CH-18-016

A Preliminary Study on Text Mining

Operator Logbooks to Develop a
Fault-Frequency Model

H. Burak Gunay, PhD Weiming Shen, PhD, PEng Chunsheng Yang, PhD
Associate Member ASHRAE
Brent Huchuk Zixiao Shi
Student Member ASHRAE Student Member ASHRAE

ABSTRACT Brambley 2004; Katipamula and Brambley 2005; Roth et al.

Textual data in operator logbooks represent an untapped
opportunity to retrieve information about the maintenance
routines of HVAC equipment and control infrastructure. This
paper presents a case study in which seven years’ worth of
work order logs from 44 buildings on a university campus
were analyzed. After extracting HVAC-related terms such as
fan, AHU, VAV, stuck, and leak from custom operator
descriptions, the apriori algorithm was used to derive asso-
ciation rules that define the coexistence tendencies of the
terms in a work order (e.g., coexistence of the terms radiator
and leak). Based on this analysis, a preliminary HVAC work
order frequency model was put forward. The results indicate
that the annual work order intensity per 1000 m2 (10,764 ft2)
was about 4. More than 70% of the HVAC-related work
orders were issued to address zone-level problems. Among
the AHU-level work orders issued for a physical subcompo-
nent, more than 90% were related to fans. Future work is
planned to analyze the HVAC-related work order patterns
with numeric data from automation and controls networks.
INTRODUCTION
More than half of the life-cycle expenses of a building
occur during the operations phase (Akcamete et al. 2010), and
maintenance of the HVAC equipment and control infrastruc-
ture represent a considerable fraction of these operational
activities. In addition, maintenance of HVAC equipment and
control infrastructure play an important role in a building’s
energy and comfort performance (Katipamula and Brambley
2005). It is estimated that faults in HVAC equipment and
controls waste 30% to 50% of the energy used in commercial
buildings in North America (Lucas 1985; Katipamula and
2005; Schein et al. 2006). Automated fault detection and diag-
nostics (AFDD) is an emerging research field seeking to create
scalable methods to optimize the maintenance of HVAC
equipment and control infrastructure. In general, AFDD meth-
ods use sensor and actuator data collected from building auto-
mation and control networks to detect and isolate HVAC faults
automatically. A better understanding of common building
faults and their occurrence frequencies is fundamental to
developing such AFFD methods.
Literature Review
Common faults in HVAC equipment and control infra-
structure can be grouped in three categories: (1) plant-level
faults, (2) air-handling unit (AHU) level faults, (3) zone-level
faults.
Plant-level faults relate to the subsystems of chillers and
boilers. For example, an extensively studied chiller fault is
fouling in condensers. Faults in a chiller or a boiler’s pump can
affect the water flow rate. Other examples include refrigerant
overcharge or undercharge, leaking valves or stuck valves,
fouling in bank tubes, and sensor biases. In the reviewed liter-
ature, chiller faults were more extensively studied than boiler
faults.
AHU faults studied in the literature relate to AHU
sensors, coils, valves, dampers, fans, filters, and controls
programming. The most commonly studied AHU sensor
faults were pressure and temperature sensor biases. The faults
in heating and cooling coils involve a valve being stuck at a
certain position, water leaking from a coil valve, and fouling
in a coil. Another commonly studied AHU fault relates to
return, outdoor, or exhaust air dampers being stuck at a certain

H. Burak Gunay is an assistant professor, Brent Huchuk is a research associate, and Zixiao Shi is a PhD candidate in the Department of Civil
and Environmental Engineering at Carleton University, Ottawa, Canada. Weiming Shen and Chunsheng Yang are research officers in the
National Research Council Canada, Ottawa, Canada.

