HVAC&R Research

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Advanced control strategies for HVAC&R

systems—An overview: Part II: Soft and fusion
control

D. Subbaram Naidu & Craig G. Rieger

To cite this article: D. Subbaram Naidu & Craig G. Rieger (2011) Advanced control strategies
for HVAC&R systems—An overview: Part II: Soft and fusion control, HVAC&R Research, 17:2,
144-158, DOI: 10.1080/10789669.2011.555650

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Published online: 11 Apr 2011.

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 Advanced control strategies for HVAC&R systems—An
overview: Part II: Soft and fusion control
D. Subbaram Naidu1,∗ and Craig G. Rieger2
1
School of Engineering, Department of Electrical Engineering and Computer Science, Idaho State University, 921 S.
8th Avenue, Stop 8060, Pocatello, ID, 83209-8060, USA
2
Idaho National Laboratory, P.O. Box 1625, Idaho Falls, ID 83415-3779, USA
∗
Corresponding author e-mail: naiduds@isu.edu

A chronological overview of the advanced control strategies for HVAC&R is presented. The overview
focuses on hard-computing or control techniques, such as proportional-integral-derivative, optimal, non-
linear, adaptive, and robust; soft-computing or control techniques, such as neural networks, fuzzy logic,
genetic algorithms; and the fusion or hybrid of hard and soft control techniques. Part I focused on hard-
control strategies; Part II focuses on soft and fusion control and some future directions in HVA&R research.
This overview is not intended to be an exhaustive survey on this topic, and any omissions of other works is
purely unintentional.

Introduction In this second part of a two-part series, the fo-

In large commercial and residential buildings,
energy management control systems (EMCS) play
a major role in maintaining good control of temper-
ature, human comfort, and overall operational and
energy efficiency. In a typical situation, HVAC&R
systems provide a central air supply at a controlled
temperature and flow rate for heating or cooling a
particular unit, zone, or entire building complex.
The two main requirements of any HVAC&R sys-
tem are, first, to provide satisfactory indoor comfort
(temperature and relative humidity) conditions to
the building housing both humans and equipment
and, at the same time, minimize overall energy con-
sumption. Another important requirement is to pre-
vent the spread of any chemical or biological species
from any point where these species are released to
the rest of the building.
cus is on soft-control techniques applied to the
HVAC&R field and the techniques using the syn-
ergy of hard- and soft-control strategies. The article
concludes with some comments on future directions
for this field.
Soft computing or control (SC)
Control techniques, in general, are categorized
into hard control and soft control. The hard-
computing or control techniques use proportional-
integral-derivative (PID), optimal, nonlinear, adap-
tive, and/or robust control. On the other hand, SC is
an emerging field based on the application of neural
networks (NNs), fuzzy logic (FL), and genetic algo-
rithms (GAs) and other evolutionary techniques to
any field such as HVAC&R (see Jang et al. 1997;

Received May 27, 2010; accepted November 29, 2010

D. Subbaram Naidu, PhD, is Director and Professor. Craig G. Rieger, PhD, ICIS Distinctive Signature Lead.

144
HVAC&R Research, 17(2):144–158, 2011. Copyright 
C 2011 American Society of Heating, Refrigerating and Air-Conditioning Engineers,

