Integrated Control of Shading Blinds

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2

Engineering

Marriott Eaton Centre Hotel

Toronto, Ontario, Canada, August 21-24, 2010

HVAC Systems for Energy Saving and Human Comfort

Biao Sun, Peter B. Luh, Fellow, IEEE, Qing-Shan Jia, Member, IEEE, Ziyan Jiang, Fulin Wang, and

Chen Song

Abstract Improving the control of shading blinds, lights, building in Beijing [1]. Improving the control of key devices

natural ventilation, and HVAC systems while satisfying human in buildings, e.g., shading blinds, lights, natural ventilation,

comfort requirements can result in significant energy cost and HVAC systems, can result in significant energy cost

savings with time-of-day electricity pricing. Traditionally, the savings while satisfying human comfort requirements [2, 3, 4].

above-mentioned devices are controlled separately. In this paper,

a novel formulation for the integrated control and the

The optimized control of these devices is therefore becoming

corresponding solution methodology are presented. The more and more important in view of the increasing cost of

problem is to minimize daily energy costs of lights and HVAC energy, government mandate on energy saving [5], and the

systems while satisfying equipment capacities, system dynamics, rising human comfort requirements.

and human comfort. The problem is complicated since 1) The integrated control of the above-mentioned devices

individual rooms are coupled as they compete for the HVAC should work better than non-integrated control as done

with limited capacity and nonlinear characteristics, and 2) the

problem is believed to be NP-hard in view that decision variables

traditionally because the effects of different devices on energy

are all discrete. A solution methodology that combines costs and human comfort are coupled. For example, as shown

Lagrangian relaxation and stochastic dynamic programming is in Fig. 1, when blinds are closed to prevent incident radiation,

developed within the surrogate optimization framework to lights are needed to provide the required illuminance, and the

obtain near-optimal strategies. These strategies are further heat generated by lights will become extra cooling load. As

refined to become novel control rules for easy practical another example, the outside air enthalpy, indicating the

implementation. Numerical simulation results show that both of

the above strategies can effectively reduce the total energy cost, energy of the air and the water vapor contained in the air,

and that the integrated control works better than selected might be lower than the indoor air enthalpy when the outside

traditional control strategies. humidity is a little bit higher than the indoor air humidity but

the outside temperature is much lower than indoor air

Index Terms Integrated building control, HVAC system, temperature. The control rule based on the outside and inside

natural ventilation, shading blinds, Lagrangian relaxation, enthalpy difference allows for natural ventilation to reduce the

surrogate optimization.

sum of cooling and dehumidifying load. However, the extra

humidity coming from natural ventilation plus what is

generated by occupants might exceed the HVACs

I. INTRODUCTION

dehumidifying capacity. As a result, the humidity requirement

T he energy consumed by HVAC systems and lights

accounts for a major portion of energy consumption in

buildings, e.g., about 40% and 20%, respectively, in an office

may not be satisfied. This will not happen if natural

ventilation and the HVAC system are jointly controlled. More

illustrations will be provided in Section V.

Tsinghua-UTC Research Institute for Integrated Building Energy, Safety and

Control Systems, and the United Technologies Research Center.

Biao Sun and Qing-Shan Jia are with the Center for Intelligent and

Networked Systems (CFINS), Tsinghua National Laboratory of Information

Science and Technology (TNList), Tsinghua University, Beijing 100084,

China (Phone: +8615801554280, email: sun-b05@mails.tsinghua.edu.cn,

jiaqs@tsinghua.edu.cn).

Peter B. Luh is with the Department of Electrical and Computer Fig. 1. Coupling of control of different devices on human comfort. T:

Engineering, University of Connecticut, Storrs, CT USA (email: temperature, H: humidity; L: illuminance; C: CO2 concentration

Peter.Luh@uconn.edu) and also with CFINS, Tsinghua National Laboratory

of Information Science and Technology (TNList), Tsinghua University, The problem considered in this paper is to minimize the

Beijing 100084, China. daily energy costs for days with cooling demand through the

Ziyan Jiang and Fulin Wang are with the Department of Building Science,

Tsinghua University, Beijing, 100084, China. (email:

integrated control of blinds, lights, natural ventilation, and

jiangzy@tsinghua.edu.cn, flwang@tsinghua.edu.cn) HVAC systems while satisfying equipment capacities, system

Chen Song is with the United Technology Research Center, China and the dynamics, and human comfort (the model and method

