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At least 19 records
All sourcesNASA NTRSDOE OSTI
DOE OSTI2026

Field-based AFDD for refrigerant undercharge in residential HVAC systems: enhancing reliability through false alarm mitigation

This study evaluated rule-based and machine learning (ML) based automated fault detection and diagnostics (AFDD) algorithms for detecting refrigerant undercharge faults in residential heating, ventilation, and air conditioning (HVAC) systems, using actual building data and a minimal set of features. The ML-based algorithms included Decision Tree (DT) and K-Nearest Neighbors (KNN). Both the rule-based and ML-based algorithms demonstrated the capability to detect refrigerant undercharge faults of -30% or more. Both types of algorithms exhibited false alarms before the implementation of a false alarm mitigation algorithm, which motivated the development of such a mitigation strategy. After applying the mitigation, false alarms were substantially reduced, with the rule-based algorithm decreasing to 0.6% and the ML-based algorithms reaching 0%, while maintaining strong detection performance. Although the rule-based algorithm initially showed lower performance compared to the ML-based algorithms, its detection accuracy improved after mitigation to a level comparable to the ML-based algorithms. These results confirm that combining false alarm mitigation with both rule-based and ML-based AFDD algorithms significantly enhances practical reliability while preserving robust fault detection capabilities. Furthermore, the findings demonstrate the potential for field deployment of these algorithms in residential HVAC systems and highlight the importance of minimizing false alarms.

False Alarm↗
DOE OSTI2020

Analysis of Fault Data Collected from Automated Fault Detection and Diagnostic Products for Packaged Rooftop Units

Rooftop units (RTUs) and other packaged systems are very common in commercial buildings in the U.S., and they often have minimal controls and poor performance. Automated fault detection and diagnostics (AFDD) is a powerful tool that can continuously monitor operating equipment, detect abnormal performance, diagnose problems, and report findings to building operators. AFDD technologies for RTUs have been under development for many years and have recently begun to enter the market in a significant way. There are several AFDD systems available for RTUs that feature a wide range of designs, capabilities, and reporting. Unfortunately, there is little consistency among the AFDD applications and little understanding of the performance and value of these systems. This study presents analysis of AFDD data provided by four companies from over 28,000 RTUs, five building types, and multiple climate zones. The objectives of this investigation were to gain a better understanding of how RTU AFDD systems operate, the types and frequencies of faults identified, and how building operators interact with these systems. The monitoring of a variety of RTUs provides insights into the AFDD monitoring inputs, faults, and diagnostics from which these tools are capable of informing building owners about the status of their HVAC systems.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2020

Analysis of Fault Data Collected from Automated Fault Detection and Diagnostic Products for Packaged Rooftop Units

Rooftop units (RTUs) and other packaged systems are very common in commercial buildings in the U.S., and they often have minimal controls and poor performance. Automated fault detection and diagnostics (AFDD) is a powerful tool that can continuously monitor operating equipment, detect abnormal performance, diagnose problems, and report findings to building operators. AFDD technologies for RTUs have been under development for many years and have recently begun to enter the market in a significant way. There are several AFDD systems available for RTUs that feature a wide range of designs, capabilities, and reporting. Unfortunately, there is little consistency among the AFDD applications and little understanding of the performance and value of these systems. This study presents analysis of AFDD data provided by four companies from over 28,000 RTUs, five building types, and multiple climate zones. The objectives of this investigation were to gain a better understanding of how RTU AFDD systems operate, the types and frequencies of faults identified, and how building operators interact with these systems. The monitoring of a variety of RTUs provides insights into the AFDD monitoring inputs, faults, and diagnostics from which these tools are capable of informing building owners about the status of their HVAC systems.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2020

A systematic feature extraction and selection framework for data-driven whole-building automated fault detection and diagnostics in commercial buildings

In data-driven automated fault detection and diagnostics (AFDD) modeling for building energy systems, feature engineering is a critical process of extracting information from high-dimensional and noisy sensor measurement and turning it into informative and representative inputs or features for data-driven modeling. However, few studies specifically discuss the feature engineering, especially the interactions between feature extraction and feature selection in whole-building AFDD. We developed a systematic feature extraction and selection framework for whole-building AFDD. In this framework, features are aggressively extracted from raw sensor data using statistical feature extraction techniques with various window sizes and statistics. With many features extracted, a hybrid feature selection algorithm that combines the filter and wrapper method then selects the best feature set. The framework considers diversity in the duration of fault behavior among fault types in whole-building AFDD, thus achieving high model generalization. We implemented our developed framework in a virtual testbed calibrated with measured data from Oak Ridge National Laboratory's Flexible Research Platform designed to mimic the operation of a typical small commercial building. The AFDD model is trained by the simulation data generated from the virtual testbed. The results show that (1) the developed framework improves the generalization of the AFDD model by 10.7% compared with literature-reported feature extraction and selection methods and (2) features with diverse window sizes and statistics are selected, providing insight into physical systems beyond the current understanding of buildings and faults and improving the detection and diagnostics of multiple fault types.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2021