Inc.
ISSN: 1078-9669 print / 1938-5587 online
DOI: 10.1080/10789669.2011.555650
 HVAC&R RESEARCH
Tsoukalas and Uhrig 1997; Nguyen et al. 2003; Tet-
tamanzi and Tomassini 2001; Karray and De Silva
2004; Konar 2005; Kasabov 2007; Sumathi et al.
2008).
NNs
NNs are engineering or mathematical represen-
tations of biological neurons that relate input and
output actions and take the form of a massively
connected and parallel distributed network. These
are also called artificial NNs (ANNs) to distinguish
them from the biological NNs. The NNs have long
been recognized for the identification and control of
physical systems, especially when the system mod-
els are not analytically known fully (Hunt et al. 1992;
Poznyak et al. 2001). See Curtiss et al. (1994, 1996)
for a comparison of local (decentralized) and global
(centralized) control of an HVAC&R plant using
ANNs with that of PID controllers. To take care of
the nonlinearities of HVAC&R plants, a weighted
radial basis function (RBF) NN was used for con-
trol of the plant (Hepworth and Dexter 1994), and
it was found that the performance of the plant was
better than with conventional PI controllers.
For an air-handling unit (AHU) with seven vari-
ables (room temperature, room humidity, pressure
behind supply air damper, supply air temperature,
supply airflow rate, return airflow rate, and sup-
ply air moisture content) and five actuator vari-
ables (re-heater power output, humidifier output,
supply air fan speed, chilled water flow rate, and
supply air damper resistance), a NN-based system
identifier and controller was designed by So et al.
(1994) with 12 input layer nodes and 7 output layer
nodes, which acted first as an identifier and then
as a controller with the control algorithm to mini-
mize set-point error deviation and energy consump-
tion. To improve the operation of a multi-zone space
heating (MZSH) system in terms of disturbance re-
jection and occupied/unoccupied set-point control,
an NN-based, decentralized controller (NNDC) was
designed by Saboksayr et al. (1995) to accomplish
this task. The occupied (day) and unoccupied (night)
set-point controls refer to the overall energy demand
for buildings where the comfort of people is of im-
portance without any reference to the equipment.
In Chow and Teeter (1997) and Teeter and Chow
(1998), identification and control of a single-zone
thermal system were developed using a functional-
link NN, where the functional links mainly expand
145
the original input space for training with the idea of
reducing the burden of the training phase of NNs.
Robustness and stability issues relating to a vari-
able airflow volume (VAV) system in HVAC&R was
studied by Song et al. (2003), who used the motor-
fan model to describe the dynamics of VAV system
given by Zaheer-Uddin and Zheng (1994) in terms
of motor voltage, motor current, fan speed, airflow
volume rate, and pressure rise. A normalized learn-
ing algorithm is used to train an NN, and an adaptive
dead-zone scheme was employed to provide adapt-
ability and robustness due to disturbance and un-
certain parameters in the model with stability and
convergence proofing.
For controlling the AHU in a typical HVAC&R
system, Guo et al. (2007), instead of using typical
PID controllers in both outer and inner loops, used
an NN controller in the outer loop to make the whole
system more adaptive and robust by training the
multi-layer NN by a unique simultaneous perturba-
tion stochastic approximation (SPSA) based train-
ing algorithm, which provided a guaranteed stability
of the overall control system.
FL
FL is basically a methodology to represent hu-
man knowledge and reasoning in the form of mem-
bership functions and rules to make useful inference
actions for the modeling and control of uncertain
physical systems (see Zadeh 1965; Mamdani 1974;
Tagaki and Sugeno 1985; Abonyi 2003; Zhang and
Liu 2006).
Problems, such as thermal regulation and main-
tenance of temperature set-point, in HVAC&R sys-
tems were addressed using a FL controller (FLC)
(Huang and Nelson 1994a, 1994bb; Arima et al.
1995; Lea et al. 1996). An interesting application
of the use of FL for a thermal control system, re-
ferred to as a thermal enclosure system (TES), and a
commercial refrigerator/incubator module (CRIM)
was developed by Lembeck (1992) and flown in a
space shuttle flight in August 1992 to control the
temperature in protein crystal growth experiments.
The investigations in Dounis et al. (1996), Dounis
and Manolakis (2001), and Dounis and Caraiscos
(2007) basically focused on FLC applied to improve
the thermal comfort level and indoor air quality
(IAQ) in the buildings. A comparison of traditional
or conventional control techniques, such as ON-
OFF, PID, PI with dead-beat (PIdb), with the FLC
method was done in Dounis et al. (1996), showing
146 VOLUME 17, NUMBER 2, APRIL 2011
that the fuzzy and PIdb controllers were better than
the PID or ON-OFF controllers. Two types of fuzzy
controllers—the Mamdani fuzzy controller (MFC)
and the Gupta fuzzy controller (GFC)—were used
in the comparison.
The IAQ index was chosen based on the carbon
dioxide concentration. In another work by Dounis
and Manolakis (2001), by considering thermal com-
fort as a fuzzy concept, using mathematical models
for indoor temperature in terms of heat flux through
the window, auxiliary heating, heat transfer due to
ventilation, heat transfer due to infiltration, and rel-
ative humidity of indoor air; wall temperature in
terms of relative heat exchange, heat flow through
walls including conduction, and mean-radiant tem-
perature; thermal comfort index; and outdoor cli-
mate in terms of temperature, wind speed, and rela-
tive humidity, a simulator was developed using the
Turbo-C programming language to test the FLC to
regulate thermal comfort in terms of the predicted
mean vote (PMV) along with the development of
general guidelines for the design of an FL system.
However, the problems associated with FLCs are
that it is very difficult and time consuming to come
up with (or tune for optimization) the FLCs to get
the right set of membership functions associated
with the data base (DB) and the set of pre-defined
rule base; however, these FLCs are not optimized,
