8/8/2018 Control sequences for HVAC systems | Schneider Electric

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Learning objectives

1. Learn how to create a successful sequence of operation.

2. Recognize the importance of the sequence of operation as it relates to design, specification, and
construction.
3. Understand how the sequence of operation carries forward through commissioning and into the
long-term operation of the building.

The sequence of operation is one of the most important design aspects of any HVAC system.
Without a proper sequence, the system is left to operate wildly—or not at all. When approached
methodically, the process can be broken into smaller segments. We’ll look at the steps required to
create a successful sequence of operation using a single-zone variable air volume (VAV) air
handling unit serving a convention space. These same steps can be applied to any piece of
equipment.

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Some information must be gathered before the designer can begin actually creating the sequence1/9
Some information must be gathered before the designer can begin actually creating the sequence
8/8/2018 Control sequences for HVAC systems | Schneider Electric
of operation. This data gathering and brainstorming process can be broken down into the following
major steps:

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Step 1: Create a flow diagram of the system.Creating a flow diagram allows the designer to
identify the components of the system. These are the components that must be controlled to achieve
the desired operational results. The sequence can generally be written with a subsection for each of
the major air handling unit components. Fan control may be addressed in one section, temperature
control in another, and various safety devices and accessories detailed separately.

Figure 1: A schematic diagram shows the control components of the example air handling
unit (AHU). Courtesy: JBA Consulting Engineers

Figure 1 shows the main components of the air handling unit (AHU) being considered for our
example. The unit has an exhaust fan, outside and supply airflow measuring stations, mixing box,
pre-filter, final filter, heating hot water coil, chilled water coil, and supply fan. The flow diagram
should also identify the airflow pathway and piping connections. Airflow and water flow rates do not
need to be included as this information should be included on equipment schedules. The flow rates
could be included if desired, or diagrams can be left more generic. The latter permits use of the
same diagram for multiple units with similar configurations. Include all inputs and variables that must
be controlled. Components that are not inputs or controlled variables should be left out to maintain a
simple diagram that is easy to read.

Step 2: Categorize the purpose of the equipment. One of the first questions to ask before moving
forward is: “What is the purpose of the system?” Often the purpose is comfort heating or cooling for
human occupants. Sometimes the purpose is maintaining acceptable temperatures for a process
(e.g., a data center). Perhaps the system needs to maintain pressure relationships for a particular
space or group of spaces. The designer should also identify any other equipment that is affected by
the sequence. A makeup air unit, for example, needs to be interlocked with the exhaust fan(s) that
create the need for the makeup air unit. Keep in mind that a system may have multiple purposes. An
AHU may be designed for space conditioning during normal operation and also function as a smoke
control system during a fire event.

Step 3: Identify the required inputs and outputs. It was noted above that the flow diagram should
include the inputs for the controlled variables. Inputs are those readings coming into the building
management system (BMS). These include items such as space sensors, air temperature sensors,
static or differential pressure sensors, and so on. When developing this list of input devices, the
designer should note what inputs are already available for use in the control system. Are any of the
required input devices included as a part of the equipment or already specified for other purposes?
Additional devices should be indicated in the construction documents and specified at this time.
Outputs should also be considered at this time in preparation for developing the full list of points.
Outputs are those signals originating from the BMS to the controlled variable.

Step 4: List any code required functions of the system. Energy codes (such as ASHRAE
Standard 90.1) continue to become more stringent and demand ever more efficient systems.
Identifying these requirements ahead of time helps to ensure the system complies with the
applicable energy conservation code. Setback requirements, isolation dampers, demand controlled
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ventilation (DCV) economizers reheat limitations deadband and supply air temperature reset are
ventilation (DCV), economizers, reheat limitations, deadband, and supply air temperature reset are
8/8/2018 Control sequences for HVAC systems | Schneider Electric
all examples of airside energy code requirements that, when required, need to be incorporated into
the sequence. It is important to recognize the requirements and exceptions for your particular
project location.
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Figure 2: Deadband is a setpoint differential to avoid simultaneous heating and cooling.

Energy codes and efficiency standards specify setpoint overlap restrictions. Courtesy: JBA
Consulting Engineers

Other building, mechanical, and fire code requirements should also be reviewed at this point. For
example, codes may require unit shutdown upon detection of smoke. Additional control
requirements may come into play if the equipment serves a smoke control function.

HVAC equipment or features that are required by code must be identified early in the design
process. This is one of the reasons it makes sense to develop the controls sequence early in the
design process. Doing so allows for a complete and comprehensive coordination effort as the
design is developed.

