 HVAC&R RESEARCH
Evaporator CFC 0.55 0.36 1.81 2.61 7.58
Evaporator CFC 0.80 0.80 1.21 0.21 6.63
Table 1. Performance Comparisons Between Different Service Schedules
Fouling Type Control PLF
max
% Additional Cost Relative to Optimal
Simplified Once/Season Constrained Twice/Season
Figure 11. Fouling state versus runtime hours
(a) = 0.8
(b) n = 3
VOLUME 2, NUMBER 1, JANUARY 1996 23
Conclusion
This paper demonstrated that there is a significant opportunity for cost savings associated with optimal
scheduling of condenser and evaporator maintenance. It was found that optimal service scheduling reduced
lifetime operating costs for a rooftop air conditioner by as much as a factor of two over regular service
intervals, and 50% when compared to constrained only service. For practical implementation, a simple
near-optimal algorithm was developed for estimating optimal service times. In contrast to the optimal solu-
tion, this approach does not require on-line forecasting or numerical optimization and is easily imple-
mented with a micro-controller. Over a wide range of cases tested, the near-optimal algorithm gave
operating costs that were within 1% of the optimal results.
This study was performed for a small rooftop air conditioner. Greater opportunities for cost savings may
be possible for larger equipment such as water chillers or electric power generating plants. These systems
also experience performance degradations, but have significantly higher service and energy costs. Future
work should extend the approaches described in this paper for determining optimal and near-optimal ser-
vice times to these other systems. Implementation of the near-optimal maintenance scheduler should also
be tested in the laboratory under controlled conditions.
Nomenclature
C
e
energy cost ($/kWh)
C
s
service cost ($)
G mass flux (kg/(sm
2
))
H(t
r
) (kWh)
J
0
cost function with fewest assumptions ($/year)
J
1
= J
0
/C
e
simplified cost function (kWh/year)
J
2
= J
i
T
c
dynamic programming cost function (kWh)
J
3
simplified cost function assuming the time between service tasks is fixed (kW)
J
4
simplified cost function subtracting out the expected power consumption with no fouling (kW)
K
l
k
energy consumed starting at time stage l after servicing and operating for k time stages (kWh)
N number of service tasks during equipment lifetime (dimensionless)
N
c
number of service tasks during service cycle (dimensionless)
N
r
hours of fan operation that would occur each year if there were no fouling (hours/year)
N
y
number of hours per year (hours/year)
P equipment power consumption rate (kW)
PLF
max
ratio of the maximum building cooling load to the equipment cooling capacity at design conditions
RC low pass filter time constant (h)
T threshold value that becomes negative to indicate when the simplified scheduler calls for service (kWh)
T
c
= n
c
/n
s
duration of service cycle (years)
T
l
equipment lifetime (years)
c
i
dynamic programming cost for the i
th
decision stage (kWh)
f fouling state (dimensionless)
f
*
fouling state immediately after service (dimensionless)
g
i
dynamic programming cost-to-go at the i
th
decision stage (kWh)
h(t ) extra power consumed because of fouling (kW)
(t ) h(t ) after low pass filter (kW)
n
c
number of service opportunities per cycle (dimensionless)
h t
r
( ) t
r
d
0
t

h
24 HVAC&R RESEARCH
n
s
= 1/tnumber of service opportunities per year (1/year)
t time (h)
set of N times service is done during equipment lifetime (h)
t
c
calendar time (h)
t
f
heat exchanger characteristic fouling time (h)
normalized characteristic fouling time for heat exchangers (years)
t
i
time of the i
th
service task (h)
t
r
accumulated runtime since last service (h)
t
0
runtime between service (h)
equipment driving conditions
x
0
ambient temperature (C)
x
1
return air temperature (C)
x
2
return air humidity ratio (kg/kg)
t = 1/n
s
minimum service interval (years)
t
r
runtime during each time step (h)
() dirac delta function (dimensionless)
number of time stages between service tasks (dimensionless)
dimensionless service schedule (dimensionless)

i
= t
i
/(tN
y
) time stage when the i
th
service is performed (dimensionless)
Subscripts and Superscripts
ca condenser air
ea evaporator air
max maximum value
min minimum value
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t t
1
t
2
t
N
, , , { } =
t
f
*
x t ( ) x
0
x
1
, x
2
{ , } =

1

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