especially if one has multiple objective functions,
such as minimizing energy consumption, maximiz-
ing interior comfort, peak electrical load demand,
etc. Thus, there is a real need for bringing GAs with
a multi-objective feature to complement FLCs, as
shown in Alcaláet al. (2003).
Without increasing thermal dissatisfaction of the
occupants (in an office building with many cubi-
cles) as measured by Fanger’s predicted percentage
dissatisfied–PMV (PPD-PMV) (Fanger 1972), a dis-
tributed control system was designed to minimize
the energy consumption using an FL approximation
approach with results that mimic the equivalent ob-
tained by gradient-based optimization techniques,
leading to high computational complexity (Ari et al.
2005). The building model used had three types of
zones: corner, perimeter, and interior offices, lead-
ing to three different types of fuzzy inference sys-
tems (FISs); four neighboring office temperatures
along with their own desired temperatures were used
as inputs and the optimized temperature set-point as
the output of the FIS.
A two-level hierarchical structure was developed
in He et al. (2005) for multiple-model predictive
control (MMPC) using Takagi-Sugeno (T-S) fuzzy
models leading to linear time varying parameter
(LPV) controllers and testing with real process sim-
ulations. A biologically motivated algorithm using a
modified version of brain emotional learning (BEL)
was proposed by Sheikholeslami et al. (2006) to a
multi-variable, nonlinear and nonminimum phase
HVAC control system to provide a robust and de-
sired performance. An intelligent coordinator for
the operation of a local PI-like FLC was proposed
in Dounis and Caraiscos (2007) to provide better
working conditions based on three factors: thermal
comfort, visual comfort (VC), and IAQ. Further,
the coordination has been achieved using two hier-
archical subsystems—the master and slave agent. A
fuzzy controller was designed by Chiou et al. (2009)
for controlling the temperature of air-conditioners in
a unitary system to realize energy savings and stable
operation.
In a two-part investigation, the authors Zhang
and Zhang (2009) first developed a mathematical
model for a chiller with a screw compressor with
both economized and non-economized modes with
a provision for automatic switching between the two
modes and validated the model with experiments
and simulations, and then two control algorithms
based on PID and FL are compared in Zhang et
al. (2009a) for electronic expansion valve (EXV)
controlling the suction superheat, the compressor
controlling the leaving water temperature and the
sub EXV regulating the injection superheat showing
that the fuzzy controller providing higher reliability
and better performance.
Two advanced fuzzy tuning techniques—lateral
and amplitude (LA) tuning—along with fuzzy rule
selection were used in Alcalá et al. (2009) to improve
(optimize) the FLCs with application to the control
of HVAC systems.
A self-extracting rules fuzzy control (SERFC)
strategy was proposed by Lu et al. (2010) for a multi-
variable, large time-delay, nonlinear hot water radi-
ator system to maintain a stable temperature using
transfer function identification schemes and simu-
lations results leading to satisfying performance.
GAs
GAs are derivate-free optimization techniques
based on biological evolution theory involving
crossover and mutation and survival of the fittest
(Goldberg 1989; Gen and Cheng 1997; Haupt
 HVAC&R RESEARCH
and Haupt 1998), including optimization of multi-
objective functions (Deb 2001).
For a single-zone “all outside air” HVAC&R sys-
tem consisting of a regenerative heat exchanger,
cooling and heating coils, and supply fan, a con-
trol scheme was designed by Wright et al. (2002)
to determine supply air temperature and flow rate to
realize three optimization criteria—operating cost
of HVAC&R, maximum thermal zone comfort, and
“in-feasibility objective” (the aggregated value of
constraint violations), using a multi-objective GA
(MOGA) (Van Velhhuizen and Lamont 1970). The
MOGA had the potential to find Pareto optimal solu-
tions given in Engwerda (2005) for building design
problems.
For global optimization of an HVAC&R system
characterized by mathematical models of various
components and constraints, a modified GA was
used with better performance compared to other tra-
ditional control methods (Lu et al. 2005a, 2005b).
In the first part by Lu et al. (2005a), for global op-
timization, the objective function to be minimized
was formed as the sum of energy consumption of
the cooling coil fans, chilled water pumps, chillers,
condenser water pumps, and cooling tower fans un-
der the constraints due to physical limitations of the
components and the interaction between the compo-
nents and units. The resulting mixed-integer, con-
straint, nonlinear optimization (MICNO) problem
was transformed and simplified for solving using an
adaptive neuro-FIS (ANFIS) (Jang et al. 1997; Kar-
ray and De Silva 2004), which is basically a multi-
layer network with the functions of fuzzification,
FIS, and defuzzification. The ANFIS had as inputs
mass flow rate of chilled water to each cooling coil
and as output optimal set-point of the chilled water
pump head. In the second part by Lu et al. (2005b),
the MICNO problem was solved using a modified
GA consisting of four parts: encoding, construc-
tion of fitness function, evolution, and termination.
Compared to traditional methods, this investigation
showed substantial reduction in energy demand by
the HVAC&R system. Also, see a closely related
work in Lu et al. (2005c).
Using GAs for a multi-objective optimization
problem involving supervisory control, the set-
points (such as supply air temperature and chilled
water supply temperature) were obtained by Nassif
et al. (2005) to realize minimum energy use and
maximum comfort validated with a VAV system
with high-load distributed multiple zones. Using
an optimal control model, parameter identification,
147
and a GA, optimal values for the variables were
obtained by Yan et al. (2008), resulting in a 7%
reduction in energy consumption. For optimization
of HVAC systems, a robust evolutionary algorithm