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position. The faults that relate to the filters (e.g., broken or
fouling filters), controls programming (e.g., inappropriate
airflow set points and valve control tuning), and fans were also
studied in the reviewed literature, albeit less commonly than
the AHU sensor, coil, and damper faults.
Common zone-level HVAC faults studied in the reviewed
literature relate to variable-air-volume (VAV) terminal units
(e.g., leaking or stuck reheat coil valves, stuck dampers, and
faulty pressure sensors for airflow control), perimeter heaters
(e.g., leaking or stuck valves), room sensors (e.g., temperature
or relative humidity), and controls programming (e.g., inap-
propriate airflow or temperature set points).
Table 1 presents an overview of these HVAC fault types
and the references to the literature studying them. The major-
ity of previous research efforts have been dedicated to diag-
nosing physical faults in the AHUs and chillers. Only a small
fraction of the studies focuses on zone-level faults and soft
faults (i.e., faults that relate to poor controls programming).
In reality, plant- and system-level equipment serve many
thermal zones; thus, in modern buildings, more than 90% of
the sensors and actuators are distributed to individual zones
(Attar et al. 2011; Gunay 2016; Zhao et al. 2016). More
sensors and actuators mean a larger number of components
and equipment that can fail and will need to be diagnosed and
maintained. Simply put, a fault-free AHU with near-optimal
control sequences will keep wasting energy and/or cause
discomfort if the sensors and actuators are faulty and/or the
set points and schedules are inappropriate in the thermal
zones.
Common faults studied in the reviewed AFDD literature
are often based on heuristics—relying on a researcher’s
domain expertise or prior research work. Although recent
research projects (Cheung and Braun 2015; Dey and Dong
2016; Frank et al. 2016) has advanced our overall under-
standing, we still lack fundamental knowledge on common
HVAC faults and their frequency of occurrence. This knowl-
edge is needed to estimate their impact on comfort and
energy use, channel our research efforts on high impact
faults, and develop failure modes and effects analysis tools
for HVAC systems and their components in buildings. In
addition, many of the diagnostic approaches used in the
reviewed literature (e.g., Naive Bayes [Frank et al. 2016] and
Bayesian belief/diagnostic networks [Dodier and Kreider

Table 1. HVAC Fault Types from the Literature

System Component References

McIntosh et al. 2000; Jia and Reddy 2003; Cui and Wang 2005; Navarro-Esbrí et al. 2006; Wang and Cui
Chillers 2006; Namburu et al. 2007; Reddy 2007; Zhou et al. 2009; Zhao et al. 2013a; Zhao et al. 2013b; and Zhao et
Plant al. 2013c

Calisto et al. 2008; Widarsson and Dotzauer 2008; Czajkowski et al. 2012; Patan and Korbicz 2012; and
Boilers
Rostek et al. 2015

Zhao et al. 2016a; Lee et al. 1996a; Lee et al. 1996b; Seem et al. 1999; Wang and Chen 2002; Katipamula et
al. 2003; Luskay et al. 2003; Schein and House 2003; Du and Meng Joo 2004; Lee et al. 2004; Xu et al. 2005;
Sensor
Seem and House 2006; Du and Jin 2008; Du et al. 2008; Yang et al. 2008; Du et al. 2009a; Du et al. 2009b;
Du et al. 2010; Padilla et al. 2015; Yan et al. 2016a; and Yan et al. 2016b

House et al. 1999; House et al. 2001; Luskay et al. 2003; Xu et al. 2005; Schein et al. 2006; Du and Jin 2008;
Coil Trojanová et al. 2009; Lee and Yik 2010; Najafi et al. 2010; West et al. 2011; Wang et al. 2012a; Yu et al.
2014; Mulumba et al. 2015; Dey and Dong 2016; Wang and Chen 2016; and Yan et al. 2016a
AHU
Lee et al. 1996a; Lee et al. 1996b; Du and Meng Joo 2004; Katipamula and Brambley 2004; Lee et al. 2004;
Fans
West et al. 2011; Yu et al. 2014; Wang and Chen 2016; and Yan et al. 2016b

House et al. 1999; Seem et al. 1999; Schein and House 2003; Qin and Wang 2005; Lee and Yik 2010;
Dampers
Basarkar 2011; and Wang et al. 2012b

Filters Zhao et al. 2016a; Eriksson 2003; Djuric and Novakovic 2009; West et al. 2011; and Wang and Chen 2016

Control Mansson 1998; Wang and Chen 2002; Brambley et al. 2003; Xu et al. 2005; and Dong et al. 2014

Sensor Qin and Wang 2005; Schein 2006; Lee and Yik 2010; Basarkar 2011

House et al. 1999; Seem et al. 1999; Schein and House 2003; Qin and Wang 2005; Lee and Yik 2010;
VAV
Basarkar 2011; Wang et al. 2012b
Zone
Perimeter heaters Schein and House 2003; Schein 2006