Tsinghua-UTC Research Institute for Integrated Building Energy, Safety and

developed here can also be used for days with heating demand

Control Systems, Beijing, 100084, China.

by using a boiler to replace a chiller). Because of

978-1-4244-5449-5/10/$26.00 2010

978-1-4244-5448-8/10/$26.00 2010 Crown

IEEE 7

uncertainties in weather and in the number of occupants, it is a DP-derived rules include rules for both blinds and natural

stochastic optimization problem. The problem is dynamic ventilation. After obtaining the near optimal strategy and the

since opening the blinds, using natural ventilation, etc., will DP-derived rules, the building simulation software Designer's

affect not only the indoor air temperature at the current stage Simulation Toolkit [8] is used to evaluate their performance.

but also the temperature in the future through heat capacities Numerical simulation results in Section V for three typical

of indoor air and walls. days, with cooling demand, demonstrate that both the near

The HVAC system studied here is shown in Fig. 2. It optimal strategy and the DP-derived rules work more

consists of a fresh air unit (FAU) shared by multiple rooms to efficiently in energy saving than two existing rule-based

provide them with conditioned fresh air; and multiple fan coil strategies and one obtained by using a greedy algorithm. It is

units (FCUs), one for each room, to cool and dehumidify the also shown that integrated control is better than the above two

indoor air within individual rooms. For days with cooling existing non-integrated control strategies in satisfying the

demand, the chilled water provided by the chiller is supplied equipment capacities, i.e., integrated control can make

to the FAU to cool and dehumidify the fresh air and to the occupants more comfort.

FCUs to cool and dehumidify the indoor air. The energy

consumed by the fans in the FAUs in some buildings accounts II. LITERATURE REVIEW

for as high as 10% [1] of the energy consumption of the Optimal control strategies for HVACs and control rules for

HVAC and is nonlinear with the fresh air flow rate [12]. The natural ventilation, shading blinds, and lights were discussed

cooling an FAU provides is also nonlinear with its air and in the literature. For example, Mossolly, Ghali, and Ghaddar

water flow rates [12]. This kind of HVAC system is widely [10] used genetic algorithm to obtain the optimal control of

used in China. A novel daily energy optimization formulation fresh air flow rates, return air flow rates and supplied air

to obtain a near-optimal strategy is presented. In the temperature in a multi-zone HVAC system. The objective

formulation, the devices are controlled jointly, rather than function was to minimize the energy consumption of the

separately. The problem is complicated because 1) individual HVAC plus penalty terms if comfort requirements were not

rooms are coupled as they compete for the HVAC with limited satisfied. A near-optimal control of multiple HVAC units was

capacity and nonlinear characteristics, and 2) the problem is presented by Xu et al. [4]. The problem was to decide

believed to be NP-hard in view that decision variables are all temperature set-points for individual rooms to minimize the

discrete. energy cost while satisfying the peak load limit, and the

monthly and yearly peak demand constraints. The problem

)$8 was discretized in control variables and time and then solved

)&8

by a methodology combining stochastic dynamic

programming, Lagrangian relaxation (LR), and heuristics.

The above control methods, however, provided strategies for

5RRPL

HVAC systems, and the effects of natural ventilation, blinds,

and lights on the performance of HVAC were not considered.

Moeseke, Bruyere, and Herde [3] gave control rules for

)&8

natural ventilation and blinds separately. Natural ventilation

&KLOOHU

was controlled based on the temperature difference between

5RRPM

the indoor air and the outside air, i.e., open windows only

when the outside temperature was lower in summer. Blinds

Fig. 2. HVAC system. Solid red: indoor air; Solid blue: fresh air; Dashed were closed only when the solar radiation exceeds a given

blue: exhaust air; Solid purple: supplied water; Dashed purple: return water. threshold. Tzempelikos and Athienitis [2] controlled blinds

Lagrangian relaxation, a decomposition and coordination and lights jointly to provide the required illuminance and to

approach, is used in Section IV to handle the cooling limit of minimize the energy cost of lighting. The above control rules

the HVAC. To overcome the inseparability difficulty caused were effective in saving energy, but did not consider HVAC

by the nonlinearity of the shared FAU, the surrogate capacity limits. Consequently, the temperature or humidity

optimization framework is used. The main idea is to collect requirements might not be satisfied in certain conditions as

all the decision variables related to a particular room to form a presented in Section I.

subproblem. The values of other decision variables are fixed From the above literature review it can be seen that an

at their latest values. Stochastic dynamic programming is then integrated optimized control method is needed.