Step 5: Confirm the owner’s operational requirements and expectations. After identifying the
minimum code required functions of the unit, the designer should confirm whether the owner has
any specific operational requirements and understand how the owner intends to use the equipment.
These requirements may be identified in the owner’s project requirements (OPR) or a request for
proposal that explained the project scope. If an OPR was not developed, the designer should still
consult with the owner to verify the intent of the systems. The team should discuss which desired
system features may conflict with overall successful operation or code requirements. The system
should be reviewed for additional components necessary to suit the owner’s desired operation.

Figure 3: This sample building management system (BMS) graphic shows various points. The
graphic overview provides a summary of the unit status in a clean, simple appearance.
Courtesy: ABS Systems Inc.

The sequence of operation should be tailored for how the building will be operated, as well as the
experience of the facilities maintenance staff. Sequences developed for a large casino resort with a
full-time, highly experienced, on-site maintenance staff may be more complex than those developed
for a small office building with no dedicated maintenance staff. Sequences should always be as
simple as possible while still meeting the performance requirements. Unnecessarily complex control
sequences can overwhelm even the most experienced operator because they are more difficult to
operate and maintain. A lack of operator understanding or need to override often leads to the
building operating differently than the designer intended.

Once this information has been gathered, the designer can begin to actually create the sequence of
operation. This becomes the baseline upon which the requirements for the sequence of control are
further identified and developed.

Table 1: A list of points for the air handling unit (AHU) example is shown. All desired inputs3/9
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d t t h ld b li t d d l ifi d C t JBA C lti E i
and outputs should be listed and classified.
8/8/2018 Courtesy:
Control sequences JBA | Consulting
for HVAC systems Schneider ElectricEngineers

Step 6: Develop a list of points. The information gathered in the previous steps allows for the
creation
Search of a points list. The points list identifies all the inputs and outputs that are controlled or
monitored by the BMS. A matrix similar to Table 1 is often the best method of identifying these points.
The matrix should identify all inputs and outputs for the controlled system. The points can be
classified as digital or analog. Digital inputs and outputs are a simple on or off (0 or 1) condition.
Analog inputs and outputs represent a value within a range corresponding to a change in voltage
(e.g., 2 to 10 Vdc) or amperage (4 to 20 mA), or in the era of pneumatic controls, a change in air
pressure. A dirty filter alarm from a differential pressure switch is an example of a digital input to the
controller. Chilled water valve position is an analog output as it modulates from 0% to 100% open
position. The system should be designed to permit expansion and be capable of handling at least
125% of the number of points currently specified. Allowances should also be made for virtual points.
These are points that are calculated or passed through the controls system as opposed to
hardwired physical points.

It may be necessary to revisit step 3 as the points list is developed. The designer may realize that he
or she does not have all of the required input and output devices to achieve proper control of the
system. It is better to identify these changes during design so that they do not become costly
changes in the field.

Monitoring capability and alarms should also be reviewed at this time. These points provide
additional information to the operator, allowing the operator to monitor the system performance. This
can be valuable information, but an excessive number of points can be overwhelming, costly, and of
no real benefit to the operator. Controls should be kept simple wherever possible. The operator
should have all of the necessary information at a glance, but additional information becomes ”noise”
and distracts the operator from focusing on the important points. It is possible to monitor and trend
almost any value within a system. The designer needs to ask whether or not a point is actually
needed for the particular system.

The storage capability of the system must also be specified. Identify how long the data should be
retained (e.g., 30, 60, or 90 days). The frequency of the trends must also be evaluated. Is it
necessary to sample and record the readings every 15 seconds or every 15 minutes? Trending
hundreds of points every few seconds may lead to network performance issues.

Consider best practices for the specific region in which you are working. In some areas, control
specifications may be performance based where the temperature control contractor will be
responsible for providing all hardware components and points necessary to achieve the engineered
sequence of operation. Other geographical regions or particular projects may require the designer
to specify the exact details and points list for all system components that the control contractor is to
provide.

Step 7: Identify the setpoints. Setpoints are values the system tries to maintain during operation.
Space temperature is a common example of a setpoint. The space sensor or thermostat is the input
device that measures the current space temperature. The control system evaluates this condition
against the setpoint value. Setpoints are not limited to temperature. The duct static pressure sensor
controlling fan speed will also have a setpoint. Likewise, a setpoint must be identified for the carbon
dioxide (CO ) sensor that serves as the input for the demand controlled ventilation strategy.
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Step
8/8/20188: Work through the actions and functional
Control sequences forresponses. The initiation
HVAC systems | Schneider Electric and functional

response are the key aspects of the sequence of operation. It is probably what comes to mind for
most people when they hear the term “sequence of operation.” It is best to work through these as a
numbered
Search list.