Kaldorf and Gruber 2002; Qin and Wang 2005; Qin 2006; Schein 2006; Wang et al. 2012a;
Controls
Narayanaswamy et al. 2014; Gunay 2016

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1999; Najafi et al. 2010, 2012; Dong et al. 2014; Zhao et al.
2015a; Dey and Dong 2016; Yan et al. 2016]) require a priori
probabilities to isolate a fault from a list of plausible candi-
dates.
Motivation and Objectives
In many institutions, work orders are captured in terms of
digital- (e.g., spreadsheet files) or paper-based logbooks.
Operator logbooks are the traditional form of information
keeping. They contain invaluable information about mainte-
nance routines and failure patterns of building systems and
components. However, because textual data inherent in oper-
ator logbooks are in an unstructured and amorphous form, they
are seldom used to understand how HVAC and other mainte-
nance efforts are distributed within a building cluster. Only
two papers from the reviewed literature used operator
logbooks as a potential source of HVAC maintenance related
information (Otto et al. 2012; Yang et al. 2017).
Text mining is the process of analyzing large, unstruc-
tured, machine-readable documents to extract useful informa-
tion. Text mining is often comprised of a preprocessing stage
to prepare a structured data set from the unstructured data and
the analysis of this data set for information retrieval. During
the preprocessing stage, the textual data are converted into a
mathematical form, which lends itself to a quantitative lexical
analysis. This mathematical form is commonly known as a
document-term matrix, in which the rows represent different
documents (e.g., work orders) and the columns represent the
different terms. The analysis stage entails ranking frequent
terms and studying their coexistence patterns using data-
mining techniques such as clustering and association rule
mining to extract useful information. Examples of useful
information in the context of text mining operator logbooks
can be the common failure modes; developing component-,
equipment-, or building-level failure rate models; and intro-
ducing failure modes and effects analysis tools for building
HVAC systems and their components. Note that HVAC fault-
related information can be collected through manual field
surveys. However, this manual data collection process would
be very labor-intensive and disruptive as it would need to be
carried out in tenant spaces.
In this paper, a preliminary text mining analysis is
conducted to extract information pertaining to the plant-,
system-, and zone-level HVAC faults. The analysis is
conducted on over 17,000 work orders logged from 44 build-
ings on a university campus. The overall characteristics of the
buildings and the data set are presented in this paper. The
preprocessing procedure to prepare the work order descrip-
tions for a quantitative analysis is introduced. Subsequently,
an association-rule-mining-based method is used to extract
information about top HVAC faults and their occurrence
frequencies. The unresolved issues are discussed, and future
work recommendations are developed.
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BUILDINGS AND WORK ORDER LOGS
The study was conducted using seven years’ worth of
work order logs collected from 44 buildings on a university
campus in Ottawa, Canada. Of those, 16 buildings were used
for academic activities (teaching and office spaces for profes-
sors and graduate students), two for administrative activities,
six for athletics, four for research laboratories, and nine for
student housing. The rest were ancillary buildings such as the
university center and residence commons with cafeterias,
quick and full-service restaurants, and a clinic. Note that the
buildings represent a wide range of building types (e.g., resi-
dences, health services, restaurants, office spaces, classrooms,
and laboratories). The buildings were constructed between the
1960s and 2010s. Table 2 lists the characteristics of all
44 buildings. The heating to these buildings was supplied by
a central heating plant (CHP) with boilers serving steam, and
the cooling was provided through chillers located at individual
buildings.
The work order logs contained brief descriptions by
different operators regarding the nature of the maintenance
work, the building name, and a time stamp. In addition, a work
order type label (e.g., carpentry, administrative services) was
attached to each log. Over seven years, a total of 87,865 work
orders with custom descriptions were logged. Of those, 20%
were related to HVAC and room lighting and power plugs. The
rest were other facilities management activities such as admin-
istrative services, carpentry, locksmith, furniture moving,
plumbing, water treatment, vehicle maintenance, painting,
and custodial services. In this paper, our focus is on the work
orders that were issued to address problems in HVAC and
room lighting and power plugs. The term work order herein
only refers to this group.
Comparisons of work order intensities and their break-
down per fault types in different building-use categories,
vintages, sizes, and HVAC configurations can help facility
managers identify problematic archetypes and prioritize
building and system audits. Figure 1 presents the breakdown
of the work order logs among the 44 buildings. The results
indicate that the annual work-order log intensities (per
1,000 m2 [10,764 ft2] floor area) were vastly diverse. The
mean and standard deviation of the annual work-order log
intensities in different buildings were 5 and 6 per 1 000 m2
(10,764 ft2), respectively. Figure 2 presents the annual work-
order log intensities in different building use types. The results
indicate that the annual work order intensities vary substan-
tially among different building types—e.g., 2 per 1000 m2
(10,764 ft2) in residences and 12 per 1000 m2 (10,764 ft2) in
research buildings. When the buildings are grouped as pre-
1980s, between 1980 and 2000, and post-2000s, the annual
work order log intensities for these three groups are 7, 5, and
4 per 1000 m2 (10,764 ft2), respectively (see Figure 3). This
may be explained by the fact that the older buildings tend to
require a larger fraction of the maintenance efforts in a build-
ing cluster. If a work order is associated with a room number
(instead of a mechanical room or a common area), the room
3
 Table 2. Characteristics of the Buildings from which the Work Orders were Reported