used to optimize the stochastic and dynamic subproblem to

obtain a near optimal strategy. Even for simplified models, it III. PROBLEM FORMULATION

is still very time-consuming to obtain the near optimal strategy. A novel daily energy-optimization problem is presented in

Novel Dynamic Programming-derived (DP-derived) control this section. In the formulation, blinds, lights, windows for

rules for easy practical implementation are therefore natural ventilation, and an HVAC system are jointly

developed based on the near optimal strategy. The

controlled. Assume that the building consists of I individual TFAU- Gw,FAU curve shape is similar to that of f(x) = 1/x in the

rooms, with room index i ranging from 1 to I. Each room is first quadrant.

equipped with a set of shading blinds, lights, a window for The electric power of the FAU fan is given by [12]

natural ventilation and a fan coil unit (FCU). These rooms 3

share a common fresh air unit (FAU). A day is divided into K

k

Pfan k

Pfan I k k , (2)

, FAU

discrete time intervals of equal duration t (e.g., 10 minutes),

with time index k ranging from 1 to K. Simplified models of where Pfan,FAU,Rated and Ga,FAU,Rated are the rated air flow rate

devices, including blinds, lights, windows, and the HVACs and the fan power of the FAU, respectively.

are selected from the literature for the optimization purpose as The model for an FCU is established in a similar way, and

presented in subsection A. State variables and system the difference is that the inlet air for the FCU is the indoor air

dynamics, and comfort requirements are presented in while for the FAU it is the outside air.

subsection B, and subsection C, respectively. Uncertainties in The cooling power of the HVAC system has an upper

weather and in the number of occupants have great effects on bound CHVAC because of the chillers capacity limit. As a

energy consumption, and are presented in subsection D. The result, the cooling power of the FAU and FCUs should be less

objective function for the integrated control is then presented than HVACs cooling power limit at time k as

i 1 CFCU

I

,i CHVAC , k

in subsection E k

CFAU k

1,..., K . (3)

A. Models of Devices From the above, decision variable for room i at time k is

A schematic of blinds, lights, and windows is shown in Fig. T

3. The incident solar heat gain and the daylight illuminance uik Tik , Wi k , Gwk , FAU , G kfa ,i , Gwk , FCU ,i , Gak, FCU ,i , (4)

through the blinds at time k are functions of blind angle Tk k =

where the blind angle Tis discretized into 10-degree steps for

1,, K[6]. The blind angle has a lower bound, which is simplicity. The opening of the window W is discretized into

dependent on incident angle of solar irradiance, to prevent two values, 0 for close and 1 for open. Both Gfa and Ga,FCU are

direct sunlight from coming into the room to avoid glare [6]. discrete, determined by the characteristics of the FAU and the

Natural ventilation flow rate is calculated based on the model FCU. Both Gw,FAU and Gw,FCU are discretized into three values,

in [7]. representing low speed, middle speed and high speed. Note

%OLQGV that the lights are used to fill the gap between the daylighting

illuminance and required illuminance. As a result, the power

of the light will not be an element of the decision variable.

B. State Variables and System Dynamics

:LQGRZ

As discussed in Section I, the values of indoor air

Fig. 3. A shading, lighting, and natural ventilation system. temperature Ta, humidity Ha, CO2 concentration CO2a and the

wall temperature Tw at time k+1 are affected by their values

For the HVAC system shown in Fig. 2, the FAU outlet air

and the controls at time k. Four dynamic equations are thus

temperature TFAUk and humidity HFAUk are functions of outside

obtained based on mass and energy conservations as follows.

air temperature Tok, humidity Hok, water flow rate Gw,FAUk, and

Air in a room is assumed to have the same temperature,

fresh air flow rate Ga,FAUk which equals to the sum of fresh air

humidity and CO2 level for simplicity [10]. The indoor

I

flow rates into all rooms i 1

G kfa,i . The FAU model of Zhao, temperature at time k+1 is affected by heat generated by

Fan, and Xue [12] is used. In the model, the cooling power occupants and equipment, transferred from the walls, and