Analysis of Automated Fault Detection and Diagnosis Records as an Indicator of HVAC Fault Prevalence: Methodology and Preliminary Results

Faults in commercial buildings can cause energy waste and other performance problems such as reduced occupant comfort, reduced equipment longevity, and increased noise. However, it is currently unknown how commonly faults occur in different equipment types. A method has been developed to estimate the prevalence of faults in air handling units, air terminal units, and rooftop units. This method includes two types of data. The first is data from several automated fault detection and diagnostics (AFDD) software technologies. This type of data provides a large sample that represents a wide range of building types, geographical locations, and equipment types. It includes fault diagnoses from thousands of buildings around the United States, as well as anonymized metadata describing the building and equipment characteristics. The number of fault records is in the order of 107. However, despite the size and richness of the data sample, this data contains some degree of inaccuracy, i.e., false positive and false negative findings. Therefore, the study includes a second type of data, coming from manual inspection of buildings that have had the same AFDD methods applied to them (from the commercial AFDD offerings). Since the field tests are conducted in buildings with AFDD-generated fault prevalence data, they can be combined with the larger sample size to provide insight into the potential biases or lower sensitivity of the AFDD data. Once a library of fault prevalence data is built, it will be studied to provide further insight into the drivers of fault prevalence, for example, whether prevalence is correlated with building type, geographical location (which is tied to climate and to utility rates), building size, etc. This paper describes the methods developed for this study and illustrates them with preliminary data. It discusses some of the challenges of harmonizing disparate outputs from multiple AFDD vendors, application of a unifying fault taxonomy, and fault prevalence metrics.

Ebrahimi Fakhar, Amir↗
DOE OSTI2022

A cosine-based correlation information entropy approach for building automatic fault detection baseline construction

Building automatic fault detection and diagnosis (AFDD) technologies have shown great potential for energy savings. To enable AFDD, a baseline depicting the normal operation mode is needed to detect whether the building operation deviates from normality. Existing research using physics-based knowledge and models for AFDD has mainly taken a trial-and-error approach to determine if a given baseline is sufficient via empirical experiments. A mechanism to support decisions such as how many samples and what samples should be included in the baseline is currently lacking. In this study, a data-driven method for AFDD baseline construction based on information entropy is developed. The entropy is derived based on cosine similarity among typical building automation system measurements in conjunction with outdoor weather information. The performance of the proposed method is evaluated using real building data. Evaluation results indicate that the fault detection strategy adopting the proposed method has similar or better accuracy in detecting faults compared to the same fault detection strategy using the baseline construction method from the literature. Additionally, the use of entropy enables the proposed method to automatically construct and assess the baseline consisting of information-rich samples.

42 ENGINEERING↗
DOE OSTI2020

Automatic Fault Detection & Diagnostics: Residential Market Analysis

This report provides an overview of the market potential for automated fault detection and diagnostics (AFDD) in the residential sector, focusing on embedded AFDD in central air conditioners (CAC) and air-source heat pumps (ASHP) as well as the use of smart diagnostic tools to ensure quality installation of CAC/ASHP equipment. The contents include background on AFDD, stakeholder engagement efforts, a technology assessment of AFDD and smart diagnostic tools, residential CAC and ASHP market trends, a characterization of the CAC and ASHP installed base, a synopsis of utility provider programs, and market barriers.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2022

Barriers to Broader Utilization of Fault Detection Technologies for Improving Residential HVAC Equipment Efficiency