Gross Floor Area

Building Names Vintage Type
m2 (ft2)
Tory Building 11,857 m2 (127,581 ft2) 1960 Administrative
MacOdrum Library 18,967 m2 (204,085 ft2) 1960 Academic
2 2
Paterson Hall 7431 m (79,958 ft ) 1960 Academic
Southam Hall 9246 m2 (99,487 ft2) 1960 Academic
2 2
Renfrew House 5030 m (54,123 ft ) 1960 Residence
Lanark House 5030 m2 (54,123 ft2) 1960 Residence
2 2
University Center 11,857 m (12,7581 ft ) 1960 Ancillary
Gymnasium 3136 m2 (33,743 ft2) 1960 Athletics
2 2
Physical Recreation Center 16,699 m (17,9681 ft ) 1960 Athletics
Mackenzie Building 17,474 m2 (18,8020 ft2) 1960 Academic
Maintenance Building 3936 m2 (42,351 ft2) 1960 Ancillary
Steacie Building 9950 m2 (107,062 ft2) 1960 Research
2 2
Herzberg Laboratories 14,173 m (152,501 ft ) 1960 Research
Russell and Grenville House 8914 m2 (95,915 ft2) 1960 Residence
Loeb Building 22,145 m2 (238,280 ft2) 1960 Academic
Nesbitt Biology Building 6320 m2 (68,003 ft2) 1960 Academic
2 2
Robertson Hall 8659 m (93,171 ft ) 1960 Administrative
Glengarry House 14,373 m2 (154,653 ft2) 1960 Residence
2 2
University Commons 8280 m (89,093 ft ) 1960 Ancillary
Parking Garage 6000 m2 (64,560 ft2) 1960 Ancillary
2 2
Dunton Tower 17,175 m (184,803 ft ) 1960 Academic
Architecture Building 8614 m2 (92,687 ft2) 1970 Academic
2 2
St. Patrick’s Building 14,588 m (56,967 ft ) 1970 Academic
Social Sciences Research Building 1336 m2 (14,375 ft2) 1970 Research
2 2
Life Sciences Research Building 2350 m (25,286 ft ) 1970 Research
Dundas and Stormont House 10,980 m2 (118,145 ft2) 1990 Residence
Minto Center 10,277 m2 (110,581 ft2) 1990 Academic
Colonel by Child Care Center 526 m2 (5660 ft2) 1990 Ancillary
2 2
Carleton Technology and Training Center 6365 m (68,487 ft ) 1990 Ancillary
Leeds House 15,713 m2 (169,072 ft2) 2000 Residence
Azrieli Theatre 3510 m2 (37,768 ft2) 2000 Academic
Azrieli Pavilion 4600 m2 (49,496 ft2) 2000 Academic
2 2
National Wildlife Research Center 5574 m (59,976 ft ) 2000 Ancillary
Prescott House 12,543 m2 (134,963 ft2) 2000 Residence
Fieldhouse 4459 m2 (47,979 ft2) 2000 Athletics
Alumni Hall and Sports Center 3483 m2 (37,477 ft2) 2005 Athletics
2 2
Human Computer Interaction Building 4500 m (48,420 ft ) 2005 Academic
Visualization and Simulation Center 4500 m2 (48,420 ft2) 2005 Academic
2 2
Ice House 18,563 m (199,738 ft ) 2005 Athletics
Tennis Center 3344 m2 (35,981 ft2) 2005 Athletics
2 2
Frontenac House 8254 m (88,813 ft ) 2005 Residence
Canal Building 8975 m2 (96,571 ft2) 2010 Academic
2 2
River Building 16,870 m (181,521 ft ) 2010 Academic
Lennox-Addington House 15,793 m2 (169,933 ft2) 2010 Residence