CFAUk of FAU at time k equals to the difference between inlet provided by the FAU, the FCU, and natural ventilation, and

air enthalpy ENFAU,inletk and outlet air enthalpy ENFAU,outletk as the energy contained in the remaining indoor air, i.e., the

indoor air except for that of the FAU, the FCU, and the natural

,inlet EN FAU , outlet

k k k

CFAU EN FAU

ventilation. The energy and mass conservations applied to

G kfa ,i C pTok H ok 2500 1.84Tok

I

indoor air of room i for temperature lead to the following:

i 1

I

G kfa ,i C pTFAU

k

H FAU

k

2500 1.84TFAU

k

. (1) maiTaik 1 't Oik Qz Qeik hw,in Aw,i Twk,i Tak,i / C p

i 1

The enthalpy of inlet air, the term in the second line in 't Gkfa,iTFAU

k

Gak, FCU ,iTFCU

k

,i Gnv ,iTo

k k

Equation (1), indicates the energy contained in the inlet air Taik mai 't G kfa ,i Gak, FCU ,i Gnvk ,i , (5)

and the water vapor in the air, and is calculated by the air flow

rate times the energy contained in per unit air and the water where mai is the mass of the air in room i, Oi the number of

vapor. In equation (1), Cp is the air specific heat. Both TFAU occupants, Qz the heat generation rate per person, Qe the heat

generated by equipment, hw,in the wall convection coefficient

I

and HFAU are nonlinear in i 1

G kfa,i and Gw,FAU [12], e.g., the

with the indoor air, Aw the area of wall, and Gnv the natural

ventilation flow rate.

The humidity at time k+1 equals to the sum of that might not be accurate, and this uncertainty has major effects

generated by occupants, provided by the FAU, the FCU and on whether it is beneficial to use natural ventilation. To have

natural ventilation from time k to time k+1, and that contained robust solutions, normally distributed noises are added to the

in the remaining indoor air. The mass conservation for predicted outside temperature. The mean and variance of the

humidity in room i is thus given by normally distributed noise at time k are calculated based on

'tOik H z 't Gkfa,i H FAU

the last seven days prediction error at time k. For example, if

mai Haik 1 k

Gak, FCU ,i H FCU

k

,i

the predicted temperature at time k was always 2qC higher

Gnvk ,i H ok H aik mai 't G kfa ,i Gak, FCU ,i Gnvk ,i , (6) than the real temperature in the last seven days, the mean and

variance of the noise at time k are 2qC and 0, respectively.

where Hz is the humidity generation rate per person. Then some possible discretized values and their possibilities

The mass conservation applied to CO2 concentration is very can be obtained based on the means and variances.

similar to that applied to humidity, except that the CO2 levels There is also an uncertainty in the numbers of occupants.

in the FCU inlet air and in the FCU outlet air are the same. This uncertainty has a direct effect on heat, humidity, CO2

The CO2 mass conservation for room i is thus given by generation rates, and thus affects the cooling and

mai CO2aik 1 'tOik CO2z 't Gkfa,i Gnvk ,i CO2ok dehumidifying load and the flow rate of required fresh air.

The number of occupants is described by a Markov chain with

CO2kai mai 't G kfa ,i Gnvk ,i , (7) a one-step transition matrix [4]:

where CO2z is the CO2 generation rate per person. P^Oik b | Oik 1 a` S abi , i 1,..., I ; a, b d pi , (12)

The energy of the wall is affected by the heat convection

where pi is the number of maximum occupants for room i, and

with indoor air and outside air, solar heat gains on the exterior

a and b are possible occupant numbers at k-1 and k,

surface, Sw,in, and the solar heat gains incident through the

respectively.

binds on the interior surface, Sw,out. The energy conservation

applied to the walls for room i is then given by E. The Objective Function

Cw mw,i T k 1

w,i T k

/ 't

w,i hw,in Aw,i T k 1

a ,i T k

w,i S w,in,i

Our objective is to minimize the energy costs of lights and

the HVAC system. The energy for the HVAC system is

hw,out Aw,i T o

k 1

T S

k

w,i w,out ,i , (8) consumed by fans in the FAU and FCUs, the chiller, the

where Cw is the wall capacitance, mw the mass of the wall, hw,in pumps, and the fans in cooling towers. The energy

and hw,out are the wall convection coefficients with indoor air consumption for fans in the FAU and FCUs can be calculated

and outside air, respectively. based on Equation 2, and the energy consumption for the rest

The indoor temperature, humidity, CO2 concentration, and components is calculated by using the coefficient of

the temperature of wall are the key variables, the values of performance (COP) of the HVAC system. The COP used in

which at time k+1 are affected by the values at time k. this paper equals to the ratio of the cooling of the FAU and the

Therefore the state variable for room i at time k is FCUs to the energy consumed by the chiller, the pumps, and

the fans in cooling towers. After calculating the energy

xik [Taik , H aik , CO2aik , Twik ]T . (9) consumption, a electricity price is needed to calculate the

energy costs. A time-of-day electricity pricing structure [11]