Faults in residential heating, ventilating, and air conditioning (HVAC) equipment may occur due to poor installation practices or develop over time, and these faults can negatively impact system efficiency, thermal comfort, and equipment lifespan. Automated fault detection and diagnostic (AFDD) technologies identify energy wasting HVAC faults, such as low indoor airflow and improper refrigerant charge, and guide technicians in improving system efficiency. For residential HVAC, AFDD consists of a range of fault detecting and diagnostic capabilities, sensor configurations, and target applications. AFDD technology can either be permanently installed by the original equipment manufacturer (OEM) using embedded sensors or as an add-on product either during or after installation. Additionally, several advanced installation tools and refrigerant gauge sets include AFDD features for temporary use during equipment installation and tune-ups. Some technologies can detect a fault but have limited diagnostic capabilities. For example, a single-point measurement from the home's thermostat or energy monitor can provide certain fault detection capability by analyzing the equipment runtime or energy consumption. These technologies, though limited at determining the cause of a given fault, may have significant energy savings potential due to their low cost and prevalence in the residential HVAC market. Despite the potential benefits, fault detection technologies face many technical and market barriers preventing broad adoption. Beyond the cost barriers due to the added sensor requirements and technology development, fault detection technologies face many implementation and adoption barriers such as installer training, customer awareness, standardized communication protocols, and methods of test for evaluating accuracy. The purpose of this whitepaper is to characterize market and technical barriers impeding broader utilization of fault detection technology for residential HVAC energy efficiency applications.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2023

Automated fault detection and diagnosis of airflow and refrigerant charge faults in residential HVAC systems using IoT-enabled measurements

While automated fault detection and diagnosis (AFDD) in residential heating, ventilation, and air-conditioning (HVAC) using smart thermostat data is gaining increasing attention in recent times, it still requires in-depth investigation for market adoption, especially with real-life data. Furthermore, this paper proposes an Internet of Things (IoT) - based approach that adds a smart sensor to the smart thermostat data to carry out AFDD. The approach uses a model which predicts enthalpy change across the evaporator and compares the prediction to the measured enthalpy change. Deviations which exceed analytically determined thresholds then signal faults in the HVAC system. The faults detected are either installation related or degradation related. Experimental tests were carried out in four homes located in Norman, Oklahoma. From the tests, installation issues like indoor/outdoor mismatch were detected in two homes, while a 30% low charge and low indoor airflow rate were detected in one home. The results show that the proposed AFDD algorithm was able to successfully detect two prevalent faults, namely low indoor airflow and low refrigerant charge. Unlike most of the smart thermostat-based approaches, the proposed IoT-based approach can detect and diagnose both faults but only require one additional sensor which is provided by smart thermostat manufacturers.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2020

Implementation Plan for Combined Heat and Power Systems VOLTTRON Controller: Performance Monitoring and Real-Time Commissioning Algorithm Verification

Building-integrated cooling, heating, and power (CHP) systems are more efficient than conventional systems at providing local power and thermal energy, and favorable fuel prices are bound to spur their increased adoption. However, to realize the full benefit of the CHP systems, we must ensure persistence of energy efficient operations. Much of the inefficiency in the current building operations can be eliminated by use of automated performance monitoring (PM), real-time commissioning verification (CxV) and automated fault detection and diagnostic (AFDD) tools. Automation can help system operators make intelligent decisions. Remote and continuous monitoring of system conditions and performance will enable better management and integration of CHP with existing building systems. Continuous PM, real-time CxV, and AFDD could alleviate burdens for operations staff, enhance operations and maintenance (O&M), and improve reliability of building and CHP systems. To address the O&M challenges and to provide a means to maximize the rate-of-return of building-integrated CHP systems, the Building Technologies Office (BTO) within the U.S. Department of Energy’s (DOE’s) Office of Energy Efficiency and Renewable Energy (EERE) initiated a project to design, develop, and field test a VOLTTRON™-based supervisory controller and associated open-source algorithms. These algorithms will ensure real-time optimal operation of a building-integrated CHP system, support electric grid reliability, and lead to achieving the goal of clean, efficient, reliable, and affordable next-generation integrated energy system. Previous report listed the components for which PM, real-time CxV, and AFDD algorithms will be developed, how the algorithms will be tested, and the metrics that will be used to validate the algorithms and their ease of deployment. Deployment of these algorithms in the field will result in a reduction in energy consumption of between 10% and 20% (for both CHP and conventional building systems). This report builds upon the previous report by detailing the process by which PNNL will implement performance monitoring and real-time commissioning algorithms for CHP systems in conjunction with the use of the VOLTTRON CHP economic dispatch agent in host facilities.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2024

Residential HVAC Fault Data Collection Plan – Refrigerant Undercharge and Overcharge Faults