(REA, different from the traditional GA) was devel-
oped in Fong et al. (2008), where the method em-
phasized both mutation and recombination, as well
as selection, and used a constraint-handling oper-
ator instead of the penalty-based approach, which
successfully demonstrated through an application
example claiming the capability of this REA for
handling different HVAC optimization problems
that possess multi-modal, multi-dimensional, non-
linear, continuous-discrete, and highly constrained
characteristics. GA-based optimization was used in
Xu et al. (2009) for a model-based optimal ven-
tilation control scheme for a multi-zone VAV air-
conditioning system with a cost function comprising
thermal comfort, IAQ, and total energy consump-
tion.
An adaptive FLC (AFLC) to control a water valve
for a cooling coil in an AHU of an HVAC system
was developed by Navale and Nelson (2010) using
GAs for fuzzy rule matrix and membership func-
tions along with experimental validation.
Using simplified linear models of major com-
ponents along with recursive least squares (RLS)
on a simulated virtual system representing the cen-
tral chiller plant in a super high-rise building, a
supervisory and optimal control strategy for energy
efficiency using system and subsystem level charac-
teristics and interactions was developed in Ma and
Wang (2011) using GAs.
It was demonstrated that this strategy can save
about 0.73%–2.55% daily energy compared to the
traditional settings method.
Fusion of hard and soft controls
This study focuses on methods synergizing more
than one of the methods involving NNs, FL, and
GAs to capture the best features of the individual
methods (Jang et al. 1997; Tsoukalas and Uhrig
1997; Nguyen et al. 2003; Karray and De Silva
2004; Konar 2005; Kasabov 2007; Sumathi et al.
2008). It further looks at the direction of develop-
ing an integrated structure by blending (see Ovaska
et al. 2002) SC techniques and conventional hard-
control or computing (HC) techniques comprising
optimal control (Naidu 2003), model predictive con-
trol (Camacho and Bordons 2004), robust control
(Sinha 2007), reconfigurable control (Benı́tez-Pérez
148 VOLUME 17, NUMBER 2, APRIL 2011
and Garcı́a-Nocetti 2005; Isermann 2006), adaptive
control (Úström and Wittenmark 1995), networked
control (Wang and Liu 2008), and resilient con-
trol systems (Mitchell and Mannan 2006; Amin and
Horowitz 2007; Hollnagel et al. 2008; Weiss 2010)
with specific applications to HVAC&R systems. The
integration of SC and HC methodologies, shown
in Figure 1, has the following attractive features
(see Ovaska et al. 2002; Tettamanzi and Tomassini
2001):
1. The methodology based on SC can be used, in
particular with FL, at upper levels of the overall
mission, where human involvement and decision
making is of primary importance, whereas the
HC can be used at lower levels for accuracy,
precision, stability, and robustness.
2. In another situation using a hybrid scheme, an
NN of the SC is used to supplement the control
provided by a linear, fixed-gain controller for a
missile autopilot.
3. Further, the SC-based GA can be used for the
parameter tuning of a PID controller to achieve
good performance and robustness for a wide
range of operating conditions.
4. SC and HC are potentially complementary
methodologies.
5. The fusion could solve problems that cannot be
solved satisfactorily by using either methodology
alone.
6. Novel synergetic combinations of SC and HC
lead to high performance, robust, autonomous,
and cost-effective missions.
Figure 1. Principle behind fusion of soft and hard computing.
The fusion of GA and FL, resulting in the ge-
netic fuzzy optimization method, was investigated in
Parameswaran et al. (2010) for a combined variable
refrigerant volume (VRV) and VAV air-conditioning
system to address enhanced thermal comfort and
IAQ. The experimentation involving three distinct
supply air temperature categories yielded daily en-
ergy savings of the order of 54% in summer and 61%
in winter. Fusion among the soft control methods of
NN, FL, and GA, resulting in a hybrid GA hierar-
chical adaptive network based FIS (GA-HANFIS),
was applied in Li and Su (2010) to predict the daily
air conditioning consumption for a hotel, where the
objective function in the GA is to minimize the co-
efficient of variation (CV) of predictions made by
the HANFIS. It was further demonstrated that this
fusion methodology gives a better performance than
that using NN alone.
A simple fuzzy PID (FPID) design strategy was
proposed by Jantzen (1998) consisting of the fol-
lowing steps:
1. tune a PID controller using Ziegler–Nichols (Z-
N) method of Ziegler and Nichols (1942),
2. replace the summation in PID control with an
equivalent linear fuzzy controller acting like a
summation,
3. transfer the PID gains to the linear FPID con-
troller,
4. make the linear FPID controller nonlinear by in-
troducing fuzzy rule base, and
5. fine- (hand-) tune the resulting FPID controller
based on intuition and experience.
An NN for predicting the building electric de-
mand and GA-based supervisory control scheme
was developed in Gibson (1997) with application
to a high school in California. Automatic tuning of
PID controllers for HVAC&R systems was achieved
using an adaptive learning algorithm based on GAs
by Huang and Lam (1997) with performance indi-
cators as overshoot, settling time, and mean squared
error for evaluating controller performance using
the modular dynamic optimization software pack-
age HVACSIM+. A simple and practical hybrid
fuzzy sliding mode adaptive control method for
HVAC&R was presented in Ying-Guo et al. (1998),
and the superiority of the method was demonstrated
by comparing the results of fuzzy adaptive with a
simple PID and FPID methods. In an HVAC&R
system, the supply air pressure is controlled by the
 HVAC&R RESEARCH
supply air fan driven by a variable-speed drive mod-
eled as a second-order dynamics with dead time.
Here, these methods are combined in such a
way to retain the most attractive features of each
method. For example, one can use the GA to op-
timize the weights of NNs and/or fuzzy rules and
membership functions; a hybrid synergy of FL and
GA to optimally combine NNs is proposed in Choi