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Figure 1 Annual work-order log intensity per 1000 m2 (10,765 ft2) among building types.

Figure 2 The breakdown of annual work order log intensity per 1000 m2 (10,764 ft2) among 44 buildings.

number is extracted from its description. The histogram plot
shown in Figure 4 presents the recurrence of the work orders
in a certain room. In about 65% of the cases, more than one
work order was reported for the same room. We also deter-
mined whether a work order is associated with a mechanical
room by searching for the following terms in work order
descriptions: mr or mech and room or penthouse. It was found
that 2065 work orders are associated with a mechanical
room—about 10% of the HVAC-related work orders.
Data Set preparation
Using the R programming environment and the text
mining package SnowballC (Milan 2014), the punctuation
marks, English stop words (e.g., the, is, at), suffixes, and

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prefixes to acquire the stem words, private names, building
names, and numbers were removed from the description of the
work order logs. After preprocessing, 5380 distinct terms used
in explaining the work orders were identified. Figure 5 pres-
ents a word cloud plot built upon the work order log descrip-
tions after preprocessing. The size of each word shown in
Figure 5 indicates its relative occurrence frequency. Only
1040 of the 5380 terms were used more than 10 times. And, of
those1,040 terms, only 111 were nouns related to HVAC,
lighting, and power-plugs-related work orders (e.g., chiller,
boiler, fan, filter, hot, warm, AHU). It was observed that many
of these 111 terms were synonyms for each other. For exam-
ple, the terms bulb, light, fixture, dimmer, lamp, and ballast
were used to describe work orders that relate to electric light-
ing. Similarly, the terms tstat and thermostat were used to
describe work orders that relate to thermostats. Some of the
111 terms included various forms of abbreviations and
Figure 3 Annual work order log intensity per 1000 m2
(10,764 ft2) in different building vintages.
Figure 4 The recurrence distribution of the work orders in a certain room.
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misspellings. For example, the terms vavle and censor were
common misspellings for the terms valve and sensor, respec-
tively. The terms rads, induction, and perimeter were used to
describe the work orders that are associated to perimeter radi-
ant heaters. The terms vsd and vfd (which stand for variable-
speed drive and variable-frequency drive, respectively) were
used to describe work orders that are associated with fans.
Similarly, the terms vav and terminal box or unit were used to
define work orders in VAV terminal units. Through this
process, we consolidated the 111 terms into 33 distinct work
order attributes: AHU, belt, boiler, chiller, coil, cold, controls,
cool, damper, duct, fan, filter, heat, hot, humid, leak, light,
meter, plug, pump, radiator, reheat, zone, schedule, sensor, set
point, stuck, temperature, thermostat, tower, valve, VAV, and
wheel. Note that these attributes are either the name (or a
portion of the name) of building systems/components (e.g.,
AHU, boiler, chiller, radiator, VAV, damper, belt) or the terms
that are commonly used to describe a fault (e.g., leak, stuck).
Figure 6 presents the annual frequency of observing the
33 attributes in our dataset normalized per 1000 m2
(10,764 ft2) floor area. The data labels annotated in the figure
indicate the total number of instances an attribute was
observed in the dataset. Figure 7 presents the coexistence of
attributes in the work orders. Results indicate that two or more
of the 33 work order attributes coexist in 60% of the work
orders.
ASSOCIATION RULE LEARNING
Some of the attributes provide meaningful interpretations
of common faults only when their coexistence with other attri-
butes are analyzed. For example, the term leak can be used to
describe a work order that relates to a radiant perimeter heater,