C. Comfort Requirements is now used in Beijing, and the price at time k is given by ck, k

The comfort ranges during occupied periods are given by = 1,, K. The expected total cost is therefore given by

[8]

Ta > 22qC, 26qC @ , H a > 40%,60%@ ,

J ^

E c k 't k 1 i 1 CFCU

K

I k

,i / COP Pfan , FCU , i

k

k k k

`

,i CFAU / COP Pfan , FAU . (13)

During unoccupied period there are no requirements for

The expectation is over the uncertain outside temperature and

humidity, CO2 concentration or illuminance, and the required

numbers of occupants.

indoor temperature range can be lager, for example,

The problem formulated above is to decide the blind angles

Ta > 20qC, 28qC @. (11) T, open or close of the windows W, the air and water flow

rates of the FAU and the FCUs, i.e., Gfa, Ga,FCU, Gw,FAU, and

Compared with the occupied period, the lower bound of Ta

Gw,FCU to minimize J while satisfying the HVACs cooling

during unoccupied period is lower to allow for pre-cooling

limit (Equation 3), system dynamics (Equations 5-8), and

and the upper bound of T a is higher, which is beneficial for

human comfort requirements (Equations 9-10). In view that

energy saving.

all control variables are discrete, the problem is believed to be

D. Uncertainties NP-hard [4]. In order to solve the NP-hard problem, a

The outside temperature predicted by weather stations possible method is to use decomposition and coordination

approaches, which divide the whole system into subsystems 2) decision variables not belonging to room i are kept at their

each related to one room. This method requires the coupling latest available values; 3) there is no need to find the exact

constraints between different subsystems (Equation 3) to be optimized decision variables {uki,n} at the nth iteration.

separable. However, the coupling constraints are not Rather, approximate optimization is enough if the new

separable because both the FAUs outlet air temperature TFAU decision variables {uki,n} satisfy the following surrogate

and humidity HFAU in Equation 1 are nonlinear in terms of the optimization condition (See Equation 28 in [9].):

L Onk , uik,n , u kj , j zi ,n1 L Onk , uik,n1 , u kj , j zi ,n1 ;

I

sum of room fresh air flow rates i 1

G kfa,i [12], and the FAU (16)

cooling power CFAU is also nonlinear. Besides, the

nonlinearity of the energy cost of the shared FAU fan and 4) if this constraint is not satisfied, then move to the next

room and do the same approximate optimization.

k I

Pfan , FAU in G kfa,i (as shown in Equation 2) also makes the

i 1

At each state uik at time k, a few discretized outside

problem not separable. Because of inseparability, the temperature, number of occupants, and their probabilities are

problem cannot be solved by directly using decomposition given in Section III. By considering all possible discrete

and coordination approaches. Our solution methodology is values of state variables x, decision variable u, and the above

presented in the next section. two random variables, this multi-stage stochastic subproblem

can be solved by using backward stochastic dynamic

IV. SOLUTION METHODOLOGY programming with the optimal cumulative cost at stage k as

^ c 't / COP O E C

Our idea to solve the above NP-hard problem is to apply

Lki * ( xik ) CFCU ,i

k k k k

Lagrangian relaxation (LR) to obtain a near-optimal solution. min uk FAU

i

k

, FCU ,i Pfan , FAU Plights ,i

k k

separable problems. However, the problem formulated is not

separable as described in last section. In order to overcome `

Lki 1* xik 1 , (17)

the inseparability difficulty, the surrogate optimization

framework [9] is used. The total minimum cost related to room i, L*i , equals to the

The coupling constraints on the HVACs capacity optimal cumulative cost L1*i ( xi1 ) at stage 1 for the given initial

(Equation 3) are relaxed by using a set of Lagrangian

multipliers {O}. The relaxed problem is to minimize the state xi1 .

Lagrangian L defined below During some stages the wall temperature changes slightly,

min L, with L { E ^ck 't k 1 i 1 CFCU and the change is much less than the size of discretization step.