Let’s look at the temperature control for our example. The space temperature sensor is the input
device. It measures the space temperature and sends the value to the brain of the system. In stand-
alone packaged equipment, this will likely be an equipment controller with preset control sequences.
In larger, more complex systems, the value is reported to a BMS. The BMS acts as the brains of the
operation and evaluates whether the measured value is within the operational parameters—at
setpoint. Assume the system is operating in the cooling mode with the chilled water control valve
partially open and the heating coil valve fully closed. If the value is above setpoint, then the space
temperature is higher than desired. The chilled water control valve must modulate open to provide
additional cooling and lower the space temperature.

The sequence of operation should concisely list these evaluations and how the system needs to
respond. Recommended language for the last example may be similar to the following:

Figure 4: Redundant packaged air handling units (AHUs) connect to a common supply and return
duct. The sequence defines the control damper positions and how the units are cycled. Courtesy:
JBA Consulting Engineers

In cooling mode, the setpoint shall be 75 F ± 1 F (adjustable). If the space temperature rises above
the cooling setpoint, the system shall first modulate the chilled water control valve from 0% to 100%
open according to the proportional-integral-derivative (PID) and the supply fan airflow shall remain
at the minimum position. The supply fan speed shall be modulated from minimum to 100% design
airflow if the control valve position is greater than 70% (adjustable) open. If the space temperature
drops below cooling setpoint, the system shall modulate the chilled water control valve closed
according to the PID. If the control valve is less than or equal to 50% (adjustable) open, the supply
fan speed shall be reset to minimum supply airflow.

The designer needs to systematically work through all of the ways the system may be required to
modulate. Consider all of the modes in which the system must operate and what system components
need to operate differently in these various modes. Think about the supply and exhaust fans in our
system. Our example assumes that the air handling unit exhaust fan also functions as a smoke
exhaust fan. The fans and control dampers will operate differently in smoke control mode than they
will in normal operation. The sequence of operation should specifically identify requirements for
each of these modes.

Table 2: A matrix can be used to outline the various operating modes during design. The designer
can use this brainstorming exercise to help write the actual control sequence. Courtesy: JBA
Consulting Engineers

Note that normal operation mode may also have under it several modes. In our example, we have
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8/8/2018 operation and recirculation operation.
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systems the excerpt
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easy way to identify the required parameters for the various operating modes. While this matrix does
not necessarily need to be included in the construction documents, it provides the designer with an
overview
Search summary that helps develop a written sequence of operation. The various analog and
digital inputs and outputs should, in some form, be clearly identified in the construction documents
with a corresponding written sequence of control.

Step 9: Identify failure scenarios. At some point, system components will fail. Quality products help
reduce the frequency of failures, but they are still inevitable. If the designer plans for these failures in
the sequence of operation, then he may be able to reduce the resulting operational impact when a
failure does in fact take place. Again, be careful to not over specify. Resiliency requirements for a
typical office building will be substantially different from those of a data center. Life safety
requirements should also be considered. 

Failure considerations should look at both the input devices and the controlled system components.
The failure of a supply duct static pressure sensor may lead to improper control of the supply fan
variable frequency drive (VFD) speed. If the value measured at this sensor varies significantly from
the expected value, then a false measurement may be received. The sequence of operation could
specify that this reading be ignored if the value is some percentage outside of the expected value.
Some input devices may also have an invalid reading function built into the sensor.

Figure 5: Multiple variable frequency drives (VFDs) are used with a group of exhaust fans. The
sequence modulates the fan speeds together to maintain differential pressure within the space.
Courtesy: JBA Consulting Engineers

Consider a low static pressure sensor reading. A sequence that identifies the failure of this
component can reset the supply fan to some fixed speed that keeps the system in operation and
provides at least partial capacity until the maintenance team can properly address the problem. A
system that does not anticipate this failure will continue to control the system using the erroneous
static pressure measurement. This system will likely increase the supply fan speed until the system
eventually shuts off on high static pressure if a high static pressure setpoint was considered in the
original points list. This typically requires a manual restart and the system will have a longer
downtime compared to the one that incorporated fail-safe scenarios. This is an important
consideration for systems where environmental conditions are critical or safety could be
compromised.

Now consider the failure of a controlled device such as a control valve actuator. Failure of this device
will lead to loss of space temperature control. The importance of a fail-safe position for this actuator
can be debated, but a spring return open actuator may be considered for a chilled water coil in a
hot climate. Although the system no longer has accurate control, this arrangement errs on the side
of caution and will overcool the space until the system can be repaired. This may be more important
for cooling equipment that serves telecomm rooms, data centers, or other process loads where a
loss of cooling has significant consequences.

A supply fan motor failure in a single supply fan system has no real fail-safe position. However, a
system with multiple supply fans and motors may be able to respond to this failure scenario with no
decrease in supply airflow rate. This is a prime example of how developing a sequence of operation
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8/8/2018 Control sequences for HVAC systems | Schneider Electric
may lead to changes in which hardware components are specified for the system. The impact of the
supply fan motor failure may have been overlooked prior to this stage of the design.