(2002). In order to optimize energy consumption
and user comfort in an HVAC&R system, an inte-
grated (hybrid) control architecture was designed by
optimizing fuzzy controller parameters using GAs
(see Pargfrieder and Jorgl 2002). In addition, a gen-
eralized predictive controller (GPC) is used to iden-
tify the room model and designing an adaptive con-
troller. In Chow et al. (2002), a study was done
based on integrating an NN (for modeling system
characteristics) and a GA (for global optimization)
for the optimal control of fuel and electricity in a
direct-fired absorption chiller system.
Using a third-order, nonlinear model composed
of the thermal space temperature, the thermal space
humidity ratio and the supply air temperature and
as three state variables, the first two states as two
output variables, and the volumetric airflow rate
and chilled water flow rate as two control (input)
variables, a hybrid method was developed by Rah-
mati et al. (2003) consisting of the traditional PID
controller and an FPID controller, which showed
that the hybrid method gave a more robust perfor-
mance. In Alcalá et al. (2003), GAs are used to
tune intelligently the FLC to control an HVAC&R
system satisfying the requirements of energy saving
and indoor comfort. On the other hand, weighted
linguistic fuzzy rules and the corresponding rules
selection were addressed using an evolutionary op-
timization technique, such as the GA, in Alcalá et
al. (2005) based on the previous results for weighted
fuzzy rules (Cho and Park 2000) the and use of GAs
for selecting FL rules, as shown in Ishibuchi et al.
(1995). Further, it is worth noting from Alcalá et al.
(2005) that the testing of the control algorithms at
a real test site under the generic embedded system
(GENESYS) project was within the framework of
the JOULE-THERMIE program.
Using FL to characterize the PMV as in Fanger
(1972) and ISO-1995 (1995) for assessing the ther-
mal comfort conditions, the work by Calvino et al.
(2004) developed a PID-based adaptive fuzzy con-
troller with an experimental application for a win-
tertime period in an office room belonging to the
University of Palermo, Palermo, Italy. Recognizing
149
the two limitations of requiring significant storage
space for fuzzy rules and the need for switching
fuzzy rules based on changes in outside temperature
in their earlier work (see Ari et al. 2005) to minimize
the energy consumption without increasing thermal
discomfort, the researchers modified their work in
Ari et al. (2006) using FL and NNs to investigate
the performance of FL approximation.
Using a simple fuzzy rule base for errors between
the set-point and output, and training the parameters
of an NN, an adaptive neuro-fuzzy (ANF) method
was developed by Jian and Wenjian (2000) to be
used along with a secondary loop with a PID con-
troller to regulate the supply air pressure, which was
found to offer a better performance compared to a
pure PID controller alone.
An FPID controller was developed for a complex
chilling unit in the overall building energy manage-
ment system (BEMS) by Talebi-Daryani (2001) and
was found to be superior to the distributed digi-
tal controller (DDC). Here the chilling system sup-
plies chilled water to the air-conditioning systems
installed in different research labs and computer
rooms at the Max Plant Institute for Radio Astron-
omy in Bonn. The investigation in Zaheer-Uddin and
Zheng (2001) focused on determining room tem-
perature set-point scheduling to minimize the total
energy consumption and demand costs subject to
the constraints (dynamics of the system, room tem-
perature comfort range, heat exchanger temperature
range, and load limit), uncertainties (uncontrolled
and thermal loads), and objective function. Here,
the dynamics of the system was predicted by using
NNs, and the multi-stage stochastic optimization
problem was solved using Lagrangian relaxation
(LR; a decomposition and relaxation approach) and
a stochastic dynamic programming (SDP) approach.
Four examples were presented with two single-zone
HVAC&R units focusing on load shutting function,
computational efficiency, quality of the LR method,
and implementation to an industrial building.
Using the fuzzy-GA (FGA) technique, a method
was proposed in Lo et al. (2007) for automatic
fault detection (AFD) for an HVAC system verified
by simulations. A model-based supervisory control
strategy was developed and customized, as shown
in Ma et al. (2008), for the currently existing high-
rise commercial office building in Kowloon, Hong
Kong, for online control and operation of building
central cooling water systems using simplified mod-
els for the chiller and two cooling towers (CTA and
CTB) and the performance index to be minimized,
150 VOLUME 17, NUMBER 2, APRIL 2011
consisting of power consumption for chiller and the
cooling towers. Here, a hybrid optimization tech-
nique, called the performance map and exhaustive
search (PMES) based method, was developed to
seek (steady-state) optimal solutions and compared
with that searched by using GAs. It was found that
the developed strategy was more energy efficient
and computationally cost effective, making it simple
and easy for implementation for online applications.
A related work with a simple HVAC&R experi-
mental setup is shown (see Rieger 2008) in Figure
2. A graphical user interface or human machine
interface (HMI) was used to perform all experi-
ments as shown in Figure 3. As a major goal of this
HVAC&R control system is to optimize the pres-
sure gradients and associated flows for the facility,
a linear quadratic tracker (LQT) method provides a
time-based approach to guiding facility interactions.
However, LQT methods are susceptible to modeling
and measurement errors, and therefore, the addi-
tional use of soft-computing methods is proposed
for implementation to account for errors and non-
linearities.
The resulting hybrid (soft and hard) controller de-
sign provides a framework for supervisory control of
an HVAC&R system and shows that significant im-
provements can be achieved when the overall plant
Figure 2. HVAC experimental setup supervisory control (Rieger 2008).
dynamics of the ventilation system are considered in