K I k

,i / COP

Nevertheless, these small changes cannot be neglected,

Pfan

k

, FCU ,i Plights ,i CFAU / COP Pfan , FAU

k k k

` because the cumulation of these changes may have a

significant lasting effect on the energy cost via heat

K k

k 1 O k E CFAU i 1 CFCU

k I

,i CHVAC . (14) convection between walls and the indoor air. Although the

discretization step can be reduced to overcome this difficulty,

k k

In the above equation, both CFAU and Pfan , FAU are not the increase in computation requirements could be prohibitive.

separable because of the nonlinearity in the FAU as described Our solution is to accumulate the small changes, and to update

at the end of Section III. the wall temperature when the accumulated change is larger

The relaxed problem and the dual problem are solved in than the size of the discretization step.

subsections A and B, respectively. In subsection C, heuristics B. Solving the Surrogate Dual Problem

are used to obtain feasible solutions. Based on the result of The high level dual problem is given by

subsection A, novel DP-derived control rules are generated in

max O k q, with q O k { i 1 L*i xi1 k 1 O k CHVAC .

I K

subsection D to facilitate online implementation. (18)

A. Solving the Relaxed Problem Because the decision variables {uik} are discrete, the dual

The relaxed problem is inseparable, and the traditional LR function is nondifferentiable. The Lagrangian multiplier Ok is

approach cannot be directly applied. To overcome this updated by using the surrogate subgradient method [9]:

max 0, Onk D n g k Onk1 ,

inseparability difficulty, the surrogate optimization

Onk1 (19)

framework [9] is used. The main idea is that 1) all the terms

related to a particular room i are collected to form a where Dn is the step size at the nth iteration, gk(Onk) is the

subproblem as shown below: surrogate subgradient component of the dual function with

c 't / COP O E C respect to Onk, and is given by

K

min Li , with Li k 1

k k k

FAU CFCU

k

,i

I

E k 1 ck 't Pfan g k (Onk ) k

, FCU ,i Pfan, FAU Plights ,i ;

k

K k k k (15) (20)

The step size Dn is given by

Dn I

E n LU i 1 L*i xi1 / g k Onk g k Onk ,

T

(21)

great importance, which is demonstrated in subsection A.

Both of the rooms are 6 meters long, 5 meters wide and 4

where LU is an upper bound of the optimal value L, and meters high, and the parameters of the materials of

0<E n<1. construction, the occupant heat generation rate, etc., are all set

according to the parameters of the office room model in

C. Obtaining Feasible Solutions Designer's Simulation Toolkit [8]. The rooms are assumed to

The solutions to the relaxed problem may not be feasible, be occupied from 7:00am to 10:00pm and the maximum

i.e., HVACs cooling limit (Equation 3) is not satisfied. To number of occupants in each room is four. The room is

obtain a feasible solution, two heuristics have been developed: divided into three zones, and each is controlled by one set of

z Heuristic 1. The method checks from time k=1 and move lights as shown in Fig. 3. The energy price is 0.81 RMB/KWh

forward. If the load of the HVAC at time k exceeds from 6 am to 10 pm and 0.35 RMB/KWh during other hours

HVACs cooling load limit, the method backtracks to the [11]. The value of coefficient of performance (COP) chosen

previous stage k-1 and pre-cools one of the rooms. here is the average value measured in nine office buildings in

z Heuristic 2. If no feasible solution can be found by heuristic Beijing [1]. The benefit of integrated control of all the key

1 because of high solar radiation, blinds should be closed devices is presented in the last one or two paragraphs in each

and lights are used during several hours before time k. In subsection.

this way the cooling load for the HVAC is reduced, although Three cases are considered, including a humid summer day

the combined energy consumption of the HVAC and the in August with high outside temperature and a very large load;

lights may increase. a summer day with a large temperature difference between day

and night in July; and a day in May with low cooling load.

D. Obtaining DP-Derived Control Rules

Five strategies are studied for each case, including two

The LR-DP strategy presented above provides optimized existing non-integrated control strategies: strategy A that uses

blind angles, opening or closing of windows, and air and water no natural ventilation and always opens the blinds at 80, and

flow rates for the FAU and FCUs. Optimization takes time, strategy B that controls natural ventilation based on the

and even for simple buildings, the LR-DP strategy for the next enthalpy difference and controlling the blinds based on the

24 hours may not be obtainable within a few minutes. Novel schedule, i.e., closing the blinds only from 11 a.m. to 3 pm; the

Dynamic Programming-derived control rules are therefore greedy strategy that optimizes the energy cost only at the

established for blinds and natural ventilation based on the current stage; the LR-DP strategy, and the DP-derived rules.

LR-DP control strategy as follows.