a heating or cooling coil, or a plumbing issue. However, if the
term leak is used with the term radiator, it will be possible to
interpret this as a leaking perimeter heater valve fault.
 The association rule learning is a commonly used method
in text mining to discover interesting relationships between
attributes in a large data set. For example, in how many work
orders does the term leak coexist with the term radiator? More
complex rules can involve the association of more than two
terms. For example, in how many work orders do the terms
AHU and fan coexist with the term belt? Although detailed
information on association rule learning can be found else-
Figure 5 Word cloud plot built upon the work order log
descriptions after preprocessing.
Figure 6 Annual frequency of the work order attribute intensities per 1000 m2 (10,764 ft2). The data labels annotated in the
figure indicate the total number of instances the attributes were encountered in the data set.
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Figure 7 Coexistence of the 33 attributes inside individ-
ual work orders.
where (Witten et al. 2016), we will briefly define herein three
key concepts essential to interpreting the results: support,
confidence, and lift of the rules. Support is the fraction of the
work orders in the data set that contain the term sequence
proposed in a given rule—i.e., p  word A word B  . Confi-
dence is the conditional likelihood of observing a term after
observing another term or a term sequence in a given rule—
i.e., p  word A word B  . Lift is the ratio of the number of the
work orders in which the terms A and B coexist to the multi-
plication of the work orders in which they exist individually—
p  word A word B 
- . Note that if terms A and B
i.e., -------------------------------------------------------------------
 p  word A   p  word B  
are independent, their lift will be equal to one, and we will not
be able to derive any meaningful rules. For highly dependent
7
term pairs, the lift will be significantly larger than one, and we frequently. As the confidence and support thresholds were
will be able to build rules. reduced, the number of rules identified increased drastically,
which deem their manual interpretation impractical. The asso-
While searching for association rules in the data set, the ciation rules point out the following work order types: AHU
apriori algorithm was used (Borgelt 2016). Table 3 presents heat recovery wheels, AHU fan belts, heating and cooling coil
top association rules among the 33 work order attributes. The valves, heating and cooling coil leaks, cooling towers, and
rules with less than 50 work orders to support or less than 20% radiator leaks. Note that most rules are not standalone entities.
confidence were excluded, which resulted in 26 rules. Note Consequent of a rule can be the antecedent of a different rule,
that the support and confidence thresholds were selected based and so on. Figure 8 presents this hierarchical relationship
on a sensitivity analysis to focus on failure modes that occur among association rules (Hahsler and Chelluboina 2016). The
nodes in Figure 8 represent the 26 rules shown in Table 3.
These rules were derived using only 14 of the 33 work order
Table 3. Association Rules with at Least 50
attributes. The diameter of a node indicates the relative
Work Orders to Support and More than 20%
number of work orders used to derive the rule, and the opacity
Confidence
of a node indicates the relative value of the lift of the rule. Note
the association rules created two separate rule groups. Visual
Antecedent Consequent Support Confidence Lift
inspection of the rules in the top group indicates that the term
Cool Tower 300 30% 21 leak is associated with coils or radiators, or rather indirectly
with pumps. The rules in the bottom group in Figure 8 point
Tower Cool 300 24% 21
to work orders about various AHU subsystems such as fan
Coil Leak 230 41% 8 belts, dampers, heat recovery wheels, filters, heating and cool-
ing coil valves, and cooling towers.
Cool Heat 208 21% 7