the control system design. The HVAC&R work per-
formed at Idaho State is summarized below (Rieger
2008).
1. Advanced control methodologies and a result-
ing hybrid controller was proposed and tested
for differential pressure control of Department
of Energy (DOE) facilities, which was unique
compared to other HVAC&R control research
applications in design and focus (see Rieger and
Naidu 2005).
2. The analytical solution to the Riccati equation for
the linear quadratic regulator (LQR) nonsteady-
state design was extended to the LQT design.
This extension allowed the development of an au-
tomated mechanism for finding a controller sys-
tem of any order and tracking reference, which
was performed and tested using MATLAB©
(see Rieger and Naidu 2004, 2005).
3. An NN was proposed as a vehicle for the cap-
turing of LQT data in off-the-shelf control sys-
tems, providing a straightforward framework for
implementation, as shown in Rieger and Naidu
(2005).
4. A hybrid controller design using soft-computing
and hard-computing techniques was proposed,
 HVAC&R RESEARCH
Figure 3. HVAC experimental setup supervisory control: graphical user interface (Rieger 2008).
tested, and implemented. The hybrid controller
provides a pathway for allowing both faster per-
formance and inclusion of temperature controls
in the differential pressure makeup of DOE fa-
cilities (see Rieger and Naidu 2005, 2008).
A T-S-based neuro-fuzzy network was used in
Huang and Dexter (2008) for nonlinear robust
model-based predictive control (MPC) of the tem-
perature of an experimental AHU.
A review was conducted by Dounis and Carais-
cos (2009) on the work on the state-of-the art intelli-
gent (neural, fuzzy, neuro-fuzzy, PI-fuzzy, adaptive
fuzzy PD and PID) and conventional (classical, op-
timal, predictive and adaptive) control systems for
improving the efficiency and indoor environment in
buildings with particular emphasis on multi-agent
control systems (MACS) with simulations using
TRNSYS/MATLAB software.
For controlling the temperature and humidity of
an HVAC system using PID controllers, an intelli-
gent approach for modeling and the control of the
system was achieved by Soyguder and Alli (2009b),
using ANFIS, leading, in particular, to a more ac-
curate prediction of damper gap rate and faster and
simplified solutions. A related work by Soyguder
and Alli (2009a) on the application of self-tuning
151
PID-fuzzy adaptive controller to an HVAC sys-
tem showed improvement over the classical PID
controller. A programmable logic controller (PLC)
based PID controller with optimal tuning of the con-
troller parameters using fuzzy sets was designed by
Soyguder and Alli (2010) for controlling the two dif-
ferent damper gap rates of an HVAC system leading
to a fuzzy adaptive control (FAC) method.
A flexible software framework using GenOpt1
along with a GA was developed in Coffey et al.
(2010) for model predictive control of a zone tem-
perature ramping in an office space.
GenOpt R is an optimization program for the
minimization of a cost function that is evaluated by
an external simulation program, such as EnergyPlus,
TRNSYS, SPARK, IDA-ICE, or DOE-2
Internet-based HVAC&R
Here the focus is on control methods related to
the issues of fault-detection, reliability, Internet (cy-
ber) security, etc. In particular, the Internet-based
HVAC&R refers to the situation where the informa-
tion between the various elements, such as sensors
and actuators, is channeled via Internet and/or the
complete systems being networked using Internet.
152 VOLUME 17, NUMBER 2, APRIL 2011
Fault detection
A two-part review on automated fault detection
and diagnostics (FDD) along with prognostics was
by Katipamula and Brambley (2005a, 2005b) was
provided with specific applications to the HVAC&R
field. The first part of the review focuses on generic
FDD and prognostics, providing various meth-
ods and their primary strengths and weaknesses,
whereas the second part reviews research and spe-
cific applications to HVAC&R fields, such as refrig-
erators, air conditioners and heat pumps, chillers,
and AHUs.
For modeling HVAC systems using measured
data, principle component analysis (PCA) was suc-
cessfully demonstrated in Hao et al. (2005), which
splits the measurement space into two subspaces of
principle component subspace (PCS) and residual
subspace (RS), resulting in the recovery of faulty or
missed data to provide a reliable and optimal control
structure for the HVAC system.
A fault tolerant control method was presented by
Jin and Du (2006) to control the outdoor air ventila-
tion and AHU supply air temperature (which affect
IAQ and humidity) to satisfy the American Soci-
ety of Heating, Refrigerating and Air-Conditioning
Engineers (ASHRAE) standard for VAV systems us-
ing PCA, the joint angle method, and compensatory
reconstruction for detection, isolation, and recon-
struction of the fault with testing and evaluation.
Using a sequencing strategy for AHUs based on
finite-state machine logic and a model-based fault
detection system, a new integrated control and fault
detection system was described in Seem and House
(2009) through simulations of 16 faults relating to
temperature sensor offset, stuck and leaking damper,
and stuck and leaking valves with the ultimate goal
of achieving AFD strategy.
Using a dynamic model in state space form
(Talukdar and Patra 2010), stuck faults of the
damper vanes of the AHU were detected, isolated,
and estimated, and the fault identification scheme
was implemented via an interactive multiple observe
method using the control distribution concept, thus
preventing the convergence of two faults at two dif-
ferent locations in the air volume box to the same
value.
Reliability and Internet (cyber) security
A general framework was presented by Huang
et al. (2008) to enhance the reliability of the chilled
sequencing control using the fused measurement
involving the combination of two approaches: one
direct approach measurement using differential wa-
ter temperature and water flow and the other indi-
rect measurement of building cooling load based on
chiller electrical power input. It was demonstrated
by a case study that the proposed framework ef-