1) The blind angle is discretized into m values. If a day is A. Case 1: A Humid Summer Day

divided into K discrete time intervals, then each day there are Consider a humid day in August in Beijing, with the outside

K pairs of solar radiation and blind angle. By using the Fisher temperature very high (more than 27qC even in the evening).

Linear Discrimination (FLD) classifier [13], m thresholds can The day has a very large load so that shedding the load is

be obtained based on the 144 training samples. The blinds can important. The results in the second line in Table 1 show that

then be controlled based on the m thresholds. both the LR-DP strategy and the DP-derived control rules

2) The same method is used to decide the rules to control work effectively in reducing the total energy cost (about 16%,

natural ventilation based on the temperature difference 10%, and 8% of the costs are saved compared with strategy A,

between outside air and indoor air or on the enthalpy strategy B, and greedy strategy, respectively). The energy

difference between outside air and indoor air. The detailed consumed under DP-derived rules is a little higher than that

rules are presented in Section V. under LR-DP, because the DP-derived rules are directly

With blinds and windows controlled by rules, the number of derived from the near optimal strategy obtained by LR-DP.

decision variables is much reduced. The HVAC system can TABLE I

then be efficiently optimized by the method of subsections A, ENERGY COST IN RMB OF THE FIVE STRATEGIES FOR THE THREE CASES

B and C for easy practical implementation. Str. A Str. B Greedy LR-DP DP-Derived

Case 1 40.03 37.21 36.70 33.48 33.64

Case 2 35.56 35.17 35.00 30.44 30.74

V. NUMERICAL SIMULATION RESULTS AND DISCUSSION

Case 3 33.28 28.44 29.92 24.96 24.96

The comparison of performance of the LR-DP control

The cooling and dehumidifying power supplied by the FCU

strategy and the DP-derived control rules against that of other

and the FAU into the two rooms under the LR-DP strategy is

three strategies is presented in this section. The system

shown in Fig. 4. It can be seen that the two FCUs do not work

includes two rooms in Beijing and the result in subsection A

at high power levels at the same time when the cooling load is

will show how the devices in the two rooms work

very high in the afternoon. As a result, the maximum total

collaboratively to satisfy the HVACs load limit. Each room

cooling power is 4.3 KW, which does not exceed the HVACs

has a window facing south and a set of shading blinds. The

cooling limit of 4.4 KW.

solar radiation incident on the exterior surface of windows is

The hourly energy costs for the five strategies are shown in

very high around noon time so that the control of blinds is of

Fig. 5. It can be seen that energy is consumed from 1 am to 6 strategy for the HVAC system. When there are 10 individual

am by the HVAC to pre-cool the room by the LR-DP control rooms, the SDP runs for 10 times for initialization and then

strategy and the DP-derived rules. The pre-cooling, with the another 28 times iteratively for convergence. Therefore the

low energy price, effectively reduces the wall temperature and method is believed to have good scalability.

therefore reduces the energy costs after 6 am.

B. Case 2: A Summer Day with a Large Temperature

Difference between Day and Night

Consider a summer day in July with a large temperature

difference between day and night. The day is also very humid.

In this case the control for natural ventilation is studied. The

LR-DP strategy and the DP-derived control rules use natural

ventilation to cool rooms from 1 am to 6 am. The wall

temperature thus is lower than that under other three strategies,

Fig. 4. Cooling power in KW for two rooms

and 10%-13.8% (as shown in Table 1) of the energy cost is

1.4

Strategy A Strategy B Greedy LR-DP(DP-derived) saved compared to energy cost of other three strategies.

Energy Cost

(RMB)

0.7

strategy, the LR-DP strategy, and the DP-derived rules, the

0 outside temperature and humidity, and the indoor temperature

1 3 5 7 9 11 13 15 17 19 21 23 under the LR-DP strategy are shown in Fig. 7. In the occupied

Time (Hour)

time, natural ventilation is controlled based on the enthalpy

Fig. 5. Total energy cost

difference by the LR-DP strategy, and the DP-derived rules.