Radiator Leak 203 24% 5 Fault-Frequency Model

Wheel Heat 187 66% 23 Association rules lay out common wording patterns in
work orders. With the insights gathered through association
Pressure Pump 176 21% 8 rule mining and AFDD literature, rules that encompass certain
Fan Belt 136 25% 35 fault types were formulated.
During the association rule learning, it is observed that
Belt Fan 136 22% 35
the work order logs frequently mention AHU subsystems
Damper, Wheel Heat 62 100% 35 such as heat recovery wheels, fans, and heating and cooling
coils without specifically using the term AHU. Thus, when
Filter, Wheel Heat 62 100% 35
the total number of work orders that relate to AHUs was esti-
Belt, Damper Fan 62 98% 156 mated, beyond the attribute AHU, the following attributes
were searched after verifying that the work order was issued
Damper, Heat Wheel 62 97% 302
for a mechanical room: fan or coil or damper or heat and
Damper, Fan Belt 62 97% 138 wheel. If the attribute sensor is mentioned in AHU work
orders, these work orders were interpreted as sensor-related
Filter, Heat Wheel 62 87% 272
work orders in AHUs. Similarly, the AHU work orders that
Coil, Pressure Leak 62 74% 15 contain the attribute damper were interpreted as damper-
related work orders in AHUs. Fan-related work orders in
Leak, Pressure Coil 62 67% 106
AHUs were identified as the mechanical room work orders
Cool, Valve Heat 62 59% 21 that contain the attribute fan or belt. Coil-related work
orders in AHUs were identified as the mechanical room
Belt, Fan Damper 62 46% 72
work orders that contain the attribute coil. Humidifier-
Heat, Valve Cool 62 41% 36 related work orders in AHUs were classified as the AHU
work orders with the attribute humid and without the attri-
Heat, Wheel Damper 62 33% 52
bute sensor. AHU work orders with the attributes controls or
Heat, Wheel Filter 62 33% 31 set point or schedule were interpreted as controls-related
work orders in AHUs.
Cool, Heat Valve 62 30% 25
Plant-related work orders contained the attributes chiller
Coil, Leak Pressure 62 27% 28 or boiler. Chiller work orders contained the attribute chiller,
and boiler work orders contained the attribute boiler.
Wheel Damper 62 22% 35
Zone-related work orders were classified in six groups:
Wheel Filter 62 22% 20 VAV, sensor, radiant heater, controls, lighting, and power-