Heating, ventilation, and air-conditioning (HVAC) systems can develop faults due to poor installation practices or gradual wear and tear, leading to decreased HVAC system’s efficiency, compromised thermal comfort, and shortened equipment lifespan (EERE, 2018). Automated fault detection and diagnosis (AFDD) technologies offer a solution by identifying energy-wasting HVAC faults, such as inadequate indoor airflow and incorrect refrigerant charge, and guiding technicians to enhance system efficiency. In the realm of residential HVAC, AFDD can be implemented through various fault detection and diagnosis capabilities, sensor configurations, and target applications. These technologies typically fall into three categories: smart diagnostic tools, original equipment manufacturer (OEM)-embedded tools, and add-on tools. Smart diagnostic tools employ temporarily installed sensors to directly measure HVAC system characteristics, while OEM-embedded tools utilize factory-installed sensors to identify faults or assess system performance. However, both these types of AFDD technologies are often only accessible for high-end HVAC equipment or require additional sensor installation by qualified technicians, resulting in high investment costs and limited applicability for low-income residential buildings. On the other hand, add-on tools rely solely on data from smart thermostats and meters to detect faults by continuously analyzing equipment runtime or energy usage. As smart thermostat and meter costs decrease and their prevalence increases, these tools can be readily deployed in low-income residential buildings. However, they possess limited capabilities as they rely solely on basic trend analysis. Enhancing such tools with advanced machine learning algorithms can significantly improve their effectiveness.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2024

Development and Validation of Home Comfort System for Total Performance Deficiency/Fault Detection and Optimal Comfort Control

In this project, we developed and tested a learning-based home thermal model that facilitates the operation of a model predictive control (MPC)-based optimization agent and an automated fault detection and diagnosis (AFDD) agent. The home thermal model was constructed using a two-node resistor-capacitor model. Moreover, two accompanying parameter identification methods were introduced, least-squares and optimization. Based on the home thermal model, the MPC-based optimization agent was developed to optimize residential HVAC operation. Using two FDD methods, the AFDD agent was constructed to detect and diagnose two prevalent residential AC faults, airflow reduction and refrigerant undercharge. The home thermal model, along with the MPC-based optimization agent and AFDD agent, were tested at the Norman Test House, Miami Test House, Pacific Northwest National Laboratory (PNNL) Test House A, and PNNL Test House B. Finally, they were also field tested in nine demonstration homes with real occupants.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2022

Automated fault detection and diagnosis deployment Internet of Things solution for building energy system

The building sector is the highest energy consumer and ranks first in terms of carbon emissions among all sectors. To address these issues, decarbonization and electrification in the building energy sector are two critical missions of the new US administration. For decarbonization, the new administration has set a target to reduce greenhouse gas emissions by 50–52% by 2030 and targeting a carbon-neutral economy by 2050. For electrification, the goal is to achieve 100% clean electricity by 2035. Such decarbonization and electrification in the building sector require that energy consumption in buildings be reduced significantly. Therefore, the building sector must continuously adopt new technologies to achieve its energy and carbon emission goals. One of the most fundamental technologies is the Internet of Things (IoT). IoT has proven to be an effective solution for the building domain, including building information/energy modeling, smart buildings, etc. Although much progress has been made in the development of IoT-based building energy systems, there is still a lack of reliable, scalable, and affordable IoT-based automated fault and degradation diagnostic (AFDD) solutions. Such solutions would enable deployment of advanced algorithms into real systems to archive the projected energy benefits. Here, this study reviews existing IoT solutions developed for building energy–related application and developed a simple but effective AFDD IoT deployment solution, including developing a suitable IoT architecture and conducting easy and scalable deployment by leveraging a common cloud-based IoT service.

42 ENGINEERING↗
DOE OSTI2022

Connected Loads – Grid Connected Appliances: Deployment IoT Solution for Fault Detection and Diagnostics

As one of the most energy-intensive end-uses in the commercial buildings sector, supermarkets consume around 50 kWh/ft 2 ( or 537.6 kWh/m 2 ) of electricity annually, or more than 2 million kWh of electricity per year for a typical store. The biggest consumer of energy in a supermarket is its refrigeration system, which accounts for 40–60% of its total electricity usage and is equivalent to about 2–3% of the total energy consumed by commercial buildings in United States, or around 0.5 quadrillion Btu (or 0.53 quadrillion KJ). Also, the supermarket refrigeration system is one of the biggest consumers of refrigerants. Current supermarket refrigeration systems rely on high global warming potential hydrofluorocarbon refrigerants. Reducing refrigerant usage or using environment friendly alternatives can result in significant climate benefits. Transcritical CO2 refrigeration systems have attracted more attention in recent years because of their zero-carbon emission advantages compared with traditional refrigerants. These systems are widely used in commercial buildings such as supermarkets. The refrigeration system can also be adapted to handle flexible building loads and be integrated into grid response transactive control to balance the supply and demand of the electric grid. Even minor improvements in the efficiency and operational reliability of supermarket refrigeration systems can create significant value in terms of saving energy, improving food quality, protecting the environment, reducing carbon footprint, and enhancing electric grid resilience. For decarbonization, the new administration has set a target to reduce greenhouse gas emissions by 50– 52% by 2030 and targeting a carbon-neutral economy by 2050. For electrification, the goal is to achieve 100% clean electricity by 2035. Such decarbonization and electrification in the building sector require that energy consumption in buildings be reduced significantly. Therefore, the building sector must continuously adopt new technologies to achieve its energy and carbon emission goals. One of the most fundamental technologies is the Internet of Things (IoT). IoT has proven to be an effective solution for the building domain, including building information/energy modeling, smart buildings, etc. Although much progress has been made in the development of IoT-based building energy systems, there is still a lack of reliable, scalable, and affordable IoT-based automated fault and degradation diagnostics (AFDDs) solutions. Such solutions would enable deployment of advanced algorithms into real systems to archive the projected energy benefits. This study reviews existing IoT solutions developed for building energy– related application and developed a simple but effective AFDD IoT deployment solution, including developing a suitable IoT architecture and conducting easy and scalable deployment by leveraging a common cloud-based IoT service.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2024