Strategy A Strategy B

Greedy LR-DP(DP-derived) That is because extra energy will be consumed to cool or

Solar Rediation

Blind Angle

(degrees)

80 500

(W/m2 )

indicating the energy contained in the air and the water vapor,

of outside air is higher than that of indoor air. However, for

0 0

unoccupied hours before 7 am, natural ventilation should be

7 8 9 10 11 12 13 14 15 16 17 18 19

Time (Hour) controlled based on the temperature difference. That is

Fig. 6. Blind angles and solar radiation because during those unoccupied hours there is no humidity

The blind angles of the five strategies and the solar requirement and the outside air with lower temperature is

radiation on the exterior surface of the window are shown in beneficial for cooling the room. Rules obtained by using

Fig. 6. We can see that the integrated control of blinds and the Fisher Linear Discrimination (FLD) classifier are the same as

HVAC system can save more energy costs than the two the ones above.

non-integrated strategies: strategy A and strategy B. The Strategy B Greedy

LR-DP(DP-derived) Outside temperature

blind angle of the LR-DP strategy and the DP-derived rules is Outside humidity Indoor Temperature

Natural Ventilation

Temperature ()

0.5 35

lower than that of the greedy strategy when the solar radiation

Humidity (g/Kg)

0.4

(m3 /hour)

0.2

Although extra energy is consumed by lights, the wall 0.1

temperature under the LR-DP strategy and the DP-derived 0 5

Time (Hour)

cost in the rest hours of the day. Fig. 7. Natural ventilation and outside temperature and humidity

It can also be seen form Fig. 6 that the integrated control of

It can also be seen in Fig. 7 that the integrated control of

the blinds and the HVAC can reduce the cooling load to

natural ventilation and the HVAC system by the LR-DP

satisfy the HVACs cooling limit. At 3 pm the LR-DP strategy

strategy and the DP-derived rules works better than the other

and the DP-derived rules close the blind a little bit and open

three strategies. At 7 am, although the outside enthalpy is

the lights to prevent the cooling load from exceeding the

lower than the indoor air enthalpy, the LR-DP strategy and the

HVACs cooling limit, although this results in more total

DP-derived rules do not use natural ventilation. That is

energy costs.

because although natural ventilation can save energy costs, the

The Stochastic Dynamic Program (SDP, described in

extra humidity coming from natural ventilation plus what is

Equations 15-17) runs twice to obtain the initial strategy for

generated by occupants will exceed the HVACs

each of the two rooms, and then it runs for another 21 times

dehumidifying capacity.

iteratively to obtain the LR-DP strategy before convergence.

Only 10 iterations and about half an hour are needed to

The computational time is 56 minutes by using a P4 2.33GHz

obtain the LR-DP strategy for Case 2, because the HVAC load

PC with 2G memory. Based on the LR-DP strategy, the

is a little lower than that in Case 1 so that the HVACs limit is

DP-derived rules are obtained within 1 second, and then

easier to be satisfied.

another 2 minutes are spent to obtain the near-optimal control

C. Case 3: A Day in a Transition Season methodology was tested for a two-room system having only

Consider a day in May in Beijing the outside temperature one FAU, but it can be extended to a whole building having

and the humidity are much lower than those in summer, and multi-FAUs by dividing the problem into multi-subproblems

natural ventilation can be effectively used. To compare the (as shown in Equation (15)) each of which is related to one

uses of natural ventilation by the LR-DP strategy, the FAU. To solve the subproblem, we can use the surrogate

DP-derived rules, and other strategies, the natural ventilation subgradient because multi-rooms in the subproblem share the

flow rates, the outside temperature and humidity, and the same nonlinear FAU. The high level dual problem is solved

indoor air temperature are shown in Fig. 8. It can be seen that by using Lagrangian Relaxation because multi-subproblems

natural ventilation is used by the LR-DP strategy and the are coupled for sharing a common chiller. In the future we

DP-derived rules from 1 am to 8 am, and at 7 pm, 9 pm, and 10 will have a case study of a whole floor with 24 rooms in a real

pm, and 27%, 12%, and 17% of energy costs are saved commercial building. In addition, electricity demand charge

compared with strategy A, strategy B, and greedy strategy, will also be introduced into the formulation in the future.

respectively (as shown in the fourth line in Table 1).

By comparing the natural ventilation flow rates of different ACKNOWLEDGMENT

strategies in Fig. 8, we can obtain another natural ventilation The work is supported by the Tsinghua-UTC Research

control rule that for occupied periods in transition days, Institute for Building Energy, Safety and Control System. The

natural ventilation should be controlled based on the authors would like to thank Dr. Satish Narayanan, Dr. Rohini

temperature difference when and only when humidity Brahme, and Dr. Arvind Uppili Raghunathan at United

generated by occupants can be taken out of rooms by fresh air Technologies Research Center for their guidance and

that is required. From 9 am to 2 pm and at 4 pm, although the constructive comments.

outside temperature is higher than the indoor air temperature,

the outside enthalpy (Equation 1) is lower than the indoor air REFERENCES

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