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Figure 8 The association of the work order attributes
with each other. The diameters of nodes
indicate the relative number of work orders
used to derive the rule, and the opacity of the
nodes indicates the relative value of the lift of
the rule.
plugs-related work orders. The VAV work orders were identi-
fied as the room-level work orders containing the attribute VAV
in their descriptions. Zone-level sensor work orders were iden-
tified by looking at the attribute sensor in the room-level work
orders. Similarly, the work orders associated with a room
number containing the attribute radiator were interpreted as
the radiant heater work orders. Controls-related zone-level
work orders were interpreted as the work orders that are asso-
ciate with a room number and contain the following attributes:
set point or thermostat or hot or cold. Zone-level lighting and
power-plugs-related work orders were identified by looking at
the attributes light and plug in work orders that were issued to
address a problem in a room. Note that almost all of the zone-
level work orders were issued based on occupant complaints
(e.g., complaints of the room being too hot or too cold). There
may be faults that do not affect the comfort of the occupants
severely enough to trigger complaint calls. Thus, the results
should be interpreted with caution.
Upon estimating the number of work orders caused by
various common faults, they were normalized with the floor
area and time. Note that the normalization in time was made
using the seven year duration of the entire data set. In this
study, year-to-year variations between the work order intensi-
ties were neglected for simplicity. However, such an analysis
could provide insights into long-term trends in work-order
intensities. Figure 9 represents the average annual work-order
intensity observed in 1000 m2 (10,764 ft2) floor area for these
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work order types. The results indicate that there were 3.1
HVAC-related work orders per year per 1000 m2 (10,764 ft2)
and about 0.6 electric-lighting-related work orders per year
per 1000 m2 (10,764 ft2). More than 70% of the HVAC-related
work orders were because of zone-level problems. The rest
were split between plant- and AHU-related work orders. Work
orders issued to address boiler-related problems were about
1.3 times more frequent than the work orders issued about
chiller problems. Among the work orders issued due to zone-
level problems, more than 70% were because of controls-
related problems—e.g., inappropriate indoor temperature or
airflow set points causing thermal discomfort. The most
common zone-level work order type issued for a physical
component was for VAVs, followed by radiant heaters. About
70% of the work orders issued for AHUs were due to controls-
related problems—e.g., inappropriate scheduling, set points.
Among the AHU-level work orders issued for a physical
component, more than 90% were related to fans. Note the
frequency of AHU-related work orders shown in Figure 9 is
slightly less than the sum of the frequency of individual AHU
work orders. This is mainly because some of the fan faults
were also controls-related faults (e.g., fan operating outside
the scheduled hours).
The mean fault-frequency information captured in
Figure 9 can be of practical use as a benchmark to identify
deviations in time. In addition, the deviations from this bench-
mark for specific buildings, equipment, and components can
provide decision-support to prioritize energy audits and
predictive maintenance. The mean fault-frequency informa-
tion can also be used in identifying common component-level
failure modes and in developing failure modes and effects
analysis tools for building HVAC systems and their compo-
nents.
UNRESOLVED ISSUES
This paper presents a preliminary attempt to extract infor-
mation from operator logbooks to better understand HVAC-
related maintenance routines. Although the results are prom-
ising, there are several unresolved issues left for future work.
Some of the work orders may be issued verbally on the
spot. These work orders may not be recorded in the digital oper-
ator logbook system. In addition, almost all of the zone-level
work orders were issued upon occupant complaints with regard
to the room feeling too hot, too cold, too stuffy, too noisy due to
VAV discharge airflow, etc. There may be HVAC faults that do
not affect the comfort of the occupants severely enough to trig-
ger complaint calls. Lastly, there may be a considerable lag
between the time faults emerge and the work orders being issued
and resolved, which could not be studied using our data set.
Aside from the possibly missing information in our data set, our
text mining approach may have missed some HVAC-related
work orders or misidentified some other HVAC-related work
orders. Particularly, our approach ignored infrequent typos.
Alternatively, we could have used a distance-based association
rule algorithm. Thus, the results should be interpreted
9
Figure 9 Breakdown of the annual work order frequencies per 1000 m2 (10,764 ft2).
cautiously. As a verification, round-robin tests can be conducted
on the same data set by different text mining experts, and the
results can be compared.
An applied future research step is to develop text mining
tools through which operators can visualize, understand, and
benchmark the operational performance of a building in a build-
ing cluster. Such tools can use the temporal, spatial, and cate-
gorical information inherent in operator logbooks. For example,
as the time and date of a work order are available in operator
logbooks, failure rate models for specific components can be
developed. The fault-frequency information can be used to
benchmark a building or a piece of equipment’s maintenance
performance in time. Transverse comparisons of fault-
frequency information across HVAC systems and their compo-
nents in building clusters can reveal top failure modes, which
can be used in developing failure modes and effects analysis
tools. As a result, equipment maintenance and retrofitting and
component replacement can be predictively planned. In addi-
tion, analyzing the textual information from operator logbooks
10
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with the numeric data from building automation and control
networks can be beneficial. Future work is planned to extend the
current work to study the numeric and textual data in tandem.
CONCLUSION
Seven years’ worth of work order logs from 44 buildings
on a university campus were analyzed to identify common
HVAC faults and their recurrence frequencies per unit area.
Established text mining approaches were used to preprocess
and identify terms that relate to HVAC-related work orders
from custom operator descriptions. These terms were either
HVAC component names (e.g., fans, AHU, VAV, sensor, coil,
radiator) or the terms that were commonly used to describe
failure types of an HVAC equipment (e.g., leak, stuck, hot,
cold). After preprocessing, the apriori algorithm was used to
derive association rules that define the coexistence tendencies
of the terms (e.g., coexistence of the terms radiator and leak).
Based on this analysis, a preliminary HVAC work order
frequency model was put forward. Average annual work-order
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intensity for HVAC, room lighting, and power plugs was about
4 per 1000 m2 (10,764 ft2). The findings revealed that more
than 70% of the HVAC-related work orders were issued to
address zone-level problems. The rest were plant- and AHU-
related problems. Among the AHU-level work orders issued
for a physical component, more than 90% were related to fans.
Controls-related work orders because of inappropriate airflow
and temperature set points and equipment availability sched-
ules represent about 70% of the HVAC-related work orders. To
advance the findings of this preliminary study, future work is
planned to use the textual data from operator logbooks in
tandem with the numeric data from building automation and
controls networks.
ACKNOWLEDGEMENTS
This work is funded by a research contract provided by
the National Research Council Canada and a research grant
provided by the Natural Sciences and Engineering Research
Council of Canada (NSERC). The authors acknowledge Scott
Macdonald and Darryl Boyce of Facilities Management and
Planning at Carleton University for the work order data set.
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