IoT-Based Comfort Control and Fault Diagnostics System for Energy-Efficient Homes

This project studies an Internet of Things (IoT)-based comfort control and fault diagnostics system (referred as iComfort in this report) for energy-efficient homes. The system delivers an occupant-comfort-oriented thermal environment adaptive to fault scenarios and achieves HVAC energy savings in a cost-effective and straightforward way. This smart iComfort home system consists of the following key features. 1) Cost-effectiveness and scalability of the entire hardware and software system: The system includes low-cost temperature, humidity, and airflow sensors, and a Raspberry Pi-based local hub that interfaces with the cloud and IoT-enabled devices. The cost is low, not only for sensors, but also the costs associated with sensor installation, system setup and commissioning, data communication and storage, and data analytics (e.g., the development of automated fault detection and diagnosis (AFDD), as well as adaptive control strategies that are both computationally efficient and practical to implement). 2) Energy performance and user satisfaction: The system delivers user satisfaction and energy savings. This includes a) ease of use, b) optimal occupant thermal comfort, and c) accurate system feedback (e.g., low false alarm of AFDD strategies). 3) Favorable demonstrated prototype performance: The prototype tested at the Pacific Northwest National Laboratory (PNNL) Lab Homes demonstrates the accuracy of fault detections and diagnoses and shows thermal comfort improvement and energy savings through adaptive and optimal HVAC operations.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2022

Bringing Fault Detection and Diagnostics (FDD) Tools into the Mainstream: Retro Commissioning and Continuous Commissioning of HVAC and Refrigeration Systems

HVAC systems in the commercial building sector consume about 3.4 quads of energy annually. Of all the HVAC systems, packaged rooftop air–conditioning units (RTUs) provide cooling and heating for over 60 percent of the commercial building floorspace (about 90 billion ft2) in the U.S. and they are a significant source of energy consumption and peak demand. All HVAC systems suffer from faults that impact thermal comfort and increase energy consumption. There are several commercially available Automated Fault Detection and Diagnostic (AFDD) tools on the market that can detect and diagnose faults, and if those faults are corrected, can save significant national energy. However, there are multiple market barriers for these tools including lack of independent verification of their performance in the field in terms of their technical capabilities, ease of use and installation.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2022

Modeling Air Handling Units to Create a Diverse Fault Dataset for FDD Innovation: Lessons Learned and Recommendations

As energy management and information systems (e.g., automated fault detection and diagnostics [AFDD] tools) become more prevalent in the commercial building stock, it is important to determine the effectiveness of these technologies by benchmarking their performance. The authors have been working to develop the largest publicly available dataset of HVAC fault datasets for performance benchmarking applications, covering the most common HVAC systems and designs including chiller plants, rooftop packaged units, dual duct air handling unit and single duct air handling units. This study covers the development, modeling, and validation of a synthetic fault dataset for the air handling unit (AHU), one of the most common HVAC configurations found in the commercial building stock. Despite this being a common system, real-world time series data are scarce and usually do not span a wide range of weather conditions. Due to this limitation, two detailed AHU models, which included the single duct AHU and dual duct AHU developed in the Modelica language and HVACSIM+ were employed to carry out annual simulations of numerous common sensor faults, mechanical faults, and control sequence faults. The fault inclusive data were then validated by comparing fault effects on system performance to expected symptoms. We summarize the nature of each fault and their impacts under different weather and operation conditions. We report some lessons learnt during the efforts of validating the high volumes of the FDD data sets. Finally, we highlight considerations for FDD developers that may want to use this dataset to assess their algorithms’ performance and their improvement over time.

Casillas, Armando↗