fectively eliminates measurement noises, outliers,
systematic errors, and model errors present in the
individual direct and indirect approaches.
An experimental system was constructed in Lin
and Brogerg (2002) to investigate monitoring and
control of the proposed Internet-based HVAC&R
systems consisting of the major modules: sensors
and actuators, DB, data acquisition, processing and
signal conditioning, input/output (I/O) links and de-
vices, network interface, common gateway interface
(CGI)-accessed control programs, and a Web server
using the transmission control protocol/Internet pro-
tocol (TCP/IP) and Web technologies for achieving
the goals of combining the functions of control, pro-
gramming, operator interface, data collection, anal-
ysis and management and provide real-time moni-
toring and control capability. It was found that the
proposed Internet-based scheme is flexible and scal-
able, and easy integration of multi-vendor equip-
ment.
In a typical building automation and control
system (BACS), shown in Novak and Gerstinger
(2009), with services such as HVAC&R, lighting,
and shading, the safety- and security-critical ser-
vices (SSCS) are integrated with the building au-
tomation technology with an SSCS package con-
sisting of a fire alarm, access control, and standard
HVAC&R service.
In Zhang et al. (2009b), a personal digital assis-
tant (PDA) based intelligent building service system
was developed to control HVAC&R components,
proposing that the system can be connected to the
Ethernet network and communicate with PDAs or
computers using the BACnet protocol for the com-
munication process between a system server and
other connected smart devices.
As industrial control systems (ICS), such as
HVAC&R systems, are being continuously up-
graded with advanced communication capabilities
and networked to improve process efficiency, pro-
ductivity, regulatory compliance, and safety, there is
a real need for some kind of cyber security (different
from physical security and information technology
[IT] security) to avoid any minor to catastrophic
damages to the whole ICS (Weiss 2010). This is
 HVAC&R RESEARCH
more critical in the wake of planned “Smart Grid”
connection with the Internet of the electric grid and
all the devices and equipment that work with elec-
tricity at home, office, and industry (see SMART-
GRID 2008).
In summary, it is noted that fault detection and
reliability and Internet security are closely related
important topics for HVAC&R. Recognizing that a
fault is different from a disturbance, one can design a
controller that can accommodate or is tolerant of the
fault. If a fault-tolerant or faculty-accommodation
controller is no longer able to manage the system
under these faulty conditions, the supervisory-level
control design switches to a new control configura-
tion, leading to reconfiguration control (Blanke et
al. 2006). Internet (cyber) attack and security are
important issues for infrastructure facilities, such as
HVAC&R, and there is urgent need to probe further
to identify, isolate, and eliminate these attacks.
Conclusions and future directions
Conclusions
In this article, an overview of a topical survey
on the control strategies for HVAC&R systems was
presented. In particular, this overview focused on
1. hard-control techniques, such as PID, optimal,
robust and adaptive;
2. soft-control techniques, such as NNs, FL, and
GAs;
3. the fusion of hard- and soft-control techniques;
and
4. a brief description of HVAC&R experimental
setup at Idaho State University.
The major outputs of the overview in terms of
contributions of the hard- and soft-control tech-
niques to the HVAC&R field are summarized be-
low.
1. The main applications to the HVAC&R field
come from hard-control techniques, such as PID,
optimal, and adaptive. However, the optimal con-
trol method, due to its attractive features of en-
ergy saving and thermal comfort, dominated the
applications to the field.
2. On the other hand, the application of soft-control
techniques to the HVAC&R field has accelerated
in the recent years due to their attractive features
of nonlinear identification and control (NNs),
human knowledge, and reasoning in the form
153
of membership functions and rules (FL) and
global nonderivative-based optimization (GAs).
In particular, it appears that the NN, although
useful in cases where there is no mathematical
model, suffers from the enormous time taken for
off-line training. On the other hand, fuzzy and
neuro-fuzzy techniques capable of tuning fuzzy
PI controllers are adequate for most HVAC appli-
cations. GAs are attractive for optimization pur-
poses without involving the mathematical theory,
such as calculus or calculus of variations; how-
ever,they are not always suitable for real-time
HVAC applications. See Dounis and Caraiscos
(2009) for further views on this topic.
3. The major contribution of this overview is to
identify the application of the technique fusion
of hard and soft control to the HVAC&R field,
where the best features of hard and soft control
techniques are captured.
Future directions
Some of the areas identified for future investiga-
tions in the area of HVAC&R are (see Sane et al.
2006):
1. More accurate, physics-based dynamic (both
lumped- and distributed-parameter) models for
both existing and future building systems.
2. Advanced algorithms for optimal, model predic-
tive, robust, reconfigurable, adaptive, networked,
and resilient control systems with industry-
standard embedded platforms for the integrated
building systems.
3. Advanced algorithms based on soft computing
techniques, including NNs, FL, genetic logic,
genetic programming, swarm intelligence, prob-
abilistic reasoning, and others.
4. More sophisticated HVAC&R software pack-
ages for modeling, analysis, design, develop-
ment, testing, and validation with capabilities of
modularity and integration with Internet connec-
tivity.
5. All the research and development work stated
above needs to focus on the critical issues of
thermal comfort for both people and equipment,
energy usage, feasibility, compliance with indus-
try standardization, physical and cyber security,
and cost.
154 VOLUME 17, NUMBER 2, APRIL 2011