Step
Search10: Review the sequence. At this point, the designer has completed the first pass to
developing the sequence of operation. A successful sequence is iterative and often requires
revisiting the previous steps. It was mentioned earlier that a designer may begin writing the actual
functional responses of the system and realize he does not have all the required input and output
devices. This may require an update to the flow diagram initially developed. The process of
developing the sequence of operation may also identify features or options that were not originally
specified. This is the time to adjust and refine those specifications.

The best way to review the sequence of operation is to step through all of the actions and
responses. Try to break the system by identifying scenarios that your sequence of operation cannot
properly respond to. Rewrite the sequence as necessary to address these scenarios. A peer review
is a great way to ensure the intent of the sequence is clear to others.

In complex systems, consider how individual pieces of equipment interact with the sequence of
operation of the other equipment. A multi-zone VAV system will have a sequence of operation for the
individual terminal units and the central air handling unit. These sequences must be coordinated to
ensure they work in harmony to provide the most efficient operation. The successful operation of
one is dependent on the other.

Commissioning

Functional testing during commissioning helps ensure the constructed project operates according
to the design intent. The tests are largely based on the designer’s sequence of operation. The
equipment should not be expected to perform functions that were not required by the sequence.

Discrepancies noted during the commissioning phase of the project should be reviewed with the
designer. It may be necessary to update the sequence of operation based on data gathered during
the functional testing. Refer to the static pressure sensor example mentioned earlier. Commissioning
is the appropriate time to verify the fail-safe strategies function as expected. The intent was to keep
the system in operation. The commissioning authority should test the operation of this feature and
the team should modify setpoints as required to achieve the desired results.

Commissioning is the last chance to evaluate the sequence before turning over the project to the
owner. The designer should be involved in the commissioning process and review the final
commissioning report. The sequence may need to be modified based on observations during the
commissioning period. Changes this late in the project schedule may have large cost and schedule
impacts. That being said, the designer should not rely on the commissioning process to make up for
lack of adequate foresight during the design phase.

Operation

The building operator should fully understand the sequence of operation. This ensures the facilities
maintenance group operates the equipment consistent with the design intent to recognize the full
benefits of the system they have been provided. The building operator may override the supply air
temperature in response to space temperature complaints. He or she should understand the
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consequences of this override as they relate to sacrifices in energy efficiency Identify root causes 7/9
of
consequences of this override as they relate to sacrifices in energy efficiency. Identify root causes of
8/8/2018 Control sequences for HVAC systems | Schneider Electric
operational deficiencies and solve problems at the source.

Although the designer should consider the operational requirements during the design phase, these
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specific details may not always be available. The sequence may need to be refined as the building
operation evolves over time. The sequence of operation should be considered a living document that
is continuously maintained throughout the life of the system. Doing so allows for seamless transfer of
knowledge within the operations group. Understanding the control logic for existing equipment is
important for designers working on building renovations or tenant improvements within an existing
space. Without this knowledge, the new design may work against the base system instead of in sync
with it.

An up-to-date sequence also becomes a benchmark for how the system should be operating. The
sequence for existing equipment may be modified to optimize energy efficiency and better suit the
evolved building functional and operational requirements. Retro-commissioning and energy audits
are great ways to identify deficiencies in the sequence of control for existing equipment. Existing
equipment without a well-defined sequence of operation may be a good target for energy
optimization.

HVAC systems use considerable amounts of energy in commercial buildings. Developing a well-
thought-out sequence of operation helps minimize the energy consumption of these systems. In
addition, it allows the system to meet the criteria for which it was designed. The designer must
develop the sequence to a level of detail that is appropriate for the project at hand and maximizes
the success of that particular project.

Although it is not uncommon to see sequences included in project specification manuals, the best
location for this information is often directly on the construction drawings. Keeping the sequence of
operation closely tied to the equipment schedules, plans, and control diagrams increases the
transparency of information throughout the project history. This arrangement is advantageous as the
project specification manual is not always available in the field and often becomes separated from
the drawings.

The steps outlined can be translated to almost any system regardless of size and complexity. The
important thing to remember is that the sequence of operation should not be written in haste as the
project is going out the door. An effective sequence of operation begins early in the design process
when the systems are being developed and equipment is being selected. Doing so allows the
designer to develop the most effective system.

Jason A. Witterman is a mechanical project engineer with JBA Consulting Engineers. He has
experience in various market sectors including data centers, commercial office, aviation, medical,
and government projects. His expertise is data centers, sustainability, and energy codes. Ed Butera
is chairman of the board at JBA Consulting Engineers and has more than 40 years of experience. He
specializes in master planning and design of complex systems for health care, high-rise buildings,
central utility plants, and large hospitality resort projects.

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