Nomenclature LPV = linear time varying parameter

LQR = linear quadratic regulator
AFD = automatic fault detection LQT = linear quadratic tracker
AFLC = adaptive fuzzy logic controller LR = Lagrangian relaxation
AHU = air-handling unit MACS = multi-agent control systems
ANF = adaptive neuro-fuzzy MFC = Mamdani fuzzy controller
ANFIS = adaptive neuro-fuzzy inference MICNO = mixed-integer, constraint, nonlin-
system ear optimization
ANN = artificial neural network MMPC = multiple-model predictive control
ASHRAE = American Society of Heating, Re- MOGA = multi-objective genetic algorithm
frigerating and Air-Conditioning MPC = model-based predictive control
Engineers MZSH = multi-zone space heating
BACS = building automation and control NLP = nonlinear programming
systems NN = neural network
BEL = brain emotional learning NNDC = neural network based, decentral-
BEMS = building energy management sys- ized controller
tem PCA = principle component analysis
CGI = common gateway interface PCS = principle component subspace
CRIM = commercial refrigerator/incubator PDA = personal digital assistant
module PID = proportional-integral-derivative
CV = coefficient of variation PIdb = proportion integral with dead-beat
DB = data base PLC = programmable logic controller
DDC = distributed digital controller PMES = performance map and exhaustive
DOE = Department of Energy search
EMCS = energy management control sys- PMV = predicted mean vote
tems PPD = predicted percentage dissatisfied
EXV = electronic expansion valve RBF = radial basis function
FAC = fuzzy adaptive control REA = robust evolutionary algorithm
FDD = fault detection and diagnostics RLS = recursive least squares
FGA = fuzzy genetic algorithm RS = residual subspace
FIS = fuzzy inference system SC = soft computing or control
FL = fuzzy logic SDP = stochastic dynamic programming
FLC = fuzzy logic controller (or fuzzy SERFC = self-extracting rules fuzzy control
logic control) SPSA = simultaneous perturbation
FPID = fuzzy proportional-integral- stochastic approximation
derivative SSCS = safety- and security-critical ser-
GA = genetic algorithms vices
GA-HANFIS = genetic algorithm hierarchical TCP/IP = transmission control proto-
adaptive network based fuzzy in- col/Internet protocol
ference system TES = thermal enclosure system
GENESYS = generic embedded system T-S = Takagi-Sugeno
GFC = Gupta fuzzy controller VAV = variable airflow volume
GPC = generalized predictive controller VC = visual comfort
GUI = Graphical User Interface VRV = variable refrigerant volume
HANFIS = hierarchical adaptive network Z-N = Ziegler-Nichols
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HC = hard computing or control
I/O = input/output
IAQ = indoor air quality
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